-----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, Vrjtb0+S2yHpwerENNazj0EjPcABIWkErWXCIAAeXNfqaUYbXl1aPP/IUpC6Weic MSZpdct0Me3QacvSX3SdJQ== 0001354821-09-000005.txt : 20090512 0001354821-09-000005.hdr.sgml : 20090512 20090512162359 ACCESSION NUMBER: 0001354821-09-000005 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090512 DATE AS OF CHANGE: 20090512 EFFECTIVENESS DATE: 20090512 FILER: COMPANY DATA: COMPANY CONFORMED NAME: LEVIN CAPITAL STRATEGIES, L.P. CENTRAL INDEX KEY: 0001354821 IRS NUMBER: 870753486 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12154 FILM NUMBER: 09819145 BUSINESS ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-259-0800 MAIL ADDRESS: STREET 1: 595 MADISON AVENUE STREET 2: 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 lcs13f1q2009.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F-HR Form 13F-HR COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 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: Levin Capital Strategies, L.P. Address: 595 Madison Avenue, 17th Floor New York, NY 10022 Form 13F File Number: 028-12154 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 A. Levin Title: Chairman/CEO Phone: 212-259-0800 Signature, Place, and Date of Signing: John A. Levin New York, New York May 12, 2009 Report Type (Check one only): [ ] 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 are in this report, and all holdings are reported by other reporting manager(s).) [x] 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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-01190 Frank Russell Company --------------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 287 Form 13F Information Table Value Total: $1,920,476 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file nember(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE
Voting Authority -------------------------- Value Shares/ Sh/ Put/ Invstmt Other Name of Issuer Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3M CO COM 88579Y101 394 7925 SH Shared-Other 7925 ABB LTD SPONSORED ADR 000375204 114 8175 SH Sole 8175 9224 661725 SH Shared-Other 3900 656325 1500 ABBOTT LABS COM 002824100 902 18900 SH Shared-Other 18900 ACCENTURE BERMUDA CL A G1150G111 75 2725 SH Sole 2725 3299 120025 SH Shared-Other 575 119450 ACE LTD ORD COM H0023R105 2626 65000 SH Sole 65000 ACUITY BRANDS INC COM 00508Y102 2123 94200 SH Sole 94200 AES CORP COM 00130h105 2544 437838 SH Sole 43728 394110 13841 2382240 SH Shared-Other 42551 2339689 AGILENT TECHNOLOGIES COM 00846U101 8046 523507 SH Sole 235473 288034 6274 408167 SH Shared-Other 407985 182 ALCON INC COM SHS H01301102 10537 115910 SH Sole 67830 48080 6319 69510 SH Shared-Other 69510 ALLEGHANY CORP DEL COM 017175100 432 1596 SH Shared-Other 1596 ALLEGHENY ENERGY INC COM 017361106 21081 909845 SH Sole 291555 543940 74350 38418 1658096 SH Shared-Other 486728 1171368 ALLIANCEBERNSTEIN HLDG UNIT LTD PARTN 01881G106 326 22135 SH Shared-Other 21585 550 ALLIANT ENERGY CORP COM 018802108 869 35189 SH Sole 35189 ALPHA NAT RES INC COM 02076X102 453 25510 SH Sole 25000 510 ALTERNATIVE ASSET MGMT COM 02149U101 1444 150000 SH Sole 150000 ALUMINA LTD SPONSORED ADR 022205108 37 10000 SH Shared-Other 