0001019056-12-000143.txt : 20120209 0001019056-12-000143.hdr.sgml : 20120209 20120209154851 ACCESSION NUMBER: 0001019056-12-000143 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120209 DATE AS OF CHANGE: 20120209 EFFECTIVENESS DATE: 20120209 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: 12587011 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_13f12312011.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER Report for the Calendar Year or Quarter Ended: December 31, 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 February 9, 2012 --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 12/31/2011 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 302 ----------- Form 13F Information Table Value Total $ 126,372 ----------- (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 ------------------------------------------------------------------------------------------------------------------------------------ ABBOTT LABORATORIES COM 002824100 281.00 5,000.00 SH SOLE 5,000.00 0 0 ACUSPHERE INC COM STK COM 00511R870 3.00 55,000.00 SH SOLE 55,000.00 0 0 ADELPHIA RECOVERY SERVICES COM 00685R409 0.00 249,615.00 SH SOLE 249,615.00 0 0 ADVANCED VIRAL RESH CORP COM STK COM 007928104 0.00 250,000.00 SH SOLE 250,000.00 0 0 AEROPOSTALE COM STK COM 007865108 153.00 10,000.00 SH SOLE 10,000.00 0 0 AIRASIA BHD COM B03J9L7 89.00 75,000.00 SH SOLE 75,000.00 0 0 AKORN INC COM STK COM 009728106 222.00 20,000.00 SH SOLE 20,000.00 0 0 ALICORP SA PEN1 'C' SHS COM 2162834 56.00 25,000.00 SH SOLE 25,000.00 0 0 ALTER NRG CORP COM COM 02145W101 52.00 100,000.00 SH SOLE 100,000.00 0 0 AMEDIA NETWORKS INC COM 023434103 0.00 250,000.00 SH SOLE 250,000.00 0 0 AMERICAN APPAREL INCCORP COM STK COM 023850100 54.00 75,000.00 SH SOLE 75,000.00 0 0 AMERICAN HEALTHCHOISINC COM 025929209 0.00 175,000.00 SH SOLE 175,000.00 0 0 AMERICAN RIVER BANKSHARES COM STK COM 029326105 91.00 20,000.00 SH SOLE 20,000.00 0 0 AMERICANA DISTBN COM 030556104 0.00 600,000.00 SH SOLE 600,000.00 0 0 ANADIGICS INC COM STK COM 032515108 438.00 200,000.00 SH SOLE 200,000.00 0 0 ANDERSON ENERGY COM 033839101 26.00 50,000.00 SH SOLE 50,000.00 0 0 ANTRIM ENERGY COM 037243102 60.00 50,000.00 SH SOLE 50,000.00 0 0 APPLIED NEUROSOLUTIONS INC COM STK COM 03823Y203 1.00 98,668.00 SH SOLE 98,668.00 0 0 ARCOS DORADOS HOLDINGS INC COM STK COM G0457F107 308.00 15,000.00 SH SOLE 15,000.00 0 0 ARUBA NETWORK INC COM 043176106 463.00 25,000.00 SH SOLE 25,000.00 0 0 ASSOCIATED BANC EQY WARRANT COM 045487113 61.00 50,000.00 SH SOLE 50,000.00 0 0 ASSURED GUARANTY LTD (BERMUDA) COM STK COM G0585R106 131.00 10,000.00 SH SOLE 10,000.00 0 0 ATLAS ACQUISITION WRNT COM 049162118 0.00 25,000.00 SH SOLE 25,000.00 0 0 ATLAS ESTATES LD (UKM LISTING) COM B0WDBP8 21.00 52,961.00 SH SOLE 52,961.00 0 0 ATLAS PIPELINE PARTNERS L P COM STK COM 049392103 372.00 10,000.00 SH SOLE 10,000.00 0 0 AUGUSTA RESOURCE COM 050912203 109.00 35,000.00 SH SOLE 35,000.00 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 392.00 12,500.00 SH SOLE 12,500.00 0 0 AVATAR HOLDINGS INC COM STK COM 053494100 376.00 52,300.00 SH SOLE 52,300.00 0 0 AVESIS INC COM STK COM 053650107 70.00 144,200.00 SH SOLE 144,200.00 0 0 AVI BIOPHARMA INC WRNT EXP 8/25/2014 W EXP 08/25/ 002346146 0.00 32,050.00 SH SOLE 32,050.00 0 0 2014 AZURE DYNAMICS CORP CL