-----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, PQLNFuzmzi+vC8FFAg3oHj8eefZYb0mubqGiKk6JtSwXhWSGJnaE+cJR3BwAnDuD SYhyxxDkgod6fGd1V+uEQQ== 0001310674-09-000013.txt : 20090501 0001310674-09-000013.hdr.sgml : 20090501 20090501155518 ACCESSION NUMBER: 0001310674-09-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090501 DATE AS OF CHANGE: 20090501 EFFECTIVENESS DATE: 20090501 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KELLOGG GROUP, LLC CENTRAL INDEX KEY: 0001310674 IRS NUMBER: 260061061 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13409 FILM NUMBER: 09789390 BUSINESS ADDRESS: STREET 1: 55 BROADWAY STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10006 BUSINESS PHONE: (212) 607-5000 MAIL ADDRESS: STREET 1: 55 BROADWAY STREET 2: 4TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10006 FORMER COMPANY: FORMER CONFORMED NAME: Kellogg Group LLC DATE OF NAME CHANGE: 20041203 13F-HR 1 group20090331.txt 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, 2009 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: Kellogg Group, LLC Address: 55 Broadway, 4th Floor New York, NY 10006 13F File Number: 28-13409 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: JANICE PARISE Title: Chief Financial Officer Phone: 212-607-5000 Signature, Place, and Date of Signing: /s/ JANICE PARISE New York, NY May 1, 2009 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: Form13F Information Table Entry Total: 286 Form13F Information Table Value Total: $257,152 (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. No. 13F File Number Name 1 28-13459 Kellogg Specialist Group, LLC 2 28-13458 Kellogg Capital Group, LLC 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AK STL HLDG CORP COM 001547108 89 12500 SH DEFINED 2 12500 AK STL HLDG CORP COM 001547108 11 1541 SH DEFINED 1 1541 ALPS ETF TR C&S GLOBL ETF 00162Q106 841 45292 SH DEFINED 1 45292 AT&T INC COM 00206R102 228 9040 SH DEFINED 2 9040 AT&T INC COM 00206R102 137 5429 SH DEFINED 1 5429 AIRTRAN HLDGS INC NOTE 7.000% 7/0 00949PAB4 758 1000000 PRN DEFINED 2 1000000 AIRSHARES EU CARBON ALLOW FD UNITS BEN INT 00950G104 3338 175297 SH DEFINED 1 175297 ALCOA INC COM 013817101 92 12500 SH DEFINED 2 12500 ALCOA INC COM 013817101 3 390 SH DEFINED 1 390 ALESCO FINL INC COM 014485106 45 93300 SH DEFINED 1 93300 ALLIED DEFENSE GROUP INC COM 019118108 50 12582 SH DEFINED 1 12582 AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 417 77300 SH DEFINED 2 77300 BPZ RESOURCES INC COM 055639108 51 13860 SH DEFINED 1 13860 BAKER HUGHES INC COM 057224107 186 6500 SH DEFINED 2 6500 BAKER HUGHES INC COM 057224107 72 2511 SH DEFINED 1 2511 BANK OF AMERICA CORPORATION COM 060505104 1175 172215 SH DEFINED 1 172215 BARCLAYS BK PLC IPSP CROIL ETN 06738C786 197 13650 SH