-----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, ATIEu5UQBTUNvF+Mysioi0IlCKySuW5aHC1XytlOMUonKESdVVmi/bQVYLpY7Q6U qWyF2TZxgwwXElDAjOJriA== 0001140361-10-006368.txt : 20100216 0001140361-10-006368.hdr.sgml : 20100215 20100216110328 ACCESSION NUMBER: 0001140361-10-006368 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BAM Capital, LLC CENTRAL INDEX KEY: 0001355197 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11852 FILM NUMBER: 10603352 BUSINESS ADDRESS: STREET 1: 237 PARK AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-692-6340 MAIL ADDRESS: STREET 1: 237 PARK AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 form13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 12/31/2009 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: BAM Capital, LLC Address: 44 Wall Street, Suite 1603 New York, NY 10005 Form 13F File Number: 28-11852 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. Persons Signing this Report on Behalf of Reporting Manager: Name: Hal Mintz Title: Managing Member Phone: (646) 307-4500 Signature, Place, and Date of Signing: /s/ Hal Mintz New York, NY 2/16/2010 - --------------------------------- --------------------------------- ---------- [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 are 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).) List of Other Managers Reporting for this Manager: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 380 Form 13F Information Table Value Total: $ 474,912 -------------- (In Thousands) List of Other Included Managers: Provide a numbered list of the name(s) and 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. 028-13503 Ross Berman - ---- -------------------- ---------------------------------------------------- 2. 028-13502 Hal Mintz - ---- -------------------- ---------------------------------------------------- 3. 028-13504 BAM Management, LLC - ---- -------------------- ---------------------------------------------------- Notes on Information Table: (1) Information provided in Column 2 refers in each case to the underlying instrument. (2) Number of shares provided in Column 5 refers, in the case of options, to the number of shares underlying the options. (3) Voting authority in Column 8 refers, in the case of options, to the number of shares underlying the options. It should be noted that unexercised options, and exercised put options, confer no voting authority.
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- ABIOMED INC COM COM 003654100 276 379,200 CALL DEFINED 1,2,3 0 379,200 0 ABIOMED INC COM COM 003654100 0 2,000 PUT DEFINED 1,2,3 0 2,000 0 ACORDA THERAPEUTICS INC COM COM 00484M106 4,126 163,724 SH DEFINED 1,2,3 0 163,724 0 ACORDA THERAPEUTICS INC COM COM 00484M106 168 25,400 CALL DEFINED 1,2,3 0 25,400 0 ACORDA THERAPEUTICS INC COM COM 00484M106 602 915,100 PUT DEFINED 1,2,3 0 915,100 0 AFFILIATED COMPUTER SERVICES CL A COM 008190100 1 21,000 PUT DEFINED 1,2,3 0 21,000 0 AGILENT TECHNOLOGIES INC COM COM 00846U101 6,009 193,393 SH DEFINED 1,2,3 0 193,393 0 AGILENT TECHNOLOGIES INC COM COM 