-----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, RR0Ug96ZCnDeDzGoaKHi86mM+vbgaggnoP/Wql8jbba56Lg8zhCaStFKX+EB7Mm/ QKUooBwUCfBxNH2NOUUAbA== 0001047469-08-012254.txt : 20081114 0001047469-08-012254.hdr.sgml : 20081114 20081114105137 ACCESSION NUMBER: 0001047469-08-012254 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Radcliffe Capital Management, L.P. CENTRAL INDEX KEY: 0001218275 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10367 FILM NUMBER: 081187886 BUSINESS ADDRESS: STREET 1: 50 MONUMENT ROAD, SUITE 300 CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: 6106175900 MAIL ADDRESS: STREET 1: 50 MONUMENT ROAD, SUITE 300 CITY: BALA CYNWYD STATE: PA ZIP: 19004 FORMER COMPANY: FORMER CONFORMED NAME: RG CAPITAL MANAGEMENT LP DATE OF NAME CHANGE: 20030211 13F-HR 1 a2189121z13f-hr.txt FORM 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09-30-08 -------- 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: RADCLIFFE CAPITAL MANAGEMENT, L.P. (FORMERLY R.G. CAPITAL MANAGEMENT, L.P., FILE NO. 28-10367) ----------------------------------------------------------------- Address: 50 MONUMENT ROAD, SUITE 300 BALA CYNWYD, PA 19004 Form 13F File Number: 28-10367 -------- 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: MARIA R. MCGARRY Title: CHIEF COMPLIANCE OFFICER Phone: 610-617-5900 Signature, Place, and Date of Signing: /S/ MARIA R. MCGARRY BALA CYNWYD, PA NOVEMBER 14, 2008 - ------------------------------- --------------- ----------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: 0 - Form 13F Information Table Entry Total: 115 --- Form 13F Information Table Value Total: $823206 ------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE 13F REPORT: (09/30/08) RADCLIFFE CAPITAL MANAGEMENT LP
VOTING AUTHORITY VALUE SHARES / SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP X 1000 PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------------------------------------------------------------------------------------------- ADVANCED MICRO DEVICES INC CONVRT BOND 007903AN7 18577 32500000 PRN SOLE 32500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ALCATEL-LUCENT CONVRT BOND 549463AG2 4375 5000000 PRN SOLE 5000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ALESCO FINANCIAL INC CONVRT BOND 014485AB2 523 1000000 PRN SOLE 1000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ALLERGAN INC COMMON STOCK 018490102 2117 41100 SHS SOLE 41100 0 0 - -------------------------------------------------------------------------------------------------------------------------- THE ALLSTATE CORP OPTIONS - PUT 020002101 5488 119000 SHS PUT SOLE 119000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ANTIGENICS INC CONVRT BOND 037032AC3 258 736000 PRN SOLE 736000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ASPECT MEDICAL SYSTEMS INC CONVRT BOND 045235AB4 855 1500000 PRN SOLE 1500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ASPECT MEDICAL SYSTEMS INC COMMON STOCK 045235108 54 10395 SHS SOLE 10395 0 0 - -------------------------------------------------------------------------------------------------------------------------- ASPECT MEDICAL SYSTEMS INC OPTIONS - PUT 045235108 782 150000 SHS PUT SOLE 150000 0 0 - -------------------------------------------------------------------------------------------------------------------------- BARRICK GOLD CORP CONVRT BOND 725906AK7 20666 13500000 PRN SOLE 13500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- BILL BARRETT CORP CONVRT BOND 06846NAA2 9518 11050000 PRN SOLE 11050000 0 0 - -------------------------------------------------------------------------------------------------------------------------- BORLAND SOFTWARE CORP CONVRT BOND 099849AB7 3775 5375000 PRN SOLE 5375000 0 0 - -------------------------------------------------------------------------------------------------------------------------- BORLAND SOFTWARE CORP OPTIONS - PUT 099849101 306 200000 SHS PUT SOLE 200000 0 0 - -------------------------------------------------------------------------------------------------------------------------- BOSTON PROPERTIES INC CONVRT BOND 10112RAG9 2541 2500000 PRN SOLE 2500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CAMERON INTERNATIONAL CORP CONVRT BOND 13342BAB1 28339 22536000 PRN SOLE 22536000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CASTLE BRANDS INC COMMON STOCK 148435100 35 160803 SHS SOLE 160803 0 0 - -------------------------------------------------------------------------------------------------------------------------- CEPHALON INC CONVRT BOND 156708AP4 94237 55050000 PRN SOLE 55050000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CHENIERE ENERGY INC CONVRT BOND 16411RAE9 1745 10958000 PRN SOLE 10958000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CHENIERE ENERGY INC OPTIONS - PUT 16411R208 450 200000 SHS PUT SOLE 200000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CHINA SUNERGY CO LTD COMMON STOCK 16942X104 586 82710 SHS SOLE 82710 0 0 - -------------------------------------------------------------------------------------------------------------------------- CIENA CORP CONVRT BOND 171779AB7 4401 7350000 PRN SOLE 7350000 0 0 - -------------------------------------------------------------------------------------------------------------------------- COMPUCREDIT CORP CONVRT BOND 20478NAB6 1706 5195000 PRN SOLE 5195000 0 0 - -------------------------------------------------------------------------------------------------------------------------- COMPUCREDIT CORP COMMON STOCK 20478N100 0 38 SHS SOLE 38 0 0 - -------------------------------------------------------------------------------------------------------------------------- COMPUCREDIT CORP OPTIONS - PUT 20478N100 196 50000 SHS PUT SOLE 50000 0 0 - -------------------------------------------------------------------------------------------------------------------------- COMPUCREDIT CORP OPTIONS - PUT 20478N100 84 21400 SHS PUT SOLE 21400 0 0 - -------------------------------------------------------------------------------------------------------------------------- CONEXANT SYSTEMS INC CONVRT BOND 207142AH3 10784 16500000 PRN SOLE 16500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CORE LABORATORIES NV CONVRT BOND 21868FAB9 7994 7000000 PRN SOLE 7000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- CRAY INC CONVRT BOND 225223AB2 1842 2050000 PRN SOLE 2050000 0 0 - -------------------------------------------------------------------------------------------------------------------------- DECODE GENETICS INC CONVRT BOND 243586AB0 519 2000000 PRN SOLE 2000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ENCORE CAPITAL GROUP INC CONVRT BOND 292554AB8 4400 5265000 PRN SOLE 5265000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ENERGY CONVERSION DEVICES INC CONVRT BOND 292659AA7 4669 5500000 PRN SOLE 5500000 0 0 - --------------------------------------------------------------------------------------------------------------------------
VOTING AUTHORITY VALUE SHARES / SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP X 1000 PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------------------------------------------------------------------------------------------- ENERGY CONVERSION DEVICES INC COMMON STOCK 292659109 932 16000 SHS SOLE 16000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ENERGY CONVERSION DEVICES INC OPTIONS - PUT 292659109 583 10000 SHS PUT SOLE 10000 0 0 - -------------------------------------------------------------------------------------------------------------------------- EVERGREEN ENERGY INC COMMON STOCK 30024B104 324 327524 SHS SOLE 327524 0 0 - -------------------------------------------------------------------------------------------------------------------------- EVERGREEN ENERGY INC OPTIONS - PUT 30024B104 287 290000 SHS PUT SOLE 290000 0 0 - -------------------------------------------------------------------------------------------------------------------------- EVERGREEN SOLAR INC CONVRT BOND 30033RAC2 6170 10500000 PRN SOLE 10500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- EXTERRAN HOLDINGS INC CONVRT BOND 410768AE5 18818 20550000 PRN SOLE 20550000 0 0 - -------------------------------------------------------------------------------------------------------------------------- GSI COMMERCE INC OPTIONS - PUT 36238G102 774 50000 SHS PUT SOLE 50000 0 0 - -------------------------------------------------------------------------------------------------------------------------- GENCORP INC CONVRT BOND 368682AL4 6236 9000000 PRN SOLE 9000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- GILEAD SCIENCES INC CONVRT BOND 375558AG8 30873 25000000 PRN SOLE 25000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- HLTH CORP COMMON STOCK 40422Y101 393 34384 SHS SOLE 34384 0 0 - -------------------------------------------------------------------------------------------------------------------------- HLTH