0001019056-12-001184.txt : 20121113 0001019056-12-001184.hdr.sgml : 20121112 20121113062112 ACCESSION NUMBER: 0001019056-12-001184 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 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: 121195386 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_13f.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER Report for the Calendar Year or Quarter Ended: September 30, 2012 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 9, 2012 --------------------------- -------------------- -------------------- Report Type (Check only one): [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT FORM 13F SUMMARY PAGE 09/30/2012 Report Summary Number of Other Included Managers 0 ----------- Form 13F Information Table Entry Total 322 ----------- Form 13F Information Table Value Total $126,777 ----------- (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 PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ 888 HOLDINGS PLC ORD 0.5P COM B0L4LM9 74.00 50,000.00 SOLE 50,000.00 0 0 8X8 INC.-NEW COM 282914100 262.00 40,000.00 SOLE 40,000.00 0 0 A V HOMES INC COM STK COM 00234P102 776.00 52,300.00 SOLE 52,300.00 0 0 ABBOTT LABORATORIES COM 002824100 343.00 5,000.00 SOLE 5,000.00 0 0 ACACIA RESEARCH CORP COM STK COM 003881307 959.00 35,000.00 SOLE 35,000.00 0 0 ADVANCED VIRAL RESH CORP COM STK COM 007928104 0.00 250,000.00 SOLE 250,000.00 0 0 AGUAS-A (CHI LISTING) COM 2311238 33.00 50,000.00 SOLE 50,000.00 0 0 AIRASIA BHD COM B03J9L7 74.00 75,000.00 SOLE 75,000.00 0 0 AKAMAI TECHNOLOGIES INC COM STK COM 00971T101 765.00 20,000.00 SOLE 20,000.00 0 0 AKORN INC COM STK COM 009728106 463.00 35,000.00 SOLE 35,000.00 0 0 ALICORP SA PEN1 'C' SHS COM 2162834 67.00 25,000.00 SOLE 25,000.00 0 0 ALLSCRIPTS HEALTHCARE SOLUTION COM 01988P108 186.00 15,000.00 SOLE 15,000.00 0 0 ALTER NRG CORP COM COM 02145W101 40.00 100,000.00 SOLE 100,000.00 0 0 AMC NETWORK CL A CLASS A 00164V103 435.00 10,000.00 SOLE 10,000.00 0 0 AMEDIA NETWORKS INC COM 023434103 0.00 250,000.00 SOLE 250,000.00 0 0 AMERICAN APPAREL INCCORP COM STK COM 023850100 185.00 120,000.00 SOLE 120,000.00 0 0 AMERICAN HEALTHCHOISINC COM 025929209 0.00 175,000.00 SOLE 175,000.00 0 0 AMERICAN INTERNATIONAL GROUP INC COM 026874784 879.00 26,800.00 SOLE 26,800.00 0 0 AMERICAN RIVER BANKSHARES COM STK COM 029326105 152.00 20,000.00 SOLE 20,000.00 0 0 AMERICANA DISTBN COM 030556104 0.00 600,000.00 SOLE 600,000.00 0 0 ANDINA ACQUISITION CORP COM G0440W118 250.00 25,000.00 SOLE 25,000.00 0 0 ANTRIM ENERGY COM 037243102 40.00 50,000.00 SOLE 50,000.00 0 0 APPLE INC COM STK COM 037833100 1,001.00 1,500.00 SOLE 1,500.00 0 0 APPLIED NEUROSOLUTIONS INC COM 03823Y203 1.00 98,668.00 SOLE 98,668.00 0 0 ASSOCIATED BANC EQY WARRANT W EXP 11/21/2018 045487113 75.00 51,500.00 SOLE 51,500.00 0 0 ATHI RIVER MINING LTD COM 6041188 129.00 50,000.00 SOLE 50,000.00 0 0 ATLAS ESTATES LTD (POL LISTING) COM B2PLH11 9.00 15,240.00 SOLE 15,240.00 0 0 AUGME TECHNOLOGIES INC COM STK COM 051057107 39.00 50,000.00 SOLE 50,000.00 0 0 AUSTRALIAN STOCK EXCHANGE SHS COM 6129222 383.00 12,500.00 SOLE 12,500.00 0 0 AVESIS INCORPORATED COM 053650107 101.00 144,200.00 SOLE 144,200.00 0 0

3