DEFINED 1 13650 BARCLAYS BANK PLC ETN TIN 38 06739H198 2106 92353 SH DEFINED 1 92353 BARCLAYS BANK PLC ETN IPTH AGRI 06739H206 1158 27643 SH DEFINED 1 27643 BARCLAYS BANK PLC ETN SOFTS 38 06739H230 2483 69737 SH DEFINED 1 69737 BARCLAYS BANK PLC ETN COCOA 38 06739H313 216 1379 SH DEFINED 1 1379 BARCLAYS BANK PLC ETN IPTH LVSTK 06739H743 744 32631 SH DEFINED 1 32631 BERKSHIRE HATHAWAY INC DEL CL A 084670108 6589 76 SH DEFINED 2 76 BERKSHIRE HATHAWAY INC DEL CL B 084670207 815 289 SH DEFINED 2 289 BOEING CO COM 097023105 358 10073 SH DEFINED 1 10073 BOOTS & COOTS/INTL WELL CTRL COM NEW 099469504 30 23822 SH DEFINED 1 23822 CME GROUP INC COM 12572Q105 776 3150 SH DEFINED 2 3150 CME GROUP INC COM 12572Q105 3 13 SH DEFINED 1 13 CARPENTER TECHNOLOGY CORP COM 144285103 141 10000 SH DEFINED 2 10000 CARPENTER TECHNOLOGY CORP COM 144285103 8 572 SH DEFINED 1 572 CASTLE BRANDS INC COM 148435100 4 20253 SH DEFINED 1 20253 CENTENNIAL COMMUNCTNS CORP N CL A NEW 15133V208 1272 153976 SH DEFINED 2 153976 CENTENNIAL COMMUNCTNS CORP N CL A NEW 15133V208 0 9 SH DEFINED 1 9 CHAMPION ENTERPRISES INC COM 158496109 9 18695 SH DEFINED 1 18695 CHARLES RIV LABS INTL INC NOTE 2.250% 6/1 159864AB3 41 50000 PRN DEFINED 2 50000 CITIGROUP INC COM 172967101 471 186000 SH DEFINED 2 186000 CITIGROUP INC COM 172967101 1 460 SH DEFINED 1 460 CLARK HLDGS INC *W EXP 02/15/201 18145M117 0 13935 SH DEFINED 1 13935 CLAYMORE EXCHANGE TRADED FD BNY BRI&C PTF 18383M100 492 20919 SH DEFINED 1 20919 CLAYMORE EXCHANGE TRADED FD US-1 CAP ETF 18383M639 4941 149512 SH DEFINED 1 149512 CLAYMORE EXCHANGE TRADED FD CAP MKT BD ETF 18383M662 3794 79035 SH DEFINED 1 79035 CLAYMORE EXCHANGE TRADED FD INFO SUPER SEC 18383M712 1842 127680 SH DEFINED 1 127680 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 144 10834 SH DEFINED 1 10834 CRUSADER ENERGY GROUP INC COM 228834107 0 13444 SH DEFINED 1 13444 DWS DREMAN VAL INCOME EDGE F COM 23339M105 42 12452 SH DEFINED 1 12452 DESWELL INDS INC COM 250639101 354 200000 SH DEFINED 2 200000 DEUTSCHE BK AG LONDON ELE MORN TTL22 25153Q708 318 51996 SH DEFINED 1 51996 DEUTSCHE BK AG LDN BRH BG LARGE ETN 25154H574 837 126106 SH DEFINED 1 126106 DEUTSCHE BK AG LDN BRH BG TTL ETN 25154H582 819 140466 SH DEFINED 1 140466 DEUTSCHE BK AG LDN BRH BG SML ETN 25154H590 747 120594 SH DEFINED 1 120594 DIRECTV GROUP INC COM 25459L106 237 10400 SH DEFINED 2 10400 DIREXION SHS ETF TR FINL BULL 3X 25459W508 269 32124 SH DEFINED 1 32124 DIREXION SHS ETF TR ENERGY BEAR 3X 25459W870 377 10913 SH DEFINED 1 10913 DIREXION SHS 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GENERAL ELECTRIC CO COM 369604103 192 18974 SH DEFINED 1 18974 GLOBALSTAR INC COM 378973408 350 1000000 SH DEFINED 1 1000000 GLOBAL X FDS BOLSA FTSE ETF 37950E200 832 55120 SH DEFINED 1 55120 