0001085146-12-001420.txt : 20121113
0001085146-12-001420.hdr.sgml : 20121112
20121113160556
ACCESSION NUMBER: 0001085146-12-001420
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121113
DATE AS OF CHANGE: 20121113
EFFECTIVENESS DATE: 20121113
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Tricadia Capital Management, LLC
CENTRAL INDEX KEY: 0001455452
IRS NUMBER: 202605420
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13382
FILM NUMBER: 121198757
BUSINESS ADDRESS:
STREET 1: 780 THIRD AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 646-388-5900
MAIL ADDRESS:
STREET 1: 780 THIRD AVENUE
STREET 2: 29TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
13F-HR
1
tricadia3q2012.txt
TRICADIA CAPITAL MANAGEMENT, LLC
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 09/30/2012
Check here if Amendment [ ]; Amendment Number:
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Tricadia Capital Management, LLC
Address: 780 Third Avenue
29th Floor
New York, NY 10017
13F File Number: 028-13382
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: James McKee
Title: General Counsel & Chief Compliance Officer
Phone: 646-388-5900
Signature, Place, and Date of Signing:
/s/James McKee New York, NY November 13, 2012
Report Type (Check only one.):
[ X] 13F HOLDINGS REPORT.
[ ] 13F NOTICE.
[ ] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 1
Form 13F Information Table Entry Total: 53
Form 13F Information Table Value Total: $230,634 (thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional managers with respect to which this report is filed, other
than the manager filing this report.
No. 13F File Number Name
028-11231 Mariner Investment Group, LLC
FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- --------
AMERICAN INTL GROUP INC COM NEW 026874784 18035 550000 SH DEFINED 0 550000 0
BANK OF AMERICA CORPORATION COM 060505104 3984 3655000 SH CALL DEFINED 0 3655000 0
BEST BUY INC COM 086516101 5 20000 SH CALL DEFINED 0 20000 0
CBS CORP NEW CL B 124857202 10550 290400 SH DEFINED 0 290400 0
CENTRAL PAC FINL CORP COM NEW 154760409 15719 1099228 SH DEFINED 0 1099228 0
CITIGROUP INC COM NEW 172967424 1060 32383 SH DEFINED 0 32383 0
CITIGROUP INC COM NEW 172967424 11515 2450000 SH CALL DEFINED 0 2450000 0
CITIGROUP INC COM NEW 172967424 110 44600 SH PUT DEFINED 0 44600 0
DELPHI AUTOMOTIVE PLC SHS G27823106 6975 225000 SH DEFINED 0 225000 0
FIFTH & PAC COS INC COM 316645100 5112 400000 SH DEFINED 0 400000 0
FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 161 94000 SH PUT DEFINED 0 94000 0
FORD MTR CO DEL COM PAR $0.01 345370860 902 2120000 SH CALL DEFINED 0 2120000 0
FORD MTR CO DEL COM PAR $0.01 345370860 3944 400000 SH DEFINED 0 400000 0
FORTRESS INVESTMENT GROUP LL CL A 34958B106 21018 4755182 SH DEFINED 0 4755182 0
FORTRESS INVESTMENT GROUP LL CL A 34958B106 1095 900000 SH CALL DEFINED 0 900000 0
GENERAL MTRS CO COM 37045V100 390 500000 SH CALL DEFINED 0 500000 0
GOLDMAN SACHS GROUP INC COM 38141G104 3802 387000 SH CALL DEFINED 0 387000 0
ISHARES TR FTSE CHINA25 IDX 464287184 27 53300 SH CALL DEFINED 0 53300 0
ISHARES TR FTSE CHINA25 IDX 464287184 7 20000 SH PUT DEFINED 0 20000 0
ISHARES TR MSCI EMERG MKT 464287234 520 392000 SH CALL DEFINED 0 392000 0
ISHARES TR MSCI EMERG MKT 464287234 432 136100 SH PUT DEFINED 0 136100 0
ISHARES TR RUSSELL 2000 464287655 194 50000 SH CALL DEFINED 0 50000 0
ISHARES TR RUSSELL 2000 464287655 238 140000 SH PUT DEFINED 0 140000 0
JPMORGAN CHASE & CO COM 46625H100 12416 3225000 SH CALL DEFINED 0 3225000 0
JPMORGAN CHASE & CO COM 46625H100 9 20000 SH PUT DEFINED 0 20000 0
LIBERTY INTERACTIVE CORP INT COM SER A 53071M104 2313 125000 SH DEFINED 0 125000 0
LIBERTY INTERACTIVE CORP LBT VENT COM A 53071M880 869 17500 SH DEFINED 0 17500 0
LIBERTY INTERACTIVE CORP RIGHT 99/99/9999 53071M112 450 33203 SH DEFINED 0 33203 0
MARRIOTT INTL INC NEW CL A 571903202 599 15310 SH DEFINED 0 15310 0
MARRIOTT INTL INC NEW CL A 571903202 11 30000 SH CALL DEFINED 0 30000 0
MARRIOTT INTL INC NEW CL A 571903202 68 30000 SH PUT DEFINED 0 30000 0
MORGAN STANLEY COM NEW 617446448 3085 1075000 SH CALL DEFINED 0 1075000 0
PMC COML TR SH BEN INT 693434102 2570 342647 SH DEFINED 0 342647 0
POWERSHARES QQQ TRUST UNIT SER 1 73935A104 11 30000 SH CALL DEFINED 0 30000 0
POWERSHARES QQQ TRUST UNIT SER 1 73935A104 18 10000 SH PUT DEFINED 0 10000 0
RELIANCE STEEL & ALUMINUM CO COM 759509102 7174 137042 SH DEFINED 0 137042 0
RESEARCH IN MOTION LTD COM 760975102 1418 189000 SH DEFINED 0 189000 0
RESEARCH IN MOTION LTD COM 760975102 458 61000 SH DEFINED 1 61000 0
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 587 8000 SH DEFINED 0 8000 0
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 31 30000 SH PUT DEFINED 0 30000 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 6 68800 SH PUT DEFINED 0 68800 0
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 19 110000 SH CALL DEFINED 0 110000 0
SIX FLAGS ENTMT CORP NEW COM 83001A102 29400 500000 SH DEFINED 0 500000 0
SPDR GOLD TRUST GOLD SHS 78463V107 89 34700 SH CALL DEFINED 0 34700 0
SPDR GOLD TRUST GOLD SHS 78463V107 6 20000 SH PUT DEFINED 0 20000 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 317 140000 SH CALL DEFINED 0 140000 0
SPDR S&P 500 ETF TR TR UNIT 78462F103 144 240000 SH PUT DEFINED 0 240000 0
SPDR SERIES TRUST S&P METALS MNG 78464A755 31 50000 SH CALL DEFINED 0 50000 0
TARGET CORP COM 87612E106 12694 200000 SH DEFINED 0 200000 0
TRONOX LTD SHS CL A Q9235V101 28084 1239900 SH DEFINED 0 1239900 0
TYCO INTERNATIONAL LTD SHS H89128104 12377 220000 SH DEFINED 0 220000 0
UNITED STATES OIL FUND LP UNITS 91232N108 693 6484800 SH CALL DEFINED 0 6484800 0
VISTEON CORP COM NEW 92839U206 8892 200000 SH DEFINED 0 200000 0