-----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, H0WNTLmDUYunhMg4hozCpRWDOMYmKW9BH6REIW0E/89nhVwF1TvUOmYDCKYXmAKW 9YchvJqb4lLw0cdG6PkywA== 0001140361-11-008331.txt : 20110211 0001140361-11-008331.hdr.sgml : 20110211 20110211171523 ACCESSION NUMBER: 0001140361-11-008331 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110211 DATE AS OF CHANGE: 20110211 EFFECTIVENESS DATE: 20110211 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Pentwater Capital Management LP CENTRAL INDEX KEY: 0001425851 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12843 FILM NUMBER: 11600445 BUSINESS ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4000 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-589-6400 MAIL ADDRESS: STREET 1: 227 WEST MONROE STREET 2: SUITE 4000 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 form13fhr.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: 12/31/2010 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: Pentwater Capital Management LP Address: 227 West Monroe Street, Suite 4000 Chicago, IL 60606 Form 13F File Number: 028-12843 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Neal Nenadovic Title: Chief Financial Officer Phone: 312-589-6405 Signature, Place, and Date of Signing: /s/ Neal Nenadovic Chicago, IL 2/11/2011 - --------------------------------- --------------------------------- ---------- [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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 99 Form 13F Information Table Value Total: $ 2,674,932 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 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 - -------------------------------- ------------------- --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- ------------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- AEROPOSTALE COM 007865108 123 5000 SH SOLE 5000 0 0 AEROPOSTALE COM 007865908 123 5000 SH CALL SOLE 5000 0 0 AIRGAS INC COM 009363102 252713 4046000 SH SOLE 4046000 0 0 AIRGAS INC COM 009363902 31374 502300 SH CALL SOLE 502300 0 0 AIRGAS INC COM 009363952 252963 4050000 SH PUT SOLE 4050000 0 0 AIRTRAN HLDGS INC COM 00949P108 49144 6650000 SH SOLE 6650000 0 0 ALBERTO CULVER CO COM 013078950 741 20000 SH PUT SOLE 20000 0 0 ALBERTO CULVER CO COM 013078100 11853 320000 SH SOLE 320000 0 0 ALCON INC COM SHS H01301102 281947 1725500 SH SOLE 1725500 0 0 ANADARKO PETE CORP COM 032511957 305 4000 SH PUT SOLE 4000 0 0 ATLAS ENERGY INC COM 049298102 15585 354442 SH SOLE 354442 0 0 ATP OIL & GAS CORP COM 00208J108 3399 203075 SH SOLE 203075 0 0 ATP OIL & GAS CORP COM 00208J908 3348 200000 SH CALL SOLE 200000 0 0 ATP OIL & GAS CORP COM 00208J958 2009 120000 SH PUT SOLE 120000 0 0 BALDOR ELEC CO COM 057741100 18912 300000 SH SOLE 300000 0 0 BANK OF AMERICA CORPORATION COM 060505904 15967 1196900 SH CALL SOLE 1196900 0 0 BANK OF AMERICA CORPORATION COM 060505954 