-----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, V2ZpF4LI26m2nmi3v2ObozB7qfiV6wKXGGfiY3sYfrDEwS5bKTuTKCaMSutNlOkZ TFOgYZDaGoEGYPtFGO9QrA== 0000904454-08-000456.txt : 20081114 0000904454-08-000456.hdr.sgml : 20081114 20081114170313 ACCESSION NUMBER: 0000904454-08-000456 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Roark Rearden & Hamot Capital Management LLC CENTRAL INDEX KEY: 0001353180 IRS NUMBER: 100000708 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11722 FILM NUMBER: 081192695 BUSINESS ADDRESS: STREET 1: 420 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617 595 4400 MAIL ADDRESS: STREET 1: 420 BOYLSTON STREET CITY: BOSTON STATE: MA ZIP: 02116 13F-HR 1 f13fhr_111408-rrhcapmgmt.txt FORM 13F-HR FOR ROARKE, REARDEN & HAMOT CAP MGMT 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, 2008 Check here if Amendment [ ]; Amendment Number: ------------- This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Roark, Rearden & Hamot Capital Management, LLC* Address: 420 Boylston Street Boston, MA 02116 Form 13F File Number: 28-11722 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: Seth W. Hamot Title: Managing member Phone: (617) 595-4400 Signature, Place, and Date of Signing: /s/ Seth W. Hamot Boston, MA November 14, 2008 - ----------------- ---------- ----------------- * Roark, Rearden & Hamot Capital Management, LLC is the management company to Costa Brava Partnership III L.P. Seth W. Hamot is the managing member of Roark, Rearden & Hamot Capital Management, LLC. 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: 3 Form 13F Information Table Entry Total: 48 Form 13F Information Table Value Total: $150,957 (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 28-11734 Costa Brava Partnership III L.P. 2 28-11736 Roark, Rearden & Hamot, LLC 3 28-11733 Seth W. Hamot Costa Brava Partnership III L.P. Form 13F Information Table as of 9/30/2008 Market Value Voting Authority PRN Long Investment Other 13F Description Title of Class Cusip Amount x1000 Discretion Managers Sole Shares None Security ACERGY SA SPONSORED ADR 00443E104 100,000 1,006.00 x x x x x Yes ACTIVIDENTITY CORP COM 00506P103 901,425 2,037.22 Yes ACTUATE CORP COM 00508B102 200,000 700.00 Yes ALESCO FINL INC NOTE 7.625% 5/1 014485AB2 4,704,000 2,340.24 Yes ALESCO FINL INC COM 014485106 500,000 450.00 Yes AUTOBYTEL INC COM 05275N106 1,671 1.79 Yes BASSETT FURNITURE INDS INC COM 070203104 504,703 4,315.21 Yes BELDEN INC COM 077454106 35,000 1,112.65 Yes BOOTS & COOTS/INTL WELL CTRL COM NEW 099469504 379,500 732.44 Yes DG FASTCHANNEL INC CALL 23326R9CX -500 -133.75 Yes DG FASTCHANNEL INC CALL 23326R9LX -600 -103.50 Yes IMPAC MTG HLDS INC CALL 45254P9AA -1,000 -10.00 Yes CALLIDUS SOFTWARE INC COM 13123E500 150,000 594.00 Yes CCA INDS INC COM 124867102 574,300 3,106.96 Yes CERADYNE INC COM 156710105 230,000 8,431.80 Yes DG FASTCHANNEL INC COM 23326R109 936,233 20,522.23 Yes DIVX INC COM 255413106 582,615 3,769.52 Yes ENTORIAN TECHNOLOGIES INC COM 29383P100 1,102,173 683.35 Yes ENTRUST INC COM 293848107 539,000 1,158.85 Yes GENL CABLE CORP DEL NEW COM 369300108 230,000 8,194.90 Yes GOLD RESV INC CL A 38068N108 123,087 135.40 Yes HI-TECH PHARMACAL INC COM 42840B101 813,791 7,991.43 Yes I-MANY INC COM 44973Q103 984,155 688.91 Yes IMPAC MTG HLDGS INC COM 45254P102 2,800 0.70 Yes INTERDIGITAL INC COM 45867G101 43,500 1,046.18 Yes IXYS CORP COM 46600W106 573,616 5,214.17 Yes KIRKLAND'S INC COM 497498105 571,840 1,298.08 Yes MEDQUIST INC COM 584949101 1,938,821 9,403.28 Yes MITCHAM INDS INC COM 606501104 89,032 898.33 Yes MOTORCAR PTS AMER INC COM 620071100 937,958 5,665.27 Yes MSC SOFTWARE CORP COM 553531104 223,500 2,391.45 Yes NEWMARKET CORP COM 651587107 35,000 1,839.60 Yes NOBLE INTL LTD COM 655053106 334,860 2,005.81 Yes OCWEN FINL CORP COM NEW 675746309 1,732,000 13,942.60 Yes OMNIVISION TECHNOLOGIES INC COM 682128103 300,560 3,429.39 Yes ORANGE 21 INC COM 685317109 755,595 2,629.47 Yes IMPAC MTG HLDS INC PUT 45254P9MZ -92 -20.24 Yes IMPAC MTG HLDS INC PUT 45254P9MA -6 -2.82 Yes RAINMAKER SYSTEMS INC COM NEW 750875304 304,308 684.69 Yes SEMGROUP ENERGY PARTNERS LP COM UNIT LP 81662W108 891,714 6,224.16 Yes SOURCEFIRE INC COM 83616T108 226,900 1,654.10 Yes SPDR GOLD TRUST GOLD SHS 78463V107 30,000.00 2,552.10 Yes TECHTEAM GLOBAL INC COM 878311109 1,319,274 9,789.01 Yes TIER TECHNOLOGIES INC CL B 88650Q100 61,705 454.15 Yes TRANCEND SERVICES INC COM NEW 893929208 173,728 1,822.41 Yes TRIMERIS INC COM 896263100 985,460 3,872.86 Yes UNITED ONLINE INC COM 911268100 500,000 4,705.00 Yes VALASSIS COMMUNICATIONS INC COM 918866104 200,000 1,732.00 Yes 150,957
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