-----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, UvXw/qyNq3YL7mC3f24JidvCHgH97LI5swQcn4QnKwRRpXj9HErdb9TPBuUh6krU GQrwTyQgg+ep5h7jkagF/Q== 0001080171-05-000023.txt : 20051114 0001080171-05-000023.hdr.sgml : 20051111 20051114135536 ACCESSION NUMBER: 0001080171-05-000023 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20050930 FILED AS OF DATE: 20051114 DATE AS OF CHANGE: 20051114 EFFECTIVENESS DATE: 20051114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ARISTEIA CAPITAL LLC CENTRAL INDEX KEY: 0001080171 IRS NUMBER: 133953132 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-07622 FILM NUMBER: 051199691 BUSINESS ADDRESS: STREET 1: 381 5TH AVE STREET 2: 6TH FL CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 212-842-8900 MAIL ADDRESS: STREET 1: 381 5TH AVE CITY: NEW YORK STATE: NY ZIP: 10016 FORMER COMPANY: FORMER CONFORMED NAME: ARISTEIA ADVISORS LLC DATE OF NAME CHANGE: 19990226 13F-HR 1 september2005submission.txt SEPTEMBER2005SUBMISSION UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 13F FORM 13F COVER PAGE Report for the Quarter Ended: September 30, 2005 Institutional Investment Manager Filing this Report: Aristeia Capital, LLC 136 Madison Avenue, 3rd Floor New York, NY 10016 13F File Number: 28-7622 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: Robert H. Lynch, Jr. Title: Managing Member Phone: (212) 842-8900 Signature, Place, and Date of Signing: Robert H. Lynch, Jr. New York, NY November 14, 2005 Report Type: 13F Holdings Report List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 144 Form 13F Information Table Value Total: $2705305 NAME OF ISSUER TITLE OF CLASS CUSIP VALUE(X1000) /PRN AMOUNT SH/PRN PUT/CALL A D C TELECOMMUNICATIONS FRNT 6/1 000886AB7 13720 13000000 PRN AGCO CORP NOTE 1.750%12/3 001084AJ1 20391 20500000 PRN ABGENIX INC NOTE 1.750%12/1 00339BAD9 26788 23500000 PRN ACTUANT CORP SDCV 2.000%11/1 00508XAB0 16518 13000000 PRN AIRTRAN HLDGS INC NOTE 7.000% 7/0 00949PAB4 15877 11500000 PRN AKAMAI TECHNOLOGIES INC NOTE 1.000%12/1 00971TAE1 10368 8980000 PRN ALASKA AIR GROUP INC DBCV 3/2 011659AG4 14220 12000000 PRN ALLERGAN INC NOTE 11/0 018490AE2 36845 35000000 PRN ALLIANT TECHSYSTEMS INC NOTE 3.000% 8/1 018804AK0 23181 20000000 PRN AMERICAN EXPRESS CO DBCV 1.850%12/0 025816AS8 39568 37500000 PRN AMERICAN TOWER CORP NOTE 3.000% 8/1 029912AR3 13443 10000000 PRN AMERICREDIT CORP NOTE 1.750%11/1 03060RAM3 18909 14000000 PRN AMYLIN PHARMACEUTICALS INC NOTE 2.500% 4/1 032346AD0 23037 20000000 PRN ANDREW CORP NOTE 3.250% 8/1 034425AB4 10379 10000000 PRN ANIXTER INTL INC NOTE 7/0 ADDED 035290AG0 17851 31308000 PRN APOGENT TECHNOLOGIES INC