-----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, Ap8VNk7tOKPuzM7cHJHrohOWSCe6X3DD8qsg4VuQY55+qVpffdIqY87S/uFZ3p0B rDVtXQv9OXSytyAjAl2tGQ== 0001019056-10-001278.txt : 20101115 0001019056-10-001278.hdr.sgml : 20101115 20101115171829 ACCESSION NUMBER: 0001019056-10-001278 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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: 101193999 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_13f093010.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: September 30, 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 November 15, 2010 - --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 09/30/2010 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 427 ----------- Form 13F Information Table Value Total $129,328 ----------- (thousands) List of Other Included Managers: None 2
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ 21ST CENTY TECHNOLOGIES INC COM STK COM 90130C305 0.00 13,334.00 SH SOLE 13,334 0 0 APPLE INC. COM 037833100 2,838.00 10,000.00 SH PUT SOLE 10,000 0 0 ABBOTT LABORATORIES COM 002824100 261.00 5,000.00 SH SOLE 5,000 0 0 ABINGTON CMNTY BANCORP INC COM STK COM 00350L109 264.00 25,000.00 SH SOLE 25,000 0 0 ABRAXAS PETE CORP COM STK COM 003830106 71.00 25,000.00 SH SOLE 25,000 0 0 ACER INCORPORATED TWD10 ORDS COM 6005850 64.00 25,275.00 SH SOLE 25,275 0 0 ACUSPHERE INC COM STK COM 00511R870 4.00 55,000.00 SH SOLE 55,000 0 0 ADELPHIA RECOVERY SERVICES COM 00685R409 4.00 249,615.00 SH SOLE 249,615 0 0 ADELQ 10.25 15 JUN 2011 BOND 10.25% 6/15/2011 006ESCBJ5 3.00 250,000.00 PRIN SOLE 250,000 0 0 ADRENALINA COM STK COM 00725L107 18.00 113,982.00 SH SOLE 113,982 0 0 ADVANCED PLT PHARMACEUTICALS I COM STK COM 98148H109 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 AGRICULTURAL BANK OF CHINA COM B60LZR6 52.00 100,000.00 SH SOLE 100,000 0 0 AGRIUM CAD NPV COM COM 2015530 375.00 5,000.00 SH SOLE 5,000 0 0 AIRASIA BHD COM B03J9L7 347.00 475,000.00 SH SOLE 475,000 0 0 ALLOS THERAPEUTICS INC COM STK COM 019777101 118.00 25,000.00 SH SOLE 25,000 0 0 ALTER NRG CORP COM COM 02145W101 84.00 50,000.00 SH SOLE 50,000 0 0 AMEDIA NETWORKS INC COM 023434103 0.00 250,000.00 SH SOLE 250,000 0 0 AMERICAN COML LINES INC COM STK COM 025195405 279.00 10,000.00 SH SOLE 10,000 0 0 AMERICAN HEALTHCHOISINC COM 025929209 4.00 175,000.00 SH SOLE 175,000 0 0 AMERICANA DISTBN COM 030556104 0.00 600,000.00 SH SOLE 600,000 0 0
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ AMR CORP COM STK COM 001765106 376.00 60,000.00 SH SOLE 60,000 0 0 ANADIGICS INC COM STK COM 032515108 244.00 40,000.00 SH SOLE 40,000 0 0 ANTARES PHARMA INC COM STK COM 036642106 36.00 25,000.00 SH SOLE 25,000 0 0 ANTRIM ENERGY COM 037243102 49.00 50,000.00 SH SOLE 50,000 0 0 APPLIED NEUROSOLUTIONS INC COM 03823Y203 3.00 98,668.00 SH SOLE 98,668 0 0 ARCHER DANIELS CV 6 1/4% PFD UNIT 6/1/2011 039483201 207.00 5,000.00 SH SOLE 5,000 0 0 ATLAS ACQUISITION WRNT W EXP 01/23/2012 049162118 3.00 25,000.00 SH SOLE 25,000 0 0 ATLAS ESTATES LD (UKM LISTING) COM B0WDBP8 69.00 52,961.00 SH SOLE 52,961 0 0 ATLAS PIPELINE PARTNERS L P COM STK COM 049392103 175.00 10,000.00 SH SOLE 10,000 0 0 ATRICURE INCCOM COM 04963C209 118.00 15,000.00 SH SOLE 15,000 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 236.00 7,500.00 SH SOLE 7,500 0 0 AVATAR HOLDINGS INC COM STK COM 053494100 525.00 27,500.00 SH SOLE 27,500 0 0 AVESIS INCORPORATED COM 053650107 35.00 140,000.00 SH SOLE 140,000 0 0 AVI BIOPHARMA INC WRNT W EXP EXP 8/25/2014 08/25/2014 002346146 15.00 35,000.00 SH SOLE 35,000 0 0 AXCELIS TECHNOLOGIES INC COM STK COM 054540109 116.00 60,000.00 SH SOLE 60,000 0 0 BANCO SANTANDER BRASIL S A ADR SPONSOR ADR 05967A107 211.00 15,300.00 SH SOLE 15,300 0 0 BANK OF AMERICA CORP COM STK COM 060505104 35,957.00 2,744,791.00 SH SOLE 2,744,791 0 0 BANK OF AMERICA CORP WARRANT W EXP 10/28/2018 060505153 298.00 125,000.00 SH SOLE 125,000 0 0 BANK OF AMERICA CORP W EXP WT EXP 1/16/19 1/16/2019 060505146 648.00 100,000.00 SH SOLE 100,000 0 0 BANK RAKYAT INDONESIA COM 6709099 56.00 50,000.00 SH SOLE 50,000 0 0 BARZEL INDS INC WRNT W EXP 03/07/2011 069744118 0.00 118,173.00 SH SOLE 118,173 0 0 BBV VIETNAM S.E.A. ACQUISITION W EXP 02/08/2012 Y0764A122 0.00 34,500.00 SH SOLE 34,500 0 0 BEAZER HOMES USA INC COM STK COM 07556Q105 103.00 25,000.00 SH SOLE 25,000 0 0 BENIHANA INC CL A COM STK CLASS A 082047200 151.00 20,000.00 SH SOLE 20,000 0 0 BERKSHIRE HILLS BANCORP INC COM STK COM 084680107 427.00 22,500.00 SH SOLE 22,500 0 0 BIOPURE CORP CL A WT EX 12/20/10 W EXP 12/20/2010 09065H162 0.00 24,000.00 SH SOLE 24,000 0 0 BIOPURE CORP WT W EXP CL A EXP 12/31/2011 12/31/2011 09065H188 0.00 135,000.00 SH SOLE 135,000 0 0
