0001162044-14-001384.txt : 20141113 0001162044-14-001384.hdr.sgml : 20141113 20141113112454 ACCESSION NUMBER: 0001162044-14-001384 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20140930 FILED AS OF DATE: 20141113 DATE AS OF CHANGE: 20141113 EFFECTIVENESS DATE: 20141113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Catalyst Capital Advisors LLC CENTRAL INDEX KEY: 0001549275 IRS NUMBER: 421692370 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14953 FILM NUMBER: 141216934 BUSINESS ADDRESS: STREET 1: 22 HIGH STREET CITY: HUNTINGTON STATE: NY ZIP: 11743 BUSINESS PHONE: 631-629-4909 MAIL ADDRESS: STREET 1: 22 HIGH STREET CITY: HUNTINGTON STATE: NY ZIP: 11743 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001549275 XXXXXXXX 09-30-2014 09-30-2014 false Catalyst Capital Advisors LLC

22 High Street Huntington NY 11743

13F COMBINATION REPORT 028-14953 0001071341 028-13429 Pinnacle Summer Investments, Inc. N Jerry Szilagyi 631-629-4909 Jerry Szilagyi Huntington NY 11-10-2014 3 549 776001 1 0000923116 028-04288 GROESBECK INVESTMENT MANAGEMENT CORP /NJ/ 2 0001141455 028-06545 COOKSON PEIRCE & CO INC 3 0001526528 028-14513 Lyons Wealth Management, LLC. 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1000 0 MICRON TECHNOLOGY INC COM 595112103 220 6434 SH OTR 3 0 6434 0 MICROSEMI CORP COM 595137100 710 27949 SH OTR 0 27949 0 MICROSOFT CORP COM 594918104 734 15830 SH OTR 1 0 15830 0 MICROSOFT CORP COM 594918104 1020 22000 SH OTR 0 22000 0 MIDCOAST ENERGY PARTNERS L P COM UT LTD PTN 59564N103 1781 79848 SH SOLE 79848 0 0 MIDCOAST ENERGY PARTNERS L P COM UT LTD PTN 59564N103 781 35000 SH SOLE 35000 0 0 MILLER ENERGY RES INC COM 600527105 440 100000 SH SOLE 100000 0 0 MINERVA NEUROSCIENCES INC COM 603380106 1361 225000 SH SOLE 225000 0 0 MINERVA NEUROSCIENCES INC COM 603380106 424 70000 SH SOLE 70000 0 0 MOLSON COORS BREWING CO CL B 60871R209 923 12400 SH OTR 0 12400 0 MOLSON COORS BREWING CO CL B 60871R209 521 7000 SH OTR 0 7000 0 MONSANTO CO NEW COM 61166W101 360 3200 SH OTR 0 3200 0 MONSTER BEVERAGE CORP COM 611740101 200 2180 SH OTR 3 0 2180 0 MOODYS CORP COM 615369105 199 2109 SH OTR 3 0 2109 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 4030 63688 SH OTR 3 0 63688 0 MSCI INC COM 55354G100 749 15933 SH OTR 0 15933 0 MYERS INDS INC COM 628464109 838 47500 SH SOLE 47500 0 0 MYRIAD GENETICS INC COM 62855J104 205 5305 SH OTR 3 0 5305 0 NASDAQ OMX GROUP INC COM 631103108 1739 41000 SH OTR 2 0 41000 0 NATIONAL OILWELL VARCO INC COM 637071101 3933 51680 SH OTR 3 0 51680 0 NATURAL GROCERS BY VITAMIN C COM 63888U108 993 61000 SH SOLE 61000 0 0 NAVISTAR INTL CORP NEW COM 63934E108 11 332 SH SOLE 332 0 0 NEONODE INC COM NEW 64051M402 1443 671321 SH SOLE 671321 0 0 NETAPP INC COM 64110D104 4994 116248 SH OTR 3 0 116248 0 NOBLE CORP PLC SHS USD G65431101 944 42500 SH SOLE 42500 0 0 NOBLE CORP PLC SHS USD G65431101 12277 552500 SH SOLE 552500 0 0 NOBLE CORP PLC SHS USD G65431101 367 16500 SH SOLE 16500 0 0 NOBLE CORP PLC CALL G65431901 