-----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, BU6G+TFjSNlfjhi6uYAolbFZHubMtJHp5EJNVRm3485mUXEx5Rh+p/QjIDeRDIDG /vs0ts5jTbuMfAwqFN7JKw== 0001317346-10-000005.txt : 20100512 0001317346-10-000005.hdr.sgml : 20100512 20100512153352 ACCESSION NUMBER: 0001317346-10-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100512 DATE AS OF CHANGE: 20100512 EFFECTIVENESS DATE: 20100512 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: 10824301 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 form13f10.txt 13F-HR OTA FINANCIAL GROUP LP 1ST QUARTER 2010 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: 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 May 12, 2010 - ---------------------------- ----------------------------- ------------------- [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: 291 Form 13F Information Table Value Total: 223,867 (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 Accenture PLC CALL G1151C901 836 20000 CALL DEFINED 2 836 Accenture PLC PUT G1151C951 209 5000 PUT DEFINED 2 209 ACE GLOBAL CALL H0023R905 528 10000 CALL DEFINED 2 528 Adams Express Co COM 006212104 170 16121 SH DEFINED 1 170 ADTRAN INC CALL 00738A906 265 10000 CALL DEFINED 2 265 ADVANCED ENERGY INDS PUT 007973950 162 10000 PUT DEFINED 2 162 AFFIRMATIVE INS HLDGS INC COM 008272106 333 71000 SH DEFINED 1 333 AFLAC INC COM 001055102 200 3700 SH DEFINED 2 200 AIR METHODS CORP CALL 009128907 434 12700 CALL DEFINED 2 434 Airgas Inc COM 009363102 496 7800 SH DEFINED 2 496 ALLEGHENY ENERGY INC COM 017361106 504 21919 SH DEFINED 1 504 ALLEGHENY ENERGY INC PUT 017361956 230 10000 PUT DEFINED 2 230 ALLIED CAP CORP NEW COM 01903Q108 127 25559 SH DEFINED 1 127 AMDOCS LIMITED ORD G02602103 243 8100 SH DEFINED 2 243 AMER EXPRESS COMPANY CALL 025816909 417 10000 CALL DEFINED 2 417 AMER SCIENCE & ENGIN CALL 029429907 752 10000 CALL DEFINED 2 752 AMERICA MOVIL S A DE C V SHS 02364W204 1053 20990 SH DEFINED 1 1053 AMERICAN SUPERCONDUCTOR CORP PUT 030111958 298 10200 PUT DEFINED 2 298 AMERIGROUP CORP COM 03073T102 581 17500 SH DEFINED 2 581 AMERISAFE INC CALL 03071H900 163 10000 CALL DEFINED 2 163 AMERON INTL INC COM 030710107 685 10900 SH DEFINED 2 685 ANNALY MORTGAGE MGMT INC COM 035710409 173 10100 SH DEFINED 2 173 ANSYS INC CALL 03662Q905 228 5300 CALL DEFINED 2 228 Apollo Commercial Real Estate CALL 03762U905 537 30000 CALL DEFINED 2 537 ARCH CAP GROUP LTD CALL G0450A905 294 3900 CALL DEFINED 2 294 ARCHER DANIELS MIDLAND CO COM 039483102 6498 224848 SH DEFINED 1 6498 ARENA RESOURCES INC CALL 040049908 907 26500 CALL DEFINED 2 907 ARM HOLDINGS PLC-SPONS ADR CALL 042068906 217 20000 CALL DEFINED 2 217 ARROW ELECTRONICS PUT 042735950 299 10000 PUT DEFINED 2 299 ARVINMERITOR INC COM 043353101 156 11700 SH DEFINED 2 156 