-----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, PMNhnZdRq4pF9K1Y6uVwMjIINqOSrMygfvLHza1CkxPRXtr7la/GDRJMVaWbv2uO 4H69vORy9Wn0A2NerolgOQ== 0001019056-10-000626.txt : 20100513 0001019056-10-000626.hdr.sgml : 20100513 20100513151058 ACCESSION NUMBER: 0001019056-10-000626 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100513 DATE AS OF CHANGE: 20100513 EFFECTIVENESS DATE: 20100513 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: 10828118 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_13f033110.txt FORM 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: March 31, 2010 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 May 13, 2010 - --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 12/31/2009 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 518 ----------- Form 13F Information Table Value Total $174,086 ----------- (thousands) List of Other Included Managers None 2
- ----------------------------------------------------------------------------------------------------------------------------------- VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ----------------------------------------------------------------------------------------------------------------------------------- 21ST CENTY COM 90130C305 0.00 13,334.00 SH SOLE 13,334 0 0 TECHNOLOGIES INC COM STK ABINGTON CMNTY BANCORP INC COM STK COM 00350L109 553.00 70,000.00 SH SOLE 70,000 0 0 ACER INCORPORATED TWD10 ORDS COM 6005850 75.00 25,250.00 SH SOLE 25,250 0 0 ACME PACKET COM 004764106 193.00 10,000.00 SH SOLE 10,000 0 0 ACUSPHERE INC COM STK COM 00511R870 6.00 55,000.00 SH SOLE 55,000 0 0 ADAMJEE INSURANCE CO LTD PKR10 COM 6006693 72.00 49,500.00 SH SOLE 49,500 0 0 ADELPHIA RECOVERY SERVICES COM 00685R409 9.00 249,615.00 SH SOLE 249,615 0 0 ADELQ 10.25 BOND 10.25% 15JUN2011 6/15/2011 006ESCBJ5 3.00 250,000.00 PRIN SOLE 250,000 0 0 ADEPT TECHNOLOGY INCCOM NEW COM 006854202 70.00 15,000.00 SH SOLE 15,000 0 0 ADRENALINA COM STK COM 00725L107 10.00 113,982.00 SH SOLE 113,982 0 0 ADTRAN INC COM STK COM 00738A106 264.00 10,000.00 SH SOLE 10,000 0 0 ADVANCED ANALOGIC TECHNOLOGIES COM COM 00752J108 140.00 40,000.00 SH SOLE 40,000 0 0 ADVANCED PLANT PHARMACEUTICALS COM STK COM 00756F201 0.00 150,000.00 SH SOLE 150,000 0 0 ADVANCED VIRAL RESH CORP COM STK COM 007928104 0.00 250,000.00 SH SOLE 250,000 0 0 ADVENTRX PHARMACEUTICALS INC COM STK COM 00764X103 11.00 50,000.00 SH SOLE 50,000 0 0 AEROVIRONMENT INC COM STK COM 008073108 261.00 10,000.00 SH SOLE 10,000 0 0 AFFINITY MEDIA INTL CORP W09 W EXP WTS EXP 06/ 06/04/2010 00828Q110 0.00 40,000.00 SH SOLE 40,000 0 0 AFFYMAX INC COM COM 00826A109 586.00 25,000.00 SH SOLE 25,000 0 0 AGRE EMPREENDIMENTOS IMOBILIARIOS (BRA L COM B611070 117.00 30,875.00 SH SOLE 30,875 0 0 AIRASIA BHD COM B03J9L7 224.00 525,000.00 SH SOLE 525,000 0 0 AIRGAS INC COM STK COM 009363102 1,591.00 25,000.00 SH CALL SOLE 25,000 0 0 AIRGAS INC COM STK COM 009363102 636.00 10,000.00 SH SOLE 10,000 0 0 ALLERGAN INC COM 018490102 1,306.00 20,000.00 SH CALL SOLE 20,000 0 0 ALLERGAN INC COM 018490102 1,306.00 20,000.00 SH SOLE 20,000 0 0 ALLIED IRISH BANKS PLC ADR SPONSOR ADR 019228402 81.00 25,000.00 SH SOLE 25,000 0 0 ALLOS THERAPEUTICS INC COM STK COM 019777101 557.00 75,000.00 SH SOLE 75,000 0 0 AMEDIA NETWORKS INC COM 023434103 0.00 250,000.00 SH SOLE 250,000 0 0 AMERICAN APPAREL INCCORP COM STK COM 023850100 152.00 50,000.00 SH SOLE 50,000 0 0 AMERICAN EAGLE OUTFITTERS INC COM STK COM 02553E106 185.00 10,000.00 SH SOLE 10,000 0 0 AMERICAN HEALTHCHOISINC COM 025929209 0.00 175,000.00 SH SOLE 175,000 0 0 AMERICAN RIVER BANKSHARES COM STK COM 029326105 200.00 25,000.00 SH SOLE 25,000 0 0 AMERICAN SCIENCE & ENGR INC COM STK COM 029429107 375.00 5,000.00 SH SOLE 5,000 0 0 AMERICANA DISTBN COM 030556104 0.00 600,000.00 SH SOLE 600,000 0 0 ANTARES PHARMA INC COM STK COM 036642106 34.00 25,000.00 SH SOLE 25,000 0 0 ANTRIM ENERGY COM 037243102 79.00 75,000.00 SH SOLE 75,000 0 0 AOL INC COM 00184X105 1,201.00 47,500.00 SH SOLE 47,500 0 0 APPLIED MICRO CIRCUITS CORP COM STK COM 03822W406 518.00 60,000.00 SH SOLE 60,000 0 0 APPLIED NEUROSOLUTIONS INC COM STK COM 03823Y203 34.00 48,668.00 SH SOLE 48,668 0 0 ARCHER DANIELS PREFERRED CV 6 1/4% PFD STOCK 039483201 204.00 5,000.00 SH SOLE 5,000 0 0 ARM HOLDINGS PLC CAMBRIDGE ADR SPONSOR ADR 042068106 267.00 25,000.00 SH SOLE 25,000 0 0 ARTHROCARE CORP COM COM 043136100 981.00 33,000.00 SH SOLE 33,000 0 0 ASCEND ACQUISITION CORP WRNT W EXP 5/10/10 05/10/2010 04350H118 1.00 145,000.00 SH SOLE 145,000 0 0 ASSURED GUARANTY LTD (BERMUDA) COM STK COM G0585R106 659.00 30,000.00 SH SOLE 30,000 0 0 ATLAS ACQUISITION W EXP WRNT 01/23/2012 049162118 3.00 25,000.00 SH SOLE 25,000 0 0 ATLAS ESTATES LD (UKM LISTING) COM B0WDBP8 67.00 52,961.00 SH SOLE 52,961 0 0 ATLAS PIPELINE PARTNERS L P COM STK UNIT L P INT 049392103 696.00 50,000.00 SH SOLE 50,000 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 233.00 7,500.00 SH SOLE 7,500 0 0 AVATAR HOLDINGS INC COM STK COM 053494100 565.00 26,000.00 SH SOLE 26,000 0 0 AVESIS INCORPORATED COM 053650107 56.00 140,000.00 SH SOLE 140,000 0 0
3
