-----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, MvCeiqBp1lYFhYnw2ja389s0mHjcoXlUAC1YtQY2kqfoBgh2GYccWNgT6bnhOjXi SRsuZT6Ar+SJCIc4r3zLpw== 0001019056-09-000818.txt : 20090813 0001019056-09-000818.hdr.sgml : 20090813 20090813111950 ACCESSION NUMBER: 0001019056-09-000818 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090813 DATE AS OF CHANGE: 20090813 EFFECTIVENESS DATE: 20090813 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Geduld E E CENTRAL INDEX KEY: 0001352107 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11643 FILM NUMBER: 091008980 MAIL ADDRESS: STREET 1: C/O COUGAR TRADING LLC STREET 2: 375 PARK AVENUE SUITE 2301 CITY: NEW YORK STATE: NY ZIP: 10152 FORMER COMPANY: FORMER CONFORMED NAME: Geduld Emanuel E DATE OF NAME CHANGE: 20060202 13F-HR 1 geduld_13f-063009.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER Report for the Calendar Year or Quarter Ended: June 30, 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: E E Geduld --------------------------------------- Address: c/o Cougar Trading, LLC --------------------------------------- 1370 Avenue of the Americas, 30th Floor --------------------------------------- New York, NY 10019 --------------------------------------- Form 13F File Number: 28-11643 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: E E Geduld --------------------------------------- Title: --------------------------------------- Phone: 212-319-3500 --------------------------------------- Signature, Place and Date of Signing: /s/ Emanuel E. Geduld New York, NY August 12, 2009 - --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 6/30/2009 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 520 ----------- Form 13F Information Table Value Total $128,511 ----------- (thousands) List of Other Included Managers None 2
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- 2020 CHINACAP ACQUIRCO INC COM 90212G109 78 10,000 SH SOLE 10,000 0 0 2020 CHINACAP ACQUIRCO W EXP INC WRNT 11/08/11 11/08/2011 90212G117 4 25,000 SH SOLE 25,000 0 0 21ST CENTY TECHNOLOGIES INC COM STK COM 90130C306 0 13,334 SH SOLE 13,334 0 0 ABINGTON CMNTY BANCORP INC COM STK COM 00350L109 159 20,000 SH SOLE 20,000 0 0 ABOVENET INC COM STK COM 00374N107 1,012 12,500 SH SOLE 12,500 0 0 ACUSPHERE INC COM STK COM 00511R870 7 55,000 SH SOLE 55,000 0 0 ADAMJEE INSURANCE CO LTD PKR10 COM 6006693 51 49,500 SH SOLE 49,500 0 0 ADELPHIA RECOVERY SERVICES COM 00685R409 5 249,615 SH SOLE 249,615 0 0 BOND 10.25% ADELQ 10.25 15JUN2011 6/15/2011 006ESCBJ5 5 250,000 PRIN SOLE 250,000 0 0 ADEPT TECHNOLOGY INCCOM NEW COM 006854202 38 15,000 SH SOLE 15,000 0 0 ADRENALINA COM STK COM 00725L107 28 113,982 SH SOLE 113,982 0 0 ADVANCED PLANT PHARMACEUTICALS COM STK COM 00756F201 0 150,000 SH SOLE 150,000 0 0 ADVANCED VIRAL RESH CORP COM STK COM 007928104 0 250,000 SH SOLE 250,000 0 0 ADVENTRX PHARMACEUTICALS INC COM STK COM 00764X103 7 50,000 SH SOLE 50,000 0 0 AEROPOSTALE COM STK COM 007865108 685 20,000 SH SOLE 20,000 0 0 AIRASIA BHD COM B03J9L7 165 525,000 SH SOLE 525,000 0 0 ALCATEL-LUCENT ADS COM 013904305 62 25,000 SH SOLE 25,000 0 0 ALIGN TECHNOLOGY INC COM 016255101 106 10,000 SH SOLE 10,000 0 0 ALLSCRIPTS-MISYS HEALTHCARE SOLUTION COM 01988P108 159 10,000 SH SOLE 10,000 0 0 ALPHA SECURITY W EXP GROUPCORP 03/14/2011 03/14/2011 02078A118 0 25,000 SH SOLE 25,000 0 0 ALSIUS CORP WRNT W EXP 08/03/2009 08/03/2009 021211115 0 45,818 SH SOLE 45,818 0 0 ALTERNATIVE ASSET W EXP MANAGEMENT ACQUISITI 07/01/2012 02149U119 3 25,000 SH SOLE 25,000 0 0 AMEDIA NETWORKS INC COM 023434103 0 250,000 SH SOLE 250,000 0 0 AMER INTL GRP COM SHR COM 026874107 116 100,000 SH SOLE 100,000 0 0 AMERICAN EAGLE OUTFITTERS INC COM STK COM 02553E106 425 30,000 SH SOLE 30,000 0 0 AMERICAN HEALTHCHOISINC COM 025929209 1 175,000 SH SOLE 175,000 0 0 AMERICAN OIL & GAS INC COM STK COM 028723104 15 15,000 SH SOLE 15,000 0 0 AMERICANA DISTBN COM 030556104 0 600,000 SH SOLE 600,000 0 0
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13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- AMERIGO RESOURCES LTD COM 03074G109 6 17,500 SH SOLE 17,500 0 0 ANADIGICS INC COM STK COM 032515108 335 80,000 SH SOLE 80,000 0 0 APPLIED MICRO CIRCUITS CORP COM STK COM 03822W406 325 40,000 SH SOLE 40,000 0 0 APPLIED NEUROSOLUTIONS INC COM 03823Y104 37 1,460,000 SH SOLE 1,460,000 0 0 ARIAD PHARMACEUTICALS INC COM STK COM 04033A100 40 25,000 SH SOLE 25,000 0 0 ART TECHNOLOGY GROUP INC COM STK COM 04289L107 342 90,000 SH SOLE 90,000 0 0 ARTHROCARE CORP COM COM 043136100 756 70,000 SH SOLE 70,000 0 0 ASCEND ACQUISITION CORP W EXP WRNT 5/10/10 05/10/2010 04350H118 0 145,000 SH SOLE 145,000 0 0 ASIA SPECIAL SITUATION W EXP ACQ WRNT 01/16/2012 G0538M121 26 94,000 SH SOLE 94,000 0 0 ASIA SPECIAL SITUATION ACQUISITIN COM G0538M105 499 52,000 SH SOLE 52,000 0 0 W EXP ATLAS ACQUISITION WRNT 01/23/2012 049162118 4 25,000 SH SOLE 25,000 0 0 ATLAS ESTATES LD (UKM LISTING) COM B0WDBP8 48 52,961 SH SOLE 52,961 0 0 ATS CORP COM 00211E112 2 147,500 SH SOLE 147,500 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 224 7,500 SH SOLE 7,500 0 0 AUTOCHINA INTL LTD W EXP WRNT EXP 2/26/13 02/26/2013 G06750114 40 14,500 SH SOLE 14,500 0 0 