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ BLACKSTONE GROUP LP COM 09253U108 635.00 50,000.00 SH SOLE 50,000 0 0 BLUEFLY INC COM STK COM 096227301 69.00 30,000.00 SH SOLE 30,000 0 0 BM&F BOVESPA SA COM B2RHNV9 920.00 110,000.00 SH SOLE 110,000 0 0 BOISE INC WRNT 06/18/2011 W EXP 06/18/2011 09746Y113 120.00 284,900.00 SH SOLE 284,900 0 0 BOLSA A (MEX LISTING) COM B39VVF6 42.00 25,000.00 SH SOLE 25,000 0 0 BOSTON SCIENTIFIC CORP COM STK COM 101137107 307.00 50,000.00 SH SOLE 50,000 0 0 BP AMOCO PLC ADR COM 055622104 412.00 10,000.00 SH SOLE 10,000 0 0 BRASIL BROKERS PARTICIPACOES COM B28XFX2 222.00 50,000.00 SH SOLE 50,000 0 0 BROADPOINT GLEACHER SECS GROUP COM STK COM 377341102 201.00 125,000.00 SH SOLE 125,000 0 0 BROCADE COMMUNICATIONS SYSTEM INC COM COM 111621306 381.00 65,000.00 SH SOLE 65,000 0 0 BURSA MALAYSIA BHD COM B06FV38 66.00 25,000.00 SH SOLE 25,000 0 0 BYD COMPANY LIMITED COM 6536651 281.00 35,000.00 SH SOLE 35,000 0 0 CALIPER LIFE SCIENCES WRNT W EXP 08/10/2011 130872112 2.00 24,847.00 SH SOLE 24,847 0 0 CAMECO CORP COM COM 13321L108 277.00 10,000.00 SH SOLE 10,000 0 0 CAMECO CORPORATION COM 13321L108 347.00 12,500.00 SH CALL SOLE 12,500 0 0 CANACCORD CAP INC COM COM 134801109 404.00 40,000.00 SH SOLE 40,000 0 0 CAPE BANCORP INC COM COM 139209100 76.00 10,000.00 SH SOLE 10,000 0 0 CAPITAL TRUST INC CL A REIT CLASS A 14052H506 57.00 35,000.00 SH SOLE 35,000 0 0 CAPSTONE TURBINE CORP COM STK COM 14067D102 58.00 75,000.00 SH SOLE 75,000 0 0 CARGO CONNECTION LOGISTICS HL COM STK COM 141794107 0.00 200,000.00 SH SOLE 200,000 0 0 CARIBOU COFFEE INC COM STK COM 142042209 286.00 27,500.00 SH SOLE 27,500 0 0 CENTERLINE HLDG CO COM STK COM 15188T108 23.00 205,000.00 SH SOLE 205,000 0 0 CENTRAL WIRELESS INC COM STK COM 15607P109 0.00 660,000.00 SH SOLE 660,000 0 0 CEYLON TOBACCO LKR ORDS COM 6186904 32.00 10,000.00 SH SOLE 10,000 0 0 CGA MINING LTD COM STK COM Q22628103 66.00 25,000.00 SH SOLE 25,000 0 0 CHEM RX CORPORATION W EXP WRNT EXP 12/31/2010 12/31/2010 163536113 0.00 306,075.00 SH SOLE 306,075 0 0 CHEMTURA CORP COM 163893100 11.00 25,000.00 SH SOLE 25,000 0 0 CHESAPEAKE MIDSTREAM PARTNER COM 16524K108 759.00 30,000.00 SH SOLE 30,000 0 0 CHEVRON CORP COM 166764100 405.00 5,000.00 SH SOLE 5,000 0 0 CHIMERA INVESTMENT CORPORATION COM 16934Q109 119.00 30,000.00 SH PUT SOLE 30,000 0 0 CHINA CONSTRUCTION BANK CORPORATION COM B0LMTQ3 66.00 75,000.00 SH SOLE 75,000 0 0 CHINA CORD BLOOD CORP W EXP WRNT 12/13/2010 G21107118 5.00 35,000.00 SH SOLE 35,000 0 0 CHINA DISCOVERY ACQUISITION CORP COM G2112B117 43.00 85,000.00 SH SOLE 85,000 0 0
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ CHINA HEALTH CARE CORP COM STK RSTD COM 16944N997 0.00 240,000.00 SH SOLE 240,000 0 0 CHINA HEALTHCARE AQUISITION W EXP WRNT 4/18/2012 16939Q112 0.00 29,300.00 SH SOLE 29,300 0 0 CHINA HYDROELECTRIC WARRANT W EXP EXP 11/10/2011 G2112E145 7.00 14,000.00 SH SOLE 14,000 0 0 CHINA MOBILE MEDIA TECHNOLOGY COM COM 16950C109 4.00 74,000.00 SH SOLE 74,000 0 0 CHINA TOPREACH INC COM G21117117 1.00 25,000.00 SH SOLE 25,000 0 0 CIENA CORP COM STK COM 171779309 467.00 30,000.00 SH SOLE 30,000 0 0 CIT GROUP INC COM STK COM 125581801 408.00 10,000.00 SH SOLE 10,000 0 0 CITIGROUP CORP COM 172967101 293.00 75,000.00 SH CALL SOLE 75,000 0 0 CITIGROUP INC COM STK COM 172967101 880.00 225,000.00 SH SOLE 225,000 0 0 CKX INC COM STK COM 12562M106 98.00 20,000.00 SH SOLE 20,000 0 0 CLARK HOLDING WRNT W EXP WRNT 02/15/2011 18145M117 0.00 243,600.00 SH SOLE 243,600 0 0 CLICKSOFTWARE TECHNOLOGIES LTD COM STK COM M25082104 98.00 15,000.00 SH SOLE 15,000 0 0 CNC DEVELOPMENT LTD WRNT W EXP EXP 9/04/2011 09/04/2011 458396124 0.00 12,500.00 SH SOLE 12,500 0 0 CNO FINANCIAL GROUP INC COM STK COM 12621E103 139.00 25,000.00 SH