0001019056-11-001077.txt : 20111114 0001019056-11-001077.hdr.sgml : 20111111 20111114060620 ACCESSION NUMBER: 0001019056-11-001077 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111197284 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_13f093011.txt FORM13F-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, 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 November 10, 2011 --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 09/30/2011 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 324 ----------- Form 13F Information Table Value Total $79,951 ----------- (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 99 CENTS ONLY STORES COM STK COM 65440K106 184.00 10,000.00 SH SOLE 10,000 0 0 ABBOTT LABORATORIES COM 002824100 256.00 5,000.00 SH SOLE 5,000 0 0 ACUSPHERE INC COM STK COM 00511R870 4.00 55,000.00 SH SOLE 55,000 0 0 ADELPHIA RECOVERY SERVICES COM 00685R409 5.00 249,615.00 SH SOLE 249,615 0 0 ADTRAN INC COM STK COM 00738A106 265.00 10,000.00 SH SOLE 10,000 0 0 ADVANCED VIRAL RESH CORP COM STK COM 007928104 0.00 250,000.00 SH SOLE 250,000 0 0 AIRASIA BHD COM B03J9L7 135.00 145,000.00 SH SOLE 145,000 0 0 AKORN INC COM STK COM 009728106 156.00 20,000.00 SH SOLE 20,000 0 0 ALICORP SA PEN1 'C' SHS COM 2162834 50.00 25,000.00 SH SOLE 25,000 0 0 ALLIANCE GLOBAL (PHI LISTING) COM 6147105 21.00 100,000.00 SH SOLE 100,000 0 0 ALLOT COMMUNICATIONSLTD SHS COM M0854Q105 439.00 45,000.00 SH SOLE 45,000 0 0 ALTER NRG CORP COM COM 02145W101 12.00 25,000.00 SH SOLE 25,000 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 59.00 75,000.00 SH SOLE 75,000 0 0 AMERICAN HEALTHCHOISINC COM 025929209 0.00 175,000.00 SH SOLE 175,000 0 0 AMERICAN RIVER BANKSHARES COM STK COM 029326105 143.00 28,800.00 SH SOLE 28,800 0 0 AMERICANA DISTBN COM 030556104 0.00 600,000.00 SH SOLE 600,000 0 0 ANDERSON ENERGY COM 033839101 21.00 50,000.00 SH SOLE 50,000 0 0 ANTRIM ENERGY COM 037243102 39.00 50,000.00 SH SOLE 50,000 0 0 APPLIED NEUROSOLUTIONS INC COM STK COM 03823Y203 1.00 98,668.00 SH SOLE 98,668 0 0 ARCOS DORADOS HOLDINGS INC COM STK COM G0457F107 986.00 42,500.00 SH SOLE 42,500 0 0 ASSURED GUARANTY LTD COM G0585R106 550.00 50,000.00 SH SOLE 50,000 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 L P COM STK COM 049392103 299.00 10,000.00 SH SOLE 10,000 0 0 AUGUSTA RESOURCE COM 050912203 123.00 40,000.00 SH SOLE 40,000 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 368.00 12,500.00 SH SOLE 12,500 0 0 AUTHENTEC INC COM 052660107 293.00 90,000.00 SH SOLE 90,000 0 0 AVATAR HOLDINGS INC COM STK COM 053494100 428.00 52,300.00 SH SOLE 52,300 0 0 AVESIS INCORPORATED COM 053650107 68.00 144,200.00 SH SOLE 144,200 0 0 AVI BIOPHARMA INC WRNT EXP 8/25/2014 W EXP 08/25/2014 002346146 5.00 32,050.00 SH SOLE 32,050 0 0 AZURE DYNAMICS CORP CL A CLASS A 05500N103 22.00 150,000.00 SH SOLE 150,000 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 ------------------------------------------------------------------------------------------------------------------------------------ BANK