0001140361-11-042131.txt : 20110815 0001140361-11-042131.hdr.sgml : 20110815 20110815172140 ACCESSION NUMBER: 0001140361-11-042131 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pentwater Capital Management LP CENTRAL INDEX KEY: 0001425851 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12843 FILM NUMBER: 111037858 BUSINESS ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4000 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-589-6400 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4000 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 form13fhr.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: 6/30/2011 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: Pentwater Capital Management LP Address: 227 West Monroe Street, Suite 4000 Chicago, IL 60606 Form 13F File Number: 28-12843 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 submission. Persons Signing this Report on Behalf of Reporting Manager: Name: Neal Nenadovic Title: Chief Financial Officer Phone: 312-589-6405 Signature, Place, and Date of Signing: /s/ Neal Nenadovic Chicago, IL 8/12/2011 --------------------------------- --------------------------------- ---------- [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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 151 Form 13F Information Table Value Total: $ 3,111,193 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ ------------------ --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ ------------------ --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- 99 CENTS ONLY STORES COM 65440K106 4271 211000 SH SOLE 211000 0 0 99 CENTS ONLY STORES COM 65440K906 1619 80000 SH CALL SOLE 80000 0 0 ABOVENET INC COM 00374N107 26423 375000 SH SOLE 375000 0 0 ADVANCED ANALOGIC TECHNOLOGIES COM 00752J108 1321 218122 SH SOLE 218122 0 0 AEGERION PHARMACEUTICALS INC COM 00767E102 266 16866 SH SOLE 16866 0 0 AIRGAS INC COM 009363102 55682 795000 SH SOLE 795000 0 0 AIRGAS INC COM 009363952 22413 320000 SH PUT SOLE 320000 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 2726 60000 SH SOLE 60000 0 0 ALPHA NATURAL RESOURCES INC COM 02076X952 6362 140000 SH PUT SOLE 140000 0 0 AMERICAN INTL GROUP INC COM 026874954 13194 450000 SH PUT SOLE 450000 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 1467 50050 SH SOLE 50050 0 0 AMERICAN INTL GROUP INC *W EXP 01/19/202 026874156 4712 462000 SH SOLE 462000 0 0 AMERICAN TOWER CORP CL A 029912201 67506 1290000 SH SOLE 1290000 0 0 AMERICAN TOWER CORP COM 029912951 17792 340000 SH PUT SOLE 340000 0 0 AMERICAN TOWER CORP COM 029912901 20932 400000 SH CALL SOLE 400000 0 0 ATP OIL & GAS CORP COM 00208J108 5240 342244 SH SOLE 342244 0 0 ATP OIL & GAS CORP COM 00208J958 6430 420000 SH PUT SOLE 420000 0 0 BANK OF AMERICA CORPORATION COM 060505904 590 53800 SH CALL SOLE 53800 0 0 BARNES & NOBLE INC COM 067774109 11192 675000 SH SOLE 675000 0 0 BIG LOTS INC COM 089302103 1856 56000 SH SOLE 56000 0 0 BJS WHOLESALE CLUB INC COM 05548J956 32728 650000 SH PUT SOLE 650000 0 0 BJS WHOLESALE CLUB INC COM 05548J906 2014 40000 SH CALL SOLE 