------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ B & G FOODS INC NEW CLASS A CLASS A 05508R106 455.00 15,000.00 SOLE 15,000.00 0 0 BANK OF AMERICA CORP COM 060505104 22,291.00 2,524,448.00 SOLE 2,524,448.00 0 0 BANK OF AMERICA CORP COM 060505104 1,987.00 225,000.00 CALL SOLE 225,000.00 0 0 BANK OF AMERICA CORP WARRANT W EXP 10/28/2018 060505153 124.00 175,000.00 SOLE 175,000.00 0 0 BANK OF AMERICA CORPWT EXP 1/16/19 W EXP 1/16/2019 060505146 353.00 100,000.00 SOLE 100,000.00 0 0 BANK OF IRELAND (IRE LISTING) COM 3070732 372.00 3,000,000.00 SOLE 3,000,000.00 0 0 BARNES & NOBLE INC COM STK COM 067774109 447.00 35,000.00 SOLE 35,000.00 0 0 BAXTER INTL INC COM 071813109 2,411.00 40,000.00 CALL SOLE 40,000.00 0 0 BEAM INC COM 073730103 432.00 7,500.00 SOLE 7,500.00 0 0 BEAZER HOMES USA INC COM STK COM 07556Q105 89.00 25,000.00 SOLE 25,000.00 0 0 BEBE STORES INC COM STK COM 075571109 96.00 20,000.00 SOLE 20,000.00 0 0 BEIERSDORF NPV ORDS COM 5107401 367.00 5,000.00 SOLE 5,000.00 0 0 BERKSHIRE HILLS BANCORP INC COM STK COM 84680107 572.00 25,000.00 SOLE 25,000.00 0 0 BLACK DIAMOND INC COM STK COM 09202G101 132.00 15,000.00 SOLE 15,000.00 0 0 BLACKSTONE GROUP LP COM 09253U108 714.00 50,000.00 SOLE 50,000.00 0 0 BLUELINX HLDGS INC COM STK COM 09624H109 23.00 10,000.00 SOLE 10,000.00 0 0 BM&F BOVESPA SA COM B2RHNV9 151.00 25,000.00 SOLE 25,000.00 0 0 BOLSA A (MEX LISTING) COM B39VVF6 103.00 50,000.00 SOLE 50,000.00 0 0 BOLSA DE VALOR. COP1 COM B24FPF4 34.00 2,058,500.00 SOLE 2,058,500.00 0 0 BOMBARDIER CL-B CLASS B B01CYK2 94.00 25,000.00 SOLE 25,000.00 0 0 BOSTON SCIENTIFIC CORP COM 101137107 287.00 50,000.00 SOLE 50,000.00 0 0 BOSTON SCIENTIFIC CORP COM 101137107 287.00 50,000.00 CALL SOLE 50,000.00 0 0 BURSA MALAYSIA BHD COM B06FV38 70.00 35,000.00 SOLE 35,000.00 0 0 CANACCORD CAP INC COM COM 134801109 173.00 30,000.00 SOLE 30,000.00 0 0 CAPITAL TRUST INC CL A REIT CLASS A 14052H506 189.00 50,000.00 SOLE 50,000.00 0 0 CAPSTONE TURBINE CORP COM STK COM 14067D102 325.00 325,000.00 SOLE 325,000.00 0 0 CARGO CONNECTION LOGISTICS HL COM STK COM 141794107 0.00 200,000.00 SOLE 200,000.00 0 0 CARIBOU COFFEE INC COM STK COM 142042209 274.00 20,000.00 SOLE 20,000.00 0 0 CARROLS HOLDINGS CORP COM 14574X104 173.00 30,000.00 SOLE 30,000.00 0 0 CASTLE BRANDS INC COM STK COM 148435100 7.00 25,000.00 SOLE 25,000.00 0 0 CENTERLINE HLDG CO COM STK COM 15188T108 12.00 205,000.00 SOLE 205,000.00 0 0 CENTRAL WIRELESS INC COM STK COM 15607P109 0.00 660,000.00 SOLE 660,000.00 0 0 CHEVRON CORP COM 166764100 583.00 5,000.00 SOLE 5,000.00 0 0 CHINA HYDROELECTRIC WARRANT EXP W EXP 01/25/2014 G2112E145 0.00 14,000.00 SOLE 14,000.00 0 0 CHINA MOBILE MEDIA TECHNOLOGY COM COM 16950C109 191.00 74,000.00 SOLE 74,000.00 0 0

4

------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ CIT GROUP INC COM STK COM 125581801 394.00 10,000.00 SOLE 10,000.00 0 0 CITIGROUP INC COM 172967424 1,276.00 39,000.00 SOLE 39,000.00 0 0 CITIGROUP INC WRNT AEXP 01/04/2019 W EXP 01/04/2019 172967226 9.00 25,000.00 SOLE 25,000.00 0 0 CITIGROUP INC WRNT BEXP 10/28/2018 W EXP 10/28/2018 172967234 2.00 50,000.00 SOLE 50,000.00 0 0 CLAL BIOTECH (ISR LISTING) COM B23GNK9 28.00 10,000.00 SOLE 10,000.00 0 0 CLEARWIRE CORP CL A COM STK CLASS A 18538Q105 13.00 10,000.00 SOLE 10,000.00 0 0 COACH INC COM STK COM 189754104 420.00 7,500.00 SOLE 7,500.00 0 0 COCA COLA CO COM 191216100 379.00 10,000.00 SOLE 10,000.00 0 0 COLUMBIA LABORATORIES INC COM STK COM 197779101 74.00 75,000.00 SOLE 75,000.00 0 0 