OF AMERICA CORP COM 060505104 15,421.00 2,519,791.00 SH SOLE 2,519,791 0 0 BANK OF AMERICA CORP WARRANT W EXP 10/28/2018 060505153 149.00 175,000.00 SH SOLE 175,000 0 0 BANK OF AMERICA CORP WT EXP 1/16/19 W EXP 1/16/2019 060505146 271.00 100,000.00 SH SOLE 100,000 0 0 BANK OF IRELAND EUR0.64 ORDS (DUBLIN LIS COM 3070732 308.00 3,000,000.00 SH SOLE 3,000,000 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 68.00 45,000.00 SH SOLE 45,000 0 0 BERKSHIRE HILLS BANCORP INC COM STK COM 084680107 277.00 15,000.00 SH SOLE 15,000 0 0 BIOPURE CORP WTCL A EXP 12/31/2011 W EXP 12/31/2011 09065H188 46.00 135,000.00 SH SOLE 135,000 0 0 BK BRI COM 6709099 65.00 100,000.00 SH SOLE 100,000 0 0 BLACKSTONE GROUP (THE) L.P COM 09253U108 120.00 10,000.00 SH CALL 10,000 0 0 BLACKSTONE GROUP LP COM 09253U108 659.00 55,000.00 SH SOLE 55,000 0 0 BLUEFLY INC COM STK COM 096227301 95.00 40,000.00 SH SOLE 40,000 0 0 BM&F BOVESPA SA COM B2RHNV9 583.00 125,000.00 SH SOLE 125,000 0 0 BOLSA A (MEX LISTING) COM B39VVF6 69.00 50,000.00 SH SOLE 50,000 0 0 BOLSA DE VALOR. COP1 COM B24FPF4 38.00 2,058,500.00 SH SOLE 2,058,500 0 0 BOMBARDIER CL-B CLASS B 097751200 88.00 25,000.00 SH SOLE 25,000 0 0 BOSTON SCIENTIFIC CORP COM 101137107 118.00 20,000.00 SH CALL 20,000 0 0 BOSTON SCIENTIFIC CORP COM STK COM 101137107 591.00 100,000.00 SH SOLE 100,000 0 0 BRASIL BROKERS PARTICIPACOES COM B28XFX2 173.00 55,000.00 SH SOLE 55,000 0 0 BROADWIND ENERGY INC COM STK COM 11161T108 16.00 50,000.00 SH SOLE 50,000 0 0 BURSA MALAYSIA BHD COM B06FV38 66.00 35,000.00 SH SOLE 35,000 0 0 BWIN.PARTY DIGITAL ENTERTAINMENT PLC COM B53TNH6 39.00 20,000.00 SH SOLE 20,000 0 0 CANACCORD CAP INC COM COM 134801109 366.00 40,000.00 SH SOLE 40,000 0 0 CAPSTONE TURBINE CORP COM STK COM 14067D102 265.00 265,000.00 SH SOLE 265,000 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 414.00 35,000.00 SH SOLE 35,000 0 0 CASCADE BANCORP COM STK COM 147154207 303.00 52,000.00 SH SOLE 52,000 0 0 CENTERLINE HLDG CO COM STK COM 15188T108 17.00 205,000.00 SH SOLE 205,000 0 0 CENTRAL WIRELESS INC COM STK COM 15607P109 0.00 660,000.00 SH SOLE 660,000 0 0 CHART INDUSTRIES INC COM 16115Q308 633.00 15,000.00 SH SOLE 15,000 0 0 CHEVRON CORP COM 166764100 463.00 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 0.00 74,000.00 SH SOLE 74,000 0 0 CHROMADEX CORP COM STK COM 171077100 12.00 15,000.00 SH SOLE 15,000 0 0 CIENA CORP COM STK COM 171779309 224.00 20,000.00 SH SOLE 20,000 0 0 CIENA CORPORATION COM 171779309 224.00 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 ------------------------------------------------------------------------------------------------------------------------------------ CIRRUS LOGIC INC COM STK COM 172755100 886.00 60,084.00 SH SOLE 60,084 0 0 CIT GROUP INC COM STK COM 125581801 304.00 10,000.00 SH SOLE 10,000 0 0 CITIGROUP INC COM 172967424 2,561.00 100,000.00 SH CALL SOLE 100,000 0 0 CITIGROUP INC COM STK COM 