- ----------------------------------------------------------------------------------------------------------------------------------- VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ----------------------------------------------------------------------------------------------------------------------------------- AVI BIOPHARMA INC WRNT EXP W EXP 8/25/2014 08/25/2014 002346146 2.00 35,000.00 SH SOLE 35,000 0 0 AVIAT NETWORKS INC INC COM STK COM 05366Y102 199.00 30,000.00 SH SOLE 30,000 0 0 BANCO SANTANDER BRASIL S A ADR SPONSOR ADR 05967A107 501.00 40,300.00 SH SOLE 40,300 0 0 BANK OF AMERICA CORP COM 060505104 357.00 20,000.00 SH CALL SOLE 20,000 0 0 BANK OF AMERICA CORP COM 060505104 46,942.00 2,629,791.00 SH SOLE 2,629,791 0 0 BANK OF AMERICA W EXP CORP WARRANT 1/16/2019 060505146 954.00 100,000.00 SH SOLE 100,000 0 0 BANK OF AMERICA W EXP CORP WARRANT 10/28/2018 060505153 359.00 100,000.00 SH SOLE 100,000 0 0 BANK RAKYAT INDONESIA COM 6709099 45.00 50,000.00 SH SOLE 50,000 0 0 BARRICK GOLD CORP COM COM 067901108 383.00 10,000.00 SH SOLE 10,000 0 0 BARZEL INDS INC W EXP WRNT 03/07/2011 069744118 0.00 118,173.00 SH SOLE 118,173 0 0 BBV VIETNAM S.E.A. ACQUISITION COM Y0764A122 4.00 34,500.00 SH SOLE 34,500 0 0 BEAZER HOMES USA INC COM STK COM 07556Q105 227.00 50,000.00 SH SOLE 50,000 0 0 BENIHANA INC CL A COM STK CLASS A 082047200 98.00 15,000.00 SH SOLE 15,000 0 0 BERKSHIRE HATHAWAY INC CLASS B COM CLASS B 084670702 406.00 5,000.00 SH SOLE 5,000 0 0 BERKSHIRE HILLS BANCORP INC COM STK COM 084680107 321.00 17,500.00 SH SOLE 17,500 0 0 BGC PARTNERS INC COM 05541T101 153.00 25,000.00 SH SOLE 25,000 0 0 BIOGEN IDEC INC COM 09062X103 287.00 5,000.00 SH CALL SOLE 5,000 0 0 BIOPURE CORP CL A WT EX W EXP 12/20/10 12/20/2010 09065H162 0.00 24,000.00 SH SOLE 24,000 0 0 BIOPURE CORP WTCL A EXP W EXP 12/31/2011 12/31/2011 09065H188 0.00 135,000.00 SH SOLE 135,000 0 0 BIOTIME WT W EXP 10/31/2010 03/10/2010 09066L147 92.00 18,500.00 SH SOLE 18,500 0 0 BLACKROCK INC COM 09247X101 2,178.00 10,000.00 SH CALL SOLE 10,000 0 0 BLACKSTONE GROUP LP COM 09253U108 840.00 60,000.00 SH SOLE 60,000 0 0 BLUEFLY INC COM STK COM 096227301 70.00 25,500.00 SH SOLE 25,500 0 0 BM&F BOVESPA SA COM B2RHNV9 744.00 110,000.00 SH SOLE 110,000 0 0 BOISE INC WRNT W EXP 06/18/2011 06/18/2011 09746Y113 194.00 335,000.00 SH SOLE 335,000 0 0 BOLSA A (MEX LISTING) COM B39VVF6 40.00 25,000.00 SH SOLE 25,000 0 0 BOYD GAMING CORP COM STK COM 103304101 148.00 15,000.00 SH SOLE 15,000 0 0 BPW ACQUISITION CORP COM COM 055637102 623.00 50,000.00 SH SOLE 50,000 0 0 BPW ACQUISITION CORPWRNT W EXP 2/26/2014 02/26/2014 055637110 41.00 25,000.00 SH SOLE 25,000 0 0 BR MALLS PAR (BRA LISTING) COM B1RYG58 472.00 40,000.00 SH SOLE 40,000 0 0 BRIDGEWATER SYS COM 108707100 230.00 25,000.00 SH SOLE 25,000 0 0 BROADPOINT GLEACHER SECURITIES INC COM 11134A103 760.00 190,000.00 SH SOLE 190,000 0 0 BURSA MALAYSIA BHD COM B06FV38 60.00 25,000.00 SH SOLE 25,000 0 0 BYD COMPANY LIMITED COM 6536651 548.00 55,000.00 SH SOLE 55,000 0 0 CALIPER LIFE W EXP SCIENCES WRNT 08/10/2011 130872112 7.00 29,647.00 SH SOLE 29,647 0 0 CANACCORD CAP INC COM COM 134801109 547.00 50,000.00 SH SOLE 50,000 0 0 CANADIAN SUPERIOR ENERGY INC COM 136644101 15.00 25,000.00 SH SOLE 25,000 0 0 CAPE BANCORP INC COM COM 139209100 129.00 16,000.00 SH SOLE 16,000 0 0 CAPSTONE TURBINE CORP COM STK COM 14067D102 222.00 175,000.00 SH SOLE 175,000 0 0 CARGO CONNECTION LOGISTICS HL COM STK COM 141794107 0.00 200,000.00 SH SOLE 200,000 0 0 CARROLS HOLDINGS CORP COM 14574X104 68.00 10,000.00 SH SOLE 10,000 0 0 CENOVUS ENERGY INC COM 15135U109 524.00 20,000.00 SH CALL SOLE 20,000 0 0 CENTERLINE HLDG CO COM STK COM 15188T108 54.00 205,000.00 SH SOLE 205,000 0 0 CENTRAL WIRELESS INC COM STK COM 15607P109 0.00 660,000.00 SH SOLE 660,000 0 0 CERAGON NETWORKS LTD COM STK COM M22013102 109.00 10,000.00 SH SOLE 10,000 0 0 CEYLON TOBACCO LKR ORDS COM 6186904 22.00 10,000.00 SH SOLE 10,000 0 0 CGA MINING LTD COM STK COM Q22628103 47.00 25,000.00 SH SOLE 25,000 0 0 CHARIOT RESOURCES LTD COM 15963M104 32.00 50,000.00 SH SOLE 50,000 0 0 CHEM RX CORPORATION WRNT EXP W EXP 12/31/2010 12/31/2010 163536113 0.00 306,075.00 SH SOLE 306,075 0 0 CHEMTURA CORP COM 163893100 34.00 25,000.00 SH SOLE 25,000 0 0 CHINA CABLECOM HOLDINGS LTD COM G21176113 1.00 116,640.00 SH SOLE 116,640 0 0 CHINA CERAMICS W EXP CO LTD WARRANT 11/16/2012 G2113X118 53.00 35,000.00 SH SOLE 35,000 0 0 CHINA CONSTRUCTION BANK CORPORATION COM B0LMTQ3 61.00 75,000.00 SH SOLE 75,000 0 0
4
- ----------------------------------------------------------------------------------------------------------------------------------- VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ----------------------------------------------------------------------------------------------------------------------------------- CHINA CORD W EXP BLOOD CORP WRNT 12/13/2010 G21107118 54.00 60,000.00 SH SOLE 60,000 0 0 CHINA DISCOVERY ACQUISITION CORP COM G2112B117 23.00 90,000.00 SH SOLE 90,000 0 0 CHINA ELEC MTR INC COM STK COM 16890A205 77.00 15,000.00 SH SOLE 15,000 0 0 CHINA FUNDAMENTAL W EXP ACQUISITION WRNT 05/15/2012 G2156W118 27.00 14,000.00 SH SOLE 14,000 0 0 CHINA HEALTH CARE CORP COM STK RSTD COM 16944N997 0.00 240,000.00 SH SOLE 240,000 0 0 CHINA HEALTHCARE W EXP AQUISITION WRNT 4/18/2012 16939Q112 0.00 29,300.00 SH SOLE 29,300 0 0 CHINA HYDROELECTRIC W EXP WARRANT EXP 11/10/2011 G2112E145 12.00 14,000.00 SH SOLE 14,000 0 0 CHINA LODGING GROUP LTD-SPON ADR SPONSOR ADR 16949N109 375.00 25,000.00 SH SOLE 25,000 0 0 CHINA MOBILE MEDIA TECHNOLOGY COM COM 16950C109 11.00 74,000.00 SH SOLE 74,000 0 0 CHINA TOPREACH INC COM G21117117 3.00 25,000.00 SH SOLE 25,000 0 0 CHORDIANT SFTWR COM STK COM 170404305 127.00 25,000.00 SH SOLE 