DBCV 12/1 03760AAK7 5371 4500000 PRN ARCH COAL INC PFD CV 5% PERP 039380209 112781 690000 SH ARMOR HOLDINGS INC NOTE 2.000%11/0 042260AC3 16011 16000000 PRN ATHEROGENICS INC NOTE 4.500% 9/0 047439AB0 15206 12250000 PRN ATLANTIC COAST AIRLINES HLDG NOTE 6.000% 2/1 048396AE5 397 5200000 PRN CMS ENERGY CORP NOTE 2.875%12/0 125896AW0 25979 20200000 PRN CSG SYS INTL INC NOTE 2.500% 6/1 126349AB5 9230 9215000 PRN CV THERAPEUTICS INC NOTE 2.750% 5/1 126667AF1 7258 4500000 PRN CV THERAPEUTICS INC NOTE 3.250% 8/1 126667AG9 19026 16000000 PRN CADENCE DESIGN SYSTEM INC NOTE 8/1 127387AB4 22068 20000000 PRN CALPINE CORP COM 131347106 2072 800000 SH CALPINE CORP PUT 131347106 1403 550000 SH P CALPINE CORP PUT 131347106 0 2500 SH P CALPINE CORP NOTE 7.750% 6/0 131347BN5 8126 10000000 PRN CAPITALSOURCE INC DBCV 3.500% 7/1 14055XAD4 12084 13000000 PRN CARNIVAL CORP NOTE 10/2 143658AS1 41584 50000000 PRN CARNIVAL CORP DBCV 1.132% 4/2 143658AV4 20949 28000000 PRN CELL GENESYS INC NOTE 3.125%11/0 150921AB0 4705 6000000 PRN CENTERPOINT ENERGY INC NOTE 3.750% 5/1 15189TAC1 35198 26500000 PRN CEPHALON INC NOTE 6/1 156708AL3 9332 10000000 PRN CEPHALON INC NOTE 2.000% 6/0 156708AP4 45210 40000000 PRN CHIRON CORP DBCV 2.750% 6/3 170040AJ8 24757 25000000 PRN COMMSCOPE INC SDCV 1.000% 3/1 203372AD9 13839 14250000 PRN CYTYC CORP NOTE 2.250% 3/1 232946AB9 6884 6407000 PRN DST SYS INC DEL DBCV 3.625% 8/1 233326AD9 3030 2500000 PRN DANAHER CORP DEL NOTE 1/2 235851AF9 13584 17050000 PRN DELPHI CORP COM 247126105 2180 790000 SH DICKS SPORTING GOODS INC NOTE 1.606% 2/1 253393AB8 8512 12500000 PRN DISNEY WALT CO NOTE 2.125% 4/1 254687AU0 15258 15000000 PRN DUKE ENERGY CORP NOTE 1.750% 5/1 264399EJ1 41882 34000000 PRN DYNEGY INC NEW SDCV 4.750% 8/1 26816QAB7 20721 15960000 PRN EASTMAN KODAK CO NOTE 3.375%10/1 277461BE8 14590 15000000 PRN ELECTRONIC DATA SYS NEW NOTE 3.875% 7/1 285661AF1 24729 25000000 PRN ELECTRONICS FOR IMAGING INC DBCV 1.500% 6/0 286082AA0 11918 11500000 PRN EMMIS COMMUNICATIONS CORP PFD CV SER A 291525202 5242 119195 SH ENCORE CAP GROUP INC COM 292554102 2498 140000 SH FINISAR NOTE 2.500%10/1 31787AAF8 10245 12000000 PRN FIRST HORIZON PHARMACEUTICAL NOTE 1.750% 3/0 32051KAB2 11160 11000000 PRN FISHER SCIENTIFIC INTL INC NOTE 2.500%10/0 338032AW5 18326 13000000 PRN FLEETWOOD ENTERPRISES INC SDCV 5.000%12/1 339099AD5 11098 9000000 PRN FRANKLIN RES INC NOTE 5/1 354613AC5 32101 40757000 PRN FREEPORT-MCMORAN COPPER & GO NOTE 7.000% 2/1 35671DAK1 3341 2000000 PRN GENCORP INC NOTE 4.000% 1/1 368682AJ9 19658 15000000 PRN GENERAL MLS INC CALL 370334104 36 50000 SH C GENERAL MLS INC DBCV 10/2 370334AU8 57366 80619000 PRN