172967424 1,063.00 41,500.00 SH SOLE 41,500 0 0 CITIGROUP INC WRNT AEXP 01/04/2019 W EXP 01/04/2019 172967226 11.00 25,000.00 SH SOLE 25,000 0 0 CITIGROUP INC WRNT BEXP 10/28/2018 W EXP 10/28/2018 172967234 4.00 50,000.00 SH SOLE 50,000 0 0 CLAL BIOTECH (ISR LISTING) COM B23GNK9 42.00 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 14.00 12,500.00 SH SOLE 12,500 0 0 COCA COLA CO COM 191216100 338.00 5,000.00 SH SOLE 5,000 0 0 COMERICA INC COM STK COM 200340107 230.00 10,000.00 SH SOLE 10,000 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 0.00 145,000.00 SH SOLE 145,000 0 0 CONVERTED ORGANICS INC - CW12 02/12/12 W EXP 02/12/2012 21254S123 1.00 50,000.00 SH SOLE 50,000 0 0 CONVERTED ORGANICS INC WRNT W EXP 12/31/2014 21254S131 0.00 18,000.00 SH SOLE 18,000 0 0 CORNING INC COM 219350105 371.00 30,000.00 SH CALL SOLE 30,000 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0.00 200,000.00 SH SOLE 200,000 0 0 COTT CORP CAD COM COM 22163N106 170.00 25,000.00 SH SOLE 25,000 0 0 COWEN GROUP INC COM 223622101 238.00 87,995.00 SH SOLE 87,995 0 0 CROCS INC COM STK COM 227046109 237.00 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 237.00 75,000.00 SH SOLE 75,000 0 0 CYCLACEL PHARMACEUTICALS INC COM STK COM 23254L108 11.00 25,000.00 SH SOLE 25,000 0 0 CYTORI THERAP COM 23283K105 59.00 20,000.00 SH SOLE 20,000 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 DACHA STRATEGIC METALS INC COM COM 233407105 15.00 25,000.00 SH SOLE 25,000 0 0 DENNYS CORP COM STK COM 24869P104 2,048.00 615,000.00 SH SOLE 615,000 0 0 DIME BANCORP INC WTS COM 25429Q110 0.00 350,000.00 SH SOLE 350,000 0 0 DISTRIBUTED ENERGY SYS CORP COM STK COM 25475V104 38.00 50,000.00 SH SOLE 50,000 0 0 DOUBLE HULL TANKERS INC COM STK COM Y2065G105 51.00 25,000.00 SH SOLE 25,000 0 0 DUNDEE CAPITAL MARKETS INC COM STK COM 265182105 15.00 20,000.00 SH SOLE 20,000 0 0 DYNAVOX INC-CLASS A CLASS A 26817F104 137.00 38,000.00 SH SOLE 38,000 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 ------------------------------------------------------------------------------------------------------------------------------------ EASTMAN KODAK CO COM 277461109 117.00 150,000.00 SH CALL SOLE 150,000 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 116.00 40,000.00 SH SOLE 40,000 0 0 ELAN CORP PLC COM 284131208 263.00 25,000.00 SH CALL SOLE 25,000 0 0 ELAN CORP PLC ADR SPONS ADR 284131208 263.00 25,000.00 SH SOLE 25,000 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 37.00 75,000.00 SH SOLE 75,000 0 0 ENSTAR GROUP LIMITED COM STK COM G3075P101 1,667.00 17,500.00 SH SOLE 17,500 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 1.00 25,000.00 SH SOLE 25,000 0 0 ENTREMED INC COM STK COM 29382F202 38.00 25,000.00 SH SOLE 25,000 0 0 ENTROPIC COMMUNICATIONS INC COM COM 29384R105 207.00 50,000.00 SH SOLE 50,000 0 0 EQUITY LIFESTYLE PROPERTIES COM 29472R108 314.00 5,000.00 SH SOLE 5,000 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 358.00 5,000.00 SH SOLE 