AVESIS INCORPORATED COM 053650107 70 140,000 SH SOLE 140,000 0 0 AXCELIS TECHNOLOGIES INC COM STK COM 054540109 23 50,000 SH SOLE 50,000 0 0 BANGKOK DUSIT MEDICAL SERVICE F THB1.00 COM B013SQ9 6 25,000 SH SOLE 25,000 0 0 BANK OF AMERICA COM 060505104 264 20,000 SH CALL SOLE 20,000 0 0 BANK OF AMERICA CORP COM STK COM 060505104 34,317 2,599,791 SH SOLE 2,599,791 0 0 BANK RAKYAT INDONESIA COM 6709099 31 50,000 SH SOLE 50,000 0 0 W EXP BARZEL INDS INC WRNT 03/07/2011 069744118 4 118,173 SH SOLE 118,173 0 0 BBV VIETNAM S.E.A. ACQUISITION CORP COM Y0764A106 264 34,500 SH SOLE 34,500 0 0 BEBE STORES INC COM STK COM 075571109 138 20,000 SH SOLE 20,000 0 0 BENIHANA INC CL A COM STK CLASS A 082047200 158 25,000 SH SOLE 25,000 0 0 BEST BUY INC COM STK COM 086516101 251 7,500 SH SOLE 7,500 0 0 BIG LOTS INC COM STK COM 089302103 421 20,000 SH SOLE 20,000 0 0 BIOPURE CORP CL A WT W EXP EX 12/20/10 12/20/2010 09065H162 0 24,000 SH SOLE 24,000 0 0 BIOPURE CORP WTCL A W EXP EXP 12/31/2011 12/31/2011 09065H188 0 135,000 SH SOLE 135,000 0 0
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13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- W EXP BIOTIME WT 03/10/2010 03/10/2010 09066L147 12 21,090 SH SOLE 21,090 0 0 BLACKROCK INC COM NEW COM 09247X101 2,193 12,500 SH SOLE 12,500 0 0 BLACKSTONE GROUP LP COM UNIT LTD 09253U108 264 25,000 SH SOLE 25,000 0 0 BM&F BOVESPA SA COM B2RHNV9 532 88,497 SH SOLE 88,497 0 0 BOISE INC WRNT W EXP 06/18/2011 06/18/2011 09746Y113 40 400,000 SH SOLE 400,000 0 0 BOLSA A (MEX LISTING) COM B39VVF6 23 25,000 SH SOLE 25,000 0 0 BR MALLS PAR (BRA LISTING) COM B1RYG58 418 55,000 SH SOLE 55,000 0 0 BROADPOINT GLEACHER SECURITIES GROUP COM 11134A103 698 125,000 SH SOLE 125,000 0 0 BROCADE COMMUNICATIONS SYSTEM INC COM COM 111621306 392 50,000 SH SOLE 50,000 0 0 BRUSH ENGINEERED MATLS INC COM STK COM 117421107 251 15,000 SH SOLE 15,000 0 0 BURGER KING HOLDINGS INC COM COM 121208201 345 20,000 SH SOLE 20,000 0 0 BURSA MALAYSIA BHD COM B06FV38 49 25,000 SH SOLE 25,000 0 0 CALIPER LIFE SCIENCES W EXP WRNT 08/10/2011 130872112 2 29,647 SH SOLE 29,647 0 0 CALPINE CORP COM 131347304 279 25,000 SH SOLE 25,000 0 0 CANACCORD CAP INC COM COM 134801109 90 15,000 SH SOLE 15,000 0 0 CANADIAN SUPERIOR ENERGY INC COM 136644101 16 25,000 SH SOLE 25,000 0 0 CARDIONET INC COM 14159L103 163 10,000 SH PUT SOLE 10,000 0 0 CARGO CONNECTION LOGISTICS HL COM STK COM 141794107 0 200,000 SH SOLE 200,000 0 0 CENTERLINE HLDG CO COM STK COM 15188T108 47 205,000 SH SOLE 205,000 0 0 CENTEX CORP COM STK COM 152312104 127 15,000 SH SOLE 15,000 0 0 CENTRAL WIRELESS INC COM STK COM 15607P109 0 660,000 SH SOLE 660,000 0 0 CHARIOT RESOURCES LTD COM 15963M104 10 50,000 SH SOLE 50,000 0 0 CHEM RX CORPORATION W EXP WRNT EXP 10/20/2009 10/20/2009 163536113 0 306,075 SH SOLE 306,075 0 0 CHEMSPEC INTL LTD ADR SPONSOR ADR 163868102 93 11,050 SH SOLE 11,050 0 0 CHEMTURA CORP COM 163893100 6 25,000 SH SOLE 25,000 0 0 CHINA CABLECOM HOLDINGS LTD COM G21176113 13 116,640 SH SOLE 116,640 0 0 CHINA CAST EDUCATION W EXP CORP WRNT 03/16/2009 16946T117 0 24,900 SH SOLE 24,900 0 0 CHINA COAL ENERGY CO LTD COM B2NWDF2 12 10,000 SH SOLE 10,000 0 0 CHINA CONSTRUCTION BANK CORPORATION COM B0LMTQ3 78 100,000 SH SOLE 100,000 0 0 CHINA DISCOVERY ACQUISITION CORP COM G2112B117 25 90,000 SH SOLE 90,000 0 0
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13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- CHINA FUNDAMENTAL ACQUISTION CORP COM G2156W209 116 15,000 SH SOLE 15,000 0 0 CHINA HEALTH CARE CORP COM STK RSTD COM 16944N997 0 240,000 SH SOLE 240,000 0 0 CHINA HEALTHCARE W EXP AQUISITION WRNT 04/18/2012 16939Q112 0 29,300 SH SOLE 29,300 0 0 CHINA HOLDINGS ACQU W EXP WRNT EXP 11/16/2012 11/16/2012 16942N114 3 35,000 SH SOLE 35,000 0 0 CHINA MOBILE MEDIA TECHNOLOGY COM COM 16950C109 6 74,000 SH SOLE 74,000 0 0 CHINA RAILWAY (HOK LISTING) COM B297KM7 55 68,000 SH SOLE 68,000 0 0 CHINAGROWTH NORTH ACQUISITION CORP COM G21116127 2 21,500 SH SOLE 21,500 0 0 CHINAGROWTH SOUTH ACQUISITION CORP COM G21117117 3 25,000 SH SOLE 25,000 0 0 CIA BRASILERIA DE MEIOS (BRA LISTING) COM B614LY3 215 25,000 SH SOLE 25,000 0 0 CISCO SYSTEMS INC COM 17275R102 187 10,000 SH CALL SOLE 10,000 0 0 CISCO SYSTEMS INC COM STK COM 17275R102 933 50,000 SH SOLE 50,000 0 0 CITIGROUP INC 6.5% CONV PFD SER-T CONV PFD 6.5% 172967598 335 10,000 SH SOLE 10,000 0 0 CKX INC COM STK COM 12562M106 71 10,000 SH SOLE 10,000 0 0 W EXP CLARK HOLDING WRNT 02/15/2011 18145M117 0 243,600 SH SOLE 243,600 0 0 CLEAN ENERGY FUELS CORP COM STK COM 184499101 89 10,328 SH SOLE 10,328 0 0 CLEARWIRE CORP CL A COM STK CLASS A 18538Q105 55 10,000 SH SOLE 10,000 0 0 CLICKSOFTWARE TECHNOLOGIES LTD COM STK COM M25082104 231 35,000 SH SOLE 35,000 0 0 COACH INC COM STK COM 189754104 269 10,000 SH SOLE 10,000 0 0 COGDELL SPENCER INC COM COM 19238U107 107 25,000 SH SOLE 25,000 0 0 COLDWATER CREEK INC COM STK COM 193068103 153 25,000 SH SOLE 25,000 0 0 COMM BK CEYLON LKR10 COM 6161321 29 25,000 SH SOLE 25,000 0 0 COMMERCIAL METALS CO COM 201723103 240 15,000 SH SOLE 15,000 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 44 145,000 SH SOLE 145,000 0 0 CONTANGO OIL & GAS CO COM STK COM 21075N204 212 5,000 SH SOLE 5,000 0 0 CONTINUCARE CORP COM STK COM 212172100 105 45,000 SH SOLE 45,000 0 0 CONVERTED ORGANICS INC W EXP - CW12 02/12/12 02/12/2012 21254S123 18 50,000 SH SOLE 50,000 0 0 CONVERTED ORGANICS INC COM STK COM 21254S107 17 14,677 SH SOLE 14,677 0 0 CORNING INC COM 219350105 161 10,000 SH CALL SOLE 10,000 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0 200,000 SH SOLE 200,000 0 0 COVIDIEN PLC COM STK COM G2554F105 562 15,000 SH SOLE 15,000 0 0
