13F-HR 1 tricadia4q2012.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: 12/31/2012 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 Floot 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 February 13, 2013 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: 44 Form 13F Information Table Value Total: $247,523 (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 19415 550000 SH DEFINED 0 550000 0 APPLE INC COM 037833100 4171 156500 SH CALL DEFINED 0 156500 0 BANK OF AMERICA CORPORATION COM 060505104 7343 2735000 SH CALL DEFINED 0 2735000 0 BARCLAYS BK PLC IPATH S&P500 VIX 06740C188 33 15000 SH PUT DEFINED 0 15000 0 CBS CORP NEW CL B 124857202 7610 200000 SH DEFINED 0 200000 0 CBS CORP NEW CL B 124857202 1050 525000 SH CALL DEFINED 0 525000 0 CENTRAL PAC FINL CORP COM NEW 154760409 16427 1053697 SH DEFINED 0 1053697 0 CITIGROUP INC COM NEW 172967424 1281 32383 SH DEFINED 0 32383 0 CITIGROUP INC COM NEW 172967424 15818 1900000 SH CALL DEFINED 0 1900000 0 DELPHI AUTOMOTIVE PLC SHS G27823106 15300 400000 SH DEFINED 0 400000 0 FIFTH & PAC COS INC COM 316645100 4980 400000 SH DEFINED 0 400000 0 FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 4 58000 SH PUT DEFINED 0 58000 0 FORD MTR CO DEL COM PAR $0.01 345370860 3098 2120000 SH CALL DEFINED 0 2120000 0 FORD MTR CO DEL COM PAR $0.01 345370860 5180 400000 SH DEFINED 0 400000 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 21314 4855182 SH DEFINED 0 4855182 0 FORTRESS INVESTMENT GROUP LL CL A 34958B106 1103 900000 SH CALL DEFINED 0 900000 0 GENERAL MTRS CO COM 37045V100 1841 750000 SH CALL DEFINED 0 750000 0 GOLDMAN SACHS GROUP INC COM 38141G104 4685 287000 SH CALL DEFINED 0 287000 0 ISHARES TR FTSE CHINA25 IDX 464287184 22 40000 SH PUT DEFINED 0 40000 0 ISHARES TR MSCI EMERG MKT 464287234 1136 708100 SH CALL DEFINED 0 708100 0 ISHARES TR MSCI EMERG MKT 464287234 181 183500 SH PUT DEFINED 0 183500 0 ISHARES TR RUSSELL 2000 464287655 2 20000 SH PUT DEFINED 0 20000 0 JPMORGAN CHASE & CO COM 46625H100 13320 2400000 SH CALL DEFINED 0 2400000 0 LIBERTY INTERACTIVE CORP INT COM SER A 53071M104 1771 90000 SH DEFINED 0 90000 0 LIBERTY INTERACTIVE CORP LBT VENT COM A 53071M880 5060 74671 SH DEFINED 0 74671 0 MORGAN STANLEY COM NEW 617446448 3220 800000 SH CALL DEFINED 0 800000 0 NATIONAL BK HLDGS CORP CL A 633707104 5393 284000 SH DEFINED 0 284000 0 PENTAIR LTD SHS H6169Q108 4245 86372 SH DEFINED 0 86372 0 PMC COML TR SH BEN INT 693434102 2433 342647 SH DEFINED 0 342647 0 RELIANCE STEEL & ALUMINUM CO COM 759509102 6210 100000 SH DEFINED 0 100000 0 RESEARCH IN MOTION LTD COM 760975102 2400 202000 SH DEFINED 0 202000 0 RESEARCH IN MOTION LTD COM 760975102 784 66000 SH DEFINED 1 66000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 97 210000 SH CALL DEFINED 0 210000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 16 100000 SH PUT DEFINED 0 100000 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 37944 620000 SH DEFINED 0 620000 0 SPDR GOLD TRUST GOLD SHS 78463V107 1377 8500 SH DEFINED 0 8500 0 SPDR GOLD TRUST GOLD SHS 78463V107 11 50000 SH CALL DEFINED 0 50000 0 SPDR GOLD TRUST GOLD SHS 78463V107 136 60000 SH PUT DEFINED 0 60000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 337 170000 SH CALL DEFINED 0 170000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 297 235000 SH PUT DEFINED 0 235000 0 TARGET CORP COM 87612E106 5917 100000 SH DEFINED 0 100000 0 TYCO INTERNATIONAL LTD SHS H89128104 6435 220000 SH DEFINED 0 220000 0 UNION PAC CORP COM 907818108 6286 50000 SH DEFINED 0 50000 0 VISTEON CORP COM NEW 92839U206 11840 220000 SH DEFINED 0 220000 0