10000 AMERICAN ELECTRIC POWER COM 025537101 8086 320111 SH Sole 55699 230797 33615 33097 1310234 SH Shared-Other 200 231678 1078356 AMERICAN EXPRESS CO. COM 025816109 15814 1160223 SH Sole 318533 671014 170676 14175 1039974 SH Shared-Other 1475 923659 114840 AMERICAN INTL GROUP COM 026874107 3 2600 SH Sole 2600 3637 3636724 SH Shared-Other 3636724 AMGEN INC COM 031162100 693 14000 SH Shared-Other 7200 6800 ANADARKO PETE CORP COM 032511107 6685 171900 SH Sole 95850 76050 7352 189042 SH Shared-Other 65032 124010 AON CORP COM 037389103 2905 71176 SH Sole 71176 96 2350 SH Shared-Other 2350 APOLLO GROUP INC CL A 037604105 2316 29567 SH Sole 28080 1487 34 433 SH Shared-Other 433 APPLIED MATLS INC COM 038222105 4283 398403 SH Sole 230326 168077 3023 281173 SH Shared-Other 281173 ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938l104 460 22960 SH Sole 21850 1110 7 349 SH Shared-Other 349 ASCENT MEDIA CORPORATION COM SER A 043632108 2263 90514 SH Sole 90514 AT&T INC COM 00206R102 47 1880 SH Sole 1880 1890 75002 SH Shared-Other 70044 4958 AVATAR HOLDINGS INC COM 053494100 421 28075 SH Shared-Other 28075 AVISTA CORP COM 05379B107 483 35048 SH Sole 35048 BANK OF AMERICA CORP COM 060505104 1064 156000 SH Sole 150000 6000 BANK OF NY MELLON CORP COM 064058100 34618 1225407 SH Sole 336136 720237 169034 49020 1735216 SH Shared-Other 3101 1499068 233047 BARRICK GOLD CORP COM 067901108 13393 413105 SH Sole 290934 122171 899 27716 SH Shared-Other 27716 BAXTER INTL INC COM 071813109 5196 101442 SH Shared-Other 1300 100142 BCE CORP. COM 05534B760 538 27021 SH Shared-Other 27021 BECTON DICKINSON COM 075887109 1214 18050 SH Sole 18050 13100 194824 SH Shared-Other 600 188024 6200 BERKSHIRE HATHAWAY INC CL B 084670207 1421 504 SH Shared-Other 254 250 BEST BUY INC COM 086516101 3796 100000 SH Sole 100000 BIOGEN IDEC INC COM 09062X103 233 4448 SH Shared-Other 4448 BLACKSTONE GROUP COM 09253U108 362 50000 SH Sole 50000 72 10000 SH Shared-Other 10000 BOARDWALK PIPELIN PTNR UT LTD PARTNER 096627104 6842 305425 SH Shared-Other 305425 BOEING CO COM 097023105 1281 36000 SH Shared-Other 36000 BP PLC SPONSORED ADR 055622104 1203 30000 SH Sole 30000 2590 64584 SH Shared-Other 20384 44200 BRISTOL MYERS-SQUIBB COM 110122108 782 35680 SH Shared-Other 32880 2800 BURLINGTON NRTHN SANTA COM 12189T104 1504 25000 SH Sole 25000 CALPINE CORP COM 131347304 7646 1122763 SH Sole 150312 704701 267750 3653 536454 SH Shared-Other 500 534501 1453 CAMECO CORP COM 13321L108 549 32000 SH Shared-Other 32000 CAMERON INTL CORP COM 13342B105 2050 93500 SH Sole 93500 CANADIAN NATL RY CO COM 136375102 830 23400 SH Shared-Other 23400 CANADIAN NATURAL RESOURCES COM 136385101 85 2200 SH Sole 2200 2484 64425 SH Shared-Other 300 61890 2235 CARACO PHARM LABS LTD COM 14075T107 1091 310000 SH Sole 300000 10000 CATERPILLAR INC COM 149123101 5203 186080 SH Sole 120750 65330 5303 189666 SH Shared-Other 50 112521 77095 CENTERPOINT ENERGY INC COM 15189T107 2090 200407 SH Sole 64283 136124 8504 815309 SH Shared-Other 14854 800455 CHEVRON CORP NEW COM 166764100 4727 70295 SH Shared-Other 68167 2128 CHICOS FAS INC COM 168615102 2014 375000 SH Sole 375000 CISCO SYS INC COM 17275R102 13237 789344 SH Sole 331764 415060 42520 12932 