13F-HR 1 d538370d13fhr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2013 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one): [X] is a restatement. [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: BlueMountain Capital Management, LLC Address: 280 PARK AVENUE, 5TH FL EAST NEW YORK, NY 10017 Form 13F File Number: 28-14203 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: Paul Friedman Title: Chief Compliance Officer Phone: 212-905-3990 Signature, Place, and Date of Signing: /s/ Paul Friedman New York, NY May 14, 2013 ------------------------------------- ------------- -------------------- [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: [If there are no entries in this list, omit this section.] Form 13F File Number Name -------------------- ---- 28-___________________________ ________________________ [Repeat as necessary.] FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 149 Form 13F Information Table Value Total: 1,643,434.27 (thousands) List of Other Included Managers: NONE [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name --- -------------------- ---- ___ 28-_________________ ________________
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS CUSIP (X$1,000) PRN AMT PRN CALL DISCRETION MANAGER AUTHORITY THE ADT CORPORATION COM COM 00101J106 14,426.29 294,775.00 SH SOLE 294,775.00 AFLAC INC COM 001055902 82.40 654.00 SH CALL SOLE 654.00 AES CORP COM COM 00130H105 7,201.65 572,924.00 SH SOLE 572,924.00 ALCOA INC COM COM 013817101 3,791.27 444,985.00 SH SOLE 444,985.00 AMAZON COM INC CALL COM 023135906 964.53 671.00 SH CALL SOLE 671.00 AMAZON COM INC PUT COM 023135956 655.30 632.00 SH PUT SOLE 632.00 AMERICAN ELEC PWR INC COM 025537951 4.00 400.00 SH PUT SOLE 400.00 AMERICAN INTL GROUP INC COM NEW COM 026874784 63,907.19 1,646,244.00 SH SOLE 1,646,244.00 ARRIS GROUP INC NOTE 2.000%11/1 NOTE 2.000% 11/1 04269QAC4 16,865.63 15,000,000.00 SH SOLE 0 ATLAS PIPELINE PARTNERS LP UNIT L P INT UNIT LP INT 049392103 60.13 1,739.00 SH SOLE 1,739.00 AVIAT NETWORKS INC COM COM 05366Y102 10,550.65 3,130,756.00 SH SOLE 3,130,756.00 BAKER HUGHES INC COM 057224957 240.80 2,131.00 SH PUT SOLE 2,131.00 BANK OF AMERICA CORPORATION COM COM 060505104 7,044.91 578,400.00 SH SOLE 578,400.00 BANK OF AMERICA CORPORATION COM COM 060505954 349.45 24,100.00 SH PUT SOLE 24,100.00 BARCLAYS BK PLC DJUBS CMDT ETN36 ETN 06740C958 514.15 1,159.00 SH PUT SOLE 1,159.00 BARRICK GOLD CORP COM COM 067901108 21,110.38 718,040.00 SH SOLE 718,040.00 B/E AEROSPACE INC COM COM 073302101 13,561.33 224,935.00 SH SOLE 224,935.00 BIO-REFERENCE LABS