00846U101 111 122,400 CALL DEFINED 1,2,3 0 122,400 0 AGILENT TECHNOLOGIES INC COM COM 00846U101 91 161,500 PUT DEFINED 1,2,3 0 161,500 0 AGNICO EAGLE MINES LTD COM COM 008474108 73 50,000 CALL DEFINED 1,2,3 0 50,000 0 AGNICO EAGLE MINES LTD COM COM 008474108 20 30,000 PUT DEFINED 1,2,3 0 30,000 0 AKAMAI TECHNOLOGIES INC COM COM 00971T101 3,269 129,000 SH DEFINED 1,2,3 0 129,000 0 AKAMAI TECHNOLOGIES INC COM COM 00971T101 843 211,100 CALL DEFINED 1,2,3 0 211,100 0 AKAMAI TECHNOLOGIES INC COM COM 00971T101 27 147,700 PUT DEFINED 1,2,3 0 147,700 0 ALCOA INC COM COM 013817101 1,165 72,295 SH DEFINED 1,2,3 0 72,295 0 ALCOA INC COM COM 013817101 367 694,500 CALL DEFINED 1,2,3 0 694,500 0 ALCOA INC COM COM 013817101 21 476,500 PUT DEFINED 1,2,3 0 476,500 0 ALCON INC COM SHS COM H01301102 6,315 38,424 SH DEFINED 1,2,3 0 38,424 0 ALCON INC COM SHS COM H01301102 1,470 82,700 CALL DEFINED 1,2,3 0 82,700 0 ALCON INC COM SHS COM H01301102 133 88,600 PUT DEFINED 1,2,3 0 88,600 0 ALEXION PHARMACEUTICALS INC COM COM 015351109 129 70,100 CALL DEFINED 1,2,3 0 70,100 0 ALEXION PHARMACEUTICALS INC COM COM 015351109 1 23,800 PUT DEFINED 1,2,3 0 23,800 0 ALKERMES INC COM COM 01642T108 2,524 268,220 SH DEFINED 1,2,3 0 268,220 0 ALKERMES INC COM COM 01642T108 375 642,500 CALL DEFINED 1,2,3 0 642,500 0 ALKERMES INC COM COM 01642T108 2,055 768,100 PUT DEFINED 1,2,3 0 768,100 0 ALLOS THERAPEUTICS INC COM COM 019777101 204 31,000 SH DEFINED 1,2,3 0 31,000 0 ALLOS THERAPEUTICS INC COM COM 019777101 0 18,400 CALL DEFINED 1,2,3 0 18,400 0 ALLOS THERAPEUTICS INC COM COM 019777101 107 31,000 PUT DEFINED 1,2,3 0 31,000 0 AMAG PHARMACEUTICALS INC COM COM 00163U106 2,612 68,675 SH DEFINED 1,2,3 0 68,675 0 AMAG PHARMACEUTICALS INC COM COM 00163U106 205 247,300 CALL DEFINED 1,2,3 0 247,300 0 AMAG PHARMACEUTICALS INC COM COM 00163U106 473 179,500 PUT DEFINED 1,2,3 0 179,500 0 AMERICAN INTL GROUP INC COM NEW ADDED COM 026874784 1,041 34,718 SH DEFINED 1,2,3 0 34,718 0 AMERICAN INTL GROUP INC COM NEW ADDED COM 026874784 361 241,100 CALL DEFINED 1,2,3 0 241,100 0 AMERICAN INTL GROUP INC COM NEW ADDED COM 026874784 1,101 257,300 PUT DEFINED 1,2,3 0 257,300 0 AMGEN INC COM COM 031162100 12,458 220,227 SH DEFINED 1,2,3 0 220,227 0 AMGEN INC COM COM 031162100 317 200,000 CALL DEFINED 1,2,3 0 200,000 0 AMGEN INC COM COM 031162100 2,188 792,700 PUT DEFINED 1,2,3 0 792,700 0 AMPHENOL CORP NEW CL A COM 032095101 139 3,000 SH DEFINED 1,2,3 0 3,000 0 AMPHENOL CORP NEW CL A COM 032095101 207 59,400 CALL DEFINED 1,2,3 0 59,400 0 AMPHENOL CORP NEW CL A COM 032095101 23 22,300 PUT DEFINED 1,2,3 0 22,300 0 AMYLIN PHARMACEUTICALS INC COM COM 032346108 1,735 1,538,700 CALL DEFINED 1,2,3 0 1,538,700 0 AMYLIN PHARMACEUTICALS INC COM COM 032346108 952 781,500 PUT DEFINED 1,2,3 0 781,500 0 APOLLO GROUP INC CL A COM 037604105 64 17,500 CALL DEFINED 1,2,3 0 17,500 0 ARCHER DANIELS MIDLAND CO COM COM 039483102 1,566 50,000 SH DEFINED 1,2,3 0 50,000 0 ARCHER DANIELS MIDLAND CO COM COM 039483102 10 387,300 CALL DEFINED 1,2,3 0 387,300 0 ARCHER DANIELS MIDLAND CO COM COM 039483102 433 50,000 