COMPOSITE TECHNOLOGY CORP COM STK COM 20461S108 0.00 145,000.00 SOLE 145,000.00 0 0 CONSTELLATION BRANDS INC CL A COM STK CLASS A 21036P108 324.00 10,000.00 SOLE 10,000.00 0 0 CONVERTED ORGANICS INC WRNT W EXP 12/31/2014 21254S131 0.00 18,000.00 SOLE 18,000.00 0 0 CORONADO BIOSCIENCES INC COM 21976U109 130.00 25,000.00 SOLE 25,000.00 0 0 CORRIDOR COMMUNICATIONS CORP COM 220261101 0.00 200,000.00 SOLE 200,000.00 0 0 COWEN GROUP INC COM 223622101 271.00 100,000.00 SOLE 100,000.00 0 0 CRAFT BREWERS ALLIANCE INC COM 224122101 236.00 30,000.00 SOLE 30,000.00 0 0 CULLEN AGRIC HLDG CORP WRNT W EXP 10/21/2013 229894118 0.00 125,600.00 SOLE 125,600.00 0 0 CURIS INC COM STK COM 231269101 186.00 45,000.00 SOLE 45,000.00 0 0 CYTORI THERAP COM 23283K105 157.00 35,624.00 SOLE 35,624.00 0 0 DAMPSKIBSSELSKABET TORM A/S ADR SPONS ADR 891072100 13.00 25,000.00 SOLE 25,000.00 0 0 DEAN FOODS CO NEW COM 242370104 164.00 10,000.00 SOLE 10,000.00 0 0 DEMANDWARE INC COM STK COM 24802Y105 318.00 10,000.00 SOLE 10,000.00 0 0 DENNYS CORP COM STK COM 24869P104 2,107.00 435,372.00 SOLE 435,372.00 0 0 DIAMOND FOODS INC COM COM 252603105 565.00 30,000.00 SOLE 30,000.00 0 0 DIRECT MARKETS HOLDINGS CORP COM STK COM 25456U109 2.00 94,867.00 SOLE 94,867.00 0 0 DIREXION DLY SM CAP BEAR 3X DLY SMCAP BEAR3X 25459W110 149.00 10,000.00 SOLE 10,000.00 0 0 DISTRIBUTED ENERGY SYS CORP COM STK COM 25475V104 0.00 50,000.00 SOLE 50,000.00 0 0 DYNAVOX INC-CLASS A CLASS A 26817F104 13.00 25,000.00 SOLE 25,000.00 0 0

5

------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ EBAY INC COM 278642103 967.00 20,000.00 CALL SOLE 20,000.00 0 0 ECHO THERAPEUTICS INC COM STK COM 27876L107 39.00 25,000.00 SOLE 25,000.00 0 0 ELAN CORP PLC ADR SPONS ADR 284131208 214.00 20,000.00 SOLE 20,000.00 0 0 ELECTRONIC GAME CARD INC COM STK COM 285716106 0.00 25,000.00 SOLE 25,000.00 0 0 ELLIE MAE INC COM 28849P100 272.00 10,000.00 SOLE 10,000.00 0 0 EMISPHERE TECHNOLOGIES INC COM STK COM 291345106 6.00 25,000.00 SOLE 25,000.00 0 0 ENDOVASC INC COM STK COM 29267B102 0.00 255,000.00 SOLE 255,000.00 0 0 ENERGY WORLD CORP LTD COM 996992FQ1 21.00 50,000.00 SOLE 50,000.00 0 0 ENTECH SOLAR INC COM STK COM 29362Y106 0.00 25,000.00 SOLE 25,000.00 0 0 ENTREMED INC COM STK COM 29382F202 55.00 30,000.00 SOLE 30,000.00 0 0 ENTROPIC COMMUNICATIONS INC COM COM 29384R105 728.00 125,000.00 SOLE 125,000.00 0 0 EQUITY BANK LTD (KEN LISTING) COM B0WCDV5 14.00 50,000.00 SOLE 50,000.00 0 0 EQUITY LIFESTYLE PROPERTIES COM 29472R108 1,022.00 15,000.00 SOLE 15,000.00 0 0 ESTEE LAUDER COMPANIES INC COM 518439104 924.00 15,000.00 PUT SOLE 15,000.00 0 0 ETHAN ALLEN INTERIORS INC COM STK COM 297602104 329.00 15,000.00 SOLE 15,000.00 0 0 EUROGAS INC COM STK COM 298734104 0.00 260,000.00 SOLE 260,000.00 0 0 EVERBANK FINANCIAL CORP COM 29977G102 138.00 10,000.00 SOLE 10,000.00 0 0 EXCO RESOURCES INC COM COM 269279402 1,202.00 150,000.00 SOLE 150,000.00 0 0 EXTERRAN HOLDINGS INC COM 30225X103 507.00 25,000.00 SOLE 25,000.00 0 0 FACEBOOK INC CL A CLASS A 30303M102 1,083.00 50,000.00 SOLE 50,000.00 0 0 FARMER BROTHERS CO COM STK COM 307675108 143.00 15,000.00 SOLE 15,000.00 0 0 FIAT SPA EUR5 ORDS COM 5748521 53.00 10,000.00 SOLE 10,000.00 0 0 FIDELITY NATIONAL FINANCIAL CL A CLASS A 31620R105 535.00 25,000.00 SOLE 25,000.00 0 0 FIESTA RSTRN GRP COM 31660B101 555.00 35,000.00 SOLE 35,000.00 0 