GENERAL MTRS CORP DEB SR CV C 33 370442717 68639 3475400 SH GREY WOLF INC NOTE 3.750% 5/0 397888AD0 7624 5500000 PRN GREY WOLF INC FRNT 4/0 397888AF5 13253 9000000 PRN HCC INS HLDGS INC NOTE 2.000% 9/0 404132AC6 20367 15000000 PRN HANOVER COMPRESSOR CO NOTE 4.750% 1/1 410768AE5 13544 12000000 PRN HASBRO INC DBCV 2.750%12/0 418056AN7 5354 5000000 PRN HEALTH MGMT ASSOC INC NEW NOTE 1.500% 8/0 421933AF9 16026 15500000 PRN HILTON HOTELS CORP NOTE 3.375% 4/1 432848AZ2 17087 15000000 PRN INTEGRA LIFESCIENCES HLDGS C NOTE 2.500% 3/1 457985AB5 11473 9500000 PRN INTERMUNE INC NOTE 0.250% 3/0 45884XAC7 14989 17000000 PRN INTERPUBLIC GROUP COS INC NOTE 4.500% 3/1 460690AT7 38123 32500000 PRN INVITROGEN CORP NOTE 2.000% 8/0 46185RAJ9 30327 25000000 PRN I2 TECHNOLOGIES INC NOTE 5.250%12/1 465754AF6 21979 22000000 PRN IVAX CORP NOTE 1.500% 5/1 465823AQ5 36800 30000000 PRN JETBLUE AWYS CORP DBCV 3.750% 3/1 477143AC5 3783 4000000 PRN JUNIPER NETWORKS INC NOTE 6/1 48203RAC8 22106 17500000 PRN KERZNER INTL LTD NOTE 2.375% 4/1 492520AB7 17617 16000000 PRN LSI LOGIC CORP NOTE 4.000% 5/1 502161AJ1 15856 15000000 PRN LAMAR ADVERTISING CO NOTE 2.875%12/3 512815AG6 6968 6500000 PRN LANDAMERICA FINL GROUP INC DBCV 3.250% 5/1 514936AD5 19544 15000000 PRN LEUCADIA NATL CORP NOTE 3.750% 4/1 527288AX2 19518 18000000 PRN LEVEL 3 COMMUNICATIONS INC NOTE 5.250%12/1 52729NBF6 10792 14750000 PRN LIBERTY MEDIA CORP NEW DEB 0.750% 3/3 530718AF2 44473 40000000 PRN LINCARE HLDGS INC DBCV 3.000% 6/1 532791AB6 10016 10000000 PRN LOWES COS INC NOTE 0.861%10/1 548661CG0 41896 37000000 PRN LUCENT TECHNOLOGIES INC DBCV 2.750% 6/1 549463AH0 23988 20000000 PRN MASSEY ENERGY CO NOTE 2.250% 4/0 576203AF0 18872 11500000 PRN MCMORAN EXPLORATION CO NOTE 5.250%10/0 582411AE4 37434 28850000 PRN MEDICIS PHARMACEUTICAL CORP NOTE 2.500% 6/0 58470KAA2 8943 7500000 PRN MEDTRONIC INC DBCV 1.250% 9/1 585055AD8 58615 58651000 PRN MENS WEARHOUSE INC NOTE 3.125%10/1 587118AC4 13983 12500000 PRN MERCURY INTERACTIVE CORP NOTE 5/0 589405AD1 21305 21500000 PRN MERRILL LYNCH & CO INC NOTE 3/1 590188W46 28615 28130000 PRN NCI BUILDING SYS INC NOTE 2.125%11/1 628852AG0 17418 15000000 PRN NII HLDGS INC NOTE 2.875% 2/0 62913FAC6 33780 20000000 PRN NABORS INDS INC NOTE 6/1 629568AL0 31350 27500000 PRN NASDAQ 100 TR UNIT SER 1 631100104 1613 40869 SH NASDAQ 100 TR CALL 631100104 475 500000 SH C NASDAQ 100 TR CALL 631100104 2300 4000000 SH C OSI PHARMACEUTICALS INC NOTE 3.250% 9/0 671040AD5 4792 5000000 PRN OMNICARE CAP TR I PIERS 68214L201 20223 276600 SH PSS WORLD MED INC NOTE 2.250% 3/1 69366AAB6 14540 15000000 PRN POWERWAVE TECHNOLOGIES INC NOTE 1.875%11/1 739363AD1 