0001019056-11-000541.txt : 20110513
0001019056-11-000541.hdr.sgml : 20110513
20110513100342
ACCESSION NUMBER: 0001019056-11-000541
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110331
FILED AS OF DATE: 20110513
DATE AS OF CHANGE: 20110513
EFFECTIVENESS DATE: 20110513
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Geduld E E
CENTRAL INDEX KEY: 0001352107
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11643
FILM NUMBER: 11838282
MAIL ADDRESS:
STREET 1: C/O COUGAR TRADING LLC
STREET 2: 375 PARK AVENUE SUITE 2301
CITY: NEW YORK
STATE: NY
ZIP: 10152
FORMER COMPANY:
FORMER CONFORMED NAME: Geduld Emanuel E
DATE OF NAME CHANGE: 20060202
13F-HR
1
geduld_033111.txt
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER
Report for the Calendar Year or Quarter Ended: March 31, 2011
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: E E Geduld
---------------------------------------
Address: c/o Cougar Trading, LLC
---------------------------------------
1370 Avenue of the Americas, 30th Floor
---------------------------------------
New York, NY 10019
---------------------------------------
Form 13F File Number: 28-11643
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: E E Geduld
---------------------------------------
Title:
---------------------------------------
Phone: 212-319-3500
---------------------------------------
Signature, Place and Date of Signing:
/s/ Emanuel E. Geduld New York, NY May 13, 2011
--------------------------- -------------------- --------------------
Report Type (Check only one):
[X] 13F HOLDINGS REPORT
[ ] 13F NOTICE
[ ] 13F COMBINATION REPORT
FORM 13F SUMMARY PAGE
03/31/2011
Report Summary
Number of Other Included Managers 0
-----------
Form 13F Information Table Entry Total 485
-----------
Form 13F Information Table Value Total $173,065
-----------
(thousands)
List of Other Included Managers
None
2
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
21ST CENTY TECHNOLOGIES
INC COM STK COM 90130C305 0.00 13,334.00 SH SOLE 13,334 0 0
57TH Street General
Acquisition Corp Com COM 316816107 249.00 25,000.00 SH SOLE 25,000 0 0
99 CENTS ONLY STORES
COM STK COM 65440K106 196.00 10,000.00 SH SOLE 10,000 0 0
ABBOTT LABORATORIES COM 002824100 245.00 5,000.00 SH SOLE 5,000 0 0
ACCURAY INC COM 004397105 180.00 20,000.00 SH SOLE 20,000 0 0
ACTUATE CORP COM STK COM 00508B102 130.00 25,000.00 SH SOLE 25,000 0 0
ACUSPHERE INC COM STK COM 00511R870 5.00 55,000.00 SH SOLE 55,000 0 0
ADECOAGRO SA COM L00849106 135.00 10,000.00 SH SOLE 10,000 0 0
ADELPHIA RECOVERY
SERVICES COM 00685R409 1.00 249,615.00 SH SOLE 249,615 0 0
ADELQ 10.25 15JUN2011 BOND
10.25%
6/15/2011 006ESCBJ5 4.00 250,000.00 PRIN SOLE 250,000 0 0
ADVANCED ANALOGIC
TECHNOLOGIES COM COM 00752J108 416.00 110,000.00 SH SOLE 110,000 0 0
ADVANCED VIRAL RESH
CORP COM STK COM 007928104 0.00 250,000.00 SH SOLE 250,000 0 0
AEON CO LTD COM 482131109 174.00 15,000.00 SH SOLE 15,000 0 0
AFC ENTERPRISES INC
COM STK COM 00104Q107 151.00 10,000.00 SH SOLE 10,000 0 0
AGRICULTURAL BANK OF
CHINA COM B60LZR6 57.00 100,000.00 SH SOLE 100,000 0 0
AIA (HOK LISTING) COM B4TX8S1 308.00 100,000.00 SH SOLE 100,000 0 0
AIRASIA BHD COM B03J9L7 245.00 275,000.00 SH SOLE 275,000 0 0
AKORN INC COM STK COM 009728106 289.00 50,000.00 SH SOLE 50,000 0 0
ALCATEL-LUCENT ADS SPONS ADR 013904305 988.00 170,000.00 SH SOLE 170,000 0 0
ALEXCO RESOURCE CORP COM 01535P106 221.00 25,000.00 SH SOLE 25,000 0 0
ALLIANCE GLOBAL
(PHI LISTING) COM 6147105 27.00 100,000.00 SH SOLE 100,000 0 0
ALLOS THERAPEUTICS INC
COM STK COM 019777101 79.00 25,000.00 SH SOLE 25,000 0 0
ALTER NRG CORP COM COM 02145W101 109.00 75,000.00 SH SOLE 75,000 0 0
AMAZON COM INC COM STK COM 023135106 901.00 5,000.00 SH SOLE 5,000 0 0
AMAZON.COM INC COM 023135106 1,801.00 10,000.00 SH PUT SOLE 10,000 0 0
AMEDIA NETWORKS INC COM 023434103 0.00 250,000.00 SH SOLE 250,000 0 0
AMERICAN APPAREL
INCCORP COM STK COM 023850100 53.00 55,000.00 SH SOLE 55,000 0 0
AMERICAN EAGLE
OUTFITTERS INC COM STK COM 02553E106 159.00 10,000.00 SH SOLE 10,000 0 0
AMERICAN HEALTHCHOISINC COM 025929209 0.00 175,000.00 SH SOLE 175,000 0 0
AMERICANA DISTBN COM 030556104 0.00 600,000.00 SH SOLE 600,000 0 0
AMR CORP COM 001765106 195.00 25,000.00 SH SOLE 25,000 0 0
ANDERSON ENERGY COM 033839101 81.00 65,000.00 SH SOLE 65,000 0 0
ANSWERS CORP COM COM 03662X100 520.00 50,000.00 SH SOLE 50,000 0 0
ANTRIM ENERGY COM 037243102 55.00 50,000.00 SH SOLE 50,000 0 0
AOC HOLDINGS COM 6581361 67.00 10,000.00 SH SOLE 10,000 0 0
APPLIED NEUROSOLUTIONS
INC COM STK COM 03823Y203 1.00 98,668.00 SH SOLE 98,668 0 0
ARCHER DANIELS CV
6 1/4% PFD UNIT
99/99/9999 039483201 226.00 5,000.00 PRIN SOLE 5,000 0 0
ASSURED GUARANTY LTD
(BERMUDA) COM STK COM G0585R106 149.00 10,000.00 SH SOLE 10,000 0 0
ATHENAHEALTH INC COM STK COM 04685W103 226.00 5,000.00 SH SOLE 5,000 0 0
ATLAS ACQUISITION WRNT W EXP
01/23/2012 049162118 0.00 25,000.00 SH SOLE 25,000 0 0
ATLAS ESTATES LD
(UKM LISTING) COM B0WDBP8 0.00 52,961.00 SH SOLE 52,961 0 0
ATLAS PIPELINE
PARTNERS L P COM STK COM 049392103 690.00 20,000.00 SH SOLE 20,000 0 0
ATMEL CORP COM STK COM 049513104 682.00 50,000.00 SH SOLE 50,000 0 0
AUSTRALIAN STOCK
EXCHANGE SHS COM 6129222 446.00 12,500.00 SH SOLE 12,500 0 0
AUTHENTEC INC COM 052660107 464.00 145,000.00 SH SOLE 145,000 0 0
AUTOBYTEL INC COM STK COM 05275N106 42.00 30,000.00 SH SOLE 30,000 0 0
AVATAR HLDGS INC 7.5%
CONV NOTE
7.500%
2/15/2016 053494AG5 159.00 150,000.00 PRIN SOLE 150,000 0 0
AVATAR HOLDINGS INC
COM STK COM 053494100 792.00 40,000.00 SH SOLE 40,000 0 0
AVESIS INCORPORATED COM 053650107 49.00 140,000.00 SH SOLE 140,000 0 0
AVI BIOPHARMA INC WRNT
EXP 8/25/2014 W EXP
08/25/2014 002346146 0.00 32,400.00 SH SOLE 32,400 0 0
3
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VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
AXCELIS TECHNOLOGIES
INC COM STK COM 054540109 530.00 200,000.00 SH SOLE 200,000 0 0
AZURE DYNAMICS CORP
CL A COM 05500N103 61.00 200,000.00 SH SOLE 200,000 0 0
BANCORP INC DEL COM STK COM 05969A105 106.00 11,500.00 SH SOLE 11,500 0 0
BANK OF AMERICA CORP
COM STK COM 060505104 34,255.00 2,569,791.00 SH SOLE 2,569,791 0 0
BANK OF AMERICA CORP
WARRANT W EXP
10/28/2018 060505153 441.00 175,000.00 SH SOLE 175,000 0 0
BANK OF AMERICA CORPWT
EXP 1/16/19 W EXP
1/16/2019 060505146 767.00 100,000.00 SH SOLE 100,000 0 0
BANKERS PETE LTD COM COM 066286303 90.00 10,000.00 SH SOLE 10,000 0 0
BANKUNITED INC COM 06652K103 287.00 10,000.00 SH SOLE 10,000 0 0
BARZEL INDS INC WRNT W EXP
03/07/2011 069744118 55.00 118,173.00 SH SOLE 118,173 0 0
BBV VIETNAM S.E.A.