ASIA 4 SALE COM INC COM 032359309 139 10000 SH DEFINED 2 139 ATLAS AIR WORLDWIDE HLDGS INC COM 049164205 514 9700 SH DEFINED 2 514 ATWOOD OCEANICS INC COM 050095108 277 8000 SH DEFINED 2 277 AUTOLIV INC COM 052800109 458 8900 SH DEFINED 2 458 BALL CORP CALL 058498906 542 10000 CALL DEFINED 2 542 BALLY TECHNOLOGIES INC CALL 05874B907 1292 31600 CALL DEFINED 2 1292 BANK OF AMERICA CORP COM 060505104 664 37238 SH DEFINED 1 664 BARD C R INC COM 067383109 424 4900 SH DEFINED 2 424 BECKMAN COULTER INC PUT 075811959 1122 17800 PUT DEFINED 2 1122 BECTON DICKINSON & CO CALL 075887909 615 7800 CALL DEFINED 2 615 BEMIS INC CALL 081437905 237 8000 CALL DEFINED 2 237 BEST BUY CO INC COM 086516101 221 5200 SH DEFINED 2 221 BEST BUY CO INC PUT 086516951 532 12500 PUT DEFINED 2 532 BHP BILLITON LTD ADR ADR 088606108 2649 32989 SH DEFINED 1 2649 BJ SERVICES CO COM 055482103 820 38357 SH DEFINED 1 820 BLOUNT INTL INC NEW CALL 095180905 265 25000 CALL DEFINED 2 265 Brink's Home Security Holdings, Inc COM 109699108 352 8279 SH DEFINED 1 2 352 BRISTOL MYERS SQUIBB CO COM 110122108 520 19500 SH DEFINED 2 520 BROADCOM CORP CALL 111320907 331 10000 CALL DEFINED 2 331 BUCYRUS INTL INC NEW PUT 118759959 432 6400 PUT DEFINED 2 432 CACI International Inc PUT 127190954 366 7500 PUT DEFINED 2 366 CALIPER LIFE SCIENCES INC *W EXP 08/10/201 130872112 5 25000 SH DEFINED 1 5 CARNIVAL CORP CALL 143658900 784 20000 CALL DEFINED 2 784 Carnival PLC ADR 14365C103 552 13506 SH DEFINED 1 552 Central Garden and Pet Co COM 153527106 243 24711 SH DEFINED 1 243 CF INDS HLDGS INC PUT 125269950 1617 17500 PUT DEFINED 2 1617 CHARLES SCHWAB CORP-NEW CALL 808513905 186 10000 CALL DEFINED 2 186 CHARLES SCHWAB CORP-NEW PUT 808513955 558 30000 PUT DEFINED 2 558 CHEVRON CORP PUT 166764950 306 4000 PUT DEFINED 2 306 CHUBB CORP COM 171232101 990 19100 SH DEFINED 2 990 CHURCH & DWIGHT INC CALL 171340902 2011 29700 CALL DEFINED 2 2011 CITIGROUP INC COM 172967101 2286 564466 SH DEFINED 1 2 2286 CLAYMORE/ALPHASH CHINA ALL-C FD ALPH SHS CHINA 18385P101 1315 52025 SH DEFINED 1 1315 Clean Harbors Inc CALL 184496907 799 14200 CALL DEFINED 2 799 Clean Harbors Inc COM 184496107 266 4800 SH DEFINED 2 266 CLEARWIRE CORP NEW RGHT 06/21/10 18538Q139 170 921629 SH DEFINED 1 170 COHEN & STEERS INFRASTRUCTUR COM 19248A109 561 37686 SH DEFINED 1 561 COLGATE PALMOLIVE PUT 194162953 429 5000 PUT DEFINED 2 429 COLUMBIA SPORTSWEAR CO COM 198516106 210 4000 SH DEFINED 2 210 COMCAST CORP NEW CL A 20030N101 411 21873 SH DEFINED 2 411 COMCAST CORP NEW PUT 20030N951 377 20000 PUT DEFINED 2 377 COMCAST CORP NEW PUT 20030N950 377 20000 PUT DEFINED 2 377 COMMUNITY HEALTH SYS INC NEWCO CALL 203668908 387 10100 CALL DEFINED 2 387 COMMUNITY HEALTH SYS INC NEWCO PUT 203668958 387 10100 PUT DEFINED 2 387 