-----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, VNcvV7jNgLhVW/9SrqT94HB2UDi0y2iF21miJn6RPciGl0gIfZxlrZ/uuL4KUxNr 6LbFvWgPuxcDJtlyHz/L7Q== 0001317346-10-000010.txt : 20101112 0001317346-10-000010.hdr.sgml : 20101111 20101112143534 ACCESSION NUMBER: 0001317346-10-000010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101185601 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 form13f30.txt 13F-HR OTA FINANCIAL GROUP LP 3RD 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: September 30, 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 November 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: 283 Form 13F Information Table Value Total: 233,846 (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 _FORD WARRANT *W EXP 01/01/201 345370134 1058 246700 SH DEFINED 1 246700 _LIBERTY MEDIA-STARZ SERIES A NEW LIB STAR COM A 53071M708 675 10410 SH DEFINED 2 10410 Aaron"s Inc CL A 002535300 331 18012 SH DEFINED 1 18012 ACME PACKET INC PUT 004764956 461 12300 PUT DEFINED 2 12300 ACME PACKET INC COM 004764106 1100 29000 SH DEFINED 2 29000 Adams Express Co COM 006212104 377 37859 SH DEFINED 1 37859 ADVENT CLAYMORE CONV SEC COM 00764C109 230 13033 SH DEFINED 1 13033 AFFILIATED MANAGERS GROUP PUT 008252958 398 5000 PUT DEFINED 2 5000 AFFIRMATIVE INS HLDGS INC COM 008272106 270 75000 SH DEFINED 1 75000 AGNICO EAGLE MINES LTD COM 008474108 870 12252 SH DEFINED 2 12252 AIR METHODS CORP CALL 009128907 527 12700 CALL DEFINED 2 12700 ALTISOURCE PORTFOLIO SOLNS S REG SHS L0175J104 495 15900 SH DEFINED 2 15900 AMERICA MOVIL S A DE C V SHS 02364W204 835 15804 SH DEFINED 1 15804 AMERICA MOVIL SA DE CV CALL 02364W905 1355 25000 CALL DEFINED 2 25000 AMERICAN TOWER CORP CALL 029912901 1042 20200 CALL DEFINED 2 20200 AMETEK AEROSPACE PRODUCTS-NE COM 031100100 515 10800 SH DEFINED 2 10800 ANGLOGOLD ASHANTI LTD CALL 035128906 1647 35000 CALL DEFINED 2 35000 ANIXTER INTL INC CALL 035290905 493 9100 CALL DEFINED 2 9100 ANNTAYLOR STORES CORP PUT 036115953 211 10000 PUT DEFINED 2 10000 ANSYS INC CALL 03662Q905 417 10000 CALL DEFINED 2 10000 AON Corp CALL 037389903 1296 33000 CALL DEFINED 2 33000 APACHE CORP COM 037411105 2161 22112 SH DEFINED 1 2 22112 ARCHER DANIELS UNIT 99/99/9999 039483201 422 10216 SH DEFINED 1 10216 ASSURANT INC CALL 04621X908 1015 25000 CALL DEFINED 2 25000 AUTOLIV INC PUT 052800959 327 5000 PUT DEFINED 2 5000 BALL CORP CALL 058498906 356 6000 CALL DEFINED 2 6000 BALLY TECHNOLOGIES INC COM 05874B107 580 16600 SH DEFINED 2 16600 BALLY TECHNOLOGIES INC CALL 05874B907 701 20200 CALL DEFINED 2 20200 Banco Santander Brasil SA/Braz CALL 05967A907 281 20000 CALL DEFINED 2 20000 BANCO SANTANDER CHILE NEW CALL 05965X909 485 5000 CALL DEFINED 2 5000 BANK HAWAII CORP CALL 062540909 276 6200 CALL DEFINED 2 6200 