40000 0 0 BJS WHOLESALE CLUB INC COM 05548J106 115805 2300000 SH SOLE 2300000 0 0 BLACKBOARD INC COM 091935952 52328 1206000 SH PUT SOLE 1206000 0 0 BLACKBOARD INC COM 091935902 9112 210000 SH CALL SOLE 210000 0 0 BLACKBOARD INC COM 091935502 42956 990000 SH SOLE 990000 0 0 BUCYRUS INTL INC COM 118759109 94426 1030179 SH SOLE 1030179 0 0 CEPHALON INC COM 156708959 29963 375000 SH PUT SOLE 375000 0 0 CEPHALON INC COM 156708909 983 12300 SH CALL SOLE 12300 0 0 CEPHALON INC COM 156708109 30762 385000 SH SOLE 385000 0 0 CHINA FIRE & SEC GROUP INC COM 16938R103 5090 650000 SH SOLE 650000 0 0 CHINA SEC & SURVE TECH INC COM 16942J105 19504 3680000 SH SOLE 3680000 0 0 CHINA SEC & SURVE TECH INC COM 16942J955 2381 449300 SH PUT SOLE 449300 0 0 CHINA SEC & SURVE TECH INC COM 16942J905 424 80000 SH CALL SOLE 80000 0 0 CITIGROUP INC COM 172967951 29981 720000 SH PUT SOLE 720000 0 0 CITIGROUP INC COM NEW 172967424 34594 830785 SH SOLE 830785 0 0 COMMUNITY HEALTH SYS INC COM 203668108 462 18000 SH SOLE 18000 0 0 COMMUNITY HEALTH SYS INC COM 203668908 1387 54000 SH CALL SOLE 54000 0 0 CREXUS INVT CORP COM 226553105 3722 335000 SH SOLE 335000 0 0 CUMULUS MEDIA INC CL A 231082108 859 245297 SH SOLE 245297 0 0 DIAMOND FOODS INC COM 252603105 18856 247000 SH SOLE 247000 0 0 DIAMOND FOODS INC COM 252603955 13741 180000 SH PUT SOLE 180000 0 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 145858 1978000 SH SOLE 1978000 0 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743955 14748 200000 SH PUT SOLE 200000 0 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743905 12536 170000 SH CALL SOLE 170000 0 0 EMS TECHNOLOGIES INC COM 26873N108 659 20000 SH SOLE 20000 0 0 EXELIXIS INC COM 30161Q954 1523 170000 SH PUT SOLE 170000 0 0 EXELIXIS INC COM 30161Q104 1702 190000 SH SOLE 190000 0 0 FLOTEK INDS INC COM 343389102 2300 270000 SH SOLE 270000 0 0 FX ENERGY INC COM 302695101 439 50000 SH SOLE 50000 0 0 GAIN CAP HLDGS INC COM 36268W100 1703 250000 SH SOLE 250000 0 0 GAP INC DEL COM 364760108 905 50000 SH SOLE 50000 0 0 GASTAR EXPL LTD COM NEW 367299203 261 76102 SH SOLE 76102 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V118 21804 1018858 SH SOLE 1018858 0 0 GENERAL MTRS CO *W EXP 07/10/201 37045V126 16230 1018858 SH SOLE 1018858 0 0 GENERAL MTRS CO COM 37045V950 44781 1475000 SH PUT SOLE 1475000 0 0 GEN-PROBE INC COM 36866T103 26899 389000 SH SOLE 389000 0 0 GEN-PROBE INC COM 36866T953 32501 470000 SH PUT SOLE 470000 0 0 GLOBAL EAGLE ACQUISITION COR UNIT 99/99/9999 37951D201 2026 200000 SH SOLE 200000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 24013 180428 SH SOLE 180428 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ ------------------ --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ ------------------ --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- GOLDMAN SACHS GROUP INC COM 38141G904 24622 185000 SH CALL SOLE 185000 0 0 GRACE W R & CO DEL COM 38388F108 9354 205000 SH SOLE 205000 0 0 GRAHAM PACKAGING CO INC COM 384701108 14809 587207 SH SOLE 587207 0 0 GRAHAM PACKAGING CO INC COM 384701958 1261 