PUT DEFINED 1,2,3 0 50,000 0 ARENA PHARMACEUTICALS INC COM COM 040047102 1,162 327,397 SH DEFINED 1,2,3 0 327,397 0 ARENA PHARMACEUTICALS INC COM COM 040047102 1 30,700 CALL DEFINED 1,2,3 0 30,700 0 ARENA PHARMACEUTICALS INC COM COM 040047102 282 259,100 PUT DEFINED 1,2,3 0 259,100 0 ARIAD PHARMACEUTICALS INC COM COM 04033A100 653 286,583 SH DEFINED 1,2,3 0 286,583 0 ARIAD PHARMACEUTICALS INC COM COM 04033A100 508 921,900 CALL DEFINED 1,2,3 0 921,900 0 ARIAD PHARMACEUTICALS INC COM COM 04033A100 1,784 2,354,600 PUT DEFINED 1,2,3 0 2,354,600 0 ARYX THERAPEUTICS INC COM COM 043387109 71 22,200 SH DEFINED 1,2,3 0 22,200 0 AUTODESK INC COM COM 052769106 3,661 144,088 SH DEFINED 1,2,3 0 144,088 0 AUTODESK INC COM COM 052769106 387 138,700 PUT DEFINED 1,2,3 0 138,700 0 AUXILIUM PHARMACEUTICALS INC COM COM 05334D107 98 3,254 SH DEFINED 1,2,3 0 3,254 0 AUXILIUM PHARMACEUTICALS INC COM COM 05334D107 10 201,800 CALL DEFINED 1,2,3 0 201,800 0 AUXILIUM PHARMACEUTICALS INC COM COM 05334D107 4 3,000 PUT DEFINED 1,2,3 0 3,000 0 AVON PRODS INC COM COM 054303102 30 32,000 PUT DEFINED 1,2,3 0 32,000 0 BANK OF AMERICA CORPORATION COM COM 060505104 2,428 161,200 SH DEFINED 1,2,3 0 161,200 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- BANK OF AMERICA CORPORATION COM COM 060505104 918 835,000 CALL DEFINED 1,2,3 0 835,000 0 BANK OF AMERICA CORPORATION COM COM 060505104 811 515,500 PUT DEFINED 1,2,3 0 515,500 0 BARCLAYS BK PLC IPATH SHRT ETN 06740C527 3,407 100,000 SH DEFINED 1,2,3 0 100,000 0 BARRICK GOLD CORP COM COM 067901108 25 180,000 CALL DEFINED 1,2,3 0 180,000 0 BARRICK GOLD CORP COM COM 067901108 167 60,000 PUT DEFINED 1,2,3 0 60,000 0 BB&T CORP COM COM 054937107 4 70,000 CALL DEFINED 1,2,3 0 70,000 0 BIOCRYST PHARMACEUTICALS COM COM 09058V103 89 13,850 SH DEFINED 1,2,3 0 13,850 0 BIOCRYST PHARMACEUTICALS COM COM 09058V103 78 224,300 CALL DEFINED 1,2,3 0 224,300 0 BIOCRYST PHARMACEUTICALS COM COM 09058V103 32 5,000 PUT DEFINED 1,2,3 0 5,000 0 BIOGEN IDEC INC COM COM 09062X103 1,910 186,300 CALL DEFINED 1,2,3 0 186,300 0 BIOGEN IDEC INC COM COM 09062X103 75 375,800 PUT DEFINED 1,2,3 0 375,800 0 BIOMIMETIC THERAPEUTICS INC COM COM 09064X101 964 80,777 SH DEFINED 1,2,3 0 80,777 0 BIOMIMETIC THERAPEUTICS INC COM COM 09064X101 616 227,700 PUT DEFINED 1,2,3 0 227,700 0 BLACKBOARD INC COM COM 091935502 359 88,700 CALL DEFINED 1,2,3 0 88,700 0 BLACKBOARD INC COM COM 091935502 57 34,100 PUT DEFINED 1,2,3 0 34,100 0 BOEING CO COM COM 097023105 737 249,800 CALL DEFINED 1,2,3 0 249,800 0 BOEING CO COM COM 097023105 0 14,800 PUT DEFINED 1,2,3 0 14,800 0 BPZ RESOURCES INC COM COM 055639108 914 96,225 SH DEFINED 1,2,3 0 96,225 0 BPZ RESOURCES INC COM COM 055639108 15 152,500 PUT DEFINED 1,2,3 0 152,500 0 BROADCOM CORP CL A COM 111320107 566 18,000 SH DEFINED 1,2,3 0 18,000 0 BROADCOM CORP CL A COM 111320107 519 195,800 CALL DEFINED 1,2,3 0 195,800 0 BUNGE LIMITED COM COM G16962105 7,020 109,972 SH DEFINED 1,2,3 0 109,972 0 BUNGE LIMITED COM COM G16962105 398 322,100 CALL DEFINED 1,2,3 0 322,100 0 BUNGE LIMITED COM COM G16962105 706 247,300 