-----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, T8NFb12HHfvs9o5DgegIBK5f6AD1r2XDdXFmiyDfgBC+dSWbO9dQikZ1sjQ9J7l5 M4mzHuu08Y8119aqnQU7Yg== 0001317346-09-000009.txt : 20091113 0001317346-09-000009.hdr.sgml : 20091113 20091113143954 ACCESSION NUMBER: 0001317346-09-000009 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091113 DATE AS OF CHANGE: 20091113 EFFECTIVENESS DATE: 20091113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OTA Financial Group L.P. CENTRAL INDEX KEY: 0001317346 IRS NUMBER: 134078069 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11283 FILM NUMBER: 091180954 BUSINESS ADDRESS: STREET 1: 1 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 914-694-5800 MAIL ADDRESS: STREET 1: 1 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 form13f39.txt 13F-HR OTA FINANCIAL GROUP LP 3RD QUARTER 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 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: OTA Financial Group LP Address: 1 Manhattanville Road Purchase, NY 10577 Form 13F File Number: 28-11283 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: John Hanratty Title: Chief Compliance Officer Phone: 914-460-4099 Signature, Place, and Date of Signing: /s/ John Hanratty Purchase, NY November 13, 2009 - ---------------------------- ----------------------------- ------------------- [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 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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 344 Form 13F Information Table Value Total: 270,786 (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. No. Form 13F File Number Name 1 28-11280 OTA LLC 2 28-12833 OTA SWAPS LLC NAME OF ISSUER TITLE OF CLASS CUSIP VALUE AMOUNT TYPE INVSTMT OTHER VOTE DISCRETION MANAGERS AUTHORITY SOLE ABERDEEN ASIA PAC INC FD COM 003009107 104 16844 SH DEFINED 1 104 Adams Express Co COM 006212104 206 21101 SH DEFINED 1 206 ADTRAN INC COM 00738A106 432 17600 SH DEFINED 2 432 AEGIS RLTY INC SHS N00985106 453 50028 SH DEFINED 1 453 AEROPOSTALE CALL 007865908 840 20000 CALL DEFINED 2 840 AFFILIATED COMPUTER SERVICES CL A 008190100 1895 34997 SH DEFINED 1 1895 AFFILIATED MANAGERS GROUP CALL 008252908 620 10000 CALL DEFINED 2 620 AFFIRMATIVE INS HLDGS INC COM 008272106 141 28700 SH DEFINED 1 141 AFLAC INC CALL 001055902 297 7300 CALL DEFINED 2 297 AGNICO EAGLE MINES LTD CALL 008474908 1925 30000 CALL DEFINED 2 1925 ALLIANCE RES PARTNER L P PUT 01877R958 1241 35100 PUT DEFINED 2 1241 ALLIANT TECHSYSTEMS INC CALL 018804904 2084 27200 CALL DEFINED 2 2084 ALMOST FAMILY INC CALL 020409908 245 8400 CALL DEFINED 2 245 AMAZON COM INC CALL 023135906 910 10000 CALL DEFINED 2 910 AMB PROPERTY CORP CALL 00163T909 254 12000 CALL DEFINED 2 254 AMERICA MOVIL S A DE C V SHS 02364W204 1196 27161 SH DEFINED 1 1196 AMERICAN INDEPENDENCE CORP COM 026760405 120 25431 SH DEFINED 1 120 AMERICAN SUPERCONDUCTOR CORP CALL 030111908 477 15000 CALL DEFINED 2 477 AMERICAN TOWER CORP