0001019056-11-000802.txt : 20110812 0001019056-11-000802.hdr.sgml : 20110812 20110812131954 ACCESSION NUMBER: 0001019056-11-000802 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110812 DATE AS OF CHANGE: 20110812 EFFECTIVENESS DATE: 20110812 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: 111030418 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_13f063011.txt PERIOD ENDED JUNE 30, 2011 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, 2011 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, 2011 --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 03/31/2011 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 454 ----------- Form 13F Information Table Value Total $154,773 ----------- (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 57TH Street General Acquisition Corp Com COM 316816107 195.00 15,000.00 SH SOLE 15,000 0 0 99 CENTS ONLY STORES COM STK COM 65440K106 202.00 10,000.00 SH SOLE 10,000 0 0 ABBOTT LABORATORIES COM 002824100 263.00 5,000.00 SH SOLE 5,000 0 0 ACACIA RESEARCH CORP COM STK COM 003881307 917.00 25,000.00 SH SOLE 25,000 0 0 ACTIVE NETWORK INC COM STK COM 00506D100 352.00 20,000.00 SH SOLE 20,000 0 0 ACUSPHERE INC COM STK COM 00511R870 6.00 55,000.00 SH SOLE 55,000 0 0 ADECOAGRO SA COM L00849106 112.00 10,000.00 SH SOLE 10,000 0 0 ADELPHIA RECOVERY SERVICES COM 00685R409 0.00 249,615.00 SH SOLE 249,615 0 0 ADELQ 10.25 15JUN2011 BOND 10.25% 006ESCBJ5 0.00 250,000.00 PRIN SOLE 250,000 0 0 ADTRAN INC COM STK COM 00738A106 581.00 15,000.00 SH SOLE 15,000 0 0 ADVANCED MICRO DEVICES INC COM STK COM 007903107 350.00 50,000.00 SH SOLE 50,000 0 0 ADVANCED VIRAL RESH CORP COM STK COM 007928104 0.00 250,000.00 SH SOLE 250,000 0 0 AIA (HOK LISTING) COM B4TX8S1 346.00 100,000.00 SH SOLE 100,000 0 0 AIRASIA BHD COM B03J9L7 292.00 250,000.00 SH SOLE 250,000 0 0 AKORN INC COM STK COM 009728106 350.00 50,000.00 SH SOLE 50,000 0 0 ALCATEL-LUCENT ADS COM 013904305 923.00 160,000.00 SH SOLE 160,000 0 0 ALLIANCE GLOBAL (PHI LISTING) COM 6147105 25.00 100,000.00 SH SOLE 100,000 0 0 ALLOS THERAPEUTICS INC COM STK COM 019777101 54.00 25,000.00 SH SOLE 25,000 0 0 ALLOT COMMUNICATIONSLTD SHS COM M0854Q105 732.00 40,000.00 SH SOLE 40,000 0 0 ALTER NRG CORP COM COM 02145W101 63.00 60,000.00 SH SOLE 60,000 0 0 AMAZON COM INC COM STK COM 023135106 1,022.00 5,000.00 SH SOLE 5,000 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 22.00 25,000.00 SH SOLE 25,000 0 0 AMERICAN HEALTHCHOISINC COM 025929209 0.00 175,000.00 SH SOLE 175,000 0 0 AMERICAN INTERNATIONAL GROUP I COM STK COM 026874784 733.00 25,000.00 SH SOLE 25,000 0 0 AMERICAN RIVER BANKSHARES COM STK COM 029326105 75.00 12,300.00 SH SOLE 12,300 0 0 AMERICANA DISTBN COM 030556104 0.00 600,000.00 SH SOLE 600,000 0 0 ANDERSON ENERGY COM 033839101 42.00 50,000.00 SH SOLE 50,000 0 0 ANTRIM ENERGY COM 037243102 57.00 50,000.00 SH SOLE 50,000 0 0 APPLIED NEUROSOLUTIONS INC COM STK COM 03823Y203 2.00 98,668.00 SH SOLE 98,668 0 0 ARCOS DORADOS HOLDINGS INC COM STK COM G0457F107 580.00 27,500.00 SH SOLE 27,500 0 0 AREZZO INDUSTRIA E COMERCIO (BRA LISTING COM B3NS1W0 210.00 15,000.00 SH SOLE 15,000 0 0 ASSURED GUARANTY LTD COM G0585R106 538.00 33,000.00 SH SOLE 33,000 0 0 ATLAS ACQUISITION WRNT W EXP 01/23/2012 049162118 0.00 25,000.00 SH SOLE 25,000 0 0 ATLAS ESTATES LD (UKM LISTING) COM B0WDBP8 26.00 52,961.00 SH SOLE 52,961 0 0 ATLAS PIPELINE PARTNERS LP COM STK COM 049392103 330.00 10,000.00 SH SOLE 10,000 0 0 AU OPTRONICS CORP Sponsored Adr SPONS ADR 002255107 344.00 50,000.00 SH SOLE 50,000 0 0 AUGUSTA RESOURCE COM 050912203 116.00 25,000.00 SH SOLE 25,000 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 408.00 12,500.00 SH SOLE 12,500 0 0 AUTHENTEC INC COM 052660107 386.00 140,000.00 SH SOLE 140,000 0 0 AUTOBYTEL INC COM STK COM 05275N106 34.00 30,000.00 SH SOLE 30,000 0 0