CONAGRA FOODS INC CALL 205887902 350 13900 CALL DEFINED 2 350 CONCUR TECHNOLOGIES INC CALL 206708909 1275 30300 CALL DEFINED 2 1275 CONTANGO OIL & GAS COMPANY COM 21075N204 296 5800 SH DEFINED 2 296 CON-WAY INC CALL 205944901 426 12200 CALL DEFINED 2 426 COPART INC PUT 217204956 356 10000 PUT DEFINED 2 356 COSTCO WHOLESALE CORP PUT 22160K955 300 5000 PUT DEFINED 2 300 Covidien Plc CALL G2554F905 1262 25000 CALL DEFINED 2 1262 CRANE CO PUT 224399955 288 8000 PUT DEFINED 2 288 CREDIT SUISSE GROUP-SPON ADR CALL 225401908 257 5000 CALL DEFINED 2 257 CTC MEDIA INC PUT 12642X956 207 12000 PUT DEFINED 2 207 CVS CORP COM 126650100 402 11000 SH DEFINED 2 402 D R HORTON INC CALL 23331A909 178 14300 CALL DEFINED 2 178 DEERE & CO COM 244199105 808 13600 SH DEFINED 2 808 DEVRY INC CALL 251893903 323 5000 CALL DEFINED 2 323 Discovery Communications Inc NEW COM SER C 25470F302 234 7988 SH DEFINED 1 234 DOLBY LABORATORIES INC COM 25659T107 457 7800 SH DEFINED 2 457 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 260 8100 SH DEFINED 2 260 Domtar Corp COM 257559203 315 4900 SH DEFINED 2 315 Dr Pepper Snapple Group, Inc CALL 26138E909 454 12800 CALL DEFINED 2 454 DRESSER RAND GROUP INC CALL 261608903 802 25000 CALL DEFINED 2 802 DSW INC CL A 23334L102 303 11900 SH DEFINED 1 303 DU PONT E I DE NEMOURS COM 263534109 644 17300 SH DEFINED 2 644 DUN & BRADSTREET CORP DEL NEW CALL 26483E900 1041 14000 CALL DEFINED 2 1041 DUN & BRADSTREET CORP DEL NEW PUT 26483E950 386 5200 PUT DEFINED 2 386 EAGLE MATERIALS INC CALL 26969P908 457 17000 CALL DEFINED 2 457 EASTMAN KODAK COM 277461109 87 15100 SH DEFINED 2 87 Eaton Vance Floating-Rate Inco COM 278279104 283 17997 SH DEFINED 1 283 ECOLAB INC COM 278865100 764 17400 SH DEFINED 2 764 EDWARDS LIFESCIENCES CORP COM 28176E108 998 10100 SH DEFINED 2 998 Eletrobras SA PUT 15234Q957 196 12900 PUT DEFINED 2 196 Eletrobras SA PUT 15234Q958 196 12900 PUT DEFINED 2 196 EMERSON ELEC CO CALL 291011904 1016 20000 CALL DEFINED 2 1016 ENBRIDGE ENERGY PARTNERS COM 29250R106 954 18867 SH DEFINED 1 954 ENSTAR GROUP INC GA SHS G3075P101 414 6000 SH DEFINED 1 414 ENTERGY CORP NEW CALL 29364G903 831 10100 CALL DEFINED 2 831 EOG RES INC COM 26875P101 511 5500 SH DEFINED 2 511 EVERGREEN INC ADV FUND SHS 30023Y105 621 64981 SH DEFINED 1 621 Exeter Resource Corporation COM 301835104 287 46915 SH DEFINED 2 287 FEDERATED INVESTORS INC CALL 314211903 397 15000 CALL DEFINED 2 397 FIRST ACCEPTANCE CORP COM 318457108 120 59268 SH DEFINED 1 120 FLOWSERVE CORP COM 34354P105 1223 11100 SH DEFINED 2 1223 FOMENTO ECONOMICO MEXICANO CALL 344419906 622 12900 CALL DEFINED 2 622 Ford Motor Co COM PAR $0.01 345370860 2610 207700 SH DEFINED 1 2610 Foster Wheeler AG PUT H27178954 286 10000 PUT DEFINED 2 286 FREEPORT-MCMORAN C & G PFD CONV 