5,000 0 0 EXPRESS INC COM 30219E103 203.00 10,000.00 SH SOLE 10,000 0 0 FARMER BROTHERS CO COM STK COM 307675108 83.00 15,000.00 SH SOLE 15,000 0 0 FEIHE INTL INC COM STK COM 31429Y103 81.00 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 FORD MOTOR WRNT EXP 01/01/2013 W EXP 01/01/2013 345370134 210.00 95,000.00 SH SOLE 95,000 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 452.00 150,000.00 SH SOLE 150,000 0 0 FRANKLIN FINANCIAL CORP/VA COM STK COM 35353C102 552.00 50,000.00 SH SOLE 50,000 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 55.00 100,000.00 SH SOLE 100,000 0 0 FSI INTL INC COM STK COM 302633102 94.00 50,000.00 SH SOLE 50,000 0 0 FULL HOUSE RESORTS INC COM 359678109 69.00 25,000.00 SH SOLE 25,000 0 0 FXCM INC COM 302693106 210.00 15,000.00 SH SOLE 15,000 0 0 GEEKNET INC COM STK COM 36846Q203 758.00 37,500.00 SH SOLE 37,500 0 0 GENERAL MOTORS CO COM 37045V100 383.00 18,985.00 SH SOLE 18,985 0 0 GENERAL MOTORS CORP NOTES 8.375% jul 15 2033 NOTE 8.375% 07/15/2033 370442BT1 8.00 1,000,000.00 PRIN SOLE 1,000,000 0 0 GENERAL MOTORS CW16 WRNT EXP 07/10/2016 W EXP 07/10/2016 37045V118 391.00 33,622.00 SH SOLE 33,622 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 1,227.00 51,799.00 SH SOLE 51,799 0 0 GLOBALNET CORP COM 379399108 0.00 385,000.00 SH SOLE 385,000 0 0 GMX RES INC COM STK COM 38011M108 79.00 35,000.00 SH SOLE 35,000 0 0 GPS INDUSTRIES INC COM STK COM 383870102 0.00 150,000.00 SH SOLE 150,000 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 42.00 40,000.00 SH SOLE 40,000 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 ------------------------------------------------------------------------------------------------------------------------------------ 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 82.00 10,000.00 SH SOLE 10,000 0 0 HARMONIC INC COM STK COM 413160102 64.00 15,000.00 SH SOLE 15,000 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 33.00 67,500.00 SH SOLE 67,500 0 0 HARTMARX CORP COM STK COM 417119104 0.00 76,200.00 SH SOLE 76,200 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 90349P113 0.00 50,000.00 SH SOLE 50,000 0 0 HECKMANN CORP COM STK COM 422680108 397.00 75,000.00 SH SOLE 75,000 0 0 HECLA MNG 3 WRNT EXP 8/10/2014 W EXP 8/10/2014 422992859 0.00 50,000.00 SH SOLE 50,000 0 0 HELLENIC EXCHANGES SA ORDS (GRE LISTING) COM 4108278 118.00 30,000.00 SH SOLE 30,000 0 0 HERCULES OFFSHORE INC COM STK COM 427093109 29.00 10,000.00 SH SOLE 10,000 0 0 HERITAGE OAKS BANCORP COM STK COM 42724R107 991.00 300,192.00 SH SOLE 300,192 0 0 HEWLETT PACKARD CO COM 428236103 225.00 10,000.00 SH CALL SOLE 10,000 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 810.00 55,000.00 SH SOLE 55,000 0 0 HONEYWELL INTL INC DEL COM 438516106 226.00 5,150.00 SH SOLE 5,150 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 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 131.00 20,000.00 SH SOLE 20,000 0 0 INCA PAC RES INC COM 45324A200 8.00 15,000.00 SH SOLE 15,000 0 