PUT DEFINED 1,2,3 0 247,300 0 CAMECO CORP COM COM 13321L108 209 126,100 CALL DEFINED 1,2,3 0 126,100 0 CATERPILLAR INC DEL COM COM 149123101 380 260,000 CALL DEFINED 1,2,3 0 260,000 0 CATERPILLAR INC DEL COM COM 149123101 88 115,000 PUT DEFINED 1,2,3 0 115,000 0 CELGENE CORP COM COM 151020104 60 33,600 CALL DEFINED 1,2,3 0 33,600 0 CENTURY ALUM CO COM COM 156431108 798 49,300 SH DEFINED 1,2,3 0 49,300 0 CENTURY ALUM CO COM COM 156431108 7 2,000 CALL DEFINED 1,2,3 0 2,000 0 CENTURY ALUM CO COM COM 156431108 132 96,000 PUT DEFINED 1,2,3 0 96,000 0 CEPHALON INC COM COM 156708109 758 12,147 SH DEFINED 1,2,3 0 12,147 0 CHECK POINT SOFTWARE TECH LT ORD COM M22465104 30 881 SH DEFINED 1,2,3 0 881 0 CHECK POINT SOFTWARE TECH LT ORD COM M22465104 788 284,900 CALL DEFINED 1,2,3 0 284,900 0 CHECK POINT SOFTWARE TECH LT ORD COM M22465104 304 333,900 PUT DEFINED 1,2,3 0 333,900 0 CHESAPEAKE ENERGY CORP COM COM 165167107 284 10,955 SH DEFINED 1,2,3 0 10,955 0 CHESAPEAKE ENERGY CORP COM COM 165167107 129 250,000 CALL DEFINED 1,2,3 0 250,000 0 CHESAPEAKE ENERGY CORP COM COM 165167107 558 100,000 PUT DEFINED 1,2,3 0 100,000 0 CHEVRON CORP NEW COM COM 166764100 2,887 37,500 SH DEFINED 1,2,3 0 37,500 0 CHEVRON CORP NEW COM COM 166764100 236 100,000 PUT DEFINED 1,2,3 0 100,000 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 1,100 14,999 SH DEFINED 1,2,3 0 14,999 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 17 245,700 PUT DEFINED 1,2,3 0 245,700 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 4,133 89,019 SH DEFINED 1,2,3 0 89,019 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 14 4,500 CALL DEFINED 1,2,3 0 4,500 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 379 187,700 PUT DEFINED 1,2,3 0 187,700 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 3,363 81,181 SH DEFINED 1,2,3 0 81,181 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 2 55,300 CALL DEFINED 1,2,3 0 55,300 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 700 169,200 PUT DEFINED 1,2,3 0 169,200 0 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 2 84,000 CALL DEFINED 1,2,3 0 84,000 0 CITIGROUP INC COM COM 172967101 2,409 727,823 SH DEFINED 1,2,3 0 727,823 0 CITIGROUP INC COM COM 172967101 346 1,460,000 CALL DEFINED 1,2,3 0 1,460,000 0 CITIGROUP INC COM COM 172967101 2,902 1,892,000 PUT DEFINED 1,2,3 0 1,892,000 0 COGENT INC COM COM 19239Y108 2,819 271,293 SH DEFINED 1,2,3 0 271,293 0 COGENT INC COM COM 19239Y108 0 300 CALL DEFINED 1,2,3 0 300 0 COGENT INC COM COM 19239Y108 40 316,800 PUT DEFINED 1,2,3 0 316,800 0 COMPASS MINERALS INTL INC COM COM 20451N101 279 231,400 CALL DEFINED 1,2,3 0 231,400 0 CYPRESS BIOSCIENCES INC COM PAR $.02 COM 232674507 175 200,000 CALL DEFINED 1,2,3 0 200,000 0 CYPRESS BIOSCIENCES INC COM PAR $.02 COM 232674507 13 7,600 PUT DEFINED 1,2,3 0 7,600 0 CYTORI THERAPEUTICS INC COM COM 23283K105 83 61,300 CALL DEFINED 1,2,3 0 61,300 0 D R HORTON INC COM COM 23331A109 158 123,800 CALL DEFINED 1,2,3 0 123,800 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- D R HORTON INC COM COM 23331A109 73 