CALL 029912901 353 10000 CALL DEFINED 2 353 ANADARKO PETE CORP CALL 032511907 900 15000 CALL DEFINED 2 900 ANGLOGOLD ASHANTI LTD CALL 035128906 774 20000 CALL DEFINED 2 774 ANIXTER INTL INC PUT 035290955 389 10000 PUT DEFINED 2 389 ANWORTH MORTGAGE ASSET CORP CALL 037347901 156 20000 CALL DEFINED 2 156 APOLLO GROUP INC CALL 037604905 521 7200 CALL DEFINED 2 521 ARCH CAP GROUP LTD CALL G0450A905 807 12000 CALL DEFINED 2 807 ARCHER DANIELS MIDLAND CO COM 039483102 5652 193439 SH DEFINED 1 5652 ARCSIGHT CALL 039666902 790 35300 CALL DEFINED 2 790 ARKANSAS BEST CORP COM 040790107 335 11200 SH DEFINED 2 335 ARMSTRONG WORLD INDS INC NEW COM 04247X102 251 7300 SH DEFINED 2 251 ASPEN INSURANCE HOLDINGS LTD CALL G05384905 262 10000 CALL DEFINED 2 262 BAKER HUGHES INC COM 057224107 1022 23963 SH DEFINED 1 1022 BALLY TECHNOLOGIES INC CALL 05874B907 361 10000 CALL DEFINED 2 361 BANK HAWAII CORP COM 062540109 328 7900 SH DEFINED 2 328 BANK MONTREAL QUE CALL 063671901 244 5000 CALL DEFINED 2 244 BARCLAYS BANK PLC ADR 2 PREF 2 06739F390 203 10035 SH DEFINED 1 203 BAXTER INTERNTL INC COM 071813109 1083 19000 SH DEFINED 2 1083 BECKMAN COULTER INC CALL 075811909 670 10000 CALL DEFINED 2 670 BECTON DICKINSON & CO CALL 075887909 348 5100 CALL DEFINED 2 348 BED BATH & BEYOND INC COM 075896100 645 17200 SH DEFINED 2 645 BEST BUY CO INC COM 086516101 234 6250 SH DEFINED 2 234 BHP BILLITON PLC SP ADR ADR 05545E209 1220 22142 SH DEFINED 1 1220 BIG LOTS INC CALL 089302903 666 26100 CALL DEFINED 2 666 BIO-REFERENCE LABS INC CALL 09057G902 274 8000 CALL DEFINED 2 274 BLACK & DECKER CORP PUT 091797950 885 20000 PUT DEFINED 2 885 BlackRock MuniHoldings Califor COM 09254L107 196 14774 SH DEFINED 1 196 BlackRock MuniYield Insured Fu COM 09254E103 206 16212 SH DEFINED 1 206 BLYTH INC COM 09643P207 209 5400 SH DEFINED 2 209 BOEING CO COM 097023105 2288 42263 SH DEFINED 2 2288 BOEING CO PUT 097023955 781 15000 PUT DEFINED 2 781 BOISE INC *W EXP 06/18/201 09746Y113 10 16400 SH DEFINED 1 10 BP PLC ADR 055622104 330 6200 SH DEFINED 2 330 BROWN & BROWN INC CALL 115236901 191 10000 CALL DEFINED 2 191 BURLINGTON NORTHERN SANTA FE COM 12189T104 1931 24193 SH DEFINED 2 1931 C H ROBINSON WORLDWIDE INC CALL 12541W909 1543 27500 CALL DEFINED 2 1543 C H ROBINSON WORLDWIDE INC COM 12541W209 334 5800 SH DEFINED 2 334 CALIPER LIFE SCIENCES INC *W EXP 08/10/201 130872112 5 25000 SH DEFINED 1 5 CANADIAN NATIONAL RAILWAY CO CALL 136375902 292 6100 CALL DEFINED 2 292 CARLISLE COS INC CALL 142339900 536 16100 CALL DEFINED 2 536 CATERPILLAR INC DEL COM 149123101 256 5000 SH DEFINED 2 256 CB RICHARD ELLIS GR INC CL A 12497T101 541 46100 SH DEFINED 2 541 CBS Corp Class A CL A 124857103 247 20518 SH DEFINED 1 247 CCE SPINCO INC CALL 538034909 137 18100 CALL DEFINED 2 137 CELANESE CORP PFD 4.25% CONV 150870202 3643 111447 SH DEFINED 1 2 3643 CENTRAL GARDEN & PET CO COM 153527106 213 18177 SH DEFINED 1 213 CENTURYTEL INC CALL 156700906 401 12000 CALL DEFINED 2 401 CF INDS