0001047469-13-004731.txt : 20130423 0001047469-13-004731.hdr.sgml : 20130423 20130423173018 ACCESSION NUMBER: 0001047469-13-004731 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130423 DATE AS OF CHANGE: 20130423 EFFECTIVENESS DATE: 20130423 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Cain Brothers Asset Management, LLC CENTRAL INDEX KEY: 0001513702 IRS NUMBER: 271150449 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14424 FILM NUMBER: 13777282 BUSINESS ADDRESS: STREET 1: 360 MADISON AVENUE STREET 2: 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-869-5600 MAIL ADDRESS: STREET 1: 360 MADISON AVENUE STREET 2: 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 a2214567z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 3/31/13 ----------------------- 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: Cain Brothers Asset Management, LLC ----------------------------------- Address: 360 Madison Ave., 5th Floor ----------------------------------- New York, NY 10017 ----------------------------------- Form 13F File Number: 28-14424 --------------------- 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: Charity A. Davidenko ------------------------------- Title: CCO ------------------------------- Phone: 212-981-6937 ------------------------------- Signature, Place, and Date of Signing: /s/ Charity A. Davidenko New York, NY 4/23/13 ------------------------------ ---------------- ---------------- [Signature] [City, State] [Date] Report Type (Check only one.): /X/ 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) / / 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) / / 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: N/A FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------------- Form 13F Information Table Entry Total: 13 -------------------- Form 13F Information Table Value Total: 97830 -------------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ISHARES TR MSCI EAFE INDEX Equity 464287465 2951 50000 SH CALL Sole 50000 ISHARES TR MSCI EAFE INDEX Equity 464287465 2981 50500 SH CALL Sole 50500 ISHARES TR MSCI EAFE INDEX Equity 464287465 5754 97500 SH CALL Sole 97500 ISHARES TR MSCI EAFE INDEX Equity 464287465 5902 100000 SH CALL Sole 100000 ISHARES TR MSCI EAFE INDEX Equity 464287465 5991 101500 SH CALL Sole 101500 ISHARES TR MSCI EMERG MKT Equity 464287234 1303 30500 SH CALL Sole 30500 ISHARES TR MSCI EMERG MKT Equity 464287234 1281 30000 SH CALL Sole 30000 ISHARES TR MSCI EMERG MKT Equity 464287234 1345 31500 SH CALL Sole 31500 ISHARES TR MSCI EMERG MKT Equity 464287234 43 1000 SH CALL Sole 1000 ISHARES TR MSCI EMERG MKT Equity 464287234 1303 30500 SH CALL Sole 30500 POWERSHARES QQQ TRUST UNIT SER Equity 73935A104 31039 450000 SH CALL Sole 405000 45000 POWERSHARES QQQ TRUST UNIT SER Equity 73935A104 6898 100000 SH CALL Sole 85000 15000 POWERSHARES QQQ TRUST UNIT SER Equity 73935A104 31039 450000 SH CALL Sole 411200 38800
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