GOLDEN POND HEALTHCARE INC UNIT 99/99/9999 38116J208 325 43500 SH DEFINED 1 43500 GOLDMAN SACHS GROUP INC COM 38141G104 636 6000 SH DEFINED 2 6000 GRAFTECH INTL LTD COM 384313102 2720 441500 SH DEFINED 1 441500 GSC ACQUISITION COMPANY *W EXP 06/25/201 40053G114 0 22243 SH DEFINED 1 22243 HELIOS HIGH INCOME FD INC COM 42327X105 13 12992 SH DEFINED 1 12992 HELIOS MULTI SEC HI INC FD I COM 42327Y103 12 16976 SH DEFINED 1 16976 HELIOS STRATEGIC INCOME FD I COM 42328A104 11 13469 SH DEFINED 1 13469 HUNTSMAN CORP COM 447011107 178 57000 SH DEFINED 2 57000 HUNTSMAN CORP COM 447011107 0 103 SH DEFINED 1 103 INTEGRAMED AMER INC COM NEW 45810N302 3045 500000 SH DEFINED 2 500000 INTEGRAMED AMER INC COM NEW 45810N302 3045 500000 SH DEFINED 1 500000 INTERCONTINENTALEXCHANGE INC COM 45865V100 391 5250 SH 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ISHARES TR DJ BROKER-DEAL 464288794 683 34216 SH DEFINED 1 34216 ISHARES TR S&P TARGET RET 464289107 1222 54963 SH DEFINED 1 54963 ISHARES TR S&P TARGET 10 464289206 1489 65029 SH DEFINED 1 65029 ISHARES TR S&P TARGET 35 464289701 1493 71117 SH DEFINED 1 71117 ISHARES TR S&P TARGET 40 464289800 1606 77307 SH DEFINED 1 77307 ISHARES TR S&P MODERATE 464289875 1196 50000 SH DEFINED 1 50000 JPMORGAN CHASE & CO ETN 130/30 23 46625H761 635 31890 SH DEFINED 1 31890 JOHNSON & JOHNSON COM 478160104 509 9681 SH DEFINED 1 9681 KHD HUMBOLDT WEDAG INTL LTD COM 482462108 3628 525000 SH DEFINED 2 525000 KHD HUMBOLDT WEDAG INTL LTD COM 482462108 4146 600000 SH DEFINED 1 600000 KEYCORP NEW COM 493267108 4173 530213 SH DEFINED 1 530213 KOWABUNGA INC COM 500747100 3 15154 SH DEFINED 1 15154 KRAFT FOODS INC CL A 50075N104 1543 69241 SH DEFINED 1 69241 LDK SOLAR CO LTD SPONSORED ADR 50183L107 95 15000 SH DEFINED 2 15000 LDK SOLAR CO LTD SPONSORED ADR 50183L107 18 2808 SH DEFINED 1 2808 LEGG MASON INC COM 524901105 1634 102745 SH DEFINED 1 102745 LEGG MASON INC UNIT 99/99/9999 524901303 456 25000 SH DEFINED 2 25000 LIBERTY ACQUISITION HLDGS CO COM 53015Y107 998 113671 SH DEFINED 1 113671 LIBERTY ACQUISITION HLDGS CO *W EXP 12/12/201 53015Y115 23 79308 SH DEFINED 1 79308 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 105 15000 SH DEFINED 2 15000 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 0 37 SH DEFINED 1 37 LIONS GATE ENTMNT CORP NOTE 3.625% 3/1 535919AG9 12 17000 PRN DEFINED 2 17000 MEMC ELECTR MATLS INC COM 552715104 82 5000 SH DEFINED 2 5000 MEMC ELECTR MATLS INC COM 552715104 112 6769 SH DEFINED 1 6769 MACROSHARES 100 OIL DOWN TR UNIT NEW 55610T201 10573 1343409 SH DEFINED 1 1343409 MACROSHARES 100 OIL UP TR UNIT NEW 55610W204 179 51154 SH DEFINED 1 51154 MARKET 2000+ HOLDRS TR DEPOSITARY RCT 57059Y204 231 6000 SH DEFINED 1 6000 MARKET VECTORS ETF TR RVE HARD ETF 57060U795 268 11630 SH DEFINED 