-----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, Szl7OCGzszAM0lUWqjojpWITrR2LR+WgNAp9PtWmNZrj0hfp5x6sgLJrDWIGZ77o HJdWskcdrXhD0WEyuKQP2w== 0001310674-10-000004.txt : 20100430 0001310674-10-000004.hdr.sgml : 20100430 20100430143513 ACCESSION NUMBER: 0001310674-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100430 DATE AS OF CHANGE: 20100430 EFFECTIVENESS DATE: 20100430 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: 10786287 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 kgroupq12010.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, 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: 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: Nicholas Cappelleri Title: Director of Finance & Operations Phone: 212-607-5000 Signature, Place, and Date of Signing: /s/ Nicholas Cappelleri New York, NY April 30, 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: 1 Form13F Information Table Entry Total: 201 Form13F Information Table Value Total: $218,931 (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 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ALPS ETF TR JEFF TRJ CRB GLO 00162Q304 485 11340 SH DEFINED 1 11340 ALPS ETF TR JEFF CRB AGRIC 00162Q403 1956 45287 SH DEFINED 1 45287 ALPS ETF TR JEFF CRB INDS 00162Q601 511 11487 SH DEFINED 1 11487 ALPS ETF TR JEFF CRB WILDC 00162Q809 1804 44999 SH DEFINED 1 44999 AT&T INC COM 00206R102 210 8127 SH DEFINED 1 8127 ADVISORSHARES TR DENT TACTL ETF 00768Y107 1153 56074 SH DEFINED 1 56074 AIRGAS INC COM 009363102 2183 34315 SH DEFINED 1 34315 AIRTRAN HLDGS INC NOTE 7.000% 7/0 00949PAB4 1025 1000000 PRN DEFINED 1 1000000 AIRVANA INC COM 00950V101 1455 190000 SH DEFINED 1 190000 ALLIANCEBERNSTEIN INCOME FUN COM 01881E101 91 11179 SH DEFINED 1 11179 A123 SYS INC COM 03739T108 276 20060 SH DEFINED 1 20060 APPLE INC COM 037833100 247 1051 SH DEFINED 1 1051 ARGON ST INC COM 040149106 1194 44864 SH DEFINED 1 44864 AUTHENTEC INC COM 052660107 90 41809 SH DEFINED 1 41809 BJ SVCS CO COM 055482103 3243 151524 SH DEFINED 1 151524 BARCLAYS BK PLC IPSP CROIL ETN 06738C786 442 16592 SH DEFINED 1 16592 BARCLAYS BANK PLC ETN DJUBS AGRI37 06739H206 293 7474 SH DEFINED 1 7474 BARCLAYS BANK PLC ETN DJUBS SGAR38 06739H214 1166 24485 SH DEFINED 1 24485 BARCLAYS BANK PLC ETN DJUBSSOFT 38 06739H230 1322 29595 SH DEFINED 1 29595 BARCLAYS BANK PLC ETN DJUBS PMET38 06739H248 1367 23342 SH DEFINED 1 23342 BARCLAYS BANK PLC ETN DJUBSPLATM38 06739H255 859 21780 SH DEFINED 1 21780 BARCLAYS BANK PLC ETN DJUBSCOTTN38 06739H271 5382 138649 SH DEFINED 1 138649 BARCLAYS BANK PLC ETN DJUBS GRNS37 06739H305 2654 78027 SH DEFINED 1 78027 BARCLAYS BANK PLC ETN DJUBSCOCO 38 06739H313 3657 83953 SH DEFINED 1 83953 BARCLAYS BANK PLC ADR PFD SR 5 06739H362 208 8074 SH DEFINED 1 8074 BARCLAYS BANK PLC ETN DJUBS ENRG37 06739H750 1541 64517 SH DEFINED 1 64517 BARCLAYS BK PLC IPATH SHRT ETN 06740C527 315 14986 SH DEFINED 1 14986 BELL MICROPRODUCTS INC COM 078137106 1216 175000 SH DEFINED 1 175000 BLDRS INDEX FDS TR EMER MK 50 ADR 09348R300 1403 31895 