3

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ AVATAR HOLDINGS INC COM STK COM 053494100 795.00 52,300.00 SH SOLE 52,300 0 0 AVESIS INCORPORATED COM 053650107 71.00 141,700.00 SH SOLE 141,700 0 0 AVI BIOPHARMA INC WRNT EXP 8/25/2014 W EXP 08/25/2014 002346146 10.00 32,400.00 SH SOLE 32,400 0 0 AXCELIS TECHNOLOGIES INC COM STK COM 054540109 164.00 100,000.00 SH SOLE 100,000 0 0 AZURE DYNAMICS CORP CL A CLASS A 05500N103 56.00 200,000.00 SH SOLE 200,000 0 0 BANK OF AMERICA CORP COM 060505104 27,617.00 2,519,791.00 SH SOLE 2,519,791 0 0 BANK OF AMERICA CORP WARRANT W EXP 10/28/2018 060505153 305.00 175,000.00 SH SOLE 175,000 0 0 BANK OF AMERICA CORPWT EXP 1/16/19 W EXP 1/16/2019 060505146 554.00 100,000.00 SH SOLE 100,000 0 0 BANKERS PETE LTD COM COM 066286303 71.00 10,000.00 SH SOLE 10,000 0 0 BARNES & NOBLE INC COM STK COM 067774109 332.00 20,000.00 SH SOLE 20,000 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 170.00 50,000.00 SH SOLE 50,000 0 0 BENIHANA INC CL A COM STK CLASS A 082047200 105.00 10,000.00 SH SOLE 10,000 0 0 BERKSHIRE HILLS BANCORP INC COM STK COM 084680107 560.00 25,000.00 SH SOLE 25,000 0 0 BIOPURE CORP WTCL A EXP 12/31/2011 W EXP 12/31/2011 09065H188 0.00 135,000.00 SH SOLE 135,000 0 0 BIOSCRIP INC COM STK COM 09069N108 195.00 30,000.00 SH SOLE 30,000 0 0 BK BRI COM 6709099 76.00 100,000.00 SH SOLE 100,000 0 0 BLACKROCK INC COM NEW COM 09247X101 959.00 5,000.00 SH SOLE 5,000 0 0 BLACKSTONE GROUP COM 09253U108 166.00 10,000.00 SH CALL SOLE 10,000 0 0 BLACKSTONE GROUP LP COM 09253U108 911.00 55,000.00 SH SOLE 55,000 0 0 BLUEFLY INC COM STK COM 096227301 111.00 39,499.00 SH SOLE 39,499 0 0 BM&F BOVESPA SA COM B2RHNV9 828.00 125,000.00 SH SOLE 125,000 0 0 BOISE INC CORP COM STK COM 09746Y105 273.00 35,000.00 SH SOLE 35,000 0 0 BOLSA A (MEX LISTING) COM B39VVF6 100.00 50,000.00 SH SOLE 50,000 0 0 BOMBARDIER CL-B CLASS B 097751200 288.00 40,000.00 SH SOLE 40,000 0 0 BOSTON SCIENTIFIC CORP COM STK COM 101137107 518.00 75,000.00 SH SOLE 75,000 0 0 BPZ RESOURCES INC COM 055639108 49.00 15,000.00 SH SOLE 15,000 0 0 BRASIL BROKERS PARTICIPACOES COM B28XFX2 270.00 55,000.00 SH SOLE 55,000 0 0 BROADPOINT GLEACHER SECS GROUP COM STK COM 377341102 82.00 40,000.00 SH SOLE 40,000 0 0 BROCADE COMMUNICATIONS SYSTEM INC COM COM 111621306 485.00 75,000.00 SH SOLE 75,000 0 0 BURSA MALAYSIA BHD COM B06FV38 90.00 35,000.00 SH SOLE 35,000 0 0 BWIN.PARTY DIGITAL ENTERTAINMENT PLC COM B53TNH6 60.00 25,000.00 SH SOLE 25,000 0 0 CALIPER LIFE SCIENCES WRNT W EXP 08/10/2011 130872112 33.00 24,847.00 SH SOLE 24,847 0 0 CAMECO CORP COM COM 13321L108 264.00 10,000.00 SH SOLE 10,000 0 0 CAMPUS CREST CMNTYS INC COM STK COM 13466Y105 324.00 25,000.00 SH SOLE 25,000 0 0 CANACCORD CAP INC COM COM 134801109 577.00 45,000.00 SH SOLE 45,000 0 0 CANO PETE INC COM STK COM 137801106 3.00 10,000.00 SH SOLE 10,000 0 0 CAPE BANCORP INC COM COM 139209100 100.00 10,000.00 SH SOLE 10,000 0 0 CAPITAL TRUST INC CL A REIT CLASS A 14052H506 232.00 60,000.00 SH SOLE 60,000 0 0 CAPITOL FEDERAL FINANCIAL INC COM STK COM 14057J101 588.00 50,000.00 SH SOLE 50,000 0 0 CAPSTONE TURBINE CORP COM STK COM 14067D102 520.00 340,000.00 SH SOLE 340,000 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 265.00 20,000.00 SH SOLE 20,000 0 0 CASCADE BANCORP COM STK COM 147154207 884.00 87,500.00 SH SOLE 87,500 0 0 CELLDEX THERAPEUTICS INC COM STK COM 15117B103 36.00 10,000.00 SH SOLE 10,000 0 0

4

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ CENTERLINE HLDG CO COM STK COM 15188T108 22.00 205,000.00 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 81.00 25,000.00 SH SOLE 25,000 0 0 CGA MINING LTD COM STK COM Q22628103 92.00 30,000.00 SH SOLE 30,000 0 0 CHARMING SHOPPES INC COM STK COM 161133103 125.00 30,000.00 SH SOLE 30,000 0 0 CHECK POINT SOFTWARE TECHNOLOG COM STK COM M22465104 569.00 10,000.00 SH SOLE 10,000 0 0 CHEVRON CORP COM 166764100 514.00 5,000.00 SH SOLE 5,000 0 0 CHINA DISCOVERY ACQUISITION CORP COM G2112B117 0.00 85,000.00 SH SOLE 85,000 0 0 CHINA HEALTHCARE AQUISITION WRNT W EXP 4/18/2012 16939Q112 0.00 29,300.00 SH SOLE 29,300 0 0 CHINA HYDROELECTRIC WARRANT EXP W EXP 11/10/2011 G2112E145 2.00 14,000.00 SH SOLE 14,000 0 0 CHINA MOBILE MEDIA TECHNOLOGY COM COM 16950C109 1.00 74,000.00 SH SOLE 74,000 0 0 CIRRUS LOGIC INC COM STK COM 172755100 954.00 60,000.00 SH SOLE 60,000 0 0 CITIGROUP INC COM 172967424 645.00 15,500.00 SH CALL SOLE 15,500 0 0 CITIGROUP INC COM STK COM 172967424 2,977.00 71,500.00 SH SOLE 71,500 0 0 CITIGROUP INC WRNT AEXP 01/04/2019 W EXP 01/04/2019 172967226 17.00 25,000.00 SH SOLE 25,000 0 0 CITIGROUP INC WRNT BEXP 10/28/2018 W EXP 10/28/2018 172967234 6.00 50,000.00 SH SOLE 50,000 0 0 CLAL BIOTECH (ISR LISTING) COM B23GNK9 56.00 10,000.00 SH SOLE 10,000 0 0 CLINICAL DATA CVR COM STK COM 18725U109 0.00 25,000.00 SH SOLE 25,000 0 0 CNC DEVELOPMENT LTD WRNT EXP 9/04/2011 W EXP 09/04/2011 G22384120 0.00 12,500.00 SH SOLE 12,500 0 0 CNO FINANCIAL GROUP INC COM STK COM 12621E103 198.00 25,000.00 SH SOLE 25,000 0 0 COCA COLA CO COM 191216100 336.00 5,000.00 SH SOLE 5,000 0 0 COLLECTIVE BRANDS INC COM STK COM 19421W100 147.00 10,000.00 SH SOLE 10,000 0 0 COMMERCIAL BANK OF CEYLON LIMITED COM 6161321 125.00 55,353.00 SH SOLE 55,353 0 0 COMPLETE GENOMICS INC COM STK COM 20454K104 535.00 35,000.00 SH SOLE 35,000 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 15.00 145,000.00 SH SOLE 145,000 0 0 CONTINUCARE CORP COM STK COM 212172100 155.00 25,000.00 SH SOLE 25,000 0 0 CONVERTED ORGANICS INC - CW12 02/12/12 W EXP 02/12/2012 21254S123 3.00 50,000.00 SH SOLE 50,000 0 0 CONVERTED ORGANICS INC WRNT W EXP 12/31/2014 21254S131 1.00 18,000.00 SH SOLE 18,000 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0.00 200,000.00 SH SOLE 200,000 0 0 COTT CORP CAD COM COM 22163N106 252.00 30,000.00 SH SOLE 30,000 0 0 COUNTRY STYLE COOKING RESTAURANT CHAIN C COM 22238M109 133.00 10,000.00 SH SOLE 10,000 0 0 COWEN GROUP INC COM 223622101 425.00 112,995.00 SH SOLE 112,995 0 0 CROCS INC COM STK COM 227046109 258.00 10,000.00 SH SOLE 10,000 0 0 CULLEN AGRIC HLDG CORP WRNT W EXP 10/21/2013 229894118 0.00 125,600.00 SH SOLE 125,600 0 0 CURIS INC COM STK COM 231269101 269.00 75,000.00 SH SOLE 75,000 0 0 CVR PARTNERS LP COM 126633106 537.00 23,900.00 SH SOLE 23,900 0 0 CYCLACEL PHARMACEUTICALS INC COM STK COM 23254L108 34.00 25,000.00 SH SOLE 25,000 0 0 CYTORI THERAP COM 23283K105 144.00 30,000.00 SH SOLE 30,000 0 0 CYTORI THERAPEUTICS WRNT EXP 2/28/2012 W EXP 02/28/2012 232993022 0.00 43,555.00 SH SOLE 43,555 0 0