35671D782 3524 30389 SH DEFINED 1 3524 GENTIVA HEALTH SERVICES INC CALL 37247A902 289 10200 CALL DEFINED 2 289 GETTY RLTY CORP NEW CALL 374297909 233 10000 CALL DEFINED 2 233 GIVEN IMAGING SHS M52020100 422 17900 SH DEFINED 2 422 GLOBAL LOGISTICS ACQUISITION COM 18145M109 5 10300 SH DEFINED 1 5 GOLDCORP INC CALL 380956909 774 20000 CALL DEFINED 2 774 GOLDMAN SACHS GROUP INC COM 38141G104 1023 6000 SH DEFINED 2 1023 GREENHILL & CO INC CALL 395259904 327 4000 CALL DEFINED 2 327 GREIF BROS CORP CALL 397624907 3014 53900 CALL DEFINED 2 3014 HEALTH MGMT SYS INC COM 40425J101 331 6500 SH DEFINED 2 331 HECKMANN CORP *W EXP 11/09/201 422680116 198 258173 SH DEFINED 1 198 HERSHEY COMPANY PUT 427866958 2708 62900 PUT DEFINED 2 2708 HEWLETT PACKARD CO COM 428236103 271 5100 SH DEFINED 2 271 HOME DEPOT INC CALL 437076902 647 20000 CALL DEFINED 2 647 HUMANA INC CALL 444859902 469 10000 CALL DEFINED 2 469 IBERIABANK CORP PUT 450828958 1737 29000 PUT DEFINED 2 1737 II VI INC COM 902104108 429 12700 SH DEFINED 2 429 IMAX CORP CALL 45245E909 181 10000 CALL DEFINED 2 181 INDEPENDENCE HLDG CO NEW COM 453440307 400 42162 SH DEFINED 1 400 INFOSYS TECHNOLOGIES PUT 456788958 601 10000 PUT DEFINED 2 601 Ingersoll-Rand Plc PUT G47791951 355 10000 PUT DEFINED 2 355 INTEGRATED ELECTRICAL SVC COM 45811E301 118 21000 SH DEFINED 1 118 iShares iBoxx $ High Yield Cor HIGH YLD CORP 464288513 4580 51834 SH DEFINED 1 4580 iShares MSCI EAFE Small Cap In MSCI SMALL CAP 464288273 468 12537 SH DEFINED 1 468 iShares MSCI Emerging Markets MSCI EMERG MKT 464287234 1166 27701 SH DEFINED 1 1166 ISHARES MSCI JAPAN INDEX FUN MSCI JAPAN 464286848 2496 239099 SH DEFINED 1 2496 iShares MSCI Pacific ex-Japan MSCI PAC J IDX 464286665 1661 38656 SH DEFINED 1 1661 ISHARES MSCI SINGAPORE FREE MSCI SINGAPORE 464286673 145 12685 SH DEFINED 1 145 ISHARES S&P EUROPE 350 S&P EURO PLUS 464287861 7295 190284 SH DEFINED 1 7295 ISHARES S&P LATIN AMERICA 40 S&P LTN AM 40 464287390 2063 42758 SH DEFINED 1 2063 J P MORGAN CHASE & CO COM 46625H100 272 6100 SH DEFINED 1 272 JARDEN CORP CALL 471109908 503 15000 CALL DEFINED 2 503 JARDEN CORP PUT 471109958 348 10400 PUT DEFINED 2 348 JOY GLOBAL INC COM 481165108 509 9006 SH DEFINED 2 509 KELLOGG CO PUT 487836958 536 10000 PUT DEFINED 2 536 KEY ENERGY SVCS INC CALL 492914906 99 10000 CALL DEFINED 2 99 KEY ENERGY SVCS INC PUT 492914956 99 10000 PUT DEFINED 2 99 Kinder Morgan Management LLC SHS 49455U100 902 15399 SH DEFINED 1 902 KINGSWAY FINL SVCS INC COM 496904103 82 51300 SH DEFINED 1 82 KINROSS GOLD CORP CALL 496902904 350 20000 CALL DEFINED 2 350 KIRBY CORP CALL 497266906 236 6200 CALL DEFINED 2 236 KOREA EQUITY FUND COM 50063B104 108 11509 SH DEFINED 1 108 KOREA FUND INC COM 500634209 404 11024 SH DEFINED 1 404 KORN FERRY INTL CALL 