HLDGS INC CALL 125269900 3620 43000 CALL DEFINED 2 3620 CHARLES SCHWAB CORP-NEW CALL 808513905 185 10000 CALL DEFINED 2 185 CHATTEM INC PUT 162456957 337 5200 PUT DEFINED 2 337 CHENIERE ENERGY INC PUT 16411R958 28 10000 PUT DEFINED 2 28 CHESAPEAKE ENERGY CORP COM 165167107 577 20336 SH DEFINED 2 577 CHEVRON CORP CALL 166764900 2064 30000 CALL DEFINED 2 2064 CHICAGO BRDG &IRON CO NV REGISTRY SH 167250109 244 13100 SH DEFINED 2 244 Cia Vale do Rio Doce ADR 91912E105 3573 154489 SH DEFINED 1 3573 CLEARING BANCORPORAT COM 174420109 239 315446 SH DEFINED 1 239 CLOROX CO COM 189054109 517 8800 SH DEFINED 2 517 COCA COLA CO COM 191216100 918 17100 SH DEFINED 2 918 COHEN & STEERS REIT & COM 19247Y108 96 10119 SH DEFINED 1 96 Cohen & Steers Select Utility COM 19248A109 183 13224 SH DEFINED 1 183 COLGATE PALMOLIVE COM 194162103 572 7500 SH DEFINED 2 572 COLUMBIA SPORTSWEAR CO CALL 198516906 751 18900 CALL DEFINED 2 751 COLUMBIA SPORTSWEAR CO PUT 198516956 330 8300 PUT DEFINED 2 330 COMCAST CORP NEW NEW CL A SPL 20030N200 1657 103101 SH DEFINED 2 1657 COMMERCIAL NET LEASE RLTY INC PUT 637417956 208 10000 PUT DEFINED 2 208 COMTECH TELECOMMUNICATIONS COM 205826209 263 7926 SH DEFINED 2 263 CONCUR TECHNOLOGIES INC CALL 206708909 711 18700 CALL DEFINED 2 711 CONSOL ENERGY INC COM 20854P109 712 15800 SH DEFINED 2 712 CONSOLIDATED EDISON INC CALL 209115904 203 5000 CALL DEFINED 2 203 CON-WAY INC CALL 205944901 839 22300 CALL DEFINED 2 839 COOPER CAMERON CORP CALL 13342B905 543 15000 CALL DEFINED 2 543 COPART INC CALL 217204906 292 9000 CALL DEFINED 2 292 COPART INC PUT 217204956 325 10000 PUT DEFINED 2 325 CORNING INC CALL 219350905 149 10000 CALL DEFINED 2 149 CORNING INC PUT 219350955 149 10000 PUT DEFINED 2 149 CORPORATE EXECUTIVE BOARD CO COM 21988R102 211 8500 SH DEFINED 2 211 COSTCO WHOLESALE CORP CALL 22160K905 1113 20000 CALL DEFINED 2 1113 CROWN CORK & SEAL INC PUT 228368956 265 10000 PUT DEFINED 2 265 CSX CORP COM 126408103 523 12500 SH DEFINED 2 523 CUMMINS INC CALL 231021906 430 10000 CALL DEFINED 2 430 CYBERSOURCE CORP CALL 23251J906 322 20000 CALL DEFINED 2 322 D R HORTON INC CALL 23331A909 169 15400 CALL DEFINED 2 169 DARDEN RESTAURANTS INC CALL 237194905 331 10000 CALL DEFINED 2 331 DEPARTMENT 56 INC CALL 254709908 640 40000 CALL DEFINED 2 640 DESARROLLADORA HOMEX ADR ADR 25030W100 812 21500 SH DEFINED 2 812 DISCOVERY HOLDING CO NEW COM SER A 25470F104 1190 41200 SH DEFINED 2 1190 DONALDSON INC CALL 257651909 702 21000 CALL DEFINED 2 702 DONNELLEY R R & SONS CO COM 257867101 276 13000 SH DEFINED 2 276 DOW CHEM CO PUT 260543953 732 30000 PUT DEFINED 2 732 DU PONT E I DE NEMOURS COM 263534109 816 25400 SH DEFINED 2 816 EASTMAN KODAK COM 277461109 80 16900 SH DEFINED 2 80 Eaton Vance Tax-Managed Buy-Wr COM 27828Y108 253 17739 SH DEFINED 1 253 EBIX COM INC COM 278715206 304 5500 SH DEFINED 2 304 ENBRIDGE ENERGY PARTNERS COM 29250R106 223 4962 SH DEFINED 1 223 ENCANA CORP COM 292505104 385 6700 SH DEFINED 2 385 ENERGIZER