INC COM 09057G952 351.63 725.00 SH PUT SOLE 725.00 BLACKROCK GLOBAL OPP EQTY TR COM COM 092501105 2,093.83 150,852.00 SH SOLE 150,852.00 BLACKROCK ENERGY & RES TR COM COM 09250U101 2,084.21 80,627.00 SH SOLE 80,627.00 BOSTON PROPERTIES INC COM COM 101121101 2,021.20 20,000.00 SH SOLE 20,000.00 CSX CORP COM 126408953 16.72 929.00 SH PUT SOLE 929.00 CEMEX SAB DE CV NOTE 3.250% 3/1 NOTE 3.250% 3/1 151290BB8 29,756.25 22,500,000.00 SH SOLE 0 CEMEX SAB DE CV NOTE 3.750% 3/1 NOTE 3.750% 3/1 151290BC6 30,431.25 22,500,000.00 SH SOLE 0 CENTRAL FD CDA LTD CL A CL A 153501101 1,996.91 103,093.00 SH SOLE 103,093.00 CHART ACQUISITION CORP UNIT 99/99/9999 UNIT 161151204 7,605.00 750,000.00 SH SOLE 750,000.00 CHESAPEAKE ENERGY CORP NOTE 2.750%11/1 NOTE 2.750% 11/1 165167BW6 17,565.63 17,500,000.00 SH SOLE 0 CHESAPEAKE ENERGY CORP NOTE 2.500% 5/1 NOTE 2.500% 5/1 165167BZ9 5,775.65 6,000,000.00 SH SOLE 0 CHEVRON CORP NEW COM 166764900 156.63 391.00 SH CALL SOLE 391.00 CHEVRON CORP NEW COM 166764950 22.07 187.00 SH PUT SOLE 187.00 CISCO SYS INC COM COM 17275R102 4,743.37 226,847.00 SH SOLE 226,847.00 CISCO SYS INC CALL COM 17275R902 329.71 12,681.00 SH CALL SOLE 12,681.00 CISCO SYS INC PUT COM 17275R952 860.00 10,000.00 SH PUT SOLE 10,000.00 CITIGROUP INC COM NEW COM 172967424 19,735.86 446,109.00 SH SOLE 446,109.00 CITIGROUP INC CALL COM 172967904 2,429.78 13,656.00 SH CALL SOLE 13,656.00 CLEAN ENERGY FUELS CORP COM 184499951 595.98 1,806.00 SH PUT SOLE 1,806.00 COINSTAR INC COM COM 19259P300 47.03 805.00 SH SOLE 805.00 COINSTAR INC PUT COM 19259P950 429.40 760.00 SH PUT SOLE 760.00 COVANTA HLDG CORP NOTE 3.250% 6/0 NOTE 3.250% 6/0 22282EAC6 29,137.50 22,500,000.00 SH SOLE 0 DANA HLDG CORP COM COM 235825205 13,160.54 738,112.00 SH SOLE 738,112.00 DARDEN RESTAURANTS INC COM COM 237194105 723.52 14,000.00 SH SOLE 14,000.00 DEVELOPERS DIVERSIFIED RLTY NOTE 1.750%11/1 NOTE 1.750% 11/1 251591AX1 17,831.25 15,000,000.00 SH SOLE 0 DOMTAR CORP COM NEW COM 257559203 37,877.86 487,991.00 SH SOLE 487,991.00 DOMTAR CORP CALL COM 257559903 915.33 4,465.00 SH CALL SOLE 4,465.00
DRYSHIPS INC. NOTE 5.000%12/0 NOTE 5.000% 12/0 262498AB4 76,475.00 87,400,000.00 SH SOLE 0 DYNEGY INC NEW DEL COM COM 26817R108 1,571.35 65,500.00 SH SOLE 65,500.00 ELECTRONIC ARTS INC COM COM 285512109 18,947.35 1,070,472.00 SH SOLE 1,070,472.00 ENCANA CORP COM COM 292505104 4,122.70 211,855.00 SH SOLE 211,855.00 EQUINIX INC NOTE 4.750% 6/1 NOTE 4.750% 6/1 29444UAH9 47,452.50 18,000,000.00 SH SOLE 0 EXELON CORP COM COM 30161N101 4,422.06 128,250.00 SH SOLE 128,250.00 FIDELITY NATIONAL FINANCIAL CL A