-----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, Wwajio45pn889R3tLN2tX+jTXiwwgh9L9IcDqLcMnxOrlYEsiiwsoMbK6NDl5+BB OXFKcYVIWxrhSeEmFBXsXw== 0001414328-09-000042.txt : 20091116 0001414328-09-000042.hdr.sgml : 20091116 20091116154840 ACCESSION NUMBER: 0001414328-09-000042 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: Semaphore Management LLC CENTRAL INDEX KEY: 0001414328 IRS NUMBER: 770603527 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12780 FILM NUMBER: 091186563 BUSINESS ADDRESS: STREET 1: 320 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-415-7246 MAIL ADDRESS: STREET 1: 320 PARK AVENUE, 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 sema.txt 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: Semaphore Management LLC Address: 320 Park Ave 10th Floor New York NY 10022 13F File Number: 28-12780 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 submission. Person Signing this Report on Behalf of Reporting Manager: Name: Robert Penberth Title: Chief Financial Officer Phone: 212-415-7246 Signature Place and Date of Signing: Robert Penberth New York, NY November 16, 2009 - ----------------------------------- ---------------- -------------------- Report Type (Check only one.): |X| 13F HOLDINGS REPORT. |_| 13F NOTICE. |_| 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 61 Form 13F Information Table Value Total: 152,281 (thousands) List of Other Included Managers: N/A Value Shares/ SH/ Put/ Invstmt Other Voting Authoriy Name of Issuer Title of Cl Cusip (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ----------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ADM 7/8% Due 02/15/2014 CNV 039483AW2 491 500000 PRN SOLE 500000 AFFORD RESID COM 7.5% 08/15 CNV 00828UAB9 1077 1000000 PRN SOLE 1000000 AMAZON.COM INC CMN PUT 023135106 8048 86200 SH PUT SOLE 86200 AMEX UTILITIES SELECT INDEX PUT 81369Y886 1156 39400 SH PUT SOLE 39400 APOLLO GROUP CLASS A COMMON PUT 037604105 972 13200 SH PUT SOLE 13200 ARCHER-DANIELS-MIDLAND COMPANY CNV 039483201 806 20200 SH SOLE 20200 BARRICK GOLD CORPORATION CMN COM 067901108 2217 58500 SH SOLE 58500 C.H. ROBINSON WORLDWIDE INC. PUT 12541W209 1975 34200 SH PUT SOLE 34200 CAMECO CORPORATION CMN COM 13321L108 863 31055 SH SOLE 31055 CAREER EDUCATION CORP CMN PUT 141665109 486 20000 SH PUT SOLE 20000 CENTRAL GOLDTRUST CMN COM 153546106 1540 38706 SH SOLE 38706 COLLECTIVE BRANDS, INC. CMN PUT 19421W100 347 20000 SH PUT SOLE 20000 COMCAST CORPORATION CMN CL A COM 20030N200 863 53639 SH SOLE 53639 DENNY'S CORPORATION CMN COM 24869P104 414 155671 SH SOLE 155671 DILLARDS INC CL-A CMN CLASS A PUT 254067101 726 51500 SH PUT SOLE 51500 DOMTAR CORPORATION CMN CLASS COM 257559203 4283 121628 SH SOLE 121628 ECHOSTAR CORPORATION CMN COM 278768106 1008 54619 SH SOLE 54619 EXTERRAN HOLDINGS, INC. CMN COM 30225X103 5319 224047 SH SOLE 224047 GENERAL MOLY, INC. CMN