771124 SH Shared-Other 674544 96580 CITIGROUP INC COM 172967101 447 176747 SH Sole 121047 55700 1090 430760 SH Shared-Other 1460 428375 925 CLIFFS NATURAL RESOURCES INC COM 18683K101 1910 105150 SH Sole 75170 29980 143 7880 SH Shared-Other 7880 CMS ENERGY CORP COM 125896100 7958 672169 SH Sole 129989 542180 38712 3269627 SH Shared-Other 60665 3208962 CNA FINL CORP COM 126117100 229 25000 SH Shared-Other 25000 CNINSURE INC SPONSORED ADR 18976M103 744 101000 SH Sole 101000 COCA COLA CO COM 191216100 2304 52434 SH Sole 14194 38240 14793 336578 SH Shared-Other 3225 263889 69464 COHEN&STEERS SEL UTIL COM COM 19248A109 336 37274 SH Sole 37274 COMCAST CORP NEW CL A CL A 20030N101 1783 130750 SH Sole 40760 89990 1863 136564 SH Shared-Other 136564 COMCAST CORP NEW CL A CL A SPL 20030N200 12722 988471 SH Sole 358916 499061 130494 15251 1185024 SH Shared-Other 1437 1041792 141795 COMMUNITY HEALTH SYS COM 203668108 1537 100164 SH Sole 100164 CONOCOPHILLIPS COM 20825C104 161 4119 SH Sole 4119 4596 117367 SH Shared-Other 568 113427 3372 CONSTELLATION ENERGY COM 210371100 3167 153292 SH Sole 59554 93738 11614 562153 SH Shared-Other 10226 551927 COVIDIEN LTD COM G2552X108 575 17289 SH Shared-Other 17289 CRUCELL N V SPONSORED ADR 228769105 2452 124394 SH Sole 122614 1780 118 6000 SH Shared-Other 6000 CVS CAREMARK CORP COM 126650100 7480 272090 SH Sole 123840 148250 6192 225250 SH Shared-Other 225250 DELTA AIRLINES COM 247361702 5365 952870 SH Sole 243968 521815 187087 249 44282 SH Shared-Other 43907 375 DELTA PETE CORP COM NEW 247907207 12 10000 SH Shared-Other 10000 DEVON ENERGY CORP COM 25179M103 11972 267890 SH Sole 120570 134490 12830 11075 247808 SH Shared-Other 225198 22610 DIAGEO PLC NEW SPON ADR SPON ADR NEW 25243Q205 5130 114632 SH Sole 78572 36060 11916 266288 SH Shared-Other 1070 215478 49740 DIAMONDS TR UNIT SER 1 252787106 7584 100000 SH Sole 100000 4 52 SH Shared-Other 52 DISNEY WALT CO COM 254687106 655 36051 SH Shared-Other 35651 400 DOW CHEMICAL CO COM 260543103 25 2975 SH Sole 2975 750 89000 SH Shared-Other 100 84050 4850 DPL INC COM 233293109 594 26374 SH Sole 26374 DUKE ENERGY CORP COM 26441C105 3193 222993 SH Sole 432 222561 19168 1338578 SH Shared-Other 24214 1314364 DYAX CORP COM 26746E103 257 102470 SH Shared-Other 102470 DYCOM INDS INC COM 267475101 419 72400 SH Sole 72400 DYNEGY INC NEW CL A 26817G102 7763 5505331 SH Sole 529385 3535806 1440140 4041 2866179 SH Shared-Other 10300 1004360 1851519 E M C CORP MASS COM COM 268648102 5464 479267 SH Sole 211062 268205 6730 590372 SH Shared-Other 375 581177 8820 EATON VANCE CORP COM 278265103 2596 113600 SH Shared-Other 113600 ECHOSTAR HOLDING CORP CL A 278768106 2238 150930 SH Sole 150930 EDISON INTL COM 281020107 1014 35179 SH Sole 70 35109 6249 216900 SH Shared-Other 3924 212976 EL PASO CORP COM 28336L109 437 70000 SH Sole 70000 EMCOR GROUP INC COM 29084Q100 429 25000 SH Sole 25000 ENERGY XXI (BERMUDA) COM SHS COM SHS G10082108 300 800215 SH Sole 800215 ENTERGY CORP COM 29364G103 3464 50879 SH Sole 99 50780 20986 308203 SH Shared-Other 5546 302657 ENZON INC COM 293904108 3929 647335 SH Sole 647335 EXELON CORP COM 30161N101 11168 246039 SH Sole 25299 196530 24210 48102 1059744 SH Shared-Other 555 124358 