0 FIFTH &PACIFIC CO INC COM STK COM 316645100 192.00 15,000.00 SOLE 15,000.00 0 0 FINANCIAL TECHNOLOGIES (INDIA) LD COM B287HL6 50.00 20,000.00 SOLE 20,000.00 0 0 FORD MOTOR WTS EXP 01/01/2013 W EXP 01/01/2013 345370134 88.00 85,000.00 SOLE 85,000.00 0 0 FORTINET INC COM 34959E109 482.00 20,000.00 SOLE 20,000.00 0 0 FORTRESS INVESTMENT GROUP LLC COM COM 34958B106 287.00 65,000.00 SOLE 65,000.00 0 0 FRANKLIN FINANCIAL CORP/VA COM STK COM 35353C102 1,450.00 85,000.00 SOLE 85,000.00 0 0 FREDERICK'S OF HOLLYWOOD GROUP INC COM 35582T108 41.00 125,000.00 SOLE 125,000.00 0 0 FRONTIER COMMUNICATIONS CORP COM 35906A108 246.00 50,000.00 CALL SOLE 50,000.00 0 0 FXCM INC COM 302693106 191.00 20,000.00 SOLE 20,000.00 0 0 GENERAL MOTORS CW16 WRNT EXP 07/10/2016 W EXP 07/10/2016 37045V118 465.00 33,779.00 SOLE 33,779.00 0 0 GENERAL MOTORS CW19 WRNT EXP 07/10/2019 W EXP 07/10/2019 37045V126 113.00 13,692.00 SOLE 13,692.00 0 0 GEROVA FINANCIAL GROUP LTD WRNT W EXP 1/16/2014 G38490176 0.00 21,000.00 SOLE 21,000.00 0 0 GI DYNAMICS INC COM B5T6W85 19.00 25,000.00 SOLE 25,000.00 0 0 GLOBAL AIRCRAFT SOLUTIONS INC COM STK COM 378964100 0.00 100,000.00 SOLE 100,000.00 0 0 GLOBAL X FDS COLUMBIA 20 ETF COM 37950E200 212.00 10,000.00 SOLE 10,000.00 0 0 GPS INDUSTRIES INC COM STK COM 383870102 0.00 150,000.00 SOLE 150,000.00 0 0 GREEN DOT CORP-CLASS A CLASS A 39304D102 306.00 25,000.00 SOLE 25,000.00 0 0 GROWERS DIRECT COFFEE CO STK COM 399849108 0.00 25,000.00 SOLE 25,000.00 0 0 GUIDEWIRE SOFTWARE INC COM 40171V100 311.00 10,000.00 SOLE 10,000.00 0 0

6

------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ HALOZYME THERAPEUTICS INC COM STK COM 40637H109 528.00 70,000.00 SOLE 70,000.00 0 0 HARD TO TREAT DISEASES INC COM STK COM 41164A103 0.00 500,000.00 SOLE 500,000.00 0 0 HARDINGE BROTHERS INC COM STK COM 412324303 103.00 10,000.00 SOLE 10,000.00 0 0 HARRIS INTERACTIVE INC COM STK COM 414549105 51.00 35,000.00 SOLE 35,000.00 0 0 HARTMARX CORP COM STK COM 417119104 0.00 76,200.00 SOLE 76,200.00 0 0 HEALTH DISCOVERY CORP COM STK COM 42218R100 2.00 25,000.00 SOLE 25,000.00 0 0 HEALTHY FAST FOOD INC WRNT W EXP 3/19/2013 90349P113 0.00 25,000.00 SOLE 25,000.00 0 0 HEALTHY FAST FOOD INC WRNT W EXP 3/19/2013 90349P121 0.00 50,000.00 SOLE 50,000.00 0 0 HELLENIC EXCHANGES SA ORDS (GRE LISTING) COM 4108278 135.00 30,000.00 SOLE 30,000.00 0 0 HERITAGE FINANCIAL GROUP INC COM STK COM 42726X102 131.00 10,000.00 SOLE 10,000.00 0 0 HERITAGE OAKS BANCORP COM STK COM 42724R107 1,584.00 275,000.00 SOLE 275,000.00 0 0 HILLSHIRE BRANDS COM 432589109 536.00 20,000.00 SOLE 20,000.00 0 0 HK EXCHANGES & CLEARING ORD COM 6267359 756.00 50,000.00 SOLE 50,000.00 0 0 HOME TRST BNCSHR COM 437872104 994.00 75,000.00 SOLE 75,000.00 0 0 HOT TOPIC INC COM STK COM 441339108 261.00 30,000.00 SOLE 30,000.00 0 0 HOVNANIAN K ENTERPRISES INC CL A COM STK CLASS A 442487203 87.00 25,000.00 SOLE 25,000.00 0 0 HYDRON TECH INC COM 449020205 1.00 100,000.00 SOLE 100,000.00 0 0 IBX GROUP INC COM STK COM 449229103 0.00 200,000.00 SOLE 200,000.00 0 0 IGENE BIOTECHNOLOGY INC COM STK COM 451695100 0.00 100,000.00 SOLE 100,000.00 0 0 INDIA GLOBALIZATION CAP CW11 EXP 3/8/13 W EXP 3/8/2013 45408X118 2.00 157,798.00 SOLE 157,798.00 0 0 INFINITY PHARMACEUTICALS INC COM 45665G303 1,293.00 55,000.00 SOLE 55,000.00 0 0 INNERWORKINGS INC COM 45773Y105 130.00 10,000.00 