A CLASS A 05500N103 10.00 150,000.00 SH SOLE 150,000.00 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 ------------------------------------------------------------------------------------------------------------------------------------ B & G FOODS INC NEW CLASS A CLASS A 05508R106 241.00 10,000.00 SH SOLE 10,000.00 0 0 BANK OF AMERICA CORP COM 060505104 834.00 150,000.00 SH CALL SOLE 150,000.00 0 0 BANK OF AMERICA CORP COM STK COM 060505104 14,288.00 2,569,791.00 SH SOLE 2,569,791.00 0 0 BANK OF AMERICA CORP WARRANT W EXP 10/28/2018 060505153 54.00 175,000.00 SH SOLE 175,000.00 0 0 BANK OF AMERICA CORPWT EXP 1/16/19 W EXP 1/16/2019 060505146 202.00 100,000.00 SH SOLE 100,000.00 0 0 BANK OF IRELAND EUR0.64 ORDS (DUBLIN LIS COM 3070732 321.00 3,000,000.00 SH SOLE 3,000,000.00 0 0 BBV VIETNAM S.E.A. ACQUISITION W EXP 02/08/2012 Y0764A122 0.00 34,500.00 SH SOLE 34,500.00 0 0 BEAM INC COM 073730103 256.00 5,000.00 SH SOLE 5,000.00 0 0 BEAZER HOMES USA INC COM STK COM 07556Q105 124.00 50,000.00 SH SOLE 50,000.00 0 0 BERKSHIRE HILLS BANCORP INC COM STK COM 084680107 555.00 25,000.00 SH SOLE 25,000.00 0 0 BILL 01/19/12 US T BILL EXP 01/19/2012 912795Y62 35,000.00 35,000,000.00 PRIN SOLE 35,000,000.00 0 0 BLACKSTONE GROUP LP COM 09253U108 841.00 60,000.00 SH SOLE 60,000.00 0 0 BLACKSTONE GROUP LP COM 09253U108 140.00 10,000.00 SH CALL SOLE 10,000.00 0 0 BLUEFLY INC COM STK COM 096227301 86.00 40,000.00 SH SOLE 40,000.00 0 0 BM&F BOVESPA SA COM B2RHNV9 656.00 125,000.00 SH SOLE 125,000.00 0 0 BOLSA A (MEX LISTING) COM B39VVF6 80.00 50,000.00 SH SOLE 50,000.00 0 0 BOLSA DE VALOR. COP1 COM B24FPF4 28.00 2,058,500.00 SH SOLE 2,058,500.00 0 0 BOMBARDIER CL-B CLASS B 097751200 99.00 25,000.00 SH SOLE 25,000.00 0 0 BOSTON SCIENTIFIC CORP COM 101137107 107.00 20,000.00 SH CALL SOLE 20,000.00 0 0 BOSTON SCIENTIFIC CORP COM STK COM 101137107 267.00 50,000.00 SH SOLE 50,000.00 0 0 BRASIL BROKERS PARTICIPACOES COM B28XFX2 149.00 50,000.00 SH SOLE 50,000.00 0 0 BROADCOM CORP CL A COM STK CLASS A 111320107 881.00 30,000.00 SH SOLE 30,000.00 0 0 BROADWIND ENERGY INC COM STK COM 11161T108 34.00 50,000.00 SH SOLE 50,000.00 0 0 BURSA MALAYSIA BHD COM B06FV38 74.00 35,000.00 SH SOLE 35,000.00 0 0 BWIN.PARTY DIGITAL ENTERTAINMENT PLC COM B53TNH6 64.00 25,000.00 SH SOLE 25,000.00 0 0 CABLEVISION SYS CORP COM STK COM 12686C109 356.00 25,000.00 SH SOLE 25,000.00 0 0 CANACCORD CAP INC COM COM 134801109 307.00 40,000.00 SH SOLE 40,000.00 0 0 CAPSTONE TURBINE CORP COM STK COM 14067D102 348.00 300,000.00 SH SOLE 300,000.00 0 0 CARGO CONNECTION LOGISTICS HL COM STK COM 141794107 0.00 200,000.00 SH SOLE 200,000.00 0 0 CARIBOU COFFEE INC COM STK COM 142042209 356.00 25,500.00 SH SOLE 25,500.00 0 0 CARROLS HOLDINGS CORP COM 14574X104 116.00 10,000.00 SH SOLE 10,000.00 0 0 CENTERLINE HLDG CO COM STK COM 15188T108 14.00 205,000.00 SH SOLE 205,000.00 0 0 CENTRAL WIRELESS INC COM STK COM 15607P109 0.00 660,000.00 SH SOLE 660,000.00 0 0 CHEVRON CORP COM 166764100 532.00 5,000.00 SH SOLE 5,000.00 0 0 CHINA HEALTHCARE AQUISITION WRNT W EXP 4/18/2012 16939Q112 0.00 29,300.00 SH SOLE 29,300.00 0 0 CHINA MOBILE MEDIA TECHNOLOGY COM COM 16950C109 0.00 74,000.00 SH SOLE 74,000.00 0 0 CHROMADEX CORP COM STK COM 171077100 6.00 10,000.00 SH SOLE 10,000.00 0 0 CIENA CORP COM STK COM 171779309 484.00 