0 IND & COMM BK OFCHINA - H COM B1G1QD8 154.00 313,500.00 SH SOLE 313,500 0 0 INDIA GLOBALIZATION CAP CW11 EXP 3/8/13 W EXP 3/8/2013 45408X118 1.00 157,798.00 SH SOLE 157,798 0 0 INPHI CORP COM 45772F107 263.00 30,000.00 SH SOLE 30,000 0 0 INSULET CORP COM 45784P101 464.00 30,420.00 SH SOLE 30,420 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 194.00 35,000.00 SH SOLE 35,000 0 0 IRIDIUM COMMUNICATINOS INC COM 46269C110 21.00 12,500.00 SH SOLE 12,500 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

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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 ------------------------------------------------------------------------------------------------------------------------------------ JAKKS PAC INC COM STK COM 47012E106 190.00 10,000.00 SH SOLE 10,000 0 0 JAMBA INC COM COM 47023A101 129.00 100,000.00 SH SOLE 100,000 0 0 JESUP & LAMONT INC COM STK COM 477046106 0.00 20,000.00 SH SOLE 20,000 0 0 JMP GROUP INC COM STK COM 46629U107 407.00 70,000.00 SH SOLE 70,000 0 0 JOHNSON & JOHNSON COM 478160104 318.00 5,000.00 SH SOLE 5,000 0 0 JP MORGAN CHASE WRNT EXP 10/28/2018 W EXP 10/28/2018 46634E114 419.00 45,000.00 SH SOLE 45,000 0 0 KB HOME COM STK COM 48666K109 147.00 25,000.00 SH SOLE 25,000 0 0 KENNEDY-WILSON HLDGS INC WRNT W EXP 11/14/2013 489398115 17.00 10,000.00 SH SOLE 10,000 0 0 KEYCORP COM 493267108 119.00 20,000.00 SH SOLE 20,000 0 0 KHD HUMBOLDT WEDAG INTERNATIONAL COM 4570060 185.00 30,000.00 SH SOLE 30,000 0 0 KIMBERLY CLARK CORP COM 494368103 355.00 5,000.00 SH SOLE 5,000 0 0 KODIAK OIL & GAS CO COM 50015Q100 130.00 25,000.00 SH SOLE 25,000 0 0 KRISPY KREME DOUGHNUTS INC COM STK COM 501014104 102.00 15,000.00 SH SOLE 15,000 0 0 LA CORTEZ ENTPS COM 50255M108 5.00 25,000.00 SH SOLE 25,000 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 620.00 400,000.00 SH SOLE 400,000 0 0 LENNAR CORP CL A COM STK CLASS A 526057104 271.00 20,000.00 SH SOLE 20,000 0 0 LEVEL 3 COMMUNICATIONS INC COM STK COM 52729N100 149.00 100,000.00 SH SOLE 100,000 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0.00 575,000.00 SH SOLE 575,000 0 0 LINN ENERGY LLC COM STK COM 536020100 357.00 10,000.00 SH SOLE 10,000 0 0 LUBYS INC COM STK COM 549282101 365.00 89,000.00 SH SOLE 89,000 0 0 LYDIAN INTERNATIONAL LTD COM COM G5724R107 21.00 10,000.00 SH SOLE 10,000 0 0 LYNAS CORPORATION LIMITED COM 6121176 26.00 25,000.00 SH SOLE 25,000 0 0 MARVELL TECHNOLOGY GROUP LTD COM STK COM G5876H105 435.00 30,000.00 SH SOLE 30,000 0 0 MARVELL TECHNOLOGY GRP LTD COM G5876H105 581.00 40,000.00 SH CALL 40,000 0 0 MERA PHARMACEUTICALS INC COM STK COM 58732R103 0.00 200,000.00 SH SOLE 200,000 0 0 MERCATOR MINERALS LTD COM 587582107 13.00 10,000.00 SH SOLE 10,000 0 0 MERGE HEALTHCARE INC COM STK COM 589499102 244.00 40,000.00 SH SOLE 40,000 0 0 MGM ENERGY CORP COM COM 59318A100 6.00 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 MICROSOFT CORP COM STK COM 594918104 627.00 25,200.00 SH SOLE 25,200 