-----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, DhCWwqmo/TAbQY88amp6bggX3ayK/g9hSO1fJQw1Ex9QaeY8shs/vUjjaD444krA PaKHYf5EqHZFK9uzsIa48Q== 0001011438-09-000546.txt : 20090814 0001011438-09-000546.hdr.sgml : 20090814 20090814162257 ACCESSION NUMBER: 0001011438-09-000546 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PEQUOT CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001071955 IRS NUMBER: 061524885 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04495 FILM NUMBER: 091016158 BUSINESS ADDRESS: STREET 1: 187 DANBURY ROAD CITY: WILTON STATE: CT ZIP: 06897 BUSINESS PHONE: 2034292200 MAIL ADDRESS: STREET 1: 187 DANBURY ROAD CITY: WILTON STATE: CT ZIP: 06897 FORMER COMPANY: FORMER CONFORMED NAME: PEQUOT CAPITAL MANAGEMENT INC/CT/ DATE OF NAME CHANGE: 19981118 13F-HR 1 form_13f-pequot.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: June 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: PEQUOT CAPITAL MANAGEMENT, INC. Address: 187 DANBURY ROAD WILTON, CT 06897 13F File Number: 28-04495 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: ARYEH DAVIS Title: COO, CCO, GENERAL COUNSEL & SECRETARY Phone: (203) 429-2200 Signature, Place, and Date of Signing: /s/ Aryeh Davis Wilton, CT/USA August 14, 2009 - ------------------ -------------------- ------------------- [Signature] [City, State] [Date] 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: 158 ---------- Form13F Information Table Value Total: $600,622 ---------- (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 - ------------------------------------------------------------------------------------------------------------------------------------ 8X8 INC NEW COM 282914100 127 211100 SH SOLE 211100 ACTIVISION BLIZZARD INC COM 00507V109 1263 100000 SH SOLE 100000 ACXIOM CORP COM 005125109 3091 350000 SH SOLE 350000 ADVANCED MICRO DEVICES INC NOTE 6.000% 5/0 007903AL1 5251 11000000 SH SOLE 11000000 AETNA INC NEW COM 00817Y108 2305 92000 SH SOLE 92000 AKORN INC COM 009728106 1089 900000 SH SOLE 900000 ALEXION PHARMACEUTICALS INC COM 015351109 16822 409200 SH SOLE 409200 AMERICAN ITALIAN PASTA CO CL A 027070101 17953 615900 SH SOLE 615900 AMERICAN PUBLIC EDUCATION IN COM 02913V103 1519 38400 SH SOLE 38400 AMERICAS CAR MART INC COM 03062T105 5497 268130 SH SOLE 268130 ANTHRACITE CAP INC COM 037023108 128 206000 SH SOLE 206000 APAC CUSTOMER SERVICES INC COM 00185E106 103 20000 SH SOLE 20000 ART TECHNOLOGY GROUP INC COM 04289L107 4513 1187500 SH SOLE 1187500 ASBURY AUTOMOTIVE GROUP INC COM 043436104 1634 159600 SH SOLE 159600 BALLANTYNE STRONG INC COM 058516105 3112 1503200 SH SOLE 1503200 BANK OF AMERICA CORPORATION COM 060505104 2347 177806 SH SOLE 177806 BAUER EDDIE HLDGS INC COM 071625107 20 135000 SH SOLE 135000 BLACK & DECKER CORP COM 091797100 2611 91100 SH SOLE 91100 BLUEPHOENIX SOLUTIONS LTD SHS M20157109 61 25000 SH SOLE 25000 BOSTON BEER INC CL A 100557107 2071 70000 SH SOLE 70000 BOSTON SCIENTIFIC CORP COM 