0000947871-14-000082.txt : 20140214
0000947871-14-000082.hdr.sgml : 20140214
20140214065353
ACCESSION NUMBER: 0000947871-14-000082
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20131231
FILED AS OF DATE: 20140214
DATE AS OF CHANGE: 20140214
EFFECTIVENESS DATE: 20140214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Trellus Management Company, LLC
CENTRAL INDEX KEY: 0001307877
IRS NUMBER: 133807183
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10974
FILM NUMBER: 14609992
BUSINESS ADDRESS:
STREET 1: 350 MADISON AVENUE - 9TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-389-8799
MAIL ADDRESS:
STREET 1: 350 MADISON AVENUE - 9TH FL
CITY: NEW YORK
STATE: NY
ZIP: 10017
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
false
false
0001307877
XXXXXXXX
12-31-2013
12-31-2013
false
Trellus Management Company, LLC
350 Madison Avenue - 9th Fl
New York
NY
10017
13F HOLDINGS REPORT
028-10974
N
James Scaplen
Chief Financial Officer
212-389-8805
/s/ James Scaplen
New York
NY
02-14-2014
0
95
82883
INFORMATION TABLE
2
infotable.xml
ACACIA RESH CORP
ACACIA TCH COM
003881307
2617
180000
SH
SOLE
180000
0
0
ADVAXIS INC
*W EXP 07/15/201
007624117
17
10000
SH
SOLE
10000
0
0
ADVAXIS INC
COM NEW
007624208
42
10000
SH
SOLE
10000
0
0
AG MTG INVT TR INC
COM
001228105
469
30000
SH
SOLE
30000
0
0
ALCOBRA LTD
SHS
M2239P109
477
26500
SH
SOLE
26500
0
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
219
3400
SH
SOLE
3400
0
0
AMERICAN APPAREL INC
COM
023850100
31
25400
SH
SOLE
25400
0
0
AMERICAN TOWER CORP NEW
COM
03027X100
1197
15000
SH
SOLE
15000
0
0
AMERICAN WTR WKS CO INC NEW
COM
030420103
2181
51600
SH
SOLE
51600
0
0
APOLLO COML REAL EST FIN INC
COM
03762U105
732
45023
SH
SOLE
45023
0
0
ASSURED GUARANTY LTD
COM
G0585R106
583
24700
SH
SOLE
24700
0
0
ATLAS ENERGY LP
COM UNITS LP
04930A104
272
5813
SH
SOLE
5813
0
0
BARCLAYS BANK PLC
ETN DJUBS SGAR38
06739H214
416
7500
SH
Call
SOLE
7500
0
0
BIOTELEMETRY INC
COM
090672106
316
39800
SH
SOLE
39800
0
0
BLACKROCK INC
COM
09247X101
633
2000
SH
SOLE
2000
0
0
BOULDER BRANDS INC
COM
101405108
5031
317200
SH
SOLE
317200
0
0
CABOT OIL & GAS CORP
COM
127097103
895
23100
SH
SOLE
23100
0
0
CALLIDUS SOFTWARE INC
COM
13123E500
481
35000
SH
SOLE
35000
0
0
CARBONITE INC
COM
141337105
283
23897
SH
SOLE
23897
0
0
CASEYS GEN STORES INC
COM
147528103
703
10000
SH
SOLE
10000
0
0
COBALT INTL ENERGY INC
COM
19075F106
530
32200
SH
SOLE
32200
0
0
COLE REAL ESTATE INVTS INC
COM
19329V105
1311
93389
SH
SOLE
93389
0
0
CVR PARTNERS LP
COM
126633106
412
25000
SH
SOLE
25000
0
0
CVR REFNG LP
COMUNIT REP LT
12663P107
1102
48701
SH
SOLE
48701
0
0
DIVERSIFIED RSTRNT HLDGS INC
COM
25532M105
239
50000
SH
SOLE
50000
0
0
E2OPEN INC
COM
29788A104
658
27500
SH
SOLE
27500
0
0
EASTMAN CHEM CO
COM
277432100
807
10000
SH
SOLE
10000
0
0
ENTEROMEDICS INC
COM NEW
29365M208
702
344348
SH
SOLE
344348
0
0
EV ENERGY PARTNERS LP
COM UNITS
26926V107
326
9599
SH
SOLE
9599
0
0
FARMER BROS CO
COM
307675108
265
11400
SH
SOLE
11400
0
0
FASTENAL CO
COM
311900104
651
13700
SH
SOLE
13700
0
0
FIREEYE INC
COM
31816Q101
14446
473641
SH
SOLE
473641
0
0
FLOTEK INDS INC DEL
COM
343389102
1254
62474
SH
SOLE
62474
0
0
FORD MTR CO DEL
COM PAR $0.01
345370860
347
22500
SH
SOLE
22500
0
0
FRANKLIN COVEY CO
COM
353469109
416
20901
SH
SOLE
20901
0
0
GOL LINHAS AEREAS INTLG S A
SP ADR REP PFD
38045R107
173
37916
SH
SOLE
37916
0
0
GOLAR LNG LTD BERMUDA
SHS
G9456A100
1775
48900
SH
SOLE
48900
0
0
HANSEN MEDICAL INC
COM
411307101
789
456256
SH
SOLE
456256
0
0
HARVEST NATURAL RESOURCES IN
COM
41754V103
444
98340
SH
SOLE
98340
0
0
