0000909012-12-000434.txt : 20121108 0000909012-12-000434.hdr.sgml : 20121108 20121108110905 ACCESSION NUMBER: 0000909012-12-000434 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121108 DATE AS OF CHANGE: 20121108 EFFECTIVENESS DATE: 20121108 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIDGECREST INVESTMENT MANAGEMENT LLC CENTRAL INDEX KEY: 0001080134 IRS NUMBER: 134010784 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04503 FILM NUMBER: 121188877 BUSINESS ADDRESS: STREET 1: 600 THIRD AVE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 2129846266 MAIL ADDRESS: STREET 1: 600 THIRD AVE STREET 2: 17TH FL CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR 1 t306907.txt RIDGE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F COVER PAGE Report for the Calendar Year of Quarter Ended: September 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: Ridgecrest Investment Management, LLC Address: 767 Third Avenue, 20th Floor New York, NY 10017 Form 13F File Number: 28-04503 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: Sanford B. Prater Title: Managing Partner Phone: 646-827-2688 Signature, Place, and Date of Signing: /s/ Sanford B. Prater New York, New York October 23, 2012 [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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ------------- Form 13F Information Table Entry Total: 82 -------------- Form 13F Information Table Value Total: $50,515 --------------- (thousands) List of Other Included Managers: None
VOTING TITLE OF VALUE SHARE SHARE/ PUT/ INVESTMENT OTHER AUTHORITY NAME OF ISSUER CLASS CUSIP X 1000 AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------------------------- AG MORTGAGE INVESTME NT TRUST REITS/RICS 001228105 1,207 50,000 SH SOLE 50000 0 0 ------------------------------------------------- ALLSCRIPTS HEALTHCARE SOLUTION COMMON STOCK 01988P108 248 20,000 SH SOLE 20000 0 0 ------------------------------------------------- ALPHATEC HOLDINGS INC COMMON STOCK 02081G102 83 50,000 SH SOLE 50000 0 0 ------------------------------------------------- AMARIN CORPORATION P LC ADR ADRS STOCKS 023111206 252 20,000 SH SOLE 20000 0 0 ------------------------------------------------- AMERICAN INTERNATION AL GROUP COMMON STOCK 026874784 820 25,000 SH SOLE 25000 0 0 ------------------------------------------------- ASHLAND INC COM STK COMMON STOCK 044209104 358 5,000 SH SOLE 5000 0 0 ------------------------------------------------- AVAGO TECHNOLOGIES LTD COMMON STOCK Y0486S104 523 15,000 SH SOLE 15000 0 0 ------------------------------------------------- BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 442 50,000 SH SOLE 50000 0 0 ------------------------------------------------- BARRICK GOLD CORP COM COMMON STOCK 067901108 626 15,000 SH SOLE 15000 0 0 ------------------------------------------------- BUCKEYE TECHNOLOGIES INC COM COMMON STOCK 118255108 481 15,000 SH SOLE 15000 0 0 ------------------------------------------------- C H ROBINSON WORLDWI DE INC CO COMMON STOCK 12541W209 439 7,500 SH SOLE 7500 0 0 ------------------------------------------------- CELADON GROUP INC COM STK COMMON STOCK 150838100 804 50,000 SH SOLE 50000 0 0 ------------------------------------------------- CELANESE CORP SER A COMMON STOCK 150870103 758 20,000 SH SOLE 20000 0 0 ------------------------------------------------- CHENIERE ENERGY INC COM STK COMMON STOCK 16411R208 388 25,000 SH SOLE 25000 0 0 ------------------------------------------------- CHIQUITA BRANDS INTL INC COM COMMON STOCK 170032809 458 60,000 SH SOLE 60000 0 0 ------------------------------------------------- CISCO SYSTEMS INC COM STK COMMON STOCK 17275R102 573 30,000 SH SOLE 30000 0 0 ------------------------------------------------- COMSTOCK RES INC COM STK COMMON STOCK 205768203 276 15,000 SH SOLE 15000 0 0 ------------------------------------------------- DELPHI AUTOMOTIVE PLC COMMON STOCK G27823106 620 20,000 SH SOLE 20000 0 0 ------------------------------------------------- DELTA AIRLINES INC COMMON STOCK 247361702 275 30,000 