ACQUISITION W EXP
02/08/2012 Y0764A122 0.00 34,500.00 SH SOLE 34,500 0 0
BEAZER HOMES USA INC
COM STK COM 07556Q105 229.00 50,000.00 SH SOLE 50,000 0 0
BEBE STORES INC COM 075571109 146.00 25,000.00 SH CALL SOLE 25,000 0 0
BENIHANA INC CL A
COM STK CLASS A 082047200 85.00 10,000.00 SH SOLE 10,000 0 0
BERKSHIRE HILLS BANCORP
INC COM STK COM 084680107 521.00 25,000.00 SH SOLE 25,000 0 0
BIG LOTS INC COM STK COM 089302103 543.00 12,500.00 SH SOLE 12,500 0 0
BIOPURE CORP WTCL A
EXP 12/31/2011 W EXP
12/31/2011 09065H188 0.00 135,000.00 SH SOLE 135,000 0 0
BK BRI COM 6709099 66.00 100,000.00 SH SOLE 100,000 0 0
BLACKSTONE GROUP COM 09253U108 179.00 10,000.00 SH CALL SOLE 10,000 0 0
BLACKSTONE GROUP LP COM 09253U108 983.00 55,000.00 SH SOLE 55,000 0 0
BLOCK H & R INC COM STK COM 093671105 419.00 25,000.00 SH SOLE 25,000 0 0
BLUEFLY INC COM STK COM 096227301 89.00 30,000.00 SH SOLE 30,000 0 0
BM&F BOVESPA SA COM B2RHNV9 908.00 125,000.00 SH SOLE 125,000 0 0
BOISE INC WRNT
06/18/2011 W EXP
06/18/2011 09746Y113 255.00 150,000.00 SH SOLE 150,000 0 0
BOLSA A (MEX LISTING) COM B39VVF6 74.00 35,000.00 SH SOLE 35,000 0 0
BOMBARDIER CL-B CLASS B 097751200 184.00 25,000.00 SH SOLE 25,000 0 0
BOSTON SCIENTIFIC CORP
COM STK COM 101137107 539.00 75,000.00 SH SOLE 75,000 0 0
BPZ RESOURCES INC COM 055639108 133.00 25,000.00 SH SOLE 25,000 0 0
BRASIL BROKERS
PARTICIPACOES COM B28XFX2 286.00 55,000.00 SH SOLE 55,000 0 0
BROADPOINT GLEACHER
SECS GROUP COM STK COM 377341102 70.00 40,000.00 SH SOLE 40,000 0 0
BROCADE COMMUNICATIONS
SYSTEM INC COM COM 111621306 707.00 115,000.00 SH SOLE 115,000 0 0
BUNGE LTD COM G16962105 723.00 10,000.00 SH CALL SOLE 10,000 0 0
BURSA MALAYSIA BHD COM B06FV38 96.00 35,000.00 SH SOLE 35,000 0 0
BWIN.PARTY DIGITAL
ENTERTAINMENT PLC COM B53TNH6 80.00 25,000.00 SH SOLE 25,000 0 0
BYD COMPANY LIMITED COM 6536651 77.00 20,000.00 SH SOLE 20,000 0 0
CALIPER LIFE SCIENCES
WRNT W EXP
08/10/2011 130872112 12.00 24,847.00 SH SOLE 24,847 0 0
CAMPBELL SOUP USD COM COM 134429109 331.00 10,000.00 SH SOLE 10,000 0 0
CAMPUS CREST CMNTYS INC
COM STK COM 13466Y105 296.00 25,000.00 SH SOLE 25,000 0 0
CANACCORD CAP INC COM COM 134801109 578.00 40,000.00 SH SOLE 40,000 0 0
CANO PETE INC COM STK COM 137801106 5.00 10,000.00 SH SOLE 10,000 0 0
CAPE BANCORP INC COM COM 139209100 99.00 10,000.00 SH SOLE 10,000 0 0
CAPITAL TRUST INC CL A
REIT CLASS A 14052H506 283.00 123,500.00 SH SOLE 123,500 0 0
CAPITOL FEDERAL
FINANCIAL INC COM STK COM 14057J101 564.00 50,000.00 SH SOLE 50,000 0 0
CAPSTONE TURBINE CORP
COM STK COM 14067D102 615.00 340,000.00 SH SOLE 340,000 0 0
CARGO CONNECTION
LOGISTICS HL COM STK COM 141794107 0.00 200,000.00 SH SOLE 200,000 0 0
CARIBOU COFFEE INC
COM STK COM 142042209 259.00 25,500.00 SH SOLE 25,500 0 0
CASCADE BANCORP COM STK
RSTD COM 1471549R1 825.00 125,000.00 SH SOLE 125,000 0 0
CELERA CORP COM STK COM 15100E106 203.00 25,000.00 SH SOLE 25,000 0 0
4
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
CELLDEX THERAPEUTICS
INC COM STK COM 15117B103 60.00 15,000.00 SH SOLE 15,000 0 0
CENTERLINE HLDG CO COM
STK COM 15188T108 30.00 205,000.00 SH SOLE 205,000 0 0
CENTRAL WIRELESS INC
COM STK COM 15607P109 0.00 660,000.00 SH SOLE 660,000 0 0
CEYLON TOBACCO LKR ORDS COM 6186904 81.00 25,000.00 SH SOLE 25,000 0 0
CGA MINING LTD COM STK COM Q22628103 141.00 45,000.00 SH SOLE 45,000 0 0
CHARMING SHOPPES INC
COM STK COM 161133103 43.00 10,000.00 SH SOLE 10,000 0 0
CHESAPEAKE LODGING
TRUST SH BEN INT 165240102 348.00 20,000.00 SH SOLE 20,000 0 0
CHESAPEAKE MIDSTREAM
PARTNER UNIT
99/99/9999 16524K108 721.00 25,000.00 SH SOLE 25,000 0 0
CHEVRON CORP COM 166764100 537.00 5,000.00 SH SOLE 5,000 0 0
CHINA CONSTRUCTION BANK
CORPORATION COM B0LMTQ3 75.00 80,250.00 SH SOLE 80,250 0 0
CHINA DISCOVERY
ACQUISITION CORP W EXP
06/17/2011 G2112B117 0.00 85,000.00 SH SOLE 85,000 0 0
CHINA HEALTHCARE
AQUISITION WRNT W EXP
4/18/2012 16939Q112 0.00 29,300.00 SH SOLE 29,300 0 0
CHINA HYDROELECTRIC
WARRANT EXP W EXP
11/10/2011 G2112E145 4.00 14,000.00 SH SOLE 14,000 0 0
CHINA MOBILE MEDIA
TECHNOLOGY COM COM 16950C109 2.00 74,000.00 SH SOLE 74,000 0 0
CIENA CORP COM STK COM 171779309 778.00 30,000.00 SH SOLE 30,000 0 0
CITIGROUP INC COM 172967101 442.00 100,000.00 SH CALL SOLE 100,000 0 0
CITIGROUP INC COM STK COM 172967101 3,160.00 715,000.00 SH SOLE 715,000 0 0
CITIGROUP WARRANT A W EXP
01/4/2019 172967226 23.00 25,000.00 SH SOLE 25,000 0 0
CITIGROUP WARRANT B W EXP
10/28/2018 172967234 10.00 50,000.00 SH SOLE 50,000 0 0
CKX INC COM STK COM 12562M106 106.00 25,000.00 SH SOLE 25,000 0 0