BANK OF AMERICA CORP CNV PFD L 060505682 2775 2821 SH DEFINED 1 2821 BANK OF AMERICA CORP WT EXP 011619 *W EXP 01/16/201 060505146 66 10266 SH DEFINED 1 10266 BARCLAYS BANK PLC SP ADR 7.1%PF3 06739H776 267 10762 SH DEFINED 1 10762 BEAZER HOMES USA INC NT SUB7.5%2013 07556Q402 1091 48200 SH DEFINED 1 48200 BECTON DICKINSON & CO COM 075887109 229 3100 SH DEFINED 2 3100 BHP BILLITON LTD ADR ADR 088606108 243 3192 SH DEFINED 1 3192 BLACKROCK CORPORATE HY FD 5 COM 09255N102 781 66950 SH DEFINED 1 66950 BLACKROCK CORPORATE HY FD VI COM 09255P107 813 70459 SH DEFINED 1 70459 BLUE COAT SYSTEMS INC CALL 09534T908 344 14400 CALL DEFINED 2 14400 BOEING CO PUT 097023955 668 10000 PUT DEFINED 2 10000 BOISE INC *W EXP 06/18/201 09746Y113 91 216923 SH DEFINED 1 216923 BRIGGS & STRATTON CORP PUT 109043959 188 10000 PUT DEFINED 2 10000 BROADCOM CORP CALL 111320907 354 10200 CALL DEFINED 2 10200 BUCYRUS INTL INC NEW CALL 118759909 873 12500 CALL DEFINED 2 12500 BUFFALO WILD WINGS INC CALL 119848909 486 10000 CALL DEFINED 2 10000 BUNGE LIMITED CALL G16962905 718 12500 CALL DEFINED 2 12500 C H ROBINSON WORLDWIDE INC COM 12541W209 363 5200 SH DEFINED 2 5200 CALAMOS ASSET MGMT INC CALL 12811R904 132 11600 CALL DEFINED 2 11600 CALAMOS STRATEGIC TOTAL RTN COM SH BEN INT 128125101 94 10660 SH DEFINED 1 10660 CALIPER LIFE SCIENCES INC *W EXP 08/10/201 130872112 2 25000 SH DEFINED 1 25000 CARNIVAL CORP CALL 143658900 383 10000 CALL DEFINED 2 10000 Carnival PLC ADR 14365C103 321 8128 SH DEFINED 1 8128 CF INDS HLDGS INC CALL 125269900 7013 74100 CALL DEFINED 2 74100 CHELSEA THERAPEUTICS INTL LTD COM 163428105 114 22422 SH DEFINED 2 22422 CHEVRON CORP PUT 166764950 327 4000 PUT DEFINED 2 4000 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 576 9700 SH DEFINED 2 9700 CHUBB CORP PUT 171232951 281 5000 PUT DEFINED 2 5000 CHUBB CORP COM 171232101 370 6500 SH DEFINED 2 6500 CHURCH & DWIGHT INC COM 171340102 285 4400 SH DEFINED 2 4400 CITIGROUP INC COM 172967101 1645 421830 SH DEFINED 1 2 421830 CITRIX SYS INC COM 177376100 307 4500 SH DEFINED 2 4500 Clearwater Paper Corp COM 18538R103 251 3300 SH DEFINED 2 3300 COCA COLA CO COM 191216100 474 8100 SH DEFINED 2 8100 COLGATE PALMOLIVE PUT 194162953 382 5000 PUT DEFINED 2 5000 COMERICA INC CALL 200340907 743 20000 CALL DEFINED 2 20000 CONAGRA FOODS INC CALL 205887902 307 13900 CALL DEFINED 2 13900 CONCHO RESOURCES INC CALL 20605P901 4947 73300 CALL DEFINED 2 73300 CONCUR TECHNOLOGIES INC CALL 206708909 231 4600 CALL DEFINED 2 4600 CONTANGO OIL & GAS COMPANY COM 21075N204 250 5000 SH DEFINED 2 5000 CONTINENTAL AIRLS CL B CL B 210795308 303 12238 SH DEFINED 1 12238 CON-WAY INC CALL 205944901 330 10700 CALL DEFINED 2 10700 COPART INC PUT 217204956 242 7400 PUT DEFINED 2 7400 COSTAR GROUP INC PUT 22160N959 