0 0 MILLS ON (BRA LISTING) COM B5LGRJ9 102.00 10,000.00 SH SOLE 10,000 0 0 MIPS TECHNOLOGIES INC CL A COM STK CLASS A 604567107 242.00 50,000.00 SH SOLE 50,000 0 0 MONACO COACH CORP COM STK COM 60886R103 1.00 50,000.00 SH SOLE 50,000 0 0 MORPHOSYS AG NPV ORDS COM 5531000 1,290.00 50,000.00 SH SOLE 50,000 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 ------------------------------------------------------------------------------------------------------------------------------------ NEW YORK REGIONAL RAIL CORP COM STK COM 649768108 0.00 400,000.00 SH SOLE 400,000 0 0 NEXTMART INC COM STK COM 65338F102 0.00 50,000.00 SH SOLE 50,000 0 0 NOVADAQ TECH COM 66987G102 392.00 90,000.00 SH SOLE 90,000 0 0 NZX LIMITED COM 6623155 135.00 75,000.00 SH SOLE 75,000 0 0 OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 502.00 55,000.00 SH SOLE 55,000 0 0 OILTANKING PARTNERS LP COM 678049107 239.00 10,000.00 SH SOLE 10,000 0 0 OMNIVISION TECHNOLOGIES INC COM STK COM 682128103 562.00 40,000.00 SH SOLE 40,000 0 0 ONE VOICE TECHNOLOGIES INC COM STK COM 682421201 0.00 20,000.00 SH SOLE 20,000 0 0 OPEXA THERAPEUTICS INC-CW13 W EXP 02/13/2013 68372T111 8.00 22,500.00 SH SOLE 22,500 0 0 OPKO HEALTH INC COM COM 68375N103 758.00 175,000.00 SH SOLE 175,000 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 217.00 50,000.00 SH SOLE 50,000 0 0 PALATIN TECHNOLOGIES INC COM STK COM 696077403 15.00 30,000.00 SH SOLE 30,000 0 0 PANDORA MEDIA INC COM 698354107 147.00 10,000.00 SH PUT 10,000 0 0 PARAMETRIC SOUND CORP COM STK COM 699172102 19.00 25,000.00 SH SOLE 25,000 0 0 PATHFINDER MINERALS PLC (UKM LISTING) COM B4MB7K7 17.00 300,000.00 SH SOLE 300,000 0 0 PEOPLESTRING CORP COM STK COM 71272D9R6 40.00 250,650.00 SH SOLE 250,650 0 0 PFSWEB INC COM STK COM 717098206 76.00 20,000.00 SH SOLE 20,000 0 0 PHARMACYCLICS INC COM 723033106 118.00 10,000.00 SH SOLE 10,000 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 14.00 40,000.00 SH SOLE 40,000 0 0 PHOTOMEDEX INC COM STK COM 719358301 125.00 10,000.00 SH SOLE 10,000 0 0 PHYSICIANS FORMULA HLDGS INC COM 719427106 133.00 48,200.00 SH SOLE 48,200 0 0 PINECREST ENERGY INC COM STK COM 723033106 118.00 65,000.00 SH SOLE 65,000 0 0 PLX TECHNOLOGY INC COM STK COM 693417107 75.00 25,000.00 SH SOLE 25,000 0 0 PRIMO WATER CORP COM 74165N105 56.00 10,000.00 SH SOLE 10,000 0 0 PULSE ELECTRONICS CORP COM STK COM 74586W106 114.00 40,000.00 SH SOLE 40,000 0 0 PULTE GROUP INC COM STK COM 745867101 138.00 35,000.00 SH SOLE 35,000 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 13.00 95,000.00 SH SOLE 95,000 0 0 QUEPASA CORP COM NEW COM 74833W206 284.00 82,500.00 SH SOLE 82,500 0 0 QUSTREAM CORP COM 749131108 37.00 25,000.00 SH SOLE 25,000 0 0 RADNET INC COM STK COM 750491102 49.00 20,000.00 SH SOLE 20,000 0 0 RADWARE LTD COM STK COM M81873107 432.00 20,000.00 SH SOLE 20,000 0 0 RAMBUS INC COM 750917106 210.00 15,000.00 SH CALL SOLE 15,000 0 0 RAMBUS INC DEL COM STK COM 750917106 210.00 15,000.00 SH SOLE 15,000 