CLEARFIELD INC COM STK COM 18482P103 127.00 25,000.00 SH SOLE 25,000 0 0
CLINICAL DATA INC NEW COM 18725U109 758.00 25,000.00 SH SOLE 25,000 0 0
CNC DEVELOPMENT LTD
WRNT EXP 9/04/2011 W EXP
09/04/2011 458396124 0.00 12,500.00 SH SOLE 12,500 0 0
CNH GLOBAL N.V. COM COM N20935206 243.00 5,000.00 SH SOLE 5,000 0 0
CNO FINANCIAL GROUP INC
COM STK COM 12621E103 188.00 25,000.00 SH SOLE 25,000 0 0
COCA COLA CO COM 191216100 1,327.00 20,000.00 SH CALL SOLE 20,000 0 0
COCA COLA CO COM 191216100 332.00 5,000.00 SH SOLE 5,000 0 0
COCA-COLA WEST COMPANY
LIMITED COM 6163286 191.00 10,000.00 SH SOLE 10,000 0 0
COLONY FINANCIAL INC COM 19624R106 188.00 10,000.00 SH SOLE 10,000 0 0
COLUMBIA LABORATORIES
INC COM STK COM 197779101 57.00 15,000.00 SH SOLE 15,000 0 0
COMMERCIAL BANK OF
CEYLON LIMITED COM 6161321 133.00 55,353.00 SH SOLE 55,353 0 0
COMPOSITE TECHNOLOGY
CORP COM STK COM 20461S108 28.00 145,000.00 SH SOLE 145,000 0 0
CONTINUCARE CORP COM STK COM 212172100 161.00 30,000.00 SH SOLE 30,000 0 0
CONVERTED ORGANICS
INC - CW12 02/12/12 W EXP
02/12/2012 21254S123 7.00 50,000.00 SH SOLE 50,000 0 0
CONVERTED ORGANICS INC
WRNT W EXP
12/31/2014 21254S131 1.00 18,000.00 SH SOLE 18,000 0 0
CORRIDOR COMMUNICATIONS
CORP COM 220261101 0.00 200,000.00 SH SOLE 200,000 0 0
COSI INC COM STK COM 22122P101 31.00 25,000.00 SH SOLE 25,000 0 0
COUNTRY STYLE COOKING
RESTAURANT CHAIN C SPONS ADR 22238M109 661.00 40,000.00 SH SOLE 40,000 0 0
COWEN GROUP INC COM STK COM 223622101 413.00 102,995.00 SH SOLE 102,995 0 0
CULLEN AGRIC HLDG CORP
WRNT W EXP
10/21/2013 229894118 1.00 125,600.00 SH SOLE 125,600 0 0
CURIS INC COM STK COM 231269101 244.00 75,000.00 SH SOLE 75,000 0 0
CVR ENERGY INC COM STK COM 12662P108 579.00 25,000.00 SH SOLE 25,000 0 0
CYCLACEL PHARMACEUTICALS
INC COM STK COM 23254L108 36.00 25,000.00 SH SOLE 25,000 0 0
CYTORI THERAP COM 23283K105 196.00 25,000.00 SH SOLE 25,000 0 0
CYTORI THERAPEUTICS
WRNT EXP 2/28/2012 W EXP
02/28/2012 232993022 0.00 43,555.00 SH SOLE 43,555 0 0
5
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VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
DACHA STRATEGIC METALS
INC COM COM 233407105 43.00 100,000.00 SH SOLE 100,000 0 0
DATALINK CORP COM STK COM 237934104 160.00 25,000.00 SH SOLE 25,000 0 0
DENNYS CORP COM STK COM 24869P104 2,538.00 625,000.00 SH SOLE 625,000 0 0
DIALOG AXIATA LIMITED COM 999956HH1 5.00 50,000.00 SH SOLE 50,000 0 0
DIME BANCORP INC WTS COM 25429Q110 0.00 350,000.00 SH SOLE 350,000 0 0
DIST SRI LKR1 COM 6271435 65.00 40,000.00 SH SOLE 40,000 0 0
DISTRIBUTED ENERGY SYS
CORP COM STK COM 25475V104 0.00 50,000.00 SH SOLE 50,000 0 0
DOLLAR FINANCIAL CORP COM 256664103 208.00 10,000.00 SH SOLE 10,000 0 0
DOUBLE HULL TANKERS INC
COM STK COM Y2065G105 120.00 25,000.00 SH SOLE 25,000 0 0
DRUGSTORE COM INC
COM STK COM 262241102 109.00 28,404.00 SH SOLE 28,404 0 0
DU PONT E I DE NEMOURS
& CO. COM COM 263534109 825.00 15,000.00 SH SOLE 15,000 0 0
DYNAVOX INC-CLASS A CLASS A 26817F104 193.00 35,000.00 SH SOLE 35,000 0 0
DYNEGY INC NEW CL A
COM STK CLASS A 26817G300 142.00 25,000.00 SH SOLE 25,000 0 0
E TRADE FINL CORP
COM STK COM 269246401 234.00 15,000.00 SH SOLE 15,000 0 0
EASTMAN KODAK CO COM STK COM 277461109 242.00 75,000.00 SH SOLE 75,000 0 0
EBAY INC COM 278642103 310.00 10,000.00 SH CALL SOLE 10,000 0 0
ECHO THERAPEUTICS INC
COM STK COM 27876L107 160.00 40,000.00 SH SOLE 40,000 0 0
ELAN CORP PLC ( ELN) COM 284131208 172.00 25,000.00 SH CALL SOLE 25,000 0 0
ELAN CORP PLC ADR SPONS ADR 284131208 303.00 44,000.00 SH SOLE 44,000 0 0
ELECTRONIC GAME CARD
INC COM STK COM 285716106 0.00 25,000.00 SH SOLE 25,000 0 0
ENDEAVOUR INTL CORP
COM STK COM 29259G200 182.00 14,300.00 SH SOLE 14,300 0 0
ENDOVASC INC COM STK COM 29267B102 0.00 255,000.00 SH SOLE 255,000 0 0
ENERGY WORLD CORP LTD COM 996992FQ1 25.00 50,000.00 SH SOLE 50,000 0 0
ENSTAR GROUP LIMITED
COM STK COM G3075P101 1,598.00 16,000.00 SH SOLE 16,000 0 0
ENTECH SOLAR INC COM STK COM 29362Y106 2.00 25,000.00 SH SOLE 25,000 0 0
ENTEROMEDICS INC COM STK COM 29365M208 138.00 50,000.00 SH SOLE 50,000 0 0
ENTREMED INC COM STK COM 29382F202 77.00 15,000.00 SH SOLE 15,000 0 0
EQT CORP COM STK COM 26884L109 499.00 10,000.00 SH SOLE 10,000 0 0
EQUITY LIFESTYLE PFD STK NON CV
PREF
8.034% 29472R207 620.00 25,000.00 PRIN SOLE 25,000 0 0
ESSEX RENTAL CORP
COM STK COM 297187106 106.00 15,000.00 SH SOLE 15,000 0 0
EUROGAS INC COM STK COM 298734104 25.00 260,000.00 SH SOLE 260,000 0 0
EV ENERGY PARTNERS L P
COM STK COM 26926V107 673.00 12,500.00 SH SOLE 12,500 0 0
EVERGREEN ENERGY INC
