-----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, KRHE5sFnlDO8bIgRDtohRs01QUVDZDWSLm5Gyt/2gJsDOHYOZ8yK2gjT90Nvvbe+ tQ5wWN2+SzAAxCs7Y+E8lQ== 0001085146-09-003479.txt : 20091113 0001085146-09-003479.hdr.sgml : 20091113 20091113132542 ACCESSION NUMBER: 0001085146-09-003479 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Nicholas Investment Partners, LP CENTRAL INDEX KEY: 0001389574 IRS NUMBER: 861162233 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12426 FILM NUMBER: 091180476 BUSINESS ADDRESS: STREET 1: PO BOX 2828 CITY: DEL MAR STATE: CA ZIP: 92014 BUSINESS PHONE: 858-759-4545 MAIL ADDRESS: STREET 1: PO BOX 2828 CITY: DEL MAR STATE: CA ZIP: 92014 FORMER COMPANY: FORMER CONFORMED NAME: Wagonhound Investments, LP DATE OF NAME CHANGE: 20070209 13F-HR 1 nip3q09.txt NICHOLAS INVESTMENT PARTNERS LP 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: Nicholas Investment Partners LP Address: 6451 El Sicomoro Street Rancho Santa Fe, CA 92067 13F File Number: 28-12426 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: Arthur Greg Gleeson Title: Chief Financial Officer Phone: 858-759-4545 Signature, Place, and Date of Signing: /s/ Arthur Greg Gleeson Rancho Santa Fe, CA November 13, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 244 Form13F Information Table Value Total: $301,339 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 1ST PACIFIC BANK COM 335894101 20 14088 SH SOLE 14088 0 0 ADVANCED MICRO DEVICES INC NOTE 6.000% 5/0 007903AL1 2550 3400000 PRN SOLE 3400000 0 0 ADVANCED MICRO DEVICES INC NOTE 5.750% 8/1 007903AN7 850 1000000 PRN SOLE 1000000 0 0 AEGEAN MARINE PETROLEUM NETW SHS Y0017S102 581 25810 SH SOLE 25810 0 0 AFFILIATED MANAGERS GROUP NOTE 3.950% 8/1 008252AL2 2773 2900000 PRN SOLE 2900000 0 0 ALBANY INTL CORP CL A 012348108 491 25324 SH SOLE 25324 0 0 ALBANY INTL CORP NOTE 2.250% 3/1 012348AC2 165 250000 PRN SOLE 250000 0 0 ALIGN TECHNOLOGY INC COM 016255101 762 53603 SH SOLE 53603 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.250% 6/0 01741RAD4 297 250000 PRN SOLE 250000 0 0 ALLIANCE DATA SYSTEMS CORP COM 018581108 800 13095 SH SOLE 13095 0 0 ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 1223 1250000 PRN SOLE 1250000 0 0 ALLIED WRLD ASSUR COM HLDG L SHS G0219G203 13181 275000 SH SOLE 275000 0 0 ALLSCRIPT MISYS HEALTCAR SOL COM 01988P108 459 22662 SH SOLE 22662 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 358 50604 SH SOLE 50604 0 0 AMERICAN EQTY INVT LIFE HLD NOTE 5.250%12/0 025676AE7 1488 1600000 PRN SOLE 1600000 0 0 ANAREN INC COM 032744104 361 21221 SH SOLE 21221 0 0 ANIXTER INTL INC NOTE 1.000% 2/1 035290AJ4 904 1030000 PRN SOLE 1030000 0 0 APACHE CORP COM 037411105 1452 15810 SH SOLE 15810 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 1515 1050000 PRN SOLE 1050000 0 0 ARCHER DANIELS MIDLAND CO NOTE 0.875% 2/1 039483AW2 979 1000000 PRN SOLE 1000000 0 0 ARENA RESOURCES INC COM 040049108 355 10007 SH SOLE 10007 0 0 ASIAINFO HLDGS INC COM 04518A104 1536 76934 SH SOLE 76934 0 0 ASSURED GUARANTY LTD COM G0585R106 1908 98233 SH SOLE 98233 0 0 ATHENAHEALTH INC COM 04685W103 414 10781 SH SOLE 10781 0 0 AUTOLIV INC COM 052800109 225 6699 SH SOLE 6699 0 0 BAIDU INC SPON ADR REP A 056752108 357 914 SH SOLE 914 0 0 BED BATH & BEYOND INC COM 075896100 239 6372 SH SOLE 6372 0 0 BERKSHIRE HATHAWAY INC DEL CL B 084670207 423 128 SH SOLE 128 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 720 8 SH SOLE 8 0 0 BLACKROCK INC COM 09247X101 