SOLE 25,000 0 0 COCA COLA CO COM 191216100 293.00 5,000.00 SH SOLE 5,000 0 0 COGDELL SPENCER INC COM COM 19238U107 158.00 25,000.00 SH SOLE 25,000 0 0 COMMERCIAL BANK OF CEYLON LIMITED COM 6161321 114.00 45,000.00 SH SOLE 45,000 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 29.00 145,000.00 SH SOLE 145,000 0 0 COMPTON PETRO CAD COM COM 204940100 26.00 50,000.00 SH SOLE 50,000 0 0 CONSOL ENERGY INC COM 20854P109 684.00 18,504.58 SH SOLE 18,505 0 0 CONTINUCARE CORP COM STK COM 212172100 168.00 40,000.00 SH SOLE 40,000 0 0 CONVERTED ORGANICS INC - W EXP CW12 02/12/12 02/12/2012 21254S123 3.00 50,000.00 SH SOLE 50,000 0 0 CONVERTED ORGANICS INC W EXP WRNT 12/31/2014 21254S131 1.00 18,000.00 SH SOLE 18,000 0 0
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ COOLBRANDS INTL INC COM STK COM 21639P307 341.00 100,000.00 SH SOLE 100,000 0 0 CORESITE REALTY CORP COM 21870Q105 164.00 10,000.00 SH SOLE 10,000 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0.00 200,000.00 SH SOLE 200,000 0 0 COTT CORP CAD COM COM 22163N106 314.00 40,050.00 SH SOLE 40,050 0 0 COWEN GROUP INC COM STK COM 223622101 214.00 65,000.00 SH SOLE 65,000 0 0 CROCS INC COM STK COM 227046109 325.00 25,000.00 SH SOLE 25,000 0 0 CULLEN AGRIC HLDG CORP W EXP WRNT 10/21/2013 229894118 1.00 125,600.00 SH SOLE 125,600 0 0 CURIS INC COM STK COM 231269101 103.00 75,000.00 SH SOLE 75,000 0 0 CYTORI THERAPEUTICS W EXP WRNT EXP 2/28/2012 02/28/2012 232993022 0.00 43,555.00 SH SOLE 43,555 0 0 Dacha Capital Inc Ordinary Shares (CANAD COM 233407105 22.00 50,000.00 SH SOLE 50,000 0 0 DALR 8.3 15DEC2029 144A BOND 8.30% 12/15/2029 24799AKC5 6.00 367,000.00 PRIN SOLE 367,000 0 0 DAYLIGHT ENERGY LTD COM COM 239590201 144.00 15,000.00 SH SOLE 15,000 0 0 DELTA AIRLINES INC COM 247361702 407.00 35,000.00 SH SOLE 35,000 0 0 DENNYS CORP COM STK COM 24869P104 1,866.00 600,000.00 SH SOLE 600,000 0 0 DEXCOM INC COM STK COM 252131107 198.00 15,000.00 SH SOLE 15,000 0 0 DIALOG AXIATA LIMITED COM 999956HH1 6.00 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 DIST SRI LKR1 COM 6271435 48.00 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 DOUBLE HULL TANKERS INC COM STK COM Y2065G105 103.00 25,000.00 SH SOLE 25,000 0 0 DRYSHIPS INC COM STK COM Y2109Q101 120.00 25,000.00 SH SOLE 25,000 0 0 DU PONT E I DE NEMOURS & CO. COM COM 263534109 892.00 20,000.00 SH SOLE 20,000 0 0 DYNAVOX INC-CLASS A CLASS A 26817F104 122.00 15,000.00 SH SOLE 15,000 0 0 EASTMAN KODAK CO COM STK COM 277461109 210.00 50,000.00 SH SOLE 50,000 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 75.00 75,000.00 SH SOLE 75,000 0 0 ELAN CORP PLC ADR SPONSOR ADR 284131208 451.00 10,000.00 SH SOLE 10,000 0 0 ELECTRONIC GAME CARD INC COM STK COM 285716106 0.00 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
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ ENERGYSOLUTIONS INC COM STK COM 292756202 252.00 50,000.00 SH SOLE 50,000 0 0 ENSTAR GROUP LIMITED COM STK COM G3075P101 1,162.00 16,000.00 SH SOLE 16,000 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 2.00 25,000.00 SH SOLE 25,000 0 0 ENTREMED INC COM STK COM 29382F202 55.00 14,545.00 SH SOLE 14,545 0 0 ENTROPIC COMMUNICATIONS INC COM COM 29384R105 1,178.00 122,700.00 SH SOLE 122,700 0 0 ESSEX RENT CORP W EXP WRNT 03/04/2011 297187114 6.00 25,000.00 SH SOLE 25,000 0 0 EUROGAS INC COM STK COM 298734104 44.00 260,000.00 SH SOLE 260,000 0 0 EXIDE TECHNOLOGIES W EXP WRNT 05/05/2011 302051123 0.00 12,000.00 SH SOLE 12,000 0 0 EZCHIP SEMICONDUCTOR LTD COM M4146Y108 505.00 20,000.00 SH SOLE 20,000 0 0 EZCORP INC COM STK COM 302301106 301.00 15,000.00 SH SOLE 15,000 0 0 FELCOR LODGING TRUST INC COM 31430F101 345.00 75,000.00 SH SOLE 75,000 0 0 FINANCIAL TECHNOLOGIES (INDIA) LD COM B287HL6 73.00 20,000.00 SH SOLE 20,000 0 0 FINISH LINE INC CL A COM STK CLASS A 317923100 209.00 15,000.00 SH SOLE 15,000 0 0 FORD MOTOR WRNT W EXP EXP 01/01/2013 01/01/2013 345370134 236.00 55,000.00 SH SOLE 55,000 0 0 FORMATION METALS INC COM COM 34637V101 21.00 12,857.00 SH SOLE 12,857 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 539.00 150,000.00 SH SOLE 150,000 0 0 FORTRESS PAPER LTD CL A CLASS A 34958R101 1,524.00 40,000.00 SH SOLE 40,000 0 0 FOX CHASE BANCORP INC COM STK COM 35137T108 95.00 10,000.00 SH SOLE 10,000 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 80.00 100,000.00 SH SOLE 100,000 0 0 FUNTALK CHINA HOLDINGS W EXP LIMITED WRT 12/13/2013 G36993122 235.00 76,500.00 SH SOLE 76,500 0 0 GABRIEL RSCS COM 361970106 145.00 25,000.00 SH SOLE 25,000 0 0 GASFRAC ENERGY SERVICES INC COM 367257201 150.00 25,000.00 SH SOLE 25,000 0 0 GEELY AUTO COM 6531827 50.00 100,000.00 SH SOLE 100,000 0 0 GENERAL ELECTRIC CO COM 369604103 488.00 30,000.00 SH CALL SOLE 30,000 0 0 GENERAL MILSS INC COM 370334104 731.00 20,000.00 SH CALL SOLE 20,000 0 0
