0001425040-11-000012.txt : 20111114 0001425040-11-000012.hdr.sgml : 20111111 20111114150533 ACCESSION NUMBER: 0001425040-11-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CarVal Investors, LLC CENTRAL INDEX KEY: 0001425040 IRS NUMBER: 980515999 STATE OF INCORPORATION: E9 FISCAL YEAR END: 0531 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12737 FILM NUMBER: 111201501 BUSINESS ADDRESS: STREET 1: 12700 WHITEWATER DR CITY: MINNETONKA STATE: MN ZIP: 55343 BUSINESS PHONE: 9529843447 MAIL ADDRESS: STREET 1: 12700 WHITEWATER DR CITY: MINNETONKA STATE: MN ZIP: 55343 13F-HR 1 carval13f3q11.txt CARVAL 2011 3Q FORM 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, 2011 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: CarVal Investors Address: 12700 Whitewater Drive, MS 144, MINNETONKA, MN 55343 13 File Number: 28-12737 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 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: UZI ROSHA Title: CHIEF COMPLIANCE OFFICER Phone: 952-984-3447 Signature, Place and Date of Signing: 12700 Whitewater Drive Minnetonka, MN 55343 November 14, 2011 Additional Information: Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 16 Form 13F Information Table Value Total: 378469 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 DISCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- -- D AMERICAN INTL GROUP INC W EXP 01/19/202 026874156 60472 2754975 SH SOLE 2754975 0 0 D BP PLC SPONSORED ADR 055622104 9018 250000 SH SOLE 250000 0 0 D BP PLC COM 055622904 27053 750000 SH CALL SOLE 750000 0 0 D CIT GROUP INC COM NEW 125581801 5414 178274 SH SOLE 178274 0 0 D CITIGROUP INC UNIT 99/99/9999 172967416 3982 50000 SH SOLE 50000 0 0 D CITIGROUP INC COM 172967904 55083 2150000 SH CALL SOLE 2150000 0 0 D CLEAR CHANNEL OUTDOOR HLDGS CLASS A 18451C109 4751 507573 SH SOLE 507573 0 0 D COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 238 30000 SH SOLE 30000 0 0 D COMPANHIA SIDERURGICA NACION COM 20440W905 1191 150000 SH CALL SOLE 150000 0 0 D DANA HLDG CORP COM 235825205 434 23692 SH SOLE 23692 0 0 D DELTA AIR LINES INC DEL COM NEW 247361702 386 51425 SH SOLE 51425 0 0 D ISHARES TR COM 464287902 24098 200000 SH CALL SOLE 200000 0 0 D PORTLAND GEN ELEC CO COM NEW 736508847 22256 881773 SH SOLE 881773 0 0 D SM ENERGY CO COM 78454L100 7581 125000 SH SOLE 125000 0 0 D SPDR S&P 500 ETF TR COM 78462F953 138609 1225000 SH PUT SOLE 1225000 0 0 D TRANSOCEAN LTD COM H8817H900 17903 375000 SH CALL SOLE 375000 0 0