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13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- COWEN GROUP INC COM STK COM 223621103 403 48,233 SH SOLE 48,233 0 0 BOND 8.5% CPN 8.5 15FEB2011 02/15/2011 13199ACY5 0 200,000 PRIN SOLE 200,000 0 0 CVS CAREMARK CORPORATION COM 126650100 319 10,000 SH SOLE 10,000 0 0 CYPRESS SEMICONDUCTOR CORP COM STK COM 232806109 276 30,000 SH SOLE 30,000 0 0 CYPRESS SHARPRIDGE INVTS INC COM STK COM 23281A307 119 10,000 SH SOLE 10,000 0 0 CYTORI THERAP COM 23283K105 181 50,000 SH SOLE 50,000 0 0 CYTORI THERAPEUTICS W EXP WRNT EXP 2/28/2012 02/28/2012 232993022 0 43,555 SH SOLE 43,555 0 0 D.R. HORTON INC COM STK COM 23331A109 140 15,000 SH SOLE 15,000 0 0 BOND 8.3% DALR 8.3 15DEC2029 144A 12/15/2029 24799AKC5 6 367,000 PRIN SOLE 367,000 0 0 DECKERS OUTDOOR CORP COM STK COM 243537107 471 6,700 SH SOLE 6,700 0 0 DELL INC COM STK COM 24702R101 412 30,000 SH SOLE 30,000 0 0 DELPHI CORP DEL COM STK COM 247126105 95 1,900,000 SH SOLE 1,900,000 0 0 DENNYS CORP COM STK COM 24869P104 1,387 645,000 SH SOLE 645,000 0 0 DEXCOM INC COM STK COM 252131107 217 35,000 SH SOLE 35,000 0 0 DIALOG TELEKOM COM B0DJQ38 1 25,000 SH SOLE 25,000 0 0 W EXP DIME BANCORP INC WTS 99/99/9999 25429Q110 0 400,000 SH SOLE 400,000 0 0 DLY FINL DIREXION FIN BEAR BEAR 3X 25459W607 47 10,000 SH SOLE 10,000 0 0 DISCOVER FINANCIAL SERVICES COM 254709108 205 20,000 SH CALL SOLE 20,000 0 0 DIST SRI LKR1 COM 6271435 10 12,700 SH SOLE 12,700 0 0 DISTRIBUTED ENERGY SYS CORP COM STK COM 25475V104 0 50,000 SH SOLE 50,000 0 0 DRESS BARN INC COM STK COM 261570105 215 15,000 SH SOLE 15,000 0 0 DUOYUAN GBL WTR W EXP 266043108 364 15,000 SH SOLE 15,000 0 0 DUSA PHARMACEUTICALS INC COM STK COM 266898105 55 50,000 SH SOLE 50,000 0 0 DYNEGY INC DEL CL A COM STK CLASS A 26817G102 114 50,000 SH SOLE 50,000 0 0 E*TRADE FINANCIAL CORP COM 269246104 413 320,000 SH SOLE 320,000 0 0 EBAY INC COM STK COM 278642103 857 50,000 SH SOLE 50,000 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 136 90,000 SH SOLE 90,000 0 0 EDWARD LIFESCIENCES CORP COM 28176E108 680 10,000 SH CALL SOLE 10,000 0 0 ELECTRONIC ARTS INC COM STK COM 285512109 434 20,000 SH SOLE 20,000 0 0 ELECTRONIC GAME CARD INC COM STK COM 285716106 30 25,000 SH SOLE 25,000 0 0 ELRON ELECT ILS (USD) COM 290160100 170 50,000 SH SOLE 50,000 0 0 EMC CORP MASS COM STK COM 268648102 328 25,000 SH SOLE 25,000 0 0 ENDOVASC INC COM STK COM 29267B102 1 255,000 SH SOLE 255,000 0 0
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13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- ENER1 INC COM STK COM 29267A203 273 50,000 SH SOLE 50,000 0 0 ENERGY XXI LTD COM STK COM G10082108 39 75,000 SH SOLE 75,000 0 0 ENERPLUS RESOURCES FUND UNIT TR TRUST UTS G-NEW G NEW 29274D604 215 10,000 SH SOLE 10,000 0 0 ENSTAR GROUP LIMITED COM STK COM G3075P101 1,766 30,000 SH SOLE 30,000 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 5 25,000 SH SOLE 25,000 0 0 ENTEGRIS INC COM STK COM 29362U104 245 90,000 SH SOLE 90,000 0 0 ENTREMED INC COM STK COM 29382F103 49 100,000 SH SOLE 100,000 0 0 ENZON PHARMACEUTICALS INC COM STK COM 293904108 158 20,000 SH SOLE 20,000 0 0 EQUATOR EXPLORATION LIMITED (UKM LISTING COM B03MJ38 0 40,000 SH SOLE 40,000 0 0 EQUITY LIFESTYLE PROPERTIES IN COM REIT COM 29472R108 390 10,500 SH SOLE 10,500 0 0 EQUITY MEDIA HLDGS W EXP CORP WRNT 08/26/2009 294725114 0 15,500 SH SOLE 15,500 0 0 W EXP ESSEX RENT CORP WRNT 03/04/2011 297187114 28 25,000 SH SOLE 25,000 0 0 EUROGAS INC COM STK COM 298734104 21 260,000 SH SOLE 260,000 0 0 EXETER RESOURCE CORPCOM COM 301835104 66 23,000 SH SOLE 23,000 0 0 W EXP EXIDE TECHNOLOGIES WRNT 05/05/2011 302051123 3 12,000 SH SOLE 12,000 0 0 FALCONSTOR SOFTWARE INC COM STK COM 306137100 238 50,000 SH SOLE 50,000 0 0 FAR EAST ENERGY CORP COM STK COM 307325100 29 75,000 SH SOLE 75,000 0 0 FAUJI FERTILIZER BIN QASIM COM 6336088 5 25,000 SH SOLE 25,000 0 0 FEDERAL HOME LN MTG CORP MEDI COM STK COM 313400301 37 60,000 SH SOLE 60,000 0 0 FEDERAL NATL MTG ASSN MEDIUM COM STK COM 313586109 35 60,000 SH SOLE 60,000 0 0 FIDELITY NATIONAL FINANCIAL CL A CLASS A 31620R106 271 20,000 SH SOLE 20,000 0 0 FINANCIAL TECHNOLOGIES (INDIA) LD COM 31769V107 23 20,000 SH SOLE 20,000 0 0 FIRST MAJESTIC SILVER CORP COM 32076V103 51 25,000 SH SOLE 25,000 0 0 FORD MOTOR COMPANY COM STK COM 345370860 819 135,000 SH SOLE 135,000 0 0 FORMATION CAPTL COM 34637L103 28 100,000 SH SOLE 100,000 0 0 FORTRESS INTL GROUP W EXP WRNT EXP 7/12/09 07/12/2009 34958D110 3 274,812 SH SOLE 274,812 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 68 20,000 SH SOLE 20,000 0 0 FOSUN INTERNATIONAL LIMITED COM B1Z7FX0 40 65,000 SH SOLE 65,000 0 0 FRANKLIN RESOURCES INC. COM STK COM 354613101 720 10,000 SH SOLE 10,000 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 41 66,450 SH SOLE 66,450 0 0
