0001193125-12-470592.txt : 20121114 0001193125-12-470592.hdr.sgml : 20121114 20121114160740 ACCESSION NUMBER: 0001193125-12-470592 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SENECA CAPITAL INVESTMENTS, L.P. CENTRAL INDEX KEY: 0001360505 IRS NUMBER: 061764524 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12387 FILM NUMBER: 121204488 BUSINESS ADDRESS: STREET 1: 590 MADISON AVE., 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-371-1300 MAIL ADDRESS: STREET 1: 590 MADISON AVE., 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 d438249d13fhr.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: September 30, 2012 If amended report check here: [_] This Amendment (check only one): [_] is a restatement [_] adds new holding entries Seneca Capital Investments, L.P. -------------------------------------------------------------------------------- Name of Institutional Investment Manager 590 Madison Avenue New York New York 10022 -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-12387 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 herein is true, correct and complete, and that it is understood that all required items, statements, schedules, and tables, are considered integral parts of this form. Name, Title and Telephone Number of Person Submitting Report: Michael R. Anastasio, Jr. Chief Financial Officer 212-888-2999 -------------------------------------------------------------------------------- (Name) (Title) (Phone) Signature, Place and Date of Signing: /s/ Michael R. Anastasio, Jr. -------------------------------------- 590 Madison Avenue New York, New York 10022 Date: November 14, 2012 Report Type: [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Number of Other Included Managers: 2 List of Other Included Managers: No. Form 13F File Number Name: --- -------------------- ----- 1 28-03497 Seneca Capital Advisors, LLC 2 28-14863 Douglas A. Hirsch Form 13F Information Table Entry Total: 92 Form 13F Information Table Value Total: $ 478,181 (x1000) FORM 13F INFORMATION TABLE
VOTING AUTHORITY VALUE SHARES INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (in 000's) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- -------------- --------- ---------- --------- ------ -------- ---------- -------- --------- ------ ---- ABBOTT LABS COM 002824100 6,808 99,300 SH SOLE 1, 2 99,300 0 0 ABBOTT LABS COM 002824100 9,989 145,700 SH SOLE 2 145,700 0 0 AMC NETWORKS INC CL A 00164V103 744 17,100 SH SOLE 1, 2 17,100 0 0 AMC NETWORKS INC CL A 00164V103 1,098 25,232 SH SOLE 2 25,232 0 0 AMERICAN CAP LTD COM 02503Y103 2,529 222,800 SH SOLE 1, 2 222,800 0 0 AMERICAN CAP LTD COM 02503Y103 3,714 327,200 SH SOLE 2 327,200 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1,331 40,600 SH SOLE 1, 2 40,600 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1,948 59,400 SH SOLE 2 59,400 0 0 AMERISOURCEBERGEN CORP COM 03073E105 5,489 141,800 CALL SOLE 1, 2 141,800 0 0 AMERISOURCEBERGEN CORP COM 03073E105 8,059 208,200 CALL SOLE 2 208,200 0 0 ANADARKO PETE CORP COM 032511107 3,552 50,800 SH SOLE 1, 2 50,800 0 0 ANADARKO PETE CORP COM 032511107 5,188 