25,000 0 0 CIRRUS LOGIC INC COM STK COM 172755100 294.00 35,000.00 SH SOLE 35,000 0 0 CIT GROUP INC COM STK COM 125581801 1,948.00 50,000.00 SH SOLE 50,000 0 0 CITIGROUP INC COM 172967101 648.00 160,000.00 SH CALL SOLE 160,000 0 0 CITIGROUP INC COM STK COM 172967101 1,094.00 270,000.00 SH SOLE 270,000 0 0 CITIZENS REPUBLIC BANCORP INC COM 174420109 342.00 300,000.00 SH SOLE 300,000 0 0 CKX INC COM STK COM 12562M106 122.00 20,000.00 SH SOLE 20,000 0 0 CLARIENT INC COM STK COM 180489106 131.00 50,000.00 SH SOLE 50,000 0 0 CLARK HOLDING W EXP WRNT WRNT 02/15/2011 18145M117 0.00 243,600.00 SH SOLE 243,600 0 0 CLICKSOFTWARE TECHNOLOGIES LTD COM STK COM M25082104 104.00 15,000.00 SH SOLE 15,000 0 0 CLOROX CO COM STK COM 189054109 641.00 10,000.00 SH SOLE 10,000 0 0 CNC DEVELOPMENT LTD WRNT EXP W EXP 9/04/2011 09/04/2011 G22384120 2.00 12,500.00 SH SOLE 12,500 0 0 COEUR D ALENE MINES CORP IDAHO COM STK COM 192108504 150.00 10,000.00 SH SOLE 10,000 0 0 COGDELL SPENCER INC COM COM 19238U107 370.00 50,000.00 SH SOLE 50,000 0 0 COGENT INC COM 19239Y108 153.00 15,000.00 SH SOLE 15,000 0 0 COLONY FINANCIAL INC COM 19624R106 200.00 10,000.00 SH SOLE 10,000 0 0 COMM BK CEYLON LKR10 COM 6161321 53.00 30,000.00 SH SOLE 30,000 0 0 COMPELLENT TECHNOLOGIES INC COM 20452A108 176.00 10,000.00 SH SOLE 10,000 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 39.00 145,000.00 SH SOLE 145,000 0 0 CONSECO INC COM STK COM 208464883 467.00 75,000.00 SH SOLE 75,000 0 0 CONSOL ENERGY INC COM STK COM 20854P109 1,191.00 27,910.00 SH SOLE 27,910 0 0 CONTINUCARE CORP COM STK COM 212172100 140.00 37,500.00 SH SOLE 37,500 0 0 CONVERTED ORGANICS INC - W EXP CW12 02/12/12 02/12/2012 21254S123 10.00 50,000.00 SH SOLE 50,000 0 0 CONVERTED ORGANICS INC COM STK COM 21254S107 28.00 32,677.00 SH SOLE 32,677 0 0 CONVERTED ORGANICS INC W EXP WRNT 12/31/2014 21254S131 5.00 18,000.00 SH SOLE 18,000 0 0 COPA HOLDINGS SA COM STK COM P31076105 304.00 5,000.00 SH SOLE 5,000 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0.00 200,000.00 SH SOLE 200,000 0 0 COWEN GROUP INC COM STK COM 223622101 1,238.00 218,649.00 SH SOLE 218,649 0 0 CULLEN AGRIC W EXP HLDG CORP WRNT 10/21/2013 229894118 3.00 125,600.00 SH SOLE 125,600 0 0 CURIS INC COM STK COM 231269101 154.00 50,000.00 SH SOLE 50,000 0 0 CVS CAREMARK CORP COM STK COM 126650100 366.00 10,000.00 SH SOLE 10,000 0 0 CVS CAREMARK CORPORATION COM 126650100 1,462.00 40,000.00 SH CALL SOLE 40,000 0 0 CYTORI THERAPEUTICS WRNT EXP W EXP 2/28/2012 02/28/2012 232993022 0.00 43,555.00 SH SOLE 43,555 0 0 D.R. HORTON INC COM STK COM 23331A109 252.00 20,000.00 SH SOLE 20,000 0 0 DALR 8.3 BOND 8.30% 15DEC2029 144A 12/15/2029 24799AKC5 6.00 367,000.00 PRIN SOLE 367,000 0 0 DAYLIGHT RESOURCES TRUST COM 239600109 156.00 15,000.00 SH SOLE 15,000 0 0 DENNYS CORP COM STK COM 24869P104 2,406.00 625,000.00 SH SOLE 625,000 0 0 DEXCOM INC COM STK COM 252131107 244.00 25,000.00 SH SOLE 25,000 0 0 DIALOG TELEKOM COM 999956HH1 3.00 50,000.00 SH SOLE 50,000 0 0 DIME BANCORP INC WTS COM 25429Q110 0.00 400,000.00 SH SOLE 400,000 0 0 DISCOVER FINANCIAL SERVICES COM 254709108 745.00 50,000.00 SH SOLE 50,000 0 0 DIST SRI LKR1 COM 6271435 31.00 30,000.00 SH SOLE 30,000 0 0 DISTRIBUTED ENERGY SYS CORP COM STK COM 25475V104 0.00 50,000.00 SH SOLE 50,000 0 0
5
- ----------------------------------------------------------------------------------------------------------------------------------- VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ----------------------------------------------------------------------------------------------------------------------------------- DRYSHIPS INC COM STK COM Y2109Q101 88.00 15,000.00 SH SOLE 15,000 0 0 DYNEGY INC DEL CL A COM STK CLASS A 26817G102 63.00 50,000.00 SH SOLE 50,000 0 0 EASTMAN KODAK CO COM 277461109 434.00 75,000.00 SH CALL SOLE 75,000 0 0 EASTMAN KODAK CO COM STK COM 277461109 290.00 50,000.00 SH SOLE 50,000 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 136.00 90,500.00 SH SOLE 90,500 0 0 EDWARDS LIFESCIENCES CORP COM STK COM 28176E108 742.00 7,500.00 SH SOLE 7,500 0 0 ELAN CORP PLC SENIOR ADR DEBEN D 284131208 114.00 15,000.00 SH CALL SOLE 15,000 0 0 ELECTRONIC GAME CARD INC COM STK COM 285716106 0.00 25,000.00 SH SOLE 25,000 0 0 ELRON ELECT ILS (USD) COM 290160100 89.00 11,000.00 SH SOLE 11,000 0 0 EMAGIN CORP COM STK COM 29076N206 94.00 25,000.00 SH SOLE 25,000 0 0 ENDOVASC INC COM STK COM 29267B102 0.00 255,000.00 SH SOLE 255,000 0 0 ENERNOC INC COM 292764107 445.00 15,000.00 SH SOLE 15,000 0 0 ENSTAR GROUP LIMITED COM STK COM G3075P101 1,625.00 23,500.00 SH SOLE 23,500 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 4.00 25,000.00 SH SOLE 25,000 0 0 ENTEGRIS INC COM STK COM 29362U104 302.00 60,000.00 SH SOLE 60,000 0 0 ENTREMED INC COM STK COM 29382F103 34.00 50,000.00 SH SOLE 50,000 0 0 ESSEX RENT CORP W EXP WRNT 03/04/2011 297187114 44.00 25,000.00 SH SOLE 25,000 0 0 EUROGAS INC COM STK COM 298734104 70.00 260,000.00 SH SOLE 260,000 0 0 EXACT SCIENCES CORP COM STK COM 30063P105 45.00 10,000.00 SH SOLE 10,000 0 0 EXCEED COMPANY W EXP LTD WRNT 11/08/2011 G32335112 206.00 45,000.00 SH SOLE 45,000 0 0 EXIDE TECHNOLOGIES W EXP WRNT 05/05/2011 302051123 1.00 12,000.00 SH SOLE 12,000 0 0 EXTERRAN HOLDINGS INC COM 30225X103 435.00 18,000.00 SH SOLE 18,000 0 0 FAR EAST ENERGY CORP COM STK COM 307325100 43.00 100,000.00 SH SOLE 100,000 0 0 FAUJI FERTILIZER BIN QASIM COM 6336088 9.00 25,000.00 SH SOLE 