246 5000 PUT DEFINED 2 5000 COSTCO WHOLESALE CORP PUT 22160K955 325 5000 PUT DEFINED 2 5000 COSTCO WHOLESALE CORP COM 22160K105 225 3500 SH DEFINED 2 3500 COVANTA HLDG CORP PUT 22282E952 158 10000 PUT DEFINED 2 10000 CREDIT SUISSE GROUP-SPON ADR CALL 225401908 648 15000 CALL DEFINED 2 15000 CSX CORP CALL 126408903 1103 20000 CALL DEFINED 2 20000 CUMMINS INC COM 231021106 1373 15165 SH DEFINED 2 15165 CurrencyShares Euro Trust SHS 23130C108 1569 11557 SH DEFINED 1 11557 CVS CORP PUT 126650950 635 20000 PUT DEFINED 2 20000 D R HORTON INC CALL 23331A909 158 14300 CALL DEFINED 2 14300 DARDEN RESTAURANTS INC PUT 237194955 214 5000 PUT DEFINED 2 5000 DARDEN RESTAURANTS INC CALL 237194905 322 7500 CALL DEFINED 2 7500 DEERE & CO COM 244199105 1242 17800 SH DEFINED 2 17800 DEVON ENERGY CORP NEW COM 25179M103 258 4000 SH DEFINED 2 4000 DIGITAL GENERATION SYS INC COM 23326R109 348 16000 SH DEFINED 2 16000 DONALDSON INC CALL 257651909 524 11100 CALL DEFINED 2 11100 Dr Pepper Snapple Group, Inc CALL 26138E909 224 6400 CALL DEFINED 2 6400 DU PONT E I DE NEMOURS PUT 263534959 897 20000 PUT DEFINED 2 20000 DU PONT E I DE NEMOURS COM 263534109 593 13300 SH DEFINED 2 13300 EASTMAN CHEM CO COM 277432100 207 2800 SH DEFINED 2 2800 EATON CORP PUT 278058952 1237 15000 PUT DEFINED 2 15000 EATON CORP COM 278058102 791 9600 SH DEFINED 2 9600 EDWARDS LIFESCIENCES CORP COM 28176E108 4264 63598 SH DEFINED 2 63598 Enbridge Energy Management LLC L SHS UNITS LLI 29250X103 509 9231 SH DEFINED 1 9231 ENERGY SELECT SECTOR SPDR SPDR TR SBI INT 81369Y506 308 5498 SH DEFINED 1 5498 ENSTAR GROUP INC GA SHS G3075P101 580 8000 SH DEFINED 1 8000 ENTERCOM COMMUNICATIONS CORP CALL 293639900 80 10000 CALL DEFINED 2 10000 ENTERPRISE PRODS PARTNERS L P CALL 293792907 400 10000 CALL DEFINED 2 10000 EOG RES INC COM 26875P101 585 6300 SH DEFINED 2 6300 ESSEX PPTY TR INC CALL 297178905 883 8100 CALL DEFINED 2 8100 EXXON MOBIL CORP CALL 30231G902 1563 25000 CALL DEFINED 2 25000 F M C CORP CALL 302491903 678 10000 CALL DEFINED 2 10000 F5 NETWORKS INC COM 315616102 1165 11223 SH DEFINED 2 11223 FAMILY DLR STORES INC CALL 307000909 664 15000 CALL DEFINED 2 15000 FIRST ACCEPTANCE CORP COM 318457108 19 11799 SH DEFINED 1 11799 FIRST MIDWEST BANCORP DEL COM 320867104 232 20200 SH DEFINED 2 20200 FIRSTENERGY CORP COM 337932107 1082 28085 SH DEFINED 1 2 28085 FMC TECHNOLOGIES INC COM 30249U101 307 4500 SH DEFINED 2 4500 FORTUNE BRANDS INC PUT 349631951 495 10000 PUT DEFINED 2 10000 FOSSIL INC COM 349882100 435 8100 SH DEFINED 2 8100 GENERAL MILLS COM 370334104 288 7900 SH DEFINED 2 7900 GENTIVA HEALTH SERVICES INC COM 37247A102 257 11800 SH DEFINED 2 11800 GENUINE PARTS CO CALL 372460905 534 12000 CALL DEFINED 2 12000 GLOBAL LOGISTICS ACQUISITION COM 18145M109 2 10300 SH