934831 EXXON MOBIL CORP COM 30231G102 13325 195670 SH Shared-Other 187114 8556 FEI CO COM 30241L109 468 30307 SH Sole 30307 FIDELITY NATL FINL INC CL A 31620R105 415 21285 SH Shared-Other 21285 FIRST OPPORTUNITY FD I COM COM 33587T108 46 10600 SH Shared-Other 10600 FIRSTENERGY CORP COM COM 337932107 2342 60671 SH Sole 114 60557 13704 355026 SH Shared-Other 6430 348596 FORTRESS INVESTMENT GROUP LLC CL A 34958B106 377 150186 SH Sole 150186 75 30000 SH Shared-Other 30000 FPL GROUP INC. COM 302571104 4978 98124 SH Sole 189 97935 29709 585630 SH Shared-Other 10596 575034 FREEPORT-MCMORAN COP&GOLD CL B COM 35671D857 99 2600 SH Sole 2600 4912 128900 SH Shared-Other 700 127700 500 FUELCELL ENERGY INC COM 35952H106 880 366598 SH Shared-Other 366598 GENERAL AMER INVS COM 368802104 75 4885 SH Sole 4885 269 17518 SH Shared-Other 17518 GENERAL ELECTRIC CO COM 369604103 5765 570254 SH Sole 137301 303098 129855 12797 1265822 SH Shared-Other 2275 1005975 257572 GENWORTH FINL INC COM CL A 37247D106 256 135000 SH Sole 135000 GLAXOSMITHKLINE PLC SPONSORED ADR 37733W105 1999 64341 SH Shared-Other 11604 52737 GOOGLE INC CL A 38259P508 8325 23919 SH Sole 13296 7563 3060 269 774 SH Shared-Other 774 GREATER CHINA FD INC COM 39167B102 62 7656 SH Sole 7656 3691 455089 SH Shared-Other 1750 452239 1100 GULFMARK OFFSHORE INC COM 402629109 2023 84800 SH Shared-Other 84800 HARRIS CORP DEL COM 413875105 6372 220179 SH Sole 100197 119982 5088 175806 SH Shared-Other 175806 HESS CORP COM 42809H107 8167 150689 SH Sole 79914 50845 19930 300 5537 SH Shared-Other 5537 HEWLETT PACKARD CO COM 428236103 877 27360 SH Shared-Other 26400 960 INFINEON TECHNOLOGIES SPONSORED ADR 45662N103 565 500000 SH Sole 500000 INGERSOLL-RAND CO COM G4776G101 25193 1825591 SH Sole 595182 1041260 189149 26952 1953071 SH Shared-Other 275 1767741 185055 INTEL CORP COM 458140100 361 24032 SH Shared-Other 18932 5100 INTL BUS MACHINES COM 459200101 15237 157257 SH Sole 56256 82411 18590 15207 156953 SH Shared-Other 360 142380 14213 INTREPID POTASH INC COM 46121Y102 740 40124 SH Sole 40124 IPATH DJ AIG AGG TTL RTN SUB E ETN GLB CARB38 06739H206 697 18000 SH Shared-Other 18000 ISHARES BARCLAYS 20+ YR TRS BD BARCLYS 20+ YR 464287432 3402 32184 SH Sole 26251 5933 198 1869 SH Shared-Other 1869 ISHARES INC MSCI JAPAN 464286848 104 13125 SH Shared-Other 13125 ISHARES TR BARCLYS 7-10 YR 464287440 3110 32202 SH Sole 26271 5931 161 1670 SH Shared-Other 1670 J F CHINA REGION FD COM 46614T107 91 10384 SH Sole 10384 3589 408253 SH Shared-Other 408253 JETBLUE AWYS CORP COM 477143101 219 60000 SH Sole 60000 JOHNSON & JOHNSON COM 478160104 5644 107302 SH Sole 48852 58450 33687 640428 SH Shared-Other 3501 570221 66706 JP MORGAN CHASE & CO COM 46625H100 7005 263555 SH Sole 118590 124775 20190 9870 371348 SH Shared-Other 400 311793 59155 KAMAN CORP COM 483548103 228 18218 SH Sole 18218 KING PHARMACEUTICALS COM 495582108 1145 162000 SH Sole 150000 12000 KKR FINL HLDGS LLC COM 48248A306 50 56500 SH Sole 56500 LABORATORY AMER HLDGS COM 50540R409 363 6200 SH Shared-Other 6200 LAZARD GLB TTL RET&INC COM 52106W103 137 14200 SH Shared-Other 11200 3000 LEGG MASON INC COM 524901105 722 45430 SH Sole 45430 LG DISPLAY CO LTD SPONS ADR REP 50186V102 