25,000 0 0 FIAT SPA EUR5 ORDS COM 5748521 260.00 20,000.00 SH SOLE 20,000 0 0 FINANCIAL ENGINES INC COM 317485100 254.00 15,000.00 SH SOLE 15,000 0 0 FINANCIAL TECHNOLOGIES (INDIA) LD COM B287HL6 23.00 20,000.00 SH SOLE 20,000 0 0 FINISAR CORP COM STK COM 31787A507 1,017.00 65,000.00 SH SOLE 65,000 0 0 FIRST CALIFORNIA FINANCIAL GRP COM COM 319395109 211.00 80,000.00 SH SOLE 80,000 0 0 FLAGSTAR BANCORP INC COM STK COM 337930101 60.00 100,000.00 SH SOLE 100,000 0 0 FORD MOTOR CO COM 345370860 251.00 20,000.00 SH CALL SOLE 20,000 0 0 FORD MOTOR COMPANY COM STK COM 345370860 1,697.00 135,000.00 SH SOLE 135,000 0 0 FORD MOTOR WRNT W EXP EXP 01/01/2013 01/01/2013 345370134 363.00 75,000.00 SH SOLE 75,000 0 0 FORMATION METALS INC COM COM 34637V101 17.00 12,857.00 SH SOLE 12,857 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 399.00 100,000.00 SH SOLE 100,000 0 0 FORTRESS PAPER LTD CL A CLASS A 34958R101 273.00 15,000.00 SH SOLE 15,000 0 0 FORWARD INDS INC N Y COM STK COM 349862300 46.00 15,000.00 SH SOLE 15,000 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 118.00 100,000.00 SH SOLE 100,000 0 0 FREESEAS INC W EXP - -CW09 06/30/2010 Y26496110 8.00 14,130.00 SH SOLE 14,130 0 0 FSI INTL INC COM STK COM 302633102 232.00 60,000.00 SH SOLE 60,000 0 0 FUNTALK CHINA HOLDINGS LIMITED WRT W EXP G36993122 250.00 125,000.00 SH SOLE 125,000 0 0 FUTUREFUEL CORP WARRANTS EXP W EXP 07/12/2010 07/12/2010 361168106 6.00 25,000.00 SH SOLE 25,000 0 0 GAFISA ADR SPONSOR ADR 362607301 550.00 40,000.00 SH SOLE 40,000 0 0 GAMMON GOLD INC COM COM 36467T106 72.00 10,000.00 SH SOLE 10,000 0 0 GEELY AUTO COM 6531827 53.00 100,000.00 SH SOLE 100,000 0 0 GENCORP INC COM STK COM 368682100 144.00 25,000.00 SH SOLE 25,000 0 0 GENERAL ELECTRIC CO COM 369604103 546.00 30,000.00 SH CALL SOLE 30,000 0 0 GENERAL ELECTRIC CO COM STK COM 369604103 910.00 50,000.00 SH SOLE 50,000 0 0 GENERAL MOTORS CORP 6.25% 15 PREFERRED JUL 2033 STOCK 370442717 215.00 25,000.00 SH SOLE 25,000 0 0 GENERAL MTRS CORP SENIOR PREFERRED DEBEN D STOCK 370442691 213.00 25,000.00 SH SOLE 25,000 0 0 GENEREX BIOTECHNOLOGY CORP DEL COM STK COM 371485103 5.00 10,000.00 SH SOLE 10,000 0 0 GENOMED INC COM STK COM 37243C102 0.00 475,000.00 SH SOLE 475,000 0 0 GENWORTH FINANCIAL INC COM 37247D106 275.00 15,000.00 SH SOLE 15,000 0 0
6
- ----------------------------------------------------------------------------------------------------------------------------------- VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ----------------------------------------------------------------------------------------------------------------------------------- GEROVA FINANCIAL GROUP LTD COM G38490119 28.00 94,000.00 SH SOLE 94,000 0 0 GLG PARTNERS INC WRNT EXP W EXP 12/28/2011 12/28/2011 37929X115 18.00 140,000.00 SH SOLE 140,000 0 0 GLOBAL AIRCRAFT SOLUTIONS INC COM STK COM 378964100 0.00 100,000.00 SH SOLE 100,000 0 0 GLOBAL CROSSING UK FIN PLC 12/15/2014 BOND 10.75% 10.75% 12/15/2014 37943SAB6 53.00 50,000.00 PRIN SOLE 50,000 0 0 GLOBAL POWER EQUIPMENT GROUP INC COM 37941P207 1,472.00 886,631.00 SH SOLE 886,631 0 0 GLOBAL SHIP LEASE INC CL A W EXP WRNT 08/24/2010 Y27183113 4.00 145,000.00 SH SOLE 145,000 0 0 GLOBALNET CORP COM 379399108 0.00 385,000.00 SH SOLE 385,000 0 0 GOLD FIELDS LTD NEW ADR SPONSOR ADR 38059T106 126.00 10,000.00 SH SOLE 10,000 0 0 GOLDEN GATE HOMES INC W EXP WARRANT 4/10/2010 381047117 0.00 214,700.00 SH SOLE 214,700 0 0 GOLDEN STAR CAD COM (USD) COM 38119T104 58.00 15,000.00 SH SOLE 15,000 0 0 GOOD HARBOR PARTNERS ACQ W EXP CORP WRNT 03/15/2011 382094118 0.00 65,000.00 SH SOLE 65,000 0 0 GPS INDUSTRIES INC COM STK COM 383870102 0.00 150,000.00 SH SOLE 150,000 0 0 GRAMERCY CPTL COM 384871109 56.00 20,000.00 SH SOLE 20,000 0 0 GROWERS DIRECT COFFEE CO STK COM 399849108 0.00 25,000.00 SH SOLE 25,000 0 0 GTX INC COM STK COM 40052B108 84.00 25,000.00 SH SOLE 25,000 0 0 GUANGSHEN RAILWAY CNY1 'H' COM 6388700 30.00 75,000.00 SH SOLE 75,000 0 0 HAIN CELESTIAL GROUP INC COM STK COM 405217100 174.00 10,000.00 SH SOLE 10,000 0 0 HAMBRECHT ASIA ACQUISITION CORP COM 406548115 9.00 26,100.00 SH SOLE 26,100 0 0 HANSEN NAT CORP COM STK COM 411310105 651.00 15,000.00 SH SOLE 15,000 0 0 HARD TO TREAT DISEASES INC COM STK COM 41164A103 2.00 500,000.00 SH SOLE 500,000 0 0 HARRIS CORP DEL COM STK COM 413875105 237.00 5,000.00 SH SOLE 5,000 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 85.00 70,000.00 SH SOLE 70,000 0 0 HARTMARX CORP COM STK COM 417119104 1.00 76,200.00 SH SOLE 76,200 0 0 HATTON NATL BK COM 6406970 74.00 45,000.00 SH SOLE 45,000 0 0 HAWAIIN HOLDINGS INC COM 419879101 74.00 10,000.00 SH SOLE 10,000 0 0 HDFC BANK LTD ADR SPONSOR ADR 40415F101 348.00 2,500.00 SH SOLE 2,500 0 0 HEALTH DISCOVERY CORP COM STK COM 42218R100 5.00 25,000.00 SH SOLE 25,000 0 0 HEALTHY FAST FOOD INC COM STK COM 42223Y108 11.00 19,000.00 SH SOLE 19,000 0 0 Healthy Fast Food Inc. Class W EXP A Warrant 03/19/2013 42223Y116 3.00 25,000.00 SH SOLE 25,000 0 0 Healthy Fast Food Inc. Class W EXP B Warrant 03/19/2013 42223Y124 2.00 50,000.00 SH SOLE 50,000 0 0 HECKMANN CORP COM STK COM 422680108 1,102.00 190,000.00 SH SOLE 190,000 0 0 HECKMANN CORP WRNT EXP W EXP 11/09/2011 11/09/2011 422680116 98.00 125,000.00 SH SOLE 125,000 0 0 HECLA MNG 3 WRNT EXP W EXP 8/10/2014 8/10/2014 422992859 0.00 50,000.00 SH SOLE 50,000 0 0 HELLENIC EXCHANGES SA ORDS (GRE LISTING) COM 4108278 132.00 15,000.00 SH SOLE 15,000 0 0 HERSHA HOSPITALITY