-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, HBe4N5ZGifHcRPSz27pDLJxK5vPqRgTX0jqeTfunS1UCUpT203evo7tiU8ehQnVC q1l4vNgnv0Sgb30V+WhOnw== 0001140361-09-026279.txt : 20091116 0001140361-09-026279.hdr.sgml : 20091116 20091116160211 ACCESSION NUMBER: 0001140361-09-026279 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RAFFLES ASSOCIATES LP CENTRAL INDEX KEY: 0001169581 IRS NUMBER: 043272997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12413 FILM NUMBER: 091186748 BUSINESS ADDRESS: STREET 1: 2 PENN PLAZA STREET 2: SUITE 1920A CITY: NEW YORK STATE: NY ZIP: 10121 BUSINESS PHONE: 212-760-2322 MAIL ADDRESS: STREET 1: 2 PENN PLAZA STREET 2: SUITE 1920A CITY: NEW YORK STATE: NY ZIP: 10121 13F-HR 1 form13f-hr.txt RAFFLES ASSOCIATES 13F-HR 09-30-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9/30/2009 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: Raffles Associates, L.P. Address: 2 Penn Plaza, Suite 1920A, New York, NY 10121. Form 13F File Number: 028-12413 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Paul H. OLeary Title: President of General Partner Phone: 212-760-2322 Signature, Place, and Date of Signing: /s/ Paul H. OLeary New York, NY 11/12/2009 - --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 71 Form 13F Information Table Value Total: $ 80,325,000 -------------- List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- ----------------- --------- -------- ----------------- ---------- -------- ---------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- ----------------- --------- -------- -------- --- ---- ---------- -------- ---- ------ ---- AERCAP HOLDINGS NV SHS N00985106 1459 160900 SH SOLE SOLE 0 0 AIRCASTLE LTD COM G0129K104 893 92300 SH SOLE SOLE 0 0 ALEXCO RESOURCE CORP COM 01535P106 1156 446671 SH SOLE SOLE 0 0 AMERICA SVC GROUP INC COM 02364L109 4883 295201 SH SOLE SOLE 0 0 AMERICAN CMNTY PPTYS TR COM 02520N106 661 80100 SH SOLE SOLE 0 0 AMERICAN INDEPENDENCE CORP COM NEW 26760405 1898 399629 SH SOLE SOLE 0 0 APPROACH RESOURCES INC COM 03834A103 495 54529 SH SOLE SOLE 0 0 ARLINGTON ASSET INVT CORP COM 41356106 3008 6137806 SH SOLE SOLE 0 0 AVALON HLDGS CORP CL A 05343P109 441 157439 SH SOLE SOLE 0 0 AVIGEN INC COM 53690103 30 20000 SH SOLE SOLE 0 0 BALDWIN TECHNOLOGY INC CL A 58264102 115 61900 SH SOLE SOLE 0 0 BANKFINANCIAL CORP COM 06643P104 1045 109103 SH SOLE SOLE 0 0 BANRO CORP *W EXP 09/17/201 66800111 148 134800 SH SOLE SOLE 0 0 BANRO CORP COM 66800103 802 300100 SH SOLE SOLE 0 0 BCSB BANCORP INC COM 55367106 300 35000 SH SOLE SOLE 0 0 CANADIAN SUPERIOR ENERGY INC COM 136644101 2117 2437300 SH SOLE SOLE 0 0 CAPITAL BK CORP COM 139793103 1848 371143 SH SOLE SOLE 0 0 CORRIENTE RES INC COM NEW 22027E409 3304 521720 SH SOLE SOLE 0 0 CYPRESS SHARPRIDGE INVTS INC COM 23281A307 710 50000 SH SOLE SOLE 0 0 EXETER RES CORP COM 301835104 432 94425 SH SOLE SOLE 0 0 FBR CAPITAL MARKETS CORP COM 30247C301 253 42700 SH SOLE SOLE 0 0 FIDELITY BANCORP INC COM 315831107 64 10000 SH SOLE SOLE 0 0 FIRST FED BANCSHARES ARK COM 32020F105 302 73956 SH SOLE SOLE 0 0 FIRST OPPORTUNITY FD INC COM 33587T108 539 84276 SH SOLE SOLE 0 0 FRONTEER DEV GROUP INC COM 35903Q106 1428 330800 SH SOLE SOLE 0 0 FX ENERGY INC COM 