101137107 129 12738 SH SOLE 12738 BRINKS HOME SEC HLDGS INC COM 109699108 18200 642900 SH SOLE 642900 BRUKER CORP COM 116794108 5556 600000 SH SOLE 600000 BRUNSWICK CORP COM 117043109 279 64500 SH SOLE 64500 CADENCE DESIGN SYSTEM INC COM 127387108 1180 200000 SH SOLE 200000 CARMAX INC COM 143130102 1701 115700 SH SOLE 115700 CARMIKE CINEMAS INC COM 143436400 6631 791300 SH SOLE 791300 CARTER INC COM 146229109 2092 85000 SH SOLE 85000 CB RICHARD ELLIS GROUP INC CL A 12497T101 402 43000 SH SOLE 43000 CENTENE CORP DEL COM 15135B101 2697 135000 SH SOLE 135000 CENTRAL GARDEN & PET CO COM 153527106 5699 519500 SH SOLE 519500 CHECKPOINT SYS INC COM 162825103 549 35000 SH SOLE 35000 CHIPOTLE MEXICAN GRILL INC CL A 169656105 3080 38500 SH SOLE 38500 CHIPOTLE MEXICAN GRILL INC CL B 169656204 57905 829700 SH SOLE 829700 CIENA CORP COM NEW 171779309 423 40900 SH SOLE 40900 CIENA CORP NOTE 0.250% 5/0 171779AB7 1980 3000000 SH SOLE 3000000 CIGNA CORP COM 125509109 2908 120700 SH SOLE 120700 CINEMARK HOLDINGS INC COM 17243V102 14973 1322700 SH SOLE 1322700 CME GROUP INC COM 12572Q105 2722 8750 SH SOLE 8750 COMERICA INC COM 200340107 624 29500 SH SOLE 29500 COMPUCREDIT CORP COM 20478N100 121 52700 SH SOLE 52700 COVANCE INC COM 222816100 4034 82000 SH SOLE 82000
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 - ------------------------------------------------------------------------------------------------------------------------------------ CRACKER BARREL OLD CTRY STOR COM 22410J106 865 31000 SH SOLE 31000 CRAFT BREWERS ALLIANCE INC COM 224122101 147 72000 SH SOLE 72000 CROCS INC COM 227046109 8515 2504500 SH SOLE 2504500 DAKTRONICS INC COM 234264109 638 82900 SH SOLE 82900 DEXCOM INC COM 252131107 6809 1100000 SH SOLE 1100000 DIGITALGLOBE INC COM NEW 25389M877 1478 77000 SH SOLE 77000 DOLAN MEDIA CO COM 25659P402 1658 129600 SH SOLE 129600 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 515 36900 SH SOLE 36900 DSW INC CL A 23334L102 1478 150000 SH SOLE 150000 ECLIPSYS CORP COM 278856109 1487 83625 SH SOLE 83625 ELLIS PERRY INTL INC COM 288853104 587 80700 SH SOLE 80700 ELOYALTY CORP COM NEW 290151307 394 50000 SH SOLE 50000 ENDEAVOUR INTL CORP COM 29259G101 1116 820541 SH SOLE 820541 ENTERCOM COMMUNICATIONS CORP CL A 293639100 221 144300 SH SOLE 144300 ENTREMED INC COM 29382F103 81 166000 SH SOLE 166000 ETHAN ALLEN INTERIORS INC COM 297602104 378 36500 SH SOLE 36500 EZCORP INC CL A NON VTG 302301106 323 30000 SH SOLE 30000 FIBERTOWER CORP NOTE 9.000%11/1 31567RAC4 173 600000 SH SOLE 600000 GAMESTOP CORP NEW CL A 36467W109 876 39800 SH SOLE 39800 GANNETT INC COM 364730101 653 182900 SH SOLE 182900 GLG PARTNERS INC COM 37929X107 448 109500 SH SOLE 109500 GP STRATEGIES CORP COM 36225V104 9269 1573670 SH SOLE 1573670 GROUP 1 AUTOMOTIVE INC COM 398905109 1665 64000 SH SOLE 64000 HARLEY DAVIDSON INC COM 412822108 811 50000 SH PUT SOLE 50000 HEALTH FITNESS CORP COM NEW 42217V201 2155 347600 SH SOLE 347600 HEALTHSOUTH