TRUST A COM 427825104 461.00 89,000.00 SH SOLE 89,000 0 0 HIENERGY TECHNOLOGIES INC COM STK COM 42952V101 0.00 25,000.00 SH SOLE 25,000 0 0 HILLTOP HLDGS INC COM REIT COM 432748101 118.00 10,000.00 SH SOLE 10,000 0 0 HK EXCHANGES & CLEARING ORD COM 6267359 584.00 35,000.00 SH SOLE 35,000 0 0 HOME DEPOT INC COM 437076102 971.00 30,000.00 SH CALL SOLE 30,000 0 0 HOME FEDERAL BANCORP COM 43710G105 218.00 15,000.00 SH SOLE 15,000 0 0 HONEYWELL INTL INC DEL COM 438516106 226.00 5,000.00 SH SOLE 5,000 0 0 HOVNANIAN K ENTERPRISES INC CL A COM STK CLASS A 442487203 218.00 50,000.00 SH SOLE 50,000 0 0 HUDSON HLDG CORP COM STK COM 443793104 56.00 297,220.00 SH SOLE 297,220 0 0 HYDRON TECH INC COM 449020205 0.00 100,000.00 SH SOLE 100,000 0 0 IBX GROUP INC COM STK COM 449229103 0.00 200,000.00 SH SOLE 200,000 0 0 ICAD INC COM STK COM 44934S107 53.00 35,000.00 SH SOLE 35,000 0 0 ICICI BANK LTD SPON ADR SPONSOR ADR 45104G104 641.00 15,000.00 SH SOLE 15,000 0 0 ICOA INC COM STK COM 449292200 0.00 300,000.00 SH SOLE 300,000 0 0 ICOP DIGITAL INC COM STK COM 44930M203 15.00 60,000.00 SH SOLE 60,000 0 0 ICOP DIGITAL W EXP INC WRNT 07/08/2010 44930M112 2.00 158,400.00 SH SOLE 158,400 0 0 ICX TECHNOLOGIES INC COM 44934T105 174.00 25,000.00 SH SOLE 25,000 0 0 IGENE BIOTECHNOLOGY INC COM STK COM 451695100 1.00 100,000.00 SH SOLE 100,000 0 0 IKANOS COMMUNICATIONS COM STK COM 45173E105 225.00 75,000.00 SH SOLE 75,000 0 0
7
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ IKARMA COM 45172N106 0.00 25,000.00 SH SOLE 25,000 0 0 IMAGINATION TECHNOLOGIES GROUP 10P ORDS COM G93593104 92.00 25,000.00 SH SOLE 25,000 0 0 INCA PAC RES INC COM 45324A200 3.00 15,000.00 SH SOLE 15,000 0 0 IND & COMM BK OFCHINA - H COM B1G1QD8 229.00 300,000.00 SH SOLE 300,000 0 0 INDIA GLOBALIZATION CAP CW11 EXP W EXP 3/3/11 03/03/2011 45408X118 4.00 157,798.00 SH SOLE 157,798 0 0 INFORMATION SERVICES GROUP INC COM 45675Y112 9.00 236,121.00 SH SOLE 236,121 0 0 INFUSYSTEMS HOLDINGSWRNT W EXP EXP 04/11/2011 04/11/2011 45685K110 8.00 150,000.00 SH SOLE 150,000 0 0 INSULET CORP COM 45784P101 604.00 40,000.00 SH SOLE 40,000 0 0 INTEGRAL VISION INC COM STK COM 45811H106 75.00 1,069,107.00 SH SOLE 1,069,107 0 0 INTEL CORP COM STK COM 458140100 1,003.00 45,000.00 SH SOLE 45,000 0 0 INTELLI-CHECK MOBILISA INC COM 2517887 55.00 25,000.00 SH SOLE 25,000 0 0 INTERMAP TECH COM RSTD COM 458977DU6 148.00 100,000.00 SH SOLE 100,000 0 0 INTERNATIONAL COAL GROUP INC COM STK COM 45928H106 708.00 155,000.00 SH SOLE 155,000 0 0 INTERNET CAP GROUP INC NEW COM 46059C205 423.00 50,000.00 SH SOLE 50,000 0 0 IPATH S&P 500 VIX SHORT-TERM IPATH SHRT FUTURES ETN ETN 06740C527 210.00 10,000.00 SH SOLE 10,000 0 0 IRIDIUM COMMUNICATINOS INC COM 46269C110 78.00 27,500.00 SH SOLE 27,500 0 0 ISONICS CORP COM STK COM 464895309 0.00 25,000.00 SH SOLE 25,000 0 0 IVANHOE ENERGY INC COM COM 465790103 83.00 25,000.00 SH SOLE 25,000 0 0 JAMBA INC COM COM 47023A101 272.00 100,000.00 SH SOLE 100,000 0 0 JESUP & LAMONT INC COM STK COM 477046106 6.00 20,000.00 SH SOLE 20,000 0 0 JMP GROUP INC COM STK COM 46629U107 340.00 40,000.00 SH SOLE 40,000 0 0 JOHN KEELLS LKR10 COM 6475538 81.00 50,000.00 SH SOLE 50,000 0 0 JOHNSON & JOHNSON COM 478160104 1,304.00 20,000.00 SH CALL SOLE 20,000 0 0 JP MORGAN CHASE WRNT EXP W EXP 10/28/2018 10/28/2018 46634E114 307.00 20,000.00 SH SOLE 20,000 0 0 KENNEDY-WILSON W EXP HLDGS INC WRNT 11/14/2013 489398115 23.00 23,778.00 SH SOLE 23,778 0 0 KINROSS GOLD CORP NEW COM 496902404 171.00 10,000.00 SH SOLE 10,000 0 0 KIT DIGITAL INC COM STK COM 482470200 160.00 12,400.00 SH SOLE 12,400 0 0 KKR & CO (GUERNSEY) LP (NET LIST) COM B13BNQ3 403.00 35,000.00 SH SOLE 35,000 0 0 KOPIN CORP COM STK COM 500600101 167.00 45,000.00 SH SOLE 45,000 0 0 KRAFT FOODS INC COM 50075N104 454.00 15,000.00 SH SOLE 15,000 0 0 KRISPY KREME DOUGHNUTS INC COM STK COM 501014104 302.00 75,000.00 SH SOLE 75,000 0 0 KROGER CO COM 501044101 650.00 30,000.00 SH PUT SOLE 30,000 0 0 LA Z BOY INC COM STK COM 505336107 251.00 20,000.00 SH SOLE 20,000 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 376.00 400,000.00 SH SOLE 400,000 0 0 LAZARD LTD COM COM G54050102 357.00 10,000.00 SH SOLE 10,000 0 0 LEAPFROG ENTERPRISES INC CL A COM STK CLASS A 52186N106 328.00 50,000.00 SH SOLE 50,000 0 0 LEGEND INTERNATIONAL HOLDINGS COM STK COM 52467C100 29.00 25,000.00 SH SOLE 25,000 0 0 LENNAR CORP CL A COM STK CLASS A 526057104 258.00 15,000.00 SH SOLE 15,000 0 0 LEVEL 3 COMMUNICATIONS INC COM STK COM 52729N100 81.00 50,000.00 SH SOLE 50,000 0 0 LI NING (HOK LISTING) COM B01JCK9 272.00 75,000.00 SH SOLE 75,000 0 0 LIBERTY ACQUISITION HOLDINGS COM 53015Y107 99.00 10,000.00 SH SOLE 10,000 0 0 LIBERTY ACQUISITION W EXP HOLDINGS WRNT 12/12/2013 53015Y115 20.00 22,500.00 SH SOLE 22,500 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0.00 575,000.00 SH SOLE 575,000 0 0 LIONS GATE ENTERTAINMENT CORP COM 535919203 312.00 50,000.00 SH SOLE 50,000 0 0 LIVEPERSON INC COM STK COM 538146101 384.00 50,000.00 SH SOLE 50,000 0 0 LTX CREDENCE CORPORATION COM STK COM 502403108 452.00 150,000.00 SH SOLE 150,000 0 0 MAGAL SECURITIES SYSTEMS LTD COM STK COM M6786D104 96.00 25,000.00 SH SOLE 25,000 0 0 MAGUIRE PROP COM 559775101 77.00 25,000.00 SH SOLE 25,000 0 0 MAP PHARMACEUTICALS INC COM 56509R108 159.00 10,000.00 SH SOLE 10,000 0 0 MARKET VECTORS GOLD MINER GOLD MINERS ETF 57060U100 444.00 10,000.00 SH SOLE 10,000 0 0 MARTHA STEWART LIVING OMNIMED CL A CLASS A 573083102 279.00 50,000.00 SH SOLE 50,000 0 0 MATTSON TECHNOLOGY INC COM STK COM 577223100 388.00 85,000.00 SH SOLE 85,000 0 0 MAXLINEAR INC COM 57776J100 462.00 26,000.00 SH SOLE 26,000 0 0
