-----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, ARkKs6LoretZ+lqZ9vZBa9w1q68zwona5cw05bWwmDNJFGFTP25oznzWSzOSBr5M TsCbOE96sOnbbBsCDsIEZw== 0000919574-09-016280.txt : 20091116 0000919574-09-016280.hdr.sgml : 20091116 20091113184056 ACCESSION NUMBER: 0000919574-09-016280 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAIP PARTNERS, LLC CENTRAL INDEX KEY: 0001453035 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13400 FILM NUMBER: 091183140 BUSINESS ADDRESS: STREET 1: C/O CAIP CAPITAL, LLC STREET 2: 137 ROWAYTON AVENUE, SUITE 200 CITY: ROWAYTON STATE: CT ZIP: 06853 BUSINESS PHONE: 203-523-0349 MAIL ADDRESS: STREET 1: C/O CAIP CAPITAL, LLC STREET 2: 137 ROWAYTON AVENUE, SUITE 200 CITY: ROWAYTON STATE: CT ZIP: 06853 13F-HR 1 d1045701_13f-hr.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 30, 2009 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Caip Partners, LLC Address: 137 Rowayton Avenue, Suite 200 Rowayton, Connecticut 06853 13F File Number: 028-13400 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: Walter G. Schendel III Title: Managing Member Phone: (203) 523-0349 Signature, Place and Date of Signing: /s/ Walter G. Schendel III. Rowayton, Connecticut November 16, 2009 - -------------------------- ----------------------- ---------------------- [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 managers(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: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 110 Form 13F Information Table Value Total: $300,085 ----------- (thousands) List of Other Included Managers: 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 - --- -------------------- -------------------------- (1) 028-13401 Caip Global Partners, Ltd. FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8 - ------------------------ -------------- --------- -------- --------------- ---------- ----- -------------------- VALUE SHRS OR H/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT RN CALL DISCRETION MNGRS SOLE SHARED NONE - ------------------------ -------------- --------- -------- ------- -- ---- ---------- ----- ---- ------ ---- AGNICO EAGLE MINES LTD COM 008474108 2,586 38,118 SH SOLE NONE 38,118 AGNICO EAGLE MINES LTD COM 008474108 2,910 42,882 SH SHARED-DEFINED (1) 42,882 ALCOA INC COM 013817101 4,508 343,629 SH SOLE NONE 343,629 ALCOA INC COM 013817101 5,072 386,571 SH SHARED-DEFINED (1) 386,571 AMR CORP COM 001765106 1,187 149,268 SH SOLE NONE 149,268 AMR CORP COM 001765106 1,335 167,932 SH SHARED-DEFINED (1) 167,932 ASSURED GUARANTY LTD COM G0585R106 1,447 74,496 SH SOLE NONE 74,496 ASSURED GUARANTY LTD COM G0585R106 1,627 83,804 SH SHARED-DEFINED (1) 83,804 BJ SVCS CO COM 055482103 1,014 52,189 PUT SOLE NONE 52,189 BJ SVCS CO COM 055482103 1,141 58,711 PUT SHARED-DEFINED (1) 58,711 CAMECO CORP COM 13321L108 4,648 167,203 SH SOLE NONE 167,203 CAMECO CORP COM 13321L108 5,229 188,097 SH SHARED-DEFINED (1) 188,097 CAPITAL ONE FINL CORP COM 14040H105 943 26,400 SH SOLE NONE 26,400 CAPITAL ONE FINL CORP COM 14040H105 1,061 29,700 SH SHARED-DEFINED (1) 29,700 CENTRAL EUROPEAN MEDIA ENTRP CL A NEW G20045202 2,213 64,627 SH SOLE NONE 64,627 CENTRAL EUROPEAN MEDIA ENTRP CL A NEW G20045202 2,492 72,773 SH SHARED-DEFINED (1) 72,773 COGENT COMM GROUP INC COM NEW 19239V302 891 78,876 SH SOLE NONE 78,876 COGENT COMM GROUP INC COM NEW 19239V302 1,003 88,724 SH SHARED-DEFINED (1) 88,724 CTC MEDIA