13F-HR 1 roc2012q313f.txt 13F -----BEGIN PRIVACY-ENHANCED MESSAGE----- ACCESSION NUMBER: 9999999996-10-002465 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121105 DATE AS OF CHANGE: 20121105 EFFECTIVENESS DATE: 20121105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ROC CAPITAL CENTRAL INDEX KEY: 0001481827 IRS NUMBER: 26-2980819 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: FILM NUMBER: BUSINESS ADDRESS: STREET 1: 640 FIFTH AVE STREET 2: 10TH FL CITY: NEW YORK CITY STATE: NEW YORK ZIP: 10019 BUSINESS PHONE: 01 212 607 8313 MAIL ADDRESS: STREET 1: 640 FIFTH AVE 10TH FL CITY: NEW YORK CITY STATE: NEW YORK ZIP: 10019 1 roc13f3q12.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: Sep 30, 2012 Check here if Amendment [ ]; Amendment Number: 0 This Amendment (Check only one): [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: ROC CAPITAL MANAGEMENT L.P. Address: 640 FIFTH AVE 10TH FL, NEW YORK, NEW YORK, 10019 13F File Number: 028-13703 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: Shawn Wells Title: General Counsel Phone: 212-607-8313 Signature, Place, and Date of Signing: /s/ Shawn Wells New York, NY Nov 05, 2012 Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. [ ] 13F NOTICE [X] 13F COMBINATION REPORT List of Other Managers Reporting for this Manager: Form 13F File Number Name 028-10103 Deutsche Bank AG\ - ------- ------------------------------------------ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 185 Form 13F Information Table Value Total: 60,859 (x1000) List of Other Included Managers: No. 13F File Number Name - --- --------------- -----------------------------------
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT -------VOTING AUTHORITY----- - --------NAME OF ISSUER------ -TITLE OF CLASS- --CUSIP-- -X$1000- -PRN AMT- PRN CALL DISCRTN MANAGERS ---SOLE-- --SHARED- ---NONE- APPLE INC COM 037833100 240 359 SH SOLE 359 0 0 ARCH COAL INC COM 039380100 126 19900 SH SOLE 19900 0 0 AMERICAN EQTY INVT LIFE HLD COM 025676206 390 33537 SH SOLE 33537 0 0 ALLERGAN INC COM 018490102 490 5347 SH SOLE 5347 0 0 AFFILIATED MANAGERS GROUP COM 008252108 292 2370 SH SOLE 2370 0 0 AUTONATION INC COM 05329W102 305 6982 SH SOLE 6982 0 0 ANN INC COM 035623107 567 15037 SH SOLE 15037 0 0 AEROPOSTALE COM 007865108 175 12922 SH SOLE 12922 0 0 ATWOOD OCEANICS INC COM 050095108 328 7208 SH SOLE 7208 0 0 AUDIOCODES LTD ORD COM M15342104 25 10082 SH SOLE 10082 0 0 AVON PRODS INC COM 054303102 207 12994 SH SOLE 12994 0 0 AMERICAN AXLE & MFG HLDGS IN COM 024061103 192 17054 SH SOLE 17054 0 0 BANK OF AMERICA CORPORATION COM 060505104 98 11147 SH SOLE 11147 0 0 BED BATH & 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