1 55 SH Call SOLE 55 0 0 NORDSTROM INC COM 655664100 707 10342 SH OTR 0 10342 0 NORTHSTAR ASSET MGMT GROUP I COM 66705Y104 115 6250 SH SOLE 6250 0 0 NORTHSTAR RLTY FIN CORP COM NEW 66704R704 309 17500 SH SOLE 17500 0 0 NOVARTIS A G SPONSORED ADR 66987V109 1082 11500 SH OTR 0 11500 0 NOVARTIS A G SPONSORED ADR 66987V109 445 4725 SH OTR 0 4725 0 NOVATEL WIRELESS INC COM NEW 66987M604 184 50000 SH SOLE 50000 0 0 NOVAVAX INC COM 670002104 2085 500000 SH SOLE 500000 0 0 NOVAVAX INC COM 670002104 1043 250000 SH SOLE 250000 0 0 NOVAVAX INC COM 670002104 359 86000 SH SOLE 86000 0 0 NRG ENERGY INC COM NEW 629377508 12040 395000 SH SOLE 395000 0 0 NUTRI SYS INC NEW COM 67069D108 653 42500 SH SOLE 42500 0 0 NXP SEMICONDUCTORS N V COM N6596X109 21 300 SH OTR 1 0 300 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 30 200 SH OTR 1 0 200 0 OASIS PETE INC NEW COM 674215108 209 5000 SH SOLE 5000 0 0 OFFICE DEPOT INC COM 676220106 12 2418 SH SOLE 2418 0 0 OLD DOMINION FGHT LINES INC COM 679580100 35 500 SH OTR 1 0 500 0 OLD LINE BANCSHARES INC COM 67984M100 813 52500 SH SOLE 52500 0 0 OLD SECOND BANCORP INC ILL COM 680277100 79 16500 SH SOLE 16500 0 0 OMNIAMERICAN BANCORP INC COM 68216R107 789 30350 SH SOLE 30350 0 0 OMNICARE INC COM 681904108 9993 160500 SH SOLE 160500 0 0 ONEOK INC NEW COM 682680103 2 30 SH OTR 0 30 0 OPKO HEALTH INC COM 68375N103 4085 480000 SH SOLE 480000 0 0 OPKO HEALTH INC COM 68375N103 1345 158006 SH SOLE 158006 0 0 OPKO HEALTH INC COM 68375N103 731 85918 SH SOLE 85918 0 0 ORACLE CORP COM 68389X105 690 18020 SH OTR 0 18020 0 ORANGE SPONSORED ADR 684060106 1002 68000 SH OTR 0 68000 0 ORANGE SPONSORED ADR 684060106 405 27500 SH OTR 0 27500 0 OREXIGEN THERAPEUTICS INC COM 686164104 1065 250000 SH SOLE 250000 0 0 OVASCIENCE INC COM 69014Q101 1978 119147 SH SOLE 119147 0 0 OVERLAND STORAGE INC COM NO PAR 690310305 95 29289 SH SOLE 29289 0 0 PARAGON OFFSHORE PLC SHS G6S01W108 246 40000 SH SOLE 40000 0 0 PARSLEY ENERGY INC CL A 701877102 21 1000 SH OTR 1 0 1000 0 PARTNERRE LTD COM G6852T105 728 6623 SH OTR 0 6623 0 PAYCHEX INC COM 704326107 4494 101675 SH OTR 3 0 101675 0 PBF ENERGY INC CL A 69318G106 687 28638 SH OTR 0 28638 0 PENN NATL GAMING INC COM 707569109 2578 230000 SH SOLE 230000 0 0 PENN NATL GAMING INC COM 707569109 448 40000 SH SOLE 40000 0 0 PENTAIR PLC SHS G7S00T104 11101 169500 SH SOLE 169500 0 0 PERRIGO CO PLC SHS G97822103 30 200 SH OTR 1 0 200 0 PETSMART INC COM 716768106 199 2837 SH OTR 3 0 2837 0 PHILIP MORRIS INTL INC COM 718172109 4587 55000 SH SOLE 55000 0 0 PHILIP MORRIS INTL INC COM 718172109 8 101 SH OTR 0 101 0 PHILLIPS 66 COM 718546104 8619 106000 SH SOLE 106000 0 0 PILGRIMS PRIDE CORP NEW COM 72147K108 195 6369 SH OTR 3 0 6369 0 PIMCO MUN INCOME FD III COM 72201A103 5 450 SH OTR 0 450 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 4 64 SH OTR 0 64 0 PLATFORM SPECIALTY PRODS COR COM 72766Q105 12 475 SH SOLE 475 0 0 POLARIS INDS INC COM 731068102 30 200 SH OTR 1 0 200 0 POLYCOM INC COM 73172K104 721 