-----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, TUrp4/DzCNRFDN4YWXfUEJnKcBjVtggsLzPooZwHz0GgK1bMi3y3fdZnlh6TgsQT vTXGwF4CC251Y8jNOgTmOQ== 0001310674-09-000019.txt : 20090811 0001310674-09-000019.hdr.sgml : 20090811 20090811161926 ACCESSION NUMBER: 0001310674-09-000019 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090811 DATE AS OF CHANGE: 20090811 EFFECTIVENESS DATE: 20090811 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: 091003982 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 groupq209.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: June 30, 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 August 11, 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: 2 Form13F Information Table Entry Total: 199 Form13F Information Table Value Total: $205,254 (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 Capital Markets, 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACTUANT CORP SDCV 2.000%11/1 00508XAB0 473 505000 PRN DEFINED 2 505000 ADOBE SYS INC COM 00724F101 283 10000 SH DEFINED 2 10000 AIRSHARES EU CARBON ALLOW FD UNITS BEN INT 00950G104 3435 161443 SH DEFINED 1 161443 AIRTRAN HLDGS INC NOTE 7.000% 7/0 00949PAB4 955 1000000 PRN DEFINED 2 1000000 ALPS ETF TR C&S GLOBL ETF 00162Q106 1076 44126 SH DEFINED 1 44126 AMERICAN INTL GROUP INC UNIT 99/99/9999 026874115 137 14400 SH DEFINED 2 14400 ATLAS ENERGY RESOURCES LLC COM 049303100 803 39300 SH DEFINED 2 39300 ATLAS PIPELINE HOLDINGS LP COM UNITS LP 04939R108 65 17500 SH DEFINED 2 17500 AUTHENTEC INC COM 052660107 90 50000 SH DEFINED 2 50000 AXSYS TECHNOLOGIES INC COM 054615109 1600 29832 SH DEFINED 2 29832 BALLY TECHNOLOGIES INC COM 05874B107 299 10000 SH DEFINED 2 10000 BANRO CORP COM 066800103 70 37400 SH DEFINED 2 37400 BARCLAYS BANK PLC ETN DJUBS GRNS37 06739H305 523 13283 SH DEFINED 1 13283 BARCLAYS BANK PLC ETN DJUBS TIN 38 06739H198 1724 52039 SH DEFINED 1 52039 BARCLAYS BANK PLC ETN DJUBSCOFFE38 06739H297 557 15600 SH DEFINED 1 15600 BARCLAYS BANK PLC ETN DJUBSLVSTK37 06739H743 4693 162500 SH DEFINED 1 162500 BARCLAYS BANK PLC ETN DJUBSPLATM38 06739H255 1036 36401 SH DEFINED 1 36401 BARCLAYS BANK PLC ETN DJUBSSOFT 38 06739H230 2387 59918 SH DEFINED 1 59918 BARCLAYS BK PLC IPSP CROIL ETN 06738C786 2753 109988 SH DEFINED 1 109988 BLDRS INDEX FDS TR EMER MK 50 ADR 09348R300 1729 50000 SH DEFINED 1 50000 CANADIAN PAC RY LTD COM 13645T100 318 8000 SH DEFINED 2 8000 CANO PETE INC COM 137801106 67 70000 SH DEFINED 2 70000 CENTENNIAL COMMUNCTNS CORP N CL A NEW 15133V208 506 60408 SH DEFINED 2 60408 CENTEX CORP COM 152312104 863 102000 SH DEFINED 2 102000 CHAMPION ENTERPRISES INC COM 158496109 71 220638 SH DEFINED 1 220638 CLARK HLDGS INC *W EXP 02/15/201 18145M117 0 11735 SH DEFINED 1 11735 CLAYMORE ETF TRUST 2 CHINA SML CAP 18383Q853 748 35393 SH DEFINED 1 35393 CLAYMORE ETF TRUST 2 CLAY/ALPH CHN 18383Q861 702 41027 SH DEFINED 1 41027 CLAYMORE EXCHANGE TRADED FD CAP MKT BD ETF 18383M662 3662 78970 SH DEFINED 1 78970 CLAYMORE EXCHANGE TRADED FD INFO