5

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ DACHA STRATEGIC METALS INC COM COM 233407105 72.00 75,000.00 SH SOLE 75,000 0 0 DELTA AIRLINES INC COM 247361702 92.00 10,000.00 SH SOLE 10,000 0 0 DENNYS CORP COM STK COM 24869P104 2,425.00 625,000.00 SH SOLE 625,000 0 0 DIALOG AXIATA LIMITED COM B0DJQ38 4.00 50,000.00 SH SOLE 50,000 0 0 DIME BANCORP INC WTS COM 25429Q110 0.00 350,000.00 SH SOLE 350,000 0 0 DISCOVER FINANCIAL SERVICES COM 254709108 1,338.00 50,000.00 SH SOLE 50,000 0 0 DIST SRI LKR1 COM 6271435 66.00 40,000.00 SH SOLE 40,000 0 0 DISTRIBUTED ENERGY SYS CORP COM STK COM 25475V104 0.00 50,000.00 SH SOLE 50,000 0 0 DOLLAR FINANCIAL CORP COM 256664103 217.00 10,000.00 SH SOLE 10,000 0 0 DOUBLE HULL TANKERS INC COM STK COM Y2065G105 96.00 25,000.00 SH SOLE 25,000 0 0 DRYSHIPS INC COM STK COM Y2109Q101 105.00 25,000.00 SH SOLE 25,000 0 0 DU PONT E I DE NEMOURS & CO. COM COM 263534109 822.00 15,200.00 SH SOLE 15,200 0 0 DUNDEE CAPITAL MARKETS INC COM STK COM 265182105 60.00 50,000.00 SH SOLE 50,000 0 0 DYNAVOX INC-CLASS A COM 26817F104 289.00 38,000.00 SH SOLE 38,000 0 0 DYNEGY INC NEW CL A COM STK CLASS A 26817G300 155.00 25,000.00 SH SOLE 25,000 0 0 EASTMAN KODAK CO COM 277461109 358.00 100,000.00 SH CALL SOLE 100,000 0 0 EASTMAN KODAK CO COM STK COM 277461109 90.00 25,000.00 SH SOLE 25,000 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 162.00 40,000.00 SH SOLE 40,000 0 0 ELAN CORP PLC ADR SPONS ADR 284131208 341.00 30,000.00 SH CALL SOLE 30,000 0 0 ELAN CORP PLC ADR SPONS ADR 284131208 455.00 40,000.00 SH SOLE 40,000 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 ENERGY WORLD CORP LTD COM 996992FQ1 27.00 50,000.00 SH SOLE 50,000 0 0 ENSTAR GROUP LIMITED COM STK COM G3075P101 2,090.00 20,000.00 SH SOLE 20,000 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 2.00 25,000.00 SH SOLE 25,000 0 0 ENTEROMEDICS INC COM STK COM 29365M208 136.00 50,000.00 SH SOLE 50,000 0 0 ENTREMED INC COM STK COM 29382F202 57.00 25,000.00 SH SOLE 25,000 0 0 EQT CORP COM STK COM 26884L109 263.00 5,000.00 SH SOLE 5,000 0 0 EQUITY LIFESTYLE PROPERTIES IN COM REIT COM 29472R108 2,067.00 33,100.00 SH SOLE 33,100 0 0 EUROGAS INC COM STK COM 298734104 0.00 260,000.00 SH SOLE 260,000 0 0 EV ENERGY PARTNERS L P COM STK COM UNITS 26926V107 267.00 5,000.00 SH SOLE 5,000 0 0 EXTREME NETWORKS INC COM STK COM 30226D106 292.00 90,000.00 SH SOLE 90,000 0 0 EZCHIP SEMICONDUCTOR LTD COM M4146Y108 739.00 20,000.00 SH SOLE 20,000 0 0 EZCORP INC COM STK COM 302301106 356.00 10,000.00 SH SOLE 10,000 0 0 FALCONSTOR SOFTWARE INC COM STK COM 306137100 112.00 25,000.00 SH SOLE 25,000 0 0 FARMER BROTHERS CO COM STK COM 307675108 101.00 10,000.00 SH SOLE 10,000 0 0 FEIHE INTL INC COM STK COM 31429Y103 253.00 35,000.00 SH SOLE 35,000 0 0 FERRO CORP COM STK COM 315405100 336.00 25,000.00 SH SOLE 25,000 0 0 FIAT SPA EUR5 ORDS COM T4210N122 165.00 15,000.00 SH SOLE 15,000 0 0 FIBROCELL SCIENCE INC COM STK COM 315721100 69.00 80,000.00 SH SOLE 80,000 0 0 FINANCIAL TECHNOLOGIES (INDIA) LD COM B287HL6 56.00 20,000.00 SH SOLE 20,000 0 0 FORCE PROTECTION COM 345203202 124.00 25,000.00 SH SOLE 25,000 0 0 FORD MOTOR WRNT EXP 01/01/2013 W EXP 01/01/2013 345370134 445.00 85,000.00 SH SOLE 85,000 0 0 FORMATION METALS INC COM COM 34637V101 13.00 12,857.00 SH SOLE 12,857 0 0 FORTESCUE METALS GROUP LTD COM 996991TX3 170.00 25,000.00 SH SOLE 25,000 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 723.00 150,000.00 SH SOLE 150,000 0 0 FORTRESS PAPER LTD CL A CLASS A 34958R101 574.00 15,000.00 SH SOLE 15,000 0 0 FOX CHASE BANCORP INC COM STK COM 35137T108 203.00 15,000.00 SH SOLE 15,000 0 0 FRANKLIN FINANCIAL CORP/VA COM STK COM 35353C102 603.00 50,000.00 SH SOLE 50,000 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 70.00 100,000.00 SH SOLE 100,000 0 0 FSI INTL INC COM STK COM 302633102 247.00 90,000.00 SH SOLE 90,000 0 0 FULL HOUSE RESORTS INC COM 359678109 79.00 25,000.00 SH SOLE 25,000 0 0 FUNTALK CHINA HOLDINGS LIMITED WRT W EXP 12/13/2013 G36993122 91.00 48,000.00 SH SOLE 48,000 0 0 FUSION-IO INC COM 36112J107 451.00 15,000.00 SH SOLE 15,000 0 0 FXCM INC COM 302693106 546.00 55,000.00 SH SOLE 55,000 0 0