CORP OPTIONS - PUT 40422Y101 471 41200 SHS PUT SOLE 41200 0 0 - -------------------------------------------------------------------------------------------------------------------------- HICKS ACQUISITION CO I INC WARRANT 429086127 33 161700 SHS SOLE 161700 0 0 - -------------------------------------------------------------------------------------------------------------------------- ICONIX BRAND GROUP INC CONVRT BOND 451055AB3 2359 3100000 PRN SOLE 3100000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ILLUMINA INC OPTIONS - PUT 452327109 4774 117800 SHS PUT SOLE 117800 0 0 - -------------------------------------------------------------------------------------------------------------------------- INFORMATICA CORP CONVRT BOND 45666QAB8 13546 14250000 PRN SOLE 14250000 0 0 - -------------------------------------------------------------------------------------------------------------------------- INTEL CORP COMMON STOCK 458140100 3158 168600 SHS SOLE 168600 0 0 - -------------------------------------------------------------------------------------------------------------------------- INTER-ATLANTIC FINANCIAL INC WARRANT 45890H100 24 95900 SHS SOLE 95900 0 0 - -------------------------------------------------------------------------------------------------------------------------- JA SOLAR HOLDINGS CO LTD CONVRT BOND 466090AA5 4628 6995000 PRN SOLE 6995000 0 0 - -------------------------------------------------------------------------------------------------------------------------- JA SOLAR HOLDINGS CO LTD COMMON STOCK 466090107 404 38300 SHS SOLE 38300 0 0 - -------------------------------------------------------------------------------------------------------------------------- JA SOLAR HOLDINGS CO LTD OPTIONS - PUT 466090107 105 10000 SHS PUT SOLE 10000 0 0 - -------------------------------------------------------------------------------------------------------------------------- JETBLUE AIRWAYS CORP CONVRT BOND 477143AE1 3737 3000000 PRN SOLE 3000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- JETBLUE AIRWAYS CORP COMMON STOCK 477143101 11 2212 SHS SOLE 2212 0 0 - -------------------------------------------------------------------------------------------------------------------------- LDK SOLAR CO LTD COMMON STOCK 50183L107 2223 74034 SHS SOLE 74034 0 0 - -------------------------------------------------------------------------------------------------------------------------- LDK SOLAR CO LTD OPTIONS - PUT 50183L107 300 10000 SHS PUT SOLE 10000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEHMAN BROTHERS HOLDINGS INC OPTIONS - PUT 524908100 4 20000 SHS PUT SOLE 20000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEHMAN BROTHERS HOLDINGS INC OPTIONS - PUT 524908100 5 25000 SHS PUT SOLE 25000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEUCADIA NATIONAL CORP CONVRT BOND 527288AX2 29035 14000000 PRN SOLE 14000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEVEL 3 COMMUNICATIONS INC CONVRT BOND 52729NBA7 3695 4709000 PRN SOLE 4709000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEVEL 3 COMMUNICATIONS INC CONVRT BOND 52729NBE9 46625 47200000 PRN SOLE 47200000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEVEL 3 COMMUNICATIONS INC CONVRT BOND 52729NBF6 12501 15195000 PRN SOLE 15195000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEVEL 3 COMMUNICATIONS INC CONVRT BOND 52729NBK5 6446 9025000 PRN SOLE 9025000 0 0 - -------------------------------------------------------------------------------------------------------------------------- LEVEL 3 COMMUNICATIONS INC OPTIONS - PUT 52729N100 1080 400000 SHS PUT SOLE 400000 0 0 - --------------------------------------------------------------------------------------------------------------------------