NEW COM STK COM 30024B203 62.00 20,000.00 SH SOLE 20,000 0 0
EXCO RESOURCES INC COM COM 269279402 517.00 25,000.00 SH SOLE 25,000 0 0
EXIDE TECHNOLOGIES WRNT W EXP
05/05/2011 302051123 0.00 12,000.00 SH SOLE 12,000 0 0
EXPEDIA INC DEL COM STK COM 30212P105 227.00 10,000.00 SH SOLE 10,000 0 0
EZCHIP SEMICONDUCTOR LTD COM M4146Y108 741.00 25,000.00 SH SOLE 25,000 0 0
EZCORP INC COM STK COM 302301106 628.00 20,000.00 SH SOLE 20,000 0 0
FALCONSTOR SOFTWARE INC
COM STK COM 306137100 114.00 25,000.00 SH SOLE 25,000 0 0
FARMER BROTHERS CO COM
STK COM 307675108 121.00 10,000.00 SH SOLE 10,000 0 0
FINANCIAL TECHNOLOGIES
(INDIA) LD COM B287HL6 56.00 20,000.00 SH SOLE 20,000 0 0
FINISAR CORP COM STK COM 31787A507 246.00 10,000.00 SH SOLE 10,000 0 0
FORD MOTOR WRNT EXP
01/01/2013 W EXP
01/01/2013 345370134 574.00 90,000.00 SH SOLE 90,000 0 0
FORMATION METALS INC COM COM 34637V101 17.00 12,857.00 SH SOLE 12,857 0 0
FORTESCUE METALS GROUP
LTD COM 996991TX3 166.00 25,000.00 SH SOLE 25,000 0 0
FORTRESS INVESTMENT
GROUP LLC COM COM 34958B106 852.00 150,000.00 SH SOLE 150,000 0 0
FORTRESS PAPER LTD CL A CLASS A 34958R101 902.00 20,000.00 SH SOLE 20,000 0 0
FOX CHASE BANCORP INC
COM STK COM 35137T108 209.00 15,000.00 SH SOLE 15,000 0 0
FREDERICK'S OF
HOLLYWOOD GROUP INC COM 35582T108 74.00 100,000.00 SH SOLE 100,000 0 0
FSI INTL INC COM STK COM 302633102 307.00 70,000.00 SH SOLE 70,000 0 0
FUNTALK CHINA HOLDINGS
LIMITED WRT W EXP
12/13/2013 G36993122 91.00 52,008.00 SH SOLE 52,008 0 0
FXCM INC COM 302693106 326.00 25,000.00 SH SOLE 25,000 0 0
6
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
GABRIEL RSCS COM 361970106 186.00 25,000.00 SH SOLE 25,000 0 0
GASFRAC ENERGY SERVICES
INC COM 367257201 321.00 25,000.00 SH SOLE 25,000 0 0
GEEKNET INC COM STK COM 36846Q203 865.00 32,500.00 SH SOLE 32,500 0 0
GENERAL MARITIME CORP
COM STK COM Y2693R101 51.00 25,000.00 SH SOLE 25,000 0 0
GENERAL MOTORS CO COM 37045V100 465.00 15,000.00 SH SOLE 15,000 0 0
GENERAL MOTORS CORP
6.25% 15 JUL 2033 DEB SR
CV C 33 370442717 183.00 25,000.00 PRIN SOLE 25,000 0 0
GENERAL MOTORS CORP
NOTES 8.375%
jul 15 2033 NOTE
8.375%
07/15/2033 370442BT1 298.00 1,000,000.00 PRIN SOLE 1,000,000 0 0
GENERAL MTRS CORP
SENIOR DEBEN D SENIOR
DEBEN D 370442691 173.00 25,000.00 PRIN SOLE 25,000 0 0
GENEREX BIOTECHNOLOGY
CORP DEL COM STK COM 371485103 2.00 10,000.00 SH SOLE 10,000 0 0
GENOMED INC COM STK COM 37243C102 0.00 475,000.00 SH SOLE 475,000 0 0
GEROVA FINANCIAL GROUP
LTD WRNT W EXP
01/16/2014 G38490135 10.00 21,000.00 SH SOLE 21,000 0 0
GLOBAL AIRCRAFT
SOLUTIONS INC COM STK COM 378964100 0.00 100,000.00 SH SOLE 100,000 0 0
GLOBAL CROSSING UK FIN
PLC 12/15/2014 10.75% BOND
10.75%
12/15/2014 37943SAB6 52.00 50,000.00 PRIN SOLE 50,000 0 0
GLOBAL PWR EQUIP GROUP
INC COM STK COM 37941P306 2,014.00 73,243.00 SH SOLE 73,243 0 0
GLOBALNET CORP COM 379399108 0.00 385,000.00 SH SOLE 385,000 0 0
GLU MOBILE INC COM 379890106 108.00 25,000.00 SH SOLE 25,000 0 0
GMX RES INC COM STK COM 38011M108 370.00 60,000.00 SH SOLE 60,000 0 0
GOODYEAR TIRE & RUBR CO
COM STK COM 382550101 375.00 25,000.00 SH SOLE 25,000 0 0
GP STRATEGIES CORP COM
STK COM 36225V104 136.00 10,000.00 SH SOLE 10,000 0 0
GPS INDUSTRIES INC COM
STK COM 383870102 0.00 150,000.00 SH SOLE 150,000 0 0
GREAT BASIN GOLD LTDCOM
STK COM 390124105 26.00 10,000.00 SH SOLE 10,000 0 0
GROWERS DIRECT COFFEE
CO STK COM 399849108 0.00 25,000.00 SH SOLE 25,000 0 0
GS MARKET PLUS NOTE
02/07/2012 38143ULJ8 48.00 40,000.00 PRIN SOLE 40,000 0 0
GUANGSHEN RAILWAY
CNY1 'H' COM 6388700 28.00 75,000.00 SH SOLE 75,000 0 0
HARD TO TREAT DISEASES
INC COM STK COM 41164A103 0.00 500,000.00 SH SOLE 500,000 0 0
HARDINGE BROTHERS INC
COM STK COM 412324303 343.00 25,000.00 SH SOLE 25,000 0 0
HARMONIC INC COM STK COM 413160102 141.00 15,000.00 SH SOLE 15,000 0 0
HARRIS INTERACTIVE INC
COM STK COM 414549105 81.00 82,500.00 SH SOLE 82,500 0 0
HARRY WINSTON DIAMOND
CORP COM STK COM 41587B100 483.00 29,857.00 SH SOLE 29,857 0 0
HARTMARX CORP COM STK COM 417119104 0.00 76,200.00 SH SOLE 76,200 0 0
HATTON NATL BK COM 6406970 172.00 50,000.00 SH SOLE 50,000 0 0
HAWAIIAN TELCOM HOLDCO
INC COM STK COM 420031106 263.00 10,000.00 SH SOLE 10,000 0 0
HAWAIIN HOLDINGS INC COM 419879101 69.00 11,500.00 SH SOLE 11,500 0 0
HEALTH DISCOVERY CORP
COM STK COM 42218R100 3.00 25,000.00 SH SOLE 25,000 0 0
HEALTHY FAST FOOD INC
COM STK COM 42223Y108 6.00 15,000.00 SH SOLE 15,000 0 0
Healthy Fast Food Inc.
Class A Warrant W EXP
03/19/2013 42223Y116 1.00 25,000.00 SH SOLE 25,000 0 0
Healthy Fast Food Inc.