1145 112000 SH Sole 105000 7000 LIBERTY ACQUISITION HL COM COM 53015Y107 1536 175000 SH Sole 175000 LIBERTY ALL-STAR GROWTH FUND COM 529900102 52 21700 SH Shared-Other 21700 LIBERTY GLOBAL INC COM SER A 530555101 27 1850 SH Sole 1850 1584 108775 SH Shared-Other 519 107984 272 LIBERTY GLOBAL INC COM SER C 530555309 26 1850 SH Sole 1850 1631 115435 SH Shared-Other 519 114644 272 LIBERTY MEDIA CORP ENT COM SER A 53071M500 87 4364 SH Sole 4364 4332 217124 SH Shared-Other 32 217092 LIBERTY MEDIA HLDG CORP CAP COM SER A 53071M302 8 1091 SH Sole 1091 379 54281 SH Shared-Other 8 54273 LIBERTY MEDIA HLDG CORP INT COM SER A 53071M104 16 5463 SH Sole 5463 897 309405 SH Shared-Other 1051 307789 565 MACROVISION CORP COM 55611C108 2580 145000 SH Sole 145000 MAGUIRE PPTYS INC COM 559775101 72 100276 SH Sole 100276 MANNKIND CORP COM 56400P201 52 15000 SH Shared-Other 15000 MARSH & MCLENNAN COS COM 571748102 178 8810 SH Sole 8810 4744 234265 SH Shared-Other 825 232880 560 MASCO CORP COM 574599106 349 50000 SH Sole 50000 MCDERMOTT INTL INC COM 580037109 456 34090 SH Sole 10330 23760 2104 157150 SH Shared-Other 51270 105880 MCGRAW HILL INC COM 580645109 103 4525 SH Sole 4525 4889 213772 SH Shared-Other 925 212122 725 MCMORAN EXPLORATION CO COM 582411104 1114 237037 SH Sole 237037 METLIFE INC COM 59156R108 569 25000 SH Sole 25000 MFS SPL VALUE TR SH BEN INT 55274E102 73 18700 SH Shared-Other 18700 MICROSOFT CORP COM 594918104 6544 356221 SH Sole 15000 222571 118650 9130 496980 SH Shared-Other 1175 392435 103370 MOLSON COORS CL B 60871R209 1028 30000 SH Sole 30000 MOTOROLA INC COM 620076109 16066 3798102 SH Sole 1291876 2054726 451500 12504 2955982 SH Shared-Other 2603112 352870 MURPHY OIL CORP COM 626717102 453 10128 SH Shared-Other 10128 NABORS INDUSTRIES LTD SHS G6359F103 240 23984 SH Shared-Other 23984 NEW YORK TIMES CL A 650111107 68 15150 SH Shared-Other 14750 400 NEWPARK RES INC COM 651718504 524 207100 SH Shared-Other 207100 NISOURCE INC COM 65473P105 1448 147715 SH Sole 43584 104131 6104 622903 SH Shared-Other 11359 611544 NORTHEAST UTILS COM 664397106 653 30227 SH Sole 58 30169 4241 196446 SH Shared-Other 19292 177154 NORTHERN TRUST CORP COM 665859104 11805 197344 SH Sole 133184 64160 15803 264176 SH Shared-Other 5400 180676 78100 NRDC ACQUISITION CORP COM 62941R102 731 76500 SH Sole 76500 NRG ENERGY INC COM 629377508 865 49159 SH Sole 25046 24113 3949 224367 SH Shared-Other 350 84062 139955 NV ENERGY INC COM 67073Y106 3004 319910 SH Sole 101700 218210 12653 1347452 SH Shared-Other 25003 1322449 OCCIDENTAL PETROLEUM CORP. COM 674599105 223 4000 SH Shared-Other 4000 OCH ZIFF CAP MGMT GRP CL A 67551U105 61 10000 SH Shared-Other 10000 ORACLE SYSTEMS CORP COM 68389X105 538 29800 SH Shared-Other 29800 PARK OHIO INDS INC OH COM 700666100 165 50583 SH Sole 50583 PEPSICO INC COM 713448108 2453 47657 SH Shared-Other 2500 45157 PETROCHINA CO LTD SPONSORED ADR 71646E100 300 3770 SH Shared-Other 3670 100 PETROLEO BRASILEIRO SA SP ADR NON VTG 71654V101 490 20000 SH Sole 20000 PETROLEO BRASILEIRO SA SPONSORED ADR 71654V408 1981 65000 SH Sole 65000 PFIZER INC COM 717081103 4 300 SH Sole 300 3328 244320 SH Shared-Other 60 242325 1935 PG&E CORP COM 69331C108 6767 177051 SH Sole 10625 