1 11630 MARKET VECTORS ETF TR MKTVEC SMUNETF 57060U803 823 41098 SH DEFINED 1 41098 MERCER INTL INC COM 588056101 403 610000 SH DEFINED 2 610000 MERCK & CO INC COM 589331107 386 14417 SH DEFINED 2 14417 MERCK & CO INC COM 589331107 2 73 SH DEFINED 1 73 MONSANTO CO NEW COM 61166W101 125 1500 SH DEFINED 2 1500 MONSANTO CO NEW COM 61166W101 89 1066 SH DEFINED 1 1066 MOSAIC CO COM 61945A107 315 7500 SH DEFINED 2 7500 MOSAIC CO COM 61945A107 75 1780 SH DEFINED 1 1780 NYSE EURONEXT COM 629491101 1534 85713 SH DEFINED 2 85713 NYSE EURONEXT COM 629491101 2348 131162 SH DEFINED 1 131162 NAM TAI ELECTRS INC COM PAR $0.02 629865205 1873 503609 SH DEFINED 1 503609 NATIONAL CITY CORP NOTE 4.000% 2/0 635405AW3 228 250000 PRN DEFINED 2 250000 NEWCASTLE INVT CORP COM 65105M108 37 56593 SH DEFINED 1 56593 OCEANAUT INC COM 675227102 177 21530 SH DEFINED 1 21530 OMNICARE INC DBCV 3.250%12/1 681904AL2 1310 2000000 PRN DEFINED 2 2000000 PACIFIC RIM MNG CORP COM NEW 694915208 3 15011 SH DEFINED 1 15011 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 0 6 SH DEFINED 2 6 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 4692 83000 SH DEFINED 1 83000 PHILIP MORRIS INTL INC COM 718172109 891 25053 SH DEFINED 1 25053 PLATINUM GROUP METALS LTD COM NEW 72765Q205 153 121500 SH DEFINED 2 121500 POTASH CORP SASK INC COM 73755L107 162 2000 SH DEFINED 2 2000 POTASH CORP SASK INC COM 73755L107 84 1039 SH DEFINED 1 1039 POWERSHARES ACTIVE MNG ETF T ALPHAQ FD 73935B102 1439 92200 SH DEFINED 1 92200 POWERSHARES ACTIVE MNG ETF T ALPHA MULT CAP 73935B201 680 55791 SH DEFINED 1 55791 POWERSHARES ACTIVE MNG ETF T LOW DURAT PORT 73935B409 476 23719 SH DEFINED 1 23719 POWERSHARES ACTIVE MNG ETF T US REAL EST FD 73935B508 1630 80273 SH DEFINED 1 80273 POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 300 15000 SH DEFINED 2 15000 POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 995 76017 SH DEFINED 1 76017 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 192 20235 SH DEFINED 1 20235 POWERSHARES ETF TRUST INDL SECT PORT 73935X369 246 15468 SH DEFINED 1 15468 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 76 10000 SH DEFINED 2 10000 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 827 79720 SH DEFINED 1 79720 POWERSHARES ETF TRUST HI GRW RT DIV 73935X724 696 88123 SH DEFINED 1 88123 POWERSHARES ETF TRUST DYNM SM CP VAL 73935X864 804 90210 SH DEFINED 1 90210 POWERSHARES ETF TRUST DYNM SM CP GRW 73935X872 552 57129 SH DEFINED 1 57129 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 1313 40638 SH DEFINED 1 40638 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 245 10000 SH DEFINED 2 10000 POWERSHARES ETF TRUST II GWTH NFA GLOBA 73936Q306 658 83761 SH DEFINED 1 83761 POWERSHARES ETF TRUST II BALCD GWT NFA 73936Q405 449 53148 SH DEFINED 