500643900 178 10000 CALL DEFINED 2 178 LABORATORY CORP AMER HLDGS COM 50540R409 1393 18400 SH DEFINED 2 1393 LABRANCHE & CO INC COM 505447102 89 17000 SH DEFINED 2 89 LANDSTAR SYS INC CALL 515098901 383 9200 CALL DEFINED 2 383 LENNOX INTERNATIONAL INC CALL 526107907 684 15300 CALL DEFINED 2 684 LIBERTY ALL STAR EQUITY FUND FD SH BEN INT 530158104 369 77874 SH DEFINED 1 369 Loews Corporation COM 540424108 2963 79502 SH DEFINED 1 2963 LOWE'S COMPANIES INC COM 548661107 254 10500 SH DEFINED 2 254 LOWE'S COMPANIES INC PUT 548661957 368 15000 PUT DEFINED 2 368 LULULEMON ATHLETICA INC CALL 550021909 208 5000 CALL DEFINED 2 208 MAGNA INTL INC CALL 559222901 265 4200 CALL DEFINED 2 265 MARATHON OIL CORP COM 565849106 1271 40200 SH DEFINED 2 1271 Market Vectors - Gold Miners E ETF 57060U100 276 6233 SH DEFINED 1 276 MARKET VECTORS-BRAZIL SM-CAP ETF 57060U613 652 14282 SH DEFINED 1 652 MASTERCARD INC CL A 57636Q104 1287 5067 SH DEFINED 2 1287 MCMORAN EXPLORATION CO COM 582411104 250 17100 SH DEFINED 2 250 MECHEL STEEL GROUP OAO ADR 583840103 798 28100 SH DEFINED 2 798 Mednax Inc COM 58502B106 1129 19414 SH DEFINED 2 1129 MERCK & CO INC NEW PFD CONV 6% 58933Y204 2546 10125 SH DEFINED 1 2546 METTLER TOLEDO INTERNATIONAL COM 592688105 775 7100 SH DEFINED 2 775 MICROSTRATEGY INC CL A 594972408 663 7800 SH DEFINED 2 663 MIDDLEBY CORP PUT 596278951 769 13200 PUT DEFINED 2 769 MILLICOM INTL CELLULAR S A SHS L6388F110 686 7700 SH DEFINED 2 686 MINE SAFETY APPL CO NPV PUT 602720954 280 10000 PUT DEFINED 2 280 MIRANT CORP NEW PUT 60467R950 214 20000 PUT DEFINED 2 214 MITTAL STEEL CO N V REGISTRY SH 03938L104 228 5200 SH DEFINED 2 228 MOODYS CORP CALL 615369905 352 12000 CALL DEFINED 2 352 MORNINGSTAR INC CALL 617700909 477 10000 CALL DEFINED 2 477 MOSAIC CO CALL 61945A907 874 15000 CALL DEFINED 2 874 MYLAN INC PFD CONV 628530206 12767 9388 SH DEFINED 1 12767 NCR CORP NEW CALL 62886E908 309 22000 CALL DEFINED 2 309 NETLOGIC MICROSYSTEMS CALL 64118B900 294 10000 CALL DEFINED 2 294 NIKE INC CALL 654106903 1480 20000 CALL DEFINED 2 1480 NORDSON CORP CALL 655663902 344 5000 CALL DEFINED 2 344 NORTHERN TR CORP CALL 665859904 566 10000 CALL DEFINED 2 566 NUCOR CORP COM 670346105 412 9100 SH DEFINED 2 412 NUVASIVE INC CALL 670704905 265 6000 CALL DEFINED 2 265 NUVEEN EQTY PREM INCM FD COM 6706ER101 140 10648 SH DEFINED 1 140 NUVEEN FLOATING RATE INC FD COM 67072T108 290 24285 SH DEFINED 1 290 NUVEEN PERF PLS MUNI COM 67062P108 780 54877 SH DEFINED 1 780 NUVEEN PREM INC MUNI 2 COM 67063W102 248 18077 SH DEFINED 1 248 OMNICOM GROUP INC PUT 681919956 388 10000 PUT DEFINED 2 388 OPEN JOINT STOCK COMPANY CALL 68370R909 1215 64400 CALL DEFINED 2 1215 OSHKOSH TRUCK CORP COM 688239201 427 10600 SH DEFINED 2 427 OWENS & MINOR INC NEW COM 690732102 208 4500 SH