SUPER SEC 18383M712 2065 125916 SH DEFINED 1 125916 CLAYMORE EXCHANGE TRADED FD MAC GLOB SOLAR 18383M621 396 41496 SH DEFINED 1 41496 CLAYMORE EXCHANGE TRADED FD US-1 CAP ETF 18383M639 5904 149469 SH DEFINED 1 149469 CLAYMORE EXCHANGE TRADED FD ZACKS YLD HOG 18383M506 366 25322 SH DEFINED 1 25322 CLOUGH GLOBAL OPPORTUNITIES SH BEN INT 18913Y103 179 16602 SH DEFINED 1 16602 CME GROUP INC COM 12572Q105 539 1732 SH DEFINED 2 1732 COMPTON PETE CORP COM 204940100 59 50000 SH DEFINED 2 50000 CUMMINS INC COM 231021106 352 10000 SH DEFINED 2 10000 DEUTSCHE BK AG LDN BRH BG LARGE ETN 25154H574 1106 129027 SH DEFINED 1 129027 DEUTSCHE BK AG LDN BRH BG SML ETN 25154H590 975 116070 SH DEFINED 1 116070 DEUTSCHE BK AG LDN BRH BG TTL ETN 25154H582 931 113110 SH DEFINED 1 113110 DEUTSCHE BK AG LONDON ELE MORN TTL22 25153Q708 106 12515 SH DEFINED 1 12515 DIREXION SHS ETF TR DLY FINL BEAR 3X 25459W607 140 30000 SH DEFINED 2 30000 DOMTAR CORP COM NEW 257559203 207 12500 SH DEFINED 2 12500 DOW CHEM CO COM 260543103 202 12500 SH DEFINED 2 12500 EAGLE BULK SHIPPING INC COM Y2187A101 141 30000 SH DEFINED 2 30000 EGA EMERGING GLOBAL SHS TR DJ MKT ENERGY 268461860 1444 37606 SH DEFINED 1 37606 ELIXIR GAMING TECHNOLOGIES I COM 28661G105 7 43434 SH DEFINED 1 43434 EMULEX CORP COM NEW 292475209 3183 325500 SH DEFINED 2 325500 ENERGY XXI (BERMUDA) LTD COM SHS G10082108 67 130000 SH DEFINED 2 130000 ENTRUST INC COM 293848107 47 26087 SH DEFINED 2 26087 EVERGREEN SOLAR INC COM 30033R108 130 60000 SH DEFINED 2 60000 FEDERAL AGRIC MTG CORP CL C 313148306 60 12500 SH DEFINED 2 12500 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 249 18064 SH DEFINED 1 18064 FIRST TR ISE GLB WIND ENRG E COM SHS 33736G106 377 25181 SH DEFINED 1 25181 FIRST TR ISE GLOBAL ENGR & C COM 33736M103 623 18106 SH DEFINED 1 18106 FIRST TR ISE REVERE NAT GAS COM 33734J102 533 41738 SH DEFINED 1 41738 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 358 17840 SH DEFINED 1 17840 FLOTEK INDS INC DEL COM 343389102 96 47500 SH DEFINED 2 47500 FORTRESS INVESTMENT GROUP LL CL A 34958B106 69 20277 SH DEFINED 1 20277 FOSTER WHEELER AG COM H27178104 340 14300 SH DEFINED 2 14300 FOUNDATION COAL HLDGS INC COM 35039W100 2032 72300 SH DEFINED 2 72300 GENCORP INC COM 368682100 96 50000 SH DEFINED 2 50000 GENERAL MOLY INC COM 370373102 89 40000 SH DEFINED 2 40000 GEOPETRO RESOURCES CO COM 37248H304 16 33960 SH DEFINED 1 33960 GRAIL ADVISORS ETF TR AMR LRG CP ETF 384742102 2046 80407 SH DEFINED 1 80407 GSC ACQUISITION COMPANY *W EXP 06/25/201 40053G114 0 22243 SH DEFINED 1 22243 HELIOS HIGH INCOME FD INC COM 42327X105 13 10457 SH DEFINED 1 10457 HSBC USA INC S&P CTI ETN 23 4042EP602 367 39063 SH DEFINED 1 39063 INDEXIQ ETF TR HDG MACTRK ETF 45409B206 3881 154932 SH DEFINED 1 154932 INDEXIQ ETF TR HEDGE MLTI ETF 45409B107 511 19568 SH DEFINED 1 19568 INTERCONTINENTALEXCHANGE INC COM 45865V100 267 2341 SH DEFINED 2 2341 ION GEOPHYSICAL CORP COM 462044108 51 20000 SH DEFINED 2 20000 IPC HLDGS LTD ORD G4933P101 979 35800 SH