6

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ GABRIEL RSCS COM 361970106 138.00 20,000.00 SH SOLE 20,000 0 0 GASFRAC ENERGY SERVICES INC COM 367257201 228.00 25,000.00 SH SOLE 25,000 0 0 GEEKNET INC COM STK COM 36846Q203 1,202.00 45,000.00 SH SOLE 45,000 0 0 GENERAL MOTORS CO COM 37045V100 720.00 23,705.00 SH SOLE 23,705 0 0 GENERAL MOTORS CORP NOTES 8.375% jul 15 2033 NOTE 8.375% 07/15/2033 370442BT1 25.00 1,000,000.00 PRIN SOLE 1,000,000 0 0 GENEREX BIOTECHNOLOGY CORP DEL COM STK COM 371485103 1.00 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 GEROVA FINANCIAL GROUP LTD WRNT W EXP 1/16/2014 G38490176 0.00 21,000.00 SH SOLE 21,000 0 0 GLOBAL AIRCRAFT SOLUTIONS INC COM STK COM 378964100 0.00 100,000.00 SH SOLE 100,000 0 0 GLOBAL PWR EQUIP GROUP INC COM STK COM 37941P306 1,942.00 73,243.00 SH SOLE 73,243 0 0 GLOBALNET CORP COM 379399108 0.00 385,000.00 SH SOLE 385,000 0 0 GLOBUS MARITIME LTD JERSEY COM STK COM Y27265209 100.00 12,500.00 SH SOLE 12,500 0 0 GMX RES INC COM STK COM 38011M108 178.00 40,000.00 SH SOLE 40,000 0 0 GPS INDUSTRIES INC COM STK COM 383870102 0.00 150,000.00 SH SOLE 150,000 0 0 GREAT BASIN GOLD LTDCOM STK COM 390124105 21.00 10,000.00 SH SOLE 10,000 0 0 GREEN MOUNTAIN COFFEE ROASTERS COM STK COM 393122106 1,785.00 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 GS MARKET PLUS COM 38143ULJ8 48.00 40,000.00 SH SOLE 40,000 0 0 GUANGSHEN RAILWAY CNY1 'H' COM 6388700 31.00 75,000.00 SH SOLE 75,000 0 0 HANDY AND HARMAN LTD COM STK COM 410315105 154.00 10,000.00 SH SOLE 10,000 0 0 HARD TO TREAT DISEASES INC COM STK COM 41164A103 0.00 500,000.00 SH SOLE 500,000 0 0 HARDINGE BROTHERS INC COM STK COM 412324303 164.00 15,000.00 SH SOLE 15,000 0 0 HARMONIC INC COM STK COM 413160102 108.00 15,000.00 SH SOLE 15,000 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 70.00 82,500.00 SH SOLE 82,500 0 0 HARTMARX CORP COM STK COM 417119104 0.00 76,200.00 SH SOLE 76,200 0 0 HATTON NATL BK POST SPLIT COM 6406970 141.00 75,000.00 SH SOLE 75,000 0 0 HAWAIIAN TELCOM HOLDCO INC COM STK COM 420031106 383.00 15,000.00 SH SOLE 15,000 0 0 HEALTH DISCOVERY CORP COM STK COM 42218R100 2.00 25,000.00 SH SOLE 25,000 0 0 HEALTHY FAST FOOD INC COM STK COM 90349P105 5.00 15,000.00 SH SOLE 15,000 0 0 HEALTHY FAST FOOD INC WRNT W EXP 3/19/2013 90349P113 1.00 25,000.00 SH SOLE 25,000 0 0 HEALTHY FAST FOOD INC WRNT W EXP 3/19/2013 90349P121 0.00 50,000.00 SH SOLE 50,000 0 0 HECKMANN CORP COM STK COM 422680108 513.00 85,000.00 SH SOLE 85,000 0 0 HECKMANN CORP WRNT EXP 11/09/2011 W EXP 11/09/2011 422680116 55.00 125,000.00 SH SOLE 125,000 0 0