58707 SH OTR 0 58707 0 POTASH CORP SASK INC COM 73755L107 691 20000 SH OTR 0 20000 0 POTASH CORP SASK INC COM 73755L107 380 11000 SH OTR 0 11000 0 POWERSHARES ETF TRUST DYNA BUYBK ACH 73935X286 331 7400 SH OTR 0 7400 0 POWERSHARES ETF TRUST DYNA BUYBK ACH 73935X286 2 34 SH OTR 0 34 0 POWERSHARES ETF TRUST II SENIOR LN PORT 73936Q769 349 14375 SH OTR 0 14375 0 PRAXAIR INC COM 74005P104 553 4285 SH OTR 1 0 4285 0 PRICE T ROWE GROUP INC COM 74144T108 10976 140000 SH SOLE 140000 0 0 PRICE T ROWE GROUP INC COM 74144T108 529 6750 SH OTR 1 0 6750 0 PRICELINE GRP INC COM NEW 741503403 23 20 SH OTR 1 0 20 0 PROSHARES TR CALL 74347B901 14 75 SH Call SOLE 75 0 0 PROSPERITY BANCSHARES INC COM 743606105 552 9650 SH OTR 1 0 9650 0 PROTHENA CORP PLC SHS G72800108 1773 80000 SH SOLE 80000 0 0 PULTE GROUP INC COM 745867101 189 10713 SH OTR 3 0 10713 0 QEP RES INC COM 74733V100 11 356 SH SOLE 356 0 0 QUALCOMM INC COM 747525103 626 8375 SH OTR 1 0 8375 0 QUALCOMM INC COM 747525103 31 420 SH OTR 1 0 420 0 QUIKSILVER INC COM 74838C106 1187 690000 SH SOLE 690000 0 0 QUIKSILVER INC COM 74838C106 645 375000 SH SOLE 375000 0 0 QUIKSILVER INC COM 74838C106 189 110000 SH SOLE 110000 0 0 RALLY SOFTWARE DEV CORP COM 751198102 2522 210000 SH SOLE 210000 0 0 RALLY SOFTWARE DEV CORP COM 751198102 582 48500 SH SOLE 48500 0 0 REALTY INCOME CORP COM 756109104 2 49 SH OTR 0 49 0 REGIS CORP MINN COM 758932107 14 873 SH SOLE 873 0 0 REX ENERGY CORPORATION COM 761565100 2787 220000 SH SOLE 220000 0 0 REX ENERGY CORPORATION COM 761565100 114 9000 SH SOLE 9000 0 0 RICE ENERGY INC COM 762760106 27 1000 SH OTR 1 0 1000 0 RING ENERGY INC COM 76680V108 737 50000 SH SOLE 50000 0 0 RING ENERGY INC COM 76680V108 192 13000 SH SOLE 13000 0 0 ROCK-TENN CO CL A 772739207 485 10200 SH OTR 1 0 10200 0 ROCK-TENN CO CL A 772739207 682 14329 SH OTR 0 14329 0 ROCKWELL COLLINS INC COM 774341101 719 9163 SH OTR 0 9163 0 ROUSE PPTYS INC COM 779287101 1374 85000 SH SOLE 85000 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 875 11500 SH OTR 0 11500 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 266 3500 SH OTR 0 3500 0 SAFEWAY INC COM NEW 786514208 686 20000 SH SOLE 20000 0 0 SALLY BEAUTY HLDGS INC COM 79546E104 766 27974 SH OTR 0 27974 0 SANMINA CORPORATION COM 801056102 678 32495 SH OTR 0 32495 0 SANOFI SPONSORED ADR 80105N105 1208 21400 SH OTR 0 21400 0 SANOFI SPONSORED ADR 80105N105 423 7500 SH OTR 0 7500 0 SANOFI RIGHT 12/31/2020 80105N113 108 231800 SH SOLE 231800 0 0 SCHWAB CHARLES CORP NEW COM 808513105 1411 48000 SH OTR 2 0 48000 0 SEACHANGE INTL INC COM 811699107 679 97500 SH OTR 0 97500 0 SEACHANGE INTL INC COM 811699107 140 20100 SH OTR 0 20100 0 SEALED AIR CORP NEW COM 81211K100 10464 300000 SH SOLE 300000 0 0 SEMGROUP CORP CL A 81663A105 2 26 SH OTR 0 26 0 SEMPRA ENERGY COM 816851109 2 18 SH OTR 0 18 0 SIMMONS 1ST NATL CORP CL A $1 PAR 828730200 385 10000 SH SOLE 10000 0 0 SIMON PPTY GROUP INC NEW COM 828806109 1 7 SH OTR 0 7 0 SKYWORKS SOLUTIONS INC COM 83088M102 29 500 SH OTR 1 