SOLE 10,000.00 0 0 INPHI CORP COM 45772F107 426.00 40,000.00 SOLE 40,000.00 0 0 INSULET CORP COM 45784P101 432.00 20,000.00 SOLE 20,000.00 0 0 INTEGRAL VISION INC COM STK COM 45811H106 11.00 1,069,107.00 SOLE 1,069,107.00 0 0 INTERACTIVE BROKERS GROUP COM 45841N107 280.00 20,000.00 PUT SOLE 20,000.00 0 0 INTERXION HOLDING NV COM N47279109 454.00 20,000.00 SOLE 20,000.00 0 0 INTL BUSINESS MACHINES COM 459200101 2,075.00 10,000.00 PUT SOLE 10,000.00 0 0 IPATH S&P 500 VIX S/T FU ETN IPTH S&P VIX 06740C261 90.00 10,000.00 SOLE 10,000.00 0 0 IRIDIUM COMMUNICATINOS INC W EXP 2/14/2013 46269C110 24.00 20,000.00 SOLE 20,000.00 0 0 ISHARES MSCI ALL PERU CAPPED COM 464289842 1,108.00 25,000.00 SOLE 25,000.00 0 0 ISONICS CORP COM STK COM 464895309 0.00 25,000.00 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 PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ J & J SNACK FOODS CORP COM STK COM 466032109 287.00 5,000.00 SOLE 5,000.00 0 0 JC PENNEY CO INC COM STK COM 708160106 243.00 10,000.00 SOLE 10,000.00 0 0 JEFFERIES GROUP INC NEW COM STK COM 472319102 137.00 10,000.00 SOLE 10,000.00 0 0 JMP GROUP INC COM STK COM 46629U107 220.00 40,000.00 SOLE 40,000.00 0 0 JOHNSON & JOHNSON COM 478160104 345.00 5,000.00 SOLE 5,000.00 0 0 JP MORGAN CHASE WRNT EXP 10/28/2018 W EXP 10/28/2018 46634E114 412.00 40,000.00 SOLE 40,000.00 0 0 JUNIPER NETWORKS INC COM STK COM 48203R104 599.00 35,000.00 SOLE 35,000.00 0 0 JWC ACQUISITION CORP WRNT W EXP 8/21/2017 88677Q117 399.00 125,000.00 SOLE 125,000.00 0 0 KENNEDY-WILSON HLDGS INC WRNT W EXP 11/14/2013 489398115 69.00 25,000.00 SOLE 25,000.00 0 0 KIMBERLY CLARK CORP COM 494368103 429.00 5,000.00 SOLE 5,000.00 0 0 KINROSS GOLD CORP NEW COM 496902404 102.00 10,000.00 SOLE 10,000.00 0 0 KNIGHT CAPITAL GROUP INC COM 499005106 134.00 50,000.00 CALL SOLE 50,000.00 0 0 KNIGHT CAPITAL GROUP INC COM STK COM 499005106 147.00 55,000.00 SOLE 55,000.00 0 0 KONA GRILL COM 50047H201 134.00 15,000.00 SOLE 15,000.00 0 0 KRISPY KREME DOUGHNUTS INC COM STK COM 501014104 198.00 25,000.00 SOLE 25,000.00 0 0 K-SWISS INC CL A COM STK CLASS A 482686102 103.00 30,000.00 SOLE 30,000.00 0 0 LADENBURG THALMANN FINL SVCS COM STK COM 50575Q102 528.00 400,000.00 SOLE 400,000.00 0 0 LENDER PRC SR COM B39TRZ2 697.00 25,000.00 SOLE 25,000.00 0 0 LENNAR CORP CL A COM STK CLASS A 526057104 695.00 20,000.00 SOLE 20,000.00 0 0 LIFESTREAM TECHNOLOGIES INC COM STK COM 53219K101 0.00 575,000.00 SOLE 575,000.00 0 0 LINKEDIN CORP CLASS A COMMON STOCK CLASS A 53578A108 602.00 5,000.00 SOLE 5,000.00 0 0 LIVE NATION INC COM STK COM 538034109 172.00 20,000.00 SOLE 20,000.00 0 0 LUBYS INC COM STK COM 549282101 404.00 60,000.00 SOLE 60,000.00 0 0 MEETME INC COM STK COM 585141104 214.00 75,000.00 SOLE 75,000.00 0 0 MERA PHARMACEUTICALS INC COM STK COM 58732R103 0.00 200,000.00 SOLE 200,000.00 0 0 MERCATOR MINERALS LTD COM 587582107 6.00 10,000.00 SOLE 10,000.00 0 0 MGM ENERGY CORP COM COM 59318A100 6.00 25,000.00 SOLE 25,000.00 0 0 MICROSOFT CORP COM 594918104 1,190.00 40,000.00 PUT SOLE 40,000.00 0 0 MINDSPEED TECHNOLOGIES INC COM STK COM 602682205 87.00 25,000.00 SOLE 25,000.00 0 0 MIPS TECHNOLOGIES INC CL A COM STK CLASS A 604567107 296.00 40,000.00 SOLE 40,000.00 0 0 MITEL NETWORKS COM 60671Q104 203.00 75,000.00 SOLE 75,000.00 0 0 MONACO COACH CORP COM STK COM 60886R103 0.00 50,000.00 SOLE 50,000.00 0 0 