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13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- W EXP FREESEAS INC -CW09 07/29/2009 Y26496110 1 15,000 SH SOLE 15,000 0 0 FUTUREFUEL CORP COM B15QQ67 3 25,000 SH SOLE 25,000 0 0 GAFISA ADR SPONSOR ADR 362607301 330 20,000 SH SOLE 20,000 0 0 GAFISA S.A COM 362607301 165 10,000 SH CALL SOLE 10,000 0 0 GASTAR EXPLORATION LTD COM 367299104 20 50,000 SH SOLE 50,000 0 0 GCL-POLY ENERGY HOLDINGS LIMITED COM B28XTR4 8 25,000 SH SOLE 25,000 0 0 GENERAL ELECTRIC CO COM 639604103 117 10,000 SH CALL SOLE 10,000 0 0 GENERAL GROWTH PROPERTIES COM REIT COM 370021107 778 425,000 SH SOLE 425,000 0 0 GENERAL MTRS ACCEP NOTE EXP CORP 5.00% 9/15/2009 9/15/2009 3704A0RJ3 243 250,000 SH SOLE 250,000 0 0 GENERAL MTRS CORP SENIOR SENIOR DEBEN D DEBEN D 370442691 0 10,000 SH SOLE 10,000 0 0 GENOMED INC COM STK COM 37243C102 3 475,000 SH SOLE 475,000 0 0 GENWORTH FINANCIAL INC COM 37247D106 524 75,000 SH SOLE 75,000 0 0 GENWORTH FINANCIAL INC COM 37247D106 280 40,000 SH CALL SOLE 40,000 0 0 GFI GROUP INC COM STK COM 361652209 219 32,500 SH SOLE 32,500 0 0 GGP CB 3.98 15APR2027 BOND CB 3.98% 144A 04/15/2027 36170XAA3 340 1,000,000 PRIN SOLE 1,000,000 0 0 GHL ACQUISITION CORP COM 36172H108 294 30,000 SH SOLE 30,000 0 0 GHL ACQUISITION WRNT W EXP EXP 02/14/2013 02/14/2013 36172H116 38 59,000 SH SOLE 59,000 0 0 GILDAN ACTIVEWEAR INC COM CAD COM 375916103 296 20,000 SH SOLE 20,000 0 0 GLG LIFE TECH CO COM 361793102 93 50,000 SH SOLE 50,000 0 0 GLG PARTNERS INC COM STK COM 37929X107 102 25,000 SH SOLE 25,000 0 0 GLG PARTNERS INC WRNT W EXP EXP 12/28/2011 12/28/2011 37929X115 50 140,000 SH SOLE 140,000 0 0 GLOBAL AIRCRAFT SOLUTIONS INC COM STK COM 378964100 0 100,000 SH SOLE 100,000 0 0 GLOBAL CROSSING LTD COM STK COM G3921A175 230 25,000 SH SOLE 25,000 0 0 GLOBAL POWER EQUIPMENT GROUP INC COM 37941P207 817 785,433 SH SOLE 785,433 0 0 GLOBAL POWER EQUIPMENT GROUP INC COM 37941P207 100 96,600 SH SOLE 96,600 0 0 GLOBAL SHIP LEASE INC W EXP CL A WRNT 08/24/2010 Y27183113 16 145,000 SH SOLE 145,000 0 0 GLOBALNET CORP COM 379399108 0 385,000 SH SOLE 385,000 0 0 GOLDCORP INC NEW CAD NPV CL A SUB VTG SH CLASS A 380956409 213 6,000 SH SOLE 6,000 0 0 GOLDEN POND HEALTHCARE W EXP WRNT 11/06/2011 38116J117 3 20,000 SH SOLE 20,000 0 0 GOLDEN STAR CAD COM (USD) COM 38119T104 103 50,000 SH SOLE 50,000 0 0 GOOD HARBOR PARTNERS W EXP ACQ CORP WRNT 03/07/2011 382094118 0 65,000 SH SOLE 65,000 0 0
9
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- GPS INDUSTRIES INC COM STK COM 383870102 1 150,000 SH SOLE 150,000 0 0 GRACE W R & CO DEL NEW COM STK COM 38388F108 371 30,000 SH SOLE 30,000 0 0 GREEN MOUNTAIN COFFEE ROASTERS COM STK COM 393122106 591 10,000 SH SOLE 10,000 0 0 GROWERS DIRECT COFFEE CO STK COM 399849108 0 25,000 SH SOLE 25,000 0 0 GSC ACQUISITION CO W EXP WRNT 06/25/2011 06/25/2011 40053G114 0 46,000 SH SOLE 46,000 0 0 GUANGSHEN RAILWAY CNY1 'H' COM 6388700 47 100,000 SH SOLE 100,000 0 0 GYMBOREE CORP COM STK COM 403777105 976 27,500 SH SOLE 27,500 0 0 HALOZYME THERAPEUTICS INC COM STK COM 40637H109 175 25,000 SH SOLE 25,000 0 0 HAMBRECHT ASIA ACQ CORP COM COM 406548107 184 24,339 SH SOLE 24,339 0 0 HAMBRECHT ASIA W EXP ACQUISITION CORP 03/07/2012 406548115 1 26,100 SH SOLE 26,100 0 0 HANSEN NATL CORP COM 411310105 309 10,000 SH PUT SOLE 10,000 0 0 HARD TO TREAT DISEASES INC COM STK COM 41164A103 0 500,000 SH SOLE 500,000 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 8 20,000 SH SOLE 20,000 0 0 HARRY WINSTON DIAMOND CORP COM STK COM 41587B100 119 20,000 SH SOLE 20,000 0 0 HARTMARX CORP COM STK COM 417119104 1 76,200 SH SOLE 76,200 0 0 HATTON NATL BK COM Y31147104 21 20,000 SH SOLE 20,000 0 0 HAWAIIAN HLDGS INC COM STK COM 419879101 90 15,000 SH SOLE 15,000 0 0 HDFC BANK LTD ADR SPONSOR ADR 40415F101 516 5,000 SH SOLE 5,000 0 0 HEALTH CARE SELECT SECTOR COM 81369Y209 263 10,000 SH SOLE 10,000 0 0 HEALTHY FAST FOOD INC COM STK COM 42223Y108 25 25,000 SH SOLE 25,000 0 0 Healthy Fast Food Inc. W EXP Class A Warrant 03/19/2013 42223Y116 2 25,000 SH SOLE 25,000 0 0 Healthy Fast Food Inc. W EXP Class B Warrant 03/19/2013 42223Y124 3 50,000 SH SOLE 50,000 0 0 HECKMANN CORP COM STK COM 422680108 281 75,000 SH SOLE 75,000 0 0 HECKMANN CORP WRNT W EXP EXP 11/09/2011 11/09/2011 422680116 27 45,000 SH SOLE 45,000 0 0 HECLA MNG 3 WRNT EXP W EXP 8/10/2014 08/10/2014 422992859 0 50,000 SH SOLE 50,000 0 0 HELLENIC EXCHANGES SA ORDS (GRE LISTING) COM 4108278 169 15,000 SH SOLE 15,000 0 0 HICKS ACQUISITION CO INC W EXP WRNT 09/27/11 09/27/2011 429086127 4 62,000 SH SOLE 62,000 0 0 HIENERGY TECHNOLOGIES INC COM STK COM 42952V101 0 25,000 SH SOLE 25,000 0 0
10