1 53148 POWERSHARES ETF TRUST II BALCD NFA GLBL 73936Q504 280 29354 SH DEFINED 1 29354 POWERSHARES GLOBAL ETF TRUST FTSE RAFI INTL 73936T425 316 33952 SH DEFINED 1 33952 POWERSHARES GLOBAL ETF TRUST NY MUNI BD ETF 73936T458 310 13139 SH DEFINED 1 13139 POWERSHARES GLOBAL ETF TRUST AGG PFD PORT 73936T565 -785 13770 SH DEFINED 1 13770 POWERSHARES GLOBAL ETF TRUST SOVEREIGN DEBT 73936T573 2772 107092 SH DEFINED 1 107092 POWERSHARES GLOBAL ETF TRUST JAPAN PORTFOLI 73936T698 770 27391 SH DEFINED 1 27391 POWERSHARES GLOBAL ETF TRUST ASIA PC EX JAP 73936T847 140 13925 SH DEFINED 1 13925 POWERSHARES ETF TR II GLBL WIND ENRG 73937B308 411 39736 SH DEFINED 1 39736 PRESSTEK INC COM 741113104 1821 879500 SH DEFINED 1 879500 PRIDE INTL INC DEL COM 74153Q102 225 12500 SH DEFINED 2 12500 PRIDE INTL INC DEL COM 74153Q102 3 177 SH DEFINED 1 177 PROSHARES TR PSHS ULT S&P 500 74347R107 724 36906 SH DEFINED 1 36906 PROSHARES TR PSHS SHT OIL&GAS 74347R222 1481 22279 SH DEFINED 1 22279 PROSHARES TR PSHS ULTSH 20YRS 74347R297 262 6000 SH DEFINED 2 6000 PROSHARES TR PSHS REAL ESTAT 74347R552 1060 20050 SH DEFINED 2 20050 PROSHARES TR PSHS REAL ESTAT 74347R552 530 9731 SH DEFINED 1 9731 PROSHARES TR PSHS ULSHRT UTIL 74347R560 353 7600 SH DEFINED 2 7600 PROSHARES TR PSHS TECHNOLOGY 74347R578 1355 21583 SH DEFINED 1 21583 PROSHARES TR PSHS ULTSHT INDL 74347R594 456 912 SH DEFINED 1 912 PROSHARES TR PSHS ULTSHT FINL 74347R628 271 2597 SH DEFINED 1 2597 PROSHARES TR PSHS CONSMR SVCS 74347R636 1903 20577 SH DEFINED 1 20577 PROSHARES TR PSHS BASIC MTRL 74347R651 701 20772 SH DEFINED 1 20772 PROSHARES TR PSHS ULTRA R/EST 74347R677 120 49101 SH DEFINED 1 49101 PROSHARES TR PSHS ULTRA INDL 74347R727 279 19925 SH DEFINED 1 19925 PROSHARES TR PSHS ULTRA FINL 74347R743 184 90450 SH DEFINED 1 90450 PROSHARES TR PSHS CONSMR SVCS 74347R750 178 10075 SH DEFINED 1 10075 PROSHARES TR PSHS ULTASH DW30 74347R867 422 6693 SH DEFINED 1 6693 PROSHARES TR PSHS ULSHT SP500 74347R883 3398 43329 SH DEFINED 1 43329 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 25 12670 SH DEFINED 1 12670 RAIT FINANCIAL TRUST COM 749227104 35 28613 SH DEFINED 1 28613 RAYMOND JAMES FINANCIAL INC COM 754730109 2217 112559 SH DEFINED 1 112559 REGIONAL BK HOLDRS TR DEPOSITRY RCPT 75902E100 502 10100 SH DEFINED 1 10100 RENESOLA LTD SPONS ADS 75971T103 96 24000 SH DEFINED 2 24000 RENESOLA LTD SPONS ADS 75971T103 14 3598 SH DEFINED 1 3598 REVENUESHARES ETF TR SMALL CAP FD 761396308 435 29307 SH DEFINED 1 29307 REVENUESHARES ETF TR S&P500 FINL FD 761396506 808 50000 SH DEFINED 1 50000 REVENUESHARES ETF TR NAVELLR A-100 761396704 470 18992 SH DEFINED 1 18992 RYDEX ETF TRUST INV 2X SSH ETF 78355W619 4304 73257 SH DEFINED 1 73257 RYDEX ETF TRUST 2X S&P SSH ETF 78355W627 2580 65977 SH DEFINED 1 65977 