MORPHOSYS AG NPV ORDS COM 5531000 1,234.00 40,000.00 SOLE 40,000.00 0 0 MOSYS INC COM STK COM 619718109 202.00 50,000.00 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 PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ NANOSPHERE INC COM 63009F105 166.00 50,000.00 SOLE 50,000.00 0 0 NATIONAL PATENT DEVELOPMENT CO COM STK COM 637132101 83.00 30,000.00 SOLE 30,000.00 0 0 NAVIOS MARITIME HOLDINGS COM Y62196103 36.00 10,000.00 SOLE 10,000.00 0 0 NEW YORK REGIONAL RAIL CORP COM STK COM 649768108 0.00 400,000.00 SOLE 400,000.00 0 0 NEW YORK TIMES CO CL A COM STK CLASS A 650111107 244.00 25,000.00 SOLE 25,000.00 0 0 NEWELL RUBBERMAID INC MEDIUM T COM STK COM 651229106 286.00 15,000.00 SOLE 15,000.00 0 0 NEXTMART INC COM STK COM 65338F102 0.00 50,000.00 SOLE 50,000.00 0 0 NOKIA CORP COM 654902204 129.00 50,000.00 CALL SOLE 50,000.00 0 0 NORTH ATLANTIC DRILLING LTD(NOR LISTING COM B43T197 95.00 50,000.00 SOLE 50,000.00 0 0 NORTHSTAR RLTY FIN CORP COM COM 66704R100 318.00 50,000.00 SOLE 50,000.00 0 0 NOVADAQ TECH COM 66987G102 1,293.00 125,000.00 SOLE 125,000.00 0 0 NPS PHARMACEUTICALS INC COM STK COM 62936P103 509.00 55,000.00 SOLE 55,000.00 0 0 NUANCE COMMUNICATIONS INC COM STK COM 67020Y100 373.00 15,000.00 SOLE 15,000.00 0 0 NVIDIA CORP COM 67066G104 1,334.00 100,000.00 CALL SOLE 100,000.00 0 0 NZX LIMITED (NZE LISTING) (POST SPLIT) COM 6623155 147.00 157,500.00 SOLE 157,500.00 0 0 OCH-ZIFF CAPITAL MANAGEMENT COM 67551U105 725.00 75,000.00 SOLE 75,000.00 0 0 OCZ TECHNOLOGY GROUP INC COM STK COM 67086E303 416.00 120,000.00 SOLE 120,000.00 0 0 ONE VOICE TECHNOLOGIES INC COM STK COM 682421201 0.00 20,000.00 SOLE 20,000.00 0 0 OPEXA THERAPEUTICS INC-CW13 W EXP 02/13/2013 68372T111 1.00 22,500.00 SOLE 22,500.00 0 0 OPKO HEALTH INC COM COM 68375N103 627.00 150,000.00 SOLE 150,000.00 0 0 OPTIONABLE INC COM STK COM 684006109 1.00 70,000.00 SOLE 70,000.00 0 0 OVERSEAS SHIPHOLDING GROUP INC COM STK COM 690368105 132.00 20,000.00 SOLE 20,000.00 0 0 OXFORD INDS INC COM STK COM 691497309 282.00 5,000.00 SOLE 5,000.00 0 0 PACE OIL & GAS LTD COM COM 69374D104 102.00 35,000.00 SOLE 35,000.00 0 0 PACIFIC RUBIALES ENERGY CORP COM 69480U206 357.00 15,000.00 SOLE 15,000.00 0 0 PARAMETRIC SOUND CORP COM STK COM 699172201 130.00 20,000.00 SOLE 20,000.00 0 0 PATHFINDER MINERALS PLC (UKM LISTING) COM B4MB7K7 5.00 300,000.00 SOLE 300,000.00 0 0 PEOPLESTRING CORP COM STK COM 71272D103 2.00 350,650.00 SOLE 350,650.00 0 0 PHOSCAN CHEMICAL CORP COM 71921E106 13.00 40,000.00 SOLE 40,000.00 0 0 PHOTOMEDEX INC COM STK COM 719358301 281.00 20,000.00 SOLE 20,000.00 0 0 PITNEY BOWES INC COM STK COM 724479100 346.00 25,000.00 SOLE 25,000.00 0 0 PLUM CREEK TIMBER COMPANY INC COM REIT COM 729251108 658.00 15,000.00 SOLE 15,000.00 0 0 POTLATCH HOLDINGS INC COM COM 737630103 374.00 10,000.00 SOLE 10,000.00 0 0 PULTE GROUP INC COM STK COM 745867101 930.00 60,000.00 SOLE 60,000.00 0 0 Puma Biotechnology Inc Common Stock COM 74587V107 225.00 15,000.00 SOLE 15,000.00 0 0 PURESAFE WATER SYSTEMS INC COM STK COM 74624H103 1.00 95,000.00 SOLE 95,000.00 0 0 QUALYS INC COM 74758T303 638.00 47,350.00 SOLE 47,350.00 0 0 QUSTREAM CORP COM 749131108 0.00 25,000.00 SOLE 25,000.00 0 0 RADWARE LTD COM STK COM M81873107 1,297.00 36,000.00 SOLE 36,000.00 0 0 REIS INC INC COM STK COM 75936P105 229.00 20,000.00 SOLE 20,000.00 0 0