INC COM 12642X106 1,177 74,872 SH SOLE NONE 74,872 CTC MEDIA INC COM 12642X106 1,324 84,228 SH SHARED-DEFINED (1) 84,228 CTRIP COM INTL LTD ADR 22943F100 3,939 67,009 SH SOLE NONE 67,009 CTRIP COM INTL LTD ADR 22943F100 4,432 75,391 SH SHARED-DEFINED (1) 75,391 DELL INC COM 24702R101 2,322 152,187 SH SOLE NONE 152,187 DELL INC COM 24702R101 2,613 171,213 SH SHARED-DEFINED (1) 171,213 DELTA AIR LINES INC DEL COM NEW 247361702 5,482 611,800 CALL SOLE NONE 611,800 DELTA AIR LINES INC DEL COM NEW 247361702 6,166 688,200 CALL SHARED-DEFINED (1) 688,200 DOMTAR CORP COM NEW 257559203 2,484 70,541 SH SOLE NONE 70,541 DOMTAR CORP COM NEW 257559203 2,795 79,359 SH SHARED-DEFINED (1) 79,359 EBAY INC COM 278642103 3,655 154,873 SH SOLE NONE 154,873 EBAY INC COM 278642103 4,112 174,227 SH SHARED-DEFINED (1) 174,227 ENERGY RECOVERY INC COM 29270J100 465 79,656 SH SOLE NONE 79,656 ENERGY RECOVERY INC COM 29270J100 523 89,613 SH SHARED-DEFINED (1) 89,613 EXCO RESOURCES INC COM 269279402 1,502 80,360 SH SOLE NONE 80,360 EXCO RESOURCES INC COM 269279402 1,688 90,340 SH SHARED-DEFINED (1) 90,340 GOLDMAN SACHS GROUP INC COM 31841G104 3,466 18,800 PUT SOLE NONE 18,800 GOLDMAN SACHS GROUP INC COM 31841G104 3,908 21,200 PUT SHARED-DEFINED (1) 21,200 INTL PAPER CO COM 460146103 2,030 91,327 SH SOLE NONE 91,327 INTL PAPER CO COM 460146103 2,282 102,673 SH SHARED-DEFINED (1) 102,673 INTL PAPER CO COM 460146103 1,561 70,200 CALL SOLE NONE 70,200 INTL PAPER CO COM 460146103 1,774 79,800 CALL SHARED-DEFINED (1) 79,800 ISHARES TR INDEX DJ US REAL EST 464287739 1,003 23,500 PUT SOLE NONE 23,500 ISHARES TR INDEX DJ US REAL EST 464287739 1,131 26,500 PUT SHARED-DEFINED (1) 26,500 ISHARES TR INDEX BARCLYS 20+ YR 464287432 4,637 47,000 PUT SOLE NONE 47,000 ISHARES TR INDEX BARCLYS 20+ YR 464287432 5,229 53,000 PUT SHARED-DEFINED (1) 53,000 ISHARES TR INDEX RUSSELL 2000 464287655 6,241 103,600 PUT SOLE NONE 103,600 ISHARES TR INDEX RUSSELL 2000 464287655 7,012 116,400 PUT SHARED-DEFINED (1) 116,400 JETBLUE AIRWAYS CORP COM 477143101 2,814 470,600 CALL SOLE NONE 470,600 JETBLUE AIRWAYS CORP COM 477143101 3,166 529,400 CALL SHARED-DEFINED (1) 529,400 KAPSTONE PAPER & PACKAGING C COM 48562P103 1,501 184,417 SH SOLE NONE 184,417 KAPSTONE PAPER & PACKAGING C COM 48562P103 1,689 207,463 SH SHARED-DEFINED (1) 207,463 KITE RLTY GROUP TR COM 49803T102 291 69,748 SH SOLE NONE 69,748 KITE RLTY GROUP TR COM 49803T102 331 79,297 SH SHARED-DEFINED (1) 79,297 LUFKIN INDS INC COM 549764108 495 9,300 SH SOLE NONE 9,300 LUFKIN INDS INC COM 549764108 553 10,400 SH SHARED-DEFINED (1) 10,400 MEDIACOM COMMUNICATIONS CORP CL A 58446K105 498 86,531 SH SOLE NONE 86,531 MEDIACOM COMMUNICATIONS CORP CL A 58446K105 567 98,469 SH SHARED-DEFINED (1) 98,469 MEMC ELECTR MATLS INC COM 552715104 2,151 129,367 SH SOLE NONE 129,367 MEMC ELECTR MATLS INC COM 552715104 2,420 145,533 SH SHARED-DEFINED (1) 145,533 MERCADOLIBRE INC COM 58733R102 1,085 28,202 SH SOLE NONE 28,202 MERCADOLIBRE INC COM 58733R102 1,220 31,728 SH SHARED-DEFINED (1) 31,728 MILLICOM INTL CELLULAR S A SHS NEW L6388F110 4,344 59,722 SH SOLE NONE 59,722 MILLICOM INTL CELLULAR S A SHS NEW L6388F110 4,887 67,178 SH SHARED-DEFINED (1) 67,178 MONSTER WORLDWIDE INC COM 611742107 1,421 81,272 SH SOLE NONE 81,272 MONSTER WORLDWIDE INC COM 611742107 1,598 91,428 SH SHARED-DEFINED (1) 91,428 NET 1 UEPS TECHNOLOGIES INC COM NEW 64107N206 2,894 138,056 SH SOLE