CL A 31620R105 33,316.92 1,320,528.00 SH SOLE 1,320,528.00 FLEETCOR TECHNOLOGIES INC COM COM 339041105 11,952.01 155,889.00 SH SOLE 155,889.00 FLEETCOR TECHNOLOGIES INC CALL COM 339041905 7,630.16 6,008.00 SH CALL SOLE 6,008.00 FORD MTR CO DEL COM PAR $0.01 COM 345370860 4,091.03 311,105.00 SH SOLE 311,105.00 GENERAL ELECTRIC CO CALL COM 369604903 219.16 7,462.00 SH CALL SOLE 7,462.00 GENERAL ELECTRIC CO PUT COM 369604953 144.00 4,000.00 SH PUT SOLE 4,000.00 GENERAL MTRS CO *W EXP 07/10/201 *W EXP 07/10/201 37045V118 18,500.00 1,000,000.00 SH SOLE 1,000,000.00 GENERAL MTRS CO *W EXP 07/10/201 *W EXP 07/10/201 37045V126 11,812.50 1,000,000.00 SH SOLE 1,000,000.00 GILEAD SCIENCES INC NOTE 1.000% 5/0 NOTE 1.000% 5/0 375558AN3 27,117.19 12,500,000.00 SH SOLE 0 GOLDMAN SACHS GROUP INC COM COM 38141G104 3,608.85 24,525.00 SH SOLE 24,525.00 GOLDMAN SACHS GROUP INC CALL COM 38141G904 224.62 1,005.00 SH CALL SOLE 1,005.00 GOLDMAN SACHS GROUP INC PUT COM 38141G954 1,173.94 5,250.00 SH PUT SOLE 5,250.00 GOODYEAR TIRE & RUBR CO COM COM 382550101 10,496.56 832,400.00 SH SOLE 832,400.00 GOOGLE INC CL A CL A 38259P508 29,457.72 37,099.00 SH SOLE 37,099.00 GRACE W R & CO DEL NEW COM COM 38388F108 22,945.21 296,029.00 SH SOLE 296,029.00 GROUP 1 AUTOMOTIVE INC FRNT 2.250% 6/1 FRNT 2.250% 6/1 398905AE9 17,289.60 15,000,000.00 SH SOLE 0 HANESBRANDS INC COM COM 410345102 45,884.62 1,007,125.00 SH SOLE 1,007,125.00 HEALTH CARE REIT INC NOTE 3.000%12/0 NOTE 3.000% 12/0 42217KAR7 19,451.10 15,000,000.00 SH SOLE 0 HESS CORP COM 42809H907 13,500.20 11,380.00 SH CALL SOLE 11,380.00 INDIA FD INC COM COM 454089103 0.91 43.00 SH SOLE 43.00 INTEROIL CORP COM 460951906 335.75 850.00 SH CALL SOLE 850.00 INTEROIL CORP COM 460951956 871.25 850.00 SH PUT SOLE 850.00 ISHARES INC MSCI JAPAN ETF 464286848 39,557.19 3,662,703.00 SH SOLE 3,662,703.00 ISHARES INC MSCI STH KOR CAP ETF 464286902 4,935.00 15,000.00 SH CALL SOLE 15,000.00 ISHARES INC MSCI MEXICO CAP ETF 464286952 2,450.00 15,000.00 SH PUT SOLE 15,000.00 ISHARES TR MSCI EMERG MKT ETF 464287234 2,393.97 55,960.00 SH SOLE 55,960.00 ISHARES TR FTSE CHINA25 IDX ETF 464287904 1,827.45 53,726.00 SH CALL SOLE 53,726.00 ISHARES TR HIGH YLD CORP ETF 464288513 40,306.32 427,200.00 SH SOLE 427,200.00 JPMORGAN CHASE & CO COM COM 46625H100 10,546.89 222,227.00 SH SOLE 222,227.00 KKR & CO L P DEL COM UNITS COM UNITS 48248M102 2,311.12 119,623.00 SH SOLE 119,623.00 KOHLS CORP COM COM 500255104 18,360.48 398,016.00 SH SOLE 398,016.00 LEXMARK INTL NEW CL A 529771907 1,800.00 10,000.00 SH CALL SOLE 10,000.00 MBIA INC PUT COM 55262C950 2,022.00 