RYDEX ETF TRUST INV 2X SST ETF 78355W635 1219 29426 SH DEFINED 1 29426 RYDEX ETF TRUST FINANCIAL ETF 78355W858 193 15053 SH DEFINED 1 15053 RYDEX ETF TRUST ENERGY ETF 78355W866 964 29683 SH DEFINED 1 29683 SPDR TR UNIT SER 1 78462F103 4917 69290 SH DEFINED 1 69290 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 1559 34429 SH DEFINED 1 34429 SPDR INDEX SHS FDS INTL TECH ETF 78463X657 2617 158297 SH DEFINED 1 158297 SPDR INDEX SHS FDS INTL MTRLS SEC 78463X665 1346 90118 SH DEFINED 1 90118 SPDR INDEX SHS FDS INTL INDS ETF 78463X673 2674 174454 SH DEFINED 1 174454 SPDR INDEX SHS FDS INTL HLTH ETF 78463X681 2645 121342 SH DEFINED 1 121342 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 579 16054 SH DEFINED 1 16054 SPDR SERIES TRUST SHRT INTL ETF 78464A334 1026 31379 SH DEFINED 1 31379 SPDR SERIES TRUST BARCLY CAP ETF 78464A367 5492 161083 SH DEFINED 1 161083 SPDR SERIES TRUST CAP MORTG ETF 78464A383 2454 92906 SH DEFINED 1 92906 SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 3642 3497 SH DEFINED 1 3497 SPDR SERIES TRUST BRCLYS NY BD ETF 78464A433 481 22780 SH DEFINED 1 22780 SPDR SERIES TRUST BRCLYS LG TRS ET 78464A664 231 4228 SH DEFINED 1 4228 SPDR SERIES TRUST DJ GLB TITANS 78464A706 1702 41070 SH DEFINED 1 41070 SPDR SERIES TRUST S&P SEMICNDCTR 78464A862 439 16042 SH DEFINED 1 16042 SAFEGUARD SCIENTIFICS INC COM 786449108 6 10747 SH DEFINED 1 10747 SANTA MONICA MEDIA CORP COM 802501106 212 26619 SH DEFINED 1 26619 SARA LEE CORP COM 803111103 323 40000 SH DEFINED 2 40000 SARA LEE CORP COM 803111103 5 672 SH DEFINED 1 672 SCHERING PLOUGH CORP COM 806605101 707 30000 SH DEFINED 2 30000 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 2977 140979 SH DEFINED 1 140979 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 110 11800 SH DEFINED 1 11800 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 2227 164047 SH DEFINED 1 164047 SOFTBRANDS INC COM 83402A107 1054 3902366 SH DEFINED 2 3902366 SOFTBRANDS INC COM 83402A107 0 430 SH DEFINED 1 430 STEEL DYNAMICS INC COM 858119100 88 10000 SH DEFINED 2 10000 STEEL DYNAMICS INC COM 858119100 28 3202 SH DEFINED 1 3202 SUNPOWER CORP COM CL B 867652307 899 45387 SH DEFINED 2 45387 SUNPOWER CORP DBCV 0.750% 8/0 867652AB5 808 1000000 PRN DEFINED 2 1000000 SYNOVUS FINL CORP COM 87161C105 35 10854 SH DEFINED 1 10854 TRC COS INC COM 872625108 1369 568100 SH DEFINED 2 568100 TRC COS INC COM 872625108 362 150000 SH DEFINED 1 150000 TXCO RES INC COM 87311M102 12 30290 SH DEFINED 2 30290 THINKORSWIM GROUP INC COM 88409C105 1728 200000 SH DEFINED 2 200000 THORATEC CORP COM NEW 885175307 7286 283600 SH DEFINED 2 283600 3COM CORP COM 885535104 1545 500000 SH DEFINED 2 500000 3COM CORP COM 885535104 2 549 SH DEFINED 1 549 TRAVELERS COMPANIES INC COM 89417E109 847 20852 SH DEFINED 