50000 SH PUT SOLE 50000 0 0 HARBIN ELECTRIC INC COM 41145W109 32659 2160000 SH SOLE 2160000 0 0 HARBIN ELECTRIC INC COM 41145W909 16269 1076000 SH CALL SOLE 1076000 0 0 HARBIN ELECTRIC INC COM 41145W959 20011 1323500 SH PUT SOLE 1323500 0 0 HEARTWARE INTL INC NOTE 3.500%12/1 422368AA8 17757 17000 PRN SOLE 17000 0 0 HEARTWARE INTL INC COM 422368100 14075 190000 SH SOLE 190000 0 0 HYPERCOM CORP COM 44913M105 45021 4580000 SH SOLE 4580000 0 0 ITT CORP COM 450911102 3536 60000 SH SOLE 60000 0 0 IVANHOE MINES LTD COM 46579N103 16445 650000 SH SOLE 650000 0 0 IVANHOE MINES LTD COM 46579N953 13915 550000 SH PUT SOLE 550000 0 0 IVANHOE MINES LTD COM 46579N903 3795 150000 SH CALL SOLE 150000 0 0 JOHNSON & JOHNSON COM 478160954 19291 290000 SH PUT SOLE 290000 0 0 JPMORGAN CHASE & CO COM 46625H950 103988 2540000 SH PUT SOLE 2540000 0 0 JPMORGAN CHASE & CO COM 46625H900 22562 551100 SH CALL SOLE 551100 0 0 JPMORGAN CHASE & CO COM 46625H100 119349 2915222 SH SOLE 2915222 0 0 KEMET CORP COM NEW 488360207 13290 930000 SH SOLE 930000 0 0 KINDER MORGAN INC COM 49456B101 6895 240000 SH SOLE 240000 0 0 KIPS BAY MED INC COM 49726K105 472 146000 SH SOLE 146000 0 0 L-1 IDENTITY SOLUTIONS INC COM 50212A106 5464 465000 SH SOLE 465000 0 0 LEAP WIRELESS INTL INC COM 521863958 22480 1385100 SH PUT SOLE 1385100 0 0 LEAP WIRELESS INTL INC COM NEW 521863308 38952 2400010 SH SOLE 2400010 0 0 LEVEL 3 COMMUNICATIONS INC COM 52729N100 2764 1132865 SH SOLE 1132865 0 0 LIBERTY MEDIA CORP LIB STAR COM A 53071M708 19329 256900 SH SOLE 256900 0 0 LOOPNET INC COM 543524300 6474 352248 SH SOLE 352248 0 0 LUBRIZOL CORP COM 549271104 19630 146200 SH SOLE 146200 0 0 LUBRIZOL CORP COM 549271904 46995 350000 SH CALL SOLE 350000 0 0 LYONDELLBASELL INDUSTRIES N COM N53745950 385 10000 SH PUT SOLE 10000 0 0 LYONDELLBASELL INDUSTRIES N COM N53745900 770 20000 SH CALL SOLE 20000 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 963 25000 SH SOLE 25000 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 8064 700000 SH SOLE 700000 0 0 MARSHALL & ILSLEY CORP COM 571837103 12887 1617000 SH SOLE 1617000 0 0 MCMORAN EXPLORATION CO COM 582411104 9240 500000 SH SOLE 500000 0 0 MCMORAN EXPLORATION CO COM 582411954 4435 240000 SH PUT SOLE 240000 0 0 MCMORAN EXPLORATION CO COM 582411904 6745 365000 SH CALL SOLE 365000 0 0 MEDLEY CAP CORP COM 58503F106 3759 320200 SH SOLE 320200 0 0 MEDQUIST HLDGS INC COM 58506K102 2784 215494 SH SOLE 215494 0 0 METLIFE INC COM 59156R108 1755 40000 SH SOLE 40000 0 0 MIPS TECHNOLOGIES INC COM 604567107 214 31000 SH SOLE 31000 0 0 MISSION NEWENERGY LTD SHS NEW Q62163110 705 105000 SH SOLE 105000 0 0 MOSAIC CO COM 61945C103 5757 85000 SH SOLE 85000 0 0 NATIONAL SEMICONDUCTOR CORP COM 637640103 57218 2325000 SH SOLE 2325000 0 0 NATIONAL SEMICONDUCTOR CORP COM 637640903 9844 400000 SH CALL SOLE 400000 0 0 NII HLDGS INC COM 62913F951 10595 250000 SH PUT SOLE 250000 0 0 NII HLDGS INC CL B NEW 62913F201 7311 172500 SH SOLE 172500 0 0 NORTHERN OIL & GAS INC COM 665531109 1400 63200 SH SOLE 63200 0 0 NOVARTIS A G SPONSORED ADR 66987V109 10419 170000 SH