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ GENERAL MOTORS CORP 6.25% 15 JUL 2033 DEB SR CV C 33 370442717 198.00 25,000.00 PRIN SOLE 25,000 0 0 GENERAL MOTORS CORP NOTES 8.375% Jul 15 2033 NOTE 8.375% 07/15/2033 370442BT1 338.00 1,000,000.00 PRIN SOLE 1,000,000 0 0 GENERAL MTRS CORP SENIOR DEBEN D SENIOR DEBEN D 370442691 196.00 25,000.00 PRIN 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 5.00 475,000.00 SH SOLE 475,000 0 0 GENPACT LTD COM STK COM G3922B107 177.00 10,000.00 SH SOLE 10,000 0 0 GENZYME CORP COM STK COM 372917104 708.00 10,000.00 SH SOLE 10,000 0 0 GERON CORP COM STK COM 374163103 55.00 10,000.00 SH SOLE 10,000 0 0 GEROVA FINANCIAL GROUP W EXP LTD WRNT 01/16/2014 G38490135 16.00 105,000.00 SH SOLE 105,000 0 0 GLG PARTNERS INC W EXP WRNT 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 10.75% BOND 10.75% 12/15/2014 37943SAB6 52.00 50,000.00 PRIN SOLE 50,000 0 0 GLOBAL POWER EQUIPMENT GROUP INC COM 37941P306 1,302.00 85,409.00 SH SOLE 85,409 0 0 GLOBALNET CORP COM 379399108 0.00 385,000.00 SH SOLE 385,000 0 0
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- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ GLOBALSTAR INC COM 378973408 44.00 25,000.00 SH SOLE 25,000 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 723.00 5,000.00 SH SOLE 5,000 0 0 GPS INDUSTRIES INC COM STK COM 383870102 0.00 150,000.00 SH SOLE 150,000 0 0 GREEKNET INC COM STK COM 36846Q104 198.00 100,000.00 SH SOLE 100,000 0 0 GREEN DOT CORP-CLASS A CLASS A 39304D102 848.00 17,500.00 SH SOLE 17,500 0 0 GROWERS DIRECT COFFEE CO STK COM 399849108 0.00 25,000.00 SH SOLE 25,000 0 0 GUANGSHEN RAILWAY CNY1 'H' COM 6388700 28.00 75,000.00 SH SOLE 75,000 0 0 HARD TO TREAT DISEASES INC COM STK COM 41164A103 0.00 500,000.00 SH SOLE 500,000 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 59.00 65,000.00 SH SOLE 65,000 0 0 HARTMARX CORP COM STK COM 417119104 0.00 76,200.00 SH SOLE 76,200 0 0 HATTON NATL BK COM 6406970 156.00 45,000.00 SH SOLE 45,000 0 0 HAWAIIN HOLDINGS INC COM 419879101 344.00 57,500.00 SH SOLE 57,500 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 5.00 15,000.00 SH SOLE 15,000 0 0 Healthy Fast Food Inc. W EXP Class A Warrant 03/19/2013 42223Y116 1.00 25,000.00 SH SOLE 25,000 0 0 Healthy Fast Food Inc. W EXP Class B Warrant 03/19/2013 42223Y124 0.00 50,000.00 SH SOLE 50,000 0 0 HECKMANN CORP COM STK COM 422680108 371.00 95,000.00 SH SOLE 95,000 0 0 HECKMANN CORP WRNT W EXP EXP 11/09/2011 11/09/2011 422680116 24.00 125,000.00 SH SOLE 125,000 0 0 HECLA MNG 3 WRNT W EXP 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 107.00 15,000.00 SH SOLE 15,000 0 0 HERITAGE OAKS BANCORP COM STK COM 42724R107 991.00 300,192.00 SH SOLE 300,192 0 0 HERLEY INDS INC DEL COM STK COM 427398102 165.00 10,000.00 SH SOLE 10,000 0 0 HERSHA HOSPITALITY TR CL A COM REIT CLASS A 427825104 155.00 30,000.00 SH SOLE 30,000 0 0 HEWLETT PACKARD CO COM 428236103 841.00 20,000.00 SH CALL SOLE 20,000 0 0 HIENERGY TECHNOLOGIES INC COM STK COM 42952V101 0.00 25,000.00 SH SOLE 25,000 0 0
10