156,200 PUT DEFINED 1,2,3 0 156,200 0 DELL INC COM COM 24702R101 960 66,860 SH DEFINED 1,2,3 0 66,860 0 DELL INC COM COM 24702R101 473 933,200 CALL DEFINED 1,2,3 0 933,200 0 DELL INC COM COM 24702R101 982 776,200 PUT DEFINED 1,2,3 0 776,200 0 DENDREON CORP COM COM 24823Q107 27,995 3,288,000 CALL DEFINED 1,2,3 0 3,288,000 0 DENDREON CORP COM COM 24823Q107 3,344 3,019,500 PUT DEFINED 1,2,3 0 3,019,500 0 DEUTSCHE BANK AG NAMEN AKT COM D18190898 25 105,000 CALL DEFINED 1,2,3 0 105,000 0 DIGITAL RIV INC COM COM 25388B104 5,510 204,161 SH DEFINED 1,2,3 0 204,161 0 DIGITAL RIV INC COM COM 25388B104 233 121,200 CALL DEFINED 1,2,3 0 121,200 0 DIGITAL RIV INC COM COM 25388B104 103 186,400 PUT DEFINED 1,2,3 0 186,400 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 872 48,138 SH DEFINED 1,2,3 0 48,138 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 48 36,600 CALL DEFINED 1,2,3 0 36,600 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 394 136,900 PUT DEFINED 1,2,3 0 136,900 0 E TRADE FINANCIAL CORP COM COM 269246104 194 1,120,900 CALL DEFINED 1,2,3 0 1,120,900 0 E TRADE FINANCIAL CORP COM COM 269246104 2 400,000 PUT DEFINED 1,2,3 0 400,000 0 EBAY INC COM COM 278642103 586 205,800 CALL DEFINED 1,2,3 0 205,800 0 ELAN PLC ADR 284131208 1,201 1,463,700 CALL DEFINED 1,2,3 0 1,463,700 0 ELAN PLC ADR 284131208 4,495 860,600 PUT DEFINED 1,2,3 0 860,600 0 ELECTRO OPTICAL SCIENCES INC COM COM 285192100 302 29,272 SH DEFINED 1,2,3 0 29,272 0 ELECTRO OPTICAL SCIENCES INC COM COM 285192100 277 134,800 CALL DEFINED 1,2,3 0 134,800 0 ELECTRO OPTICAL SCIENCES INC COM COM 285192100 243 464,300 PUT DEFINED 1,2,3 0 464,300 0 ELECTRONIC ARTS INC COM COM 285512109 63 258,800 CALL DEFINED 1,2,3 0 258,800 0 ENERGY CONVERSION DEVICES IN COM COM 292659109 55 100,800 CALL DEFINED 1,2,3 0 100,800 0 ENSCO INTL INC COM COM 26874Q100 1,198 30,000 SH DEFINED 1,2,3 0 30,000 0 ENSCO INTL INC COM COM 26874Q100 1 20,000 CALL DEFINED 1,2,3 0 20,000 0 ENSCO INTL INC COM COM 26874Q100 302 30,000 PUT DEFINED 1,2,3 0 30,000 0 ENZON PHARMACEUTICALS INC COM COM 293904108 15 21,600 CALL DEFINED 1,2,3 0 21,600 0 ENZON PHARMACEUTICALS INC COM COM 293904108 3 35,800 PUT DEFINED 1,2,3 0 35,800 0 EQUINIX INC COM NEW COM 29444U502 1,095 104,800 CALL DEFINED 1,2,3 0 104,800 0 EQUINIX INC COM NEW COM 29444U502 83 33,500 PUT DEFINED 1,2,3 0 33,500 0 EXXON MOBIL CORP COM COM 30231G102 4 161,800 CALL DEFINED 1,2,3 0 161,800 0 EXXON MOBIL CORP COM COM 30231G102 31 157,900 PUT DEFINED 1,2,3 0 157,900 0 FORD MTR CO DEL COM PAR $0.01 COM 345370860 40 135,000 PUT DEFINED 1,2,3 0 135,000 0 FOREST LABS INC COM COM 345838106 330 71,700 CALL DEFINED 1,2,3 0 71,700 0 GAMESTOP CORP NEW CL A COM 36467W109 18 104,600 CALL DEFINED 1,2,3 0 104,600 0 GARMIN LTD ORD COM G37260109 20 23,400 CALL DEFINED 1,2,3 0 23,400 0 GENERAL ELECTRIC CO COM COM 369604103 1 185,600 PUT DEFINED 1,2,3 0 185,600 0 GEN-PROBE INC NEW COM COM 36866T103 3 32,900 CALL DEFINED 1,2,3 0 32,900 0 GEN-PROBE INC NEW COM COM 36866T103 2 32,900 PUT DEFINED 1,2,3 0 32,900 0 GENWORTH FINL INC COM CL A COM 37247D106 505 