DEFINED 2 208 OWENS CORNING *W EXP 10/30/201 690742127 86 52000 SH DEFINED 1 86 PALL CORP CALL 696429907 201 5000 CALL DEFINED 2 201 PANERA BREAD CO PUT 69840W958 381 5000 PUT DEFINED 2 381 PARTNERRE LTD PUT G6852T955 558 7000 PUT DEFINED 2 558 PATTERSON COS INC CALL 703395903 615 20000 CALL DEFINED 2 615 PEETS COFFEE & TEA INC CALL 705560900 451 12000 CALL DEFINED 2 451 PETROHAWK ENERGY CORP COM 716495106 272 13450 SH DEFINED 2 272 PETROLEO BRAS SA ADR SP ADR NON VTG 71654V101 1875 47363 SH DEFINED 1 1875 PIMCO FLOATING RATE INC FUND COM 72201H108 305 26892 SH DEFINED 1 305 PINNACLE WEST CAP CORP CALL 723484901 655 17200 CALL DEFINED 2 655 PLEXUS CORP CALL 729132900 369 10000 CALL DEFINED 2 369 POLO RALPH LAUREN CORP CALL 731572903 398 4600 CALL DEFINED 2 398 POWER INTEGRATIONS INC COM 739276103 1005 24400 SH DEFINED 2 1005 Powershares Golden Dragon Halt GOLDEN DRG USX 73935X401 233 9420 SH DEFINED 1 233 PROTECTIVE LIFE CORP COM 743674103 299 13600 SH DEFINED 2 299 PSYCHIATRIC SOLUTIONS IN CALL 74439H908 462 15100 CALL DEFINED 2 462 PUBLIC SERVICE ENTERPRISES G CALL 744573906 602 20000 CALL DEFINED 2 602 PUBLIC STORAGE INC CALL 74460D909 462 5000 CALL DEFINED 2 462 QUALCOMM INC COM 747525103 251 6000 SH DEFINED 2 251 RANGE RES CORP CALL 75281A909 1521 32000 CALL DEFINED 2 1521 RAYTHEON CO WT EXP 061611 *W EXP 06/16/201 755111119 12444 628979 SH DEFINED 2 12444 RED ROBIN GOURMET BURGERS INC PUT 75689M951 245 10000 PUT DEFINED 2 245 ROCKWELL COLLINS INC CALL 774341901 490 7800 CALL DEFINED 2 490 ROSS STORES INC CALL 778296903 539 10100 CALL DEFINED 2 539 ROWAN COMPANIES INC CALL 779382900 897 30000 CALL DEFINED 2 897 ROYAL BK OF SCOTLAND GRP PLC SP ADR PREF M 780097796 659 51943 SH DEFINED 1 659 ROYAL BK SCOTLND GRP PLC ADR PREF SHS Q 780097754 283 21237 SH DEFINED 1 283 ROYAL DUTCH SHELL PLC-ADR SPON ADR B 780259107 3737 67551 SH DEFINED 1 3737 RPC INC CALL 749660906 172 15000 CALL DEFINED 2 172 S & P DEPOSITARY RCPTS (SPDR UNIT SER 1 S&P 78462F103 275 2355 SH DEFINED 1 275 SANDERSON FARMS INC CALL 800013904 539 10000 CALL DEFINED 2 539 SBA COMMUNICATIONS CORP CALL 78388J906 366 10000 CALL DEFINED 2 366 SBA COMMUNICATIONS CORP PUT 78388J956 567 15500 PUT DEFINED 2 567 SCHWEITZER-MAUDUIT INTL INC COM 808541106 218 4600 SH DEFINED 2 218 Sealy COM 812139301 59 17038 SH DEFINED 1 59 SIGMA ALDRICH CORP CALL 826552901 584 10700 CALL DEFINED 2 584 SINA COM CALL G81477904 385 10000 CALL DEFINED 2 385 SMITH INTL INC COM 832110100 1596 37284 SH DEFINED 1 1596 SMITHFIELD FOODS INC PUT 832248958 207 10000 PUT DEFINED 2 207 SPDR Barclays Capital TIPS ETF BARCL CAP TIPS 78464A656 1954 38180 SH DEFINED 1 1954 SPDR S&P BRIC 40 ETF FDS S&P BRIC 40ETF 78463X798 345 13623 SH DEFINED 1 345 SPDR S&P Emerging Asia Pacific ETF 78463X301 5394 