74,200 SH SOLE 2 74,200 0 0 APPLE INC COM 037833100 10,740 16,100 SH SOLE 1, 2 16,100 0 0 APPLE INC COM 037833100 15,944 23,900 SH SOLE 2 23,900 0 0 BPZ RESOURCES INC COM 055639108 4,124 1,442,000 SH SOLE 1, 2 1,442,000 0 0 BPZ RESOURCES INC COM 055639108 5,865 2,050,633 SH SOLE 2 2,050,633 0 0 BROOKDALE SR LIVING INC COM 112463104 471 20,300 SH SOLE 1, 2 20,300 0 0 BROOKDALE SR LIVING INC COM 112463104 690 29,700 SH SOLE 2 29,700 0 0 BOYD GAMING CORP COM 103304101 572 81,000 SH SOLE 1, 2 81,000 0 0 BOYD GAMING CORP COM 103304101 840 119,000 SH SOLE 2 119,000 0 0 CAESARS ENTMT CORP COM 127686103 215 31,600 SH SOLE 1, 2 31,600 0 0 CAESARS ENTMT CORP COM 127686103 315 46,289 SH SOLE 2 46,289 0 0 CANADIAN PAC RY LTD COM 13645T100 4,990 60,200 SH SOLE 1, 2 60,200 0 0 CANADIAN PAC RY LTD COM 13645T100 7,327 88,400 SH SOLE 2 88,400 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 3,040 40,500 SH SOLE 1, 2 40,500 0 0 CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 4,466 59,500 SH SOLE 2 59,500 0 0 CHENIERE ENERGY INC COM NEW 16411R208 11,062 712,300 SH SOLE 1, 2 712,300 0 0 CHENIERE ENERGY INC COM NEW 16411R208 16,252 1,046,500 SH SOLE 2 1,046,500 0 0 CIGNA CORPORATION COM 125509109 5,736 121,600 SH SOLE 1, 2 121,600 0 0 CIGNA CORPORATION COM 125509109 8,415 178,400 SH SOLE 2 178,400 0 0 CINCINNATI BELL INC NEW COM 171871106 5,598 982,100 SH SOLE 1, 2 982,100 0 0 CINCINNATI BELL INC NEW COM 171871106 8,225 1,442,900 SH SOLE 2 1,442,900 0 0 CIT GROUP INC COM NEW 125581801 4,467 113,400 SH SOLE 1, 2 113,400 0 0 CIT GROUP INC COM NEW 125581801 6,759 171,600 SH SOLE 2 171,600 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 11,424 368,500 SH SOLE 1, 2 368,500 0 0 DELPHI AUTOMOTIVE PLC SHS G27823106 16,787 541,517 SH SOLE 2 541,517 0 0 DIRECTV COM CL A 25490A309 4,777 91,100 SH SOLE 1, 2 91,100 0 0 DIRECTV COM CL A 25490A309 7,022 133,900 SH SOLE 2 133,900 0 0 ENPRO INDS INC COM 29355X107 3,486 96,800 SH SOLE 1, 2 96,800 0 0 ENPRO INDS INC COM 29355X107 5,114 142,006 SH SOLE 2 142,006 0 0 EQUINIX INC COM NEW 29444U502 16,690 81,000 CALL SOLE 1, 2 81,000 0 0 EQUINIX INC COM NEW 29444U502 24,520 119,000 CALL SOLE 2 119,000 0 0 GENERAL MTRS CO COM 37045V100 3,228 141,900 SH SOLE 1, 2 141,900 0 0 GENERAL MTRS CO COM 37045V100 4,734 208,100 SH SOLE 2 208,100 0 0
VOTING AUTHORITY VALUE SHARES INVESTMENT OTHER ------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (in 000's) PRN AMT SH/PRN PUT/CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- ---------------- --------- ---------- ------- ------ -------- ---------- -------- ------- ------ ---- GRACE W R & CO DEL NEW COM 38388F108 4,006 67,800 SH SOLE 1, 2 67,800 0 0 GRACE W R & CO DEL NEW COM 38388F108 5,867 99,300 SH SOLE 2 99,300 0 0 INFINITY CROSS BORDER ACQUIS UNIT 99/99/9999 G4772R127 659 81,000 SH SOLE 1, 2 81,000 0 0 INFINITY CROSS BORDER ACQUIS UNIT 99/99/9999 G4772R127 967 119,000 SH SOLE 2 119,000 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 593 169,800 SH SOLE 1, 2 169,800 0 0 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 870 249,400 SH SOLE 2 249,400 0 0 LIBERTY MEDIA CORPORATION