-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, B6uVq21AKAcCDeO4KSiUzYSSUpqwZdebSwCHGCZJzr7FnPj/GaBIEoCzAwlAkBS3 KF3SpIHfm/JlUHXI9KUUxw== 0001452861-10-000006.txt : 20100301 0001452861-10-000006.hdr.sgml : 20100301 20100301142658 ACCESSION NUMBER: 0001452861-10-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100301 DATE AS OF CHANGE: 20100301 EFFECTIVENESS DATE: 20100301 FILER: COMPANY DATA: COMPANY CONFORMED NAME: IMC-Chicago, LLC CENTRAL INDEX KEY: 0001452861 IRS NUMBER: 364368063 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13342 FILM NUMBER: 10643648 BUSINESS ADDRESS: STREET 1: 233 SOUTH WACKER STREET 2: SUITE 4610 CITY: CHICAGO STATE: IL ZIP: 60606 BUSINESS PHONE: 312-244-3313 MAIL ADDRESS: STREET 1: 233 SOUTH WACKER STREET 2: SUITE 4610 CITY: CHICAGO STATE: IL ZIP: 60606 13F-HR 1 sec13f122009.txt 12-31-2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F COVER PAGE Filing Form: 13F-HR Period End Date: December 31, 2009 Name of Filing Firm: IMC-Chicago, LLC DBA IMC Financial Markets Address of Filing Firm: 233 S. Wacker, Suite 4300 Chicago, IL 60606 CIK: 0001452861 CCC: ybxt@ko2 Submission/Contact: Steve Gaston Steve Gaston Chief Compliance Officer (312) 244-3313 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 submission. 13F File#: 28-13342 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON D.C. 20549 FORM 13F FORM 13F SUMMARY PAGE Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 288 Form 13F Information Table Value Total: 1081485 HUTCHISON TELECOMM INTL LTD. SPONSO 44841T107 62 20579 CHINA DIGITALTV HLDNG CO.LTD SPONSO 16938G107 62 10181 FEDERAL NATL MTG ASSN COM 313586109 68 57588 MELCO CROWN ENTERTAINMENT LIM ADR C 585464100 74 22166 PROSHARES ULTRASHORT FTSE/XINHUA CH 74347R321 103 12267 GIANT INTERACTIVE GROUP INC. ADR CM 374511103 106 15085 SHANDA GAMES LIMITED ADR CMN 81941U105 112 10943 JA SOLAR HOLDINGS CO., LTD. SPONSOR 466090107 118 20725 SEMICONDUCTOR MFG INTL CORP SPONSOR 81663N206 136 42084 RYDEX ETF TRUST 2X S&P SELECT SECTO 78355W668 156 12418 RYDEX ETF TRUST INVERSE 2X S&P SELE 78355W650 156 26759 YINGLI GREEN ENERGY HOLDING C ADR C 98584B103 159 10050 NEWS CORPORATION CMN CLASS A 65248E104 169 12367 SUNTECH POWER HOLDINGS CO LTD ADR C 86800C104 192 11556 KINROSS GOLD CORP CMN 496902404 196 10627 PROSHARES TRUST 74347R628 201 1792 C PROSHARES TRUST-PROSHARES ULTRA RUS 74347R511 201 6364 MOODYS CORP 615369105 204 7623 FEDERAL NATL MTG ASSN 3123586109 206 715 P CELGENE CORP COM 151020104 208 3731 POWERSHARES QQQ TRUST MUTUAL FUND 73935A104 209 4578 RYDEX ETF TRUST RYDEX 2X S&P SELECT 78355W627 210 3114 ISHARES RUSSELL 