VOTING AUTHORITY VALUE SHARES / SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP X 1000 PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------------------------------------------------------------------------------------------- MACROVISION SOLUTIONS CORP COMMON STOCK 55611C108 408 26500 SHS SOLE 26500 0 0 - -------------------------------------------------------------------------------------------------------------------------- MATHSTAR INC COMMON STOCK 576801302 134 124300 SHS SOLE 124300 0 0 - -------------------------------------------------------------------------------------------------------------------------- MEDIS TECHNOLOGIES LTD COMMON STOCK 58500P107 907 503673 SHS SOLE 503673 0 0 - -------------------------------------------------------------------------------------------------------------------------- NCI BUILDING SYSTEMS INC CONVRT BOND 628852AG0 6859 7000000 PRN SOLE 7000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- NII HOLDINGS INC CONVRT BOND 62913FAF9 20962 21182000 PRN SOLE 21182000 0 0 - -------------------------------------------------------------------------------------------------------------------------- NABORS INDUSTRIES LTD CONVRT BOND 629568AP1 454 500000 PRN SOLE 500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- NASH FINCH CO CONVRT BOND 631158AD4 2491 5500000 PRN SOLE 5500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- NATIONAL CITY CORP CONVRT BOND 635405AW3 44549 92750000 PRN SOLE 92750000 0 0 - -------------------------------------------------------------------------------------------------------------------------- NEKTAR THERAPEUTICS CONVRT BOND 640268AH1 7277 12600000 PRN SOLE 12600000 0 0 - -------------------------------------------------------------------------------------------------------------------------- NEWMONT MINING CORP COMMON STOCK 651639106 2616 67500 SHS SOLE 67500 0 0 - -------------------------------------------------------------------------------------------------------------------------- OMNICARE INC CONVRT BOND 681904AL2 6846 10490000 PRN SOLE 10490000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ON SEMICONDUCTOR CORP CONVRT BOND 682189AD7 19321 16800000 PRN SOLE 16800000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ON SEMICONDUCTOR CORP CONVRT BOND 682189AE5 21004 22788000 PRN SOLE 22788000 0 0 - -------------------------------------------------------------------------------------------------------------------------- OSCIENT PHARMACEUTICALS CORP CONVRT BOND 68812RAC9 2032 11780000 PRN SOLE 11780000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PDL BIOPHARMA INC CONVRT BOND 74369LAF0 7759 10261000 PRN SOLE 10261000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PALM INC OPTIONS - PUT 696643105 299 50000 SHS PUT SOLE 50000 0 0 - -------------------------------------------------------------------------------------------------------------------------- THE PANTRY INC CONVRT BOND 698657AL7 1348 1682000 PRN SOLE 1682000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PAR PHARMACEUTICAL COS INC CONVRT BOND 717125AC2 8888 10180000 PRN SOLE 10180000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PENN VIRGINIA CORP CONVRT BOND 707882AA4 24322 21500000 PRN SOLE 21500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PIXELWORKS INC CONVRT BOND 72581MAB3 11607 15624000 PRN SOLE 15624000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PLAYBOY ENTERPRISES INC CONVRT BOND 728117AB8 6285 8500000 PRN SOLE 8500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- PROGEN PHARMACEUTICALS LTD COMMON STOCK Q7759R100 204 364994 SHS SOLE 364994 0 0 - -------------------------------------------------------------------------------------------------------------------------- PRUDENTIAL FINANCIAL INC OPTIONS - PUT 744320102 6480 90000 SHS PUT SOLE 90000 0 0 - -------------------------------------------------------------------------------------------------------------------------- QIMONDA AG CONVRT BOND 74732WAA7 1947 3500000 PRN SOLE 3500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- QUANTA SERVICES INC CONVRT BOND 74762EAE2 8142 6200000 PRN SOLE 6200000 0 0 - -------------------------------------------------------------------------------------------------------------------------- QWEST COMMUNICATIONS INTERNATIONAL CONVRT BOND 749121BY4 45155 52308000 PRN SOLE 52308000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SPDR TRUST SERIES 1 OPTIONS - PUT 78462F103 1171 10100 SHS PUT SOLE 10100 0 0 - -------------------------------------------------------------------------------------------------------------------------- SPDR TRUST SERIES 1 OPTIONS - PUT 78462F103 11483 99000 SHS PUT SOLE 99000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SP ACQUISITION HOLDINGS INC WARRANT 78470A104 53 175000 SHS SOLE 175000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SANDISK CORP OPTIONS - CALL 80004C101 293 15000 SHS CALL SOLE 15000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SAVVIS INC CONVRT BOND 805423AA8 18304 28500000 PRN SOLE 28500000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SEAGATE TECHNOLOGY CONVRT BOND 577729AE6 17666 19500000 PRN SOLE 19500000 0 0 - --------------------------------------------------------------------------------------------------------------------------