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ HIGHER ONE HLDGS INC COM STK COM 42983D104 330.00 20,000.00 SH SOLE 20,000 0 0 HK EXCHANGES & CLEARING ORD COM 6267359 689.00 35,000.00 SH SOLE 35,000 0 0 HONEYWELL INTL INC DEL COM 438516106 220.00 5,000.00 SH SOLE 5,000 0 0 HUDSON HLDG CORP COM STK COM 443793104 31.00 297,220.00 SH SOLE 297,220 0 0 HYDRON TECH INC COM 449020205 0.00 100,000.00 SH SOLE 100,000 0 0 HYPERCOM CORP COM STK COM 44913M105 488.00 75,000.00 SH SOLE 75,000 0 0 IBX GROUP INC COM STK COM 449229103 0.00 200,000.00 SH SOLE 200,000 0 0 IGENE BIOTECHNOLOGY INC COM STK COM 451695100 1.00 100,000.00 SH SOLE 100,000 0 0 IKARMA COM 45172N106 0.00 25,000.00 SH SOLE 25,000 0 0 IMAGINATION TECHNOLOGIES GROUP 10P ORDS COM 0930312 150.00 25,000.00 SH SOLE 25,000 0 0 IMERGENT INC COM STK COM 45247Q100 124.00 25,000.00 SH SOLE 25,000 0 0 INCA PAC RES INC COM 45324A200 4.00 15,000.00 SH SOLE 15,000 0 0 IND & COMM BK OFCHINA - H COM B1G1QD8 223.00 300,000.00 SH SOLE 300,000 0 0 INDIA GLOBALIZATION CAP W EXP CW11 EXP 3/3/11 03/03/2011 45408X118 2.00 157,798.00 SH SOLE 157,798 0 0 INFORMATION SERVICES GROUP INC COM 45675Y112 1.00 236,121.00 SH SOLE 236,121 0 0 INFUSYSTEMS HOLDINGSWRNT W EXP EXP 04/11/2011 04/11/2011 45685K110 3.00 145,000.00 SH SOLE 145,000 0 0 INSULET CORP COM 45784P101 354.00 25,000.00 SH SOLE 25,000 0 0 INTEGRAL VISION INC COM STK COM 45811H106 86.00 1,069,107.00 SH SOLE 1,069,107 0 0 INTERMAP TECH COM RSTD COM 458977204 61.00 90,000.00 SH SOLE 90,000 0 0 INTERNATIONAL COAL GROUP INC COM STK COM 45928H106 825.00 155,000.00 SH SOLE 155,000 0 0 INTERNET CAP GROUP INC NEW COM 46059C205 331.00 30,000.00 SH SOLE 30,000 0 0 IPATH S&P 500 VIX SHORT-TERM IPATH S&P FUTURES ETN ST ETN 06740C527 346.00 20,000.00 SH SOLE 20,000 0 0 IRIDIUM COMMUNICATINOS INC COM 46269C110 53.00 20,000.00 SH SOLE 20,000 0 0 ISHARES INC MSCI BRAZIL FREE IND MSCI BRAZI 464286400 385.00 5,000.00 SH SOLE 5,000 0 0 ISONICS CORP COM STK COM 464895309 0.00 25,000.00 SH SOLE 25,000 0 0 IVANHOE MINES LIMITED COM 46579N103 936.00 40,000.00 SH SOLE 40,000 0 0 IVANHOE MINES LIMITED COM 46579N103 468.00 20,000.00 SH CALL SOLE 20,000 0 0 JAMBA INC COM COM 47023A101 142.00 65,000.00 SH SOLE 65,000 0 0 JMP GROUP INC COM STK COM 46629U107 336.00 55,000.00 SH SOLE 55,000 0 0 JOHN KEELLS LKR10 COM 6475538 221.00 75,000.00 SH SOLE 75,000 0 0 JOHNSON & JOHNSON COM 478160104 310.00 5,000.00 SH SOLE 5,000 0 0 JP MORGAN CHASE WRNT W EXP EXP 10/28/2018 10/28/2018 46634E114 117.00 10,000.00 SH SOLE 10,000 0 0 KENNEDY-WILSON HLDGS W EXP INC WRNT 11/14/2013 489398115 28.00 18,778.00 SH SOLE 18,778 0 0 KIMBERLY CLARK CORP COM 494368103 325.00 5,000.00 SH SOLE 5,000 0 0 KIRBY CORP COM STK COM 497266106 200.00 5,000.00 SH SOLE 5,000 0 0 KIT DIGITAL INC COM STK COM 482470200 120.00 10,000.00 SH SOLE 10,000 0 0 LA CORTEZ ENTPS COM 50255M108 16.00 10,000.00 SH SOLE 10,000 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 408.00 400,000.00 SH SOLE 400,000 0 0
11
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ LEAPFROG ENTERPRISES INC CL A COM STK CLASS A 52186N106 247.00 45,000.00 SH SOLE 45,000 0 0 LENNAR CORP CL A COM STK COM 526057104 385.00 25,000.00 SH SOLE 25,000 0 0 LEVEL 3 COMMUNICATIONS INC COM STK COM 52729N100 70.00 75,000.00 SH SOLE 75,000 0 0 LIBERTY ACQUISITION HOLDINGS W EXP WRNT 12/12/2013 53015Y115 20.00 12,500.00 SH SOLE 12,500 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0.00 575,000.00 SH SOLE 575,000 0 0 LINCOLN NATIONAL CORP W EXP WRNT EXP 7/10/19 7/10/2019 534187117 411.00 25,000.00 SH SOLE 25,000 0 0 LIVEPERSON INC COM STK COM 538146101 420.00 50,000.00 SH SOLE 50,000 0 0 LNG ENERGY LTD COM COM 50212K104 6.00 25,000.00 SH SOLE 25,000 0 0 LUBYS INC COM STK COM 549282101 290.00 60,100.00 SH SOLE 60,100 0 0 LyondellBasell Industries NV Ordinary Sh COM N53745100 598.00 25,000.00 SH SOLE 25,000 0 0 MAKO SURGICAL CORP COM STK COM 560879108 134.00 14,000.00 SH SOLE 14,000 0 0 MATTEL INC COM STK COM 577081102 821.00 35,000.00 SH SOLE 35,000 0 0 MCMORAN EXPLORATION CO COM STK COM 582411104 430.00 25,000.00 SH SOLE 25,000 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 METLIFE INC COM 59156R108 415.00 10,800.00 SH SOLE 10,800 0 0 MF GLOBAL HOLDINGS LTD COM STK COM 55277J108 421.00 58,500.00 SH SOLE 58,500 0 0 MGM ENERGY CORP COM COM 59318A100 5.00 25,000.00 SH SOLE 25,000 0 0 MGM RESORT INTL COM STK COM 552953101 451.00 40,000.00 SH SOLE 40,000 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 267.00 92,000.00 SH SOLE 92,000 0 0 MINDSPEED TECHNOLOGIES INC COM STK COM 602682205 78.00 10,000.00 SH SOLE 10,000 0 0 MIPS TECHNOLOGIES INC CL A COM STK CLASS A 604567107 244.00 25,000.00 SH SOLE 25,000 0 0 MIRANT CORPORATION WRNTS W EXP EXP 1/ 3/11 01/03/2011 60467R126 1.00 35,000.00 SH SOLE 35,000 0 0
12