166426 42121 1102069 SH Shared-Other 445 149119 952505 PLAINS EXPL & PRODTN COM 726505100 2305 133799 SH Sole 133799 POTASH CORP SASK INC COM 73755L107 4687 57997 SH Sole 50000 5791 2206 85 1053 SH Shared-Other 604 449 POWERSHS DB MULTI SECT DB AGRICULT FD 73936B408 5241 214000 SH Sole 210000 4000 147 6000 SH Shared-Other 6000 PPL CORP COM 69351T106 6496 226266 SH Sole 37800 188466 32581 1134831 SH Shared-Other 21465 1113366 PROCTER & GAMBLE CO COM 742718109 10132 215170 SH Sole 97910 117260 10832 230017 SH Shared-Other 228017 2000 PROSHARES TR ULTRASHRT O&G COM 74347R586 793 30000 SH Sole 30000 PUBLIC SVC ENTERPRISES COM 744573106 5499 186609 SH Sole 18699 167910 29912 1015009 SH Shared-Other 18186 996823 QUEST DIAGNOSTICS INC COM 74834L100 323 6800 SH Shared-Other 6800 QUESTAR CORP COM 748356102 169 5745 SH Sole 11 5734 1003 34086 SH Shared-Other 618 33468 RALCORP HLDGS INC COM 751028101 4714 87500 SH Sole 87500 REGAL BELOIT CORP COM 758750103 613 20000 SH Sole 20000 RELIANT RES INC COM 75952B105 194 60717 SH Sole 60717 ROBBINS & MYERS INC COM 770196103 531 35000 SH Sole 35000 ROCKWELL AUTOMATION CORP NEW COM 773903109 7612 348550 SH Sole 157260 191290 6025 275890 SH Shared-Other 275890 ROCKWOOD HLDGS INC COM 774415103 615 77500 SH Sole 77500 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 261 5888 SH Shared-Other 3200 2688 SANGAMO BIOSCIENCES COM 800677106 38 8935 SH Sole 8935 13 3000 SH Shared-Other 3000 SAPPHIRE INDUSTRL CORP COM 80306T109 1668 175000 SH Sole 175000 SARA LEE CORP COM 803111103 15013 1858046 SH Sole 844606 912050 101390 14617 1809058 SH Shared-Other 2300 1561848 244910 SATYAM COMP SRVCS LTD ADR 804098101 542 345000 SH Sole 345000 SCHERING-PLOUGH CORP COM 806605101 3532 150000 SH Sole 150000 73 3100 SH Shared-Other 3100 SCHLUMBERGER LTD F COM 806857108 3742 92128 SH Shared-Other 92128 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 1290 70000 SH Sole 70000 323 17500 SH Shared-Other 17500 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 231 14790 SH Shared-Other 14790 SEPRACOR INC COM 817315104 1790 122109 SH Sole 122109 SIEMENS A G SPONSORED ADR 826197501 7739 135843 SH Sole 61829 74014 6104 107144 SH Shared-Other 107144 SIRIUS XM RADIO INC COM 82967N108 0 760 SH Sole 760 4 11907 SH Shared-Other 500 11407 SLM CORP COM 78442P106 495 100000 SH Sole 100000 SOLUTIA INC COM NEW 834376501 514 275000 SH Sole 275000 SOUTHERN CO COM 842587107 3151 102921 SH Sole 193 102728 18846 615468 SH Shared-Other 11208 604260 SOUTHERN UN CO NEW COM 844030106 858 56390 SH Sole 25000 2330 29060 114 7480 SH Shared-Other 7480 SPDR GOLD TRUST GOLD SHS 78463V107 1670 18500 SH Sole 15000 3500 12296 136195 SH Shared-Other 50 136145 SPDR TR UNIT SER 1 UNIT SER 1 78462F103 490 6157 SH Shared-Other 6157 STAPLES INC COM 855030102 20618 1138510 SH Sole 470990 531740 135780 22106 1220654 SH Shared-Other 3300 1080714 136640 STATE ST BOSTON CORP COM 857477103 5426 176290 SH Sole 75000 73360 27930 250 8130 SH Shared-Other 7330 800 STERLING FINANCIAL CORP COM 859319105 194 93535 SH Shared-Other 93535 TALISMAN ENERGY INC COM 87425E103 420 40000 SH Sole 40000 TARGET CORP COM 87612E106 15118 439605 SH Sole 200118 239487 12079 351222 SH Shared-Other 351222 TECO