8
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ MCB BANK COM 6611570 60.00 24,200.00 SH SOLE 24,200 0 0 MCF CORP COM STK COM 590418109 18.00 25,000.00 SH SOLE 25,000 0 0 MEAD JOHNSON NUTRITION CO COM STK COM 582839106 780.00 15,000.00 SH SOLE 15,000 0 0 MELLANOX TECHNOLOGIES LTD COM M51363113 354.00 15,000.00 SH SOLE 15,000 0 0 MERA PHARMACEUTICALS INC COM STK COM 58732R103 1.00 200,000.00 SH SOLE 200,000 0 0 MERCATOR MINERALS LTD COM 587582107 25.00 10,000.00 SH SOLE 10,000 0 0 MERU NETWORKS INC COM 59047Q103 225.00 11,731.00 SH SOLE 11,731 0 0 METROPCS COMMUNICATIONS INC COM STK COM 591708102 71.00 10,000.00 SH SOLE 10,000 0 0 MF GLOBAL HOLDINGS LTD COM STK COM 55277J108 202.00 25,000.00 SH SOLE 25,000 0 0 MGIC INVT CORP COM STK COM 552848103 274.00 25,000.00 SH SOLE 25,000 0 0 MGM ENERGY CORP COM COM 59318A100 5.00 25,000.00 SH SOLE 25,000 0 0 MICRO LABS INC COM STK COM 594847105 0.00 100,000.00 SH SOLE 100,000 0 0 MICROTUNE INC DEL COM STK COM 59514P109 437.00 160,000.00 SH SOLE 160,000 0 0 MIDWAY GOLD CORP COM COM 598153104 32.00 50,000.00 SH SOLE 50,000 0 0 MILLENNIUM INDIA WTS EXP W EXP 7/19/2010 07/19/2010 60039Q119 1.00 40,000.00 SH SOLE 40,000 0 0 MINDSPEED TECHNOLOGIES INC COM STK COM 602682205 561.00 70,000.00 SH SOLE 70,000 0 0 MIPS TECHNOLOGIES INC CL A COM STK CLASS A 604567107 714.00 160,000.00 SH SOLE 160,000 0 0 MIRANT CORPORATION WRNTS EXP 1/ W EXP 3/11 01/03/2011 60467R126 4.00 35,000.00 SH SOLE 35,000 0 0 MITSUB UFJ FIN COM 6335171 157.00 30,000.00 SH SOLE 30,000 0 0 IGO CO COM 449593102 50.00 25,000.00 SH SOLE 25,000 0 0 MOMENTA PHARM COM 60877T100 374.00 25,000.00 SH SOLE 25,000 0 0 MONACO COACH CORP COM STK COM 60886R103 1.00 50,000.00 SH SOLE 50,000 0 0 MORGAN STANLEY COM 617446448 293.00 10,000.00 SH CALL SOLE 10,000 0 0 MORPHOSYS AG NPV ORDS COM 5531000 227.00 10,000.00 SH SOLE 10,000 0 0 MOTOROLA INC COM STK COM 620076109 351.00 50,000.00 SH SOLE 50,000 0 0 MTN (SAF LISTING) COM 6563206 230.00 15,000.00 SH SOLE 15,000 0 0 NATL DEV BK SKR10 COM 6625258 92.00 50,000.00 SH SOLE 50,000 0 0 NET SERVICOS DE COMUNICACAO S ADR SPONSOR ADR 64109T201 130.00 10,000.00 SH SOLE 10,000 0 0 NETEASE COM INC ADR SPONSOR ADR 64110W102 355.00 10,000.00 SH SOLE 10,000 0 0 NEW YORK REGIONAL RAIL CORP COM STK COM 649768108 0.00 400,000.00 SH SOLE 400,000 0 0 NEWCASTLE INVT CORP NEW COM REIT COM 65105M108 81.00 25,000.00 SH SOLE 25,000 0 0 NEWMONT MINING CORP COM STK COM 651639106 509.00 10,000.00 SH SOLE 10,000 0 0 NEWS CORP CL A COM STK CLASS A 65248E104 432.00 30,000.00 SH SOLE 30,000 0 0 NEXTMART INC COM STK COM 65338F102 1.00 50,000.00 SH SOLE 50,000 0 0 NOMURA HOLDINGS COM 6643108 147.00 20,000.00 SH SOLE 20,000 0 0 NORTH AMER PALLADIUMLTD W EXP WRNT 09/30/2011 656912128 21.00 20,000.00 SH SOLE 20,000 0 0 NORTH AMERICAN ENERGY PARTNERS INC COM 656844107 480.00 50,000.00 SH SOLE 50,000 0 0 NOVAVAX INC COM STK COM 670002104 35.00 15,000.00 SH SOLE 15,000 0 0 NUMEREX CORP (NEW YORK) COM STK COM 67053A102 44.00 10,000.00 SH SOLE 10,000 0 0 NUVASIVE COM 670704105 452.00 10,000.00 SH SOLE 10,000 0 0 NVIDIA CORP COM STK COM 67066G104 261.00 15,000.00 SH SOLE 15,000 0 0 NZX LIMITED COM 6623155 65.00 48,004.00 SH SOLE 48,004 0 0 OCCAM NETWORKS INC DEL COM STK COM 67457P309 98.00 15,000.00 SH SOLE 15,000 0 0 OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 880.00 55,000.00 SH SOLE 55,000 0 0 OCLARO INC COM STK COM 67555N107 480.00 175,000.00 SH SOLE 175,000 0 0 ONE VOICE TECHNOLOGIES INC COM STK COM 682421201 0.00 20,000.00 SH SOLE 20,000 0 0 OPENWAVE SYSTEMS INC COM STK COM 683718308 460.00 200,000.00 SH SOLE 200,000 0 0 OPEXA THERAPEUTICS W EXP INC-CW13 02/13/2013 68372T111 23.00 22,500.00 SH SOLE 22,500 0 0 OPTIONABLE INC COM STK COM 684006109 3.00 70,000.00 SH SOLE 70,000 0 0 ORGANA GARDENS INTL COM STK COM 68618Y106 0.00 25,000.00 SH SOLE 25,000 0 0 OSCIENT PHARMACEUTICALS CORP COM STK COM 68812R303 0.00 15,000.00 SH SOLE 15,000 0 0 PALM INC NEW COM STK COM 696643105 94.00 25,000.00 SH SOLE 25,000 0 0 PARAMOUNT GOLD MINING CORP COM STK COM 69924P102 35.00 25,000.00 SH SOLE 25,000 0 0
9
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ PARTY GAMING (UKM LISTING) COM B0B3SV4 49.00 10,000.00 SH SOLE 10,000 0 0 PEPPERBALL TECHNOLOGIES W EXP INC WRNT 07/18/2010 713372118 0.00 55,465.00 SH SOLE 55,465 0 0 PHILLIPS VAN HEUSEN CORP COM 718592108 574.00 10,000.00 SH SOLE 10,000 0 0 PHOENIX COMPANIES INC COM STK COM 71902E109 24.00 10,000.00 SH SOLE 10,000 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 24.00 60,000.00 SH SOLE 60,000 0 0 PINNACLE ENTERTAINMENT COM 723456109 244.00 25,000.00 SH SOLE 25,000 0 0 PLX TECHNOLOGY INC COM STK COM 693417107 501.00 95,000.00 SH SOLE 95,000 0 0 PMI GROUP INC COM STK COM 69344M101 407.00 75,000.00 SH SOLE 75,000 0 0 PNC FINL SVCS GROUP COM 693475105 573.00 9,600.00 SH SOLE 9,600 0 0 POINTS INTL LTD COM 730843109 18.00 37,500.00 SH SOLE 37,500 0 0 POLYMET MINING CORP COMM STOCK COM 731916102 56.00 25,000.00 SH SOLE 25,000 0 0 POPULAR INC COM STK COM 733174106 73.00 25,000.00 SH SOLE 25,000 0 0 PRIMEDIA INC COM STK COM 74157K846 83.00 24,000.00 SH SOLE 24,000 0 0 PRIMORIS SERVICES CORP W EXP WRNT 10/02/2010 74164F111 79.00 27,500.00 SH SOLE 27,500 0 0 PRO- PHARMACEUTICALS INC COM