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ MONACO COACH CORP COM STK COM 60886R103 0.00 50,000.00 SH SOLE 50,000 0 0 MORGAN STANLEY COM 617446448 247.00 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 MOSAIC CO BROOKLYN COM STK COM 61945A107 588.00 10,000.00 SH SOLE 10,000 0 0 MOTOROLA INC COM STK COM 620076109 427.00 50,000.00 SH SOLE 50,000 0 0 MTN (SAF LISTING) COM 6563206 271.00 15,000.00 SH SOLE 15,000 0 0 NATL DEV BK SKR10 COM 6625258 169.00 50,000.00 SH SOLE 50,000 0 0 NEO MATERIAL TEC COM 64045Y108 72.00 15,000.00 SH SOLE 15,000 0 0 NETFLIX INC COM 64110L106 1,622.00 10,000.00 SH PUT SOLE 10,000 0 0 NETSCOUT SYS INC COM STK COM 64115T104 308.00 15,000.00 SH SOLE 15,000 0 0 NEW YORK REGIONAL RAIL CORP COM STK COM 649768108 0.00 400,000.00 SH SOLE 400,000 0 0 NEWS CORP CL A COM STK CLASS A 65248E104 392.00 30,000.00 SH SOLE 30,000 0 0 NEXTMART INC COM STK COM 65338F102 0.00 50,000.00 SH SOLE 50,000 0 0 NII HLDGS INC COM STK COM 62913F201 617.00 15,000.00 SH SOLE 15,000 0 0 NORTH AMER PALLADIUMLTD W EXP WRNT 09/30/2011 656912128 20.00 20,000.00 SH SOLE 20,000 0 0 NORTH AMERICAN ENERGY PARTNERS INC COM 656844107 204.00 25,000.00 SH SOLE 25,000 0 0 NPS PHARMACEUTICALS INC COM STK COM 62936P103 280.00 41,000.00 SH SOLE 41,000 0 0 NUPATHE INC COM STK COM 67059M100 151.00 21,000.00 SH SOLE 21,000 0 0 NZX LIMITED COM 6623155 57.00 49,670.00 SH SOLE 49,670 0 0 OCCAM NETWORKS INC DEL COM STK COM 67457P309 78.00 10,000.00 SH SOLE 10,000 0 0 OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 820.00 55,000.00 SH SOLE 55,000 0 0 OCLARO INC COM STK COM 67555N206 320.00 20,000.00 SH SOLE 20,000 0 0 ODYSSEY MARINE EXPL INC COM STK COM 676118102 46.00 25,000.00 SH SOLE 25,000 0 0 OMNI ENERGY SERVICES CORP COM STKCOM 68210T208 41.00 15,000.00 SH SOLE 15,000 0 0 OMNIAMERICAN BANCORP INC COM 68216R107 169.00 15,000.00 SH SOLE 15,000 0 0 OMNICARE INC COM STK COM 681904108 597.00 25,000.00 SH SOLE 25,000 0 0 OMNI-LITE INDS COM 681976106 16.00 10,000.00 SH SOLE 10,000 0 0 ONE VOICE TECHNOLOGIES INC COM STK COM 682421201 0.00 20,000.00 SH SOLE 20,000 0 0 OPEXA THERAPEUTICS W EXP INC-CW13 02/13/2013 68372T111 12.00 22,500.00 SH SOLE 22,500 0 0 OPTIONABLE INC COM STK COM 684006109 1.00 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 PARTY GAMING (UKM LISTING) COM B0B3SV4 43.00 10,000.00 SH SOLE 10,000 0 0 PETROLEO BRASILEIRO SA PETROBRAS COM 2616580 2,322.00 64,009.00 SH SOLE 64,009 0 0
13
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ PFSWEB INC COM STK COM 717098206 174.00 50,000.00 SH SOLE 50,000 0 0 PHARMACYCLICS INC COM 716933106 242.00 30,000.00 SH SOLE 30,000 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 19.00 55,000.00 SH SOLE 55,000 0 0 PHYSICIANS FORMULA HLDGS INC COM 719427106 46.00 15,000.00 SH SOLE 15,000 0 0 PLAINS EXPLORATION & PRODUCTIO COM STK COM 726505100 533.00 20,000.00 SH SOLE 20,000 0 0 PLAYBOY ENTERPRISES INC CL B COM STK CLASS B 728117300 129.00 25,000.00 SH SOLE 25,000 0 0 PLX TECHNOLOGY INC COM STK COM 693417107 127.00 35,000.00 SH SOLE 35,000 0 0 PMI GROUP INC COM STK COM 69344M101 92.00 25,000.00 SH SOLE 25,000 0 0 POINTS INTL LTD COM 730843109 27.00 37,500.00 SH SOLE 37,500 0 0 POTASH CORP COM (USD) COM 73755L107 1,080.00 7,500.00 SH SOLE 7,500 0 0 POWER-ONE INC COM STK COM 73930R102 227.00 25,000.00 SH SOLE 25,000 0 0 POWERSECURE INTL INC COM STK COM 73936N105 93.00 10,000.00 SH SOLE 10,000 0 0 PRIMORIS SERVICES CORP COM STK COM 74164F103 98.00 15,000.00 SH SOLE 15,000 0 0 PROCERA NETWORKS INC COM STK COM 74269U104 53.00 100,000.00 SH SOLE 100,000 0 0 PRO-PHARMACEUTICALS INC COM STK COM 74267T109 24.00 100,000.00 SH SOLE 100,000 0 0 PRUDENTIAL FINANCIAL INC COM 744320102 542.00 10,000.00 SH PUT SOLE 10,000 0 0 PULTE GROUP INC COM STK COM 745867101 219.00 25,000.00 SH SOLE 25,000 0 0 PURE BIOSCIENCE COM COM 746218106 104.00 45,000.00 SH SOLE 45,000 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 11.00 100,000.00 SH SOLE 100,000 0 0 QLIK TECHNOLOGIES INC COM 74733T105 551.00 25,000.00 SH SOLE 25,000 0 0 QUANTUM CORP COM STK COM 747906204 212.00 100,000.00 SH SOLE 100,000 0 0 QUANTUM FUEL SYSTEMSTECHNOLOGY COM 74765E109 25.00 50,000.00 SH SOLE 50,000 0 0 QUIKSILVER INC COM STK COM 74838C106 39.00 10,000.00 SH SOLE 10,000 0 0 QUSTREAM CORP COM 749131108 