19730 15000000 PRN PRIDE INTL INC DEL NOTE 3.250% 5/0 74153QAD4 20837 16500000 PRN PROTEIN DESIGN LABS INC NOTE 2.000% 2/1 74369LAF0 19962 15000000 PRN QUANTA SVCS INC SDCV 4.500%10/0 74762EAC6 19369 15000000 PRN RF MICRODEVICES INC NOTE 1.500% 7/0 749941AE0 11163 12000000 PRN RELIANT ENERGY INC NOTE 5.000% 8/1 75952BAD7 17424 10000000 PRN RETAIL HOLDRS TR DEP RCPT 76127U101 1225 13200 SH ROYAL CARIBBEAN CRUISES LTD NOTE 2/0 780153AK8 20194 38852000 PRN ROYAL CARIBBEAN CRUISES LTD NOTE 5/1 780153AM4 32220 47500000 PRN SPDR TR UNIT SER 1 78462F103 2164 17590 SH SPDR TR CALL 78462F103 158 3000 SH C SPDR TR PUT 78462F103 48 2100 SH P SAKS INC NOTE 2.000% 3/1 79377WAL2 16428 15000000 PRN SCHEIN HENRY INC NOTE 3.000% 8/1 806407AB8 11222 10000000 PRN SCHLUMBERGER LTD DBCV 2.125% 6/0 806857AD0 14766 12500000 PRN SCIENTIFIC GAMES CORP SDCV 0.750%12/0 80874PAD1 4705 4000000 PRN SEACOR HOLDINGS INC DBCV 2.875%12/1 811904AJ0 17492 15000000 PRN SERENA SOFTWARE INC NOTE 1.500%12/1 817492AB7 10237 10000000 PRN SHANDA INTERACTIVE ENTMT LTD NOTE 10/1 ADDED 81941QAB0 9883 11000000 PRN SHUFFLE MASTER INC NOTE 1.250% 4/1 825549AB4 13628 12500000 PRN SILICON GRAPHICS INC NOTE 6.500% 6/0 827056AE2 7808 9891000 PRN SIRIUS SATELLITE RADIO INC COM 82966U103 116 17777 SH SIRIUS SATELLITE RADIO INC NOTE 2.500% 2/1 82966UAC7 26199 16500000 PRN SIRIUS SATELLITE RADIO INC NOTE 3.250%10/1 82966UAD5 47422 33500000 PRN SIX FLAGS INC NOTE 4.500% 5/1 83001PAJ8 1261 1000000 PRN STARWOOD HOTELS&RESORTS WRLD NOTE 3.500% 5/1 85590AAJ3 36502 31000000 PRN TJX COS INC NEW NOTE 2/1 872540AL3 5740 7500000 PRN THORATEC CORP NOTE 1.379% 5/1 885175AB5 3138 5000000 PRN TRIARC COS INC NOTE 5.000% 5/1 895927AD3 9221 7500000 PRN TYCO INTL GROUP S A DBCV 2.750% 1/1 902118BF4 73005 59400000 PRN UNITED RENTALS NORTH AMER IN NOTE 1.875%10/1 911365AH7 18562 17500000 PRN UNIVERSAL HLTH SVCS INC DBCV 0.426% 6/2 913903AL4 13017 22500000 PRN UTSTARCOM INC NOTE 0.875% 3/0 918076AB6 6738 8390000 PRN VALEANT PHARMACEUTICALS INTL NOTE 4.000%11/1 91911XAD6 9141 10000000 PRN VERTEX PHARMACEUTICALS INC NOTE 5.750% 2/1 92532FAF7 5548 3500000 PRN VORNADO RLTY L P DEB 3.875% 4/1 929043AC1 37235 35000000 PRN WALTER INDS INC NOTE 3.750% 5/0 93317QAC9 37944 13500000 PRN WATSON PHARMACEUTICALS INC DBCV 1.750% 3/1 942683AC7 17831 17500000 PRN WEBMD CORP NOTE 1.750% 6/1 94769MAE5 7942 8500000 PRN WYETH DBCV 1/1 983024AD2 18167 17500000 PRN YAHOO INC FRNT 4/0 984332AB2 25069 15000000 PRN YELLOW ROADWAY CORP NOTE 3.375%11/2 985577AB1 21196 17500000 PRN FOSTER WHEELER LTD *W EXP 09/24/200 G36535121 59208 1593759 SH 2705305
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