HLDGS INC CALL 29266R908 1934 30000 CALL DEFINED 2 1934 ENSTAR GROUP INC GA SHS G3075P101 473 7600 SH DEFINED 1 473 ENTERPRISE PRODS PARTNERS L P COM 293792107 455 16085 SH DEFINED 1 455 EQUINIX INC CALL 29444U902 1072 12000 CALL DEFINED 2 1072 EQUINIX INC PUT 29444U952 5720 64000 PUT DEFINED 2 5720 ESSEX PPTY TR INC CALL 297178905 302 4000 CALL DEFINED 2 302 ESSEX PPTY TR INC PUT 297178955 302 4000 PUT DEFINED 2 302 EURONET WORLDWIDE INC CALL 298736909 231 10000 CALL DEFINED 2 231 EV3 INC COM 26928A200 251 20400 SH DEFINED 2 251 EVERGREEN INC ADV FUND SHS 30023Y105 132 14343 SH DEFINED 1 132 EXXON MOBIL CORP COM 30231G102 727 10600 SH DEFINED 2 727 F5 NETWORKS INC PUT 315616952 678 17600 PUT DEFINED 2 678 FEDERAL REALTY INVT TR TR SH BEN INT 313747206 693 11300 SH DEFINED 2 693 FEDEX CORP CALL 31428X906 3042 41300 CALL DEFINED 2 3042 FID NATL TITLE GROUP INC CALL 31620R905 259 17000 CALL DEFINED 2 259 FIDELITY NATL INFORMATION SVCS COM 31620M106 404 15845 SH DEFINED 1 2 404 FIRST HORIZON NATL CORP CALL 320517905 127 10000 CALL DEFINED 2 127 FLOWSERVE CORP COM 34354P105 3222 32700 SH DEFINED 2 3222 FNB CORP PA COM 302520101 162 22815 SH DEFINED 2 162 FORTUNE BRANDS INC COM 349631101 1534 35700 SH DEFINED 2 1534 FORTUNE BRANDS INC PUT 349631951 205 5000 PUT DEFINED 2 205 FORWARD AIR CORP CALL 349853901 306 13500 CALL DEFINED 2 306 FREEPORT-MCMORAN C & G PFD CONV 35671D782 7673 74504 SH DEFINED 1 7673 FRESH DEL MONTE PRODUCE INC CALL G36738905 456 20000 CALL DEFINED 2 456 FTI CONSULTING INC PUT 302941959 421 10000 PUT DEFINED 2 421 GAP INC DEL CALL 364760908 421 20000 CALL DEFINED 2 421 GARDNER DENVER INC CALL 365558905 329 10000 CALL DEFINED 2 329 GEN PROBE INC COM 36866T103 207 5000 SH DEFINED 2 207 GENERAL DYNAMICS CORP COM 369550108 381 5900 SH DEFINED 2 381 GENERAL MILLS COM 370334104 238 3700 SH DEFINED 2 238 Genoptix, Inc. CALL 37243V900 403 11800 CALL DEFINED 2 403 Genoptix, Inc. PUT 37243V950 1059 31000 PUT DEFINED 2 1059 GENTIVA HEALTH SERVICES INC CALL 37247A902 961 39200 CALL DEFINED 2 961 GENTIVA HEALTH SERVICES INC PUT 37247A952 946 38600 PUT DEFINED 2 946 GLOBAL LOGISTICS ACQUISITION COM 18145M109 5 10300 SH DEFINED 1 5 GLOBAL PAYMENTS INC CALL 37940X902 923 20000 CALL DEFINED 2 923 GMX RES INC CALL 38011M908 247 17000 CALL DEFINED 2 247 HAIN CELESTIAL GROUP INC COM 405217100 283 14800 SH DEFINED 2 283 HARLEYSVILLE NATL CORP PA COM 412850109 96 18136 SH DEFINED 1 96 HARRIS CORP DEL CALL 413875905 216 6000 CALL DEFINED 2 216 HEADWATERS INC COM 42210P102 80 20900 SH DEFINED 2 80 HEWLETT PACKARD CO COM 428236103 4223 89452 SH DEFINED 2 4223 HHGregg, Inc. COM 42833L108 210 12400 SH DEFINED 2 210 HITACHI LTD 10 NEW ADR CALL 433578907 384 12700 CALL DEFINED 2 384 HOME DEPOT INC COM 437076102 364 13700 SH DEFINED 2 364 ILLINOIS TOOL WKS INC COM 452308109 247 5800 SH DEFINED 2 247 INDEPENDENCE HLDG CO NEW COM 453440307 159 27200 SH DEFINED 1 159 INFOSYS TECHNOLOGIES CALL 456788908 2768 58600 CALL DEFINED 2 2768 