1.00 25,000.00 SH SOLE 25,000 0 0 RADWARE LTD COM STK COM M81873107 859.00 25,000.00 SH SOLE 25,000 0 0 RAMBUS INC DEL COM STK COM 750917106 417.00 20,000.00 SH SOLE 20,000 0 0 REIS INC INC COM STK COM 75936P105 856.00 133,898.00 SH SOLE 133,898 0 0 RESEARCH IN MOTION CAD COM 760975102 243.00 5,000.00 SH SOLE 5,000 0 0 RESOLUTE ENERGY WRNT W EXP EXP 9/28/11 09/28/2011 76116A116 22.00 12,500.00 SH SOLE 12,500 0 0 RESPONSE GENETICS INC COM 76123U105 234.00 100,000.00 SH SOLE 100,000 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 1,220.00 85,000.00 SH SOLE 85,000 0 0 RITE AID CORP COM STK COM 767754104 24.00 25,000.00 SH SOLE 25,000 0 0
14
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ RODINIA OIL CORP CLASS A CLASS A 77487N109 8.00 10,000.00 SH SOLE 10,000 0 0 RODMAN & RENSHAW CAPGROUP INC COM COM 77487R100 161.00 75,000.00 SH SOLE 75,000 0 0 ROUGE INDS INC DEL CL A COM STK CLASS A 779088103 0.00 100,000.00 SH SOLE 100,000 0 0 ROVI CORPORATION COM STK COM 779376102 378.00 7,500.00 SH SOLE 7,500 0 0 RUBICON TECHNOLOGY INC COM 78112T107 340.00 15,000.00 SH SOLE 15,000 0 0 SANDRIDGE ENERGY INC COM STK COM 80007P307 142.00 25,000.00 SH SOLE 25,000 0 0 SARA LEE CORP COM 803111103 269.00 20,000.00 SH SOLE 20,000 0 0 SCHWAB CHARLES CORP NEW COM STK COM 808513105 348.00 25,000.00 SH SOLE 25,000 0 0 SCORES HOLDING CO INC COM STK COM 80917W202 1.00 10,000.00 SH SOLE 10,000 0 0 SCRIPPS NETWORKS INTER WI COM 811065101 952.00 20,000.00 SH SOLE 20,000 0 0 SEA CONTAINERS LTD CL A COM STK CLASS A 811371707 0.00 75,000.00 SH SOLE 75,000 0 0 SEAGATE TECHNOLOGY COM STK COM G7945M107 353.00 30,000.00 SH SOLE 30,000 0 0 SEANERGY MARITIME W EXP HOLDINGS CORP WRNT 9/24/2011 Y73760111 2.00 61,500.00 SH SOLE 61,500 0 0 SEARCHMEDIA HOLDINGS W EXP CORP WRNT 11/19/2011 G8005Y114 6.00 15,000.00 SH SOLE 15,000 0 0 SEQUENOM INC COM 817337405 140.00 20,000.00 SH SOLE 20,000 0 0 SGOCO TECHNOLOGY W EXP LTD WT 03/07/2012 G80751111 5.00 26,100.00 SH SOLE 26,100 0 0 SHINSEI BANK COM 6730936 35.00 50,000.00 SH SOLE 50,000 0 0 SINGAPORE EXCHANGE COM 6303866 412.00 60,000.00 SH SOLE 60,000 0 0 SIONIX CORP COM STK COM 829400100 12.00 200,000.00 SH SOLE 200,000 0 0 SITESTAR CORP COM STK COM 82980W101 6.00 250,000.00 SH SOLE 250,000 0 0 SKYWORKS SOLUTIONS INC COM STK COM 83088M102 310.00 15,000.00 SH SOLE 15,000 0 0 SLM CORP COM STK COM 78442P106 404.00 35,000.00 SH SOLE 35,000 0 0 SLM CORP EDNOTES BOOK ENTRY 7.25% CV PFD CONV PFD 7.25% 78442P700 300.00 500.00 PRIN SOLE 500 0 0 SMART BALANCE INC COM STK COM 83169Y108 97.00 25,000.00 SH SOLE 25,000 0 0 SMART TECHNOLOGIES INC COM 83172R108 339.00 25,000.00 SH SOLE 25,000 0 0 SOLARFUN POWER HOLD-SPON ADR SPONSOR ADR 83415U108 263.00 20,000.00 SH SOLE 20,000 0 0 SONUS NETWORKS INC COM STK COM 835916107 300.00 85,000.00 SH SOLE 85,000 0 0 SPARE BACKUP INC COM 84650T103 3.00 20,087.00 SH SOLE 20,087 0 0 SPDR FD FINANCIAL COM 81369Y605 287.00 20,000.00 SH CALL SOLE 20,000 0 0 SPRINT NEXTEL CORP COM 852061100 463.00 100,000.00 SH SOLE 100,000 0 0 SRI LANKA TELECOM LIMITED COM 6573926 12.00 30,000.00 SH SOLE 30,000 0 0 STEELCASE INC CL A COM STK CLASS A 858155203 417.00 50,000.00 SH SOLE 50,000 0 0 STEWART ENTERPRISES INC CL A COM STK CLASS A 860370105 54.00 10,000.00 SH SOLE 10,000 0 0 STILLWATER MNG CO COM STK COM 86074Q102 168.00 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
15
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ 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 191.00 45,000.00 SH SOLE 45,000 0 0 STREAM GLOBAL SERVICES W EXP WRNT EXP 10/17/11 10/17/2011 86323M118 10.00 50,000.00 SH SOLE 50,000 0 0 SUMMER INFANT INC COM STK COM 865646103 156.00 20,000.00 SH SOLE 20,000 0 0 SUN BANCORP INC NEW JERSEY COM STK COM 86663B102 128.00 25,000.00 SH SOLE 25,000 0 0 SUN HEALTHCARE GROUP INC COM STK COM 866933401 212.00 25,000.00 SH SOLE 25,000 0 0 SUNOPTA INC COM COM 8676EP108 91.00 15,000.00 SH SOLE 15,000 0 0 SYMANTEC CORP COM STK COM 871503108 378.00 25,000.00 SH SOLE 25,000 0 0 SYNGENTA AG ADR SPONSOR ADR87160A100 498.00 10,000.00 SH SOLE 10,000 0 0 SYNTA PHARMACEUTICALS CORP COM 87162T206 100.00 25,000.00 SH SOLE 25,000 0 0 TANFIELD GROUP (UKM LISTING) COM B4QHFM9 2.00 10,000.00 SH SOLE 10,000 0 0 TCF FINANCIAL EQY W