0 500 0 SKYWORKS SOLUTIONS INC COM 83088M102 2043 35200 SH OTR 2 0 35200 0 SKYWORKS SOLUTIONS INC COM 83088M102 202 3473 SH OTR 3 0 3473 0 SNYDERS-LANCE INC COM 833551104 750 28307 SH OTR 0 28307 0 SNYDERS-LANCE INC COM 833551104 306 11564 SH OTR 0 11564 0 SONIC CORP COM 835451105 815 36434 SH OTR 0 36434 0 SOTHEBYS COM 835898107 11 304 SH SOLE 304 0 0 SOUTHERN COPPER CORP COM 84265V105 13046 440000 SH SOLE 440000 0 0 SOUTHWEST AIRLS CO COM 844741108 2702 80000 SH OTR 2 0 80000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 4137 21000 SH OTR 0 21000 0 SPECTRA ENERGY CORP COM 847560109 10600 270000 SH SOLE 270000 0 0 SPECTRA ENERGY CORP COM 847560109 2 45 SH OTR 0 45 0 SPEED COMM INC COM 84764T106 1169 425000 SH SOLE 425000 0 0 SPIRIT AIRLS INC COM 848577102 197 2845 SH OTR 3 0 2845 0 SPIRIT RLTY CAP INC NEW COM 84860W102 337 30762 SH SOLE 30762 0 0 STARWOOD PPTY TR INC COM 85571B105 691 31489 SH OTR 0 31489 0 STATOIL ASA SPONSORED ADR 85771P102 462 17000 SH OTR 0 17000 0 STATOIL ASA SPONSORED ADR 85771P102 122 4500 SH OTR 0 4500 0 STEEL PARTNERS HLDGS L P LTD PRTRSHIP U 85814R107 426 25631 SH SOLE 25631 0 0 SUNEDISON INC COM 86732Y109 12 625 SH SOLE 625 0 0 SUPERVALU INC COM 868536103 11 1278 SH SOLE 1278 0 0 SWS GROUP INC COM 78503N107 103 15000 SH SOLE 15000 0 0 SYMANTEC CORP COM 871503108 10662 453500 SH SOLE 453500 0 0 SYMANTEC CORP COM 871503108 4360 185437 SH OTR 3 0 185437 0 SYMANTEC CORP COM 871503108 515 21900 SH OTR 0 21900 0 SYNCHRONY FINL COM 87165B103 14239 580000 SH SOLE 580000 0 0 SYNCHRONY FINL COM 87165B103 246 10000 SH SOLE 10000 0 0 SYNTEL INC COM 87162H103 200 2274 SH OTR 3 0 2274 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 12 523 SH SOLE 523 0 0 TAL ED GROUP ADS REPSTG COM 874080104 17 500 SH OTR 1 0 500 0 TAMINCO CORP COM 87509U106 326 12500 SH SOLE 12500 0 0 TCP CAP CORP COM 87238Q103 2 116 SH OTR 0 116 0 TEARLAB CORP COM 878193101 1445 425000 SH SOLE 425000 0 0 TELECOMMUNICATION SYS INC CL A 87929J103 534 191500 SH OTR 0 191500 0 TELECOMMUNICATION SYS INC CL A 87929J103 240 86000 SH OTR 0 86000 0 TELEFLEX INC COM 879369106 1523 14500 SH OTR 2 0 14500 0 THE ADT CORPORATION COM 00101J106 1179 33250 SH SOLE 33250 0 0 THL CR INC COM 872438106 1174 91000 SH SOLE 91000 0 0 TIBCO SOFTWARE INC COM 88632Q103 236 10000 SH SOLE 10000 0 0 TIBCO SOFTWARE INC CALL 88632Q903 21 125 SH Call SOLE 125 0 0 TIM HORTONS INC COM 88706M103 591 7500 SH SOLE 7500 0 0 TIM HORTONS INC CALL 88706M903 30 75 SH Call SOLE 75 0 0 TIME WARNER CABLE INC COM 88732J207 1865 13000 SH SOLE 13000 0 0 TIME WARNER INC COM NEW 887317303 677 9000 SH OTR 1 0 9000 0 TIME WARNER INC COM NEW 887317303 564 7500 SH SOLE 7500 0 0 TIVO INC COM 888706108 701 54783 SH OTR 0 54783 0 T-MOBILE US INC COM 872590104 577 20000 SH SOLE 20000 0 0 TORTOISE ENERGY INFRSTRCTR C COM 89147L100 3 54 SH OTR 0 54 0 TORTOISE MLP FD INC COM 89148B101 3 89 SH OTR 0 89 0 TOTAL S A SPONSORED ADR 89151E109 838 13000 SH OTR 0 13000 0 TOTAL S A SPONSORED ADR 89151E109 129 2000 SH