DEFINED 2 35800 ISHARES INC MSCI BRAZIL 464286400 212 4000 SH DEFINED 2 4000 ISHARES TR DJ BROKER-DEAL 464288794 881 34416 SH DEFINED 1 34416 ISHARES TR DJ HOME CONSTN 464288752 124 12633 SH DEFINED 1 12633 ISHARES TR FTSE XNHUA IDX 464287184 900 23452 SH DEFINED 1 23452 ISHARES TR MID CORE INDEX 464288208 2198 41008 SH DEFINED 1 41008 ISHARES TR MID GRWTH INDX 464288307 2109 34841 SH DEFINED 1 34841 ISHARES TR MID VAL INDEX 464288406 576 11620 SH DEFINED 1 11620 ISHARES TR RUSSELL 2000 464287655 317 6200 SH DEFINED 2 6200 ISHARES TR S&P CONSR ALL 464289883 467 18106 SH DEFINED 1 18106 ISHARES TR S&P NA SEMICND 464287523 1158 31601 SH DEFINED 1 31601 ISHARES TR S&P NA SOFTWR 464287515 918 23850 SH DEFINED 1 23850 ISHARES TR S&P TARGET 10 464289206 1821 70037 SH DEFINED 1 70037 ISHARES TR S&P TARGET 35 464289701 1352 55265 SH DEFINED 1 55265 ISHARES TR S&P TARGET 40 464289800 1094 44827 SH DEFINED 1 44827 ISHARES TR S&P TARGET RET 464289107 1625 63739 SH DEFINED 1 63739 ISHARES TR S&P500 GRW 464287309 758 15874 SH DEFINED 1 15874 ISHARES TR SMLL CORE INDX 464288505 2207 39661 SH DEFINED 1 39661 ISHARES TR SMLL GRWTH IDX 464288604 1735 31669 SH DEFINED 1 31669 ISHARES TR SMLL VAL INDX 464288703 1783 36255 SH DEFINED 1 36255 JOHNSON CTLS INC UNIT 99/99/9999 478366602 5411 50000 SH DEFINED 2 50000 JOY GLOBAL INC COM 481165108 268 7500 SH DEFINED 2 7500 JPMORGAN CHASE & CO ETN 130/30 23 46625H761 932 39289 SH DEFINED 1 39289 LEGG MASON INC UNIT 99/99/9999 524901303 882 35000 SH DEFINED 2 35000 LIBERTY ACQUISITION HLDGS CO *W EXP 12/12/201 53015Y115 13 32911 SH DEFINED 1 32911 LIBERTY ACQUISITION HLDGS CO COM 53015Y107 272 30021 SH DEFINED 1 30021 LIBERTY ACQUISITION HLDGS CO UNIT 99/99/9999 53015Y206 204 21886 SH DEFINED 1 21886 LIFEPOINT HOSPITALS INC NOTE 3.500% 5/1 53219LAH2 100 125000 PRN DEFINED 2 125000 MACROSHARES 100 OIL DOWN TR UNIT NEW 55610T201 9925 1326871 SH DEFINED 1 1326871 MACROSHARES 100 OIL UP TR UNIT NEW 55610W204 676 167277 SH DEFINED 1 167277 MAD CATZ INTERACTIVE INC COM 556162105 3 11544 SH DEFINED 1 11544 MARKET 2000+ HOLDRS TR DEPOSITARY RCT 57059Y204 332 7700 SH DEFINED 1 7700 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 311 9019 SH DEFINED 1 9019 MARKET VECTORS ETF TR BRAZL SMCP ETF 57060U613 309 11133 SH DEFINED 1 11133 MARKET VECTORS ETF TR GBL ALTER ENRG 57060U407 483 19847 SH DEFINED 1 19847 MARKET VECTORS ETF TR MKTVEC INTMUETF 57060U845 883 42930 SH DEFINED 1 42930 MARKET VECTORS ETF TR MKTVEC LMUNETF 57060U886 443 26041 SH DEFINED 1 26041 MARKET VECTORS ETF TR MV STEEL INDEX 57060U308 2561 60781 SH DEFINED 1 60781 MOSAIC CO COM 61945A107 222 5000 SH DEFINED 2 5000 NATCO GROUP INC CL A 63227W203 662 20100 SH DEFINED 2 20100 NEWCASTLE INVT CORP COM 65105M108 201 304931 SH DEFINED 1 304931 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 257 8500 SH DEFINED 2 8500 NRG ENERGY INC COM NEW 629377508 299 11500 SH DEFINED 2 11500 NTN BUZZTIME INC COM NEW 629410309 6 13387 SH DEFINED 1 13387 NYSE EURONEXT COM 629491101 887 