ROC CAPITAL MANAGEMENT, L.P.

CRD #152873 SEC #801-71290 NEW YORK, NY 212.607.8333

SEC Registered Private Funds

Total AUM

$1.2B

Discretionary

$1.2B

Employees

Clients

Accounts

Firm Details

Organization Type: Limited Partnership
State of Formation: Delaware
Fiscal Year End: DECEMBER
Registration Date: --
Latest Filing: Mar 28, 2013
Branch Offices: --

Advisory Services

No services reported

Compensation Methods

No compensation methods reported

Ownership

Direct Owners & Executive Officers (Schedule A)

Name	Type	Title / Status	Ownership	Control
BREE, DAVID, NATHAN	I	DIRECTOR OF ROC CAPITAL GP I, LTD.	NA	Control
BREE, DAVID, NATHAN	I	DIRECTOR OF ROC CAPITAL GP I, LTD.	NA	Control
BREE, DAVID, NATHAN	I	DIRECTOR OF ROC CAPITAL GP I, LTD.	NA	Control
FORM, DAVID, ANDREW	I	CHIEF COMPLIANCE OFFICER	NA	Control
FORM, DAVID, ANDREW	I	CHIEF COMPLIANCE OFFICER	NA	Control
FORM, DAVID, ANDREW	I	CHIEF COMPLIANCE OFFICER	NA	Control
GHOSE, ANUPAM	I	CHIEF STRATEGIC OFFICER	NA	Control
GHOSE, ANUPAM	I	CHIEF STRATEGIC OFFICER	NA	Control
GHOSE, ANUPAM	I	CHIEF STRATEGIC OFFICER	NA	Control
GHOSE, ANUPAM	I	CHIEF STRATEGIC OFFICER	NA	Control
GHOSE, ANUPAM	I	CHIEF STRATEGIC OFFICER	NA	Control
GUILFOYLE, RONAN, AMBROSE	I	DIRECTOR OF ROC CAPITAL GP I, LTD.	NA	Control
GUILFOYLE, RONAN, AMBROSE	I	DIRECTOR OF ROC CAPITAL GP I, LTD.	NA	Control
GUILFOYLE, RONAN, AMBROSE	I	DIRECTOR OF ROC CAPITAL GP I, LTD.	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
RAGHUNATHAN, ARVIND	I	CHIEF EXECUTIVE OFFICER	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER OF ROC CAPITAL MANAGEMENT, LP	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER OF ROC CAPITAL MANAGEMENT, LP	NA	Control
ROC CAPITAL MANAGEMENT, LLC	DE	GENERAL PARTNER OF ROC CAPITAL MANAGEMENT, LP	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
WELLS, SHAWN, T	I	MANAGING DIRECTOR, GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
WOLFSON, ROBERT, GARY	I	CHIEF OPERATING OFFICER	NA	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP	E	Control
ASR INVESTMENTS II LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP	E	Control
ROC CAPITAL GROUP MM, LLC	DE	MANAGING MEMBER OF ROC CAPITAL GROUP, LLC	E	Control
ROC CAPITAL GROUP MM, LLC	DE	MANAGING MEMBER OF ROC CAPITAL GROUP, LLC	E	Control
ROC CAPITAL GROUP MM, LLC	DE	MANAGING MEMBER OF ROC CAPITAL GROUP, LLC	E	Control
ROC CAPITAL GROUP, LLC	DE	OWNER OF ROC CAPITAL GP I, LTD.	E	Control
ROC CAPITAL GROUP, LLC	DE	OWNER OF ROC CAPITAL GP I, LTD.	E	Control
ROC CAPITAL GROUP, LLC	DE	OWNER OF ROC CAPITAL GP I, LTD.	E	Control
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, L.P.	B
SUNBEAM US HOLDINGS LLC	DE	MEMBER OF ROC CAPITAL GROUP, LLC	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, L.P.	B
SUNBEAM US HOLDINGS LLC	DE	MEMBER OF ROC CAPITAL GROUP, LLC	B
SUNBEAM US HOLDINGS LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, L.P.	B
SUNBEAM US HOLDINGS LLC	DE	MEMBER OF ROC CAPITAL GROUP, LLC	B
DBAH CAPITAL LLC	DE	LIMITED PARTNER	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP	A
DBAH CAPITAL LLC	DE	MEMBER OF ROC CAPITAL GROUP, LLC	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP	A
DBAH CAPITAL LLC	DE	MEMBER OF ROC CAPITAL GROUP, LLC	A
DBAH CAPITAL LLC	DE	LIMITED PARTNER OF ROC CAPITAL MANAGEMENT, LP	A
DBAH CAPITAL LLC	DE	MEMBER OF ROC CAPITAL GROUP, LLC	A

Indirect Owners (Schedule B)

Name	Type	Entity	Ownership	Control
ASR INVESTMENTS LLC	DE	ROC CAPITAL GROUP MM, LLC	E	Control
ASR INVESTMENTS LLC	DE	ROC CAPITAL GROUP MM, LLC	E	Control
ASR INVESTMENTS LLC	DE	ROC CAPITAL GROUP MM, LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
DEUTSCHE BANK AG	FE	DBAH CAPITAL LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS II LLC	E	Control
RAGHUNATHAN, ARVIND	I	ROC CAPITAL MANAGEMENT, LLC	E	Control
RAGHUNATHAN, ARVIND	I	ASR INVESTMENTS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
SUNBEAM HOLDINGS LIMITED	FE	SUNBEAM US HOLDINGS LLC	E	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, AMIT	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control
BHATIA, VANISHA, MITTAL	I	SUNBEAM HOLDINGS LIMITED	D	Control

Registrations

Federal

Mar 28, 2013 REGISTERED

Address

640 5TH AVENUE
10TH FLOOR
NEW YORK, NY 10019
United States

Phone: 212.607.8333