OTR 0 2000 0 TRANSDIGM GROUP INC COM 893641100 13733 74500 SH SOLE 74500 0 0 TRANSDIGM GROUP INC COM 893641100 18 100 SH OTR 1 0 100 0 TRIANGLE CAP CORP COM 895848109 2 84 SH OTR 0 84 0 TRINITY INDS INC COM 896522109 33 700 SH OTR 1 0 700 0 TRIPLEPOINT VENTR GRW BDC CO COM 89677Y100 2 129 SH OTR 0 129 0 TRUECAR INC COM 89785L107 1077 60000 SH SOLE 60000 0 0 TRUECAR INC COM 89785L107 224 12500 SH SOLE 12500 0 0 TUPPERWARE BRANDS CORP COM 899896104 512 7415 SH OTR 1 0 7415 0 TW TELECOM INC COM 87311L104 666 16000 SH SOLE 16000 0 0 U S G CORP COM NEW 903293405 12 446 SH SOLE 446 0 0 UDR INC COM 902653104 1363 50000 SH OTR 2 0 50000 0 UNITED INS HLDGS CORP COM 910710102 1538 102500 SH SOLE 102500 0 0 UNITED RENTALS INC COM 911363109 33 300 SH OTR 1 0 300 0 UNITED TECHNOLOGIES CORP COM 913017109 559 5295 SH OTR 1 0 5295 0 UNITED TECHNOLOGIES CORP COM 913017109 3893 36870 SH OTR 3 0 36870 0 UNITEDHEALTH GROUP INC COM 91324P102 919 10655 SH OTR 1 0 10655 0 V F CORP COM 918204108 660 10000 SH OTR 1 0 10000 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 20 150 SH OTR 1 0 150 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 13 98 SH SOLE 98 0 0 VCA INC COM 918194101 759 19300 SH OTR 0 19300 0 VECTRUS INC COM 92242T101 19 972 SH SOLE 972 0 0 VENTAS INC COM 92276F100 415 6700 SH OTR 1 0 6700 0 VERIFONE SYS INC COM 92342Y109 842 24500 SH OTR 0 24500 0 VERIFONE SYS INC COM 92342Y109 536 15600 SH OTR 0 15600 0 VERISIGN INC COM 92343E102 197 3569 SH OTR 3 0 3569 0 VERISIGN INC COM 92343E102 12 225 SH SOLE 225 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 350 7000 SH OTR 0 7000 0 VISA INC COM CL A 92826C839 563 2640 SH OTR 1 0 2640 0 VISA INC COM CL A 92826C839 32 150 SH OTR 1 0 150 0 VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 92857W308 724 22000 SH OTR 0 22000 0 VODAFONE GROUP PLC NEW SPNSR ADR NO PAR 92857W308 233 7090 SH OTR 0 7090 0 VORNADO RLTY TR SH BEN INT 929042109 5523 55250 SH SOLE 55250 0 0 W P CAREY INC COM 92936U109 1 16 SH OTR 0 16 0 WABCO HLDGS INC COM 92927K102 196 2153 SH OTR 3 0 2153 0 WEBMD HEALTH CORP COM 94770V102 10 244 SH SOLE 244 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 425 15500 SH OTR 0 15500 0 WELLPOINT INC COM 94973V107 1264 10570 SH OTR 2 0 10570 0 WELLS FARGO & CO NEW COM 949746101 259 5000 SH OTR 0 5000 0 WENDYS CO COM 95058W100 1052 127400 SH OTR 0 127400 0 WENDYS CO COM 95058W100 681 82400 SH OTR 0 82400 0 WET SEAL INC CL A 961840105 1195 2273475 SH SOLE 2273475 0 0 WET SEAL INC CL A 961840105 84 160000 SH SOLE 160000 0 0 WHITEWAVE FOODS CO COM 966244105 1896 52200 SH OTR 2 0 52200 0 WILLIAMS COS INC DEL COM 969457100 576 10400 SH OTR 1 0 10400 0 WILLIAMS COS INC DEL COM 969457100 5 89 SH OTR 0 89 0 WILLIAMS SONOMA INC COM 969904101 3936 59129 SH OTR 3 0 59129 0 WILLIS GROUP HOLDINGS PUBLIC SHS G96666105 12 292 SH SOLE 292 0 0 XEROX CORP COM 984121103 9526 720000 SH SOLE 720000 0 0 YAHOO INC COM 984332106 204 5000 SH SOLE 5000 0 0 YAHOO INC CALL 984332906 15 100 SH Call SOLE 100 0 0