COM 370373102 167 53050 SH SOLE 53050 GOOGLE, INC. CMN CLASS A PUT 38259P508 2479 5000 SH PUT SOLE 5000 GRAHAM CORP (DEL) CMN COM 384556106 2237 143845 SH SOLE 143845 HILLTOP HOLDINGS INC CMN COM 432748101 734 59848 SH SOLE 59848 INGLES MARKETS INC CL-A CMN COM 457030104 522 32970 SH SOLE 32970 ISHARES FTSE XINHAU CHINA 25 PUT 464287184 1616 39500 SH PUT SOLE 39500 ISHARES RUSSELL 2000 INDEX PUT 464287655 18283 303500 SH PUT SOLE 303500 ISHARES SILVER TRUST ETF ETF 46428Q109 303 18500 SH SOLE 18500 ITT EDUCATIONAL SERVICES INC PUT 45068B109 331 3000 SH PUT SOLE 3000 JO-ANN STORES, INC CMN PUT 47758P307 805 30000 SH PUT SOLE 30000 KINROSS GOLD CORP 1.75% 03/15 CNV 496902AD9 5327 4950000 PRN SOLE 4950000 MARKET VECTORS ETF TRUST GOLD ETF 57060U100 3118 68840 SH SOLE 68840 MARKET VECTORS ETF TRUST GOLD CALL 57060U100 1028 22700 SH CALL SOLE 22700 MATRIX SERVICE COMPANY CMN COM 576853105 380 35000 SH SOLE 35000 MCMORAN EXPLORATION CO CONV CNV 582411500 2146 33440 SH SOLE 33440 MITCHAM INDS INC CMN COM 606501104 120 19367 SH SOLE 19367 MONSANTO COMPANY CMN COM 61166W101 1254 16198 SH SOLE 16198 MONSANTO COMPANY CMN CALL 61166W101 697 9000 SH CALL SOLE 9000 NEVADA GOLD & CASINO INC COM 64126Q206 190 158737 SH SOLE 158737 NUCOR CORPORATION CMN COM 670346105 447 9501 SH SOLE 9501 OWENS-ILLINOIS INC CMN COM 690768403 417 11275 SH SOLE 11275 PETROLEO BRASILEIRO S.A. CALL 71654V408 689 15000 SH CALL SOLE 15000 PETROLEO BRASILEIRO S.A. COM 71654V101 196 4988 SH SOLE 4988 POTASH CORP. OF SASKATCHEWAN COM 73755L107 904 10000 SH SOLE 10000 POWERSHARES DB AGRICULTURE CALL 73936B408 764 30000 SH CALL SOLE 30000 POWERSHARES QQQ TRUST MUTUAL PUT 73935A104 8725 206500 SH PUT SOLE 206500 PRICELINE.COM INC CMN PUT 741503403 4328 26100 SH PUT SOLE 26100 RESEARCH IN MOTION LIMITED PUT 760975102 2069 30600 SH PUT SOLE 30600 ROYAL CARIBBEAN CRUISES LTD PUT V7780T103 6350 263700 SH PUT SOLE 263700 RUBICON MINERALS CORPORATION COM 780911103 116 28000 SH SOLE 28000 SEACOR HOLDINGS INC. CMN COM 811904101 3938 48243 SH SOLE 48243 SPDR GOLD TRUST ETF ETF 78463V107 7211 72944 SH SOLE 72944 SPDR GOLD TRUST ETF CALL 78463V107 19305 195300 SH CALL SOLE 195300 SPDR S&P RETAIL ETF ETF PUT 78464A714 7918 232000 SH PUT SOLE 232000 STEWART ENTERPRISES INC 3.375 CNV 860370AK1 2616 3100000 PRN SOLE 3100000 STEWART ENTERPRISES INC COM 860370105 1491 285000 SH SOLE 285000 TENNECO INC CMN PUT 880349105 261 20000 SH PUT SOLE 20000 TERRA INDUSTRIES INC CMN COM 880915103 924 26651 SH SOLE 26651 THE MOSAIC COMPANY CMN COM 61945A107 1302 27100 SH SOLE 27100 TIDEWATER INC CMN PUT 886423102 1243 26400 SH PUT SOLE 26400 TITAN INTERNATIONAL INC (NEW) COM 88830M102 3488 391906 SH SOLE 391906 UNITED STATES NATURALGAS FD CALL 912318102 1702 145000 SH CALL SOLE 145000 WELLS FARGO & CO (NEW) CMN PUT 949746101 1550 55000 SH PUT SOLE 55000
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