376 1736 SH SOLE 1736 0 0 BLUE COAT SYSTEMS INC COM NEW 09534T508 413 18299 SH SOLE 18299 0 0 BORGWARNER INC NOTE 3.500% 4/1 099724AF3 1426 1150000 PRN SOLE 1150000 0 0 BRIGHTPOINT INC COM NEW 109473405 394 45066 SH SOLE 45066 0 0 BRINKER INTL INC COM 109641100 357 22685 SH SOLE 22685 0 0 BROADCOM CORP CL A 111320107 246 8003 SH SOLE 8003 0 0 BUNGE LIMITED COM G16962105 1300 20764 SH SOLE 20764 0 0 CABELAS INC COM 126804301 5382 403447 SH SOLE 403447 0 0 CALAMOS CONV & HIGH INCOME F COM SHS 12811P108 1227 106659 SH SOLE 106659 0 0 CALLAWAY GOLF CO COM 131193104 722 94816 SH SOLE 94816 0 0 CARMAX INC COM 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6/1 171779AE1 693 1000000 PRN SOLE 1000000 0 0 CLAYMORE ETF TRUST 2 CHINA SML CAP 18383Q853 1176 50000 SH SOLE 50000 0 0 CLIFFS NATURAL RESOURCES INC COM 18683K101 854 26388 SH SOLE 26388 0 0 COMMSCOPE INC NOTE 3.250% 7/0 203372AG2 1678 1300000 PRN SOLE 1300000 0 0 COMPUCREDIT CORP NOTE 3.625% 5/3 20478NAB6 1055 2000000 PRN SOLE 2000000 0 0 COMPUTER PROGRAMS & SYS INC COM 205306103 362 8748 SH SOLE 8748 0 0 CONCHO RES INC COM 20605P101 459 12627 SH SOLE 12627 0 0 CTRIP COM INTL LTD ADR 22943F100 320 5447 SH SOLE 5447 0 0 CYBERSOURCE CORP COM 23251J106 670 40164 SH SOLE 40164 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 626 60574 SH SOLE 60574 0 0 D R HORTON INC COM 23331A109 513 44997 SH SOLE 44997 0 0 D R HORTON INC NOTE 2.000% 5/1 23331ABB4 1757 1550000 PRN SOLE 1550000 0 0 DARDEN RESTAURANTS INC COM 237194105 223 6542 SH SOLE 6542 0 0 DECKERS OUTDOOR CORP COM 243537107 1220 14374 SH SOLE 14374 0 0 DEVON ENERGY CORP NEW COM 25179M103 1256 18647 SH SOLE 18647 0 0 DEXCOM INC NOTE 4.750% 3/1 252131AD9 1539 1400000 PRN SOLE 1400000 0 0 DIGIRAD CORP COM 253827109 639 224066 SH SOLE 224066 0 0 DIODES INC NOTE 2.250%10/0 254543AA9 488 500000 PRN SOLE 500000 0 0 DIREXION SHS ETF TR DLY EMRGMKT BULL 25459W300 13569 100000 SH SOLE 100000 0 0 DRIL-QUIP INC COM 262037104 747 15048 SH SOLE 15048 0 0 DUOYUAN GLOBAL WTR INC SPONSORED ADR 266043108 475 14275 SH SOLE 14275 0 0 E M C CORP MASS NOTE 1.750%12/0 268648AM4 1740 1450000 PRN SOLE 1450000 0 0 E M C CORP MASS COM 268648102 1550 90953 SH SOLE 90953 0 0 ECLIPSYS CORP COM 278856109 240 12451 SH SOLE 12451 0 0 EQUINIX INC NOTE 3.000%10/1 29444UAG1 689 650000 PRN SOLE 650000 0 0 F5 NETWORKS INC COM 315616102 297 7491 SH SOLE 7491 0 0 FASTENAL CO COM 311900104 303 7830 SH SOLE 7830 0 0 FIFTH STREET FINANCE CORP COM 31678A103 481 44027 SH SOLE 44027 0 0 FORD MTR CO DEL NOTE 4.250%12/1 345370CF5 3570 3500000 PRN SOLE 3500000 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 1386 192300 SH SOLE 192300 0 0 FUQI INTERNATIONAL INC COM 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678 30000 SH SOLE 30000 0 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 22926 560000 SH SOLE 560000 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 4669 120000 SH SOLE 120000 0 0 JAMES RIVER COAL CO COM NEW 470355207 310 16202 SH SOLE 16202 0 0 JANUS CAP GROUP INC NOTE 3.250% 7/1 47102XAG0 1540 1200000 PRN SOLE 1200000 0 0 JETBLUE AIRWAYS CORP DBCV 3.750% 3/1 477143AC5 1208 1200000 PRN SOLE 1200000 0 0 JOHNSON CTLS INC COM 478366107 761 29785 SH SOLE 29785 0 0 JOY GLOBAL INC COM 481165108 234 4787 SH SOLE 4787 0 0 KANSAS CITY SOUTHERN COM NEW 485170302 298 11246 SH SOLE 11246 0 0 KB HOME COM 48666K109 403 24266 SH SOLE 24266 0 0 KENDLE INTERNATIONAL INC NOTE 3.375% 7/1 48880LAA5 2041 2300000 PRN SOLE 2300000 