ING PRIME RATE TR SH BEN INT 44977W106 605 122035 SH DEFINED 1 605 INVESTMENT TECHNOLOGY GRP IN COM 46145F105 463 16600 SH DEFINED 2 463 ISHARES FTSE XINHUA CHINA XNHUA IDX 464287184 1644 40167 SH DEFINED 1 1644 ISHARES INC MSCI TAIWAN 464286731 1233 100293 SH DEFINED 1 1233 iShares MSCI Australia Index F MSCI AUSTRALIA 464286103 1245 55131 SH DEFINED 1 1245 iShares MSCI EAFE Growth Index MSCI GRW IDX 464288885 1518 28465 SH DEFINED 1 1518 iShares MSCI EAFE Small Cap In SMALL CAP 464288273 293 8075 SH DEFINED 1 293 ISHARES MSCI JAPAN INDEX FUN MSCI JAPAN 464286848 472 47584 SH DEFINED 1 472 iShares MSCI Malaysia Index Fu MSCI MALAYSIA 464286830 169 16714 SH DEFINED 1 169 ISHARES MSCI SINGAPORE FREE MSCI SINGAPORE 464286673 1924 179024 SH DEFINED 1 1924 iShares S&P Europe 350 Index F S&P EURO PLUS 464287861 699 18158 SH DEFINED 1 699 iShares S&P Global 100 Index F S&P GLB100INDX 464287572 788 13527 SH DEFINED 1 788 iShares S&P LatinAmer 40 Index S&P LTN AM 40 464287390 415 9692 SH DEFINED 1 415 ITT INDS INC IND CALL 450911902 401 8000 CALL DEFINED 2 401 JACOBS ENGN GRP INC DELA COM 469814107 408 8900 SH DEFINED 2 408 JOHN HANCOCK PREFERRED COM 41013X106 173 10346 SH DEFINED 1 173 JOHNSON & JOHNSON COM 478160104 1047 17200 SH DEFINED 2 1047 JONES LANG LASALLE INC CALL 48020Q907 1567 34900 CALL DEFINED 2 1567 JOS A BANK CLOTHIERS INC CALL 480838901 431 10000 CALL DEFINED 2 431 JOY GLOBAL INC CALL 481165908 555 12000 CALL DEFINED 2 555 KINDER MORGAN ENERGY PARTNER LTD PARTNER 494550106 811 15026 SH DEFINED 1 811 KINETIC CONCEPTS INC CALL 49460W908 363 10000 CALL DEFINED 2 363 KINGSWAY FINL SVCS INC COM 496904103 90 21100 SH DEFINED 1 90 KIRBY CORP COM 497266106 202 5500 SH DEFINED 2 202 KNIGHTSBRIDGE TANKERS PUT G5299G956 128 10000 PUT DEFINED 2 128 KOHLS CORP CALL 500255904 762 13800 CALL DEFINED 2 762 KOREA ELEC POWER SPN ADR CALL 500631906 1188 80500 CALL DEFINED 2 1188 LANCASTER COLONY CORP CALL 513847903 1881 37500 CALL DEFINED 2 1881 LAS VEGAS SANDS CORP COM 517834107 437 26000 SH DEFINED 2 437 LEUCADIA NATL CORP CALL 527288904 245 10600 CALL DEFINED 2 245 LEUCADIA NATL CORP PUT 527288954 231 10000 PUT DEFINED 2 231 LHC GROUP INC PUT 50187A957 287 10000 PUT DEFINED 2 287 Liberty All Star Equity Fund FD SH BEN INT 530158104 67 15884 SH DEFINED 1 67 LINN ENERGY LLC PUT 536020950 224 10000 PUT DEFINED 2 224 Loews Corporation COM 540424108 3499 102180 SH DEFINED 1 3499 LULULEMON ATHLETICA INC CALL 550021909 213 10000 CALL DEFINED 2 213 MANTECH INTL CORP CL A 564563104 910 19300 SH DEFINED 2 910 Market Vectors - Gold Miners E ETF 57060U100 305 6747 SH DEFINED 1 305 MARKET VECTORS-BRAZIL SM-CAP ETF 57060U613 264 6576 SH DEFINED 1 264 MARTIN MARIETTA MATERIALS IN COM 573284106 1132 12300 SH DEFINED 2 1132 MARTIN MARIETTA MATERIALS IN PUT 573284956 454 5000 PUT DEFINED 2 454 MARVEL ENTERPRISES INC CALL 57383T903 302 6100 CALL DEFINED 2 302 MASSEY ENERGY CO CALL 576206906 266 10000 CALL DEFINED 2 266 MATTHEWS INTL CORP