0001214659-13-006302.txt : 20131112 0001214659-13-006302.hdr.sgml : 20131111 20131112091501 ACCESSION NUMBER: 0001214659-13-006302 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20130930 FILED AS OF DATE: 20131112 DATE AS OF CHANGE: 20131112 EFFECTIVENESS DATE: 20131112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROUND TABLE INVESTMENT MANAGEMENT COMPANY, LP CENTRAL INDEX KEY: 0001456257 IRS NUMBER: 208996335 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13383 FILM NUMBER: 131207391 BUSINESS ADDRESS: STREET 1: 214 NORTH TRYON STREET, SUITE 3000 CITY: CHARLOTTE STATE: NC ZIP: 28202 BUSINESS PHONE: 704 208 3604 MAIL ADDRESS: STREET 1: 214 NORTH TRYON STREET, SUITE 3000 CITY: CHARLOTTE STATE: NC ZIP: 28202 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001456257 XXXXXXXX 09-30-2013 09-30-2013 false ROUND TABLE INVESTMENT MANAGEMENT COMPANY, LP

214 North Tryon Street, Suite 3000 Charlotte NC 28202

13F HOLDINGS REPORT 028-13383 N Ian Banwell 704-208-3600 /s/ Ian Banwell Charlotte NC 10-22-2013 2 48 131322 1 0001456258 028-13407 ST GEORGE PARTNERS, LLC 2 0001456255 028-13408 BANWELL IAN INFORMATION TABLE 2 infotable.xml ADT CORPORATION COM 00101J106 5204 128000 SH DFND 1,2 128000 0 0 ALPS ETF TR ALERIAN MLP 00162Q866 6118 347829 SH DFND 1,2 347829 0 0 ANADARKO PETE CORP CALL 032511907 139 1500 SH Call DFND 1,2 1500 0 0 ANADARKO PETE CORP COM 032511107 260 2800 SH DFND 1,2 2800 0 0 ANNALY CAP MGMT INC COM 035710409 2316 200000 SH DFND 1,2 200000 0 0 BANK OF AMERICA CORPORATION COM 060505104 1270 92000 SH DFND 1,2 92000 0 0 BARCLAYS BK PLC DJUBS CMDT ETN36 06738C778 472 12680 SH DFND 1,2 12680 0 0 CINEMARK HOLDINGS INC COM 17243V102 3387 106700 SH DFND 1,2 106700 0 0 CITIGROUP INC CALL 172967904 3478 71700 SH Call DFND 1,2 71700 0 0 CITIGROUP INC COM NEW 172967424 9446 194720 SH DFND 1,2 194720 0 0 COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 920 24000 SH DFND 1,2 24000 0 0 COMPANIA CERVECERIAS UNIDAS SPONSORED ADR 204429104 931 35000 SH DFND 1,2 35000 0 0 CONTINENTAL RESOURCES INC COM 212015101 345 3221 SH DFND 1,2 3221 0 0 Danaher COM 235851102 347 5000 SH DFND 1,2 5000 0 0 FAMILY DLR STORES INC COM 307000109 2139 29700 SH DFND 1,2 29700 0 0 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 864 8900 SH DFND 1,2 8900 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 506 30000 SH DFND 1,2 30000 0 0 GULFPORT ENERGY CORP COM NEW 402635304 458 7120 SH DFND 1,2 7120 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 8199 370000 SH DFND 1,2 370000 0 0 ISHARES JP MOR EM MK ETF 464288281 938 8600 SH DFND 1,2 8600 0 0 ISHARES IBOXX INV CP ETF 464287242 1188 10468 SH DFND 1,2 10468 0 0 ISHARES TIPS BD ETF 464287176 1204 10694 SH DFND 1,2 10694 0 0 ISHARES U.S. REAL ES ETF 464287739 697 10921 SH DFND 1,2 10921 0 0 ISHARES MSCI EMG MKT ETF 464287234 497 12200 SH DFND 1,2 12200 0 0 ISHARES MSCI EAFE ETF 464287465 778 12201 SH DFND 1,2 12201 0 0 ISHARES IBOXX HI YD ETF 464288513 1908 20833 SH DFND 1,2 20833 0 0 ISHARES CALL 464287465 19140 300000 SH Call DFND 1,2 300000 0 0 KRISPY KREME DOUGHNUTS INC COM 501014104 1451 75000 SH DFND 1,2 75000 0 0 MICROSOFT CORP COM 594918104 2756 82800 SH DFND 1,2 82800 0 0 MORGAN STANLEY COM NEW 617446448 1082 40130 SH DFND 1,2 40130 0 0 PENNYMAC MTG INVT TR CALL 70931T903 1758 77500 SH Call DFND 1,2 77500 0 0 PENNYMAC MTG INVT TR COM 70931T103 15215 670850 SH DFND 1,2 670850 0 0 PHILIP MORRIS INTL INC COM 718172109 485 5600 SH DFND 1,2 5600 0 0 PINNACLE ENTMT INC COM 723456109 501 20000 SH DFND 1,2 20000 0 0 PIONEER NAT RES CO COM 723787107 311 1647 SH DFND 1,2 1647 0 0 PNC FINL SVCS GROUP INC COM 693475105 478 6600 SH DFND 1,2 6600 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2008 43268 SH DFND 1,2 43268 0 0 SOUTHERN COPPER CORP COM 84265V105 953 35000 SH DFND 1,2 35000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 922 5486 SH DFND 1,2 5486 0 0 SPDR S&P 500 ETF TR CALL 78462F903 18481 110000 SH Call DFND 1,2 110000 0 0 SPDR SERIES TRUST BRC HGH YLD BD 78464A417 1913 48000 SH DFND 1,2 48000 0 0 STAR BULK CARRIERS CORP SHS NEW Y8162K121 2026 199976 SH DFND 1,2 199976 0 0 SUPERIOR ENERGY SVCS INC COM 868157108 217 8669 SH DFND 1,2 8669 0 0 TRONOX LTD SHS CL A Q9235V101 3915 160000 SH DFND 1,2 160000 0 0 UNILEVER N V N Y SHS NEW 904784709 881 23350 SH DFND 1,2 23350 0 0 US BANCORP DEL COM NEW 902973304 512 14000 SH DFND 1,2 14000 0 0 WCI CMNTYS INC COM PAR $0.01 92923C807 1812 105000 SH DFND 1,2 105000 0 0 WELLS FARGO & CO NEW COM 949746101 496 12000 SH DFND 1,2 12000 0 0