ENERGY INC COM 872375100 463 41499 SH Sole 80 41419 2764 247886 SH Shared-Other 4485 243401 TEMPLE INLAND INC COM 879868107 1 240 SH Sole 240 107 20000 SH Shared-Other 150 19750 100 TEMPLETON DRAGON FD COM 88018T101 74 4145 SH Sole 4145 4670 262510 SH Shared-Other 940 260825 745 TEXAS INSTRUMENTS COM 882508104 274 16600 SH Shared-Other 16000 600 THERMO FISHER SCIENTIF COM 883556102 7206 202017 SH Sole 97114 104903 9652 270593 SH Shared-Other 800 269793 TIFFANY & CO NEW COM 886547108 1 50 SH Sole 50 484 22450 SH Shared-Other 7500 14950 TIME WARNER CABLE INC CL A COM 88732J207 7 287 SH Sole 287 626 25231 SH Shared-Other 336 24864 31 TIME WARNER INC COM COM 887317303 22 1150 SH Sole 1150 1942 100637 SH Shared-Other 1340 99172 125 TRANSOCEAN LTD REG SHS H8817H100 2354 40000 SH Sole 40000 25 419 SH Shared-Other 419 TRAVELERS COMPANIES COM 89417E109 1100 27061 SH Shared-Other 210 26851 TRIAN ACQUISITION I CORP COM 89582E108 4110 441460 SH Sole 441460 TRIAN ACQUISITION I CORP UNIT EX 89582E207 943 100000 SH Sole 100000 TYCO ELECTRONICS LTD COM NEW G9144P105 21 1880 SH Sole 1880 771 69816 SH Shared-Other 362 69217 237 TYCO INTERNATIONAL LTD SHS COM H89128104 37 1880 SH Sole 1880 1696 86695 SH Shared-Other 362 86096 237 UNDER ARMOUR INC CL A 904311107 316 19221 SH Sole 18333 888 5 279 SH Shared-Other 279 UNILEVER NV N Y SHS NEW 904784709 26259 1339735 SH Sole 407446 807219 125070 25240 1287761 SH Shared-Other 1150497 137264 UNISOURCE ENERGY CORP COM 909205106 2378 84353 SH Sole 25701 58652 9872 350203 SH Shared-Other 6399 343804 UNIVERSAL HEALTH SVCS COM 913903100 230 6000 SH Shared-Other 6000 VARIAN MED SYS INC COM 92220P105 468 15372 SH Shared-Other 15372 VERIGY LTD COM Y93691106 2165 262400 SH Sole 252400 10000 0 22 SH Shared-Other 22 VERIZON COMMUNICATIONS COM 92343V104 245 8107 SH Shared-Other 7397 710 VMWARE INC CL A COM 928563402 286 12103 SH Sole 11541 562 5 203 SH Shared-Other 203 VORNADO INC COM 929042109 59 1778 SH Sole 1778 2230 67076 SH Shared-Other 101 63722 3253 WAL MART STORES INC COM 931142103 5210 100000 SH Sole 100000 29 550 SH Shared-Other 200 350 WALGREEN CO COM 931422109 3245 125000 SH Sole 125000 WALTER ENERGY INC COM 93317Q105 572 25000 SH Sole 25000 WEATHERFORD INTL INC COM H27013103 2980 269160 SH Shared-Other 269160 WELLS FARGO & CO COM 949746101 890 62466 SH Sole 59580 2886 127 8907 SH Shared-Other 907 8000 WENDYS INTL INC COM 950587105 75 15000 SH Shared-Other 15000 WILLIAMS COS INC DEL COM 969457100 28233 2480937 SH Sole 767671 1464706 248560 47093 4138224 SH Shared-Other 3500 2192042 1942682 WILLIAMS PARTNERS L P COM UNIT L P 96950F104 2049 183600 SH Shared-Other 183600 WILLIS GROUP HLDGS LTD SHS G96655108 1206 54800 SH Shared-Other 54800 WYETH COM 983024100 35898 834067 SH Sole 364155 388722 81190 33513 778648 SH Shared-Other 2350 670333 105965 XCEL ENERGY INC COM 98389B100 1171 62832 SH Sole 121 62711 6985 374954 SH Shared-Other 6810 368144 YAHOO INC COM 984332106 1803 140771 SH Sole 140771 ZIMMER HLDGS INC COM 98956P102 205 5616 SH Shared-Other 5336 280 COHEN & STEERS ADV INC RLTY COM 19247W102 50 25000 SH Shared-Other 25000 ALPHA NATURAL RESOURCES INC CONV NOTE 2.375% 02076XAA0 646 1000000 PRN Sole 1000000 ANIXTER INTL INC CONV