CORP COM NEW 421924309 4406 305103 SH SOLE 305103 HERITAGE FINL CORP WASH COM 42722X106 1206 104342 SH SOLE 104342 HMS HLDGS CORP COM 40425J101 1572 38600 SH SOLE 38600 HOT TOPIC INC COM 441339108 2768 378600 SH SOLE 378600 HSBC HLDGS PLC SPON ADR NEW 404280406 4306 103081 SH SOLE 103081 HUMAN GENOME SCIENCES INC NOTE 2.250%10/1 444903AK4 611 1000000 SH SOLE 1000000 HUMAN GENOME SCIENCES INC COM 444903108 3207 1117500 SH SOLE 1117500 HURON CONSULTING GROUP INC COM 447462102 8710 188400 SH SOLE 188400 HYPERCOM CORP COM 44913M105 375 250000 SH SOLE 250000 ICON PUB LTD CO SPONSORED ADR 45103T107 1014 47000 SH SOLE 47000 IHS INC CL A 451734107 1646 33000 SH SOLE 33000 IMAX CORP COM 45245E109 22332 2750298 SH SOLE 2750298 IMPAX LABORATORIES INC COM 45256B101 33213 4512639 SH SOLE 4512639 INTEGRATED DEVICE TECHNOLOGY COM 458118106 2416 400000 SH SOLE 400000 INTERNATIONAL GAME TECHNOLOG COM 459902102 1590 100000 SH SOLE 100000 INTERPUBLIC GROUP COS INC COM 460690100 1259 249400 SH SOLE 249400 INTUITIVE SURGICAL INC COM NEW 46120E602 1064 6500 SH SOLE 6500
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 - ------------------------------------------------------------------------------------------------------------------------------------ JACK IN THE BOX INC COM 466367109 23379 1041400 SH SOLE 1041400 JAZZ PHARMACEUTICALS INC COM 472147107 338 91400 SH SOLE 91400 JDS UNIPHASE CORP COM PAR $0.001 46612J507 1144 200000 SH SOLE 200000 JDS UNIPHASE CORP NOTE 1.000% 5/1 46612JAD3 746 1000000 SH SOLE 1000000 KELLY SVCS INC CL A 488152208 1552 141700 SH SOLE 141700 KORN FERRY INTL COM NEW 500643200 406 38200 SH SOLE 38200 KROGER CO COM 501044101 6439 292000 SH SOLE 292000 LEARNING TREE INTL INC COM 522015106 754 73200 SH SOLE 73200 LEE ENTERPRISES INC COM 523768109 68 127900 SH SOLE 127900 LEMAITRE VASCULAR INC COM 525558201 949 300273 SH SOLE 300273 LIFE TIME FITNESS INC COM 53217R207 6323 316000 SH SOLE 316000 LITHIA MTRS INC CL A 536797103 2541 275000 SH SOLE 275000 LIVEPERSON INC COM 538146101 1604 401000 SH SOLE 401000 LJ INTL INC ORD G55312105 585 300000 SH SOLE 300000 LMP CORPORATE LN FD INC COM 50208B100 450 54901 SH SOLE 54901 MACERICH CO COM 554382101 378 21464 SH SOLE 21464 MCDONALDS CORP COM 580135101 46877 815400 SH SOLE 815400 MCKESSON CORP COM 58155Q103 893 20300 SH SOLE 20300 MEMC ELECTR MATLS INC COM 552715104 5343 300000 SH SOLE 300000 MERIT MED SYS INC COM 589889104 163 10000 SH SOLE 10000 MOHAWK INDS INC COM 608190104 375 10500 SH SOLE 10500 MONTEREY GOURMET FOODS INC COM 612570101 34 20000 SH SOLE 20000 MOTORCAR PTS AMER INC COM 620071100 195 50000 SH SOLE 50000 MPS GROUP INC COM 553409103 1178 154200 SH SOLE 154200 MSCI INC CL A 55354G100 3666 150000 SH SOLE 150000 NATIONAL CINEMEDIA INC COM 635309107 8006 581800 SH SOLE 581800 NATIONAL DENTEX CORP COM 63563H109 701 107750 SH SOLE 107750 NAUTILUS INC COM 63910B102 132 117100 SH SOLE 117100 NCI INC CL A 62886K104 1521 50000 SH SOLE 50000 NEWMONT MINING