SH SOLE 30000 0 0 ------------------------------------------------- US ETF'S - DIREXION DLY ENERGY BEAR 3X US TR 25459W342 497 65,000 SH SOLE 65000 0 0 ------------------------------------------------- EASTMAN CHEM CO COM STK COMMON STOCK 277432100 1,140 20,000 SH SOLE 20000 0 0 ------------------------------------------------- EMC CORP MASS COM STK COMMON STOCK 268648102 1,227 45,000 SH SOLE 45000 0 0 ------------------------------------------------- ENERGY XXI BERMUDA L TD COM ST COMMON STOCK G10082140 350 10,000 SH SOLE 10000 0 0 ------------------------------------------------- ENTEROMEDICS INC COM STK COMMON STOCK 29365M208 329 90,000 SH SOLE 90000 0 0 ------------------------------------------------- GENERAL CABLE CORP D EL NEW CO COMMON STOCK 369300108 514 17,500 SH SOLE 17500 0 0 ------------------------------------------------- GENERAL ELECTRIC CO COM STK COMMON STOCK 369604103 2,271 100,000 SH SOLE 100000 0 0 ------------------------------------------------- GEORGIA GULF CORP COM STK COMMON STOCK 373200302 453 12,500 SH SOLE 12500 0 0 ------------------------------------------------- GREAT LAKES DREDGE & DOCK CORP COMMON STOCK 390607109 770 100,000 SH SOLE 100000 0 0 ------------------------------------------------- HESS CORP COM STK COMMON STOCK 42809H107 403 7,500 SH SOLE 7500 0 0 ------------------------------------------------- HOLOGIC INC COM STK COMMON STOCK 436440101 1,011 50,000 SH SOLE 50000 0 0 ------------------------------------------------- HOME LOAN SERVICING SOLUTIONS COMMON STOCK G6648D109 488 30,000 SH SOLE 30000 0 0 ------------------------------------------------- IAC / INTERACTIVECOR P COM STK COMMON STOCK 44919P508 260 5,000 SH SOLE 5000 0 0 ------------------------------------------------- INTERNATIONAL PAPER CO COM STK COMMON STOCK 460146103 1,090 30,000 SH SOLE 30000 0 0 ------------------------------------------------- KAPSTONE PAPER & PACKAGING COR COMMON STOCK 48562P103 896 40,000 SH SOLE 40000 0 0 ------------------------------------------------- KBR INC COMMON STOCK 48242W106 820 27,500 SH SOLE 27500 0 0 ------------------------------------------------- KOPPERS HLDGS INC COM STK COMMON STOCK 50060P106 873 25,000 SH SOLE 25000 0 0 ------------------------------------------------- KRISPY KREME DOUGHNU TS INC CO COMMON STOCK 501014104 317 40,000 SH SOLE 40000 0 0 ------------------------------------------------- KULICKE & SOFFA INDS INC COM COMMON STOCK 501242101 520 50,000 SH SOLE 50000 0 0 ------------------------------------------------- LAMAR ADVERTISING CO CL A COM COMMON STOCK 512815101 926 25,000 SH SOLE 25000 0 0 ------------------------------------------------- LOWES COS INC COM STK COMMON STOCK 548661107 1,210 40,000 SH SOLE 40000 0 0 ------------------------------------------------- LyondellBasell Indus tries NV COMMON STOCK N53745100 387 7,500 SH SOLE 7500 0 0 ------------------------------------------------- MANITOWOC INC COM STK COMMON STOCK 563571108 400 30,000 SH SOLE 30000 0 0 ------------------------------------------------- MCDERMOTT INTERNATIO NAL INC C COMMON STOCK 580037109 794 65,000 SH SOLE 65000 0 0 ------------------------------------------------- MEADWESTVACO CORP Com COMMON STOCK 583334107 1,224 40,000 SH SOLE 40000 0 0 ------------------------------------------------- MERCK & CO COMMON STOCK 58933Y105 902 20,000 SH SOLE 20000 0 0 ------------------------------------------------- METLIFE INC COM STK COMMON STOCK 59156R108 689 20,000 SH SOLE 20000 0 0 ------------------------------------------------- MIDSTATES PETROLEUM COMPANY IN COMMON STOCK 59804T100 324 37,500 SH SOLE 37500 0 0 ------------------------------------------------- MOLYCORP INC COM STK COMMON STOCK 608753109 173 15,000 SH SOLE 15000 0 0 ------------------------------------------------- NEWELL RUBBERMAID IN C MEDIUM COMMON STOCK 651229106 955 50,000 SH SOLE 50000 0 0 ------------------------------------------------- NORTHWEST PIPE CO COM STK COMMON STOCK 667746101 493 20,000 SH SOLE 20000 0 0 ------------------------------------------------- NXP SEMICONDUCTORS