44,504 SH DEFINED 1,2,3 0 44,504 0 GENWORTH FINL INC COM CL A COM 37247D106 1 1,000 CALL DEFINED 1,2,3 0 1,000 0 GENWORTH FINL INC COM CL A COM 37247D106 182 263,500 PUT DEFINED 1,2,3 0 263,500 0 GEOEYE INC COM COM 37250W108 157 40,800 CALL DEFINED 1,2,3 0 40,800 0 GEOEYE INC COM COM 37250W108 0 1,000 PUT DEFINED 1,2,3 0 1,000 0 GERON CORP COM COM 374163103 62 11,162 SH DEFINED 1,2,3 0 11,162 0 GERON CORP COM COM 374163103 23 30,000 CALL DEFINED 1,2,3 0 30,000 0 GERON CORP COM COM 374163103 159 31,800 PUT DEFINED 1,2,3 0 31,800 0 GOLDMAN SACHS GROUP INC COM COM 38141G104 552 95,100 CALL DEFINED 1,2,3 0 95,100 0 GOLDMAN SACHS GROUP INC COM COM 38141G104 154 93,500 PUT DEFINED 1,2,3 0 93,500 0 GTX INC DEL COM COM 40052B108 20 4,812 SH DEFINED 1,2,3 0 4,812 0 GTX INC DEL COM COM 40052B108 265 335,900 CALL DEFINED 1,2,3 0 335,900 0 GTX INC DEL COM COM 40052B108 1,148 270,000 PUT DEFINED 1,2,3 0 270,000 0 HOLOGIC INC COM COM 436440101 2,285 157,553 SH DEFINED 1,2,3 0 157,553 0 HOLOGIC INC COM COM 436440101 186 512,200 CALL DEFINED 1,2,3 0 512,200 0 HOLOGIC INC COM COM 436440101 656 775,500 PUT DEFINED 1,2,3 0 775,500 0 HUMAN GENOME SCIENCES INC COM COM 444903108 12,562 1,279,500 CALL DEFINED 1,2,3 0 1,279,500 0 HUMAN GENOME SCIENCES INC COM COM 444903108 999 623,400 PUT DEFINED 1,2,3 0 623,400 0 IMMUNOGEN INC COM COM 45253H101 98 12,478 SH DEFINED 1,2,3 0 12,478 0 INCYTE CORP COM COM 45337C102 82 9,000 SH DEFINED 1,2,3 0 9,000 0 INCYTE CORP COM COM 45337C102 1 20,000 PUT DEFINED 1,2,3 0 20,000 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- INSPIRE PHARMACEUTICALS INC COM COM 457733103 21 28,400 CALL DEFINED 1,2,3 0 28,400 0 INSPIRE PHARMACEUTICALS INC COM COM 457733103 3 3,500 PUT DEFINED 1,2,3 0 3,500 0 INTERMUNE INC COM COM 45884X103 998 76,499 SH DEFINED 1,2,3 0 76,499 0 INTERMUNE INC COM COM 45884X103 808 779,200 CALL DEFINED 1,2,3 0 779,200 0 INTERMUNE INC COM COM 45884X103 1,304 194,100 PUT DEFINED 1,2,3 0 194,100 0 INTERNATIONAL GAME TECHNOLOG COM COM 459902102 4,693 250,035 SH DEFINED 1,2,3 0 250,035 0 INTERNATIONAL GAME TECHNOLOG COM COM 459902102 325 250,000 PUT DEFINED 1,2,3 0 250,000 0 INTUITIVE SURGICAL INC COM NEW COM 46120E602 3,896 80,900 CALL DEFINED 1,2,3 0 80,900 0 INTUITIVE SURGICAL INC COM NEW COM 46120E602 218 50,000 PUT DEFINED 1,2,3 0 50,000 0 ISHARES TR INDEX DJ US REAL EST 464287739 107 110,000 PUT DEFINED 1,2,3 0 110,000 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 9,388 222,142 SH DEFINED 1,2,3 0 222,142 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 1,760 400,000 PUT DEFINED 1,2,3 0 400,000 0 ISIS PHARMACEUTICALS INC COM COM 464330109 2,757 248,154 SH DEFINED 1,2,3 0 248,154 0 ISIS PHARMACEUTICALS INC COM COM 464330109 147 294,700 CALL DEFINED 1,2,3 0 294,700 0 ISIS PHARMACEUTICALS INC COM COM 464330109 1,135 428,100 PUT DEFINED 1,2,3 0 428,100 0 JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 197 262,200 CALL DEFINED 1,2,3 0 262,200 0 JDS UNIPHASE CORP COM PAR $0.001 COM 46612J507 83 10,000 SH DEFINED 1,2,3 0 10,000 0 JDS UNIPHASE CORP COM PAR $0.001 COM 46612J507 