SH DEFINED 1 31895 CME GROUP INC COM 12572Q105 322 1020 SH DEFINED 1 1020 CACI INTL INC NOTE 2.125% 5/0 127190AD8 888 840000 PRN DEFINED 1 840000 CANO PETE INC COM 137801106 100 85436 SH DEFINED 1 85436 CHESAPEAKE ENERGY CORP COM 165167107 226 9539 SH DEFINED 1 9539 CITIGROUP INC COM 172967101 360 88968 SH DEFINED 1 88968 CLAYMORE EXCHANGE TRADED FD CAP MKT BD ETF 18383M662 2559 52211 SH DEFINED 1 52211 CLAYMORE ETF TRUST 2 SWM CDN ENERGY 18383Q606 349 19464 SH DEFINED 1 19464 CLAYMORE ETF TRUST 2 CLAY/ALPH CHN 18383Q861 677 37294 SH DEFINED 1 37294 CLAYMORE ETF TRUST 2 BEACON GLB TIMBR 18383Q879 583 31281 SH DEFINED 1 31281 COCA COLA CO COM 191216100 227 4134 SH DEFINED 1 4134 CURRENCYSHARES SWISS FRANC T SWISS FRANC SH 23129V109 918 9731 SH DEFINED 1 9731 CURRENCYSHARES CDN DLR TR CDN DOLLAR SHS 23129X105 845 8618 SH DEFINED 1 8618 CURRENCYSHARES EURO TR EURO SHS 23130C108 1081 8022 SH DEFINED 1 8022 DEUTSCHE BK AG LONDON ELE MORN TTL22 25153Q708 345 31352 SH DEFINED 1 31352 DEUTSCHE BK AG LDN BRH BG LARGE ETN 25154H574 1183 115228 SH DEFINED 1 115228 DEUTSCHE BK AG LDN BRH BG TTL ETN 25154H582 1022 88626 SH DEFINED 1 88626 DEUTSCHE BK AG LDN BRH BG SML ETN 25154H590 408 34701 SH DEFINED 1 34701 DIREXION SHS ETF TR DLY SMCAP BEAR3X 25459W839 287 40000 SH DEFINED 1 40000 ETFS PLATINUM TR SH BEN INT 26922V101 677 4118 SH DEFINED 1 4118 ETFS GOLD TR SHS 26922Y105 451 4061 SH DEFINED 1 4061 EATON VANCE TAX MNG GBL DV E COM 27829F108 131 10878 SH DEFINED 1 10878 EMERSON RADIO CORP COM NEW 291087203 33 15356 SH DEFINED 1 15356 ENERSYS NOTE 3.375% 6/0 29275YAA0 644 690000 PRN DEFINED 1 690000 ENTERGY CORP NEW COM 29364G103 328 4027 SH DEFINED 1 4027 EXXON MOBIL CORP COM 30231G102 301 4496 SH DEFINED 1 4496 FACET BIOTECH CORP SHS 30303Q103 270 10000 SH DEFINED 1 10000 FEDERAL NATL MTG ASSN CONV PFD SR 08-1 313586745 71 44215 SH DEFINED 1 44215 FELCOR LODGING TR INC COM 31430F101 83 14600 SH DEFINED 1 14600 FIDELITY COMWLTH TR NDQ CP IDX TRK 315912808 3623 38275 SH DEFINED 1 38275 FIRST TR EXCHANGE TRADED FD DB STRAT VALUE 33733E104 389 18066 SH DEFINED 1 18066 FIRST TR ISE GLOBL COPPR IND COM 33733J103 2538 81688 SH DEFINED 1 81688 FIRST TR S&P REIT INDEX FD COM 33734G108 683 53023 SH DEFINED 1 53023 FIRST TR ISE REVERE NAT GAS COM 33734J102 940 54265 SH DEFINED 1 54265 FIRST TR EXCHANGE TRADED FD CONSUMR STAPLE 33734X119 594 30347 SH DEFINED 1 30347 FIRST TR EXCHANGE TRADED FD MATERIALS ALPH 33734X168 1133 54543 SH DEFINED 1 54543 FIRST TR EXCHANGE TRADED FD UTILITIES ALPH 33734X184 1516 99052 SH DEFINED 1 99052 FIRST TR EXCHANGE TRADED FD DJ GLBL DIVID 33734X200 575 26427 SH DEFINED 1 26427 FIRST TR MID CAP CORE ALPHAD COM SHS 33735B108 499 17544 SH DEFINED 1 17544 FIRST TR NASDAQ ABA CMNTY BK UT COM SHS ETF 33736Q104 528 20760 SH DEFINED 1 20760 FIRST TR EXCH TRADED FD II NASDQ CLN EDGE 33737A108 996 32409 SH DEFINED 1 32409 FIRST TR ISE GLBL PLAT INDX COM 33737C104 1788 57104 SH DEFINED 1 57104 FLOTEK INDS INC DEL COM 343389102 34 26673 SH DEFINED 1 26673 FORTRESS INVESTMENT GROUP LL CL