13F-HR 1 us13finitial.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 2006______ 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: ____Mohican Financial Management, LLC_______ Address: _____21 Railroad Ave, Suite 35________________ _____Cooperstown, NY 13326_________________ __________________________________________ Form 13F File Number: 28-____________ 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: ___Eric Hage_______________________________ Title: ___Chief Investment Officer___________________ Phone: ___607.547.1357_____________________________ Signature, Place, and Date of Signing: ____Eric Hage__ ____Cooperstown, NY__ ____November 6, 2006___ 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 is reported in this report and a portion is reported by other reporting manager(s).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: _______NONE________ Form 13F Information Table Entry Total: ________42__________ Form 13F Information Table Value Total: ______80,495_________ (thousands) Name Of Issuer Title of Class Cusip Number Value (x1000) Shr/Prn Amount SH PRN PUT CALL Investment Discretion Other Managers Sole Shared Other AAR CORP -W/RTS TO PUR C/STK CONVERTIBLE CORPORATE BONDS 000361AF2 3,994 2,750,000 PRN Sole 2,750,000 ALLIANT TECHSYSTEMS INC CONVERTIBLE CORPORATE BONDS 018804AM6 1,005 1,000,000 PRN Sole 1,000,000 ARVINMERITOR INC CONVERTIBLE CORPORATE BONDS 043353AF8 1,004 1,000,000 PRN Sole 1,000,000 BIOMARIN PHARMACEUTICAL INC CONVERTIBLE CORPORATE BONDS 09061GAB7 4,608 3,750,000 PRN Sole 3,750,000 CALGON CARBON CORP CONVERTIBLE CORPORATE BONDS 129603AB2 1,000 1,000,000 PRN Sole 1,000,000 CELL GENESYS INC CONVERTIBLE CORPORATE BONDS 150921AA2 476 600,000 PRN Sole 600,000 COMPUDYNE CORP NEW CONVERTIBLE CORPORATE BONDS 204795AA6 1,230 1,500,000 PRN Sole 1,500,000 CONNETICS CORPORATION CONVERTIBLE CORPORATE BONDS 208192AB0 1,963 2,000,000 PRN Sole 2,000,000 CUBIST PHARMACEUTICALS INC CONVERTIBLE CORPORATE BONDS 229678AC1 2,955 3,000,000 PRN Sole 3,000,000 CURAGEN CORP CONVERTIBLE CORPORATE BONDS 23126RAE1 1,613 2,000,000 PRN Sole 2,000,000 DECODE GENETICS INC CONVERTIBLE CORPORATE BONDS 243586AB0 1,515 2,000,000 PRN Sole 2,000,000 DST SYSTEMS INC-DEL CONVERTIBLE CORPORATE BONDS 233326AD9 2,645 2,000,000 PRN Sole 2,000,000 EDO CORP CONVERTIBLE CORPORATE BONDS 281347AE4 1,870 2,000,000 PRN Sole 2,000,000 EMCORE CORP CONVERTIBLE CORPORATE BONDS 290846AC8 3,015 3,000,000 PRN Sole 3,000,000 EMPIRE RESORTS INC CONVERTIBLE CORPORATE BONDS 292052AB3 2,300 2,500,000 PRN Sole 2,500,000 FINISAR CORP CONVERTIBLE CORPORATE BONDS 31787AAC5 1,500 1,500,000 PRN Sole 1,500,000 FRONTIER AIRLINES INC NEW CONVERTIBLE CORPORATE BONDS 359065AA7 1,370 1,350,000 PRN Sole 1,350,000 GREY WOLF INC CONVERTIBLE CORPORATE BONDS 397888AD0 2,385 2,000,000 PRN Sole 2,000,000 HEADWATERS INC CONVERTIBLE CORPORATE BONDS 42210PAA0 637 600,000 PRN Sole 600,000 HEADWATERS INC CONVERTIBLE SUB NOTE 42210PAB8 425 400,000 PRN Sole 400,000 INCYTE PHARMACEUTICALS INC CONVERTIBLE CORPORATE BONDS 45337CAE2 1,925 2,500,000 PRN Sole 2,500,000 INCYTE PHARMACEUTICALS INC CONVERTIBLE CORPORATE BONDS 45337CAG7 1,593 2,000,000 PRN Sole 2,000,000 INVITROGEN CORP CONVERTIBLE CORPORATE BONDS 46185RAL4 939 1,000,000 PRN Sole 1,000,000 INVITROGEN CORP CONVERTIBLE CORPORATE BONDS 46185RAM2 1,878 2,000,000 PRN Sole 2,000,000 LECROY CORP CONVERTIBLE CORPORATE BONDS 52324WAA7 2,697 2,500,000 PRN Sole 2,500,000 LEVEL 3 COMMUNICATIONS INC CONVERTIBLE CORPORATE BONDS 52729NBK5 3,578 3,000,000 PRN Sole 3,000,000 LITHIA MOTORS INC-CL A CONVERTIBLE CORPORATE BONDS 536797AB9 951 1,000,000 PRN Sole 1,000,000 MACROVISION CORP CONVERTIBLE CORPORATE BONDS 555904AA9 1,204 1,000,000 PRN Sole 1,000,000 MERIX CORP CONVERTIBLE CORPORATE BONDS 590049AA0 1,795 2,000,000 PRN Sole 2,000,000 MNCP 5 1/4 20100415 Pfd MISCELLANEOUS EQUITIES 619908601 1,501 1,900 SH Sole 1,900 NEKTAR THERAPEUTICS CONVERTIBLE CORPORATE BONDS 640268AG3 1,975 2,000,000 PRN Sole 2,000,000 NPS PHARMACEUTICALS INC CONVERTIBLE CORPORATE BONDS 62936PAB9 1,911 2,200,000 PRN Sole 2,200,000 ON SEMICONDUCTOR CONVERTIBLE CORPORATE BONDS 682189AC9 1,090 1,000,000 PRN Sole 1,000,000 PER-SE TECHNOLOGIES INC CONVERTIBLE CORPORATE BONDS 713569AB7 1,626 1,000,000 PRN Sole 1,000,000 QUANTUM CORP CONVERTIBLE CORPORATE BONDS 747906AE5 1,758 2,000,000 PRN Sole 2,000,000 SOVEREIGN CAP TR IV 4.375% PREFERRED STOCKS 846048205 2,400 50,000 SH Sole 50,000 TRINITY INDS INC CONVERTIBLE CORPORATE BONDS 896522AF6 3,601 3,500,000 PRN Sole 3,500,000 UAL CORPORATION CONVERTIBLE CORPORATE BONDS 902549AG9 2,530 2,000,000 PRN Sole 2,000,000 VECTOR GROUP LTD CONVERTIBLE CORPORATE BONDS 92240MAD0 725 590,000 PRN Sole 590,000 VECTOR GROUP LTD CONVERTIBLE CORPORATE BONDS 92240MAJ7 579 500,000 PRN Sole 500,000 WASHINGTON MUT INC UNIT 1 TR NASDAQ OTC ISSUES 939322848 5,413 100,000 SH Sole 100,000 Rows - 41 Number of other managers - 0