0 0 RDA MICROELECTRONICS INC ADR SPONSOR ADR 749394102 254.00 30,000.00 SH SOLE 30,000 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 ------------------------------------------------------------------------------------------------------------------------------------ REIS INC INC COM STK COM 75936P105 366.00 41,302.00 SH SOLE 41,302 0 0 REPROS THERAPEUTICS INC COM STK COM 76028H209 336.00 90,000.00 SH SOLE 90,000 0 0 RESEARCH IN MOTION CAD COM 760975102 406.00 20,000.00 SH SOLE 20,000 0 0 RESPONSE GENETICS INC COM 76123U105 95.00 50,000.00 SH SOLE 50,000 0 0 RETRACTABLE TECHNOLOGIES INC COM STK COM 76129W105 14.00 10,000.00 SH SOLE 10,000 0 0 RODINA OIL CORP CL-AWRNT EXP 5/28/2012 W EXP 5/28/2012 77487N117 3.00 50,000.00 SH SOLE 50,000 0 0 RODINIA OIL CORP CLASS A CLASS A 77487N109 25.00 40,000.00 SH SOLE 40,000 0 0 RODMAN RENSHW CAPT GRP COM 77487R100 112.00 99,867.00 SH SOLE 99,867 0 0 ROUGE INDS INC DEL CL A COM STK CLASS A 779088103 0.00 100,000.00 SH SOLE 100,000 0 0 RTI BIOLOGICS INC COM STK COM 74975N105 247.00 75,000.00 SH SOLE 75,000 0 0 RUBICON LIMITED NZD COM 572993ZM8 40.00 130,000.00 SH SOLE 130,000 0 0 SALLY BEAUTY CO INC COM 79546E104 166.00 10,000.00 SH SOLE 10,000 0 0 SANDISK CORP COM STK COM 80004C101 423.00 10,492.00 SH SOLE 10,492 0 0 SANDRIDGE MISSISSIPPIAN COM 80007T101 225.00 10,000.00 SH SOLE 10,000 0 0 SANOFI CONTGNT VAL RIGHTS RIGHT 12/31/2020 80105N113 53.00 50,000.00 SH SOLE 50,000 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 180.00 328,000.00 SH SOLE 328,000 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 3.00 26,100.00 SH SOLE 26,100 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 ------------------------------------------------------------------------------------------------------------------------------------ SHUTTERFLY INC COM STK COM 82568P304 255.00 6,200.00 SH SOLE 6,200 0 0 SILICON IMAGE INC COM STK COM 82705T102 323.00 55,000.00 SH SOLE 55,000 0 0 SILICON MOTION TECHNOLOGY CORP ADR SPONSOR ADR 82706C108 809.00 70,000.00 SH SOLE 70,000 0 0 SINGAPORE EXCHANGE COM 6303866 380.00 75,000.00 SH SOLE 75,000 0 0 SIONIX CORP COM STK COM 829400100 14.00 200,000.00 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 504.00 40,445.00 SH SOLE 40,445 0 0 SMART BALANCE INC COM STK COM 83169Y108 413.00 70,000.00 SH SOLE 70,000 0 0 SODASTREAM INTERNATIONAL LTD COM M9068E105 391.00 11,000.00 SH SOLE 11,000 0 0 SONIC CORP COM STK COM 835451105 71.00 10,000.00 SH SOLE 10,000 0 0 SONUS NETWORKS INC COM STK COM 835916107 378.00 175,000.00 SH SOLE 175,000 0 0 SPECTRUM BRANDS HOLDINGS INC COM COM 84763R101 236.00 10,000.00 SH SOLE 10,000 0 0 SPRINT NEXTEL CORP COM 852061100 456.00 150,000.00 SH SOLE 150,000 0 0 ST JUDE MEDICAL INC COM 790849103 1,086.00 30,000.00 SH SOLE 30,000 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 0.00 50,000.00 SH SOLE 50,000 0 0 SUPERVALUE INC USD COM COM 868536103 167.00 25,000.00 SH SOLE 25,000 0 0 SWISHER HYGIENE INC COM COM 870808102 277.00 