N V COMMON STOCK N6596X109 625 25,000 SH SOLE 25000 0 0 ------------------------------------------------- OIL STS INTL INC COM STK COMMON STOCK 678026105 596 7,500 SH SOLE 7500 0 0 ------------------------------------------------- OREXIGEN THERAPEUTIC S INC COM COMMON STOCK 686164104 400 70,000 SH SOLE 70000 0 0 ------------------------------------------------- OWENS CORNING INC COMMON STOCK 690742101 1,004 30,000 SH SOLE 30000 0 0 ------------------------------------------------- PFIZER INC COM COMMON STOCK 717081103 1,491 60,000 SH SOLE 60000 0 0 ------------------------------------------------- PLAINS EXPLORATION & PRODUCTI COMMON STOCK 726505100 749 20,000 SH SOLE 20000 0 0 ------------------------------------------------- POLYONE CORP COM STK COMMON STOCK 73179P106 331 20,000 SH SOLE 20000 0 0 ------------------------------------------------- PRIMORIS SERVICES CORP COM ST COMMON STOCK 74164F103 326 25,000 SH SOLE 25000 0 0 ------------------------------------------------- PROCERA NETWORKS INC COM STK COMMON STOCK 74269U203 705 30,000 SH SOLE 30000 0 0 ------------------------------------------------- PROSHARES ULTRASHORT BASIC M US ETF'S - US 74347X617 367 25,000 SH SOLE 25000 0 0 ------------------------------------------------- PRSH UL RUSL2000 US ETF'S - US 74347R842 441 10,000 SH SOLE 10000 0 0 ------------------------------------------------- QUALITY DISTRIB COMMON STOCK 74756M102 393 42,500 SH SOLE 42500 0 0 ------------------------------------------------- REGIONAL MANAGEMENT CORP COM S COMMON STOCK 75902K106 776 45,000 SH SOLE 45000 0 0 ------------------------------------------------- REGIONS FINANCIAL CORP NEW COMMON STOCK 7591EP100 180 25,000 SH SOLE 25000 0 0 ------------------------------------------------- RUDOPLH TECHNOLOGIES INC COM COMMON STOCK 781270103 263 25,000 SH SOLE 25000 0 0 ------------------------------------------------- SALEM COMMUNICATIONS CORP CA COMMON STOCK 794093104 262 50,000 SH SOLE 50000 0 0 ------------------------------------------------- SEALED AIR CORP NEW COM STK COMMON STOCK 81211K100 464 30,000 SH SOLE 30000 0 0 ------------------------------------------------- SM ENERGY CO COMMON STOCK 78454L100 541 10,000 SH SOLE 10000 0 0 ------------------------------------------------- TARGET CORP COM STK COMMON STOCK 87612E106 1,587 25,000 SH SOLE 25000 0 0 ------------------------------------------------- TESORO CORP COM STK COMMON STOCK 881609101 838 20,000 SH SOLE 20000 0 0 ------------------------------------------------- TRW AUTOMOTIVE HLDGS CORP COM COMMON STOCK 87264S106 656 15,000 SH SOLE 15000 0 0 ------------------------------------------------- TWO HARBORS INVESTME NT CORP REITS/RICS 90187B101 823 70,000 SH SOLE 70000 0 0 ------------------------------------------------- UNITED RENTALS INC COM STK COMMON STOCK 911363109 654 20,000 SH SOLE 20000 0 0 ------------------------------------------------- UNWIRED PLANET INC COM STK COMMON STOCK 91531F103 106 55,000 SH SOLE 55000 0 0 ------------------------------------------------- US AIRWAYS GROUP COMMON STOCK 90341W108 314 30,000 SH SOLE 30000 0 0 ------------------------------------------------- US SILICA HOLDINGS I NC COMMON STOCK 90346E103 271 20,000 SH SOLE 20000 0 0 ------------------------------------------------- VALERO ENERGY CORP COM STK COMMON STOCK 91913Y100 792 25,000 SH SOLE 25000 0 0 ------------------------------------------------- VOYAGER OIL & GAS IN C COM STK COMMON STOCK 29101U100 166 200,000 SH SOLE 200000 0 0 ------------------------------------------------- WABCO HOLDINGS INC COMMON STOCK 92927K102 519 9,000 SH SOLE 9000 0 0 ------------------------------------------------- WATSON PHARMACEUTICALS INC COMMON STOCK 942683103 852 10,000 SH SOLE 10000 0 0 ------------------------------------------------- WESTERN ASSET MORTGA GE CAPITL REITS/RICS 95790D105 555 25,000 SH SOLE 25000 0 0 ------------------------------------------------- WILLBROS GROUP INC (DELAWARE) COMMON STOCK 969203108 131 24,375 SH SOLE 24375 0 0 ------------------------------------------------- 50,515