CALL 577128901 548 16000 CALL DEFINED 2 548 MBIA INC CALL 55262C900 69 10000 CALL DEFINED 2 69 MCAFEE INC CALL 579064906 1069 24900 CALL DEFINED 2 1069 MedAssets, Inc. CALL 584045908 212 9700 CALL DEFINED 2 212 MERCK & CO INC COM 589331107 2243 70926 SH DEFINED 1 2243 Metavante Technologies Inc CALL 591407901 303 9000 CALL DEFINED 2 303 Metavante Technologies Inc PUT 591407951 337 10000 PUT DEFINED 2 337 METTLER TOLEDO INTERNATIONAL PUT 592688955 449 5000 PUT DEFINED 2 449 MIDDLEBY CORP COM 596278101 423 7700 SH DEFINED 2 423 MINEFINDERS LTD CALL 602900902 145 15900 CALL DEFINED 2 145 MIRANT CORP *W EXP 01/03/201 60467R118 252 170665 SH DEFINED 2 252 MIRANT CORP *W EXP 01/03/201 60467R126 41 21296 SH DEFINED 2 41 MIRANT CORP NEW PUT 60467R950 316 20000 PUT DEFINED 2 316 Morgan Stanley Asia Pacific Fu COM 61744U106 168 11552 SH DEFINED 1 168 MORNINGSTAR INC CALL 617700909 292 6100 CALL DEFINED 2 292 MYLAN INC PFD CONV 628530206 1840 1777 SH DEFINED 1 1840 NATCO GROUP INC CL A 63227W203 4861 109791 SH DEFINED 2 4861 NATIONAL FINL PARTNERS CALL 63607P908 232 28100 CALL DEFINED 2 232 NET 1 UEPS TECH INC NEW COM 64107N206 215 10285 SH DEFINED 2 215 NETSCOUT SYS INC CALL 64115T904 256 20000 CALL DEFINED 2 256 NEW ORIENTAL EDUCATIO-SP ADR CALL 647581907 782 10000 CALL DEFINED 2 782 NEWMARKET CORP CALL 651587907 565 6500 CALL DEFINED 2 565 NEWS CORP CL B CL B 65248E203 142 10212 SH DEFINED 1 142 NFJ Dividend Interest & Premiu SHS 65337H109 808 60345 SH DEFINED 1 808 NICHOLAS APPLEGATE CONV COM 65370F101 128 14916 SH DEFINED 1 128 NIKE INC CL B 654106103 575 8900 SH DEFINED 2 575 NORTHERN TR CORP CALL 665859904 570 10000 CALL DEFINED 2 570 NORTHROP GRUMMAN CORP PUT 666807952 500 10000 PUT DEFINED 2 500 NUCOR CORP COM 670346105 230 4900 SH DEFINED 2 230 Nuveen Equity Premium Advantag COM 6706ET107 453 36132 SH DEFINED 1 453 O REILLY AUTOMOTIVE INC CALL 686091909 268 7500 CALL DEFINED 2 268 OCCIDENTAL PETE CORP CAL CALL 674599905 1507 20000 CALL DEFINED 2 1507 ODYSSEY RE HLDGS CORP CALL 67612W908 323 5000 CALL DEFINED 2 323 OFFICEMAX INC DEL COM 67622P101 188 15000 SH DEFINED 2 188 ONEOK INC (NEW) CALL 682680903 713 20000 CALL DEFINED 2 713 OPEN TEXT CORP CALL 683715906 246 6700 CALL DEFINED 2 246 OVERSEAS SHIPHOLDING GROUP COM 690368105 426 11400 SH DEFINED 2 426 PACER INTL INC TENN CALL 69373H906 37 10000 CALL DEFINED 2 37 PALOMAR MED TECHNOLOGIES INC PUT 697529953 157 10000 PUT DEFINED 2 157 PATTERSON UTI ENERGY INC PUT 703481951 171 11700 PUT DEFINED 2 171 PEPSI BOTTLING GROUP INC COM 713409100 514 14130 SH DEFINED 1 514 PERFECT WORLD CO-SPON ADR LTD SPON ADR REP 71372U104 1611 33500 SH DEFINED 2 1611 PETROLEO BRASILEIRO S.A.