0001104659-13-084691.txt : 20131114
0001104659-13-084691.hdr.sgml : 20131114
20131114124529
ACCESSION NUMBER: 0001104659-13-084691
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20130930
FILED AS OF DATE: 20131114
DATE AS OF CHANGE: 20131114
EFFECTIVENESS DATE: 20131114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Hatteras Alternative Mutual Funds, LLC
CENTRAL INDEX KEY: 0001513062
IRS NUMBER: 460473341
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1211
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14493
FILM NUMBER: 131218274
BUSINESS ADDRESS:
STREET 1: 8540 COLONNADE CENTER DRIVE
STREET 2: SUITE 401
CITY: RALEIGH
STATE: NC
ZIP: 27615
BUSINESS PHONE: 919-846-2324
MAIL ADDRESS:
STREET 1: 8540 COLONNADE CENTER DRIVE
STREET 2: SUITE 401
CITY: RALEIGH
STATE: NC
ZIP: 27615
13F-HR
1
primary_doc.xml
13F-HR
LIVE
0001513062
XXXXXXXX
09-30-2013
09-30-2013
false
Hatteras Alternative Mutual Funds, LLC
8540 Colonnade Center Drive
Suite 401
Raleigh
NC
27615
13F COMBINATION REPORT
028-14493
028-06462
Chartwell Investment Partners, LP
028-10894
GAMCO Asset Management, Inc.
028-12426
Nicholas Investment Partners, LP
028-14338
OMT Capital Management, LLC
028-15383
FrontFour Capital Group, LLC
028-15086
Tamarack Capital Management, LLC
N
Andrew P. Chica
Chief Compliance Officer
919-846-2324
/s/Andrew P. Chica
Raleigh
NC
11-13-2013
2
158
151224
false
1
028-14042
Coe Capital Management, LLC
2
028-15181
Raven Rock Capital Management, LLC
INFORMATION TABLE
2
a13-22035_1informationtable.xml
INFORMATION TABLE
AMBAC FINL GROUP INC
COM
023139884
233
12823
SH
DFND
12823
0
0
AMERICAN INTL GROUP INC
COM
026874784
1050
21582
SH
DFND
21582
0
0
AMERICAN RLTY CAP PPTYS INC
COM
02917T104
1965
161087
SH
DFND
161087
0
0
APPLE INC
COM
037833100
268
563
SH
DFND
563
0
0
APPLIED MICRO CIRCUITS CORP
COM
03822W406
1178
91352
SH
DFND
1
91352
0
0
ARBOR RLTY TR INC
COM
038923108
714
105293
SH
DFND
105293
0
0
ARCTIC CAT INC
COM
039670104
654
11464
SH
DFND
1
11464
0
0
ARROW ELECTRS INC
COM
042735100
1315
27094
SH
DFND
1
27094
0
0
ARUBA NETWORKS INC
COM
043176106
259
15544
SH
DFND
1
15544
0
0
ASBURY AUTOMOTIVE GROUP INC
COM
043436104
959
18023
SH
DFND
1
18023
0
0
ASCENT CAP GROUP INC
NOTE 4.000% 7/1
043632AA6
820
780000
PRN
DFND
2
780000
0
0
ASIA ENTN & RESOURCES LTD
SHS
G0539K108
1832
469837
SH
DFND
469837
0
0
ASSURED GUARANTY LTD
COM
G0585R106
594
31696
SH
DFND
31696
0
0
BARRETT BILL CORP
NOTE 5.000% 3/1
06846NAA2
500
500000
PRN
DFND
2
500000
0
0
BGC PARTNERS INC
CL A
05541T101
500
88465
SH
DFND
88465
0
0
BRIDGEPOINT ED INC
COM
10807M105
531
29411
SH
DFND
1
29411
0
0
BRUNSWICK CORP
COM
117043109
1275
31955
SH
DFND
1
31955
0
0
CAMPUS CREST CMNTYS INC
COM
13466Y105
937
86738
SH
DFND
86738
0
0
CARROLS RESTAURANT GROUP INC
COM
14574X104
901
147722
SH
DFND
147722
0
0
CEDAR FAIR L P DEPOSITRY
UNIT
150185106
1511
34660
SH
DFND
34660
0
0
CENTRAL GARDEN & PET CO