71702 SH DEFINED 1 5394 STEEL DYNAMICS INC CALL 858119900 354 20000 CALL DEFINED 2 354 STRATEGIC HOTEL CAP INC PUT 83421A954 591 15000 PUT DEFINED 2 591 STRYKER CORP COM 863667101 360 6300 SH DEFINED 2 360 SUNOCO INC COM 86764P109 210 7100 SH DEFINED 2 210 SunPower Corp CL B 867652307 1054 63015 SH DEFINED 2 1054 SUNTRUST BKS INC PUT 867914953 271 10000 PUT DEFINED 2 271 SUPERVALU INC COM 868536103 181 10880 SH DEFINED 2 181 TARGET CORP PUT 87612E956 1062 20000 PUT DEFINED 2 1062 TECK COMINCO LTD CALL 878742904 224 5000 CALL DEFINED 2 224 TELEFONOS DE MEXICO-SP ADR A SHS 879403707 186 11882 SH DEFINED 1 186 TELMEX INTERNACIONAL-ADR SPON ADR SR A 879690204 324 17071 SH DEFINED 1 324 Thai Fund Inc/The COM 882904105 123 12648 SH DEFINED 1 123 THOUSAND TRAILS INC CALL 89417E909 1628 30200 CALL DEFINED 2 1628 TOLL BROS INC COM CALL 889478903 528 25800 CALL DEFINED 2 528 TORO CO CALL 891092908 518 10500 CALL DEFINED 2 518 TRANSDIGM GROUP INC CALL 893641900 939 17800 CALL DEFINED 2 939 TRW AUTOMOTIVE PUT 87264S956 570 19000 PUT DEFINED 2 570 TUPPERWARE CORP COM 899896104 969 20098 SH DEFINED 2 969 TUPPERWARE CORP PUT 899896954 316 6500 PUT DEFINED 2 316 Tyco International Ltd CALL H89128904 581 15000 CALL DEFINED 2 581 UNITED TECHNOLOGIES CORP PUT 913017959 370 5000 PUT DEFINED 2 370 UNIVERSAL TECHNICAL INST COM 913915104 408 17900 SH DEFINED 2 408 URBAN OUTFITTERS INC PUT 917047952 378 10000 PUT DEFINED 2 378 V F CORP COM 918204108 851 10624 SH DEFINED 2 851 VALASSIS COMMUNICATIONS INC CALL 918866904 1146 40500 CALL DEFINED 2 1146 VALE SA-SP PREF ADR REPSTG PFD 91912E204 3967 142928 SH DEFINED 1 3967 VALERO ENERGY CORP NEW CALL 91913Y900 200 10000 CALL DEFINED 2 200 VAN KAMPEN DYNAMIC CREDIT OP COM 921166104 944 74865 SH DEFINED 1 944 Vanguard Europe Pacific ETF ETF 921943858 617 17850 SH DEFINED 1 617 Vanguard European ETF ETF 922042874 393 8172 SH DEFINED 1 393 Vanguard Pacific ETF ETF 922042866 982 17994 SH DEFINED 1 982 VARIAN SEMICONDUCTOR EQUIPMNT COM 922207105 605 18278 SH DEFINED 2 605 VISA INC-CLASS A SHARES CALL 92826C909 694 7500 CALL DEFINED 2 694 Vitamin Shoppe Inc CALL 92849E901 364 15800 CALL DEFINED 2 364 WAL MART STORES INC PUT 931142953 260 4700 PUT DEFINED 2 260 WASTE CONNECTIONS INC COM 941053100 1630 48000 SH DEFINED 2 1630 Western Asset High Income Fund COM 95766J102 131 13313 SH DEFINED 1 131 WESTLAKE CHEM CORP CALL 960413902 238 9000 CALL DEFINED 2 238 WHITING PETE CORP NEW CALL 966387902 420 5000 CALL DEFINED 2 420 WINTRUST FINANCIAL CORP CALL 97650W908 372 10000 CALL DEFINED 2 372 WYNDHAM INTL INC CALL 98310W908 252 9700 CALL DEFINED 2 252 XL CAP LTD CALL G98255905 658 34400 CALL DEFINED 2 658 XTO ENERGY INC COM 98385X106 359 7616 SH DEFINED 1 359
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