0000913849-13-000147.txt : 20130515 0000913849-13-000147.hdr.sgml : 20130515 20130515115018 ACCESSION NUMBER: 0000913849-13-000147 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130515 DATE AS OF CHANGE: 20130515 EFFECTIVENESS DATE: 20130515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Red Rocks Capital LLC CENTRAL INDEX KEY: 0001504209 IRS NUMBER: 201941091 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14056 FILM NUMBER: 13844782 BUSINESS ADDRESS: STREET 1: 25188 GENESEE TRAIL ROAD, SUITE 250 CITY: GOLDEN STATE: CO ZIP: 80401 BUSINESS PHONE: 303 679 8252 MAIL ADDRESS: STREET 1: 25188 GENESEE TRAIL ROAD, SUITE 250 CITY: GOLDEN STATE: CO ZIP: 80401 13F-HR 1 f13fhr_050913.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: MARCH 31, 2013 ------------------ Check here if Amendment [ ]; Amendment Number: ----------------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holding entries. Institutional Investment Manager Filing this Report: Name: RED ROCKS CAPITAL LLC --------------------------------------- Address: 25188 GENESEE TRAIL ROAD --------------------------------------- SUITE 250 --------------------------------------- GOLDEN, CO 80401 --------------------------------------- 13F File Number: 28-14056 -------- 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: MATTHEW R. LUOMA -------------------------------------- Title: CHIEF FINANCIAL OFFICER -------------------------------------- Phone: (303) 679-8252 -------------------------------------- Signature, Place, and Date of Signing: /S/MATTHEW R. LUOMA GOLDEN, CO MAY 15, 2013 ------------------- ---------------- ---------------------- [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).) FORM 13F SUMMARY PAGE --------------------- Report Summary: Number of Other Included Managers: 0 ------------------ Form 13F Information Table Entry Total: 9 ------------------ Form 13F Information Table Value Total: 283,726 ------------------ (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. NONE
FORM 13F INFORMATION TABLE -------------------------- COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ---------------------------------------------------------------------------------------------------------------------------------- VOTING AUTHORITY TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ----------------------------- -------- --------- -------- ------- --- ---- ---------- -------- ------ ------ ----- AMERICAN CAP LTD COM 02503Y103 40,019 2,742,000 SH SOLE 2,742,000 APOLLO GLOBAL MGMT LLC CL A SHS 037612306 39,912 1,844,367 SH SOLE 1,844,367 BLACKSTONE GROUP L P COM UNIT LTD 09253U108 50,504 2,553,300 SH SOLE 2,553,300 BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 32,305 885,300 SH SOLE 885,300 CARLYLE GROUP L P COM UTS LTD PTN 14309L102 17,917 592,295 SH SOLE 592,295 ICG GROUP INC COM 44928D108 19,892 1,593,903 SH SOLE 1,593,903 KKR & CO L P DEL COM UNITS 48248M102 50,907 2,634,947 SH SOLE 2,634,947 OAKTREE CAP GROUP LLC UNIT 99/99/9999 674001201 17,785 348,600 SH SOLE 348,600 SAFEGUARD SCIENTIFICS INC COM NEW 786449207 14,485 916,754 SH SOLE 916,754 TOTAL 283,726