7

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ HECLA MNG 3 WRNT EXP 8/10/2014 W EXP 8/10/2014 22992859 0.00 50,000.00 SH SOLE 50,000 0 0 HELLENIC EXCHANGES SA ORDS (GRE LISTING) COM 4108278 214.00 30,000.00 SH SOLE 30,000 0 0 HERCULES OFFSHORE INC COM STK COM 427093109 138.00 25,000.00 SH SOLE 25,000 0 0 HERING TEXT ON (BRA LISTING) COM B010V16 230.00 10,000.00 SH SOLE 10,000 0 0 HERITAGE OAKS BANCORP COM STK COM 42724R107 1,141.00 300,192.00 SH SOLE 300,192 0 0 HIENERGY TECHNOLOGIES INC COM STK COM 42952V101 18.00 25,000.00 SH SOLE 25,000 0 0 HK EXCHANGES & CLEARING ORD COM 6267359 1,153.00 55,000.00 SH SOLE 55,000 0 0 HOME DEPOT INC COM STK COM 437076102 362.00 10,000.00 SH SOLE 10,000 0 0 HONEYWELL INTL INC DEL COM 438516106 298.00 5,000.00 SH SOLE 5,000 0 0 HOT TOPIC INC COM STK COM 441339108 149.00 20,000.00 SH SOLE 20,000 0 0 HUNTINGTON BANCSHARES INC COM COM 446150104 131.00 20,000.00 SH SOLE 20,000 0 0 HYDRON TECH INC COM 449020205 0.00 100,000.00 SH SOLE 100,000 0 0 IBERIABANK CORP COM STK COM 450828108 576.00 10,000.00 SH SOLE 10,000 0 0 IBX GROUP INC COM STK COM 449229103 0.00 200,000.00 SH SOLE 200,000 0 0 IDENTIVE GROUP INC COM STK COM 45170X106 174.00 75,000.00 SH SOLE 75,000 0 0 IGENE BIOTECHNOLOGY INC COM STK COM 451695100 0.00 100,000.00 SH SOLE 100,000 0 0 IMAGINATION TECHNOLOGIES GROUP 10P ORDS COM 0930312 151.00 25,000.00 SH SOLE 25,000 0 0 INCA PAC RES INC COM 45324A200 2.00 15,000.00 SH SOLE 15,000 0 0 IND & COMM BK OFCHINA - H COM B1G1QD8 238.00 313,500.00 SH SOLE 313,500 0 0 INDIA GLOBALIZATION CAP CW11 EXP 3/8/13 W EXP 3/8/2013 45408X118 3.00 157,798.00 SH SOLE 157,798 0 0 INSULET CORP COM 45784P101 1,007.00 45,420.00 SH SOLE 45,420 0 0 INTEGRAL VISION INC COM STK COM 45811H106 21.00 1,069,107.00 SH SOLE 1,069,107 0 0 INTERCLICK INC COM STK COM 458483203 358.00 45,000.00 SH SOLE 45,000 0 0 INTERNATIONAL PAPER CO COM STK COM 460146103 298.00 10,000.00 SH SOLE 10,000 0 0 IRIDIUM COMMUNICATINOS INC COM 46269C110 50.00 17,500.00 SH SOLE 17,500 0 0 ISHARES INC MSCI BRAZIL FREE IND COM 464286400 367.00 5,000.00 SH SOLE 5,000 0 0 ISIP TELECOM INC COM STK RSTD COM 464990993 0.00 10,000.00 SH SOLE 10,000 0 0 ISONICS CORP COM STK COM 464895309 0.00 25,000.00 SH SOLE 25,000 0 0 IVANHOE MINES LIMITED COM 46579N103 380.00 15,000.00 SH SOLE 15,000 0 0 JAMBA INC COM COM 47023A101 161.00 75,000.00 SH SOLE 75,000 0 0 JAPAN SMALLER CAPITALIZATION FUND INC RIGHT EXP 7/23/2011 47109U120 5.00 20,000.00 SH SOLE 20,000 0 0 JAPAN SMALLER CAPITALIZATION COM STK COM 47109U104 164.00 20,000.00 SH SOLE 20,000 0 0 JESUP & LAMONT INC COM STK COM 477046106 0.00 21,894.00 SH SOLE 21,894 0 0 JMP GROUP INC COM STK COM 46629U107 492.00 70,000.00 SH SOLE 70,000 0 0 JOHN KEELLS LKR10 COM 6475538 193.00 75,000.00 SH SOLE 75,000 0 0 JOHNSON & JOHNSON COM 478160104 333.00 5,000.00 SH SOLE 5,000 0 0 JP MORGAN CHASE WRNT EXP 10/28/2018 W EXP 10/28/2018 46634E114 606.00 45,000.00 SH SOLE 45,000 0 0 JS GROUP COM 6900212 514.00 20,000.00 SH SOLE 20,000 0 0 KENMARE RESOURCES PLC (LONDON LISTING) COM 0487948 175.00 185,000.00 SH SOLE 185,000 0 0 KENNEDY-WILSON HLDGS INC WRNT W EXP 11/14/2013 489398115 37.00 18,778.00 SH SOLE 18,778 0 0

8

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ KEYCORP NY COM STK COM 493267108 417.00 50,000.00 SH SOLE 50,000 0 0 KHD HUMBOLDT WEDAG INTERNATIONAL COM 4570060 221.00 25,000.00 SH SOLE 25,000 0 0 KIMBERLY CLARK CORP COM 494368103 333.00 5,000.00 SH SOLE 5,000 0 0 KNIGHT CAPITAL GROUP INC COM 499005106 220.00 20,000.00 SH CALL SOLE 20,000 0 0 KRISPY KREME DOUGHNUTS INC COM STK COM 501014104 476.00 50,000.00 SH SOLE 50,000 0 0 LA CORTEZ ENTPS COM 50255M108 12.00 25,000.00 SH SOLE 25,000 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 552.00 400,000.00 SH SOLE 400,000 0 0 LEAPFROG ENTERPRISES INC CL A COM STK CLASS A 52186N106 127.00 30,000.00 SH SOLE 30,000 0 0 LENNAR CORP CL A COM STK CLASS A 526057104 545.00 30,000.00 SH SOLE 30,000 0 0 LEVEL 3 COMMUNICATIONS INC COM STK COM 52729N100 244.00 100,000.00 SH SOLE 100,000 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0.00 575,000.00 SH SOLE 575,000 0 0 LIME ENERGY CO COM STK COM 53261U205 107.00 20,000.00 SH SOLE 20,000 0 0 LIN TV CORP CL A COM STK CLASS A 532774106 122.00 25,000.00 SH SOLE 25,000 0 0 LINN ENERGY LLC COM STK COM 536020100 391.00 10,000.00 SH SOLE 10,000 0 0 LIZ CLAIBORNE INC COM STK COM 539320101 134.00 25,000.00 SH SOLE 25,000 0 0 LUBYS INC COM STK COM 549282101 574.00 104,000.00 SH SOLE 104,000 0 0 LYNAS CORPORATION LIMITED COM 6121176 159.00 75,000.00 SH SOLE 75,000 0 0 MCCOY CORP COM COM 57980P108 42.00 10,000.00 SH SOLE 10,000 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 30.00 10,000.00 SH SOLE 10,000 0 0 MERGE HEALTHCARE INC COM STK COM 589499102 130.00 25,000.00 SH SOLE 25,000 0 0 MF GLOBAL HOLDINGS LTD COM STK COM 55277J108 387.00 50,000.00 SH SOLE 50,000 0 0 MGM CHINA HOLDINGS LIMITED COM B4P8HQ1 44.00 24,000.00 SH SOLE 24,000 0 0 MGM ENERGY CORP COM COM 59318A100 4.00 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 MILLS ON (BRA LISTING) COM B5LGRJ9 144.00 10,000.00 SH SOLE 10,000 0 0 MONACO COACH CORP COM STK COM 60886R103 0.00 50,000.00 SH SOLE 50,000 0 0 MORPHOSYS AG NPV ORDS COM 5531000 1,406.00 47,500.00 SH SOLE 47,500 0 0 MOSYS INC COM STK COM 619718109 288.00 50,000.00 SH SOLE 50,000 0 0 MTN (SAF LISTING) COM 6563206 213.00 10,000.00 SH SOLE 10,000 0 0 MUELLER WTR PRODS INC COM STK COM 624758108 100.00 25,000.00 SH SOLE 25,000 0 0 MULTIBAND CORP COM STK COM 62544X209 81.00 25,000.00 SH SOLE 25,000 0 0 NATIONAL DEVELOPMENT BANK COM 6625258 151.00 110,000.00 SH SOLE 110,000 0 0 NETLOGIC MICRSYS COM 64118B100 404.00 10,000.00 SH SOLE 10,000 0 0 NETSPEND HOLDINGS INC COM 64118V106 250.00 25,000.00 SH SOLE 25,000 0 0 NEW YORK REGIONAL RAIL CORP COM STK COM 649768108 0.00 400,000.00 SH SOLE 400,000 0 0 NEWELL RUBBERMAID INC MEDIUM T COM STK COM 651229106 158.00 10,000.00 SH SOLE 10,000 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 424.00 10,000.00 SH SOLE 10,000 0 0 NUANCE COMMUNICATIONS INC COM STK COM 67020Y100 215.00 10,000.00 SH SOLE 10,000 0 0 NXP SEMICONDUCTORS NV COM N6596X109 465.00 17,400.00 SH SOLE 17,400 0 0 NZX LIMITED COM 6623155 99.00 49,670.00 SH SOLE 49,670 0 0