VOTING AUTHORITY VALUE SHARES / SH/ PUT/ INVESTMENT OTHER --------------------- NAME OF ISSUER TITLE OF CLASS CUSIP X 1000 PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------------------------------------------------------------------------------------------------------------------- SECURE AMERICA ACQUISITION CORP COMMON STOCK 81372L103 584 79000 SHS SOLE 79000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SECURE AMERICA ACQUISITION CORP WARRANT 81372L103 13 125000 SHS SOLE 125000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SIRIUS XM RADIO INC CONVRT BOND 82966UAD5 8491 14741000 PRN SOLE 14741000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SOLARFUN POWER HOLDINGS CO LTD OPTIONS - PUT 83415U108 105 10000 SHS PUT SOLE 10000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SOLARFUN POWER HOLDINGS CO LTD COMMON STOCK 83415U108 944 89680 SHS SOLE 89680 0 0 - -------------------------------------------------------------------------------------------------------------------------- SUN MICROSYSTEMS INC COMMON STOCK 866810203 190 25000 SHS SOLE 25000 0 0 - -------------------------------------------------------------------------------------------------------------------------- SUN MICROSYSTEMS INC OPTIONS - PUT 866810203 760 100000 SHS PUT SOLE 100000 0 0 - -------------------------------------------------------------------------------------------------------------------------- TM ENTERTAINMENT AND MEDIA INC WARRANT 87260T116 6 23600 SHS SOLE 23600 0 0 - -------------------------------------------------------------------------------------------------------------------------- TEVA PHARMACEUTICAL INDUSTRIES COMMON STOCK 881624209 8409 183642 SHS SOLE 183642 0 0 - -------------------------------------------------------------------------------------------------------------------------- TEVA PHARMACEUTICAL INDUSTRIES OPTIONS - CALL 881624209 11448 250000 SHS CALL SOLE 250000 0 0 - -------------------------------------------------------------------------------------------------------------------------- TEVA PHARMACEUTICAL INDUSTRIES OPTIONS - CALL 881624209 3782 82600 SHS CALL SOLE 82600 0 0 - -------------------------------------------------------------------------------------------------------------------------- TIME WARNER INC CONVRT BOND 530718AF2 16129 18000000 PRN SOLE 18000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- TOWERSTREAM CORP COMMON STOCK 892000100 1216 1336668 SHS SOLE 1336668 0 0 - -------------------------------------------------------------------------------------------------------------------------- TRANSFORMA ACQUISITION GROUP INC WARRANT 89366E118 28 125000 SHS SOLE 125000 0 0 - -------------------------------------------------------------------------------------------------------------------------- TRINA SOLAR LTD CONVRT BOND 89628EAA2 3491 4000000 PRN SOLE 4000000 0 0 - -------------------------------------------------------------------------------------------------------------------------- TRINA SOLAR LTD COMMON STOCK 89628E104 657 28608 SHS SOLE 28608 0 0 - -------------------------------------------------------------------------------------------------------------------------- TRINITY INDUSTRIES INC COMMON STOCK 896522109 1636 63600 SHS SOLE 63600 0 0 - -------------------------------------------------------------------------------------------------------------------------- YAHOO! INC OPTIONS - CALL 984332106 1730 100000 SHS CALL SOLE 100000 0 0 - -------------------------------------------------------------------------------------------------------------------------- YINGLI GREEN ENERGY HOLDING CO CONVRT BOND 98584BAA1 22898 28692000 PRN SOLE 28692000 0 0 - -------------------------------------------------------------------------------------------------------------------------- ZI CORP COMMON STOCK 988918108 1046 1504991 SHS SOLE 1504991 0 0 - -------------------------------------------------------------------------------------------------------------------------- RECORDS 115 TOTAL MKT VALUE 823206 - --------------------------------------------------------------------------------------------------------------------------
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