40,000.00 SH SOLE 40,000.00 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 ------------------------------------------------------------------------------------------------------------------------------------ CIT GROUP INC COM STK COM 125581801 523.00 15,000.00 SH SOLE 15,000.00 0 0 CITIGROUP INC COM 172967424 2,631.00 100,000.00 SH CALL SOLE 100,000.00 0 0 CITIGROUP INC COM STK COM 172967424 960.00 36,500.00 SH SOLE 36,500.00 0 0 CITIGROUP INC WRNT AEXP 01/04/2019 W EXP 01/04/2019 172967226 7.00 25,000.00 SH SOLE 25,000.00 0 0 CITIGROUP INC WRNT BEXP 10/28/2018 W EXP 10/28/2018 172967234 3.00 50,000.00 SH SOLE 50,000.00 0 0 CLAL BIOTECH (ISR LISTING) COM B23GNK9 48.00 10,000.00 SH SOLE 10,000.00 0 0 CLINICAL DATA CVR COM STK COM 187CVR998 0.00 25,000.00 SH SOLE 25,000.00 0 0 COCA COLA CO COM 191216100 350.00 5,000.00 SH SOLE 5,000.00 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 0.00 145,000.00 SH SOLE 145,000.00 0 0 CONVERTED ORGANICS INC - CW12 02/12/12 W EXP 02/12/2012 21254S123 0.00 50,000.00 SH SOLE 50,000.00 0 0 CONVERTED ORGANICS INC WRNT W EXP 12/31/2014 21254S131 0.00 18,000.00 SH SOLE 18,000.00 0 0 CORNING INC COM STK COM 219350105 1,217.00 93,750.00 SH SOLE 93,750.00 0 0 Coronado Biosciences Inc. Common COM 21976U109 65.00 10,000.00 SH SOLE 10,000.00 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0.00 200,000.00 SH SOLE 200,000.00 0 0 COWEN GROUP INC COM 223622101 460.00 177,448.00 SH SOLE 177,448.00 0 0 CREE INC COM STK COM 225447101 661.00 30,000.00 SH SOLE 30,000.00 0 0 CULLEN AGRIC HLDG CORP WRNT W EXP 10/21/2013 229894118 0.00 125,600.00 SH SOLE 125,600.00 0 0 CURIS INC COM STK COM 231269101 234.00 50,000.00 SH SOLE 50,000.00 0 0 CYTORI THERAPEUTICS WRNT EXP 2/28/2012 W EXP 02/28/2012 232993022 0.00 43,555.00 SH SOLE 43,555.00 0 0 DENNYS CORP COM STK COM 24869P104 2,237.00 595,000.00 SH SOLE 595,000.00 0 0 DIME BANCORP INC WTS W EXP 99/99/9999 25429Q110 280.00 350,000.00 SH SOLE 350,000.00 0 0 DISH NETWORK CORP CL A CLASS A 25470M109 854.00 30,000.00 SH SOLE 30,000.00 0 0 DISTRIBUTED ENERGY SYS CORP COM STK COM 25475V104 0.00 50,000.00 SH SOLE 50,000.00 0 0 DYNAVOX INC-CLASS A CLASS A 26817F104 109.00 30,000.00 SH SOLE 30,000.00 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 ------------------------------------------------------------------------------------------------------------------------------------ E TRADE FINL CORP COM STK COM 269246401 119.00 15,000.00 SH SOLE 15,000.00 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 57.00 25,000.00 SH SOLE 25,000.00 0 0 EL PASO CORP COM COM 28336L109 266.00 10,000.00 SH SOLE 10,000.00 0 0 ELAN CORP COM 284131208 344.00 25,000.00 SH CALL SOLE 25,000.00 0 0 ELAN CORP PLC ADR SPONS ADR 284131208 687.00 50,000.00 SH SOLE 50,000.00 0 0 ELECTRONIC GAME CARD INC COM STK COM 285716106 0.00 25,000.00 SH SOLE 25,000.00 0 0 EMISPHERE TECHNOLOGIES INC COM STK COM 291345106 5.00 25,000.00 SH SOLE 25,000.00 0 0 ENDOVASC INC COM STK COM 29267B102 0.00 255,000.00 SH SOLE 255,000.00 0 0 ENERGY WORLD CORP LTD COM 996992FQ1 53.00 75,000.00 SH SOLE 75,000.00 0 0 ENSTAR GROUP LIMITED COM STK COM G3075P101 737.00 7,500.00 SH SOLE 7,500.00 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 0.00 25,000.00 SH SOLE 25,000.00 0 0 ENTREMED INC COM STK COM 29382F202 24.00 25,000.00 SH