Class B Warrant W EXP
03/19/2013 42223Y124 0.00 50,000.00 SH SOLE 50,000 0 0
HECKMANN CORP COM STK COM 422680108 590.00 90,000.00 SH SOLE 90,000 0 0
HECKMANN CORP WRNT EXP
11/09/2011 W EXP
11/09/2011 422680116 119.00 125,000.00 SH SOLE 125,000 0 0
7
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
HECLA MNG 3 WRNT EXP
8/10/2014 W EXP
8/10/2014 422992859 0.00 50,000.00 SH SOLE 50,000 0 0
HELLENIC EXCHANGES SA
ORDS (GRE LISTING) COM 4108278 132.00 15,000.00 SH SOLE 15,000 0 0
HERCULES OFFSHORE INC
COM STK COM 427093109 165.00 25,000.00 SH SOLE 25,000 0 0
HERITAGE OAKS BANCORP
COM STK COM 42724R107 1,048.00 300,192.00 SH SOLE 300,192 0 0
HERSHA HOSPITALITY TR
CL A COM REIT CLASS A 427825104 89.00 15,000.00 SH SOLE 15,000 0 0
HIENERGY TECHNOLOGIES
INC COM STK COM 42952V101 0.00 25,000.00 SH SOLE 25,000 0 0
HI-TECH PHARMACAL INC
COM STK COM 42840B101 503.00 25,000.00 SH SOLE 25,000 0 0
HK EXCHANGES & CLEARING
ORD COM 6267359 978.00 45,000.00 SH SOLE 45,000 0 0
HONEYWELL INTL INC DEL COM 438516106 299.00 5,000.00 SH SOLE 5,000 0 0
HOT TOPIC INC COM STK COM 441339108 171.00 30,000.00 SH SOLE 30,000 0 0
HUDSON HLDG CORP COM 443793104 19.00 297,220.00 SH SOLE 297,220 0 0
HUNTINGTON BANCSHARES
INC COM COM 446150104 166.00 25,000.00 SH SOLE 25,000 0 0
HYDRON TECH INC COM 449020205 0.00 100,000.00 SH SOLE 100,000 0 0
IBERIABANK CORP COM STK COM 450828108 902.00 15,000.00 SH SOLE 15,000 0 0
IBX GROUP INC COM STK COM 449229103 0.00 200,000.00 SH SOLE 200,000 0 0
IESI BFC LTD COM STK COM 44951D108 947.00 37,325.00 SH SOLE 37,325 0 0
IGENE BIOTECHNOLOGY INC
COM STK COM 451695100 0.00 100,000.00 SH SOLE 100,000 0 0
IMAGINATION TECHNOLOGIES
GROUP 10P ORDS COM 0930312 138.00 20,000.00 SH SOLE 20,000 0 0
INCA PAC RES INC COM 45324A200 4.00 15,000.00 SH SOLE 15,000 0 0
IND & COMM BK
OFCHINA - H COM B1G1QD8 260.00 313,500.00 SH SOLE 313,500 0 0
INDIA GLOBALIZATION CAP
CW11 EXP 3/8/13 W EXP
03/08/2013 45408X118 3.00 157,798.00 SH SOLE 157,798 0 0
INFUSYSTEMS HOLDINGSWRNT
EXP 04/11/2011 W EXP
04/11/2011 45685K110 0.00 145,000.00 SH SOLE 145,000 0 0
INSULET CORP COM 45784P101 1,134.00 55,000.00 SH SOLE 55,000 0 0
INTEGRAL VISION INC COM
STK COM 45811H106 43.00 1,069,107.00 SH SOLE 1,069,107 0 0
INTEGRATED SILICON
SOLUTION IN COM STK COM 45812P107 278.00 30,000.00 SH SOLE 30,000 0 0
INTERCLICK INC COM STK COM 458483203 317.00 45,000.00 SH SOLE 45,000 0 0
INTERNATIONAL COAL
GROUP INC COM STK COM 45928H106 1,187.00 105,000.00 SH SOLE 105,000 0 0
INTERNET CAP GROUP INC
NEW COM 46059C205 355.00 25,000.00 SH SOLE 25,000 0 0
IRIDIUM COMMUNICATINOS
INC W EXP
02/14/2013 46269C110 43.00 18,000.00 SH SOLE 18,000 0 0
IRIDIUM COMMUNICATIONS
COM STK COM 46269C102 180.00 22,500.00 SH SOLE 22,500 0 0
ISHARES INC MSCI BRAZIL
FREE IND MSCI
BRAZIL 464286400 775.00 10,000.00 SH SOLE 10,000 0 0
ISIP TELECOM INC COM
STK RSTD COM 464990993 0.00 10,000.00 SH SOLE 10,000 0 0
ISONICS CORP COM STK COM 464895309 0.00 25,000.00 SH SOLE 25,000 0 0
IVANHOE MINES LIMITED COM 46579N103 275.00 10,000.00 SH SOLE 10,000 0 0
JAMBA INC COM COM 47023A101 55.00 25,000.00 SH SOLE 25,000 0 0
JAPAN SMALLER
CAPITALIZATION COM STK COM 47109U104 273.00 30,000.00 SH SOLE 30,000 0 0
JESUP & LAMONT INC COM
STK COM 477046106 0.00 21,894.00 SH SOLE 21,894 0 0
JMP GROUP INC COM STK COM 46629U107 603.00 70,000.00 SH SOLE 70,000 0 0
JOHN KEELLS LKR10 COM 6475538 298.00 115,000.00 SH SOLE 115,000 0 0
JOHNSON & JOHNSON COM 478160104 296.00 5,000.00 SH SOLE 5,000 0 0
JP MORGAN CHASE WRNT
EXP 10/28/2018 W EXP
10/28/2018 46634E114 755.00 45,000.00 SH SOLE 45,000 0 0
KELLOGG CO COM STK COM 487836108 270.00 5,000.00 SH SOLE 5,000 0 0
KENMARE RESOURCES PLC
(LONDON LISTING) COM 0487948 143.00 200,000.00 SH SOLE 200,000 0 0
KENNEDY-WILSON HLDGS
INC WRNT W EXP
11/14/2013 489398115 27.00 18,778.00 SH SOLE 18,778 0 0
8
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
KEYCORP NY COM STK COM 493267108 577.00 65,000.00 SH SOLE 65,000 0 0
KHD HUMBOLDT WEDAG
INTERNATIONAL COM 4570060 311.00 30,000.00 SH SOLE 30,000 0 0
KIMBERLY CLARK CORP COM 494368103 326.00 5,000.00 SH SOLE 5,000 0 0
KIT DIGITAL INC COM STK COM 482470200 301.00 25,000.00 SH SOLE 25,000 0 0
KKR & CO L P DEL
LIMITED PARTNERSHIP COM UNITS 48248M102 410.00 25,000.00 SH SOLE 25,000 0 0
KKR FINANCIAL HOLDINGS
LLC COM 48248A306 98.00 10,000.00 SH SOLE 10,000 0 0
KNIGHT CAPITAL GROUP
INC COM 499005106 268.00 20,000.00 SH CALL SOLE 20,000 0 0
LA CORTEZ ENTPS COM 50255M108 17.00 25,000.00 SH SOLE 25,000 0 0
LA Z BOY INC COM STK COM 505336107 143.00 15,000.00 SH SOLE 15,000 0 0
LADENBURG THALMANN FINL
SVCS COM STK COM 50575Q102 460.00 400,000.00 SH SOLE 400,000 0 0
LAS VEGAS SANDS CORP
COM STK COM 517834107 528.00 12,500.00 SH SOLE 12,500 0 0
LEAPFROG ENTERPRISES
INC CL A COM STK CLASS A 52186N106 108.00 25,000.00 SH SOLE 25,000 0 0
LENNAR CORP CL A COM STK CLASS A 526057104 362.00 20,000.00 SH SOLE 20,000 0 0
LEVEL 3 COMMUNICATIONS
INC COM STK COM 52729N100 221.00 150,000.00 SH SOLE 150,000 0 0
LIFESTREAM TECHNOLOGIES
INC COM STK COM 53219K101 0.00 575,000.00 SH SOLE 575,000 0 0
LIQUIDITY SERVICES INC
COM STK COM 53635B107 179.00 10,000.00 SH SOLE 10,000 0 0
LNG ENERGY LTD COM COM 50212K104 14.00 25,000.00 SH SOLE 25,000 0 0
