UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: MARCH 31, 2013
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Check here if Amendment [ ]; Amendment Number: -----------------
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holding entries.
Institutional Investment Manager Filing this Report:
Name: RED ROCKS CAPITAL LLC
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Address: 25188 GENESEE TRAIL ROAD
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SUITE 250
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GOLDEN, CO 80401
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13F File Number: 28-14056
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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, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: MATTHEW R. LUOMA
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Title: CHIEF FINANCIAL OFFICER
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Phone: (303) 679-8252
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Signature, Place, and Date of Signing:
/S/MATTHEW R. LUOMA GOLDEN, CO MAY 15, 2013
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[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).)
FORM 13F SUMMARY PAGE
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Report Summary:
Number of Other Included Managers: 0
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Form 13F Information Table Entry Total: 9
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Form 13F Information Table Value Total: 283,726
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(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.
NONE
FORM 13F INFORMATION TABLE
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
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VOTING AUTHORITY
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER
NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
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AMERICAN CAP LTD COM 02503Y103 40,019 2,742,000 SH SOLE 2,742,000
APOLLO GLOBAL MGMT LLC CL A SHS 037612306 39,912 1,844,367 SH SOLE 1,844,367
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 50,504 2,553,300 SH SOLE 2,553,300
BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 32,305 885,300 SH SOLE 885,300
CARLYLE GROUP L P COM UTS LTD PTN 14309L102 17,917 592,295 SH SOLE 592,295
ICG GROUP INC COM 44928D108 19,892 1,593,903 SH SOLE 1,593,903
KKR & CO L P DEL COM UNITS 48248M102 50,907 2,634,947 SH SOLE 2,634,947
OAKTREE CAP GROUP LLC UNIT 99/99/9999 674001201 17,785 348,600 SH SOLE 348,600
SAFEGUARD SCIENTIFICS INC COM NEW 786449207 14,485 916,754 SH SOLE 916,754
TOTAL 283,726