1000 VALUE INDEX FU 464287598 211 3669 PROSHARES ULTRASHORT RUSSELL 1000 V 74347R453 217 4163 SAFEWAY INC (NEW) COM 786514208 220 10315 COMCAST CORP CLA + 20030N101 220 13061 MACY'S INC. CMN 55616P104 224 13350 DEUTSCHE BK AG LONDON BRH MUTUAL FU 25154K874 225 4685 MINDRAY MEDICAL INTL LIMITED SPONSO 602675100 228 6735 PROSHARES SHORT MSCI EMERGING MARKE 74347R396 229 5901 NETEASE.COM INC SPONSORED ADR 64110W102 231 6140 INTL BUSINESS MACHINES CORP CMN 459200101 233 1780 THE PROCTER & GAMBLE COMPANY COM 742718109 234 3859 INDUSTRIAL SECTOR SPDR 81369Y704 238 8579 AMGEN COM 031162100 246 4345 PROSHARES ULTRA INDUSTRIALS ETF 74347R727 253 8140 PROSHARES SHORT RUSSELL2000 ETF 74347R826 256 5766 ISHARES MSCI EMERGING MKT 464287234 258 2384 C DIREXION SHARES ETF TRUST-FINA 25459W490 259 3105 C DOW JONES US CONSUMER NON CYCLICAL 464287812 263 4735 CURRENCYSHARES BRITISH POUND TRUST 23129S106 265 1643 RYDEX ETF TRUST-RYDEX 2X S&P MIDCAP 78355W759 280 7422 RESEARCH IN MOTION LTD 760975102 281 4165 EXXON MOBIL CORP. 30231G102 282 798 C UNITED STATES STEEL CP 912909108 288 162 C CBOE MINI S&P 500 OPEN/EURO IN 12502W107 289 1000 P AMERICAN INTL GROUP, INC. CMN 026874784 289 9642 ALUMINUM CORP OF CHINA LIMITE SPONS 022276109 290 10636 YANZHOU COAL MINING CO. LTD SPONSOR 984846105 294 13457 DOW JONES US FINANCIAL SERVIC COMPO 464287770 295 5484 TEVA PHARMACEUTICAL IND LTD ADS 881624209 304 5416 CTRIP.COM INTERNATIONAL, LTD. ADR C 22943F100 307 4278 PROSHARES ULTRA S&P500 74347R107 309 1003 P SLM CORPORATION 78442P106 310 27502 GILEAD SCIENCE COM 375558103 317 7317 ALCOA INC 013817101 333 20672 CHINA TELECOM CORP LTD SPONSORED AD 169426103 338 8164 GOOGLE INC. 38259P508 339 139 C PROSHARES ULTRASHORT RUSSELL 2000 V 74347R412 343 12905 ISHARES DOW JONES U.S. SECTOR UTILI 464287697 344 4599 PROSHARES SHORT MSCI EAFE ETF 74347R370 345 5904 KROGER CO COM 501044101 348 16965 CHEVRON CORPORATION 166764100 350 4549 PROSHARES TRUST 74347R628 351 697 P GOLDMAN SACHS GROUP INC 38141G104 354 1684 P SCHWAB STRATEGIC TRUST US SMALL-CAP 808524607 356 13205 VISA INC. 92826C839 365 587 C S&P OIL & GAS EXPLRTN & PR ET MUTUA 78464A730 367 8911 IPATH DOW JONES-UBS COPPER SUBINDEX 06739F101 367 8022 KOHL'S CORPORATION COM 500255104 372 6900 RYDEX ETF TRUST RYDEX 2X S&P SELECT 78355W643 373 6833 ISHARES MSCI BRAZIL INDEX FD 464286400 376 5037 THE GAP INC 364760108 376 17967 VERIZON COMMUNICATIONS 92343V104 380 11460 PROSHARES TRUST ULTRA MSCI EMERGING 74347X302 380 4333 STARBUCKS CORP COM 855244109 382 16557 THE FINANCIAL SELECT SECTOR SP 81369Y605 396 7636 C RYDEX ETF TRUST-RYDEX INVERSE 2X S& 78355W734 397 13339 