A 34958B106 89 22334 SH DEFINED 1 22334 GLOBAL X FDS CHINA CONS ETF 37950E408 526 30388 SH DEFINED 1 30388 GLOBAL X FDS CHINA TECH ETF 37950E804 619 39298 SH DEFINED 1 39298 GRAIL ADVISORS ETF TR AMR LRG CP ETF 384742102 1484 45123 SH DEFINED 1 45123 GRAIL ADVISORS ETF TR RP GROWTH ETF 384742300 699 24440 SH DEFINED 1 24440 GRAIL ADVISORS ETF TR RP FOC LCG ETF 384742409 699 24479 SH DEFINED 1 24479 GRAIL ADVISORS ETF TR RP FINANCL ETF 384742607 354 12733 SH DEFINED 1 12733 GRAIL ADVISORS ETF TR MCDONN INTM MU 384742706 550 10978 SH DEFINED 1 10978 GRAIL ADVISORS ETF TR MCDON CORE ETF 384742805 2870 57172 SH DEFINED 1 57172 GREATBATCH INC SDCV 2.250% 6/1 39153LAB2 90 100000 PRN DEFINED 1 100000 GREATER CHINA FD INC COM 39167B102 204 16900 SH DEFINED 1 16900 HSBC USA INC S&P CTI ETN 23 4042EP602 1080 127697 SH DEFINED 1 127697 HORIZON LINES INC NOTE 4.250% 8/1 44044KAB7 438 500000 PRN DEFINED 1 500000 HUTCHINSON TECHNOLOGY INC NOTE 3.250% 1/1 448407AF3 638 750000 PRN DEFINED 1 750000 INDEXIQ ETF TR IQ CPI INF TRK 45409B602 1295 51854 SH DEFINED 1 51854 INDEXIQ ETF TR IQ ARB MRG ETF 45409B800 285 10953 SH DEFINED 1 10953 INDEXIQ ETF TR IQ ARB GLB RES 45409B883 1929 72671 SH DEFINED 1 72671 INTEL CORP COM 458140100 405 18171 SH DEFINED 1 18171 INTERCONTINENTALEXCHANGE INC COM 45865V100 425 3793 SH DEFINED 1 3793 INTERNATIONAL BUSINESS MACHS COM 459200101 238 1859 SH DEFINED 1 1859 INUVO INC COM 46122W105 5 15946 SH DEFINED 1 15946 ISHARES TR INDEX BARCLY USAGG B 464287226 274 2633 SH DEFINED 1 2633 ISHARES TR INDEX IBOXX INV CPBD 464287242 253 2392 SH DEFINED 1 2392 ISHARES TR INDEX MSCI EAFE IDX 464287465 203 3628 SH DEFINED 1 3628 ISHARES TR S&P SH NTL AMTFR 464288158 408 3888 SH DEFINED 1 3888 ISHARES TR MID CORE INDEX 464288208 1310 17745 SH DEFINED 1 17745 ISHARES TR S&P EMRG INFRS 464288216 726 23304 SH DEFINED 1 23304 ISHARES TR MID GRWTH INDX 464288307 2458 30170 SH DEFINED 1 30170 ISHARES TR SMLL CORE INDX 464288505 1077 14046 SH DEFINED 1 14046 ISHARES TR FTSE KLD400 SOC 464288570 1985 44289 SH DEFINED 1 44289 ISHARES TR SMLL GRWTH IDX 464288604 557 7895 SH DEFINED 1 7895 ISHARES TR BARCLYS SH TREA 464288679 247 2244 SH DEFINED 1 2244 ISHARES TR DJ HEALTH CARE 464288828 1236 23690 SH DEFINED 1 23690 ISHARES TR DJ PHARMA INDX 464288836 2993 50120 SH DEFINED 1 50120 ISHARES TR S&P TARGET RET 464289107 299 10497 SH DEFINED 1 10497 ISHARES TR S&P TARGET 10 464289206 1678 57224 SH DEFINED 1 57224 ISHARES TR S&P TARGET 40 464289800 1430 45509 SH DEFINED 1 45509 ISHARES TR S&P CONSR ALL 464289883 595 21364 SH DEFINED 1 21364 ISORAY INC COM 46489V104 37 28133 SH DEFINED 1 28133 JOHNSON & JOHNSON COM 478160104 320 4914 SH DEFINED 1 4914 KING PHARMACEUTICALS INC NOTE 1.250% 4/0 495582AJ7 491 534000 PRN DEFINED 1 534000 L-3 COMMUNICATIONS CORP DEBT 3.000% 8/0 502413AW7 65 62000 PRN DEFINED 1 62000 LINEAR TECHNOLOGY CORP NOTE 3.000% 5/0 535678AC0 203 209000 PRN DEFINED 1 209000 LOUISIANA PAC CORP COM 546347105 261 28853 SH DEFINED 1 28853 MAD CATZ INTERACTIVE INC COM 556162105 10 21076 SH