NONE 138,056 NET 1 UEPS TECHNOLOGIES INC COM NEW 64107N206 3,255 155,309 SH SHARED-DEFINED (1) 155,309 NOVATEL WIRELESS INC COM NEW 66987M604 1,921 169,137 SH SOLE NONE 169,137 NOVATEL WIRELESS INC COM NEW 66987M604 2,161 190,263 SH SHARED-DEFINED (1) 190,263 PACKAGING CORP AMER COM 695156109 467 22,889 SH SOLE NONE 22,889 PACKAGING CORP AMER COM 695156109 525 25,711 SH SHARED-DEFINED (1) 25,711 PACKAGING CORP AMER COM 695156109 1,440 70,600 CALL SOLE NONE 70,600 PACKAGING CORP AMER COM 695156109 1,620 79,400 CALL SHARED-DEFINED (1) 79,400 PETROHAWK ENERGY CORP COM 716495106 2,176 89,891 SH SOLE NONE 89,891 PETROHAWK ENERGY CORP COM 716495106 2,448 101,109 SH SHARED-DEFINED (1) 101,109 PRICELINE COM INC COM NEW 741503403 988 5,961 SH SOLE NONE 5,961 PRICELINE COM INC COM NEW 741503403 1,151 6,939 SH SHARED-DEFINED (1) 6,939 PROSHARES TR II PSHS ULTSH 20YRS 74347R297 2,295 52,142 SH SOLE NONE 52,142 PROSHARES TR II PSHS ULTSH 20YRS 74347R297 2,582 58,658 SH SHARED-DEFINED (1) 58,658 REGIONS FINANCIAL CORP NEW COM 7591EP100 887 142,778 SH SOLE NONE 142,778 REGIONS FINANCIAL CORP NEW COM 7591EP100 997 160,622 SH SHARED-DEFINED (1) 160,622 SANDISK CORP COM 80004C101 4,337 199,862 SH SOLE NONE 199,862 SANDISK CORP COM 80004C101 4,879 224,838 SH SHARED-DEFINED (1) 224,838 SANDRIDGE ENERGY INC COM 80007P307 3,497 269,821 SH SOLE NONE 269,821 SANDRIDGE ENERGY INC COM 80007P307 3,934 303,579 SH SHARED-DEFINED (1) 303,579 SCIENTIFIC GAMES CORP CL A 80874P109 4,767 301,117 SH SOLE NONE 301,117 SCIENTIFIC GAMES CORP CL A 80874P109 5,419 342,320 SH SHARED-DEFINED (1) 342,320 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 497 12,706 SH SOLE NONE 12,706 SOCIEDAD QUIMICA MINERA DE C SPON ADR SER B 833635105 559 14,294 SH SHARED-DEFINED (1) 14,294 SOUTHWESTERN ENERGY CO COM 845467109 488 11,435 SH SOLE NONE 11,435 SOUTHWESTERN ENERGY CO COM 845467109 549 12,865 SH SHARED-DEFINED (1) 12,865 SPDR GOLD TRUST GOLD SHS 78463V107 3,857 39,022 SH SOLE NONE 39,022 SPDR GOLD TRUST GOLD SHS 78463V107 4,377 44,278 SH SHARED-DEFINED (1) 44,278 SPDR TR UNIT SER 1 78462F103 22,797 215,900 PUT SOLE NONE 215,900 SPDR TR UNIT SER 1 78462F103 25,774 244,100 PUT SHARED-DEFINED (1) 244,100 SPRINT NEXTEL CORP COM SER 1 852061100 2,870 726,472 SH SOLE NONE 726,472 SPRINT NEXTEL CORP COM SER 1 852061100 3,228 817,228 SH SHARED-DEFINED (1) 817,228 SUNPOWER CORP COM CL A 867652109 2,656 88,848 SH SOLE NONE 88,848 SUNPOWER CORP COM CL A 867652109 2,988 99,952 SH SHARED-DEFINED (1) 99,952 SUNSTONE HOTEL INVS INC NEW COM 867892101 1,226 172,726 SH SOLE NONE 172,726 SUNSTONE HOTEL INVS INC NEW COM 867892101 1,380 194,374 SH SHARED-DEFINED (1) 194,374 SUNTECH PWR HLDGS CO LTD ADR 86800C104 857 56,400 SH SOLE NONE 56,400 SUNTECH PWR HLDGS CO LTD ADR 86800C104 964 63,400 SH SHARED-DEFINED (1) 63,400 TEMPLE INLAND INC COM 879868107 1,739 105,931 SH SOLE NONE 105,931 TEMPLE INLAND INC COM 879868107 1,957 119,169 SH SHARED-DEFINED (1) 119,169 VALUEVISION MEDIA INC CL A 92047K107 93 28,235 SH SOLE NONE 28,235 VALUEVISION MEDIA INC CL A 92047K107 105 31,765 SH SHARED-DEFINED (1) 31,765 XTO ENERGY INC COM 98385X106 1,382 33,446 SH SOLE NONE 33,446 XTO ENERGY INC COM 98385X106 1,556 37,654 SH SHARED-DEFINED (1) 37,654 YAHOO INC COM 984332106 2,944 165,273 SH SOLE NONE 165,273 YAHOO INC COM 984332106 3,311 185,927 SH SHARED-DEFINED (1) 185,927
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