DEFINED 1 10300 GLOBAL PAYMENTS INC COM 37940X102 248 5800 SH DEFINED 2 5800 GOLDCORP INC CALL 380956909 3060 70000 CALL DEFINED 2 70000 GRAINGER W W INC COM 384802104 535 4500 SH DEFINED 2 4500 HARMAN INTERNATIONAL PUT 413086959 662 20000 PUT DEFINED 2 20000 HESS CORP COM 42809H107 443 7500 SH DEFINED 2 7500 HEWITT ASSOCIATES INC COM 42822Q100 252 5000 SH DEFINED 2 5000 HEWLETT PACKARD CO COM 428236103 1493 35500 SH DEFINED 2 35500 HILLTOP HOLDINGS INC COM 432748101 315 32900 SH DEFINED 1 32900 HOME DEPOT INC CALL 437076902 636 20000 CALL DEFINED 2 20000 HSBC HLDGS PLC CALL 404280906 777 15000 CALL DEFINED 2 15000 HUMANA INC CALL 444859902 721 14400 CALL DEFINED 2 14400 INDEPENDENCE HLDG CO NEW COM 453440307 561 80015 SH DEFINED 1 80015 INDIA FUND INC COM 454089103 259 7136 SH DEFINED 1 7136 Ingersoll-Rand Plc PUT G47791951 359 10000 PUT DEFINED 2 10000 Ingersoll-Rand Plc CALL G47791901 1949 54300 CALL DEFINED 2 54300 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 77 29916 SH DEFINED 1 29916 IRON MOUNTAIN INC NEW PUT 462846956 334 15000 PUT DEFINED 2 15000 iShares MSCI ACWI Index Fund MSCI ACWI INDX 464288257 688 15925 SH DEFINED 1 15925 iShares MSCI Australia Index F MSCI AUSTRALIA 464286103 1292 54436 SH DEFINED 1 54436 iShares MSCI EAFE Index Fund MSCI EAFE IDX 464287465 4429 80655 SH DEFINED 1 80655 iShares MSCI Emerging Markets MSCI EMERG MKT 464287234 3916 87491 SH DEFINED 1 87491 iShares MSCI France Index Fund MSCI FRANCE 464286707 342 14271 SH DEFINED 1 14271 iShares MSCI Germany Index Fun MSCI GERMAN 464286806 250 11377 SH DEFINED 1 11377 iShares MSCI Hong Kong Index F MSCI HONG KONG 464286871 1309 72211 SH DEFINED 1 72211 ISHARES MSCI SINGAPORE FREE MSCI SINGAPORE 464286673 431 32642 SH DEFINED 1 32642 ISHARES MSCI SWITZERLAND IND MSCI SWITZERLD 464286749 263 11537 SH DEFINED 1 11537 iShares MSCI Thailand Index Fu MSCI THAILAND 464286624 765 12335 SH DEFINED 1 12335 ISHARES MSCI UNITED KINGDOM MSCI UTD KINGD 464286699 692 42332 SH DEFINED 1 42332 iShares S&P Global 100 Index F GLB100INDX 464287572 1771 30344 SH DEFINED 1 30344 ISHARES S&P LATIN AMERICA 40 LTN AM 40 464287390 5349 105848 SH DEFINED 1 105848 iShares Silver Trust TRUST ISHARES 46428Q109 726 34100 SH DEFINED 1 34100 ITRON INC COM 465741106 508 8300 SH DEFINED 2 8300 ITT Educational Services Inc COM 45068B109 646 9200 SH DEFINED 2 9200 JARDEN CORP PUT 471109958 236 7500 PUT DEFINED 2 7500 JARDEN CORP CALL 471109908 315 10000 CALL DEFINED 2 10000 JONES LANG LASALLE INC COM 48020Q107 776 9000 SH DEFINED 2 9000 KELLOGG CO PUT 487836958 509 10000 PUT DEFINED 2 10000 KIMBERLY CLARK CALL 494368903 871 13400 CALL DEFINED 2 13400 Kinder Morgan Management LLC SHS 49455U100 404 6711 SH DEFINED 1 6711 KINGSWAY FINL SVCS INC COM 496904103 113 70000 SH