2 20852 TRAVELERS COMPANIES INC COM 89417E109 1 16 SH DEFINED 1 16 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 429 1000000 PRN DEFINED 2 1000000 UNITED STS GASOLINE FD LP UNITS 91201T102 995 11416 SH DEFINED 1 11416 UNITED STS HEATING OIL FD LP UNIT 91204P107 1705 73239 SH DEFINED 1 73239 VALERO ENERGY CORP NEW COM 91913Y100 1792 100139 SH DEFINED 1 100139 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 603 17109 SH DEFINED 1 17109 VANGUARD WORLD FD MEGA VALUE 300 921910840 543 21237 SH DEFINED 1 21237 VANGUARD WORLD FDS ENERGY ETF 92204A306 2873 47692 SH DEFINED 1 47692 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 579 30831 SH DEFINED 1 30831 VANGUARD WORLD FDS MATERIALS ETF 92204A801 3002 68357 SH DEFINED 1 68357 VANGUARD WORLD FDS TELCOMM ETF 92204A884 620 14198 SH DEFINED 1 14198 WATSON PHARMACEUTICALS INC DBCV 1.750% 3/1 942683AC7 126 131000 PRN DEFINED 2 131000 WEBMD CORP NOTE 3.125% 9/0 94769MAG0 1675 2000000 PRN DEFINED 2 2000000 WELLS FARGO & CO NEW COM 949746101 782 54933 SH DEFINED 1 54933 WENDYS ARBYS GROUP INC COM 950587105 201 40000 SH DEFINED 2 40000 WENDYS ARBYS GROUP INC COM 950587105 1 264 SH DEFINED 1 264 WHOLE FOODS MKT INC COM 966837106 5040 300000 SH DEFINED 1 300000 WILLIAMS COS INC DEL COM 969457100 228 20000 SH DEFINED 2 20000 WILLIAMS COS INC DEL COM 969457100 2 140 SH DEFINED 1 140 WISDOMTREE TRUST LOW P/E FUND 97717W547 337 39159 SH DEFINED 1 39159 WISDOMTREE TRUST EARN TOP100 FD 97717W554 206 7372 SH DEFINED 1 7372 WISDOMTREE TRUST SMLCAP EARN FD 97717W562 792 37982 SH DEFINED 1 37982 WISDOMTREE TRUST MDCP EARN FUND 97717W570 175 16639 SH DEFINED 1 16639 WISDOMTREE TRUST EARNING 500 FD 97717W588 716 27675 SH DEFINED 1 27675 WISDOMTREE TR LARGECAP GRWTH 97717X107 1309 48966 SH DEFINED 1 48966 WYETH COM 983024100 6852 159200 SH DEFINED 2 159200 WYETH COM 983024100 2 35 SH DEFINED 1 35 XM SATELLITE RADIO HLDGS INC NOTE 10.000%12/0 983759AC5 948 1000000 PRN DEFINED 2 1000000 XILINX INC COM 983919101 247 12900 SH DEFINED 2 12900 XILINX INC COM 983919101 38 1971 SH DEFINED 1 1971 XEROX CORP COM 984121103 479 105323 SH DEFINED 1 105323 ZWEIG TOTAL RETURN FD INC COM 989837109 48 15283 SH DEFINED 1 15283 IPC HLDGS LTD ORD G4933P101 589 21800 SH DEFINED 2 21800 IPC HLDGS LTD ORD G4933P101 0 1 SH DEFINED 1 1 WEATHERFORD INTERNATIONAL LT REG H27013103 83 7500 SH DEFINED 2 7500 WEATHERFORD INTERNATIONAL LT REG H27013103 46 4176 SH DEFINED 1 4176 TRANSOCEAN LTD REG SHS H8817H100 118 2000 SH DEFINED 2 2000 TRANSOCEAN LTD REG SHS H8817H100 151 2562 SH DEFINED 1 2562 UBS AG SHS NEW H89231338 464 49202 SH DEFINED 2 49202 UBS AG SHS NEW H89231338 3280 347782 SH DEFINED 1 347782 ULTRAPETROL BAHAMAS LTD COM P94398107 54 20000 SH DEFINED 2 20000
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