534 40000 SH PUT SOLE 40000 0 0 BECKMAN COULTER INC COM 075811959 13052 173500 SH PUT SOLE 173500 0 0 BECKMAN COULTER INC COM 075811109 45740 608000 SH SOLE 608000 0 0 BJS WHOLESALE CLUB INC COM 05548J956 7185 150000 SH PUT SOLE 150000 0 0 BJS WHOLESALE CLUB INC COM 05548J106 2970 62000 SH SOLE 62000 0 0 BP PLC COM 055622904 782 17700 SH CALL SOLE 17700 0 0 BUCYRUS INTL INC COM 118759909 21277 238000 SH CALL SOLE 238000 0 0 BUCYRUS INTL INC COM 118759109 96552 1080000 SH SOLE 1080000 0 0 CELSIUS HOLDINGS INC COM NEW 15118V207 74 175000 SH SOLE 175000 0 0 CITIGROUP INC COM 172967101 3311 700000 SH SOLE 700000 0 0 CNA SURETY CORP COM 12612L108 11840 500000 SH SOLE 500000 0 0 COMMSCOPE INC COM 203372107 96782 3100000 SH SOLE 3100000 0 0 COMPELLENT TECHNOLOGIES INC COM 20452A108 706 25600 SH SOLE 25600 0 0 CRUCELL N V SPONSORED ADR 228769105 18378 582400 SH SOLE 582400 0 0 DEL MONTE FOODS CO COM 24522P103 27824 1480000 SH SOLE 1480000 0 0 DIONEX CORP COM 254546104 2360 20000 SH SOLE 20000 0 0 DIRECTV COM 25490A901 3194 80000 SH CALL SOLE 80000 0 0 DIREXION SHS ETF TR DLY LRG CAP BEAR 25459W854 767 87500 SH SOLE 87500 0 0 EMERGENCY MEDICAL SVCS CORP CL A 29100P102 13568 210005 SH SOLE 210005 0 0 EURAND N V SHS N31010106 1183 100000 SH SOLE 100000 0 0 EXCO RESOURCES INC COM 269279402 194 10000 SH SOLE 10000 0 0 EXCO RESOURCES INC COM 269279902 2330 120000 SH CALL SOLE 120000 0 0 FIDELITY NATL INFORMATION SV COM 31620M106 5478 200000 SH SOLE 200000 0 0 FIRST MIDWEST BANCORP COM 320867104 119 10350 SH SOLE 10350 0 0 FX ENERGY INC COM 302695101 615 100000 SH SOLE 100000 0 0 GAIN CAP HLDGS INC COM 36268W100 2300 250000 SH SOLE 250000 0 0 GAP INC DEL COM 364760108 1771 80000 SH SOLE 80000 0 0 GAP INC DEL COM 364760958 2657 120000 SH PUT SOLE 120000 0 0 GASTAR EXPL LTD COM NEW 367299203 645 150000 SH SOLE 150000 0 0 GENZYME CORP COM 372917954 70410 988900 SH PUT SOLE 988900 0 0 GENZYME CORP COM 372917904 14240 200000 SH CALL SOLE 200000 0 0 GENZYME CORP COM 372917104 94340 1325000 SH SOLE 1325000 0 0 GOLDCORP INC COM 380956409 32426 703597 SH SOLE 703597 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 11760 69933 SH SOLE 69933 0 0 GOLDMAN SACHS GROUP INC COM 38141G904 28167 167500 SH CALL SOLE 167500 0 0 GRACE W R & CO DEL NEW COM 38388F108 4743 135000 SH SOLE 135000 0 0 HARBIN ELECTRIC INC COM 41145W109 18788 1082901 SH SOLE 1082901 0 0 HARBIN ELECTRIC INC COM 41145W959 15938 918600 SH PUT SOLE 918600 0 0 HEARTWARE INTL INC NOTE 3.500% 12/1 422368AA8 16004 14500 PRN SOLE 14500 0 0 HEARTWARE INTL INC COM 422368100 15062 172000 SH SOLE 172000 0 0 HYPERCOM CORP COM 44913M105 10463 1250000 SH SOLE 1250000 0 0 IVANHOE MINES LTD COM 46579N103 401 17500 SH SOLE 17500 0 0 J CREW GROUP INC COM 46612H402 8732 202400 SH SOLE 202400 0 0 JO-ANN STORES INC COM 47758P307 2971 49341 SH SOLE 49341 