DEFINED 1 70000 KODIAK OIL & GAS CORP CALL 50015Q900 43 12000 CALL DEFINED 2 12000 KOHLS CORP COM 500255104 310 5900 SH DEFINED 2 5900 Kraton Performance Polymers In COM 50077C106 420 15500 SH DEFINED 2 15500 K-SWISS INC CL A 482686102 189 14900 SH DEFINED 2 14900 LABORATORY CORP AMER HLDGS COM 50540R409 878 11200 SH DEFINED 2 11200 LAS VEGAS SANDS CORP COM 517834107 278 8000 SH DEFINED 2 8000 LEGG MASON INC COM 524901105 270 8939 SH DEFINED 1 8939 Liberty Global Inc COM SER C 530555309 992 32488 SH DEFINED 1 32488 LIBERTY MEDIA CORP-CAP SER A NEW CAP COM SER A 53071M302 999 19200 SH DEFINED 2 19200 LOCKHEED MARTIN CORP COM 539830109 349 4900 SH DEFINED 2 4900 LONGTOP FINANCIAL TECHNO-ADR CALL 54318P908 392 10000 CALL DEFINED 2 10000 Market Vectors - Gold Miners E ETF 57060U100 428 7662 SH DEFINED 1 7662 MARTIN MARIETTA MATERIALS IN COM 573284106 477 6200 SH DEFINED 2 6200 MARVELL TECHNOLOGY GROUP LTD CALL G5876H905 175 10000 CALL DEFINED 2 10000 Merck & Co Inc/NJ COM 58933Y105 209 5700 SH DEFINED 2 5700 MICROS SYS INC CALL 594901900 594 13900 CALL DEFINED 2 13900 MICROSTRATEGY INC CL A 594972408 259 3000 SH DEFINED 2 3000 MIDDLEBY CORP COM 596278101 247 3900 SH DEFINED 2 3900 MIPS TECHNOLOGIES INC CALL 604567907 129 13000 CALL DEFINED 2 13000 MIRANT CORP NEW PUT 60467R950 199 20000 PUT DEFINED 2 20000 Mitsubishi UFJ Financial Group ADR 606822104 155 33655 SH DEFINED 1 33655 MOLYCORP INC COM 608753109 1145 40488 SH DEFINED 2 40488 MONSANTO CO NEW COM 61166W101 701 14630 SH DEFINED 2 14630 MYLAN INC PFD CONV 628530206 29201 26119 SH DEFINED 1 2 26119 MYLAN LABORATORS INC PUT 628530957 1527 80800 PUT DEFINED 2 80800 NATIONAL FUEL GAS CO N J COM 636180101 331 6400 SH DEFINED 2 6400 NETLOGIC MICROSYSTEMS PUT 64118B950 276 10000 PUT DEFINED 2 10000 NETLOGIC MICROSYSTEMS CALL 64118B900 276 10000 CALL DEFINED 2 10000 NEWMONT MINING CORP CALL 651639906 636 10000 CALL DEFINED 2 10000 News Corp CL A 65248E104 1377 105502 SH DEFINED 1 105502 NII HLDGS INC CALL 62913F901 423 10000 CALL DEFINED 2 10000 NIKE INC CL B 654106103 424 5300 SH DEFINED 2 5300 NOBLE ENERGY INC CALL 655044905 1136 15000 CALL DEFINED 2 15000 NORFOLK SOUTHERN CORP PUT 655844958 295 5000 PUT DEFINED 2 5000 NORTHERN TR CORP CALL 665859904 487 10000 CALL DEFINED 2 10000 NUCOR CORP CALL 670346905 1166 30000 CALL DEFINED 2 30000 Nuveen Equity Premium Advantag COM 6706ET107 197 14963 SH DEFINED 1 14963 NUVEEN QUAL INC MUNI COM 670977107 347 23115 SH DEFINED 1 23115 OCCIDENTAL PETE CORP CAL CALL 674599905 807 10000 CALL DEFINED 2 10000 OMNICOM GROUP INC PUT 681919956 396 10000 PUT DEFINED 2 10000 OWENS CORNING *W EXP 10/30/201 690742127 131 82060 SH DEFINED 1 82060 P P G INDUSTRIES INC CALL 693506907 730 10000 CALL DEFINED 2 10000 PARKER HANNIFIN CORP CALL 701094904 781 11100 CALL DEFINED 2 11100 PARTNERRE LTD CALL G6852T905 1415 17600 CALL DEFINED 2 17600 PATTERSON COS INC PUT 703395953 429 15000 PUT DEFINED 2 15000 PETROHAWK ENERGY CORP COM 716495106 376 23350 SH DEFINED 2 23350 PETROLEO BRASILEIRO S.A.