HEAT BIOLOGICS INC
COM
42237K102
142
20000
SH
SOLE
20000
0
0
INTERMOLECULAR INC
COM
45882D109
111
22500
SH
SOLE
22500
0
0
INTL PAPER CO
COM
460146103
220
4496
SH
SOLE
4496
0
0
INTRALINKS HLDGS INC
COM
46118H104
157
13000
SH
SOLE
13000
0
0
ISHARES
MSCI EMG MKT ETF
464287234
418
10000
SH
SOLE
10000
0
0
JPMORGAN CHASE & CO
COM
46625H100
678
11600
SH
SOLE
11600
0
0
KBR INC
COM
48242W106
312
9796
SH
SOLE
9796
0
0
KINDER MORGAN INC DEL
COM
49456B101
1454
40400
SH
SOLE
40400
0
0
KKR FINL HLDGS LLC
COM
48248A306
1228
100750
SH
SOLE
100750
0
0
LEXINGTON REALTY TRUST
COM
529043101
714
69950
SH
SOLE
69950
0
0
LIFE TIME FITNESS INC
COM
53217R207
794
16900
SH
SOLE
16900
0
0
MACQUARIE INFRASTR CO LLC
MEMBERSHIP INT
55608B105
1314
24150
SH
SOLE
24150
0
0
MAIN STREET CAPITAL CORP
COM
56035L104
1144
35000
SH
SOLE
35000
0
0
MANDALAY DIGITAL GROUP INC
COM NEW
562562207
327
124700
SH
SOLE
124700
0
0
MARKWEST ENERGY PARTNERS L P
UNIT LTD PARTN
570759100
364
5500
SH
SOLE
5500
0
0
MARTIN MARIETTA MATLS INC
COM
573284106
650
6499
SH
SOLE
6499
0
0
MAZOR ROBOTICS LTD
SPONSORED ADS
57886P103
312
16000
SH
SOLE
16000
0
0
MELLANOX TECHNOLOGIES LTD
SHS
M51363113
959
24000
SH
SOLE
24000
0
0
NATIONAL BK GREECE S A
SPN ADR REP 1 SH
633643705
56
10000
SH
Call
SOLE
10000
0
0
NEWCASTLE INVT CORP
COM
65105M108
617
107500
SH
SOLE
107500
0
0
NOODLES & CO
CL A
65540B105
1796
50000
SH
SOLE
50000
0
0
NORANDA ALUM HLDG CORP
COM
65542W107
247
75011
SH
SOLE
75011
0
0
NORFOLK SOUTHERN CORP
COM
655844108
696
7500
SH
SOLE
7500
0
0
NORTHERN TIER ENERGY LP
COM UN REPR PART
665826103
2189
89000
SH
SOLE
89000
0
0
NOVADAQ TECHNOLOGIES INC
COM
66987G102
387
23462
SH
SOLE
23462
0
0
NXSTAGE MEDICAL INC
COM
67072V103
156
15611
SH
SOLE
15611
0
0
PLANTRONICS INC NEW
COM
727493108
204
4400
SH
SOLE
4400
0
0
POINTS INTL LTD
COM NEW
730843208
3022
118948
SH
SOLE
118948
0
0
PROS HOLDINGS INC
COM
74346Y103
1060
26577
SH
SOLE
26577
0
0
PURECYCLE CORP
COM NEW
746228303
163
25700
SH
SOLE
25700
0
0
QUANTA SVCS INC
COM
74762E102
1736
55000
SH
SOLE
55000
0
0
QUIDEL CORP
COM
74838J101
675
21836
SH
SOLE
21836
0
0
RACKSPACE HOSTING INC
COM
750086100
391
10000
SH
SOLE
10000
0
0
RENTECH INC
COM
760112102
464
265000
SH
SOLE
265000
0
0
RENTECH NITROGEN PARTNERS L
COM UNIT
760113100
920
52282
SH
SOLE
52282
0
0
RIVER VY BANCORP
COM
768475105
567
21800
SH
SOLE
21800
0
0
RMG NETWORKS HLDG CORP
COM
74966K102
66
13557
SH
SOLE
13557
0
0
ROCKET FUEL INC
COM
773111109
836
13600
SH
SOLE
13600
0
0
ROLLINS INC
COM
775711104
254
8400
SH
SOLE
8400
0
0
RYMAN HOSPITALITY PPTYS INC
COM
78377T107
1508
36100
SH
SOLE
36100
0
0
SOUTHERN COPPER CORP
COM
84265V105
431
15000
SH
SOLE
15000
0
0
SPDR GOLD TRUST
GOLD SHS
78463V107
2322
20000
SH
Call
SOLE
20000
0
0
STONECASTLE FINL CORP
COM
861780104
737
30000
SH
SOLE
30000
0
0
SURMODICS INC
COM
868873100
284
11655
SH
SOLE
11655
0
0
SUSSER PETE PARTNERS LP
COM U REP LP
869239103
323
9762
SH
SOLE
9762
0
0
SYNERGY PHARMACEUTICALS DEL
COM NEW
871639308
877
155800
SH
SOLE
155800
0
0
SYNGENTA AG
SPONSORED ADR
87160A100
463
5787
SH
SOLE
5787
0
0
TEARLAB CORP
COM
878193101
1166
124800
SH
SOLE
124800
0
0
THOR INDS INC
COM
885160101
469
8500
SH
SOLE
8500
0
0
TOWERSTREAM CORP
COM
892000100
207
70000
SH
SOLE
70000
0
0
UNWIRED PLANET INC NEW
COM
91531F103
235
170400
SH
SOLE
170400
0
0
VALE S A
ADR
91912E105
426
27932
SH
SOLE
27932
0
0
VERMILLION INC
COM NEW
92407M206
101
42918
SH
SOLE
42918
0
0
VERTEX ENERGY INC
COM
92534K107
84
25000
SH
SOLE
25000
0
0
WESTLAKE CHEM CORP
COM
960413102
244
2000
SH
SOLE
2000
0
0
WILLIAMS COS INC DEL
COM
969457100
964
25000
SH
SOLE
25000
0
0