DEFINED 1 21076 MARKET VECTORS ETF TR GBL ALTER ENRG 57060U407 642 27976 SH DEFINED 1 27976 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 903 20029 SH DEFINED 1 20029 MARKET VECTORS ETF TR SOLAR ENRG ETF 57060U811 369 28462 SH DEFINED 1 28462 MICROSOFT CORP COM 594918104 390 13324 SH DEFINED 1 13324 NYSE EURONEXT COM 629491101 2519 85059 SH DEFINED 1 85059 NAVISTAR INTL CORP NEW NOTE 3.000%10/1 63934EAL2 1126 1010000 PRN DEFINED 1 1010000 OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 5541 45200 SH DEFINED 1 45200 OLD MUT GLOBAL SHS TR GLBSH DEV CTRY 68003W509 1896 69697 SH DEFINED 1 69697 OMNICARE INC DBCV 3.250%12/1 681904AL2 1696 2000000 PRN DEFINED 1 2000000 OPKO HEALTH INC COM 68375N103 21 10545 SH DEFINED 1 10545 ORACLE CORP COM 68389X105 212 8234 SH DEFINED 1 8234 PACIFIC RIM MNG CORP COM NEW 694915208 5 24759 SH DEFINED 1 24759 PFIZER INC COM 717081103 243 14154 SH DEFINED 1 14154 PHARMACEUTICAL HLDRS TR DEPOSITRY RCPT 71712A206 3271 49306 SH DEFINED 1 49306 PIMCO ETF TR 15+ YR US TIPS 72201R304 323 6384 SH DEFINED 1 6384 PLAINS EXPL& PRODTN CO COM 726505100 450 15013 SH DEFINED 1 15013 PLATINUM GROUP METALS LTD COM NEW 72765Q205 35 17886 SH DEFINED 1 17886 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 2127 44140 SH DEFINED 1 44140 POWERSHARES ACTIVE MNG ETF T US REAL EST FD 73935B508 613 15114 SH DEFINED 1 15114 POWERSHARES ETF TRUST BNKING SEC POR 73935X336 213 16009 SH DEFINED 1 16009 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 1273 86655 SH DEFINED 1 86655 POWERSHS DB MULTI SECT COMM DB ENERGY FUND 73936B101 1003 38903 SH DEFINED 1 38903 POWERSHS DB MULTI SECT COMM DB PREC MTLS 73936B200 5140 134383 SH DEFINED 1 134383 POWERSHS DB MULTI SECT COMM DB SILVER FUND 73936B309 3852 124111 SH DEFINED 1 124111 POWERSHS DB MULTI SECT COMM DB GOLD FUND 73936B606 1458 36711 SH DEFINED 1 36711 POWERSHARES ETF TRUST II BALCD GWT NFA 73936Q405 270 22977 SH DEFINED 1 22977 POWERSHARES ETF TRUST II BALCD NFA GLBL 73936Q504 163 13301 SH DEFINED 1 13301 POWERSHARES GLOBAL ETF TRUST WK VRDO TX FR 73936T433 1782 71307 SH DEFINED 1 71307 PROCTER & GAMBLE CO COM 742718109 338 5346 SH DEFINED 1 5346 PROSHARES TR PSHS REAL ESTAT 74347R552 244 40400 SH DEFINED 1 40400 PROSHARES TR PSHS ULTASH DW30 74347R867 343 13000 SH DEFINED 1 13000 PROSHARES TR ULTRAPRO QQQ 74347X831 528 4743 SH DEFINED 1 4743 PSYCHIATRIC SOLUTIONS INC COM 74439H108 453 15171 SH DEFINED 1 15171 QUALCOMM INC COM 747525103 276 6569 SH DEFINED 1 6569 RAIT FINANCIAL TRUST COM 749227104 40 20251 SH DEFINED 1 20251 REVENUESHARES ETF TR SMALL CAP FD 761396308 792 27533 SH DEFINED 1 27533 REVENUESHARES ETF TR NAVELLR A-100 761396704 882 26932 SH DEFINED 1 26932 SPDR INDEX SHS FDS INTL HLTH ETF 78463X681 1225 41337 SH DEFINED 1 41337 SPDR SERIES TRUST MORGAN TECH ETF 78464A102 1796 30035 SH DEFINED 1 30035 SPDR SERIES TRUST SPDR VRDO ETF 78464A318 235 7817 SH DEFINED 1 7817 SPDR SERIES TRUST DB INT GVT ETF 78464A490 582 10497 SH DEFINED 1 10497 SPDR SERIES TRUST KBW MTG FN ETF 78464A524 1119 23645 SH