-ADR ADR 71654V408 6655 183509 SH DEFINED 1 183509 PETSMART INC PUT 716768956 415 12000 PUT DEFINED 2 12000 PRAXAIR INC PUT 74005P954 1541 17200 PUT DEFINED 2 17200 PRAXAIR INC COM 74005P104 216 2400 SH DEFINED 2 2400 PRICE T ROWE GROUP INC PUT 74144T958 251 5000 PUT DEFINED 2 5000 PRUDENTIAL PLC-ADR CALL 74435K904 205 10000 CALL DEFINED 2 10000 QWEST COMM INTL INC COM COM 749121109 2033 324314 SH DEFINED 1 324314 RADIOSHACK CORP CALL 750438903 323 15000 CALL DEFINED 2 15000 RADWARE LTD ORD M81873107 247 7200 SH DEFINED 2 7200 RAYMOND JAMES FINANCIAL INC CALL 754730909 259 10000 CALL DEFINED 2 10000 RAYONIER INC CALL 754907903 504 10000 CALL DEFINED 2 10000 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 228 131324 SH DEFINED 1 131324 ROCKWELL COLLINS INC CALL 774341901 585 10000 CALL DEFINED 2 10000 ROCKWOOD HLDGS INC COM 774415103 427 13600 SH DEFINED 2 13600 Rovi Corp COM 779376102 882 17500 SH DEFINED 2 17500 ROYAL DUTCH SHELL PLC SHELL SPONS ADR A 780259206 1833 30408 SH DEFINED 1 30408 SBA COMMUNICATIONS CORP PUT 78388J956 624 15500 PUT DEFINED 2 15500 SCHEIN (HENRY) INC COM CALL 806407902 614 10600 CALL DEFINED 2 10600 Scotts Miracle-Gro Co/The CALL 810186906 259 5000 CALL DEFINED 2 5000 SHANDA GAMES LTD-SPONS ADR SP ADR REPTG A 81941U105 67 12580 SH DEFINED 1 2 12580 SHERWIN WILLIAMS CO COM 824348106 338 4500 SH DEFINED 2 4500 SHUTTERFLY INC CALL 82568P904 1284 51200 CALL DEFINED 2 51200 SIGMA ALDRICH CORP CALL 826552901 607 10000 CALL DEFINED 2 10000 SILICON LABORATORIES INC PUT 826919952 905 24900 PUT DEFINED 2 24900 SILICON LABORATORIES INC CALL 826919902 654 18000 CALL DEFINED 2 18000 SINA COM ORD G81477104 207 4100 SH DEFINED 2 4100 SMITHFIELD FOODS INC COM 832248108 410 24400 SH DEFINED 2 24400 SOTHEBYS HLDGS INC CALL 835898907 1098 30000 CALL DEFINED 2 30000 SOUTHWESTERN ENERGY CO COM 845467109 494 14800 SH DEFINED 2 14800 SPDR Barclays Capital High Yie ETF 78464A417 1367 34191 SH DEFINED 1 34191 SPDR Barclays Capital TIPS ETF TRUST BARC CAP TIPS 78464A656 382 7082 SH DEFINED 1 7082 SPDR S&P BRIC 40 ETF SHS FDS BRIC 40ETF 78463X798 2088 80815 SH DEFINED 1 80815 SPDR S&P Emerging Asia Pacific ETF 78463X301 1148 13844 SH DEFINED 1 13844 SPDR S&P EMERGING EUROPE ETF ETF 78463X608 473 10422 SH DEFINED 1 10422 SPDR S&P Emerging Latin Americ ETF 78463X707 248 2944 SH DEFINED 1 2944 SPDR S&P International Small Cap SHS FDS INTL SMLCP 78463X871 447 16008 SH DEFINED 1 16008 SPROTT PHYSICAL GOLD TRUST GOLD TRUST UNIT 85207H104 3814 332857 SH DEFINED 1 332857 SUNOCO