9

------------------------------------------------------------------------------------------------------------------------------------ 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 ------------------------------------------------------------------------------------------------------------------------------------ OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 832.00 60,000.00 SH SOLE 60,000 0 0 ODYSSEY MARINE EXPL INC COM STK COM 676118102 141.00 45,000.00 SH SOLE 45,000 0 0 OFFICE DEPOT INC COM STK COM 676220106 127.00 30,000.00 SH SOLE 30,000 0 0 OFFICEMAX INC COM 67622P101 157.00 20,000.00 SH SOLE 20,000 0 0 OMNIAMERICAN BANCORP INC COM 68216R107 150.00 10,000.00 SH SOLE 10,000 0 0 OMNI-LITE INDS COM 681976106 26.00 15,000.00 SH SOLE 15,000 0 0 OMNIVISION TECHNOLOGIES INC COM STK COM 682128103 696.00 20,000.00 SH SOLE 20,000 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 344.00 150,000.00 SH SOLE 150,000 0 0 OPEXA THERAPEUTICS INC-CW13 W EXP 02/13/2013 68372T111 15.00 22,500.00 SH SOLE 22,500 0 0 OPKO HEALTH INC COM COM 68375N103 646.00 175,000.00 SH SOLE 175,000 0 0 OPNEXT INC COM 68375V105 388.00 170,000.00 SH SOLE 170,000 0 0 OPTIONABLE INC COM STK COM 684006109 2.00 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 PACE OIL & GAS LTD COM COM 69374D104 382.00 50,000.00 SH SOLE 50,000 0 0 PALATIN TECHNOLOGIES INC COM STK COM 696077403 64.00 50,000.00 SH SOLE 50,000 0 0 PARAMETRIC SOUND CORP COM STK COM 699172102 23.00 25,000.00 SH SOLE 25,000 0 0 PARKER DRILLING CO COM STK COM 701081101 146.00 25,000.00 SH SOLE 25,000 0 0 PATHFINDER MINERALS PLC (UKM LISTING) COM B4MB7K7 18.00 200,000.00 SH SOLE 200,000 0 0 PEOPLES UNITED FINANCIAL INC COM COM 712704105 336.00 25,000.00 SH SOLE 25,000 0 0 PEOPLESTRING CORP COM STK COM 71272D103 78.00 250,650.00 SH SOLE 250,650 0 0 PEREGRINE PHARMACEUTICALS INC COM STK COM 713661304 28.00 15,000.00 SH SOLE 15,000 0 0 PFIZER INC COM 717081103 412.00 20,000.00 SH CALL SOLE 20,000 0 0 PFSWEB INC COM STK COM 717098206 115.00 25,000.00 SH SOLE 25,000 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 19.00 40,000.00 SH SOLE 40,000 0 0 PHYSICIANS FORMULA HLDGS INC COM 719427106 163.00 40,700.00 SH SOLE 40,700 0 0 PINECREST ENERGY INC COM STK COM 723033106 252.00 100,000.00 SH SOLE 100,000 0 0 PLAINS EXPLORATION & PRODUCTIO COM STK COM 726505100 953.00 25,000.00 SH SOLE 25,000 0 0 PLX TECHNOLOGY INC COM STK COM 693417107 121.00 35,000.00 SH SOLE 35,000 0 0 POWERWAVE TECH COM COM 739363109 295.00 100,000.00 SH SOLE 100,000 0 0 PRIMO WATER CORP COM 74165N105 144.00 10,000.00 SH SOLE 10,000 0 0 PROGRESSIVE WASTE SOLUTIONS LT COM COM 74339G101 623.00 25,000.00 SH SOLE 25,000 0 0 PULSE ELECTRONICS CORP COM STK COM 74586W106 199.00 45,000.00 SH SOLE 45,000 0 0 PULTE GROUP INC COM STK COM 745867101 383.00 50,000.00 SH SOLE 50,000 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 7.00 100,000.00 SH SOLE 100,000 0 0 QUALCOMM INC COM 747525103 1,136.00 20,000.00 SH CALL SOLE 20,000 0 0 QUEPASA CORP COM NEW COM 74833W206 363.00 50,000.00 SH SOLE 50,000 0 0 QUSTREAM CORP COM 749131108 37.00 25,000.00 SH SOLE 25,000 0 0 RADWARE LTD COM STK COM M81873107 1,394.00 40,000.00 SH SOLE 40,000 0 0 RAMBUS INC DEL COM STK COM 750917106 514.00 35,000.00 SH SOLE 35,000 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 155.00 25,000.00 SH SOLE 25,000 0 0 REIS INC INC COM STK COM 75936P105 515.00 51,902.00 SH SOLE 51,902 0 0 RENREN INC - ADR SPONSOR ADR 759892102 221.00 25,000.00 SH SOLE 25,000 0 0 RESEARCH IN MOTION CAD COM 760975102 866.00 30,000.00 SH SOLE 30,000 0 0 RESOLUTE ENERGY WRNT EXP 9/28/14 W EXP 9/28/2014 76116A116 46.00 12,500.00 SH SOLE 12,500 0 0 RESPONSE GENETICS INC COM 76123U105 261.00 94,300.00 SH SOLE 94,300 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 ------------------------------------------------------------------------------------------------------------------------------------ RETRACTABLE TECHNOLOGIES INC COM STK COM 76129W105 15.00 10,000.00 SH SOLE 10,000 0 0 RITE AID CORP COM STK COM 767754104 100.00 75,000.00 SH SOLE 75,000 0 0 RODINA OIL CORP CL-AWRNT EXP 5/28/2012 W EXP 5/28/2012 77487N117 36.00 50,000.00 SH SOLE 50,000 0 0 RODINIA OIL CORP CLASS