LTX-CREDENCE CORP COM
STK COM 502403207 548.00 60,000.00 SH SOLE 60,000 0 0
LUBYS INC COM STK COM 549282101 472.00 89,000.00 SH SOLE 89,000 0 0
MAIDENFORM BRANDS INC
COM STK COM 560305104 286.00 10,000.00 SH SOLE 10,000 0 0
MAJESCO ENTERTAINMENT
CO COM STK COM 560690208 158.00 50,000.00 SH SOLE 50,000 0 0
MAKO SURGICAL CORP COM
STK COM 560879108 241.00 10,000.00 SH SOLE 10,000 0 0
MARKET VECTOR BRAZIL
SMALL-CAP ETF BRAZL
SMCP ETF 57060U613 851.00 15,000.00 SH SOLE 15,000 0 0
MARKET VECTORS GOLD
MINERS GOLD
MINER ETF 57060U100 601.00 10,000.00 SH SOLE 10,000 0 0
MARKET VECTORS RUSSIA
ETF RUSSIA
ETF 57060U506 416.00 10,000.00 SH SOLE 10,000 0 0
MCCOY CORP COM COM 57980P108 40.00 10,000.00 SH SOLE 10,000 0 0
MERA PHARMACEUTICALS
INC COM STK COM 58732R103 0.00 200,000.00 SH SOLE 200,000 0 0
MERCATOR MINERALS LTD COM 587582107 35.00 10,000.00 SH SOLE 10,000 0 0
METLIFE INC COM 59156R108 447.00 10,000.00 SH SOLE 10,000 0 0
MF GLOBAL HOLDINGS LTD
COM STK COM 55277J108 373.00 45,000.00 SH SOLE 45,000 0 0
MGIC INVT CORP COM STK COM 552848103 222.00 25,000.00 SH SOLE 25,000 0 0
MGM ENERGY CORP COM COM 59318A100 6.00 25,000.00 SH SOLE 25,000 0 0
MGM RESORT INTL COM STK COM 552953101 329.00 25,000.00 SH SOLE 25,000 0 0
MICRO LABS INC COM STK COM 594847105 0.00 100,000.00 SH SOLE 100,000 0 0
MICRON TECHNOLOGY INC COM 595112103 115.00 10,000.00 SH CALL SOLE 10,000 0 0
MINDSPEED TECHNOLOGIES
INC COM STK COM 602682205 508.00 60,000.00 SH SOLE 60,000 0 0
MONACO COACH CORP
COM STK COM 60886R103 0.00 50,000.00 SH SOLE 50,000 0 0
MORPHOSYS AG NPV ORDS COM 5531000 1,066.00 40,000.00 SH SOLE 40,000 0 0
MOSYS INC COM STK COM 619718109 301.00 50,000.00 SH SOLE 50,000 0 0
MOVE INC COM 62458M108 60.00 25,000.00 SH SOLE 25,000 0 0
MTN (SAF LISTING) COM 6563206 303.00 15,000.00 SH SOLE 15,000 0 0
MUELLER WTR PRODS INC
COM STK COM 624758108 224.00 50,000.00 SH SOLE 50,000 0 0
NATL DEV BK SKR10 COM 6625258 339.00 110,000.00 SH SOLE 110,000 0 0
NEW YORK REGIONAL RAIL
CORP COM STK COM 649768108 0.00 400,000.00 SH SOLE 400,000 0 0
NEXTMART INC COM STK COM 65338F102 0.00 50,000.00 SH SOLE 50,000 0 0
NIPPO CORPORATION COM 657990107 80.00 10,000.00 SH SOLE 10,000 0 0
NORTH AMERICAN ENERGY
PARTNERS INC COM 656844107 308.00 25,000.00 SH SOLE 25,000 0 0
NUANCE COMMUNICATIONS
INC COM STK COM 67020Y100 293.00 15,000.00 SH SOLE 15,000 0 0
NUPATHE INC COM STK COM 67059M100 78.00 10,000.00 SH SOLE 10,000 0 0
NXP SEMICONDUCTORS NV COM N6596X109 1,169.00 39,000.00 SH SOLE 39,000 0 0
NZX LIMITED COM 6623155 81.00 49,670.00 SH SOLE 49,670 0 0
9
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
O CHARLEYS INC
TENNESSEE COM STK COM 670823103 60.00 10,000.00 SH SOLE 10,000 0 0
OCADO GROUP PLC-W/I
(UKM LISTING) COM B3MBS74 183.00 50,000.00 SH SOLE 50,000 0 0
OCH-ZIFF CAPITAL
MANAGEMENT COM 67551U105 1,061.00 65,000.00 SH SOLE 65,000 0 0
OCZ TECHNOLOGY GROUP
INC COM STK COM 67086E303 1,328.00 164,000.00 SH SOLE 164,000 0 0
ODYSSEY MARINE EXPL INC
COM STK COM 676118102 77.00 25,000.00 SH SOLE 25,000 0 0
OMNIAMERICAN BANCORP INC COM 68216R107 158.00 10,000.00 SH SOLE 10,000 0 0
OMNI-LITE INDS COM 681976106 31.00 15,000.00 SH SOLE 15,000 0 0
ONE VOICE TECHNOLOGIES
INC COM STK COM 682421201 0.00 20,000.00 SH SOLE 20,000 0 0
OPENWAVE SYSTEMS INC
COM STK COM 683718308 214.00 100,000.00 SH SOLE 100,000 0 0
OPEXA THERAPEUTICS
INC-CW13 W EXP
02/13/2013 68372T111 14.00 22,500.00 SH SOLE 22,500 0 0
OPKO HEALTH INC COM COM 68375N103 466.00 125,000.00 SH SOLE 125,000 0 0
OPTIONABLE INC COM STK COM 684006109 1.00 70,000.00 SH SOLE 70,000 0 0
ORGANA GARDENS INTL
COM STK COM 68618Y106 1.00 25,000.00 SH SOLE 25,000 0 0
OSCIENT PHARMACEUTICALS
CORP COM STK COM 68812R303 0.00 15,000.00 SH SOLE 15,000 0 0
OVERSTOCK COM INC DEL
COM STK COM 690370101 157.00 10,000.00 SH SOLE 10,000 0 0
PACE OIL & GAS LTD COM COM 69374D104 631.00 65,000.00 SH SOLE 65,000 0 0
PALATIN TECHNOLOGIES
INC COM STK COM 696077403 52.00 50,000.00 SH SOLE 50,000 0 0
PARAMETRIC SOUND CORP
COM STK COM 699172102 16.00 25,000.00 SH SOLE 25,000 0 0
PEOPLES UNITED
FINANCIAL INC COM COM 712704105 315.00 25,000.00 SH SOLE 25,000 0 0
PEREGRINE
PHARMACEUTICALS INC
COM STK COM 713661304 24.00 10,000.00 SH SOLE 10,000 0 0
PERMA-FIX ENVIRONMENTAL
SVCS I COM STK COM 714157104 38.00 25,000.00 SH SOLE 25,000 0 0
PFSWEB INC COM STK COM 717098206 125.00 25,000.00 SH SOLE 25,000 0 0
PHOSCAN CHEMICAL CORP COM 71921E106 23.00 40,000.00 SH SOLE 40,000 0 0
PHYSICIANS FORMULA
HLDGS INC COM 719427106 280.00 60,000.00 SH SOLE 60,000 0 0
PINECREST ENERGY INC
COM STK COM 723033106 175.00 75,000.00 SH SOLE 75,000 0 0
PLX TECHNOLOGY INC
COM STK COM 693417107 128.00 35,000.00 SH SOLE 35,000 0 0
PMI GROUP INC COM STK COM 69344M101 68.00 25,000.00 SH SOLE 25,000 0 0
POWERWAVE TECH COM COM 739363109 316.00 70,000.00 SH SOLE 70,000 0 0
PROSHARES QQQ ULTRASHORT PSHS
ULTSHRT
QQQ 74347X237 764.00 15,000.00 SH SOLE 15,000 0 0
PROSHARES ULTRASHORT
S&P500 ETF PSHS
ULSHT
SP500 74347R883 523.00 25,000.00 SH CALL SOLE 25,000 0 0
PRS ULT LEH20+YR PSHS
ULTSH
20YRS 74347R297 374.00 10,000.00 SH SOLE 10,000 0 0
PULSE ELECTRONICS CORP
COM STK COM 74586W106 303.00 50,000.00 SH SOLE 50,000 0 0
PULTE GROUP INC COM STK COM 745867101 555.00 75,000.00 SH SOLE 75,000 0 0