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- HIGHBURY FINANCIAL INC W EXP WRNT 2/25/10 02/25/2010 42982Y117 2 10,000 SH SOLE 10,000 0 0 HIGHLANDS ACQ CORP W EXP WRNT EXP 10/03/2012 10/03/2012 430880112 3 27,500 SH SOLE 27,500 0 0 HILLTOP HLDGS INC COM REIT COM 432748101 178 15,000 SH SOLE 15,000 0 0 HK EXCHANGES & CLEARING ORD COM 6267359 545 35,000 SH SOLE 35,000 0 0 HOME DEPOT INC COM 437076102 236 10,000 SH CALL SOLE 10,000 0 0 HUDSON HLDG CORP COM STK COM 443793104 119 282,220 SH SOLE 282,220 0 0 HUNTSMAN CORP COM STK COM 447011107 302 60,000 SH SOLE 60,000 0 0 HYDRON TECH INC COM 449020205 0 100,000 SH SOLE 100,000 0 0 IBX GROUP INC COM STK COM 449229103 0 200,000 SH SOLE 200,000 0 0 ICAD INC COM STK COM 44934S107 13 10,000 SH SOLE 10,000 0 0 ICICI BANK LTD SPON ADR SPONSOR ADR 45104G104 590 20,000 SH SOLE 20,000 0 0 ICOA INC COM STK COM 449292200 0 300,000 SH SOLE 300,000 0 0 ICOP DIGITAL INC COM STK COM 44930M203 4 10,000 SH SOLE 10,000 0 0 W EXP ICOP DIGITAL INC WRNT 07/08/2010 44930M112 4 158,400 SH SOLE 158,400 0 0 IDEATION ACQUISITION W EXP WARRANT 11/19/2011 451665111 13 25,000 SH SOLE 25,000 0 0 IDINE REWARDS NETWORK INC COM STK COM 761557107 417 110,000 SH SOLE 110,000 0 0 IGENE BIOTECHNOLOGY INC COM STK COM 451695100 1 100,000 SH SOLE 100,000 0 0 IKARMA COM 45172N106 0 25,000 SH SOLE 25,000 0 0 IMAGINATION TECHNOLOGIES GROUP 10P ORDS COM G93593104 56 25,000 SH SOLE 25,000 0 0 IMMUNOGEN INC COM STK COM 45253H101 172 20,000 SH SOLE 20,000 0 0 INCA PAC RES INC COM 45324A200 3 15,000 SH SOLE 15,000 0 0 IND & COMM BK OFCHINA - H COM B1G1QD8 209 300,000 SH SOLE 300,000 0 0 INDIA GLOBALIZATION CAP W EXP CW11 EXP 3/3/11 03/03/2011 45408X118 8 157,798 SH SOLE 157,798 0 0 INFORMATION SERVICES GROUP INC COM 45675Y112 17 235,621 SH SOLE 235,621 0 0 INFUSYSTEMS HOLDINGS W EXP WRNT EXP 04/11/2011 04/11/2011 45685K110 12 150,000 SH SOLE 150,000 0 0 INSITUFORM TECHNOLOGIES INC COM 457667103 339 20,000 SH CALL SOLE 20,000 0 0 INSITUFORM TECHNOLOGIES INC CL A COM STK CLASS A 457667103 339 20,000 SH SOLE 20,000 0 0 INSULET CORP COM 45784P101 693 90,000 SH SOLE 90,000 0 0 INTEGRAL VISION INC COM STK COM 45811H106 64 1,069,107 SH SOLE 1,069,107 0 0 INTEGRATED DEVICE TECHNOLOGY INC COM 458118106 362 60,000 SH SOLE 60,000 0 0 INTEL CORP COM 458140100 414 25,000 SH SOLE 25,000 0 0
11
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- INTEL CORP COM STK COM 458140100 1,159 70,000 SH SOLE 70,000 0 0 INTERAMERICAN W EXP ACQUISITION GROUP WRNT 09/04/2011 458396124 2 12,500 SH SOLE 12,500 0 0 INTER-ATLANTIC FINCL INC COM 45890H118 7 41,300 SH SOLE 41,300 0 0 INTERMAP TECHNOLOGIES CORP COM 458977204 160 100,000 SH SOLE 100,000 0 0 INTERNATIONAL COAL GROUP INC COM 45928H106 29 10,000 SH CALL SOLE 10,000 0 0 INTERNATIONAL COAL GROUP INC COM STK COM 45928H106 443 155,000 SH SOLE 155,000 0 0 INVESCO LTD COM STK COM G491BT108 178 10,000 SH SOLE 10,000 0 0 ISHARES INC MSCI JAPAN INDEX MSCI JAPAN 464286848 141 15,000 SH SOLE 15,000 0 0 ISIP TELECOM INC COM STK RSTD COM 464990993 0 10,000 SH SOLE 10,000 0 0 ISONICS CORP COM STK COM 464895309 0 25,000 SH SOLE 25,000 0 0 IVANHOE ENERGY INC COM COM 465790103 39 25,000 SH SOLE 25,000 0 0 IXI MOBILE INC WRNT W EXP 07/19/09 07/19/2009 466026119 0 20,000 SH SOLE 20,000 0 0 J CREW GROUP INC COM 46612H402 405 15,000 SH SOLE 15,000 0 0 JANUS CAPITAL GROUP INC COM STK COM 47102X105 114 10,000 SH SOLE 10,000 0 0 JDA SOFTWARE GROUP INC COM STK COM 46612K108 374 25,000 SH SOLE 25,000 0 0 JDS UNIPHASE CORP COM STK COM 46612J507 200 35,000 SH SOLE 35,000 0 0 JK ACQUISITION CORP W EXP WRNT 04/10/2010 04/10/2010 47759H114 0 214,700 SH SOLE 214,700 0 0 JMP GROUP INC COM STK COM 46629U107 192 25,000 SH SOLE 25,000 0 0 JOHN KEELLS LKR10 COM 6475538 30 25,000 SH SOLE 25,000 0 0 JOHNSON & JOHNSON COM 478160104 1,136 20,000 SH CALL SOLE 20,000 0 0 KAPSTONE PAPER WRNT W EXP 08/15/2009 08/15/2009 48562P111 12 84,700 SH SOLE 84,700 0 0 KBL HEALTHCARE ACQ W EXP WRNT EXP 7/18/2011 07/18/2011 48241N115 37 134,700 SH SOLE 134,700 0 0 KEYCORP NY COM STK COM 493267108 131 25,000 SH SOLE 25,000 0 0 KKR PRIVATE EQUITY INVESTORS (NET LIST) COM B13BNQ3 240 40,000 SH SOLE 40,000 0 0 KLA-TENCOR CORP COM STK COM 482480100 505 20,000 SH SOLE 20,000 0 0 KNIGHT CAPITAL GROUP INC COM STK COM 499005106 256 15,000 SH SOLE 15,000 0 0 KRISPY KREME DOUGHNUTS INC COM STK COM 501014104 45 15,000 SH SOLE 15,000 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 194 360,000 SH SOLE 360,000 0 0 LEADIS TECHNOLOGY INC COM STK COM 52171N103 17 25,000 SH SOLE 25,000 0 0 LEAPFROG ENTERPRISES INC COM 52186N106 23 10,000 SH CALL SOLE 10,000 0 0 LEAPFROG ENTERPRISES INC CL A COM STK CLASS A 52186N106 458 200,000 SH SOLE 200,000 0 0
12
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- LEVEL 3 COMMUNICATIONS INC COM STK COM 52729N100 151 100,000 SH SOLE 100,000 0 0 LI NING (HOK LISTING) COM B01JCK9 147 50,000 SH SOLE 50,000 0 0 LIBERTY ACQUISITION HOLDINGS COM 53015Y107 91 10,000 SH SOLE 10,000 0 0 LIBERTY ACQUISITION W EXP HOLDINGS WRNT 12/12/2013 53015Y115 9 22,500 SH SOLE 22,500 0 0 LIFE TECHNOLOGIES CORPORATION COM STK COM 53217V109 417 10,000 SH SOLE 10,000 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0 575,000 SH SOLE 575,000 0 0 LOUISIANA-PAC CORP COM STK COM 546347105 103 30,000 SH SOLE 30,000 0 0 LSI CORPORATION COM STK COM 502161102 274 60,000 SH SOLE 60,000 0 0 LUMBER LIQUIDATORS INC COM STK COM 55003Q103 315 20,000 SH SOLE 20,000 0 0 MACYS INC COM STK COM 55616P104 353 30,000 SH SOLE 30,000 0 0 MANITOWOC INC COM STK COM 563571108 132 25,000 SH SOLE 25,000 0 0 MARVELL TECHNOLOGY GROUP LTD COM STK COM G5876H105 