EXP WARRANT 11/14/2018 872275128 175.00 29,900.00 SH SOLE 29,900 0 0 TD AMERITRADE HLDG CORP COM 87236Y108 323.00 20,000.00 SH CALL SOLE 20,000 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 143.00 40,000.00 SH SOLE 40,000 0 0 TIMMINS GOLD CORP COM 88741P103 107.00 50,000.00 SH SOLE 50,000 0 0 TITAN MACHINERY INC COM 88830R101 408.00 25,000.00 SH SOLE 25,000 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 25.00 100,000.00 SH SOLE 100,000 0 0 TIVO INC COM STK COM 888706108 227.00 25,000.00 SH SOLE 25,000 0 0 TOLL BROTHERS INC COM STK COM 889478103 476.00 25,000.00 SH SOLE 25,000 0 0 TOWER SEMICONDUCTOR W EXP LTD WRNT 03/15/2011 M87915217 0.00 35,100.00 SH SOLE 35,100 0 0 TRIUMPH APPAREL CORP COM STK COM 896787108 0.00 100,000.00 SH SOLE 100,000 0 0
16
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ 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 UAN CULTURAL & W EXP CREATIVE CO WRNT 3/7/2011 3/7/2011 902557115 0.00 65,000.00 SH SOLE 65,000 0 0 UEX CORP COM COM 902666106 49.00 50,000.00 SH SOLE 50,000 0 0 UIB GROUP LIMITED W EXP WRNT 01/23/2011 G91705114 0.00 16,500.00 SH SOLE 16,500 0 0 UNDERGROUND SOLUTIONS INC COM STK COM 904323102 5.00 25,000.00 SH SOLE 25,000 0 0 UNIFI INC COM STK COM 904677101 226.00 50,000.00 SH SOLE 50,000 0 0 UNIVERSAL EXPRESS INC COM STK COM 91349P103 2.00 775,000.00 SH SOLE 775,000 0 0 URALS ENERGY PUBLIC LTD (UKM LISTING) COM B0FHR59 5.00 25,000.00 SH SOLE 25,000 0 0 URANIUM RESOURCE COM 916901507 1,561.00 1,248,509.00 SH SOLE 1,248,509 0 0 US GLOBAL NANOSPACE INC COM STK COM 91729J107 1.00 275,000.00 SH SOLE 275,000 0 0 USA TECHNOLOGIES INC W EXP WARRNT 12/31/2013 90328S195 5.00 10,000.00 SH SOLE 10,000 0 0 USEC INC COM STK COM 90333E108 130.00 25,000.00 SH SOLE 25,000 0 0 UTSTARCOM INC COM STK COM 918076100 217.00 100,000.00 SH SOLE 100,000 0 0 VAALDIAM MINING INC COM COM 918471103 6.00 20,000.00 SH SOLE 20,000 0 0 VALUEVISION MEDIA INC CL A COM STK CLASS A 92047K107 94.00 50,000.00 SH SOLE 50,000 0 0 VANTAGE DRILLING CO COM G93205113 40.00 25,000.00 SH SOLE 25,000 0 0 VANTAGE DRILLING CO W EXP WRNT EXP 05/24/2011 05/24/2011 G93205121 1.00 59,500.00 SH SOLE 59,500 0 0 VELOCITY EXPRESS CORP COM STK COM 92257T707 1.00 37,833.00 SH SOLE 37,833 0 0
17
- ------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE - ------------------------------------------------------------------------------------------------------------------------------------ VERISK ANALYTICS INC-CL A CLASS A 92345Y106 365.00 13,016.00 SH SOLE 13,016 0 0 VERMILLION INC COM 92407M206 55.00 10,000.00 SH SOLE 10,000 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 0.00 17,500.00 SH SOLE 17,500 0 0 VIRGIN METALS INC COM 927692103 16.00 25,000.00 SH SOLE 25,000 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 558.00 468,514.00 SH SOLE 468,514 0 0 VITESSE SEMICONDUCTOR CORP COM STK COM 928497304 86.00 23,750.00 SH SOLE 23,750 0 0 VOLC CB 2.875 01SEP2015 BOND 2.875% 9/01/2015 928645AA8 111.00 100,000.00 PRIN SOLE 100,000 0 0 VOLTAIRE LTD COM M97613109 308.00 50,000.00 SH SOLE 50,000 0 0 VONAGE HOLDINGS CORP HOLMDEL COM STK COM 92886T201 64.00 25,000.00 SH SOLE 25,000 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 0.00 300,000.00 SH SOLE 300,000 0 0 WENDYS/ARBYS GROUP INC CL A CLASS A 950587105 113.00 25,000.00 SH SOLE 25,000 0 0 WEST COAST BANCORP RSTD COM 952145100 2,850.00 1,250,000.00 SH SOLE 1,250,000 0 0 WESTERN FOREST COM 958211203 31.00 100,000.00 SH SOLE 100,000 0 0 WESTWAY GROUP INC W EXP WRNT 05/24/2011 96169B118 14.00 150,000.00 SH SOLE 150,000 0 0 WILLIAMS CLAYTON ENERGY INC COM STK COM 969490101 253.00 5,000.00 SH SOLE 5,000 0 0 WORLD HEART CORP DELAWARE RSTD COM 980905962 389.00 176,600.00 SH SOLE 176,600 0 0 WRIGHT MEDICAL GROUP INC COM STK COM 98235T107 144.00 10,000.00 SH SOLE 10,000 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 62.00 25,000.00 SH SOLE 25,000 0 0 YRC WORLDWIDE INC COM COM 984249102 63.00 250,000.00 SH SOLE 250,000 0 0 ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SH SOLE 25,000 0 0 ZAP COM STK COM 98912M201 16.00 32,500.00 SH SOLE 32,500 0 0 ZVUE CORP W EXP WRNT 08/14/2011 08/14/2011 988801114 0.00 75,000.00 SH SOLE 75,000 0 0
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