12,000.00 SH PUT SOLE 12,000.00 MARKET VECTORS ETF TR GOLD MINER ETF ETF 57060U100 10,219.50 270,000.00 SH SOLE 270,000.00 MARKET VECTORS ETF TR GOLD MINER ETF ETF 57060U900 530.00 5,500.00 SH CALL SOLE 5,500.00 MCCLATCHY CO CL A CL A 579489105 13,619.02 4,696,215.00 SH SOLE 4,696,215.00 MCDONALDS CORP CALL COM 580135901 4.03 36.00 SH CALL SOLE 36.00 MCDONALDS CORP PUT COM 580135951 1.74 32.00 SH PUT SOLE 32.00 MEDTRONIC INC NOTE 1.625% 4/1 NOTE 1.625% 4/1 585055AM8 20,012.50 20,000,000.00 SH SOLE 0 MERITAGE HOMES CORP COM COM 59001A102 8,490.09 181,180.00 SH SOLE 181,180.00 MERITOR INC COM COM 59001K100 8,468.83 1,790,450.00 SH SOLE 1,790,450.00
METLIFE INC COM COM 59156R108 14,590.44 383,757.00 SH SOLE 383,757.00 MOLYCORP INC DEL COM COM 608753109 1,182.98 227,497.00 SH SOLE 227,497.00 NRG ENERGY INC COM NEW COM 629377508 49,785.68 1,879,414.00 SH SOLE 1,879,414.00 NETAPP INC NOTE 1.750% 6/0 NOTE 1.750% 6/0 64110DAB0 5,403.13 5,000,000.00 SH SOLE 0 NEWS CORP CL A CL A 65248E104 32,484.21 1,064,358.00 SH SOLE 1,064,358.00 NORFOLK SOUTHERN CORP COM 655844958 10.01 69.00 SH PUT SOLE 69.00 NUCOR CORP COM COM 670346105 3,845.82 83,333.00 SH SOLE 83,333.00 NUVEEN SELECT QUALITY MUN FD COM COM 670973106 394.99 26,280.00 SH SOLE 26,280.00 PARKER DRILLING CO COM COM 701081101 7,826.55 1,828,634.00 SH SOLE 1,828,634.00 PARKER DRILLING CO CALL COM 701081901 17.51 2,334.00 SH CALL SOLE 2,334.00 PENN NATL GAMING INC COM COM 707569109 29,254.49 537,470.00 SH SOLE 537,470.00 PENNEY J C INC COM 708160956 4,340.27 19,357.00 SH PUT SOLE 19,357.00 PRUDENTIAL FINL INC COM COM 744320102 22,285.30 377,781.00 SH SOLE 377,781.00 PRUDENTIAL FINL INC PUT COM 744320952 4.44 19.00 SH PUT SOLE 19.00 QUALCOMM INC COM COM 747525103 27,118.83 405,061.00 SH SOLE 405,061.00 RADIO ONE INC CL D NON VTG CL D 75040P405 7,053.51 4,173,675.00 SH SOLE 0 RADNET INC COM COM 750491102 7,646.62 2,730,935.00 SH SOLE 2,730,935.00 RALPH LAUREN CORP CL A CL A 751212101 657.77 3,885.00 SH SOLE 3,885.00 RALPH LAUREN CORP PUT CL A 751212951 169.40 242.00 SH PUT SOLE 242.00 RANGE RES CORP COM COM 75281A109 27,178.55 335,372.00 SH SOLE 335,372.00 RAYONIER TRS HLDGS INC NOTE 4.500% 8/1 NOTE 4.500% 8/1 75508AAC0 26,746.88 15,000,000.00 SH SOLE 0 ROCK-TENN CO CL A CL A 772739207 30,238.13 325,877.00 SH SOLE 325,877.00 ROCK-TENN CO CALL CL A 772739907 5,969.21 6,175.00 SH CALL SOLE 6,175.00 SPDR S&P 500 ETF TR CALL ETF 78462F903 35.01 64.00 SH CALL SOLE 64.00 SPDR GOLD TRUST CALL ETF 78463V907 155.00 4,000.00 SH CALL SOLE 4,000.00 SPDR SERIES TRUST CALL ETF 78464A905 582.50 5,000.00 SH CALL SOLE 5,000.00 