349 30,000 SH SOLE 30,000 0 0 MCB BANK COM 6611570 42 22,000 SH SOLE 22,000 0 0 MCDONALDS CORP COM 580135101 575 10,000 SH CALL SOLE 10,000 0 0 MEADE INSTRS CORP COM STK COM 583062104 11 58,600 SH SOLE 58,600 0 0 MERA PHARMACEUTICALS INC COM STK COM 58732R103 1 200,000 SH SOLE 200,000 0 0 MERCATOR MINERALS LTD COM 587582107 12 10,000 SH SOLE 10,000 0 0 MF GLOBAL COM STK COM G60642108 237 40,000 SH SOLE 40,000 0 0 MGM ENERGY CORP COM COM 59318A100 3 25,000 SH SOLE 25,000 0 0 MICRO LABS INC COM STK COM 594847105 0 100,000 SH SOLE 100,000 0 0 MICROSOFT CORP COM STK COM 594918104 594 25,000 SH SOLE 25,000 0 0 MICROTUNE INC DEL COM STK COM 59514P109 234 100,000 SH SOLE 100,000 0 0 W EXP MIDDLE KNGDM WT 12/13/2013 595750126 64 145,000 SH SOLE 145,000 0 0 MIDDLEBROOK PHARMA INC COM STK COM 596087106 68 50,000 SH SOLE 50,000 0 0 MILLENNIUM INDIA W EXP WTS EXP 7/19/2010 07/19/2010 60039Q119 3 40,000 SH SOLE 40,000 0 0 MILLICOM INTL CELLULAR SA COM L6388F110 281 5,000 SH SOLE 5,000 0 0 MIRANT CORPORATION W EXP WRNTS EXP 1/ 3/11 01/03/2011 60467R126 67 35,000 SH SOLE 35,000 0 0 MONACO COACH CORP COM STK COM 60886R103 1 50,000 SH SOLE 50,000 0 0 MONSANTO CO COM 61166W101 743 10,000 SH CALL SOLE 10,000 0 0 MOSAIC CO BROOKLYN COM STK COM 61945A107 465 10,500 SH SOLE 10,500 0 0 MOTOROLA INC COM 620076109 199 30,000 SH CALL SOLE 30,000 0 0 MOTOROLA INC COM STK COM 620076109 895 135,000 SH SOLE 135,000 0 0 MPC CORP WRNT EXP W EXP 09/29/2009 09/29/2009 553166117 0 25,200 SH SOLE 25,200 0 0
13
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- MTN (SAF LISTING) COM 6563206 230 15,000 SH SOLE 15,000 0 0 MULTIMEDIA GAMES INC COM 625453105 98 19,686 SH SOLE 19,686 0 0 MYRIAD GENETICS INC COM 62855J104 250 7,000 SH SOLE 7,000 0 0 NETAPP INC C COM STK COM 64110D104 493 25,000 SH SOLE 25,000 0 0 NEW YORK & CO INC COM STK COM 649295102 263 85,000 SH SOLE 85,000 0 0 NEW YORK REGIONAL RAIL CORP COM STK COM 649768108 10 400,000 SH SOLE 400,000 0 0 NEWMONT MINING CORP COM STK COM 651639106 204 5,000 SH SOLE 5,000 0 0 NEWS CORP CL A COM STK CLASS A 65248E104 456 50,000 SH SOLE 50,000 0 0 NEXTMART INC COM STK COM 65338F102 1 50,000 SH SOLE 50,000 0 0 BOND 3.125% NIHD CB 3.125 15JUN2012 06/15/2012 62913FAJ1 192 250,000 PRIN SOLE 250,000 0 0 NORDSTROM INC COM COM 655664100 398 20,000 SH SOLE 20,000 0 0 NORTH SHORE ACQUISITION CORP COM STK COM 662316108 76 10,000 SH SOLE 10,000 0 0 NORTH SHORE ACQUISITION W EXP CORP. WRNT 11 11/29/2012 662316116 1 30,000 SH SOLE 30,000 0 0 NORTHEAST COMMUNITY BANCORP INC COM 664112109 81 10,000 SH SOLE 10,000 0 0 NOVAGOLD RESOURCES INC CAD COM COM 66987E206 86 20,000 SH SOLE 20,000 0 0 NOVATEL WIRELESS INC COM STK COM 66987M604 316 35,000 SH SOLE 35,000 0 0 NRDC ACQUISITION COR W EXP WT EXP 10/17/11 10/17/2011 62941R110 1 15,000 SH SOLE 15,000 0 0 NYFIX INC COM STK COM 670712108 400 481,902 SH SOLE 481,902 0 0 NZX LIMITED (NZE LISTING) COM 6623155 56 12,001 SH SOLE 12,001 0 0 OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 579 65,000 SH SOLE 65,000 0 0 OMNICELL INC COM STK COM 68213N109 269 25,000 SH SOLE 25,000 0 0 ON SEMICONDUCTOR CORP / SEMIC COM STK COM 682189105 412 60,000 SH SOLE 60,000 0 0 ONCOLYTICS BIOTECH INC W EXP CAP WRNT 02/22/2010 682310131 0 25,000 SH SOLE 25,000 0 0 ONE VOICE TECHNOLOGIES INC COM STK COM 682421201 0 20,000 SH SOLE 20,000 0 0 OPENWAVE SYSTEMS INC COM STK COM 683718308 280 125,000 SH SOLE 125,000 0 0 OPPENHEIMER HLDGS INC CLASS A CLASS A 683797104 423 20,000 SH SOLE 20,000 0 0 OPTIONABLE INC COM STK COM 684006109 1 70,000 SH SOLE 70,000 0 0 ORGANA GARDENS INTL COM STK COM 68618Y106 1 25,000 SH SOLE 25,000 0 0 ORGANIC TO GO FD COM 68618K106 24 304,963 SH SOLE 304,963 0 0 OSCIENT PHARMACEUTICALS CORP COM STK COM 68812R303 3 15,000 SH SOLE 15,000 0 0 OVERTURE ACQUISITIONCORP UNIT UNIT EX 000012 99/99/9999 G6830P209 392 40,000 SH SOLE 40,000 0 0 PACIFIC SUNWEAR CALIF INC COM STK COM 694873100 68 20,000 SH SOLE 20,000 0 0
14
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- PALM INC NEW COM STK COM 696643105 580 35,000 SH SOLE 35,000 0 0 PANTHEON CHINA ACQUISITION CORP COM 698659117 39 60,000 SH SOLE 60,000 0 0 PARAMOUNT GOLD MINING CORP COM STK COM 69924P102 38 25,000 SH SOLE 25,000 0 0 PARTY GAMING (UKM LISTING) COM B0B3SV4 40 10,000 SH SOLE 10,000 0 0 PEPPERBALL TECHNOLOGIES W EXP INC WRNT 07/18/2010 713372118 0 55,465 SH SOLE 55,465 0 0 PEREGRINE PHARMACEUTICALS INC COM STK COM 713661106 8 10,000 SH SOLE 10,000 0 0 PHARM HLDRS COM 71712A206 599 10,000 SH SOLE 10,000 0 0 PHILLIPS-VAN HEUSEN CORP COM STK COM 718592108 574 20,000 SH SOLE 20,000 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 21 60,000 SH SOLE 60,000 0 0 PLATINUM ENERGY RES W EXP INC WRNT 09/30/2009 727659112 0 26,100 SH SOLE 26,100 0 0 PMC-SIERRA INC COM STK COM 69344F106 478 60,000 SH SOLE 60,000 0 0 POINTS INTL LTD COM 730843109 14 37,500 SH SOLE 37,500 0 0 POLO RALPH LAUREN CORP CL A COM STK CLASS A 731572103 573 10,700 SH SOLE 10,700 0 0 PONIARD PHARMACEUTICALS INC COM STK COM 732449301 90 15,000 SH SOLE 15,000 0 0 POWERSHS DB MULTI SECT DB COMM TR DB AGRICULT FD 73936B408 255 10,000 SH SOLE 10,000 0 0 PRICE T ROWE GROUP INC COM STK COM 74144T108 208 5,000 SH SOLE 5,000 0 0 