73 96,600 CALL DEFINED 1,2,3 0 96,600 0 JDS UNIPHASE CORP COM PAR $0.001 COM 46612J507 6 174,000 PUT DEFINED 1,2,3 0 174,000 0 JPMORGAN CHASE & CO COM COM 46625H100 4,039 96,932 SH DEFINED 1,2,3 0 96,932 0 JPMORGAN CHASE & CO COM COM 46625H100 579 192,300 CALL DEFINED 1,2,3 0 192,300 0 JPMORGAN CHASE & CO COM COM 46625H100 663 317,500 PUT DEFINED 1,2,3 0 317,500 0 KANSAS CITY SOUTHERN COM NEW COM 485170302 10 204,800 PUT DEFINED 1,2,3 0 204,800 0 KB HOME COM COM 48666K109 45 100,000 CALL DEFINED 1,2,3 0 100,000 0 KB HOME COM COM 48666K109 83 141,700 PUT DEFINED 1,2,3 0 141,700 0 KIMCO REALTY CORP COM COM 49446R109 150 130,000 CALL DEFINED 1,2,3 0 130,000 0 LAZARD LTD SHS A COM G54050102 114 87,500 CALL DEFINED 1,2,3 0 87,500 0 LORILLARD INC COM COM 544147101 11,157 139,065 SH DEFINED 1,2,3 0 139,065 0 LORILLARD INC COM COM 544147101 12 190,000 PUT DEFINED 1,2,3 0 190,000 0 MANNKIND CORP COM COM 56400P201 3,140 1,306,600 CALL DEFINED 1,2,3 0 1,306,600 0 MANNKIND CORP COM COM 56400P201 1,200 656,100 PUT DEFINED 1,2,3 0 656,100 0 MCMORAN EXPLORATION CO COM COM 582411104 3 33,400 CALL DEFINED 1,2,3 0 33,400 0 MEDICIS PHARMACEUTICAL CORP CL A NEW COM 584690309 538 65,000 CALL DEFINED 1,2,3 0 65,000 0 MEDICIS PHARMACEUTICAL CORP CL A NEW COM 584690309 3 58,200 PUT DEFINED 1,2,3 0 58,200 0 MEDIVATION INC COM COM 58501N101 36,420 2,706,000 CALL DEFINED 1,2,3 0 2,706,000 0 MEDIVATION INC COM COM 58501N101 8,670 4,718,100 PUT DEFINED 1,2,3 0 4,718,100 0 MERCADOLIBRE INC COM COM 58733R102 5,879 113,335 SH DEFINED 1,2,3 0 113,335 0 MERCADOLIBRE INC COM COM 58733R102 2,401 252,500 CALL DEFINED 1,2,3 0 252,500 0 MERCADOLIBRE INC COM COM 58733R102 727 221,300 PUT DEFINED 1,2,3 0 221,300 0 MERCK & CO INC COM COM 589331107 44 1,200 SH DEFINED 1,2,3 0 1,200 0 MERCK & CO INC COM COM 589331107 2 111,500 PUT DEFINED 1,2,3 0 111,500 0 MGIC INVT CORP WIS COM COM 552848103 22 103,700 CALL DEFINED 1,2,3 0 103,700 0 MILLICOM INTL CELLULAR S A SHS NEW COM L6388F110 1,871 25,361 SH DEFINED 1,2,3 0 25,361 0 MILLICOM INTL CELLULAR S A SHS NEW COM L6388F110 167 20,500 CALL DEFINED 1,2,3 0 20,500 0 MILLICOM INTL CELLULAR S A SHS NEW COM L6388F110 8 9,800 PUT DEFINED 1,2,3 0 9,800 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 2,254 46,102 SH DEFINED 1,2,3 0 46,102 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 34 11,500 CALL DEFINED 1,2,3 0 11,500 0 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 147 77,500 PUT DEFINED 1,2,3 0 77,500 0 MONSANTO CO NEW COM COM 61166W101 363 454,900 CALL DEFINED 1,2,3 0 454,900 0 MOODYS CORP COM COM 615369105 347 210,000 CALL DEFINED 1,2,3 0 210,000 0 MOODYS CORP COM COM 615369105 24 47,500 PUT DEFINED 1,2,3 0 47,500 0 MORGAN STANLEY COM NEW COM 617446448 2,619 366,200 CALL DEFINED 1,2,3 0 366,200 0 MORGAN STANLEY COM NEW COM 617446448 52 100,000 PUT DEFINED 1,2,3 0 100,000 0 MYRIAD GENETICS INC COM COM 62855J104 221 142,400 CALL DEFINED 1,2,3 0 142,400 0 MYRIAD GENETICS INC COM COM 62855J104 0 100 PUT DEFINED 1,2,3 0 100 0 NETLOGIC MICROSYSTEMS INC COM COM 64118B100 1,101 250,000 CALL DEFINED 1,2,3 