POT ASH SASKATCHEWAN COM 73755L107 399 3678 BEST BUY CO INC COM 086516101 403 10215 BAIDU, INC. SPONSORED ADR CMN 056752108 407 989 THE TJX COMPANIES INC 872540109 416 11391 PROSHARES ULTRASHORT SMALLCAP600 - 74347R792 417 15841 DENEDREON CORP 24823Q107 419 589 C AMERICAN INTL GROUP INC. 026874784 419 2538 P BARCLAYS BANK PLC IPATH DOW JONES-U 06739H214 424 5663 MORGAN STANLEY 617446448 429 2746 C PROSHARES ULTRASHORT MSCI EAF ETF 74347R339 432 11199 PROSHARES TRUST 74347R297 435 4679 P AMEX ENERGY SELECT INDEX 'SPDR' 81369Y506 438 7683 PROSHARES TRUST PROSHARES ULTRASHOR 74347R651 438 51630 DEUTSCHE BK AG LDN BRH MUTUAL FUND 25154H756 451 32154 OCCIDENTAL PETROLEUM CORP COM 674599105 451 5550 SPDR S&P METALS & MINING ETF ETF 78464A755 452 8755 PROSHARES TRUST PROSHARES SHORT OIL 74347R222 458 8963 HSBC HOLDINGS PLC SPONSORED ADR CMN 404280406 460 8051 PROSHARES ULTRA REAL ESTATE ETF 74347R677 465 67504 PROSHARES SHORT SMALLCAP600 ETF 74347R784 465 11915 ISHARE RUSSELL 2000 VALUE INDEX 464287630 483 8328 ORACLE INC. COM 68389X105 496 20233 CISCO SYSTEMS INC COM 17275R102 496 20736 AMEX CONSUMER STAPLES SELECT FUND ' 81369Y308 517 19540 CHESAPEAKE ENERGY CORP 165167107 522 2242 C MACROSHARES MAJOR METRO HOUSING UP 55610R106 526 24117 RYDEX ETF TRUST-RYDEX 2X RUSSELL 20 78355W726 530 15874 CVS/CAREMARK CORP 126650100 537 16668 INTEL CORP 458140100 540 7874 P DIREXION SHARES ETF TRUST MUTUAL FU 25459W565 545 11773 EXXON MOBIL CORP. 30231G102 557 8175 CHINA PETROLEUM & CHEMICAL CO SPONS 16941R108 566 6431 ULTRASHORT MSCI EMERGING MARKETS PR 74347R354 568 52139 ISHARE RUSSELL 2000 INDEX 464287655 587 17633 C CHINA UNICOM (HONG KONG) LTD ADR CM 16945R104 591 45062 MACROSHARES MAJOR METRO HOUSING DOW 55610X103 596 23927 ISHARES RUSSELL 3000 INDEX FUND 464287689 599 9177 PROSHARES TRUST PROSHARES ULTRA HEA 74347R735 615 12315 MASTERCARD INCORPORATED CMN 57636Q104 635 2481 COSTCO WHOLESALE CORP 22160K105 643 10869 WELLS FARGO CO (NEW) 949746101 653 2951 P MORGAN STANLEY 617446448 690 3004 P DEUTSCHE BK AG LDN BRH MUTUAL FUND 25154H749 696 26328 ISHARES FTSE XINHAU CHINA 25 464287184 701 96 P REGIONAL BK HOLDRS TR 75902E100 704 9200 AT&T INC CMN 00206R102 707 25210 CNOOC LTD SPONSORED ADR CMN 126132109 715 4599 PROSHARES TRUST 74347R552 715 7716 P INTL BUSINESS MACHINES CORP 459200101 719 433 C PETROCHINA CO LTD SPONSORED ADR 71646E100 734 6172 HARTFORD FINANCIAL SERVICES GR 416515104 737 707 C QUALCOMM INC COM 747525103 747 16148 LOWE'S COMPANIES, INC. 548661107 749 32039 DIREXION ETF TRUST ENERGY BULL 3X S 25459W888 749 18886 PROSHARES TRUST-PROSHARES ULTRA BAS 74347R776 770 23895 