PRIMORIS SERVICES W EXP CORP WRNT 10/02/2010 74164F111 61 27,500 SH SOLE 27,500 0 0 PRO-PHARMACEUTICALS INC COM STK COM 74267T109 38 152,500 SH SOLE 152,500 0 0 PROSPECT ACQUISITION W EXP CORP WRNT 11/14/2012 11/14/2012 74347T111 2 25,000 SH SOLE 25,000 0 0 PSHS PRS ULT LEH20+YR ULTSH 20YRS 74347R297 509 10,000 SH SOLE 10,000 0 0 PULTE HOMES INC COM 745867101 88 10,000 SH CALL SOLE 10,000 0 0 PULTE HOMES INC COM STK COM 745867101 132 15,000 SH SOLE 15,000 0 0 PURE BIOSCIENCE COM COM 746218106 76 41,500 SH SOLE 41,500 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 31 500,000 SH SOLE 500,000 0 0 QIAGEN N.V. COM COM N72482107 279 15,000 SH SOLE 15,000 0 0 QUADRA MINING LTD COM COM 747319101 488 65,000 SH SOLE 65,000 0 0 QUALCOMM COM 747525103 226 5,000 SH PUT SOLE 5,000 0 0 QUIDEL CORP COM STK COM 74838J101 582 40,000 SH SOLE 40,000 0 0 QUIKSILVER INC COM STK COM 74838C106 46 25,000 SH SOLE 25,000 0 0 QUSTREAM CORP COM 749131108 2 25,000 SH SOLE 25,000 0 0 RAM ENE RES COM 75130P109 12 15,000 SH SOLE 15,000 0 0 REALNETWORKS INC COM STK COM 75605L104 75 25,000 SH SOLE 25,000 0 0 REIS INC INC COM STK COM 75936P105 550 140,749 SH SOLE 140,749 0 0 RITE AID CORP COM STK COM 767754104 38 25,000 SH SOLE 25,000 0 0
15
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- RIVERBED TECHNOLOGY COM 768573107 464 20,000 SH PUT SOLE 20,000 0 0 ROCKWELL COLLINS INC COM 774341101 417 10,000 SH CALL SOLE 10,000 0 0 ROUGE INDS INC DEL CL A COM STK CLASS A 779088103 0 100,000 SH SOLE 100,000 0 0 RRI ENERGY COM STK COM 74971X107 125 25,000 SH SOLE 25,000 0 0 RUGGEDCOM INC COM STK COM 78131P201 234 10,000 SH SOLE 10,000 0 0 SAFEGUARD SCIENTIFICS INC COM STK COM 786449108 132 100,000 SH SOLE 100,000 0 0 SAKS INC COM STK COM 79377W108 133 30,000 SH SOLE 30,000 0 0 SANMINA-SCI CORP COM STK COM 800907107 44 100,000 SH SOLE 100,000 0 0 SAPPHIRE IND COP COM 80306T109 537 55,000 SH SOLE 55,000 0 0 SAPPHIRE INDUSTRIALS CORP COM 80306T117 18 137,300 SH SOLE 137,300 0 0 SCHLUMBERGER USD.01 COM COM 806857108 541 10,000 SH SOLE 10,000 0 0 SCORES HOLDING CO INC COM STK COM 80917W202 0 10,000 SH SOLE 10,000 0 0 SEA CONTAINERS LTD CL A COM STK CLASS A 811371707 0 75,000 SH SOLE 75,000 0 0 RIGHT SEALY CORP RT WI 06/25/2009 812139129 53 25,000 SH SOLE 25,000 0 0 SEANERGY MARITIME W EXP HOLDINGS CORP WRNT 09/24/2011 Y73760111 12 61,500 SH SOLE 61,500 0 0 SHERRITT INTL CORP COM 823901103 113 25,000 SH SOLE 25,000 0 0 SHINSEI BANK COM 6730936 80 50,000 SH SOLE 50,000 0 0 SINGAPORE EXCHANGE COM 6303866 294 60,000 SH SOLE 60,000 0 0 SIONIX CORP COM STK COM 829400100 18 100,000 SH SOLE 100,000 0 0 SIRIUS XM RADIO INC COM STK COM 82967N108 49 115,000 SH SOLE 115,000 0 0 SITESTAR CORP COM STK COM 82980W101 13 250,000 SH SOLE 250,000 0 0 SIX FLAGS INC COM NEW COM 83001P109 4 25,000 SH SOLE 25,000 0 0 SKYWORKS SOLUTIONS INC COM STK COM 83088M102 490 50,000 SH SOLE 50,000 0 0 SLM CORP COM STK COM 78442P106 1,643 160,000 SH SOLE 160,000 0 0 SLM CORP EDNOTES BOOK CONV ENTRY 7.25% CV PFD PFD 7.25% 78442P700 289 500 SH SOLE 500 0 0 SOLUTIA INC COMMON NEW COM 834376501 288 50,000 SH SOLE 50,000 0 0 SONIC FDRY INC COM STK COM 83545R108 6 10,000 SH SOLE 10,000 0 0 SONUS NETWORKS INC COM STK COM 835916107 40 25,000 SH SOLE 25,000 0 0 SOURCEFIRE INC COM STK COM 83616T108 186 15,000 SH SOLE 15,000 0 0 SOUTH FINL GROUP INC COM STK COM 837841105 60 50,000 SH SOLE 50,000 0 0 SP ACQUISITION HLDGS W EXP WRNT EXP 10/10/2012 10/10/2012 78470A112 2 40,000 SH SOLE 40,000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 456 5,000 SH SOLE 5,000 0 0 SPRINT NEXTEL CORP COM 852061100 361 75,000 SH SOLE 75,000 0 0 SPRINT NEXTEL CORP COM 852061100 96 20,000 SH CALL SOLE 20,000 0 0 SPRTS PRO ACQ W EXP WT EXP 01/17/2012 01/17/2012 84920F115 1 14,500 SH SOLE 14,500 0 0
16
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- SRI LANKA TELECOM LIMITED COM 6573926 11 25,000 SH SOLE 25,000 0 0 ST. BERNARD SOFTWARE W EXP INC WTS EX 7/25/09 07/25/2009 85228F111 0 110,000 SH SOLE 110,000 0 0 STAR BULK CARRIERS CORP W EXP WT EXP 121509 12/15/2009 Y8162K113 8 71,888 SH SOLE 71,888 0 0 STEIN MART INC COM STK COM 858375108 89 10,000 SH SOLE 10,000 0 0 STONE TAN CHINA ACQUISITION CORP COM 861752111 8 77,500 SH SOLE 77,500 0 0 STONELEIGH PARTNERS ACQUISITION CORP COM 861923126 2 77,500 SH SOLE 77,500 0 0 STONEPATH GROUP INC COM STK COM 861837102 0 165,000 SH SOLE 165,000 0 0 STREAM GLOBAL SERVICES W EXP WRNT EXP 10/17/11 10/17/2011 86323M118 12 88,166 SH SOLE 88,166 0 0 SUMTOTAL SYSTEMS INC COM STK COM 866615107 241 50,000 SH SOLE 50,000 0 0 SUNSTONE HOTEL INVESTORS INC COM 867892101 54 10,000 SH SOLE 10,000 0 0 SUPERGEN INC COM STK COM 868059106 40 20,000 SH SOLE 20,000 0 0 TAC ACQUISITION CORP W EXP WRNT EXP 05/20/2010 05/20/2010 873392112 0 50,000 SH SOLE 50,000 0 0 TAIWAN SEMICONDUCTOR MANUFACTU ADR SPONSOR ADR 874039100 471 50,000 SH SOLE 50,000 0 0 TANFIELD GROUP (UKM LISTING) COM 0278799 11 10,000 SH SOLE 10,000 0 0 TASER INTERNATIONAL INC COM STK COM 87651B104 296 65,000 SH SOLE 65,000 0 0 TELLABS INC COM STK COM 879664100 287 50,000 SH SOLE 50,000 0 0 THEGLOBE.COM INC COM STK COM 88335R101 0 100,000 SH SOLE 100,000 0 0 THOMAS WEISEL PARTNERS GROUP I COM STK COM 884481102 