A CLASS A 77487N109 50.00 40,000.00 SH SOLE 40,000 0 0 RODMAN RENSHW CAPT GRP COM 77487R100 118.00 94,389.00 SH SOLE 94,389 0 0 ROGERS CORP COM STK COM 775133101 231.00 5,000.00 SH SOLE 5,000 0 0 ROUGE INDS INC DEL CL A COM STK CLASS A 779088103 0.00 100,000.00 SH SOLE 100,000 0 0 ROWAN COS INC COM STK COM 779382100 776.00 20,000.00 SH SOLE 20,000 0 0 RTI BIOLOGICS INC COM STK COM 74975N105 136.00 50,000.00 SH SOLE 50,000 0 0 RUBICON LIMITED NZD COM 572993ZM8 65.00 155,000.00 SH SOLE 155,000 0 0 RUBY TUESDAY INC COM STK COM 781182100 108.00 10,000.00 SH SOLE 10,000 0 0 SAKS INC COM STK COM 79377W108 279.00 25,000.00 SH SOLE 25,000 0 0 SALLY BEAUTY CO INC COM 79546E104 257.00 15,000.00 SH SOLE 15,000 0 0 SAMSONITE (HOK LISTING) COM B4Q1532 94.00 50,000.00 SH SOLE 50,000 0 0 SANDRIDGE ENERGY INC COM STK COM 80007P307 267.00 25,000.00 SH SOLE 25,000 0 0 SANDRIDGE MISSISSIPPIAN COM 80007T101 397.00 15,000.00 SH SOLE 15,000 0 0 SANOFI CONTGNT VAL RIGHTS RIGHT 12/31/2020 80105N113 60.00 25,000.00 SH SOLE 25,000 0 0 SARA LEE CORP COM COM 803111103 190.00 10,000.00 SH SOLE 10,000 0 0 SCORES HOLDING CO INC COM STK COM 80917W202 0.00 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 SEACO LTD COM STK COM G79441104 297.00 430,000.00 SH SOLE 430,000 0 0 SEAGATE TECHNOLOGY COM STK COM G7945M107 485.00 30,000.00 SH SOLE 30,000 0 0 SEANERGY MARITIME HOLDINGS CORP WRNT W EXP 9/24/2011 Y73760111 0.00 61,500.00 SH SOLE 61,500 0 0 SEARCHMEDIA HOLDINGS CORP WRNT W EXP 11/19/2011 G8005Y114 3.00 15,000.00 SH SOLE 15,000 0 0 SGOCO TECHNOLOGY LTD WT W EXP 03/07/2012 G80751111 20.00 26,100.00 SH SOLE 26,100 0 0 SHINSEI BANK COM 6730936 99.00 100,000.00 SH SOLE 100,000 0 0 SIERRA WIRELESS INC COM 826516106 585.00 50,000.00 SH SOLE 50,000 0 0 SILICON MOTION TECHNOLOGY CORP ADR SPONSOR ADR 82706C108 643.00 60,000.00 SH SOLE 60,000 0 0 SINA CORP COM SHS COM G81477104 2,082.00 20,000.00 SH SOLE 20,000 0 0 SINGAPORE EXCHANGE COM 6303866 460.00 75,000.00 SH SOLE 75,000 0 0 SIONIX CORP COM STK COM 829400100 25.00 200,000.00 SH SOLE 200,000 0 0 SITESTAR CORP COM STK COM 82980W101 3.00 250,000.00 SH SOLE 250,000 0 0 SLM CORP COM STK COM 78442P106 680.00 40,445.00 SH SOLE 40,445 0 0 SMART BALANCE INC COM STK COM 83169Y108 518.00 100,000.00 SH SOLE 100,000 0 0 SMART TECHNOLOGIES INC COM 83172R108 57.00 10,000.00 SH SOLE 10,000 0 0 SODASTREAM INTERNATIONAL LTD COM M9068E105 973.00 16,000.00 SH SOLE 16,000 0 0 SOLAZYME INC COM 83415T101 540.00 23,500.00 SH SOLE 23,500 0 0 SONUS NETWORKS INC COM STK COM 835916107 778.00 240,000.00 SH SOLE 240,000 0 0 SPARE BACKUP INC COM 84650T103 3.00 32,285.00 SH SOLE 32,285 0 0 SPECTRUM GROUP INTL INC COM STK COM 84763M102 29.00 10,000.00 SH SOLE 10,000 0 0 SPREADTRUM COMM INC COM 849415203 315.00 20,000.00 SH PUT SOLE 20,000 0 0 SPRINT NEXTEL CORP COM 852061100 1,078.00 200,000.00 SH SOLE 200,000 0 0 SRI LANKA TELECOM LIMITED COM 6573926 25.00 50,000.00 SH SOLE 50,000 0 0 ST JUDE MEDICAL INC COM 790849103 1,669.00 35,000.00 SH SOLE 35,000 0 0 STAPLES INC COM STK COM 855030102 395.00 25,000.00 SH SOLE 25,000 0 0 STATE BK & TR CO PINEHURST GA COM STK COM 856190103 246.00 15,000.00 SH SOLE 15,000 0 0 STONEPATH GROUP INC COM STK COM 861837102 0.00 165,000.00 SH SOLE 165,000 0 0 STREAM GLOBAL SERVICES WRNT EXP 10/17/11 W EXP 10/17/2011 86323M118 1.00 50,000.00 SH SOLE 50,000 0 0 SUN BANCORP INC NEW JERSEY COM STK COM 86663B102 37.00 10,000.00 SH SOLE 10,000 0 0 SUPER MICRO COMPUTER INC COM COM 86800U104 241.00 15,000.00 SH SOLE 15,000 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 ------------------------------------------------------------------------------------------------------------------------------------ SUPERVALUE INC USD COM COM 868536103 94.00 10,000.00 SH SOLE 10,000 0 0 SWISHER HYGIENE INC COM COM 870808102 835.00 148,334.00 SH SOLE 148,334 0 0 SYNERGETICS USA INC COM STK COM 87160G107 138.00 25,000.00 SH SOLE 25,000 0 0 SYNTA PHARMACEUTICALS CORP COM 87162T206 101.00 20,000.00 SH SOLE 20,000 0 0 TANFIELD GROUP (UKM LISTING) COM B4QHFM9 7.00 10,000.00 SH SOLE 10,000 0 0 TCF FINANCIAL EQY WARRANT W EXP 11/14/2018 872275128 100.00 25,000.00 SH SOLE 25,000 0 0 TEKELEC COM STK COM 879101103 457.00 50,000.00 SH SOLE 