0 0 LAS VEGAS SANDS CORP COM 517834107 34917 2073451 SH SOLE 2073451 0 0 LAZARD LTD SHS A G54050102 1884 45615 SH SOLE 45615 0 0 LEAP WIRELESS INTL INC NOTE 4.500% 7/1 521863AL4 1717 2050000 PRN SOLE 2050000 0 0 LIFE TIME FITNESS INC COM 53217R207 452 16126 SH SOLE 16126 0 0 LINEAR 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585464100 13920 2000000 SH SOLE 2000000 0 0 MERCADOLIBRE INC COM 58733R102 440 11437 SH SOLE 11437 0 0 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 929 1000000 PRN SOLE 1000000 0 0 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112AH6 1007 1200000 PRN SOLE 1200000 0 0 MORGAN STANLEY COM NEW 617446448 520 16844 SH SOLE 16844 0 0 MSC INDL DIRECT INC CL A 553530106 477 10941 SH SOLE 10941 0 0 MYLAN INC COM 628530107 262 16369 SH SOLE 16369 0 0 MYRIAD GENETICS INC COM 62855J104 235 8586 SH SOLE 8586 0 0 NATIONAL OILWELL VARCO INC COM 637071101 248 5742 SH SOLE 5742 0 0 NEKTAR THERAPEUTICS COM 640268108 706 72524 SH SOLE 72524 0 0 NETEASE COM INC SPONSORED ADR 64110W102 1244 27224 SH SOLE 27224 0 0 NETEZZA CORP COM 64111N101 1010 89845 SH SOLE 89845 0 0 NETLOGIC MICROSYSTEMS INC COM 64118B100 734 16302 SH SOLE 16302 0 0 NEUTRAL TANDEM INC COM 64128B108 1033 45376 SH SOLE 45376 0 0 NFJ DIVID INT & PREM STRTGY COM SHS 65337H109 958 71521 SH SOLE 71521 0 0 NICHOLAS APPLEGATE GLBL EQ C COM 65370L108 385 26235 SH SOLE 26235 0 0 NOBLE ENERGY INC COM 655044105 1138 17248 SH SOLE 17248 0 0 NORDSON CORP COM 655663102 455 8114 SH SOLE 8114 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 1459 154178 SH SOLE 154178 0 0 NVR INC COM 62944T105 222 349 SH SOLE 349 0 0 ON SEMICONDUCTOR CORP NOTE 2.625%12/1 682189AG0 1946 1800000 PRN SOLE 1800000 0 0 ON SEMICONDUCTOR CORP COM 682189105 273 33083 SH SOLE 33083 0 0 ORION MARINE GROUP INC COM 68628V308 370 18008 SH SOLE 18008 0 0 OWENS ILL INC COM NEW 690768403 406 11008 SH SOLE 11008 0 0 P F CHANGS CHINA BISTRO INC COM 69333Y108 412 12134 SH SOLE 12134 0 0 PEABODY ENERGY CORP SDCV 4.750%12/1 704549AG9 879 1000000 PRN SOLE 1000000 0 0 PENN VA CORP NOTE 4.500%11/1 707882AA4 2105 2300000 PRN SOLE 2300000 0 0 PENNEY J C INC COM 708160106 280 8306 SH SOLE 8306 0 0 PENTAIR INC COM 709631105 449 15224 SH SOLE 15224 0 0 PETROHAWK ENERGY CORP COM 716495106 234 9670 SH SOLE 9670 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 658 14339 SH 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DEL NOTE 0.500%10/1 91307CAD4 2041 1500000 PRN SOLE 1500000 0 0 URBAN OUTFITTERS INC COM 917047102 264 8734 SH SOLE 8734 0 0 VALE CAP II GTD CV 6.75%12 91912F201 414 6000 SH SOLE 6000 0 0 VALE S A ADR 91912E105 619 26744 SH SOLE 26744 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 325 8576 SH SOLE 8576 0 0 VIRGIN MEDIA INC COM 92769L101 1386 99539 SH SOLE 99539 0 0 VMWARE INC CL A COM 928563402 235 5848 SH SOLE 5848 0 0 VOTORANTIM CELULOSE E PAPEL SP ADR REP COM 92906P205 1361 82948 SH SOLE 82948 0 0 WABTEC CORP COM 929740108 395 10521 SH SOLE 10521 0 0 WALTER ENERGY INC COM 93317Q105 802 13360 SH SOLE 13360 0 0 WARNACO GROUP INC COM NEW 934390402 491 11200 SH SOLE 11200 0 0 WEATHERFORD INTERNATIONAL LT REG H27013103 252 12166 SH SOLE 12166 0 0 WESTERN ALLIANCE BANCORP COM 957638109 447 70827 SH SOLE 70827 0 0 WESTERN REFNG INC NOTE 5.750% 6/1 959319AC8 949 1000000 PRN SOLE 1000000 0 0 WESTPORT INNOVATIONS INC COM NEW 960908309 566 44557 SH SOLE 44557 0 0 WHITING PETE CORP NEW COM 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