32552 SH DEFINED 2 32552 NYSE EURONEXT COM 629491101 1433 52595 SH DEFINED 1 52595 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 977 10000 SH DEFINED 2 10000 OMNICARE INC DBCV 3.250%12/1 681904AL2 1385 2000000 PRN DEFINED 2 2000000 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 4255 71000 SH DEFINED 1 71000 PIKE ELEC CORP COM 721283109 190 15735 SH DEFINED 2 15735 PLATINUM GROUP METALS LTD COM NEW 72765Q205 73 71500 SH DEFINED 2 71500 POTASH CORP SASK INC COM 73755L107 233 2500 SH DEFINED 2 2500 POWERSHARES ACTIVE MNG ETF T ALPHA MULT CAP 73935B201 428 29611 SH DEFINED 1 29611 POWERSHARES ACTIVE MNG ETF T ALPHAQ FD 73935B102 208 11455 SH DEFINED 1 11455 POWERSHARES ACTIVE MNG ETF T US REAL EST FD 73935B508 1335 51842 SH DEFINED 1 51842 POWERSHARES ETF TRUST CON DISCRE SEC 73935X419 1039 60577 SH DEFINED 1 60577 POWERSHARES ETF TRUST DWA TECH LDRS 73935X153 908 62575 SH DEFINED 1 62575 POWERSHARES ETF TRUST DYNM SM CP GRW 73935X872 575 52130 SH DEFINED 1 52130 POWERSHARES ETF TRUST DYNM SM CP VAL 73935X864 868 83012 SH DEFINED 1 83012 POWERSHARES ETF TRUST FINL PFD PTFL 73935X229 239 16429 SH DEFINED 1 16429 POWERSHARES ETF TRUST TECH SECT PORT 73935X344 840 46236 SH DEFINED 1 46236 POWERSHARES ETF TRUST II BALCD GWT NFA 73936Q405 223 22837 SH DEFINED 1 22837 POWERSHARES ETF TRUST II BALCD NFA GLBL 73936Q504 880 84051 SH DEFINED 1 84051 POWERSHARES GLOBAL ETF TRUST CALI MUNI ETF 73936T441 557 24935 SH DEFINED 1 24935 POWERSHARES GLOBAL ETF TRUST GBL WTR PORT 73936T623 303 20410 SH DEFINED 1 20410 POWERSHARES GLOBAL ETF TRUST INSUR NATL MUN 73936T474 475 21225 SH DEFINED 1 21225 POWERSHARES GLOBAL ETF TRUST JAPAN PORTFOLI 73936T698 1142 32117 SH DEFINED 1 32117 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 401 16023 SH DEFINED 1 16023 POWERSHS DB MULTI SECT COMM DB OIL FUND 73936B507 2728 107874 SH DEFINED 1 107874 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 224 7045 SH DEFINED 1 7045 POWERSHS DB MULTI SECT COMM DB SILVER FUND 73936B309 250 10236 SH DEFINED 1 10236 PROSHARES TR PSHS REAL ESTAT 74347R552 647 32900 SH DEFINED 2 32900 PROSHARES TR PSHS SHT OIL&GAS 74347R222 1904 30927 SH DEFINED 1 30927 PROSHARES TR PSHS ULTRA FINL 74347R743 270 70000 SH DEFINED 1 70000 PROSHARES TR PSHS ULTSH 20YRS 74347R297 509 10000 SH DEFINED 2 10000 PROSPECT ACQUISITION CORP *W EXP 11/14/201 74347T111 2 25197 SH DEFINED 1 25197 QUANTA SVCS INC COM 7.48E+106 384 16600 SH DEFINED 2 16600 RAIT FINANCIAL TRUST COM 749227104 30 22118 SH DEFINED 1 22118 RENESOLA LTD SPONS ADS 75971T103 84 15000 SH DEFINED 2 15000 REVENUESHARES ETF TR NAVELLR A-100 761396704 758 27503 SH DEFINED 1 27503 REVENUESHARES ETF TR S&P500 FINL FD 761396506 232 10397 SH DEFINED 1 10397 REVENUESHARES ETF TR SMALL CAP FD 761396308 811 40333 SH DEFINED 1 40333 RYDEX ETF TRUST 2X S&P SSH ETF 78355W627 536 11249 SH DEFINED 1 11249 RYDEX ETF TRUST FINANCIAL ETF 78355W858 765 42289 SH DEFINED 1 42289 RYDEX ETF TRUST INV 2X SSH ETF 78355W619 377 7750 SH DEFINED 1 7750 SADIA S A