SOLE 25,000.00 0 0 ENTROPIC COMMUNICATIONS COM 29384R105 511.00 100,000.00 SH CALL SOLE 100,000.00 0 0 EQUITY LIFESTYLE PROPERTIES IN COM REIT COM 29472R108 1,000.00 15,000.00 SH SOLE 15,000.00 0 0 EUROGAS INC COM STK COM 298734104 0.00 260,000.00 SH SOLE 260,000.00 0 0 EXTERRAN HOLDINGS INC COM 30225X103 455.00 50,000.00 SH SOLE 50,000.00 0 0 FARMER BROTHERS CO COM STK COM 307675108 115.00 15,000.00 SH SOLE 15,000.00 0 0 FEIHE INTL INC COM STK COM 31429Y103 26.00 10,000.00 SH SOLE 10,000.00 0 0 FIDELITY NATIONAL FINANCIAL CL A CLASS A 31620R105 398.00 25,000.00 SH SOLE 25,000.00 0 0 FINANCIAL TECHNOLOGIES (INDIA) LD COM B287HL6 29.00 20,000.00 SH SOLE 20,000.00 0 0 FINISAR CORP COM STK COM 31787A507 921.00 55,000.00 SH SOLE 55,000.00 0 0 FORD MOTOR WRNT EXP 01/01/2013 W EXP 01/01/2013 345370134 228.00 95,000.00 SH SOLE 95,000.00 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 473.00 140,000.00 SH SOLE 140,000.00 0 0 FRANKLIN FINANCIAL CORP/VA COM STK COM 35353C102 503.00 42,500.00 SH SOLE 42,500.00 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 36.00 100,000.00 SH SOLE 100,000.00 0 0 GAMESTOP CORP NEW CL A COM STK CLASS A 36467W109 241.00 10,000.00 SH SOLE 10,000.00 0 0 GEEKNET INC COM STK COM 36846Q203 434.00 25,450.00 SH SOLE 25,450.00 0 0 GENERAL MOTORS CO COM 37045V100 589.00 29,063.00 SH SOLE 29,063.00 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 1,000,000.00 0 0 GENERAL MOTORS CW16 WRNT EXP 07/10/2016 W EXP 07/10/2016 37045V118 396.00 33,779.00 SH SOLE 33,779.00 0 0 GENEREX BIOTECHNOLOGY CORP DEL COM STK COM 371485103 2.00 10,000.00 SH SOLE 10,000.00 0 0 GENOMED INC COM STK COM 37243C102 0.00 475,000.00 SH SOLE 475,000.00 0 0 GENWORTH FINANCIAL INC COM 37247D106 164.00 25,000.00 SH SOLE 25,000.00 0 0 GEROVA FINANCIAL GROUP LTD WRNT W EXP 1/16/2014 G38490176 0.00 21,000.00 SH SOLE 21,000.00 0 0 GI DYNAMICS INC COM B5T6W85 23.00 25,000.00 SH SOLE 25,000.00 0 0 GIVEN IMAGING LTD COM STK COM M52020100 174.00 10,000.00 SH SOLE 10,000.00 0 0 GLOBAL AIRCRAFT SOLUTIONS INC COM STK COM 378964100 0.00 100,000.00 SH SOLE 100,000.00 0 0 GLOBAL PWR EQUIP GROUP INC COM STK COM 37941P306 696.00 29,299.00 SH SOLE 29,299.00 0 0 GPS INDUSTRIES INC COM STK COM 383870102 0.00 150,000.00 SH SOLE 150,000.00 0 0 GROUPON INC CL A COM 399473107 516.00 25,000.00 SH PUT SOLE 25,000.00 0 0 GROWERS DIRECT COFFEE CO STK COM 399849108 0.00 25,000.00 SH SOLE 25,000.00 0 0 GS MARKET PLUS COM 38143ULJ8 46.00 40,000.00 SH SOLE 40,000.00 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 ------------------------------------------------------------------------------------------------------------------------------------ HALOZYME THERAPEUTICS INC COM STK COM 40637H109 523.00 55,000.00 SH SOLE 55,000.00 0 0 HANESBRANDS COM 410345102 219.00 10,000.00 SH SOLE 10,000.00 0 0 HARD TO TREAT DISEASES INC COM STK COM 41164A103 0.00 500,000.00 SH SOLE 500,000.00 0 0 HARDINGE BROTHERS INC COM STK COM 412324303 81.00 10,000.00 SH SOLE 10,000.00 0 0 HARMONIC INC COM STK COM 413160102 50.00 10,000.00 SH SOLE 10,000.00 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 20.00 35,000.00 SH SOLE 35,000.00 0 0 HARTMARX CORP COM STK COM 417119104 0.00 76,200.00 SH SOLE 76,200.00 0 0 HEALTH DISCOVERY CORP COM STK COM 42218R100 2.00 25,000.00 SH SOLE 25,000.00 0 0 HEALTHY FAST FOOD