CL A NON-VTG
153527205
598
87361
SH
DFND
87361
0
0
CF INDS HLDGS INC
COM
125269100
1391
6600
SH
DFND
6600
0
0
CHESAPEAKE ENERGY CORP
COM
165167107
803
31035
SH
DFND
31035
0
0
CHIPOTLE MEXICAN GRILL INC
COM
169656105
609
1420
SH
DFND
1
1420
0
0
CIT GROUP INC
COM
125581801
1033
21182
SH
DFND
21182
0
0
CITIGROUP INC
COM
172967424
1703
35102
SH
DFND
35102
0
0
CLEAN HARBORS INC
COM
184496107
1350
23022
SH
DFND
1
23022
0
0
CLEAR CHANNEL OUTDOOR HLDGS
CL A
18451C109
132
16130
SH
DFND
16130
0
0
COBALT INTL ENERGY INC
NOTE 2.625%12/0
19075FAA4
1280
1210000
PRN
DFND
2
1210000
0
0
COMMAND SEC CORP
COM
20050L100
106
73248
SH
DFND
73248
0
0
COMPUTER SCIENCES CORP
COM
205363104
1571
30359
SH
DFND
30359
0
0
COMPUWARE CORP
COM
205638109
152
13600
SH
DFND
13600
0
0
COMVERSE INC
COM
20585P105
2049
64131
SH
DFND
64131
0
0
CONNS INC
COM
208242107
640
12796
SH
DFND
1
12796
0
0
CORNING INC
COM
219350105
3427
234863
SH
DFND
234863
0
0
COUSINS PPTYS INC
COM
222795106
2033
197605
SH
DFND
197605
0
0
CYNOSURE INC
CL A
232577205
866
37948
SH
DFND
1
37948
0
0
DCT INDUSTRIAL TRUST INC
COM
233153105
2179
303021
SH
DFND
303021
0
0
DELTA AIR LINES INC
COM
247361702
664
28147
SH
DFND
28147
0
0
DOMTAR CORP
COM
257559203
477
6001
SH
DFND
6001
0
0
DUPONT FABROS TECHNOLOGY INC
COM
26613Q106
1444
56046
SH
DFND
56046
0
0
E TRADE FINANCIAL CORP
COM
269246401
794
48100
SH
DFND
48100
0
0
EDUCATION RLTY TR INC
COM
28140H104
1814
199286
SH
DFND
199286
0
0
ELECTRO RENT CORP
COM
285218103
482
26595
SH
DFND
26595
0
0
ELLIE MAE INC
COM
28849P100
229
7149
SH
DFND
7149
0
0
ENCORE CAP GROUP INC
NOTE 3.000%11/2
292554AC6
935
600000
PRN
DFND
2
600000
0
0
ENDOCYTE INC
COM
29269A102
169
12701
SH
DFND
12701
0
0
ENGILITY HLDGS INC
COM
29285W104
1463
46100
SH
DFND
46100
0
0
EQUINIX INC
COM
29444U502
480
2613
SH
DFND
2613
0
0
EXACT SCIENCES CORP
COM
30063P105
249
21068
SH
DFND
1
21068
0
0
EXAR CORP
COM
300645108
294
21961
SH
DFND
21961
0
0
EXTREME NETWORKS INC
COM
30226D106
114
21850
SH
DFND
21850
0
0
FAIRPOINT COMMUNICATIONS INC
COM
305560302
406
42501
SH
DFND
42501
0
0
FELCOR LODGING TR INC
COM
31430F101
2266
367826
SH
DFND
367826
0
0
FIRST BANCORP P R
COM
318672706
594
104591
SH
DFND
104591
0
0
FORESTAR GROUP INC
COM
346233109
1772
82282
SH
DFND
82282
0
0
FORWARD AIR CORP
COM
349853101
436
10797
SH
DFND
1
10797
0
0
FOSTER WHEELER AG
COM
H27178104
913
34656
SH
DFND
1
34656
0
0
GENERAL CABLE CORP
NOTE 4.500%11/1
369300AL2
1129
1000000
PRN
DFND
2
1000000
0
0
GEO GROUP INC
COM
36159R103
251
7543
SH
DFND
7543
0
0
GLIMCHER RLTY TR SH BEN
INT
379302102
1340
137392
SH
DFND
137392
0
0
GLOBAL CASH ACCESS HLDGS INC
COM
378967103
942
120606
SH
DFND
120606
0
0
GOODYEAR TIRE & RUBR CO
COM
382550101
482
21448
SH
DFND
21448
0
0
GOOGLE INC
CL A
38259P508
560
639
SH
DFND
639
0
0
GRAY TELEVISION INC
COM
389375106
1295
164916
SH
DFND
164916
0
0
GREAT LAKES DREDGE & DOCK CO
COM
390607109
559
75344
SH
DFND
1
75344
0
0