STK COM 74267T109 37.00 152,500.00 SH SOLE 152,500 0 0 PRS ULT LEH20+YR COM 74347R297 730.00 15,000.00 SH SOLE 15,000 0 0 PULTE GROUP INC COM STK COM 745867101 225.00 20,000.00 SH SOLE 20,000 0 0 PURE BIOSCIENCE COM COM 746218106 122.00 75,000.00 SH SOLE 75,000 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 27.00 500,000.00 SH SOLE 500,000 0 0 QUANTUM FUEL COM SYSTEMS- TECHNOLOGY COM 74765E109 51.00 75,000.00 SH SOLE 75,000 0 0 QUIKSILVER INC COM STK COM 74838C106 118.00 25,000.00 SH SOLE 25,000 0 0 QUSTREAM CORP COM 749131108 1.00 25,000.00 SH SOLE 25,000 0 0 QWEST COMMUNICATIONS INTL INC COM STK COM 749121109 131.00 25,000.00 SH SOLE 25,000 0 0 RADIAN GROUP INC COM STK COM 750236101 782.00 50,000.00 SH SOLE 50,000 0 0 RADWARE LTD COM STK COM M81873107 221.00 10,000.00 SH SOLE 10,000 0 0 RAMBUS INC DEL COM STK COM 750917106 219.00 10,000.00 SH SOLE 10,000 0 0 RAYMOND JAMES FINL INC COM STK COM 754730109 535.00 20,000.00 SH CALL SOLE 20,000 0 0 RAYMOND JAMES FINL INC COM STK COM 754730109 401.00 15,000.00 SH SOLE 15,000 0 0 BANK OF COMMERCE HOLDING COM 06424J103 102.00 21,500.00 SH SOLE 21,500 0 0 REGENT COMMUNICATIONS INC DE COM STK COM 758865109 11.00 80,000.00 SH SOLE 80,000 0 0 REIS INC INC COM STK COM 75936P105 771.00 133,898.00 SH SOLE 133,898 0 0 RESEARCH IN MOTION CAD COM 760975102 1,479.00 20,000.00 SH SOLE 20,000 0 0 RESOLUTE ENERGY WRNT EXP W EXP 9/28/11 09/28/2011 76116A116 62.00 25,000.00 SH SOLE 25,000 0 0 RESPONSE GENETICS INC COM 76123U105 142.00 100,000.00 SH SOLE 100,000 0 0 RETAIL OPPORTUNITY W EXP INVTS WRNT 10/23/2014 76131N119 15.00 15,000.00 SH SOLE 15,000 0 0 RETRACTABLE TECHNOLOGIES INC COM STK COM 76129W105 16.00 10,000.00 SH SOLE 10,000 0 0 REWARDS NETWORK INC COM STK COM 761557206 670.00 50,000.00 SH SOLE 50,000 0 0 REX ENERGY CORP COM 761565100 285.00 25,000.00 SH SOLE 25,000 0 0 RITE AID CORP COM STK COM 767754104 38.00 25,000.00 SH SOLE 25,000 0 0 RODMAN & RENSHAW CAPGROUP INC COM COM 77487R100 295.00 75,000.00 SH SOLE 75,000 0 0 ROUGE INDS INC DEL CL A COM CONV PFD STK 7.25% 779088103 0.00 100,000.00 SH SOLE 100,000 0 0 ROWAN COS INC COM STK COM 779382100 291.00 10,000.00 SH SOLE 10,000 0 0 RTI BIOLOGICS INC COM STK COM 74975N105 217.00 50,000.00 SH SOLE 50,000 0 0 RUDOPLH TECHNOLOGIES INC COM STK COM 781270103 387.00 45,000.00 SH SOLE 45,000 0 0 RUE21 INC COM 781295100 1,221.00 35,210.00 SH SOLE 35,210 0 0 SAFEGUARD SCIENTIFICS INC COM STK COM 786449207 130.00 10,000.00 SH SOLE 10,000 0 0 SAKS INC COM STK COM 79377W108 215.00 25,000.00 SH SOLE 25,000 0 0 SANMINA-SCI CORP COM STK COM 800907206 330.00 20,000.00 SH SOLE 20,000 0 0 SCORES HOLDING CO INC COM STK COM 80917W202 1.00 10,000.00 SH SOLE 10,000 0 0 SEA CONTAINERS LTD CL A COM STK CLASS A 811371707 0.00 75,000.00 SH SOLE 75,000 0 0 SEACOAST BKG CORP FLA COMMON COM 811707306 169.00 100,000.00 SH SOLE 100,000 0 0 SEAGATE TECHNOLOGY COM STK COM G7945J104 274.00 15,000.00 SH SOLE 15,000 0 0 SEANERGY MARITIME HOLDINGS CORP W EXP WRNT 9/24/2011 Y73760111 6.00 61,500.00 SH SOLE 61,500 0 0
10
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ SEARCHMEDIA HOLDINGS CORP W EXP WRNT 11/19/2011 G8005Y114 19.00 18,900.00 SH SOLE 18,900 0 0 SHERRITT INTL CORP COM 823901103 119.00 15,000.00 SH SOLE 15,000 0 0 SHINSEI BANK COM 6730936 60.00 50,000.00 SH SOLE 50,000 0 0 SILICON IMAGE INC COM STK COM 82705T102 151.00 50,000.00 SH SOLE 50,000 0 0 SINGAPORE EXCHANGE COM 6303866 328.00 60,000.00 SH SOLE 60,000 0 0 SIONIX CORP COM STK COM 829400100 20.00 200,000.00 SH SOLE 200,000 0 0 SIRIUS XM RADIO INC COM STK COM 82967N108 218.00 250,000.00 SH SOLE 250,000 0 0 SITESTAR CORP COM STK COM 82980W101 9.00 250,000.00 SH SOLE 250,000 0 0 SIX FLAGS INC COM NEW COM 83001P109 3.00 25,000.00 SH SOLE 25,000 0 0 SLM CORP COM STK COM 78442P106 1,127.00 90,000.00 SH SOLE 90,000 0 0 SLM CORP EDNOTES BOOK ENTRY 7.25% CV CONV PFD PFD 7.25% 78442P700 333.00 500.00 SH SOLE 500 0 0 SMITHS GROUP PLC (UKM LISITNG) COM B1WY233 259.00 15,000.00 SH SOLE 15,000 0 0 SMURFIT-STONE CONTAINER CORP COM 832727101 7.00 25,000.00 SH SOLE 25,000 0 0 SONIC CORP COM STK COM 835451105 442.00 40,000.00 SH SOLE 40,000 0 0 SONUS NETWORKS INC COM STK COM 835916107 171.00 65,000.00 SH SOLE 65,000 0 0 SOURCEFIRE INC COM STK COM 83616T108 230.00 10,000.00 SH SOLE 10,000 0 0 SPARE BACKUP INC COM 84650T103 4.00 20,087.00 SH SOLE 20,087 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1,090.00 10,000.00 SH SOLE 10,000 0 0 SPIRIT AEROSYSTEMS HLDGS INC CL A CLASS A 848574109 234.00 10,000.00 SH SOLE 10,000 0 0 SPRINT NEXTEL CORP COM 852061100 380.00 100,000.00 SH SOLE 100,000 0 0 SRI LANKA TELECOM LIMITED COM 6573926 10.00 30,000.00 SH SOLE 30,000 0 0 SS & C TECHNOLOGIES HOLDINGS INC COM 78467J100 230.00 15,250.00 SH SOLE 15,250 0 0 STANLEY FURNITURE INC COM STK COM 854305208 152.00 15,000.00 SH SOLE 15,000 0 0 STEELCASE INC CL A COM STK CLASS A 858155203 259.00 40,000.00 SH SOLE 40,000 0 0 STILLWATER MNG CO COM STK COM 86074Q102 130.00 10,000.00 SH SOLE 10,000 0 0 STONELEIGH PARTNERS ACQUISITION CORP COM 861923126 0.00 77,500.00 SH SOLE 77,500 0 0 STONEPATH GROUP INC COM STK COM 861837102 0.00 165,000.00 SH SOLE 165,000 0 0 STRATEGIC HOTELS & RESORTS INC COM REIT COM 86272T106 106.00 25,000.00 SH SOLE 25,000 0 0 STREAM GLOBAL SERVICES WRNT W EXP EXP 10/17/11 10/17/2011 86323M118 56.00 88,166.00 SH SOLE 88,166 0 0 SUNOPTA INC COM COM 8676EP108 104.00 25,000.00 SH SOLE 25,000 0 0 SYMETRA FINANCIAL CORP