-----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, E+IzstClrSghHnExk7PZVy+7fP6IXoh7217XA9Ogt6MgT7CyDSLB+QQCzZD9zsAx s3RCLTveWaY7QzV+ALmfIQ== 0001317613-09-000084.txt : 20091116 0001317613-09-000084.hdr.sgml : 20091116 20091116113352 ACCESSION NUMBER: 0001317613-09-000084 CONFORMED SUBMISSION TYPE: 13F-HR/A 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: ADAR Investment Management LLC CENTRAL INDEX KEY: 0001317613 IRS NUMBER: 200898440 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11211 FILM NUMBER: 091184613 BUSINESS ADDRESS: STREET 1: 156 WEST 56TH STREET, SUITE 801 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: (212) 373-8930 MAIL ADDRESS: STREET 1: 156 WEST 56TH STREET, SUITE 801 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR/A 1 adar_13f20090930.txt 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F Cover Page Report for the Calendar Year or Quarter Ended: September 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: ADAR Investment Management LLC Address: 156 West 56th Street, Suite 801 New York, New York 10019 Form 13F File Number: 028-11211 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: Aaron Morse Title: Chief Operating Officer Phone: (212) 373-8900 Signature, Place, and Date of Signing: /s/ Aaron Morse New York, New York October 13, 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 is reported in this report and a portion is reported by other reporting manager(s).) FORM 13 F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 41 Form 13F Information Table Value Total: $70,148 (thousands) List of Other Included Managers: None. FORM 13F INFORMATION TABLE Name of Reporting Manager: ADAR Investment Management LLC For Quarter Ended: September 30, 2009 Item 8: Item 1: Item 2: Item 3: Item 4: Item 5: Item 6: Item 7: Voting Authority Name of Title of CUSIP Fair Shares Sh/ Put/ Inv. Other (a) (b) (c) Issuer Class Number Market or Prn Call Discr. Mgrs Sole SharedNone Value Principal (X$1000) Amount ACE LTD COM 004432874 1,069 20,000 SH SOLE 20,000 AETNA INC NEW COM 00817Y108 835 30,000 SH SOLE 30,000 ALLIED WRLD ASSUR COM HLD SHS G0219G203 959 20,000 SH SOLE 20,000 B & G FOODS INC NEW CL A 05508R106 1,556 190,000 SH SOLE 190,000 BPW ACQUISITION CORP COM 055637102 1,954 200,000 SH SOLE 200,000 CHUBB CORP COM 171232101 1,260 25,000 SH SOLE 25,000 COMCAST CORP NEW CL A SPL 20030N200 1,286 80,000 SH SOLE 80,000 CAPITAL ONE FINL CORP COM 14040H105 1,072 30,000 SH SOLE 30,000 EQUINIX INC COM NEW 29444U502 460 5,000 SH SOLE 5,000 SAPPHIRE INDUSTRIALS CORP COM 80306T109 2,976 300,000 SH SOLE 300,000 GRACE W R & CO DEL NEW COM 38388F108 5,218 240,000 SH SOLE 240,000 PETROHAWK ENERGY CORP COM 716495106 968 40,000 SH SOLE 40,000 SPORTS PPTYS ACQUISITION COM 84920F107 986 100,000 SH SOLE 100,000 HARRIS STRATEX NTWRKS INC CL A 41457P106 1,400 200,000 SH SOLE 200,000 SUN MICROSYSTEMS INC COM NEW 866810203 1,227 135,000 SH SOLE 135,000 JPMORGAN CHASE & CO COM 46625H100 2,191 50,000 SH SOLE 50,000 KEYCORP NEW COM 493267108 325 50,000 SH SOLE 50,000 KNOLOGY INC COM 499183804 585 60,000 SH SOLE 60,000 KANSAS CITY SOUTHERN COM NEW 485170302 3,709 140,000 SH SOLE 140,000 LIBERTY ACQUISITION HLDGS COM 53015Y107 1,805 190,000 SH SOLE 190,000 ANNALY CAP MGMT INC COM 035710409 363 20,000 SH SOLE 20,000 NAVIOS MARITIME ACQUIS CO SHS Y62159101 3,828 400,000 SH SOLE 400,000 PROSPECT ACQUISITION CORP COM 74347T103 990 100,000 SH SOLE 100,000 PEOPLES UNITED FINANCIAL COM 712704105 156 10,000 SH SOLE 10,000 PENNANTPARK INVT CORP COM 708062104 1,014 125,000 SH SOLE 125,000 PROSPECT CAPITAL CORPORAT COM 74348T102 3,523 350,000 SH SOLE 350,000 TRIPLECROWN ACQUISITION C COM 89677G109 4,608 475,000 SH SOLE 475,000 TRIPLECROWN ACQUISITION C *W EXP 10/22/2089677G117 43 475,000 SH SOLE 475,000 TREMISIS ENERGY ACQ CORP COM 89472N101 784 100,000 SH SOLE 100,000 LMP CORPORATE LN FD INC COM 50208B100 97 10,000 SH SOLE 10,000 TRAVELERS COMPANIES INC COM 89417E109 1,231 25,000 SH SOLE 25,000 TRIAN ACQUISITION I CORP COM 89582E108 4,865 500,000 SH SOLE 500,000 TIME WARNER CABLE INC COM 88732J207 2,585 60,000 SH SOLE 60,000 TW TELECOM INC COM 87311L104 2,690 200,000 SH SOLE 200,000 UNITEDHEALTH GROUP INC COM 91324P102 1,002 40,000 SH SOLE 40,000 UNITED REFINING ENERGY CO COM 911360105 1,990 200,000 SH SOLE 200,000 VAN KAMPEN DYNAMIC CR OPP COM 921166104 112 10,000 SH SOLE 10,000 WELLS FARGO & CO NEW COM 949746101 845 30,000 SH SOLE 30,000 WASHINGTON FED INC COM 938824109 422 25,000 SH SOLE 25,000 WELLPOINT INC COM 94973V107 947 20,000 SH SOLE 20,000 WILLIAMS COS INC DEL COM 969457100 5,361 300,000 SH SOLE 300,000 XL CAP LTD CL A G98255105 1,921 110,000 SH SOLE 110,000
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