GREENBRIER COS INC
COM
393657101
985
39832
SH
DFND
1
39832
0
0
HACKETT GROUP INC
COM
404609109
73
10230
SH
DFND
10230
0
0
HANESBRANDS INC
COM
410345102
1937
31084
SH
DFND
31084
0
0
HARLEY DAVIDSON INC
COM
412822108
1691
26328
SH
DFND
1
26328
0
0
HESS CORP
COM
42809H107
409
5283
SH
DFND
5283
0
0
HOWARD HUGHES CORP
COM
44267D107
2648
23562
SH
DFND
23562
0
0
HUNTSMAN CORP
COM
447011107
950
46085
SH
DFND
46085
0
0
HURON CONSULTING GROUP INC
COM
447462102
1136
21586
SH
DFND
1
21586
0
0
II VI INC
COM
902104108
1057
56151
SH
DFND
1
56151
0
0
INDEPENDENT BK GROUP INC
COM
45384B106
1917
53240
SH
DFND
53240
0
0
INFINERA CORPORATION
COM
45667G103
133
11739
SH
DFND
11739
0
0
INFOBLOX INC
COM
45672H104
406
9718
SH
DFND
9718
0
0
INSULET CORP
NOTE 3.750% 6/1
45784PAC5
1504
1040000
PRN
DFND
2
1040000
0
0
INTEGRATED DEVICE TECHNOLOGY
COM
458118106
366
38833
SH
DFND
38833
0
0
INTELSAT S A
COM
L5140P101
459
19107
SH
DFND
19107
0
0
ISHARES RUSSELL 2000
SHS
464287655
7
31100
SH
Put
DFND
31100
0
0
JOURNAL COMMUNICATIONS INC
CL A
481130102
366
42778
SH
DFND
42778
0
0
KAR AUCTION SVCS INC
COM
48238T109
1387
49181
SH
DFND
1
49181
0
0
KORN FERRY INTL
COM
500643200
636
29704
SH
DFND
1
29704
0
0
LA Z BOY INC
COM
505336107
675
29702
SH
DFND
1
29702
0
0
LENNOX INTL INC
COM
526107107
981
13036
SH
DFND
1
13036
0
0
LIBBEY INC
COM
529898108
1364
57340
SH
DFND
57340
0
0
LORAL SPACE & COMMUNICATNS I
COM
543881106
652
9621
SH
DFND
9621
0
0
LYONDELLBASELL INDUSTRIES
CL A
N53745100
1350
18439
SH
DFND
18439
0
0
MACQUARIE INFRASTR CO LLC MEMBERSHIP
INT
55608B105
905
16895
SH
DFND
16895
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
1111
11321
SH
DFND
1
11321
0
0
MBIA INC
COM
55262C100
912
89196
SH
DFND
89196
0
0
MGC DIAGNOSTICS CORP
COM
552768103
198
18100
SH
DFND
18100
0
0
MICRON TECHNOLOGY INC
COM
595112103
1851
105973
SH
DFND
105973
0
0
MICROSOFT CORP
COM
594918104
1175
35263
SH
DFND
35263
0
0
MOHAWK INDS INC
COM
608190104
707
5425
SH
DFND
1
5425
0
0
MONOTYPE IMAGING HOLDINGS IN
COM
61022P100
1953
68138
SH
DFND
68138
0
0
MOODYS CORP
COM
615369105
1506
21415
SH
DFND
21415
0
0
MURPHY USA INC
COM
626755102
1079
26710
SH
DFND
26710
0
0
NEWCASTLE INVT CORP
COM
65105M108
1089
193804
SH
DFND
193804
0
0
NORTHSTAR RLTY FIN CORP
COM
66704R100
2213
238474
SH
DFND
238474
0
0
NVIDIA CORP
COM
67066G104
712
45741
SH
DFND
1
45741
0
0
OCWEN FINL CORP
COM
675746309
1056
18936
SH
DFND
18936
0
0
OMNIAMERICAN BANCORP INC
COM
68216R107
3246
132712
SH
DFND
132712
0
0
ORBCOMM INC
COM
68555P100
274
52056
SH
DFND
52056
0
0
OWENS CORNING
COM
690742101
1401
36875
SH
DFND
36875
0
0
PERFORMANT FINL CORP
COM
71377E105
919
84200
SH
DFND
84200
0
0
PINNACLE ENTMT INC
COM
723456109
485
19352
SH
DFND
19352
0
0
PINNACLE FOODS INC
COM
72348P104
730
27562
SH
DFND
27562
0
0
PLANTRONICS INC
COM
727493108
337
7316
SH
DFND
1
7316
0
0
PLX TECHNOLOGY INC
COM
693417107
201
33435
SH
DFND
33435
0
0
PROVIDENT NEW YORK BANCORP