NOTE 035290AJ4 739 975000 PRN Shared-Other 975000 DST SYS INC DEL DBCV 233326AD9 1752 2000000 PRN Sole 2000000 DST SYS INC DEL DBCV 4.125% 233326AB3 487 500000 PRN Sole 500000 E M C CORP MASS NOTE 1.750% 268648AM4 1442 1477000 PRN Shared-Other 1387000 90000 EASTMAN KODAK CO NOTE 3.375% 277461BE8 770 1000000 PRN Sole 1000000 INTEL CORP 2.95 12/15/2035 SDCV 2.950% 458140AD2 469 575000 PRN Shared-Other 575000 PROTEIN DESIGN LABS INC NOTE 2.000% 74369LAF0 3435 4000000 PRN Sole 4000000 SANDISK CORP NOTE 1.000% 80004CAC5 1500 2500000 PRN Sole 2500000 US BANCORP FLOATER DBCV 902973AK2 178 200000 PRN Shared-Other 200000 VORNADO RLTY L P DEB 3.875% 929043AC1 1172 1500000 PRN Sole 1500000 VORNADO RLTY L P DBCV 3.625% 929043AE7 5288 6779000 PRN Sole 6779000 119 153000 PRN Shared-Other 153000 VORNADO RLTY TR DBCV 2.850% 929042AC3 1875 2500000 PRN Sole 2500000 WYETH FLOAT 1/15/2024 DBCV 983024AD2 9947 10017000 PRN Sole 4814000 5203000 28750 28953000 PRN Shared-Other 147000 28746000 60000 CRESUD S.A. ADR WARRANTS *W EXP 05/22/201 P3311R192 0 29050 SH Shared-Other 29050 Clark Holdings Inc WTS *w EXP 02/15/201 18145M117 1 99800 SH Sole 99800 AT&T INC 5/28 PUT PUT 2VG99R949 277 770 SH PUT Sole 734 36 4 11 SH PUT Shared-Other 11 CERADYNE INC 4/20 PUT PUT 1Z499F973 281 1249 SH PUT Sole 1191 58 4 18 SH PUT Shared-Other 18 CHIPOTLE MEXCN 4/75 PUT PUT 2WH99P601 456 480 SH PUT Sole 458 22 7 7 SH PUT Shared-Other 7 COLUMBIA SPORT 4/35 PUT PUT 1KS99C522 384 768 SH PUT Sole 732 36 6 12 SH PUT Shared-Other 12 EXXON MOBIL CORP 4/70 PUT PUT 3FZ99S429 199 576 SH PUT Sole 550 26 3 8 SH PUT Shared-Other 8 EXXON MOBIL CORP 4/75 PUT PUT 3S699R326 350 480 SH PUT Sole 458 22 5 7 SH PUT Shared-Other 7 POTASH CORP 4/80 PUT PUT 7Z799B981 306 600 SH PUT Sole 600 RESEARCH IN MO 4/45 PUT PUT 2RD99R032 646 1519 SH PUT Sole 1419 100 9 22 SH PUT Shared-Other 22 SPDR TR 4/79 PUT PUT 07B99T291 899 3500 SH PUT Sole 3500 SPDR TR 4/80 PUT PUT 07B99T309 2186 7167 SH PUT Sole 6682 485 47 153 SH PUT Shared-Other 153 UNDER ARMOUR 4/20 PUT PUT 1Y599J738 292 768 SH PUT Sole 732 36 5 12 SH PUT Shared-Other 12 URBAN OUTFITTR 4/20 PUT PUT 9Z399R848 504 1440 SH PUT Sole 1374 66 7 21 SH PUT Shared-Other 21 VMWARE INC 4/25 PUT PUT 0Z299B546 347 1543 SH PUT Sole 1483 60 4 18 SH PUT Shared-Other 18 VORNADO REALTY 4/40 PUT PUT 41X99S751 568 800 SH PUT Sole 800 WELLS FARGO 4/17.5 PUT PUT 9JW99Q828 818 2152 SH PUT Sole 2014 138 11 30 SH PUT Shared-Other 30 WHIRLPOOL CORP 4/30 PUT PUT 4XP99L441 216 864 SH PUT Sole 824 40 3 13 SH PUT Shared-Other 13 WYNN RESORTS 4/22.5 PUT PUT 5VS99S230 319 912 SH PUT Sole 869 43 5 14 SH PUT Shared-Other 14 ALLERGAN INC 4/55 CALL CALL 0VW993292 244 2030 SH CALL Sole 2000 30 BLACKROCK INC 4/120 CALL CALL 6VQ99N711 426 300 SH CALL Sole 300 CONOCOPHILLIPS 4/40 CALL CALL 5W599P684 244 2000 SH CALL Sole 2000 DELTA AIR LNS 1/2011 10 CALL CALL 68X99Q048 360 2000 SH CALL Sole 2000 INGERSOLL-RAND 4/12.5 CALL CALL 9V799E974 320 2000 SH CALL Sole 2000 INGERSOLL-RAND 6/12.5 CALL CALL 9V899S857 235 1000 SH CALL Sole 1000 MCGRAW HILL 1/2010 20 CALL CALL 5VX99W060 295 500 SH CALL Sole 500 MCGRAW HILL 4/20 CALL CALL 5GR996844 320 1000 SH CALL Sole 1000
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