COM 87151Q106 327.00 24,775.00 SH SOLE 24,775 0 0 TAC ACQUISITION CORPWRNT EXP W EXP 05/20/2010 05/20/2010 873392112 0.00 50,000.00 SH SOLE 50,000 0 0 TANFIELD GROUP (UKM LISTING) COM B4QHFM9 5.00 10,000.00 SH SOLE 10,000 0 0 TCF FINANCIAL W EXP EQY WARRANT 11/14/2018 872275128 210.00 45,000.00 SH SOLE 45,000 0 0 TECHNITROL INC COM STK COM 878555101 132.00 25,000.00 SH SOLE 25,000 0 0 TELLABS INC COM STK COM 879664100 530.00 70,000.00 SH SOLE 70,000 0 0 TETRA TECH INC COM STK COM 88162G103 230.00 10,000.00 SH SOLE 10,000 0 0 THEGLOBE.COM INC COM STK COM 88335R101 0.00 100,000.00 SH SOLE 100,000 0 0 THOMAS PROPERTIES GROUP INC COM STK COM 884453101 165.00 50,000.00 SH SOLE 50,000 0 0 THOMAS WEISEL PARTNERS GROUP I COM STK COM 884481102 98.00 25,000.00 SH SOLE 25,000 0 0 THQ INC COM STK COM 872443403 175.00 25,000.00 SH SOLE 25,000 0 0 TIMMONS GOLD COR COM 88741P103 30.00 25,000.00 SH SOLE 25,000 0 0 TITAN INTL INC COM STK COM 88830M102 349.00 40,000.00 SH SOLE 40,000 0 0 TITANIUM ASS WRNT W EXP 06/21/2011 RSTD 06/21/2011 88899G996 0.00 100,000.00 SH SOLE 100,000 0 0 TITANIUM ASSET MGMT RSTD COM 88899G970 150.00 100,000.00 SH SOLE 100,000 0 0 TIVO INC COM STK COM 888706108 428.00 25,000.00 SH SOLE 25,000 0 0 TOLL BROTHERS INC COM STK COM 889478103 208.00 10,000.00 SH SOLE 10,000 0 0 TOWER SEMICONDUCTOR W EXP LTD WRNT 03/15/2011 M87915217 0.00 35,100.00 SH SOLE 35,100 0 0 TOYOTA MTR CORP COM 892331307 402.00 5,000.00 SH SOLE 5,000 0 0 TRANSATLANTIC HLDGS INC COM STK COM 893521104 528.00 10,000.00 SH SOLE 10,000 0 0 TRIUMPH APPAREL CORP COM STK COM 896787108 0.00 100,000.00 SH SOLE 100,000 0 0 TRUDY CORP COM STK COM 897835104 0.00 200,000.00 SH SOLE 200,000 0 0 TWEETER HOME ENTMT GROUP INC COM STK COM 901167106 0.00 25,000.00 SH SOLE 25,000 0 0
11
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP VALUE *1000 SHARES PRN AMT SH/PRN PUT/ CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ TYNER RESOURCES LTD Com COM 902390103 4.00 180,000.00 SH SOLE 180,000 0 0 U S GEOTHERMAL INC COM STK COM 90338S102 27.00 30,000.00 SH SOLE 30,000 0 0 UEX CORP COM COM 902666106 63.00 75,000.00 SH SOLE 75,000 0 0 UIB GROUP LIMITED WRNT COM G91705114 4.00 21,500.00 SH SOLE 21,500 0 0 ULTRASHORT FINANCIALS PROSHA COM 74347R628 288.00 15,000.00 SH SOLE 15,000 0 0 UNDERGROUND SOLUTIONS INC COM STK COM 904323102 6.00 25,000.00 SH SOLE 25,000 0 0 UNITED PARCEL SVC INC COM 911312106 1,288.00 20,000.00 SH CALL SOLE 20,000 0 0 UNIVERSAL DISPLAY CORP COM STK COM 91347P105 118.00 10,000.00 SH SOLE 10,000 0 0 UNIVERSAL EXPRESS INC COM STK COM 91349P103 2.00 775,000.00 SH SOLE 775,000 0 0 UQM TECHNOLOGIES INC COM STK COM 903213106 211.00 50,000.00 SH SOLE 50,000 0 0 URALS ENERGY PUBLIC LTD (UKM LISTING) COM B0FHR59 3.00 25,000.00 SH SOLE 25,000 0 0 URANIUM RESOURCE COM 916901507 354.00 498,509.00 SH SOLE 498,509 0 0 US AUTO PARTS NETWK INC COM STK COM 90343C100 188.00 25,000.00 SH SOLE 25,000 0 0 US GLOBAL NANOSPACE INC COM STK COM 91729J107 0.00 275,000.00 SH SOLE 275,000 0 0 VAALDIAM MINING INC COM COM 918471103 8.00 20,000.00 SH SOLE 20,000 0 0 VALIDUS HOLDINGS LTD COM G9319H102 275.00 10,000.00 SH SOLE 10,000 0 0 VANTAGE DRILLING CO COM G93205113 192.00 130,000.00 SH SOLE 130,000 0 0 VANTAGE DRILLING CO WRNT EXP W EXP 05/24/2011 05/24/2011 G93205121 2.00 59,500.00 SH SOLE 59,500 0 0 VARIAN SEMICONDUCTOR EQUIPTME COM STK COM 922207105 497.00 15,000.00 SH SOLE 15,000 0 0 VELOCITY EXPRESS CORP COM STK COM 92257T707 2.00 37,833.00 SH SOLE 37,833 0 0 VIRAGEN INC COM STK COM 927638403 0.00 50,000.00 SH SOLE 50,000 0 0 VIRGIN MEDIE W EXP SR-A WRNT 01/13/2011 92769L119 1.00 17,500.00 SH SOLE 17,500 0 0 VIRGIN METALS INC COM 927692103 1.00 25,000.00 SH SOLE 25,000 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 150.00 160,850.00 SH SOLE 160,850 0 0 VITESSE SEMICONDUCTOR CORP COM STK COM 928497106 162.00 400,000.00 SH SOLE 400,000 0 0 VOLTAIRE LTD COM M97613109 263.00 50,000.00 SH SOLE 50,000 0 0 WABASH NATL CORP COM STK COM 929566107 351.00 50,000.00 SH SOLE 50,000 0 0 WALMART STORES INC COM 931142103 1,112.00 20,000.00 SH CALL SOLE 20,000 0 0 WAL-MART STORES INC COM STK COM 931142103 1,390.00 25,000.00 SH SOLE 25,000 0 0 WALT DISNEY COMPANY (HOLDING COMPANY) COM 254687106 349.00 10,010.00 SH SOLE 10,010 0 0 WALTR INV MGT CP COM 93317W102 160.00 10,000.00 SH SOLE 10,000 0 0 WARDERLY INTL HLDGS LTD (HOK LISTING) COM 6572224 0.00 500,000.00 SH SOLE 500,000 0 0 WEIRTON STEEL CORP COM STK COM 948774104 1.00 300,000.00 SH SOLE 300,000 0 0 WENDYS/ARBYS GROUP INC CL A CLASS A 950587105 250.00 50,000.00 SH SOLE 50,000 0 0 WEST COAST BANCORP RSTD COM 952145100 3,225.00 1,250,000.00 SH SOLE 1,250,000 0 0 WESTERN UNION CO COM 959802109 424.00 25,000.00 SH SOLE 25,000 0 0 WESTWAY GROUP W EXP INC WRNT 05/24/2011 96169B118 35.00 150,000.00 SH SOLE 150,000 0 0 WORLD HEART COM 980905400 629.00 176,600.00 SH SOLE 176,600 0 0 WRIGHT MEDICAL GROUP INC COM STK COM 98235T107 267.00 15,000.00 SH SOLE 15,000 0 0 XECHEM INTERNATIONAL INC COM STK COM 983895301 0.00 350,500.00 SH SOLE 350,500 0 0 XINYUAN RL EST COM 98417P105 40.00 10,000.00 SH SOLE 10,000 0 0 YRC WORLDWIDE INC COM COM 984249102 108.00 200,000.00 SH SOLE 200,000 0 0 ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SH SOLE 25,000 0 0 ZAP COM STK COM 98912M201 13.00 42,500.00 SH SOLE 42,500 0 0 ZVUE CORP WRNT W EXP 08/14/2011 08/14/2011 988801114 0.00 75,000.00 SH SOLE 75,000 0 0
12 -----END PRIVACY-ENHANCED MESSAGE-----