PURE BIOSCIENCE COM STK COM 74621T100 39.00 25,000.00 SH SOLE 25,000 0 0
PURESAFE WATER SYSTEMS
INC COM STK COM 74624H103 11.00 100,000.00 SH SOLE 100,000 0 0
QIHOO 360 TECHNOLOGIES
CO LTD COM 74734M109 486.00 16,420.00 SH SOLE 16,420 0 0
QLIK TECHNOLOGIES INC COM 74733T105 650.00 25,000.00 SH SOLE 25,000 0 0
QUSTREAM CORP COM 749131108 37.00 25,000.00 SH SOLE 25,000 0 0
RADIAN GROUP INC COM
STK COM 750236101 170.00 25,000.00 SH SOLE 25,000 0 0
RADWARE LTD COM STK COM M81873107 1,240.00 35,000.00 SH SOLE 35,000 0 0
RAMBUS INC DEL COM STK COM 750917106 395.00 20,000.00 SH SOLE 20,000 0 0
REIS INC INC COM STK COM 75936P105 528.00 66,902.00 SH SOLE 66,902 0 0
RENAISSANCERE HOLDINGS
LTD COM STK COM G7496G103 690.00 10,000.00 SH SOLE 10,000 0 0
RESOLUTE ENERGY WRNT
EXP 9/28/14 W EXP
09/28/2014 76116A116 65.00 12,500.00 SH SOLE 12,500 0 0
RESPONSE GENETICS INC COM 76123U105 217.00 94,300.00 SH SOLE 94,300 0 0
10
------------------------------------------------------------------------------------------------------------------------------------
VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
------------------------------------------------------------------------------------------------------------------------------------
RETRACTABLE TECHNOLOGIES
INC COM STK COM 76129W105 17.00 10,000.00 SH SOLE 10,000 0 0
RODINA OIL CORP CL-AWRNT
EXP 5/28/2012 W EXP
05/28/2012 77487N117 62.00 50,000.00 SH SOLE 50,000 0 0
RODINIA OIL CORP CLASS A CLASS A 77487N109 93.00 40,000.00 SH SOLE 40,000 0 0
RODMAN & RENSHAW
CAPGROUP INC COM COM 77487R100 185.00 90,000.00 SH SOLE 90,000 0 0
ROGERS CORP COM STK COM 775133101 225.00 5,000.00 SH SOLE 5,000 0 0
ROUGE INDS INC DEL CL
A COM STK CLASS A 779088103 0.00 100,000.00 SH SOLE 100,000 0 0
RUBICON LIMITED NZD COM 572993ZM8 136.00 155,000.00 SH SOLE 155,000 0 0
SAKS INC COM STK COM 79377W108 170.00 15,000.00 SH SOLE 15,000 0 0
SANDRIDGE ENERGY INC
COM STK COM 80007P307 480.00 37,500.00 SH SOLE 37,500 0 0
SARA LEE CORP COM COM 803111103 177.00 10,000.00 SH SOLE 10,000 0 0
SAVVIS INC COM STK COM 805423308 1,113.00 30,000.00 SH SOLE 30,000 0 0
SCORES HOLDING CO INC
COM STK COM 80917W202 1.00 10,000.00 SH SOLE 10,000 0 0
SEA CONTAINERS LTD CL A
COM STK CLASS A 811371707 0.00 75,000.00 SH SOLE 75,000 0 0
SEACO LTD COM STK COM G79441104 292.00 430,000.00 SH SOLE 430,000 0 0
SEAGATE TECHNOLOGY COM
STK COM G7945M107 1,441.00 100,000.00 SH SOLE 100,000 0 0
SEANERGY MARITIME
HOLDINGS CORP WRNT W EXP
9/24/2011 Y73760111 2.00 61,500.00 SH SOLE 61,500 0 0
SEARCHMEDIA HOLDINGS
CORP WRNT W EXP
11/19/2011 G8005Y114 2.00 15,000.00 SH SOLE 15,000 0 0
SGOCO TECHNOLOGY LTD WT W EXP
03/07/2012 G80751111 5.00 26,100.00 SH SOLE 26,100 0 0
SHINSEI BANK COM 6730936 118.00 100,000.00 SH SOLE 100,000 0 0
SHUTTERFLY INC COM STK COM 82568P304 524.00 10,000.00 SH SOLE 10,000 0 0
SINA CORP COM SHS COM G81477104 1,070.00 10,000.00 SH SOLE 10,000 0 0
SINGAPORE EXCHANGE COM 6303866 436.00 70,000.00 SH SOLE 70,000 0 0
SINO FOREST CORP SUB
VTG SH COM B01DR39 392.00 15,000.00 SH SOLE 15,000 0 0
SIONIX CORP COM STK COM 829400100 10.00 200,000.00 SH SOLE 200,000 0 0
SITESTAR CORP COM STK COM 82980W101 1.00 250,000.00 SH SOLE 250,000 0 0
SLM CORP COM STK COM 78442P106 772.00 50,445.00 SH SOLE 50,445 0 0
SMART BALANCE INC COM
STK COM 83169Y108 344.00 75,000.00 SH SOLE 75,000 0 0
SMART MODULAR
TECHNOLOGIES
(WW COM STK COM G82245104 582.00 75,000.00 SH SOLE 75,000 0 0
SMART TECHNOLOGIES INC COM 83172R108 306.00 30,000.00 SH SOLE 30,000 0 0
SNYDERS-LANCE INC COM
STK COM 833551104 199.00 10,000.00 SH SOLE 10,000 0 0
SODASTREAM
INTERNATIONAL LTD COM M9068E105 657.00 15,000.00 SH SOLE 15,000 0 0
SONUS NETWORKS INC
COM STK COM 835916107 489.00 130,000.00 SH SOLE 130,000 0 0
SOURCEFIRE INC COM STK COM 83616T108 413.00 15,000.00 SH SOLE 15,000 0 0
SPANSION INC CL A CLASS A 84649R200 373.00 20,000.00 SH SOLE 20,000 0 0
SPARE BACKUP INC COM 84650T103 3.00 32,285.00 SH SOLE 32,285 0 0
SPECTRUM GROUP INTL INC
COM STK COM 84763M102 59.00 19,500.00 SH SOLE 19,500 0 0
SPRINT NEXTEL CORP COM 852061100 696.00 150,000.00 SH SOLE 150,000 0 0
SPRINT NEXTEL CORP COM 852061100 232.00 50,000.00 SH CALL SOLE 50,000 0 0
SRI LANKA TELECOM
LIMITED COM 6573926 26.00 50,000.00 SH SOLE 50,000 0 0
ST JUDE MEDICAL INC COM 790849103 1,538.00 30,000.00 SH SOLE 30,000 0 0
STEC INC COM STK COM 784774101 703.00 35,000.00 SH SOLE 35,000 0 0
STEWART ENTERPRISES INC
CL A COM STK CLASS A 860370105 306.00 40,000.00 SH SOLE 40,000 0 0
STONELEIGH PARTNERS
ACQUISITION CORP COM 861923126 0.00 77,500.00 SH SOLE 77,500 0 0
STONEPATH GROUP INC COM
STK COM 861837102 0.00 165,000.00 SH SOLE 165,000 0 0
STREAM GLOBAL SERVICES
WRNT EXP 10/17/11 W EXP
10/17/2011 86323M118 1.00 50,000.00 SH SOLE 50,000 0 0
SUPER MICRO COMPUTER
INC COM COM 86800U104 401.00 25,000.00 SH SOLE 25,000 0 0
11
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VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
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SUPERVALUE INC USD COM COM 868536103 179.00 20,000.00 SH SOLE 20,000 0 0
SWISHER HYGIENE INC COM COM 870808102 420.00 68,334.00 SH SOLE 68,334 0 0
SYNERGETICS USA INC COM
STK COM 87160G107 236.00 40,000.00 SH SOLE 40,000 0 0