-ADR ADR 71654V408 3782 82401 SH DEFINED 1 3782 PFIZER INC COM 717081103 4113 248533 SH DEFINED 1 2 4113 PIMCO 1-5 Year US TIPS Index F TIP IDX 72201R205 1676 33194 SH DEFINED 1 1676 PNC FINCL SERVICES GROUP PUT 693475955 463 10000 PUT DEFINED 2 463 PowerShares FTSE RAFI Emerging ETF TRUST 73936T763 715 33390 SH DEFINED 1 715 PRAXAIR INC COM 74005P104 360 4419 SH DEFINED 2 360 PRE PAID LEGAL SVCS INC CALL 740065907 248 5000 CALL DEFINED 2 248 PRECISION CASTPARTS CORP COM 740189105 631 6200 SH DEFINED 2 631 PROSPERITY BANCSHARES INC CALL 743606905 680 20000 CALL DEFINED 2 680 PROTECTIVE LIFE CORP CALL 743674903 216 11000 CALL DEFINED 2 216 Prudential PLC CALL 74435K904 185 10000 CALL DEFINED 2 185 PULTE HOMES INC CALL 745867901 345 32500 CALL DEFINED 2 345 QUALCOMM INC CALL 747525903 1272 29800 CALL DEFINED 2 1272 RADIOSHACK CORP PUT 750438953 315 20000 PUT DEFINED 2 315 RALCORP HLDGS INC NEW CALL 751028901 1160 20000 CALL DEFINED 2 1160 RANDGOLD RESOURCES ADR PUT 752344959 330 5000 PUT DEFINED 2 330 RAYTHEON COMPANY *W EXP 06/16/201 755111119 12556 1096615 SH DEFINED 2 12556 RED HAT INC CALL 756577902 215 8000 CALL DEFINED 2 215 REGENCY ENERGY PARTNERS L P COM UNITS L P 75885Y107 362 18500 SH DEFINED 2 362 RESMED INC CALL 761152907 352 8000 CALL DEFINED 2 352 RITCHIE BROS AUCTIONEERS CALL 767744905 232 10000 CALL DEFINED 2 232 ROCK TENN CO CL A CL A 772739207 277 5900 SH DEFINED 2 277 ROCKWELL AUTOMATION INC COM 773903109 302 7100 SH DEFINED 2 302 ROPER INDUSTRIES INC CALL 776696906 830 17000 CALL DEFINED 2 830 ROSS STORES INC CALL 778296903 326 7000 CALL DEFINED 2 326 Royal Bank of Scotland Group Plc (TADR PREF T 780097713 178 15302 SH DEFINED 1 178 ROYAL BK SCOTLAND GROUP PLC PREF SHS R 780097747 161 16006 SH DEFINED 1 161 ROYAL DUTCH SHELL PLC-ADR SPON ADR B 780259107 620 11133 SH DEFINED 1 620 RUBY TUESDAY INC CALL 781182900 116 15000 CALL DEFINED 2 116 SALESFORCE COM INC COM 79466L302 273 4800 SH DEFINED 2 273 SANDERSON FARMS INC CALL 800013904 728 19600 CALL DEFINED 2 728 SASOL LTD CALL 803866900 547 15000 CALL DEFINED 2 547 SCHEIN (HENRY) INC COM CALL 806407902 543 10000 CALL DEFINED 2 543 SCHERING-PLOUGH PFD CONV MAN07 806605705 13568 55908 SH DEFINED 1 13568 SEATTLE GENETICS INC CALL 812578902 199 15100 CALL DEFINED 2 199 SIGNATURE BK NEW YORK N Y CALL 82669G904 284 10000 CALL DEFINED 2 284 SILICON LABORATORIES INC COM 826919102 802 17300 SH DEFINED 2 802 SILVER STD RES INC CALL 82823L906 552 28000 CALL DEFINED 2 552 SIMS METAL MANAG-SPON ADR CALL 829160900 197 10500 CALL DEFINED 2 197 SK TELECOM LTD CALL 78440P908 175 10000 CALL DEFINED 2 175 SK TELECOM LTD PUT 78440P958 175 10000 PUT DEFINED 2 175 SMUCKER J M CO CALL 832696905 531 10000 CALL DEFINED 2 531 Solutia Inc. COM 834376501 254 22000 SH DEFINED 2 254 SONY CORP ADR 835699307 207 7100 SH DEFINED 2 207 Sovran Self Storage Inc PUT 84610H958 376 12600 PUT DEFINED 2 376 SPDR Barclays Capital TIPS ETF CAP TIPS 78464A656 266 5259 SH DEFINED 1 266 SPDR S&P Emerging Markets ETF ETF 78463X509 203 3432 SH DEFINED 1 203 SPRINT NEXTEL CORP COM SER 1 852061100 198 50200 SH DEFINED 1 198 SPX CORP COM 784635104 453 7400 SH DEFINED 2 453 STAPLES INC PUT 855030952 226 10000 PUT DEFINED 2 226 STATE STR CORP CALL 857477903 721 14300 CALL DEFINED 2 721 STERLING