VISA INC. CMN CLASS A 92826C839 772 8830 GENERAL ELECTRIC CO 369604103 773 9824 C PROSHARES TRUST ULTRA MSCI EAFE 74347X500 777 9899 WALGREEN CO COM 931422109 811 22079 ISHARES TRUST RUSSELL MIDCAP INDEX 464287499 828 10032 DIREXION SHARES ETF TRUST ENERGY BE 25459W870 854 75669 CHINA LIFE INSUR CO LTD (CHIN SPONS 16939P106 866 11804 TARGET CORP 87612E106 875 18100 PROSHARES ULTRASHORT MIDCAP400 ETF 74347R859 883 39951 CHESAPEAKE ENERGY CORP 165167107 927 1673 P EXXON MOBIL CORP. 30231G102 943 578 P CHINA MOBILE LIMITED SPONSORED ADR 16941M109 957 20609 MICROSOFT CORP COM 594918104 969 31790 S&P SEMICONDUCTOR ETF SPDR SERIES T 78464A862 984 20676 PROSHARES TRUST MUTUAL FUND SERIES 74347X880 994 13961 PROSHARES TRUST-ULTRA MSCI JAPAN PR 74347X708 1000 15895 UNITED STATES SHORT OIL FD, L ETF 912613205 1035 23586 PROSHARES TRUST II-ULTRASHORT GOLD 74347W700 1086 104919 PROSHARES TRUST II ULTRASHORT SILVE 74347W833 1142 238392 DIREXION SHARESS ETF TRUST EMERGING 25459W300 1217 9061 PROSHARES TRUST-PROSHARES 74347R743 1233 6547 C MARKET VECTORS TR 57060U100 1237 2985 P MICROSOFT CORP 594918104 1248 4128 C PROSHARES TRUST-PROSHARES ULTRA RUS 74347R487 1280 41614 J.P. MORGAN CHASE & CO 46625H100 1281 3468 C UNITED STATES NATURAL GAS D LP 912318102 1283 13614 C COMPANHIA VALE DO RIO DOCE ADR 91912E105 1332 45900 THE HOME DEPOT, INC. CMN 437076102 1333 46078 ISHARES MSCI JAPAN INDEX FUND ETF 464286848 1341 137718 AMAZON COM INC 023135106 1358 10096 DELL INC 24702R101 1378 95929 PROSHARES TRUST-PROSHARES 74347R743 1392 6242 P SPDR S&P OIL & GAS EQPT & SVCS ETF 78464A748 1401 49188 GOLDCORP INC. 380956409 1411 35860 WELLS FARGO CO (NEW) 949746101 1458 3648 C DIREXION DAILY REAL ESTATE BEAR 3X 25459W748 1477 115394 CHESAPEAKE ENERGY CORP COM 165167107 1502 58032 THE FINANCIAL SELECT SECTOR SP 81369Y605 1515 5736 P PROSHARES ULTRA S&P500 74347R107 1535 2847 C UNITED STATES NATURAL GAS D L ETF 912318102 1561 154885 DIREXION SHARES ETF TRUST-FIN MUTUA 25459W516 1564 21093 POWERSHARES DB US DOLLAR IDX BEARIS 73936D206 1596 57951 DIREXION SHARES ETF TRUST-FINA 25459W490 1598 1777 P PROSHARES TR ULTRASHORT RUSSELL 300 74347X203 1648 65994 RUSSELL 2000 INDEX 124835109 1654 7806 P PROSHARES TRUST 74347R297 1656 5297 C DIREXION DAILY LATIN AMERICA BULL 3 25459W698 1658 45150 MORGAN STANLEY 617446448 1674 56562 PROSHARES ULTRASHORT MSCI JAPAN ETF 74347R347 1682 34207 PROSHARES ULTRASHORT S&P500 74347R883 1689 3556 P MERRILL LYNCH SEMI HLDRS 816636203 1692 60600 DIREXION SHARESS ETF TRUST DEVELOPE 25459W789 1744 23910 ISHARES DOW JONES TRANSPORTATION AV 464287192 1768 23947 AMAZON COM INC 023135106 1768 