50,000 0 0 TELLABS INC COM STK COM 879664100 922.00 200,000.00 SH SOLE 200,000 0 0 TEMPLE-INLAND INC COM STK COM 879868107 297.00 10,000.00 SH SOLE 10,000 0 0 TENET HEALTHCARE CORP COM STK COM 88033G100 156.00 25,000.00 SH SOLE 25,000 0 0 THEGLOBE.COM INC COM STK COM 88335R101 0.00 100,000.00 SH SOLE 100,000 0 0 TIMMINS GOLD CORP COM 88741P103 122.00 50,000.00 SH SOLE 50,000 0 0 TITAN MACHINERY INC COM 88830R101 720.00 25,000.00 SH SOLE 25,000 0 0 TITANIUM ASSET MGMT RSTD COM 88899G970 0.00 100,000.00 SH SOLE 100,000 0 0 TITANIUM METALS CORP COM STK COM 888339207 183.00 10,000.00 SH SOLE 10,000 0 0 TIVO INC COM STK COM 888706108 154.00 15,000.00 SH SOLE 15,000 0 0 TOKYO CEMENT LTD COM 6893367 25.00 50,000.00 SH SOLE 50,000 0 0 TOLL BROTHERS IN COM STK COM 889478103 622.00 30,000.00 SH SOLE 30,000 0 0 TOWERSTREAM CORP COM TK COM 892000100 374.00 75,000.00 SH SOLE 75,000 0 0 TRIO MERGER CORP UNIT UNIT 6/19/2016 896697208 606.00 60,000.00 SH SOLE 60,000 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 TRUSTCO BANK CORP NY COM STK COM 898349105 135.00 27,500.00 SH SOLE 27,500 0 0 TWEETER HOME ENTMT GROUP INC COM STK COM 901167106 0.00 25,000.00 SH SOLE 25,000 0 0 UNDERGROUND SOLUTIONS INC COM STK COM 904323102 4.00 25,000.00 SH SOLE 25,000 0 0 UNIFI INC COM STK COM 904677200 966.00 70,000.00 SH SOLE 70,000 0 0 UNITED CONTINENTAL HOLDINGS INC COM 910047109 226.00 10,000.00 SH SOLE 10,000 0 0 UNIVERSAL EXPRESS INC COM STK COM 91349P103 0.00 775,000.00 SH SOLE 775,000 0 0 URALS ENERGY PUBLIC LTD (UKM LISTING) COM B0FHR59 4.00 25,000.00 SH SOLE 25,000 0 0 URANIUM RESOURCE COM 916901507 109.00 65,000.00 SH SOLE 65,000 0 0 US GLOBAL NANOSPACE INC COM STK COM 91729J107 0.00 275,000.00 SH SOLE 275,000 0 0 USA TECHNOLOGIES INC WARRNT W EXP 12/31/2013 90328S195 101.00 75,200.00 SH SOLE 75,200 0 0 USA_TECHNOL_WT W EXP 12/31/2011 90328S179 15.00 35,000.00 SH SOLE 35,000 0 0 UTSTARCOM INC COM STK COM G9310A106 242.00 155,000.00 SH SOLE 155,000 0 0 VAALDIAM MINING INC COM COM 918471103 3.00 20,000.00 SH SOLE 20,000 0 0 VASCO DATA SEC INTL INC COM STK COM 92230Y104 249.00 20,000.00 SH SOLE 20,000 0 0 VELOCITY EXPRESS CORP COM STK COM 92257T707 1.00 37,833.00 SH SOLE 37,833 0 0 VELTI PLC LONDON COM STK COM B50R9N1 423.00 25,000.00 SH SOLE 25,000 0 0 VIMPELCOM COM 92719A106 638.00 50,000.00 SH SOLE 50,000 0 0 VIRAGEN INC COM STK COM 927638403 0.00 50,000.00 SH SOLE 50,000 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 1,677.00 650,000.00 SH SOLE 650,000 0 0 VITESSE SEMICONDUCTOR CORP COM STK COM 928497304 199.00 50,000.00 SH SOLE 50,000 0 0 VONAGE HOLDINGS CORP HOLMDEL COM STK COM 92886T201 441.00 100,000.00 SH SOLE 100,000 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 ------------------------------------------------------------------------------------------------------------------------------------ WARDERLY INTL HLDGS LTD (HOK LISTING) COM 6572224 0.00 500,000.00 SH SOLE 500,000 0 0 WARSAW STOCK EXCHANGE (POL LISTING) COM B55XKV9 284.00 15,000.00 SH SOLE 15,000 0 0 WEATHERFORD INTL LTD COM STK COM H27013103 469.00 25,000.00 SH SOLE 25,000 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 254.00 50,000.00 SH SOLE 50,000 0 0 WEST COAST BANCORP ORE NEW COM STK COM 952145209 4,190.00 250,000.00 SH SOLE 250,000 0 0 WHITE MTN TITANIUM CORP COM STK COM 964109102 39.00 25,000.00 SH SOLE 25,000 0 0 WI-LAN INC COM COM 928972108 646.00 80,000.00 SH SOLE 80,000 0 0 WILLIAMS COMPANIES INC COM STK COM 969457100 303.00 10,000.00 SH SOLE 10,000 0 0 WILSHIRE BANCORP INC COM COM 97186T108 265.00 90,000.00 SH SOLE 90,000 0 0 WORLD ENERGY SOLUTIONS INC DEL COM STK COM 98145W208 363.00 86,500.00 SH SOLE 86,500 0 0 WORLD HEALTH ENERGY HLDGS INC COM STK COM 98148H109 0.00 150,000.00 SH SOLE 150,000 0 0 WORLD HEART CORP DELAWARE COM 980905400 145.00 145,100.00 SH SOLE 145,100 0 0 XECHEM INTERNATIONAL INC COM STK COM 983895301 0.00 350,500.00 SH SOLE 350,500 0 0 YM BIOSCIENCES INC COM COM 984238105 84.00 30,000.00 SH SOLE 30,000 0 0 ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SH SOLE 25,000 0 0 ZAP COM STK COM 98912M201 15.00 32,500.00 SH SOLE 32,500 0 0 ZVUE CORP WRNT 08/14/2011 W EXP 8/14/2011 988801114 0.00 75,000.00 SH SOLE 75,000 0 0

13