INC WRNT W EXP 3/19/2013 90349P113 1.00 25,000.00 SH SOLE 25,000.00 0 0 HEALTHY FAST FOOD INC WRNT W EXP 3/19/2013 90349P121 0.00 50,000.00 SH SOLE 50,000.00 0 0 HECKMANN CORP COM STK COM 422680108 499.00 75,000.00 SH SOLE 75,000.00 0 0 HELLENIC EXCHANGES SA ORDS (GRE LISTING) COM 4108278 112.00 30,000.00 SH SOLE 30,000.00 0 0 HERITAGE OAKS BANCORP COM STK COM 42724R107 1,018.00 287,500.00 SH SOLE 287,500.00 0 0 HK EXCHANGES & CLEARING ORD COM 6267359 879.00 55,000.00 SH SOLE 55,000.00 0 0 HONEYWELL INTL INC DEL COM 438516106 280.00 5,150.00 SH SOLE 5,150.00 0 0 HOT TOPIC INC COM STK COM 441339108 198.00 30,000.00 SH SOLE 30,000.00 0 0 HUTCHINSON TECHNOLOGY INC COM STK COM 448407106 150.00 100,000.00 SH SOLE 100,000.00 0 0 HYDRON TECH INC COM 449020205 0.00 100,000.00 SH SOLE 100,000.00 0 0 IBX GROUP INC COM STK COM 449229103 0.00 200,000.00 SH SOLE 200,000.00 0 0 IGENE BIOTECHNOLOGY INC COM STK COM 451695100 0.00 100,000.00 SH SOLE 100,000.00 0 0 IMAGINATION TECHNOLOGIES GROUP 10P ORDS COM G93593104 213.00 25,000.00 SH SOLE 25,000.00 0 0 IMAX CORP CAD COM (USD) COM 45245E109 1,283.00 70,000.00 SH SOLE 70,000.00 0 0 INDIA GLOBALIZATION CAP CW11 EXP 3/8/13 W EXP 3/8/2013 45408X118 2.00 157,798.00 SH SOLE 157,798.00 0 0 INSULET CORP COM 45784P101 377.00 20,000.00 SH SOLE 20,000.00 0 0 INTEGRAL VISION INC COM STK COM 45811H106 21.00 1,069,107.00 SH SOLE 1,069,107.00 0 0 INTER PARFUMS INC COM STK COM 458334109 156.00 10,000.00 SH SOLE 10,000.00 0 0 IRIDIUM COMMUNICATINOS INC COM 46269C110 17.00 10,000.00 SH SOLE 10,000.00 0 0 ISIP TELECOM INC COM STK RSTD COM 464990993 0.00 10,000.00 SH SOLE 10,000.00 0 0 ISONICS CORP COM STK COM 464895309 0.00 25,000.00 SH SOLE 25,000.00 0 0 IVANHOE MINES LIMITED COM 46579N103 443.00 25,000.00 SH SOLE 25,000.00 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 ------------------------------------------------------------------------------------------------------------------------------------ JEFFERIES GROUP INC COM 472319102 688.00 50,000.00 SH PUT SOLE 50,000.00 0 0 JESUP & LAMONT INC COM STK COM 477046106 0.00 21,894.00 SH SOLE 21,894.00 0 0 JMP GROUP INC COM STK COM 46629U107 465.00 65,000.00 SH SOLE 65,000.00 0 0 JOHNSON & JOHNSON COM 478160104 328.00 5,000.00 SH SOLE 5,000.00 0 0 JP MORGAN CHASE WRNT EXP 10/28/2018 W EXP 10/28/2018 46634E114 383.00 45,000.00 SH SOLE 45,000.00 0 0 KENNEDY-WILSON HLDGS INC WRNT W EXP 11/14/2013 489398115 34.00 18,621.00 SH SOLE 18,621.00 0 0 KEYCORP COM 493267108 77.00 10,000.00 SH SOLE 10,000.00 0 0 KEYNOTE SYS INC COM STK COM 493308100 737.00 35,900.00 SH SOLE 35,900.00 0 0 KHD HUMBOLDT WEDAG INTERNATIONAL COM 99000PV29 194.00 30,000.00 SH SOLE 30,000.00 0 0 KIMBERLY CLARK CORP COM 494368103 368.00 5,000.00 SH SOLE 5,000.00 0 0 KODIAK OIL & GAS CO COM 50015Q100 333.00 35,000.00 SH SOLE 35,000.00 0 0 KRISPY KREME DOUGHNUTS INC COM STK COM 501014104 65.00 10,000.00 SH SOLE 10,000.00 0 0 LA CORTEZ ENTPS COM 50255M108 3.00 25,000.00 SH SOLE 25,000.00 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 992.00 400,000.00 SH SOLE 400,000.00 0 0 LAREDO PETROLEUM HOLDINGS INC COM 516806106 319.00 14,300.00 SH SOLE 14,300.00 0 0 LDK SOLAR CO COM 50183L107 293.00 70,000.00 SH PUT SOLE 70,000.00 0 0 LENNAR CORP CL A COM STK CLASS A 526057104 1,179.00 60,000.00 SH SOLE 60,000.00 