CORP COM 651639106 3065 75000 SH SOLE 75000 NORTHROP GRUMMAN CORP COM 666807102 1370 30000 SH PUT SOLE 30000 OFFICE DEPOT INC COM 676220106 1482 325000 SH SOLE 325000 ORASURE TECHNOLOGIES INC COM 68554V108 74 30000 SH SOLE 30000 PALOMAR MED TECHNOLOGIES INC COM NEW 697529303 379 25714 SH SOLE 25714 PANERA BREAD CO CL A 69840W108 3445 69100 SH SOLE 69100 PENSKE AUTOMOTIVE GRP INC COM 70959W103 2912 175000 SH SOLE 175000 PLATO LEARNING INC COM 72764Y100 321 80200 SH SOLE 80200 POTASH CORP SASK INC COM 73755L107 2345 25200 SH SOLE 25200 REGAL ENTMT GROUP CL A 758766109 12893 970100 SH SOLE 970100 RITE AID CORP COM 767754104 1510 1000000 SH SOLE 1000000 ROSETTA STONE INC COM 777780107 7170 261300 SH SOLE 261300 RURAL / METRO CORP COM 781748108 638 250000 SH SOLE 250000
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 - ------------------------------------------------------------------------------------------------------------------------------------ SATYAM COMPUTER SERVICES LTD ADR 804098101 261 84000 SH SOLE 84000 SCRIPPS NETWORKS INTERACT IN CL A COM 811065101 1661 59700 SH SOLE 59700 SEALY CORP COM 812139301 347 177000 SH SOLE 177000 SHIRE PLC SPONSORED ADR 82481R106 1566 37744 SH SOLE 37744 SONIC AUTOMOTIVE INC CL A 83545G102 1016 100000 SH SOLE 100000 SPDR GOLD TRUST GOLD SHS 78463V107 3647 40000 SH CALL SOLE 40000 SPDR GOLD TRUST GOLD SHS 78463V107 16631 182400 SH SOLE 182400 SPDR TR UNIT SER 1 78462F103 7494 81500 SH SOLE 81500 SPHERION CORP COM 848420105 397 96400 SH SOLE 96400 STAAR SURGICAL CO COM PAR $0.01 852312305 5914 2454000 SH SOLE 2454000 STARBUCKS CORP COM 855244109 1389 100000 SH SOLE 100000 SUPER MICRO COMPUTER INC COM 86800U104 2298 300000 SH SOLE 300000 SUPERVALU INC COM 868536103 1336 103200 SH SOLE 103200 TALEO CORP CL A 87424N104 3530 193200 SH SOLE 193200 TECHTEAM GLOBAL INC COM 878311109 164 25000 SH SOLE 25000 THORATEC CORP COM NEW 885175307 2657 99200 SH SOLE 99200 TRANSCEND SERVICES INC COM NEW 893929208 1836 115823 SH SOLE 115823 TRUEBLUE INC COM 89785X101 711 84700 SH SOLE 84700 TRW AUTOMOTIVE HLDGS CORP COM 87264S106 899 79600 SH SOLE 79600 VALASSIS COMMUNICATIONS INC COM 918866104 7332 1200000 SH SOLE 1200000 VARIAN MED SYS INC COM 92220P105 1054 30000 SH PUT SOLE 30000 VERIFONE HLDGS INC NOTE 1.375% 6/1 92342YAB5 4735 6450000 SH SOLE 6450000 VERIFONE HLDGS INC COM 92342Y109 4386 584000 SH SOLE 584000 VICOR CORP COM 925815102 18851 2611000 SH SOLE 2611000 VIROPHARMA INC COM 928241108 4299 725000 SH SOLE 725000 VISTAPRINT LIMITED SHS G93762204 5327 124900 SH SOLE 124900 VONAGE HLDGS CORP COM 92886T201 74 193700 SH SOLE 193700 WEATHERFORD INTERNATIONAL LT REG H27013103 3333 170400 SH SOLE 170400 WESCO INTL INC NOTE 1.750%11/1 95082PAG0 834 1000000 SH SOLE 1000000 WPT ENTERPRISES INC COM 98211W108 600 500000 SH SOLE 500000 YOUBET COM INC COM 987413101 1155 350000 SH SOLE 350000 YRC WORLDWIDE INC COM 984249102 707 408400 SH SOLE 408400
-----END PRIVACY-ENHANCED MESSAGE-----