COM
744028101
1664
152791
SH
DFND
152791
0
0
QUALCOMM INC
COM
747525103
473
7021
SH
DFND
7021
0
0
QUALYS INC
COM
74758T303
311
14538
SH
DFND
14538
0
0
QUANEX BUILDING PRODUCTS COR
COM
747619104
1127
59850
SH
DFND
59850
0
0
QUANTA SVCS INC
COM
74762E102
1222
44413
SH
DFND
1
44413
0
0
ROCKWOOD HLDGS INC
COM
774415103
352
5256
SH
DFND
5256
0
0
ROGERS CORP
COM
775133101
1081
18179
SH
DFND
1
18179
0
0
RYDER SYS INC
COM
783549108
700
11719
SH
DFND
1
11719
0
0
SABRA HEALTH CARE REIT INC
COM
78573L106
1114
48432
SH
DFND
48432
0
0
SAFEWAY INC
COM
786514208
1040
32504
SH
DFND
32504
0
0
SAVIENT PHARMACEUTICALS INC
NOTE 4.750% 2/0
80517QAA8
96
500000
PRN
DFND
2
500000
0
0
SCRIPPS NETWORKS INTERACT INC
CL A
811065101
394
5045
SH
DFND
5045
0
0
SEACHANGE INTL INC
COM
811699107
390
34000
SH
DFND
34000
0
0
SERVICESOURCE INTL LLC
COM
81763U100
217
18000
SH
DFND
18000
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
253
7558
SH
DFND
7558
0
0
SIRIUS XM RADIO INC
COM
82967N108
447
115428
SH
DFND
115428
0
0
SKYWORKS SOLUTIONS INC
COM
83088M102
1270
51116
SH
DFND
1
51116
0
0
SMITH A O
COM
831865209
1418
31364
SH
DFND
1
31364
0
0
SPDR GOLD TRUST GOLD
SHS
78463V107
304
2368
SH
DFND
2368
0
0
SPLUNK INC
COM
848637104
395
6584
SH
DFND
6584
0
0
SUMMIT HOTEL PPTYS
COM
866082100
2302
250480
SH
DFND
1
250480
0
0
SWIFT TRANSN CO
CL A
87074U101
1393
69014
SH
DFND
69014
0
0
TAKE-TWO INTERACTIVE SOFTWAR
COM
874054109
206
11370
SH
DFND
11370
0
0
TAMINCO CORP
COM
87509U106
608
29933
SH
DFND
29933
0
0
TEMPUR SEALY INTL INC
COM
88023U101
1333
30320
SH
DFND
30320
0
0
TESLA MTRS INC
NOTE 1.500% 6/0
88160RAA9
2544
1510000
PRN
DFND
2
1510000
0
0
THOR INDS INC
COM
885160101
683
11774
SH
DFND
1
11774
0
0
TRW AUTOMOTIVE HLDGS CORP
COM
87264S106
2260
31686
SH
DFND
31686
0
0
UBIQUITI NETWORKS INC
COM
90347A100
262
7813
SH
DFND
7813
0
0
UNITED CONTL HLDGS INC
COM
910047109
596
19420
SH
DFND
19420
0
0
UNITED RENTALS INC
COM
911363109
968
16608
SH
DFND
1
16608
0
0
VECTOR GROUP LTD
COM
92240MAY4
938
787000
PRN
DFND
2
787000
0
0
VERISIGN INC
COM
92343E102
2659
52256
SH
DFND
52256
0
0
VISTEON CORP
COM
92839U206
556
7350
SH
DFND
7350
0
0
VULCAN MATLS CO
COM
929160109
560
10812
SH
DFND
1
10812
0
0
WAGEWORKS INC
COM
930427109
416
8237
SH
DFND
8237
0
0
WALTER INVT MGMT CORP
NOTE 4.500%11/0
93317WAA0
993
948000
PRN
DFND
948000
0
0
WASTE MGMT INC
COM
94106L109
1396
33845
SH
DFND
33845
0
0
WATSCO INC
COM
942622200
966
10244
SH
DFND
1
10244
0
0
WCI CMNTYS INC
COM
92923C807
1172
67879
SH
DFND
67879
0
0
WERNER ENTERPRISES INC
COM
950755108
670
28713
SH
DFND
1
28713
0
0
WILLBROS GROUP INC
COM
969203108
419
45658
SH
DFND
1
45658
0
0
WINNEBAGO INDS INC
COM
974637100
1675
64526
SH
DFND
1
64526
0
0
WRIGHT MED GROUP INC
NOTE 2.000% 8/1
98235TAC1
1051
860000
PRN
DFND
2
860000
0
0
XERIUM TECHNOLOGIES INC
COM
98416J118
184
15915
SH
DFND
15915
0
0
YAHOO INC
COM
984332106
532
16038
SH
DFND
16038
0
0