CONSTRUCTION CO INC CALL 859241901 170 10000 CALL DEFINED 2 170 STIFEL FINL CORP CALL 860630902 789 14800 CALL DEFINED 2 789 SUN LIFE FINL SVCS CDA INC COM 866796105 228 7300 SH DEFINED 2 228 SUNOCO INC CALL 86764P909 275 10000 CALL DEFINED 2 275 SYSCO CORP CALL 871829907 244 10000 CALL DEFINED 2 244 TARGET CORP COM 87612E106 602 12900 SH DEFINED 2 602 TECH DATA CORP PUT 878237956 1020 25000 PUT DEFINED 2 1020 TELECOM ITALIA SPA-SPON ADR SPON ADR SVGS 87927Y201 484 39456 SH DEFINED 1 484 TELEFLEX INC CALL 879369906 613 13000 CALL DEFINED 2 613 TELEFONOS DE MEXICO-SP ADR A SHS 879403707 374 21432 SH DEFINED 1 374 TELMEX INTERNACIONAL-ADR ADR SR A 879690204 330 23323 SH DEFINED 1 330 TEMPLE INLAND INC PUT 879868957 250 15800 PUT DEFINED 2 250 TESORO CORP CALL 881609901 171 12000 CALL DEFINED 2 171 TETRA TECH INC PUT 88162G953 593 22800 PUT DEFINED 2 593 THERMO ELECTRON CORP CALL 883556902 217 5000 CALL DEFINED 2 217 THOUSAND TRAILS INC CALL 89417E909 487 10000 CALL DEFINED 2 487 TORCHMARK CORP CALL 891027904 376 9200 CALL DEFINED 2 376 TRACTOR SUPPLY CO CALL 892356906 425 9000 CALL DEFINED 2 425 TRANSCANADA PIPELINES LTD CALL 89353D907 273 9000 CALL DEFINED 2 273 TRANSDIGM GROUP INC CALL 893641900 627 12900 CALL DEFINED 2 627 UAL CORP COM 902549807 161 17500 SH DEFINED 2 161 UMB FINL CORP COM 902788108 444 11000 SH DEFINED 2 444 UNILEVER N V SHS 904784709 1544 53528 SH DEFINED 1 1544 UNION PAC CORP COM 907818108 2151 36880 SH DEFINED 2 2151 UNITED PARCEL SERVICE INC CL B 911312106 1053 18650 SH DEFINED 2 1053 UNIVERSAL HEALTH SERVICES CL B 913903100 594 9600 SH DEFINED 2 594 V F CORP COM 918204108 1303 18000 SH DEFINED 2 1303 Van Kampen Dynamic Credit Oppo COM 921166104 698 62187 SH DEFINED 1 698 VANGUARD EMERG MARKETS VIPER ETF 922042858 448 11619 SH DEFINED 1 448 VENTAS INC CALL 92276F900 280 7500 CALL DEFINED 2 280 VISA INC-CLASS A SHARES CL A 92826C839 255 3693 SH DEFINED 2 255 VistaPrint NV CALL N93540907 1930 39300 CALL DEFINED 2 1930 VistaPrint NV PUT N93540957 1036 21100 PUT DEFINED 2 1036 VOLCANO CORP PUT 928645950 672 42000 PUT DEFINED 2 672 VULCAN MATERIALS CO COM 929160109 697 12900 SH DEFINED 2 697 WALGREEN CO CALL 931422909 381 10000 CALL DEFINED 2 381 WASHINGTON FED INC PUT 938824959 192 11600 PUT DEFINED 2 192 WASTE CONNECTIONS INC COM 941053100 623 21600 SH DEFINED 2 623 WATSCO INC CALL 942622900 785 15000 CALL DEFINED 2 785 WATSCO INC CALL 942622901 785 15000 CALL DEFINED 2 785 WATSON WYATT & CO HLDGS CL A 942712100 265 6100 SH DEFINED 2 265 WEATHERFORD INTERNATIONAL LTD CALL H27013903 296 15000 CALL DEFINED 2 296 Western Asset High Income Oppo COM 95766K109 209 35991 SH DEFINED 1 209 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 600 25766 SH DEFINED 2 600 WisdomTree India Earnings Fund INDIA ERNGS FD 97717W422 339 16154 SH DEFINED 1 339 WYETH COM 983024100 11056 227600 SH DEFINED 2 11056 ZEBRA TECHNOLOGIES CORP CALL 989207905 353 13900 CALL DEFINED 2 353
-----END PRIVACY-ENHANCED MESSAGE-----