68,334.00 SH SOLE 68,334 0 0 SYNERGETICS USA INC COM STK COM 87160G107 54.00 10,000.00 SH SOLE 10,000 0 0 TANFIELD GROUP (UKM LISTING) COM B4QHFM9 6.00 10,000.00 SH SOLE 10,000 0 0 TCF FINANCIAL EQY WARRANT W EXP 1/14/2018 872275128 46.00 25,000.00 SH SOLE 25,000 0 0 THE HOWARD HUGHS COM 44267D107 211.00 5,000.00 SH SOLE 5,000 0 0 THEGLOBE.COM INC COM STK COM 88335R101 0.00 100,000.00 SH SOLE 100,000 0 0 TITANIUM ASSET MGMT RSTD COM 88899G970 0.00 100,000.00 SH SOLE 100,000 0 0 TOLL BROTHERS INC COM STK COM 889478103 216.00 15,000.00 SH SOLE 15,000 0 0 TOWERSTREAM CORP COM TK COM 892000100 184.00 72,000.00 SH SOLE 72,000 0 0 TRIO MERGER CORP UNIT UNIT 6/19/2016 896697208 612.00 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 TRONOX INC. COM 897051306 390.00 5,000.00 SH SOLE 5,000 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 UNDERGROUND SOLUTIONS INC COM STK COM 904323102 4.00 25,000.00 SH SOLE 25,000 0 0 UNIFI INC COM STK COM 904677200 551.00 67,500.00 SH SOLE 67,500 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 3.00 25,000.00 SH SOLE 25,000 0 0 URANIUM RESOURCE COM 916901507 34.00 50,000.00 SH SOLE 50,000 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 52.00 80,000.00 SH SOLE 80,000 0 0 USA_TECHNOL_WT W EXP 12/31/2011 90328S179 4.00 40,000.00 SH SOLE 40,000 0 0 VAALDIAM MINING INC COM COM 918471103 2.00 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 VIRAGEN INC COM STK COM 927638403 0.00 50,000.00 SH SOLE 50,000 0 0 VIRNETX HOLDING CORP COM STK COM 92823T108 225.00 15,000.00 SH SOLE 15,000 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 1,200.00 631,830.00 SH SOLE 631,830 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 ------------------------------------------------------------------------------------------------------------------------------------ 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 258.00 20,000.00 SH SOLE 20,000 0 0 WEIRTON STEEL CORP COM STK COM 948774104 0.00 300,000.00 SH SOLE 300,000 0 0 WENDYS CO CL A COM STK CLASS A 95058W100 115.00 25,000.00 SH SOLE 25,000 0 0 WEST COAST BANCORP ORE NEW COM STK COM 952145209 3,638.00 250,000.00 SH SOLE 250,000 0 0 WI-LAN INC COM COM 928972108 346.00 60,000.00 SH SOLE 60,000 0 0 WILSHIRE BANCORP INC COM COM 97186T108 178.00 65,000.00 SH SOLE 65,000 0 0 WORLD ENERGY SOLUTIONS INC DEL COM STK COM 98145W208 158.00 53,302.00 SH SOLE 53,302 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 47.00 120,100.00 SH SOLE 120,100 0 0 XECHEM INTERNATIONAL INC COM STK COM 983895301 0.00 350,500.00 SH SOLE 350,500 0 0 YAHOO INC COM STK COM 984332106 204.00 15,500.00 SH SOLE 15,500 0 0 ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SH SOLE 25,000 0 0 ZAP COM STK COM 98912M201 12.00 32,500.00 SH SOLE 32,500 0 0 ZIPCAR INC COM 98974X103 180.00 10,000.00 SH SOLE 10,000 0 0 ZIPCAR INC COM 98974X103 396.00 22,000.00 SH CALL SOLE 22,000 0 0 FINAL 79,951.00 35,286,881.00 35,286,881.00

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