151 25,000 SH SOLE 25,000 0 0 THOMPSON CREEK MATAKS CO COM 884768102 153 15,000 SH SOLE 15,000 0 0 TIME WARNER INC COM 887317303 504 20,000 SH SOLE 20,000 0 0 TIOMIN RES CAD COM COM 887901106 4 200,000 SH SOLE 200,000 0 0 TITANIUM ASS W EXP WRNT 06/21/2011 RSTD 06/21/2011 U8885X115 25 100,000 SH SOLE 100,000 0 0 TITANIUM ASSET MGMT RSTD COM U8885X107 350 100,000 SH SOLE 100,000 0 0 TM ENTERTAINMENT & MEDIA WRNT W EXP 87260T116 3 25,000 SH SOLE 25,000 0 0 TOLL BROS INC COM 889478103 170 10,000 SH CALL SOLE 10,000 0 0 TOLL BROTHERS INC COM STK COM 889478103 339 20,000 SH SOLE 20,000 0 0 TOWER SEMICONDUCTOR LTD W EXP WRNT 03/15/2011 M87915217 0 35,100 SH SOLE 35,100 0 0 TRANSATLANTIC HLDGS INC COM STK COM 893521104 1,083 25,000 SH SOLE 25,000 0 0 TRIPLECROWN ACQUISITION CORP COM STK COM 89677G109 432 45,000 SH SOLE 45,000 0 0 TRIPLECROWN ACQUISITION W EXP CORP WRNT 10/22/2012 89677G117 21 125,600 SH SOLE 125,600 0 0 TRIQUINT SEMICONDUCTOR INC COM STK COM 89674K103 478 90,000 SH SOLE 90,000 0 0
17
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- TRIUMPH APPAREL CORP COM STK COM 896787108 2 100,000 SH SOLE 100,000 0 0 TRUDY CORP COM STK COM 897835104 0 200,000 SH SOLE 200,000 0 0 TWEETER HOME ENTMT GROUP INC COM STK COM 901167106 0 25,000 SH SOLE 25,000 0 0 TYNER RESOURCES LTD Com COM 902390103 4 180,000 SH SOLE 180,000 0 0 U S GEOTHERMAL INC COM STK COM 90338S102 50 35,000 SH SOLE 35,000 0 0 UEX CORP COM COM 902666106 83 75,000 SH SOLE 75,000 0 0 UNITED REFINING ENERGY CORP COM 911360113 5 57,000 SH SOLE 57,000 0 0 UNITED RFNG ENGY COM 911360105 181 18,500 SH SOLE 18,500 0 0 UNIVERSAL EXPRESS INC COM STK COM 91349P103 0 775,000 SH SOLE 775,000 0 0 URALS ENERGY PUBLIC LTD (UKM LISTING) COM B0FHR59 4 25,000 SH SOLE 25,000 0 0 URANIUM ONE INC COM 91701P105 46 20,000 SH SOLE 20,000 0 0 URANIUM RESOURCE COM 916901507 748 584,759 SH SOLE 584,759 0 0 US GLOBAL NANOSPACE INC COM STK COM 91729J107 0 275,000 SH SOLE 275,000 0 0 US GOLD CORP COM STK COM 912023207 145 55,000 SH SOLE 55,000 0 0 VALERO ENERGY CORP COM 91913Y100 338 20,000 SH CALL SOLE 20,000 0 0 VANTAGE DRILLING CO COM G93205113 123 70,000 SH SOLE 70,000 0 0 VANTAGE DRILLING CO W EXP WRNT EXP 05/24/2011 05/24/2011 G93205121 10 59,500 SH SOLE 59,500 0 0 VANTAGE DRILLING COMPANY COM G93205113 26 15,000 SH SOLE 15,000 0 0 VELOCITY EXPRESS CORP COM STK COM 92257T707 11 37,833 SH SOLE 37,833 0 0 VERENIUM CORPORATIONCOM COM 92340P100 19 25,000 SH SOLE 25,000 0 0 VERISIGN INC COM STK COM 92343E102 741 40,000 SH SOLE 40,000 0 0 BOND VEXP VRN 30JUN2010 144A 06/30/2010 92257TAA1 62 1,238,748 PRIN SOLE 1,238,748 0 0 VIRAGEN INC COM STK COM 927638403 0 50,000 SH SOLE 50,000 0 0 W EXP VIRGIN MEDIE SR-A WRNT 01/13/2011 92769L119 1 17,500 SH SOLE 17,500 0 0 VIRGIN METALS INC COM 927692103 1 25,000 SH SOLE 25,000 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 148 160,850 SH SOLE 160,850 0 0 VIVO PARTICIPACOES S A ADR SPONSOR ADR 92855S200 308 16,250 SH SOLE 16,250 0 0 VOLCOM INC COM STK COM 92864N101 438 35,000 SH SOLE 35,000 0 0
18
13F Report: (6/30/09) Cougar Trading LLC Value Shares SH/ Put/ Investment Other Voting Authority Issuer Type Cusip *1000 Prn Amt PRN Call Discretion Managers Sole Shared None - ------------------------ ------------ ------------ -------- ------- --- ----- ---------- -------- ------ ------ ----- WADDELL & REED FINL INC CL A COM STK CLASS A 930059100 264 10,000 SH SOLE 10,000 0 0 WAL MART STORES INC COM 931142103 969 20,000 SH CALL SOLE 20,000 0 0 WALGREEN CO COM 931422109 294 10,000 SH CALL SOLE 10,000 0 0 WAL-MART STORES INC COM STK COM 931142103 969 20,000 SH SOLE 20,000 0 0 WARDERLY INTL HLDGS LTD (HOK LISTING) COM 6572224 0 500,000 SH SOLE 500,000 0 0 WARNACO GROUP INC COM STK COM 934390402 648 20,000 SH SOLE 20,000 0 0 WEATHERFORD INTL LTD COM STK COM H27013103 587 30,000 SH SOLE 30,000 0 0 WEB COM INC DEL COM STK COM 94733A104 141 25,000 SH SOLE 25,000 0 0 WEIRTON STEEL CORP COM STK COM 948774104 0 300,000 SH SOLE 300,000 0 0 WELLS FARGO & CO COM 949746101 243 10,000 SH PUT SOLE 10,000 0 0 WENDYS/ARBYS GROUP INC CL A CLASS A 950587105 240 60,000 SH SOLE 60,000 0 0 WESTWAY GROUP INC WRNT W EXP 96169B118 38 125,000 SH SOLE 125,000 0 0 WET SEAL INC CL A COM STK CLASS A 961840105 123 40,000 SH SOLE 40,000 0 0 WORLD HEART COM 980905400 311 107,100 SH SOLE 107,100 0 0 WORLD RACING GROUP INC COM 981929102 3 142,468 SH SOLE 142,468 0 0 WRIGHT MEDICAL GROUP INC COM STK COM 98235T107 325 20,000 SH SOLE 20,000 0 0 XECHEM INTERNATIONAL INC COM STK COM 983895301 0 350,500 SH SOLE 350,500 0 0 XINYUAN RL EST SPONS ADR 98417P105 162 25,000 SH SOLE 25,000 0 0 W EXP XO HOLDINGS INC WRNT 01/16/2010 98417K114 0 35,100 SH SOLE 35,100 0 0 W EXP XO HOLDINGS INC WRNT 01/16/2010 98417K130 0 275,757 SH SOLE 275,757 0 0 YAHOO INC COM STK COM 984332106 157 10,000 SH SOLE 10,000 0 0 ZAGG INCORPORATED COM 98884U108 69 10,000 SH SOLE 10,000 0 0 ZANN CORP COM STK COM 98906U300 0 25,000 SH SOLE 25,000 0 0 ZAP COM STK COM 98912M201 18 42,500 SH SOLE 42,500 0 0 ZUMIEZ INC COM COM 989817101 240 30,000 SH SOLE 30,000 0 0 ZVUE CORP W EXP WRNT 08/14/2011 08/14/2011 988801114 0 75,000 SH SOLE 75,000 0 0
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