SPDR SERIES TRUST PUT ETF 78464A955 855.67 7,231.00 SH PUT SOLE 7,231.00 SCHLUMBERGER LTD COM COM 806857108 12,964.96 173,120.00 SH SOLE 173,120.00 SCHLUMBERGER LTD PUT COM 806857958 1,717.74 3,181.00 SH PUT SOLE 3,181.00 SCRIPPS E W CO OHIO CL A NEW CL A 811054402 51,176.90 4,254,106.00 SH SOLE 4,254,106.00 SELECT SECTOR SPDR TR SBI INT-ENERGY ETF 81369Y506 4,548.13 57,339.00 SH SOLE 57,339.00 SELECT SECTOR SPDR TR PUT ETF 81369Y955 398.52 6,459.00 SH PUT SOLE 6,459.00 SELECT SECTOR SPDR TR PUT ETF 81369Y956 627.72 7,799.00 SH PUT SOLE 7,799.00 SPECTRUM PHARMACEUTICALS INC COM COM 84763A108 4,746.33 636,237.00 SH SOLE 636,237.00 SPECTRUM PHARMACEUTICALS INC PUT COM 84763A958 253.51 502.00 SH PUT SOLE 502.00 SPRINT NEXTEL CORP COM 852061900 8,859.20 39,200.00 SH CALL SOLE 39,200.00 STARBUCKS CORP COM 855244909 37.90 229.00 SH CALL SOLE 229.00 TELEFLEX INC NOTE 3.875% 8/0 NOTE 3.875% 8/0 879369AA4 21,834.38 15,000,000.00 SH SOLE 0 TESORO CORP COM UNIT LP 881609901 33,708.95 30,229.00 SH CALL SOLE 30,229.00 TEXAS INDS INC COM 882491953 4,860.00 12,000.00 SH PUT SOLE 12,000.00 U S AIRWAYS GROUP INC COM COM 90341W108 1,697.00 100,000.00 SH SOLE 100,000.00 UNION PAC CORP COM 907818908 52.20 133.00 SH CALL SOLE 133.00 UNITED CONTL HLDGS INC COM 910047959 110.00 4,000.00 SH PUT SOLE 4,000.00 UNITED STATES STL CORP NEW COM COM 912909108 8,502.00 436,000.00 SH SOLE 436,000.00 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 NOTE 4.000% 5/1 912909AE8 42,490.01 40,500,000.00 SH SOLE 0 VERINT SYS INC COM COM 92343X100 27,448.50 750,985.00 SH SOLE 750,985.00 VERSO PAPER CORP COM COM 92531L108 2,052.43 1,554,871.00 SH SOLE 1,554,871.00
WELLS FARGO & CO NEW COM COM 949746101 369.90 10,000.00 SH SOLE 10,000.00 WELLS FARGO & CO NEW COM COM 949746901 37.12 1,515.00 SH CALL SOLE 1,515.00 WELLS FARGO & CO NEW COM COM 949746951 100.63 1,502.00 SH PUT SOLE 1,502.00 WESCO INTL INC DBCV 6.000% 9/1 DBCV 6.000% 9/1 95082PAH8 35,420.63 13,500,000.00 SH SOLE 0 WESTPORT INNOVATIONS INC COM 960908959 327.50 500.00 SH PUT SOLE 500.00 WEATHERFORD INTERNATIONAL LTD REG SHS H27013903 797.38 13,928.00 SH CALL SOLE 13,928.00 NOBLE CORPORATION BAAR NAMEN -AKT NAMEN - AKT H5833N103 4,177.43 109,500.00 SH SOLE 109,500.00 MELLANOX TECHNOLOGIES LTD SHS M51363903 623.00 1,780.00 SH CALL SOLE 1,780.00 TARO PHARMACEUTICAL INDS LTD SHS SHS M8737E108 38,243.93 651,737.00 SH SOLE 651,737.00 ROYAL CARIBBEAN CRUISES LTD COM COM V7780T103 18,056.53 543,544.00 SH SOLE 543,544.00 OCEAN RIG UDW INC SHS SHS Y64354205 466.38 28,950.00 SH SOLE 28,950.00 Total Value 1,643,434.27 Total Items 149.00