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------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ RENTECH INC COM STK COM 760112102 185.00 75,000.00 SOLE 75,000.00 0 0 REPROS THERAPEUTICS INC COM STK COM 76028H209 1,371.00 90,000.00 SOLE 90,000.00 0 0 RESEARCH IN MOTION CAD COM 760975102 450.00 60,000.00 SOLE 60,000.00 0 0 RESOLUTE ENERGY WRNT EXP 9/28/14 W EXP 9/28/2014 76116A116 48.00 72,500.00 SOLE 72,500.00 0 0 RF MICRO DEVICES INC COM STK COM 749941100 513.00 130,000.00 SOLE 130,000.00 0 0 RIVERBED TECH INC COM 768573107 815.00 35,000.00 SOLE 35,000.00 0 0 RLJ ACQUISITION INC COM STK (PVT CO) COM 74965B103 96.00 10,000.00 SOLE 10,000.00 0 0 RLJ ACQUISITION INC WRNT EXP 12/02/2015 W EXP 12/02/2015 74965B111 41.00 90,000.00 SOLE 90,000.00 0 0 RODINIA OIL CORP CLASS A CLASS A 77487N109 1.00 40,000.00 SOLE 40,000.00 0 0 RUBICON LIMITED NZD COM 572993ZM8 32.00 130,000.00 SOLE 130,000.00 0 0 SAFE BULKERS INC COM Y7388L103 58.00 10,000.00 SOLE 10,000.00 0 0 SANDISK CORP COM STK COM 80004C101 1,086.00 25,000.00 SOLE 25,000.00 0 0 SANOFI CONTGNT VAL RIGHTS RIGHT 12/31/2020 80105N113 210.00 125,000.00 SOLE 125,000.00 0 0 SAP AG COM 803054204 1,783.00 25,000.00 PUT SOLE 25,000.00 0 0 SCHIFF NUTRITION INTL INC COM STK COM 806693107 532.00 22,000.00 SOLE 22,000.00 0 0 SCORES HOLDING CO INC COM STK COM 80917W202 0.00 10,000.00 SOLE 10,000.00 0 0 SEA CONTAINERS LTD CL A COM STK CLASS A 811371707 0.00 75,000.00 SOLE 75,000.00 0 0 SEATTLE GENETICS INC COM STK COM 812578102 269.00 10,000.00 SOLE 10,000.00 0 0 SEQUENOM INC COM 817337405 229.00 65,000.00 SOLE 65,000.00 0 0 SERVICENOW COM 81762P102 387.00 10,000.00 SOLE 10,000.00 0 0 SGOCO TECHNOLOGY LTD WT W EXP 99/99/9999 G80751111 1.00 26,100.00 SOLE 26,100.00 0 0 SHUTTERFLY INC COM STK COM 82568P304 1,089.00 35,000.00 SOLE 35,000.00 0 0 SILICON IMAGE INC COM STK COM 82705T102 503.00 110,000.00 SOLE 110,000.00 0 0 SILICON MOTION TECHNOLOGY CORP ADR SPONS ADR 82706C108 1,330.00 90,000.00 SOLE 90,000.00 0 0 SINGAPORE EXCHANGE COM 6303866 428.00 75,000.00 SOLE 75,000.00 0 0 SIONIX CORP COM STK COM 829400100 7.00 200,000.00 SOLE 200,000.00 0 0 SIRIUS XM RADIO INC COM STK COM 82967N108 65.00 25,000.00 SOLE 25,000.00 0 0 SITESTAR CORP COM STK COM 82980W101 8.00 250,000.00 SOLE 250,000.00 0 0 SMART BALANCE INC COM STK COM 83169Y108 242.00 20,000.00 SOLE 20,000.00 0 0 SPARE BUCKUP INC COM 84650T103 0.00 32,285.00 SOLE 32,285.00 0 0 SPECTRANETICS CORP COM STK COM 84760C107 221.00 15,000.00 SOLE 15,000.00 0 0 SPLUNK INC COM 848637104 367.00 10,000.00 SOLE 10,000.00 0 0 SPRINT NEXTEL CORP COM 852061100 276.00 50,000.00 SOLE 50,000.00 0 0 ST JUDE MEDICAL INC COM 790849103 1,685.00 40,000.00 SOLE 40,000.00 0 0 STANDARD PAC CORP COM STK COM 85375C101 270.00 40,000.00 SOLE 40,000.00 0 0 STONEPATH GROUP INC COM STK COM 861837102 0.00 165,000.00 SOLE 165,000.00 0 0 SUNOPTA INC COM COM 8676EP108 160.00 25,000.00 SOLE 25,000.00 0 0 SUSSER PETROLEUM PARTNERS LP COM 869239103 245.00 10,198.00 SOLE 10,198.00 0 0 SWISHER HYGIENE INC COM RSTD COM 8708089R5 60.00 43,334.00 SOLE 43,334.00 0 0 SYMANTEC CORP COM 871503108 719.00 40,000.00 CALL SOLE 40,000.00 0 0 TCF FINANCIAL EQY WARRANT W EXP 11/14/2018 872275128 55.00 27,400.00 SOLE 27,400.00 0 0 TESLA MOTORS INC COM 88160R101 293.00 10,000.00 PUT SOLE 10,000.00 0 0 THE HOWARD HUGHS COM 44267D107 711.00 10,000.00 SOLE 10,000.00 0 0