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0.00 575,000.00 SH SOLE 575,000.00 0 0 LINN ENERGY LLC COM STK COM 536020100 284.00 7,500.00 SH SOLE 7,500.00 0 0 LIZ CLAIBORNE INC COM STK COM 539320101 302.00 35,000.00 SH SOLE 35,000.00 0 0 LUBYS INC COM STK COM 549282101 244.00 54,000.00 SH SOLE 54,000.00 0 0 LYDIAN INTERNATIONAL LTD COM COM G5724R107 23.00 10,000.00 SH SOLE 10,000.00 0 0 MARVELL TECHNOLOGY GROUP LTD COM STK COM G5876H105 900.00 65,000.00 SH SOLE 65,000.00 0 0 MATTSON TECHNOLOGY INC COM STK COM 577223100 255.00 184,700.00 SH SOLE 184,700.00 0 0 MERA PHARMACEUTICALS INC COM STK COM 58732R103 0.00 200,000.00 SH SOLE 200,000.00 0 0 MERCATOR MINERALS LTD COM 587582107 15.00 10,000.00 SH SOLE 10,000.00 0 0 MERGE HEALTHCARE INC COM STK COM 589499102 121.00 25,000.00 SH SOLE 25,000.00 0 0 MERITOR INC COM STK COM 59001K100 133.00 25,000.00 SH SOLE 25,000.00 0 0 MGM ENERGY CORP COM COM 59318A100 5.00 25,000.00 SH SOLE 25,000.00 0 0 MICHAEL KORS HOLDINGS LIMITED COM STK COM G60754101 1,390.00 51,000.00 SH SOLE 51,000.00 0 0 MICROSOFT CORP COM STK COM 594918104 2,731.00 105,200.00 SH SOLE 105,200.00 0 0 MONACO COACH CORP COM STK COM 60886R103 0.00 50,000.00 SH SOLE 50,000.00 0 0 MORPHOSYS AG NPV ORDS COM 5531000 1,136.00 50,000.00 SH SOLE 50,000.00 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 400,000.00 0 0 NEXTMART INC COM STK COM 65338F102 0.00 50,000.00 SH SOLE 50,000.00 0 0 NOVADAQ TECH COM 66987G102 444.00 90,000.00 SH SOLE 90,000.00 0 0 NPS PHARMACEUTICALS INC COM STK COM 62936P103 494.00 75,000.00 SH SOLE 75,000.00 0 0 NZX LIMITED COM 6623155 132.00 75,000.00 SH SOLE 75,000.00 0 0 OBAGI MEDICAL PRODUCT INC COM COM 67423R108 173.00 17,000.00 SH SOLE 17,000.00 0 0 OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 631.00 75,000.00 SH SOLE 75,000.00 0 0 OILTANKING PARTNERS LP COM 678049107 279.00 10,000.00 SH SOLE 10,000.00 0 0 ONE VOICE TECHNOLOGIES INC COM STK COM 682421201 0.00 20,000.00 SH SOLE 20,000.00 0 0 OPEXA THERAPEUTICS INC-CW13 W EXP 02/13/2013 68372T111 4.00 22,500.00 SH SOLE 22,500.00 0 0 OPKO HEALTH INC COM 68375N103 98.00 20,000.00 SH CALL SOLE 20,000.00 0 0 OPKO HEALTH INC COM COM 68375N103 980.00 200,000.00 SH SOLE 200,000.00 0 0 OPTIONABLE INC COM STK COM 684006109 2.00 70,000.00 SH SOLE 70,000.00 0 0 ORGANA GARDENS INTL COM STK COM 68618Y106 0.00 25,000.00 SH SOLE 25,000.00 0 0 OWENS ILL INC COM STK COM 690768403 194.00 10,000.00 SH SOLE 10,000.00 0 0 PACE OIL & GAS LTD COM COM 69374D104 168.00 40,000.00 SH SOLE 40,000.00 0 0 PARAMETRIC SOUND CORP COM STK COM 699172102 24.00 34,300.00 SH SOLE 34,300.00 0 0 PATHFINDER MINERALS PLC (UKM LISTING) COM B4MB7K7 14.00 300,000.00 SH SOLE 300,000.00 0 0 PEOPLESTRING CORP COM STK COM 71272D103 17.00 350,650.00 SH SOLE 350,650.00 0 0 PFSWEB INC COM STK COM 717098206 66.00 20,000.00 SH SOLE 20,000.00 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 12.00 40,000.00 SH SOLE 40,000.00 0 0 PHOTOMEDEX INC COM STK COM 719358301 161.00 12,500.00 SH SOLE 12,500.00 0 0 PHYSICIANS FORMULA HLDGS INC COM 719427106 154.00 48,000.00 SH SOLE 48,000.00 0 0 PINECREST ENERGY INC COM STK COM 723033106 82.00 35,000.00 SH SOLE 35,000.00 0 0 PULSE ELECTRONICS CORP COM STK COM 74586W106 70.00 25,000.00 SH SOLE 25,000.00 0 0 PULTE GROUP INC COM STK COM 745867101 379.00 60,000.00 SH SOLE 60,000.00 