SOLE 170000 0 0 NYSE EURONEXT COM 629491101 9195 268300 SH SOLE 268300 0 0 NYSE EURONEXT COM 629491951 51748 1510000 SH PUT SOLE 1510000 0 0 NYSE EURONEXT COM 629491901 2056 60000 SH CALL SOLE 60000 0 0 OPTIONSXPRESS HLDGS INC COM 684010101 317 19013 SH SOLE 19013 0 0 PALL CORP COM 696429307 7732 137500 SH SOLE 137500 0 0 PROCTER & GAMBLE CO COM 742718109 1907 30000 SH SOLE 30000 0 0 PROMOTORA DE INFORMACIONES S ADR CL B CONV 74343G303 250 25000 SH SOLE 25000 0 0 PROSHARES TR ULTSHT OIL NEW 74347X591 418 14804 SH SOLE 14804 0 0 RALCORP HLDGS INC COM 751028951 8658 100000 SH PUT SOLE 100000 0 0 RALCORP HLDGS INC COM 751028101 22944 265000 SH SOLE 265000 0 0 ROCK-TENN CO CL A 772739207 1659 25000 SH SOLE 25000 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ------------------------------ ------------------ --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ------------------------------ ------------------ --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- SANOFI COM 80105N955 79348 1975300 SH PUT SOLE 1975300 0 0 SANOFI RIGHT 12/31/2020 80105N113 12532 5200000 SH SOLE 5200000 0 0 SAVVIS INC COM NEW 805423308 69391 1755400 SH SOLE 1755400 0 0 SEACHANGE INTL INC COM 811699107 1636 151744 SH SOLE 151744 0 0 SELECT SECTOR SPDR TRUST SBI INT-FINL 81369Y954 1535 100000 SH PUT SOLE 100000 0 0 SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323108 143 10000 SH SOLE 10000 0 0 SERVICE CORP INTL COM 817565104 4263 365000 SH SOLE 365000 0 0 SIX FLAGS ENTMT CORP COM 83001A102 138490 3698000 SH SOLE 3698000 0 0 SOUTHERN UN CO COM 844030106 37340 930000 SH SOLE 930000 0 0 SOUTHERN UN CO COM 844030906 4015 100000 SH CALL SOLE 100000 0 0 SOUTHWEST AIRLS CO COM 844741108 3897 341200 SH SOLE 341200 0 0 SPDR S&P 500 ETF TRUST COM 78462F953 298252 2260000 SH PUT SOLE 2260000 0 0 SPDR S&P 500 ETF TRUST COM 78462F903 130650 990000 SH CALL SOLE 990000 0 0 SRA INTL INC CL A 78464R105 48854 1580000 SH SOLE 1580000 0 0 SUMMIT HOTEL PPTYS INC COM 866082100 4313 380000 SH SOLE 380000 0 0 TALBOTS INC *W EXP 04/09/201 874161110 182 1520600 SH SOLE 1520600 0 0 TEMPLE INLAND INC COM 879868107 5502 185000 SH SOLE 185000 0 0 TEMPLE INLAND INC COM 879868957 2974 100000 SH PUT SOLE 100000 0 0 TEMPLE INLAND INC COM 879868907 6692 225000 SH CALL SOLE 225000 0 0 TIMBERLAND CO CL A 887100105 3844 89456 SH SOLE 89456 0 0 TRIUMPH GROUP INC COM 896818101 7469 75000 SH SOLE 75000 0 0 TYCO INTERNATIONAL LTD COM H89128904 7909 160000 SH CALL SOLE 160000 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 62669 1020000 SH SOLE 1020000 0 0 VERIFONE SYS INC COM 92342Y959 23062 520000 SH PUT SOLE 520000 0 0 VERIFONE SYS INC COM 92342Y909 3326 75000 SH CALL SOLE 75000 0 0 VERIGY LTD SHS Y93691106 11562 772375 SH SOLE 772375 0 0 VOYAGER OIL & GAS INC COM 92911K100 832 280100 SH SOLE 280100 0 0 WARNER MUSIC GROUP CORP COM 934550104 1254 152500 SH SOLE 152500 0 0 WILLIAMS COS INC COM 969457100 12403 410000 SH SOLE 410000 0 0 WILLIAMS COS INC COM 969457950 9075 300000 SH PUT SOLE 300000 0 0 WILLIAMS COS INC COM 969457900 9226 305000 SH CALL SOLE 305000 0 0