-----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, TvxDWPQOfYz1ccZHrPEcwTOgOTMgTf2DwSNQnvI/SXYKf0zxoigim+KBpeif/Jf8 Qv6piIw8CzH67Q8oBXZ9iQ== 0001085146-10-000420.txt : 20100512 0001085146-10-000420.hdr.sgml : 20100512 20100511195402 ACCESSION NUMBER: 0001085146-10-000420 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100512 DATE AS OF CHANGE: 20100511 EFFECTIVENESS DATE: 20100512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALESTRA CAPITAL LTD. CENTRAL INDEX KEY: 0001007446 IRS NUMBER: 132972945 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13493 FILM NUMBER: 10822372 BUSINESS ADDRESS: STREET 1: 58 WEST 40TH STREET CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: (212) 768-9000 MAIL ADDRESS: STREET 1: 58 WEST 40TH STREET CITY: NEW YORK STATE: NY ZIP: 10018 FORMER COMPANY: FORMER CONFORMED NAME: BALESTRA CAPITAL LTD/ DATE OF NAME CHANGE: 19960208 13F-HR 1 hbal1q10.txt BALESTRA CAPITAL LTD UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2010 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: Balestra Capital Ltd. Address: 58 West 40th Street. 12th Floor New York, NY 10018 13F File Number: 028-13493 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: Andrew Marra, CFA, CPA Title: Chief Financial Officer Phone: 212-768-9000 Signature, Place, and Date of Signing: /s/ Andrew Marra New York, NY May 11, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 14 Form 13F Information Table Value Total: $174,857 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- A D A M INC COM 00088U108 40 10000 SH SOLE 10000 0 0 ANNALY CAP MGMT INC COM 035710409 12457 727410 SH SOLE 727410 0 0 AT&T INC COM 00206R102 28906 1121550 SH SOLE 1121550 0 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 945 15000 SH PUT SOLE 15000 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 2780 50000 SH PUT SOLE 50000 0 0 ISHARES TR INDEX RUSSELL 2000 464287655 3220 40000 SH PUT SOLE 40000 0 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 100 20000 SH PUT SOLE 20000 0 0 SCIENTIFIC LEARNING CORP COM 808760102 24 84100 SH SOLE 84100 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1380 20000 SH PUT SOLE 20000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 57796 80630 SH CALL SOLE 80630 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 654 15385 SH SOLE 15385 0 0 SPDR S&P 500 ETF TR UNIT SER 1 S&P 78462F103 8750 25000 SH PUT SOLE 25000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 29596 954503 SH SOLE 954503 0 0 VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 28209 1210551 SH SOLE 1210551 0 0
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