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------------------------------------------------------------------------------------------------------------------------------------ VOTING VOTING VOTING VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY ISSUER TYPE CUSIP *1000 AMT PRIN CALL DISCRETION MANAGERS SOLE SHARE NONE ------------------------------------------------------------------------------------------------------------------------------------ THE ST. JOE COMPANY COM STK COM 790148100 293.00 15,000.00 SOLE 15,000.00 0 0 THEGLOBE.COM INC COM STK COM 88335R101 0.00 100,000.00 SOLE 100,000.00 0 0 TITAN MACHINERY INC COM 88830R101 203.00 10,000.00 CALL SOLE 10,000.00 0 0 TITANIUM ASSET MGMT RSTD COM 88899G970 0.00 100,000.00 SOLE 100,000.00 0 0 TIVO INC COM 888706108 626.00 60,000.00 CALL SOLE 60,000.00 0 0 TIVO INC COM STK COM 888706108 939.00 90,000.00 SOLE 90,000.00 0 0 TOLL BROTHERS INC COM STK COM 889478103 831.00 25,000.00 SOLE 25,000.00 0 0 TOWERSTREAM CORP COM TK COM 892000100 142.00 35,000.00 SOLE 35,000.00 0 0 TRIO MERGER CORP. Warrants Expires 06/19 W EXP 6/19/2016 896697117 33.00 50,000.00 SOLE 50,000.00 0 0 TRIO MERGET CORP COM STK COM 896697109 498.00 50,000.00 SOLE 50,000.00 0 0 TRIUMPH APPAREL CORP COM STK COM 896787108 0.00 100,000.00 SOLE 100,000.00 0 0 TRONOX LTD ORD SHS CL A CLASS A Q9235V101 340.00 15,000.00 SOLE 15,000.00 0 0 UNIFI INC COM STK COM 904677200 256.00 20,000.00 SOLE 20,000.00 0 0 UNI-PIXEL INC COM STK COM 904572203 155.00 25,000.00 SOLE 25,000.00 0 0 URALS ENERGY PUBLIC LTD (UKM LISTING) COM B0FHR59 2.00 25,000.00 SOLE 25,000.00 0 0 URANIUM RESOURCE COM 916901507 38.00 75,000.00 SOLE 75,000.00 0 0 US GLOBAL NANOSPACE INC COM STK COM 91729J107 0.00 275,000.00 SOLE 275,000.00 0 0 USA TECHNOLOGIES INC WARRNT W EXP 12/31/2013 90328S195 37.00 92,099.00 SOLE 92,099.00 0 0 U-SWIRL INC COM STK COM 90349P105 4.00 15,000.00 SOLE 15,000.00 0 0 VELOCITY EXPRESS CORP COM STK COM 92257T707 1.00 37,833.00 SOLE 37,833.00 0 0 VERA BRADLEY COM 92335C106 239.00 10,000.00 SOLE 10,000.00 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 228.00 5,000.00 SOLE 5,000.00 0 0 VISION-SCIENCES INC DEL COM STK COM 927912105 807.00 611,282.00 SOLE 611,282.00 0 0 WARSAW STOCK EXCHANGE (POL LISTING) COM B55XKV9 228.00 20,000.00 SOLE 20,000.00 0 0 WEST COAST BANCORP ORE NEW COM STK COM 952145209 5,067.00 225,000.00 SOLE 225,000.00 0 0 WEYERHAEUSER CO COM 962166104 523.00 20,000.00 CALL SOLE 20,000.00 0 0 WEYERHAEUSER CO COM STK COM 962166104 654.00 25,000.00 SOLE 25,000.00 0 0 WILSHIRE BANCORP INC COM 97186T108 158.00 25,000.00 SOLE 25,000.00 0 0 WMI HOLDINGS CORP COMMON STOCK COM 92936P100 10.00 19,123.00 SOLE 19,123.00 0 0 WORLD ENERGY SOLUTIONS INC DEL COM STK COM 98145W208 63.00 15,000.00 SOLE 15,000.00 0 0 WORLD HEALTH ENERGY HLDGS INC COM STK COM 98148H109 0.00 150,000.00 SOLE 150,000.00 0 0 XECHEM INTERNATIONAL INC COM STK COM 983895301 0.00 350,500.00 SOLE 350,500.00 0 0 YAHOO INC COM STK COM 984332106 160.00 10,000.00 SOLE 10,000.00 0 0 ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SOLE 25,000.00 0 0 ZAP COM STK COM 98912M201 3.00 32,500.00 SOLE 32,500.00 0 0 ZYNGA INC COM 98986T108 284.00 100,000.00 CALL SOLE 100,000.00 0 0 ZYNGA INCCOM STK COM 98986T108 312.00 110,000.00 SOLE 110,000.00 0 0

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