302695101 549 170086 SH SOLE SOLE 0 0 GENESIS LEASE LTD ADR 37183T107 1559 174200 SH SOLE SOLE 0 0 GEOEYE INC COM 37250W108 2115 78900 SH SOLE SOLE 0 0 GS FINL CORP COM 362274102 1023 69496 SH SOLE SOLE 0 0 GTSI CORP COM 36238K103 1238 153946 SH SOLE SOLE 0 0 GULFPORT ENERGY CORP COM NEW 402635304 495 56590 SH SOLE SOLE 0 0 IDEATION ACQUISITION CORP COM 451665103 1147 514600 SH SOLE SOLE 0 0 INDEPENDENCE HLDG CO NEW COM NEW 453440307 320 54409 SH SOLE SOLE 0 0 KODIAK OIL & GAS CORP COM 50015Q100 3144 1223900 SH SOLE SOLE 0 0 LEXINGTON REALTY TRUST COM 529043101 265 51889 SH SOLE SOLE 0 0 LIBERTY GLOBAL INC COM SER C 530555309 3093 137694 SH SOLE SOLE 0 0 LIBERTY GLOBAL INC COM SER A 530555101 4209 186485 SH SOLE SOLE 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 1780 85070 SH SOLE SOLE 0 0 MAG SILVER CORP COM 55903Q104 2403 412900 SH SOLE SOLE 0 0 MAYS J W INC COM 578473100 778 54620 SH SOLE SOLE 0 0 MEDQUIST INC COM 584949101 732 115104 SH SOLE SOLE 0 0 MERCER INS GROUP INC COM 587902107 1996 110435 SH SOLE SOLE 0 0 MERRIMAC INDS INC COM 590262101 171 22319 SH SOLE SOLE 0 0 METRO BANCORP INC PA COM 59161R101 1217 100000 SH SOLE SOLE 0 0 MOUNTAIN PROV DIAMONDS INC COM NEW 62426E402 3525 1407927 SH SOLE SOLE 0 0 NAPCO SEC TECHNOLOGIES INC COM 630402105 572 429979 SH SOLE SOLE 0 0 NEVSUN RES LTD COM 64156L101 486 237547 SH SOLE SOLE 0 0 OMEGA PROTEIN CORP COM 68210P107 728 150000 SH SOLE SOLE 0 0 PACIFIC PREMIER BANCORP COM 69478X105 261 60773 SH SOLE SOLE 0 0 PARK BANCORP INC COM 700164106 189 33500 SH SOLE SOLE 0 0 PARKVALE FINL CORP COM 701492100 94 10000 SH SOLE SOLE 0 0 PLATINUM GROUP METALS LTD COM NEW 72765Q205 456 361800 SH SOLE SOLE 0 0 PLATO LEARNING INC COM 72764Y100 43 10000 SH SOLE SOLE 0 0 POLYMET MINING CORP COM 731916102 2495 947200 SH SOLE SOLE 0 0 PREFERRED BK LOS ANGELES CA COM 740367107 366 112380 SH SOLE SOLE 0 0 PRESIDENTIAL RLTY CORP NEW CL B 741004204 31 44600 SH SOLE SOLE 0 0 PROSHARES TR PSHS UL XIN CH25 74347R321 490 50000 SH SOLE SOLE 0 0 PROSHARES TR PSHS ULSHRUS2000 74347R834 2869 100000 SH SOLE SOLE 0 0 PROVIDENT FINL HLDGS INC COM 743868101 1269 157100 SH SOLE SOLE 0 0 RAND LOGISTICS INC COM 752182105 567 177114 SH SOLE SOLE 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- ----------------- --------- -------- ----------------- ---------- -------- ---------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- ----------------- --------- -------- -------- --- ---- ---------- -------- ---- ------ ---- REIS INC COM 75936P105 1164 195909 SH SOLE SOLE 0 0 RENTRAK CORP COM 760174102 1228 68734 SH SOLE SOLE 0 0 ROCK OF AGES CORP CL A 772632105 196 62324 SH SOLE SOLE 0 0 SOUTHERN MO BANCORP INC COM 843380106 861 79710 SH SOLE SOLE 0 0 TAMALPAIS BANCORP COM 87485H103 134 94842 SH SOLE SOLE 0 0 TOREADOR RES CORP COM 891050106 1195 119658 SH SOLE SOLE 0 0 TTI TEAM TELECOM INTL LTD ORD M88258104 451 355254 SH SOLE SOLE 0 0 U S ENERGY CORP WYO COM 911805109 1480 379480 SH SOLE SOLE 0 0 UNITED WESTN BANCORP INC COM 913201109 596 150000 SH SOLE SOLE 0 0 VICON INDS INC COM 925811101 505 86241 SH SOLE SOLE 0 0 WINTHROP RLTY TR SH BEN INT NEW 976391300 1509 154915 SH SOLE SOLE 0 0
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