DEFINED 1 23645 SPDR SERIES TRUST S&P SEMICNDCTR 78464A862 1338 27883 SH DEFINED 1 27883 SPDR SERIES TRUST S&P BIOTECH 78464A870 337 5627 SH DEFINED 1 5627 SATCON TECHNOLOGY CORP COM 803893106 322 133140 SH DEFINED 1 133140 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2876 50000 SH DEFINED 1 50000 SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 418 15000 SH DEFINED 1 15000 SENESCO TECHNOLOGIES INC COM NEW 817208408 13 30442 SH DEFINED 1 30442 SKILLSOFT PLC SPONSORED ADR 830928107 1410 136631 SH DEFINED 1 136631 SMITH INTL INC COM 832110100 1997 46636 SH DEFINED 1 46636 SOFTWARE HOLDRS TR DEPOSITRY RCPT 83404B103 3947 92900 SH DEFINED 1 92900 STREAM GLOBAL SVCS INC *W EXP 10/17/201 86323M118 14 21753 SH DEFINED 1 21753 SULPHCO INC COM 865378103 16 55603 SH DEFINED 1 55603 SUNPOWER CORP COM CL B 867652307 1302 77775 SH DEFINED 1 77775 SUNPOWER CORP DBCV 0.750% 8/0 867652AB5 990 1000000 PRN DEFINED 1 1000000 SWEDISH EXPT CR CORP MLCX GRN ETN23 870297215 172 35589 SH DEFINED 1 35589 TRC COS INC COM 872625108 159 54100 SH DEFINED 1 54100 TELECOM HLDRS TR DEPOSITRY RCPT 87927P200 776 32000 SH DEFINED 1 32000 TELEPHONE & DATA SYS INC COM 879433100 344 10171 SH DEFINED 1 10171 TERRA INDS INC COM 880915103 2918 63767 SH DEFINED 1 63767 3COM CORP COM 885535104 2246 292805 SH DEFINED 1 292805 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 799 1000000 PRN DEFINED 1 1000000 ULTRA PETROLEUM CORP COM 903914109 342 7324 SH DEFINED 1 7324 UNITED STS HEATING OIL FD LP UNIT 91204P107 2252 81383 SH DEFINED 1 81383 UNITED STATES NATL GAS FUND UNIT 912318102 1009 145991 SH DEFINED 1 145991 UNITED STATES OIL FUND LP UNITS 91232N108 8484 210525 SH DEFINED 1 210525 UNITED STS SHORT OIL FD LP UNITS 912613205 3957 94639 SH DEFINED 1 94639 UNITED STS 12 MONTH OIL FD L UNIT BEN INT 91288V103 2541 62179 SH DEFINED 1 62179 VALE S A ADR 91912E105 322 10003 SH DEFINED 1 10003 VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 1562 31983 SH DEFINED 1 31983 VANGUARD BD INDEX FD INC TOTAL BND MRKT 921937835 312 3937 SH DEFINED 1 3937 VANGUARD WORLD FDS FINANCIALS ETF 92204A405 252 7782 SH DEFINED 1 7782 VANGUARD WORLD FDS TELCOMM ETF 92204A884 288 5131 SH DEFINED 1 5131 VARIAN INC COM 922206107 6714 129666 SH DEFINED 1 129666 WAL MART STORES INC COM 931142103 210 3772 SH DEFINED 1 3772 WISDOMTREE TRUST LRGECP VALUE FD 97717W547 1740 46967 SH DEFINED 1 46967 WISDOMTREE TRUST SMLCAP EARN FD 97717W562 2148 48322 SH DEFINED 1 48322 WISDOMTREE TRUST MDCP EARN FUND 97717W570 766 16209 SH DEFINED 1 16209 WISDOMTREE TRUST EARNING 500 FD 97717W588 796 19474 SH DEFINED 1 19474 WYNDHAM WORLDWIDE CORP COM 98310W108 516 20053 SH DEFINED 1 20053 XTO ENERGY INC COM 98385X106 8954 189789 SH DEFINED 1 189789 XENONICS HLDGS INC COM 984117101 11 17622 SH DEFINED 1 17622 VANTAGE DRILLING COMPANY *W EXP 05/24/201 G93205121 1 19400 SH DEFINED 1 19400 ALCON INC COM SHS H01301102 3652 22606 SH DEFINED 1 22606 FOSTER WHEELER AG COM H27178104 328 12073 SH DEFINED 1 12073
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