INC COM 86764P109 233 6400 SH DEFINED 2 6400 SunPower Corp CL B 867652307 223 16137 SH DEFINED 1 2 16137 SUNTRUST BKS INC COM 867914103 242 9400 SH DEFINED 2 9400 TALBOTS INC *W EXP 04/09/201 874161110 490 175000 SH DEFINED 1 175000 TARGET CORP CALL 87612E906 534 10000 CALL DEFINED 2 10000 TECK COMINCO LTD PUT 878742954 297 7000 PUT DEFINED 2 7000 TECK COMINCO LTD CALL 878742904 849 20000 CALL DEFINED 2 20000 TELEFLEX INC CALL 879369906 428 7500 CALL DEFINED 2 7500 Telephone & Data Systems Inc COM 879433100 328 10000 SH DEFINED 2 10000 THERMO ELECTRON CORP COM 883556102 287 6000 SH DEFINED 2 6000 THOUSAND TRAILS INC PUT 89417E959 1037 19900 PUT DEFINED 2 19900 TIBCO SOFTWARE INC CALL 88632Q903 359 20000 CALL DEFINED 2 20000 TIFFANY & CO NEW PUT 886547958 469 10000 PUT DEFINED 2 10000 TIME WARNER TELECOM INC CALL 87311L904 223 12100 CALL DEFINED 2 12100 TIVO INC CALL 888706908 90 10000 CALL DEFINED 2 10000 TORCHMARK CORP CALL 891027904 271 5100 CALL DEFINED 2 5100 TRACTOR SUPPLY CO PUT 892356956 682 17400 PUT DEFINED 2 17400 TRACTOR SUPPLY CO CALL 892356906 1246 31800 CALL DEFINED 2 31800 TRW AUTOMOTIVE PUT 87264S956 368 9000 PUT DEFINED 2 9000 ULTRATECH INC COM 904034105 193 11300 SH DEFINED 2 11300 UNILEVER PLC NEW ADR ADR 904767704 1190 40922 SH DEFINED 1 40922 UNION PAC CORP CALL 907818908 1215 15000 CALL DEFINED 2 15000 UNITED TECHNOLOGIES CORP COM 913017109 227 3200 SH DEFINED 2 3200 URBAN OUTFITTERS INC PUT 917047952 314 10000 PUT DEFINED 2 10000 Vale SA ADR 91912E105 1980 63324 SH DEFINED 1 63324 VALERO ENERGY CORP NEW CALL 91913Y900 176 10000 CALL DEFINED 2 10000 VANGUARD EMERG MARKETS VIPER ETF 922042858 647 14256 SH DEFINED 1 14256 Vanguard Europe Pacific ETF ETF 921943858 979 28362 SH DEFINED 1 28362 Vanguard Pacific ETF ETF 922042866 626 11630 SH DEFINED 1 11630 VERIZON COMMUNICATIONS PUT 92343V954 657 20000 PUT DEFINED 2 20000 VERIZON COMMUNICATIONS CALL 92343V904 822 25000 CALL DEFINED 2 25000 VISA INC-CLASS A SHARES CL A 92826C839 237 3200 SH DEFINED 2 3200 VMWARE INC-CLASS A COM 928563402 1945 22900 SH DEFINED 2 22900 WARNACO GROUP INC COM 934390402 214 4200 SH DEFINED 2 4200 WATSCO INC PUT 942622951 281 5000 PUT DEFINED 2 5000 WATSCO INC PUT 942622950 281 5000 PUT DEFINED 2 5000 WAUSAU-MOSINEE PAPER CORP COM 943315101 102 12400 SH DEFINED 2 12400 WHITING PETROLEUM CORP NEW PERP PFD CONV 966387201 2042 8840 SH DEFINED 1 8840 WHOLE FOODS MKT INC CALL 966837906 945 25500 CALL DEFINED 2 25500 WisdomTree India Earnings Fund INDIA ERNGS FD 97717W422 1548 58713 SH DEFINED 1 58713 WMS INDS INC CALL 929297909 382 10000 CALL DEFINED 2 10000 WYNDHAM INTL INC CALL 98310W908 846 31000 CALL DEFINED 2 31000 XL Group Plc CALL G98290902 431 20000 CALL DEFINED 2 20000
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