-----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, PzhXkJnT5TK5639njCI3yrfV6MHZwXnmmf9AnK7BYHT92aO+OdOFtzaCVE+DlbAe LmauAkMD6UT9tDlBMAnisg== 0001140361-10-005947.txt : 20100212 0001140361-10-005947.hdr.sgml : 20100212 20100212133126 ACCESSION NUMBER: 0001140361-10-005947 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 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: 10597245 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: 12/31/2009 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: 28-12843 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 2/12/2010 - --------------------------------- --------------------------------- ---------- [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: 65 Form 13F Information Table Value Total: $ 935,832 -------------- (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 - -------------------------------- --------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ---- 3COM CORP COM 885535104 13500 1800000 SH SOLE 1800000 0 0 AFFILIATED COMPUTER SVCS-A CL A 008190100 80582 1350000 SH SOLE 1350000 0 0 ALLIED CAPITAL CORP COM 01903Q108 279 77300 SH SOLE 77300 0 0 AMERICAN WATER WORKS CO INC COM 030420103 2801 125000 SH SOLE 125000 0 0 AMICAS INC COM 001712108 1 100 SH SOLE 100 0 0 ASSOCIATED BANC-CORP COM 045487105 231 20975 SH SOLE 20975 0 0 ATP OIL & GAS CORPORATION COM 00208J108 520 28440 SH SOLE 28440 0 0 BANK OF AMERICA CORPORATION UNIT 060505419 83360 5587157 SH SOLE 5587157 0 0 BANK OF AMERICA CORPORATION COM 060505904 12876 8550 SH CALL SOLE 8550 0 0 BJ SVCS CO COM 055482103 13020 700000 SH SOLE 700000 0 0 BOISE INC COM 09746Y105 690 130000 SH SOLE 130000 0 0 BPW ACQUISITION CORP COM 055637110 540 600000 SH SOLE 600000 0 0 BPW ACQUISITION CORP COM 055637102 2975 282500 SH SOLE 282500 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 81 3231 SH SOLE 3231 0 0 BURLINGTON NORTHERN SANTA FE C COM 12189T954 92022 9331 SH PUT SOLE 9331 0 0 BURLINGTON NORTHERN SANTA FE C COM 12189T104 38955 395000 SH SOLE 395000 0 0 CADBURY PLC SPONS ADR 12721E102 2199 42800 SH SOLE 42800 0 0 CITIGROUP INC COM 172967101 4982 1505000 SH SOLE 1505000 0 0 CORRIENTE RESOURCES INC-A COM 22027E409 11405 1400000 SH SOLE 1400000 0 0 DIRECTV CL A 25490A901 6670 2000 SH CALL SOLE 2000 0 0 DIRECTV CL A 25490A101 43 1304 SH SOLE 1304 0 0 ENCORE ACQUISITION CO COM 29255W100 49221 1025000 SH SOLE 1025000 0 0 ENERGY XXI BERMUDA COM SHS G10082108 1392 602800 SH SOLE 602800 0 0 FGX INTERNATIONAL HOLDINGS ORD SHS G3396L102 980 50000 SH SOLE 50000 0 0 GRACE W R & CO DEL NEW COM 38388F908 1141 450 SH CALL SOLE 450 0 0 GRACE W R & CO DEL NEW COM 38388F108 887 35000 SH SOLE 35000 0 0 HEARTWARE INTERNATIONAL INC COM 422368100 8061 227273 SH SOLE 227273 0 0 I2 TECHNOLOGIES INC COM 465754208 3837 200700 SH SOLE 200700 0 0 IMS HEALTH INC COM 449934108 37973 1803100 SH SOLE 1803100 0 0 INTERNATIONAL ROYALTY CORP COM 460277106 12596 1751600 SH SOLE 1751600 0 0 JPMORGAN CHASE & CO COM 46625H100 417 10000 SH SOLE 10000 0 0 LIBERTY MEDIA CORP NEW COM 53071M302 299 12500 SH SOLE 12500 0 0 LIBERTY MEDIA CORP NEW COM 53071M708 21769 471700 SH SOLE 471700 0 0 LOEWS CORP COM 540424108 2181 60000 SH SOLE 60000 0 0 MARVEL ENTERTAINMENT INC COM 57383T103 76318 1411200 SH SOLE 1411200 0 0 MEAD JOHNSON NUTRITION CO CL A 582839906 3387 775 SH CALL SOLE 775 0 0 MEAD JOHNSON NUTRITION CO CL A 582839106 35086 800000 SH SOLE 800000 0 0 MPS GROUP INC COM 553409103 10992 800000 SH SOLE 800000 0 0 NORTHERN OIL AND GAS INC COM 665531109 992 83803 SH SOLE 83803 0 0 OMEROS CORP COM 682143102 200 28475 SH SOLE 28475 0 0 PENN VIRGINIA CORP COM 707882106 745 35000 SH SOLE 35000 0 0 PEPSI BOTTLING GROUP INC COM 713409100 2869 76500 SH SOLE 76500 0 0 PFIZER INC COM 717081103 3820 210000 SH SOLE 210000 0 0 PFIZER INC COM 717081953 3629 1995 SH PUT SOLE 1995 0 0 PROSHARES ULTRASHORT REAL ESTATE PSHS REAL ESTAT 74347R552 212 28205 SH SOLE 28205 0 0 REINSURANCE GROUP OF AMERICA COM 759351604 238 5000 SH SOLE 5000 0 0 ROYAL BK SCOTLAND GROUP PLC SP ADR PREF SHS 780097788 1879 145000 SH SOLE 145000 0 0 ROYAL BK SCOTLAND GROUP PLC SPON ADR F 780097804 567 35350 SH SOLE 35350 0 0 ROYAL BK SCOTLAND GROUP PLC SPON ADR SER H 780097879 661 45800 SH SOLE 45800 0 0 SERVICE CORP INTERNATIONAL COM 817565104 2 200 SH SOLE 200 0 0 SIRIUS XM RADIO INC COM 82967N958 390 6500 SH PUT SOLE 6500 0 0 SIRIUS XM RADIO INC COM 82967N108 4185 6975000 SH SOLE 6975000 0 0 SPDR TR UNIT SER1 78462F903 39561 3550 SH CALL SOLE 3550 0 0 SPDR TR UNIT SER1 78462F953 36775 3300 SH PUT SOLE 3300 0 0 STANDARD MOTOR PRODS COM 853666105 925 108575 SH SOLE 108575 0 0 STEWART ENTERPRISES INC NOTE 860370AH8 2595 3000000 PRN SOLE 3000000 0 0 STEWART ENTERPRISES INC NOTE 860370AK1 9602 11000000 PRN SOLE 11000000 0 0 STEWART ENTERPRISES INC CL A 860370105 2833 550000 SH SOLE 550000 0 0 SUN MICROSYSTEMS INC COM 866810203 36580 3903974 SH SOLE 3903974 0 0 SWITCH & DATA FACILITIES CO COM 871043105 606 30000 SH SOLE 30000 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 - -------------------------------- --------------- --------- -------- -------- --- ---- ---------- -------- -------- ------ ---- TALBOTS INC COM 874161102 1724 193500 SH SOLE 193500 0 0 VARIAN INC COM 922206107 36078 700000 SH SOLE 700000 0 0 WASHINGTON FEDERAL INC COM 938824109 187 9626 SH SOLE 9626 0 0 XTO ENERGY INC COM 717081953 23265 5000 SH PUT SOLE 5000 0 0 XTO ENERGY INC COM 98385X106 90443 1940000 SH SOLE 1940000 0 0
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