SYNGENTA AG ADR SPONS ADR 87160A100 652.00 10,000.00 SH SOLE 10,000 0 0
SYNTA PHARMACEUTICALS
CORP COM 87162T206 105.00 20,000.00 SH SOLE 20,000 0 0
TANFIELD GROUP
(UKM LISTING) COM B4QHFM9 6.00 10,000.00 SH SOLE 10,000 0 0
TASER INTERNATIONAL INC
COM STK COM 87651B104 102.00 25,000.00 SH SOLE 25,000 0 0
TCF FINANCIAL EQY
WARRANT W EXP
11/14/2018 872275128 131.00 25,000.00 SH SOLE 25,000 0 0
TEEKAY CORP COM STK COM Y8564W103 369.00 10,000.00 SH SOLE 10,000 0 0
TEMPLE-INLAND INC COM
STK COM 879868107 234.00 10,000.00 SH SOLE 10,000 0 0
THEGLOBE.COM INC COM
STK COM 88335R101 0.00 100,000.00 SH SOLE 100,000 0 0
TIM PARTICPACOES S A
SPONS ADR PFD SPONS ADR 88706P106 437.00 10,000.00 SH SOLE 10,000 0 0
TIMMINS GOLD CORP COM 88741P103 130.00 50,000.00 SH SOLE 50,000 0 0
TITAN MACHINERY INC COM 88830R101 253.00 10,000.00 SH SOLE 10,000 0 0
TITAN MACHINERY INC COM 88830R101 758.00 30,000.00 SH CALL SOLE 30,000 0 0
TITANIUM ASS WRNT
06/21/2011 RSTD W EXP
06/21/2011 88899G996 0.00 100,000.00 SH SOLE 100,000 0 0
TITANIUM ASSET MGMT RSTD COM 88899G970 0.00 100,000.00 SH SOLE 100,000 0 0
TIVO INC COM 888706108 350.00 40,000.00 SH CALL SOLE 40,000 0 0
TOKYO CEMENT LTD COM 999984GE1 28.00 50,000.00 SH SOLE 50,000 0 0
TOLL BROTHERS INC COM
STK COM 889478103 395.00 20,000.00 SH SOLE 20,000 0 0
TOWERSTREAM CORP COM TK COM 892000100 371.00 95,000.00 SH SOLE 95,000 0 0
TRIUMPH APPAREL CORP
COM STK COM 896787108 0.00 100,000.00 SH SOLE 100,000 0 0
TRUDY CORP COM STK COM 897835104 1.00 200,000.00 SH SOLE 200,000 0 0
TRUNKBOW INTERNATIONAL
HOLDINGS COM 89818A102 41.00 10,000.00 SH SOLE 10,000 0 0
TWEETER HOME ENTMT
GROUP INC COM STK COM 901167106 0.00 25,000.00 SH SOLE 25,000 0 0
UNDERGROUND SOLUTIONS
INC COM STK COM 904323102 5.00 25,000.00 SH SOLE 25,000 0 0
UNIFI INC COM STK COM 904677101 850.00 50,000.00 SH SOLE 50,000 0 0
UNIVERSAL DISPLAY CORP
COM STK COM 91347P105 1,651.00 30,000.00 SH SOLE 30,000 0 0
UNIVERSAL EXPRESS INC
COM STK COM 91349P103 0.00 775,000.00 SH SOLE 775,000 0 0
URALS ENERGY PUBLIC LTD
(UKM LISTING) COM B0FHR59 5.00 25,000.00 SH SOLE 25,000 0 0
URANIUM RESOURCE COM 916901507 238.00 115,000.00 SH SOLE 115,000 0 0
US GLOBAL NANOSPACE INC
COM STK COM 91729J107 0.00 275,000.00 SH SOLE 275,000 0 0
USA TECHNOLOGIES INC
WARRNT W EXP
12/31/2013 90328S195 129.00 92,500.00 SH SOLE 92,500 0 0
VAALDIAM MINING INC COM COM 918471103 5.00 20,000.00 SH SOLE 20,000 0 0
VALUEVISION MEDIA INC
CL A COM STK CLASS A 92047K107 159.00 25,000.00 SH SOLE 25,000 0 0
VANTAGE DRILLING CO
WRNT EXP 05/24/2011 W EXP
05/24/2011 G93205121 0.00 59,500.00 SH SOLE 59,500 0 0
VELOCITY EXPRESS CORP
COM STK COM 92257T707 1.00 37,833.00 SH SOLE 37,833 0 0
VIRAGEN INC COM STK COM 927638403 0.00 50,000.00 SH SOLE 50,000 0 0
VISHAY INTERTECHNLGYINC COM 928298108 444.00 25,000.00 SH SOLE 25,000 0 0
VISION SCIENCES INC COM 927912105 1,533.00 655,100.00 SH SOLE 655,100 0 0
VITAMIN SHOPPE INC COM 92849E101 846.00 25,000.00 SH SOLE 25,000 0 0
VONAGE HOLDINGS CORP
HOLMDEL COM STK COM 92886T201 502.00 110,000.00 SH SOLE 110,000 0 0
WABASH NATL CORP COM STK COM 929566107 116.00 10,000.00 SH SOLE 10,000 0 0
WAL MART STORES INC COM 931142103 521.00 10,000.00 SH CALL SOLE 10,000 0 0
WARDERLY INTL HLDGS LTD
(HOK LISTING) COM 6572224 0.00 500,000.00 SH SOLE 500,000 0 0
12
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VOTING VOTING VOTING
VALUE SHARES PRN SH/ PUT/ INVESTMENT OTHER AUTHORITY AUTHORITY AUTHORITY
ISSUER TYPE CUSIP *1000 AMT PRN CALL DISCRETION MANAGERS SOLE SHARE NONE
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WARSAW STOCK EXCHANGE
(POL LISTING) COM B55XKV9 258.00 15,000.00 SH SOLE 15,000 0 0
WEATHERFORD INTL LTD
COM STK COM H27013103 339.00 15,000.00 SH SOLE 15,000 0 0
WEIRTON STEEL CORP COM
STK COM 948774104 0.00 300,000.00 SH SOLE 300,000 0 0
WENDYS/ARBYS GROUP INC
CL A CLASS A 950587105 377.00 75,000.00 SH SOLE 75,000 0 0
WEST COAST BANCORP COM 952145985 4,338.00 1,250,000.00 SH SOLE 1,250,000 0 0
WESTELL TECHNOLOGIES
INC CL A COM STK CLASS A 957541105 315.00 90,000.00 SH SOLE 90,000 0 0
WESTWAY GROUP INC WRNT W EXP
05/24/2011 96169B118 10.00 150,000.00 SH SOLE 150,000 0 0
WHITE MTN TITANIUM CORP
COM STK COM 964109102 28.00 25,000.00 SH SOLE 25,000 0 0
WILLIAMS CLAYTON ENERGY
INC COM STK COM 969490101 793.00 7,500.00 SH SOLE 7,500 0 0
WILLIAMS COMPANIES INC
COM STK COM 969457100 1,403.00 45,000.00 SH SOLE 45,000 0 0
WORLD ENERGY SOLUTIONS
INC DEL COM STK COM 98145W208 415.00 100,000.00 SH SOLE 100,000 0 0
WORLD HEALTH ENERGY
HLDGS INC COM STK COM 98148H109 0.00 150,000.00 SH SOLE 150,000 0 0
WORLD HEART CORP
DELAWARE COM 980905400 224.00 176,300.00 SH SOLE 176,300 0 0
WRIGHT MEDICAL GROUP
INC COM STK COM 98235T107 170.00 10,000.00 SH SOLE 10,000 0 0
XECHEM INTERNATIONAL
INC COM STK COM 983895301 0.00 350,500.00 SH SOLE 350,500 0 0
XINERGY LTD COM COM 98417U104 47.00 10,000.00 SH SOLE 10,000 0 0
YM BIOSCIENCES INC COM COM 984238105 132.00 50,000.00 SH SOLE 50,000 0 0
ZALICUS INC COM STK COM 98887C105 73.00 30,000.00 SH SOLE 30,000 0 0
ZANN CORP COM STK COM 98906U300 0.00 25,000.00 SH SOLE 25,000 0 0
ZAP COM STK COM 98912M201 25.00 32,500.00 SH SOLE 32,500 0 0
ZVUE CORP WRNT
08/14/2011 W EXP
08/14/2011 988801114 0.00 75,000.00 SH SOLE 75,000 0 0
13