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 5.00 95,000.00 SH SOLE 95,000.00 0 0 QUEPASA CORP COM NEW COM 74833W206 299.00 90,000.00 SH SOLE 90,000.00 0 0 QUSTREAM CORP COM 749131108 0.00 25,000.00 SH SOLE 25,000.00 0 0 RADWARE LTD COM STK COM M81873107 731.00 25,000.00 SH SOLE 25,000.00 0 0 RAMBUS INC DEL COM STK COM 750917106 189.00 25,000.00 SH SOLE 25,000.00 0 0 REIS INC INC COM STK COM 75936P105 377.00 41,302.00 SH SOLE 41,302.00 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 ------------------------------------------------------------------------------------------------------------------------------------ RENTECH INC COM STK COM 760112102 33.00 25,000.00 SH SOLE 25,000.00 0 0 REPROS THERAPEUTICS INC COM STK COM 76028H209 410.00 85,000.00 SH SOLE 85,000.00 0 0 RESEARCH IN MOTION CAD COM 760975102 725.00 50,000.00 SH SOLE 50,000.00 0 0 RESOLUTE ENERGY WRNT EXP 9/28/14 W EXP 9/28/2014 76116A116 60.00 40,000.00 SH SOLE 40,000.00 0 0 RESPONSE GENETICS INC COM 76123U105 61.00 40,000.00 SH SOLE 40,000.00 0 0 RETRACTABLE TECHNOLOGIES INC COM STK COM 76129W105 12.00 10,000.00 SH SOLE 10,000.00 0 0 RODINA OIL CORP CL-AWRNT EXP 5/28/2012 W EXP 5/28/2012 77487N117 0.00 50,000.00 SH SOLE 50,000.00 0 0 RODINIA OIL CORP CLASS A CLASS A 77487N109 4.00 40,000.00 SH SOLE 40,000.00 0 0 RODMAN & RENSHAW CAPGROUP INC COM COM 77487R100 44.00 99,867.00 SH SOLE 99,867.00 0 0 ROSS STORES COM COM 778296103 238.00 5,000.00 SH SOLE 5,000.00 0 0 RUBICON LIMITED NZD COM 6341424 40.00 130,000.00 SH SOLE 130,000.00 0 0 SANOFI CONTGNT VAL RIGHTS RIGHT 12/31/2020 80105N113 90.00 75,000.00 SH SOLE 75,000.00 0 0 SCORES HOLDING CO INC COM STK COM 80917W202 0.00 10,000.00 SH SOLE 10,000.00 0 0 SEA CONTAINERS LTD CL A COM STK CLASS A 811371707 0.00 75,000.00 SH SOLE 75,000.00 0 0 SEADRILL COM G7945E105 498.00 15,000.00 SH SOLE 15,000.00 0 0 SEALED AIR CORP NEW COM STK COM 81211K100 172.00 10,000.00 SH SOLE 10,000.00 0 0 SEQUENOM INC COM 817337405 156.00 35,000.00 SH SOLE 35,000.00 0 0 SGOCO TECHNOLOGY LTD WT W EXP 03/07/2012 G80751111 2.00 26,100.00 SH SOLE 26,100.00 0 0 SILICON IMAGE INC COM STK COM 82705T102 423.00 90,000.00 SH SOLE 90,000.00 0 0 SINGAPORE EXCHANGE COM 6303866 355.00 75,000.00 SH SOLE 75,000.00 0 0 SIONIX CORP COM STK COM 829400100 10.00 200,000.00 SH SOLE 200,000.00 0 0 SIRIUS XM RADIO INC COM STK COM 82967N108 228.00 125,000.00 SH SOLE 125,000.00 0 0 SITESTAR CORP COM STK COM 82980W101 3.00 250,000.00 SH SOLE 250,000.00 0 0 SLM CORP COM STK COM 78442P106 134.00 10,000.00 SH SOLE 10,000.00 0 0 SODASTREAM INTERNATIONAL LTD COM M9068E105 490.00 15,000.00 SH SOLE 15,000.00 0 0 SONUS NETWORKS INC COM STK COM 835916107 420.00 175,000.00 SH SOLE 175,000.00 0 0 SPARE BUCKUP INC COM 84650T103 3.00 32,285.00 SH SOLE 32,285.00 0 0 SPDR S&P HOMEBUILDERS ETF COM 78464A888 171.00 10,000.00 SH SOLE 10,000.00 0 0 ST JUDE MEDICAL INC COM 790849103 1,029.00 30,000.00 SH SOLE 30,000.00 0 0 STONEPATH GROUP INC COM STK COM 861837102 0.00 165,000.00 SH SOLE 165,000.00 0 0 SUN BANCORP INC NEW JERSEY COM STK COM 86663B102 48.00 20,000.00 SH SOLE 20,000.00 0 0 SWISHER HYGIENE INC COM COM 870808102 349.00 93,334.00 SH SOLE 93,334.00 0 0 TAKE-TWO INTERACTIVE SOFTWARE COM STK COM 874054109 339.00 25,000.00 SH SOLE 25,000.00 0 0 TCF FINANCIAL EQY WARRANT W EXP 11/14/2018 872275128 