783 C ISHARES MSCI EMERGING MKT 464287234 1801 5722 P PROSHARES ULTRASHORT QQQ ETF 74347R875 1850 97167 UNITED STATES GASOLINE FD, LP EXCHA 91201T102 1859 50822 PROSHARES TR-ULTRASHORT MSCI MEXIC 74347X872 1936 73503 PROSHARES SHORT QQQ ETF 74347R602 1952 44709 DIREXION SHARES ETF TRUST SMALL CAP 25459W839 1974 200231 PROSHARES TRUST PROSHARES ULTRASHOR 74347R586 1989 156093 PROSHARES SHORT DOW30 MUTUAL FUND 74347R701 2033 38848 PROSHARES TR-ULTRASHORT MSCI PACIFI 74347X609 2161 113248 CURRENCYSHARES SWISS FRANC TR MUTUA 23129V109 2184 22722 RYDEX ETF TRUST-RYDEX INVERSE 2X S& 78355W783 2206 67626 ISHARES MSCI EAFE INDEX FUND ETF 464287465 2241 40533 ISHARES TRUST-ISHARES S&P SMALLCAP 464287804 2275 41575 POWERSHARES QQQ TRUST 73935A104 2292 6473 C TECHNOLOGY SELECT SECTOR SPDR 81369Y803 2302 100396 PROSHARES ULTRA RUSSELL2000 ETF 74347R842 2307 81379 WAL-MART STORES INC COM 931142103 2344 43860 UNITED STATES HEATING OIL FUN EXCHA 91204P107 2363 85597 PROSHARES TR PROSHARES ULTRA OIL & 74347R719 2383 69015 PHARMACEUTICAL HOLDING TRUST RECEIP 71712A206 2422 36700 CURRENCYSHARES EURO TRUST ETF 23130C108 2478 17340 DIREXION SHARESS ETF TRUST EMERGING 25459W409 2657 532443 PROSHARES TRUST PROSHARES ULTRASHOR 74347R297 2717 54470 GOOGLE INC. CMN CLASS A 38259P508 2720 4388 DIREXION SHARES ETF TRUST-FINA 25459W516 2811 4931 P ISHARES RUSSELL 1000 INDEX FUND 464287622 2831 46176 DIREXION DAILY CHINA BEAR 3X ETF 25459W763 3097 73486 DIREXION ETF TRUST SMALL CAP BULL 3 25459W847 3157 73873 GOLDMAN SACHS GROUP INC 38141G104 3198 1420 C DIREXION SHARES ETF TRUST-FINA 25459W516 3301 4876 C CRRNCYSHARES SWEDISH KRONA TR MUTUA 23129R108 3302 23693 ISHARES BARCLAYS 20+ YEAR TREASURY 464287432 3330 37042 PROSHARES TR II MUTUAL FUND 74347W502 3553 280215 PROSHARES ULTRA DOW30 ETF 74347R305 3616 82545 PROSHARES TR ULTA RUSSELL 300 ETF 74347X104 3630 59910 CURRENCYSHARES AUSTRALIAN DLR MUTUA 23129U101 3648 40498 DIREXION DAILY LATIN AMERICA BEAR 3 25459W649 3730 88587 PROSHARES ULTRASHORT RUSSELL2 ETF 74347R834 3870 153615 ISHARES MSCI MEXICO (FREE) INDEX FU 464286822 3904 79892 PETROLEO BRASILEIRO S.A. - PE SPONS 71654V408 4048 84897 GENERAL ELECTRIC CO 369604103 4081 18470 P STANDARD & POORS DEP RCPTS 78462F103 4244 14308 C ISHARES MSCI PACIFIC EX JAPAN INDEX 464286665 4294 103805 PETROLEO BRASILEIRO S.A. - PET 71654V408 4332 8496 P PROSHARES ULTRASHORT DOW30 ETF 74347R867 4341 147294 ISHARES COMEX GOLD TRUST ETF 464285105 4431 41273 DIREXION ETF TRUST LARGE CAP BULL 3 25459W862 4452 84778 DIREXION DAILY REAL ESTATE BULL 3X 25459W755 4472 31372 J.P. MORGAN CHASE & CO 46625H100 4521 7081 P