SPON ADR PFD 786326108 747 101800 SH DEFINED 2 101800 SCHEIN HENRY INC NOTE 3.000% 8/1 806407AB8 561 500000 PRN DEFINED 2 500000 SCHERING PLOUGH CORP COM 806605101 6041 240500 SH DEFINED 2 240500 SCHERING PLOUGH CORP PFD CONV MAN07 806605705 333 1467 SH DEFINED 2 1467 SHAW GROUP INC COM 820280105 336 12250 SH DEFINED 2 12250 SOFTBRANDS INC COM 83402A107 3493 3902366 SH DEFINED 2 3902366 SOFTWARE HOLDRS TR DEPOSITRY RCPT 83404B103 217 6300 SH DEFINED 1 6300 SPDR INDEX SHS FDS INTL HLTH ETF 78463X681 2780 114101 SH DEFINED 1 114101 SPDR INDEX SHS FDS INTL INDS ETF 78463X673 2821 146632 SH DEFINED 1 146632 SPDR INDEX SHS FDS INTL MTRLS SEC 78463X665 357 18441 SH DEFINED 1 18441 SPDR INDEX SHS FDS INTL TECH ETF 78463X657 2075 100760 SH DEFINED 1 100760 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 719 11837 SH DEFINED 1 11837 SPDR SERIES TRUST CAP MORTG ETF 78464A383 243 9262 SH DEFINED 1 9262 SPDR SERIES TRUST DJ GLB TITANS 78464A706 873 18427 SH DEFINED 1 18427 SPDR SERIES TRUST KBW MTG FN ETF 78464A524 1449 40095 SH DEFINED 1 40095 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 1538 34178 SH DEFINED 1 34178 SPDR SERIES TRUST S&P DIVID ETF 78464A763 1151 30329 SH DEFINED 1 30329 SPDR SERIES TRUST S&P SEMICNDCTR 78464A862 627 18543 SH DEFINED 1 18543 SUNCOR ENERGY INC COM 867229106 303 10000 SH DEFINED 2 10000 SUNPOWER CORP COM CL B 867652307 1001 41810 SH DEFINED 2 41810 SUNPOWER CORP DBCV 0.750% 8/0 867652AB5 910 1000000 PRN DEFINED 2 1000000 TRC COS INC COM 872625108 216 54100 SH DEFINED 2 54100 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 545 1000000 PRN DEFINED 2 1000000 UNITED STATES OIL FUND LP UNITS 91232N108 4981 131317 SH DEFINED 1 131317 UNITED STS 12 MONTH OIL FD L UNIT BEN INT 91288V103 3513 93122 SH DEFINED 1 93122 UNITED STS GASOLINE FD LP UNITS 91201T102 2980 91110 SH DEFINED 1 91110 UNITED STS HEATING OIL FD LP UNIT 91204P107 676 26237 SH DEFINED 1 26237 VANGUARD WORLD FDS ENERGY ETF 92204A306 535 7641 SH DEFINED 1 7641 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 709 29464 SH DEFINED 1 29464 VANGUARD WORLD FDS TELCOMM ETF 92204A884 284 5706 SH DEFINED 1 5706 VIRNETX HOLDING CORP COM 92823T108 59 38000 SH DEFINED 1 38000 VONAGE HLDGS CORP COM 92886T201 39 102315 SH DEFINED 1 102315 WEBMD CORP NOTE 3.125% 9/0 94769MAG0 1958 2000000 PRN DEFINED 2 2000000 WENDYS ARBYS GROUP INC COM 950587105 260 65000 SH DEFINED 2 65000 WESTPORT INNOVATIONS INC COM NEW 960908309 172 21200 SH DEFINED 2 21200 WIND RIVER SYSTEMS INC COM 973149107 2791 243572 SH DEFINED 2 243572 WISDOMTREE TRUST EARNING 500 FD 97717W588 401 12517 SH DEFINED 1 12517 WISDOMTREE TRUST LOW P/E FUND 97717W547 2434 82166 SH DEFINED 1 82166 WISDOMTREE TRUST MDCP EARN FUND 97717W570 2023 61338 SH DEFINED 1 61338 WYETH COM 983024100 9981 219900 SH DEFINED 2 219900 WYETH DBCV 1/1 983024AD2 150 150000 PRN DEFINED 2 150000 XM SATELLITE RADIO HLDGS INC NOTE 10.000%12/0 983759AC5 493 500000 PRN DEFINED 2 500000
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