LIB CAP COM A 530322106 4,215 40,500 SH SOLE 1, 2 40,500 0 0 LIBERTY MEDIA CORPORATION LIB CAP COM A 530322106 6,193 59,500 SH SOLE 2 59,500 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 3,554 68,800 SH SOLE 1, 2 68,800 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 5,228 101,200 SH SOLE 2 101,200 0 0 MARATHON PETE CORP COM 56585A102 11,076 202,900 SH SOLE 1, 2 202,900 0 0 MARATHON PETE CORP COM 56585A102 16,273 298,100 SH SOLE 2 298,100 0 0 NEWS CORP CL A 65248E104 1,970 80,400 SH SOLE 1, 2 80,400 0 0 NEWS CORP CL A 65248E104 2,931 119,600 SH SOLE 2 119,600 0 0 PROCTER & GAMBLE CO COM 742718109 5,479 79,000 SH SOLE 1, 2 79,000 0 0 PROCTER & GAMBLE CO COM 742718109 8,046 116,000 SH SOLE 2 116,000 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS R 780097747 2,526 121,100 SH SOLE 1, 2 121,100 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PREF SHS R 780097747 3,709 177,790 SH SOLE 2 177,790 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 906 39,900 SH SOLE 1, 2 39,900 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF T 780097713 1,342 59,116 SH SOLE 2 59,116 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PFD SER P 780097762 257 12,400 SH SOLE 1, 2 12,400 0 0 ROYAL BK SCOTLAND GROUP PLC ADR PFD SER P 780097762 385 18,596 SH SOLE 2 18,596 0 0 SIRIUS XM RADIO INC COM 82967N108 839 324,000 SH SOLE 1, 2 324,000 0 0 SIRIUS XM RADIO INC COM 82967N108 1,233 476,000 SH SOLE 2 476,000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 9,316 54,200 SH SOLE 1, 2 54,200 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 13,631 79,300 SH SOLE 2 79,300 0 0 TEEKAY CORPORATION COM Y8564W103 4,078 130,700 SH SOLE 1, 2 130,700 0 0 TEEKAY CORPORATION COM Y8564W103 6,062 194,300 SH SOLE 2 194,300 0 0 TESORO CORP COM 881609101 3,398 81,100 SH SOLE 1, 2 81,100 0 0 TESORO CORP COM 881609101 4,982 118,900 SH SOLE 2 118,900 0 0 TRIO MERGER CORP COM 896697109 629 63,800 SH SOLE 1, 2 63,800 0 0 TRIO MERGER CORP COM 896697109 850 86,200 SH SOLE 2 86,200 0 0 TRIPADVISOR INC COM 896945201 3,342 101,500 SH SOLE 1, 2 101,500 0 0 TRIPADVISOR INC COM 896945201 4,890 148,500 SH SOLE 2 148,500 0 0 TRONOX LTD SHS CL A Q9235V101 5,377 237,400 SH SOLE 1, 2 237,400 0 0 TRONOX LTD SHS CL A Q9235V101 7,873 347,609 SH SOLE 2 347,609 0 0 TURQUOISE HILL RES LTD COM 900435108 343 40,500 SH SOLE 1, 2 40,500 0 0 TURQUOISE HILL RES LTD COM 900435108 505 59,500 SH SOLE 2 59,500 0 0 UNITED STATES STL CORP NEW COM 912909108 1,930 101,200 PUT SOLE 1, 2 101,200 0 0 UNITED STATES STL CORP NEW COM 912909108 2,838 148,800 PUT SOLE 2 148,800 0 0 VIRGIN MEDIA INC COM 92769L101 2,980 101,300 SH SOLE 1, 2 101,300 0 0 VIRGIN MEDIA INC COM 92769L101 4,375 148,700 SH SOLE 2 148,700 0 0 VISTEON CORP COM NEW 92839U206 9,581 215,500 SH SOLE 1, 2 215,500 0 0 VISTEON CORP COM NEW 92839U206 14,072 316,500 SH SOLE 2 316,500 0 0 WASTE MGMT INC DEL COM 94106L109 3,898 121,500 PUT SOLE 1, 2 121,500 0 0 WASTE MGMT INC DEL COM 94106L109 5,726 178,500 PUT SOLE 2 178,500 0 0 XEROX CORP COM 984121103 1,635 222,800 SH SOLE 1, 2 222,800 0 0 XEROX CORP COM 984121103 2,402 327,200 SH SOLE 2 327,200 0 0