DIREXION SHARES ETF TRUST-FIN MUTUA 25459W490 4529 233107 UNITED STATES OIL FUND LP 91232N108 4584 11017 P J.P. MORGAN CHASE & CO 46625H100 4676 112216 UNITED STATES NATURAL GAS D LP 912318102 4852 11627 P CITIGROUP INC. 172967101 4941 56195 C APPLE INC 037833100 4955 23513 BARCLAYS BK PLC IPATH INDEX LKD SEC 06738C786 4972 192111 PETROLEO BRASILEIRO S.A. - PET 71654V408 5121 7447 C PROSHARES TRUST PROSHARES ULTRAPRO 74347X856 5404 148904 STANDARD & POORS DEP RCPTS 78462F103 5602 22137 P ISHARE DOW JONES U S FINANCIA SECTO 464287788 5793 111879 GENERAL ELECTRIC CO CMN 369604103 6093 402685 DIREXION ETF TRUST LARGE CAP BEAR 3 25459W854 6181 361306 RUSSELL 2000 INDEX 124835109 6187 5348 C PROSHARES TRUST-PROSHARES ULTRA FIN 74347R743 6531 1160000 OIL SERVICE HOLD TR 678002106 6883 57900 ISHARES S&P LATIN AMERICA 40 INDEX 464287390 7613 159297 APPLE INC 037833100 8021 1801 C BERKSHIRE HATHAWAY INC. CL-A HOLDIN 084670108 8630 87 UNITED STATES OIL FUND LP 91232N108 8777 13973 C THE FINANCIAL SELECT SECTOR S MARKE 81369Y605 9116 633033 BARCLAYS BK PLC MUTUAL FUND 06740C519 9343 121568 BIOTECH HOLDERS TRUST 09067D201 9500 97400 PROSHARES TRUST PROSHARES ULTRASHOR 74347R628 9644 398009 DOW JONES US REAL ESTATE INDE FUND 464287739 9667 210519 UNITED STATES OIL FUND LP 91232N108 10394 264602 PROSHARES SHORT S&P500 ETF 74347R503 10410 198065 BANK OF AMERICA CORP 060505104 10689 46673 C PROSHARES TRUST PROSHARES ULTRASHOR 74347R552 10697 1426281 CITIGROUP INC. 172967101 10871 113393 P MARKET VECTORS TR GOLD MINERS INDEX 57060U100 11677 252695 BAIDU INC. 056752108 13352 986 C PROSHARES ULTRA S&P500 ETF 74347R107 13903 363569 INTEL CORP COM 458140100 15049 737695 ISHARES MSCI EMERGING MKT INDEX FUN 464287234 15104 363962 SPDR GOLD TRUST 78463V107 15112 23936 P POWERSHARES DB US DOLLAR IDX BULLIS 73936D107 16444 712470 SPDR GOLD TRUST ETF 78463V107 16902 157507 ISHARE RUSSELL 2000 INDEX 464287655 18674 17364 P CBOE S&P 500 OPEN/EURO INDEX 648815108 19491 17545 P SPDR GOLD TRUST 78463V107 20425 29413 C BANK OF AMERICA CORP CMN 060505104 20940 1390425 PROSHARES ULTRA QQQ ETF 74347R206 21611 363328 STANDARD & POORS DEP RCPTS 78462F103 22488 201794 CITIGROUP INC. CMN 172967101 23599 7129570 ISHARES TRUST-ISHARES S&P 500 INDEX 464287200 25989 232436 CBOE S&P 500 OPEN/EURO INDEX 648815108 26509 10593 C BANK OF AMERICA CORP 060505104 27645 47731 P PROSHARES TRUST PROSHARES ULTRAPRO 74347X864 31706 210434 STD & PRS 400 MID-CAP DEP RCP MIDCA 595635103 50467 383078 PROSHARES ULTRASHORT S&P500 ETF 74347R883 71818 2049027 ISHARE RUSSELL 2000 INDEX 464287655 93720 1500957 -----END PRIVACY-ENHANCED MESSAGE-----