50.00 25,000.00 SH SOLE 25,000.00 0 0 TELLABS INC COM STK COM 879664100 404.00 100,000.00 SH SOLE 100,000.00 0 0 THE HOWARD HUGHS COM 44267D107 221.00 5,000.00 SH SOLE 5,000.00 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 ------------------------------------------------------------------------------------------------------------------------------------ THE ST. JOE COMPANY COM STK COM 790148100 147.00 10,000.00 SH SOLE 10,000.00 0 0 THEGLOBE.COM INC COM STK COM 88335R101 0.00 100,000.00 SH SOLE 100,000.00 0 0 TITANIUM ASSET MGMT RSTD COM 88899G970 0.00 100,000.00 SH SOLE 100,000.00 0 0 TIVO INC COM STK COM 888706108 90.00 10,000.00 SH SOLE 10,000.00 0 0 TOLL BROTHERS INC COM STK COM 889478103 715.00 35,000.00 SH SOLE 35,000.00 0 0 TOWER STREAM CORP COM 892000100 32.00 15,000.00 SH SOLE 15,000.00 0 0 TRANSGENOMIC INC COM STK COM 89365K206 32.00 25,000.00 SH SOLE 25,000.00 0 0 Trio Merger Corp. Warrants Expires 06/19 UNIT 6/19/2016 896697117 38.00 50,000.00 SH SOLE 50,000.00 0 0 TRIO MERGET CORP COM STK COM 896697109 480.00 50,000.00 SH SOLE 50,000.00 0 0 TRIUMPH APPAREL CORP COM STK COM 896787108 0.00 100,000.00 SH SOLE 100,000.00 0 0 TRONOX INC. COM 897051306 600.00 5,000.00 SH SOLE 5,000.00 0 0 UBIQUITI NETWORKS INC COM 90347A100 182.00 10,000.00 SH SOLE 10,000.00 0 0 UNDERGROUND SOLUTIONS INC COM STK COM 904323102 4.00 25,000.00 SH SOLE 25,000.00 0 0 UNIFI INC COM STK COM 904677200 342.00 45,000.00 SH SOLE 45,000.00 0 0 URALS ENERGY PUBLIC LTD (UKM LISTING) COM B0FHR59 3.00 25,000.00 SH SOLE 25,000.00 0 0 US GLOBAL NANOSPACE INC COM STK COM 91729J107 0.00 275,000.00 SH SOLE 275,000.00 0 0 USA TECHNOLOGIES INC WARRNT W EXP 12/31/2013 90328S195 52.00 77,800.00 SH SOLE 77,800.00 0 0 U-SWIRL INC WT CL C COM STK COM 90349P105 3.00 15,000.00 SH SOLE 15,000.00 0 0 VAALDIAM MINING INC \ COM COM 918471103 2.00 20,000.00 SH SOLE 20,000.00 0 0 VELOCITY EXPRESS CORP COM STK COM 92257T707 1.00 37,833.00 SH SOLE 37,833.00 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 201.00 5,000.00 SH SOLE 5,000.00 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 1,163.00 621,830.00 SH SOLE 621,830.00 0 0 WARDERLY INTL HLDGS LTD (HOK LISTING) COM 6572224 0.00 500,000.00 SH SOLE 500,000.00 0 0 WARSAW STOCK EXCHANGE (POL LISTING) COM B55XKV9 205.00 20,000.00 SH SOLE 20,000.00 0 0 WEST COAST BANCORP ORE NEW COM STK COM 952145209 3,822.00 245,000.00 SH SOLE 245,000.00 0 0 WEYERHAEUSER CO COM 962166104 373.00 20,000.00 SH CALL SOLE 20,000.00 0 0 WEYERHAEUSER CO COM STK COM 962166104 187.00 10,000.00 SH SOLE 10,000.00 0 0 WI-LAN INC COM COM 928972108 459.00 80,000.00 SH SOLE 80,000.00 0 0 WILSHIRE BANCORP INC COM COM 97186T108 145.00 40,000.00 SH SOLE 40,000.00 0 0 WORLD ENERGY SOLUTIONS INC DEL COM STK COM 98145W208 60.00 20,000.00 SH SOLE 20,000.00 0 0 WORLD HEALTH ENERGY HLDGS INC COM STK COM 98148H109 0.00 150,000.00 SH SOLE 150,000.00 0 0 WORLD HEART CORP DELAWARE COM 980905400 20.00 95,100.00 SH SOLE 95,100.00 0 0 XECHEM INTERNATIONAL INC COM STK COM 983895301 0.00 350,500.00 SH SOLE 350,500.00 0 0 YAHOO INC COM STK COM 984332106 411.00 25,500.00 SH SOLE 25,500.00 0 0 ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SH SOLE 25,000.00 0 0 ZAP COM STK COM 98912M201 7.00 32,500.00 SH SOLE 32,500.00 0 0

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