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - -------------------------------- ------------------- --------- -------- ----------------- ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------- ------------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ---- JPMORGAN CHASE & CO COM 46625H950 73790 1739500 SH PUT SOLE 1739500 0 0 JPMORGAN CHASE & CO COM 46625H900 51371 1211000 SH CALL SOLE 1211000 0 0 JPMORGAN CHASE & CO COM 46625H100 62330 1469355 SH SOLE 1469355 0 0 KEMET CORP COM NEW 488360207 2187 150000 SH SOLE 150000 0 0 KING PHARMACEUTICALS INC COM 495582108 53390 3800000 SH SOLE 3800000 0 0 LEAP WIRELESS INTL INC COM 521863958 39968 3260000 SH PUT SOLE 3260000 0 0 LEAP WIRELESS INTL INC COM NEW 521863308 39926 3256600 SH SOLE 3256600 0 0 LIBERTY MEDIA CORP LIB STAR COM A 53071M708 12699 191024 SH SOLE 191024 0 0 LORAL SPACE & COMMUNICATNS I COM 543881106 35239 460636 SH SOLE 460636 0 0 MARSHALL & ILSLEY CORP COM 571837103 8792 1270500 SH SOLE 1270500 0 0 MASSEY ENERGY COMPANY COM 576206106 28703 535000 SH SOLE 535000 0 0 MASSEY ENERGY COMPANY COM 576206956 29239 545000 SH PUT SOLE 545000 0 0 MCAFEE INC COM 579064906 12523 270600 SH CALL SOLE 270600 0 0 MEAD JOHNSON NUTRITION CO COM 582839106 1245 20000 SH SOLE 20000 0 0 NOVARTIS A G COM 66987V959 41265 700000 SH PUT SOLE 700000 0 0 NOVARTIS A G COM 66987V909 78404 1330000 SH CALL SOLE 1330000 0 0 NOVELL INC COM 670006105 4736 800000 SH SOLE 800000 0 0 PENN VA CORP COM 707882106 505 30000 SH SOLE 30000 0 0 POTASH CORP SASK INC COM 73755L957 12386 80000 SH PUT SOLE 80000 0 0 QUICKSILVER RESOURCES INC COM 74837R104 295 20000 SH SOLE 20000 0 0 SARA LEE CORP COM 803111103 1751 100000 SH SOLE 100000 0 0 SEAGATE TECHNOLOGY PLC SHS G7945M107 2104 140000 SH SOLE 140000 0 0 SEAGATE TECHNOLOGY PLC COM G7945M957 2255 150000 SH PUT SOLE 150000 0 0 SELECT SECTOR SPDR TR COM 81369Y905 1595 100000 SH CALL SOLE 100000 0 0 SERVICE CORP INTL COM 817565104 1238 150000 SH SOLE 150000 0 0 SIX FLAGS ENTMT CORP COM 83001A102 113941 2094517 SH SOLE 2094517 0 0 SOUTHWEST AIRLS CO COM 844741908 6490 500000 SH CALL SOLE 500000 0 0 SOUTHWEST AIRLS CO COM 844741958 6490 500000 SH PUT SOLE 500000 0 0 SPDR S&P 500 ETF TR COM 78462F953 125750 1000000 SH PUT SOLE 1000000 0 0 SPDR S&P 500 ETF TR COM 78462F903 46528 370000 SH CALL SOLE 370000 0 0 SYNIVERSE HLDGS INC COM 87163F106 43807 1420000 SH SOLE 1420000 0 0 TALBOTS INC COM 874161102 554 65000 SH SOLE 65000 0 0 TALBOTS INC *W EXP 04/09/201 874161110 1992 1520600 SH SOLE 1520600 0 0 TALECRIS BIOTHERAPEUTICS HLD COM 874227101 16310 700000 SH SOLE 700000 0 0 TENET HEALTHCARE CORP COM 88033G100 2676 400000 SH SOLE 400000 0 0 TWO HBRS INVT CORP COM 90187B101 343 35000 SH SOLE 35000 0 0 VERIGY LTD SHS Y93691106 29165 2240000 SH SOLE 2240000 0 0 VERIGY LTD COM Y93691956 12639 970700 SH PUT SOLE 970700 0 0 VERIGY LTD COM Y93691906 1172 90000 SH CALL SOLE 90000 0 0
-----END PRIVACY-ENHANCED MESSAGE-----