0 250,000 0 NETLOGIC MICROSYSTEMS INC COM COM 64118B100 41 24,600 PUT DEFINED 1,2,3 0 24,600 0 NEW YORK CMNTY BANCORP INC COM COM 649445103 72 110,000 CALL DEFINED 1,2,3 0 110,000 0 NEW YORK CMNTY BANCORP INC COM COM 649445103 4 150,000 PUT DEFINED 1,2,3 0 150,000 0 NEWALLIANCE BANCSHARES INC COM COM 650203102 61 175,000 CALL DEFINED 1,2,3 0 175,000 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- NEWFIELD EXPL CO COM COM 651290108 3,111 64,500 SH DEFINED 1,2,3 0 64,500 0 NEWFIELD EXPL CO COM COM 651290108 127 77,200 CALL DEFINED 1,2,3 0 77,200 0 NEWFIELD EXPL CO COM COM 651290108 414 90,000 PUT DEFINED 1,2,3 0 90,000 0 NEWMONT MINING CORP COM COM 651639106 221 195,500 CALL DEFINED 1,2,3 0 195,500 0 NMT MED INC COM COM 629294109 108 43,860 SH DEFINED 1,2,3 0 43,860 0 NMT MED INC COM COM 629294109 12 239,300 CALL DEFINED 1,2,3 0 239,300 0 NOKIA CORP SPONSORED ADR 654902204 787 1,046,700 CALL DEFINED 1,2,3 0 1,046,700 0 NOKIA CORP SPONSORED ADR 654902204 366 441,100 PUT DEFINED 1,2,3 0 441,100 0 NVIDIA CORP COM COM 67066G104 118 120,000 CALL DEFINED 1,2,3 0 120,000 0 ONYX PHARMACEUTICALS INC COM COM 683399109 2,216 1,304,000 CALL DEFINED 1,2,3 0 1,304,000 0 ONYX PHARMACEUTICALS INC COM COM 683399109 1,473 265,600 PUT DEFINED 1,2,3 0 265,600 0 OPTIMER PHARMACEUTICALS INC COM COM 68401H104 3 2,800 CALL DEFINED 1,2,3 0 2,800 0 OPTIMER PHARMACEUTICALS INC COM COM 68401H104 30 30,300 PUT DEFINED 1,2,3 0 30,300 0 OSIRIS THERAPEUTICS INC COM COM 68827R108 85 11,972 SH DEFINED 1,2,3 0 11,972 0 OSIRIS THERAPEUTICS INC COM COM 68827R108 3 30,000 CALL DEFINED 1,2,3 0 30,000 0 OSIRIS THERAPEUTICS INC COM COM 68827R108 2 5,100 PUT DEFINED 1,2,3 0 5,100 0 OVERSTOCK COM INC DEL COM COM 690370101 0 5,100 CALL DEFINED 1,2,3 0 5,100 0 OVERSTOCK COM INC DEL COM COM 690370101 26 44,800 PUT DEFINED 1,2,3 0 44,800 0 PALM INC NEW COM COM 696643105 34 63,000 CALL DEFINED 1,2,3 0 63,000 0 PEABODY ENERGY CORP COM COM 704549104 85 504,200 CALL DEFINED 1,2,3 0 504,200 0 PEABODY ENERGY CORP COM COM 704549104 8 60,000 PUT DEFINED 1,2,3 0 60,000 0 PETROHAWK ENERGY CORP COM COM 716495106 68 70,000 CALL DEFINED 1,2,3 0 70,000 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 1,930 40,473 SH DEFINED 1,2,3 0 40,473 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 806 338,100 CALL DEFINED 1,2,3 0 338,100 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 880 149,600 PUT DEFINED 1,2,3 0 149,600 0 PFIZER INC COM COM 717081103 37,469 2,059,890 SH DEFINED 1,2,3 0 2,059,890 0 PFIZER INC COM COM 717081103 0 95,700 CALL DEFINED 1,2,3 0 95,700 0 PFIZER INC COM COM 717081103 2,276 2,145,700 PUT DEFINED 1,2,3 0 2,145,700 0 PONIARD PHARMACEUTICALS INC COM NEW COM 732449301 460 2,524,600 CALL DEFINED 1,2,3 0 2,524,600 0 PONIARD PHARMACEUTICALS INC COM NEW COM 732449301 296 78,100 PUT DEFINED 1,2,3 0 78,100 0 POTASH CORP SASK INC COM COM 73755L107 312 114,400 CALL DEFINED 1,2,3 0 114,400 0 POTASH CORP SASK INC COM COM 73755L107 252 27,000 PUT DEFINED 1,2,3 0 27,000 0 POZEN INC COM COM 73941U102 87 72,200 CALL DEFINED 1,2,3 0 72,200 0 POZEN INC COM COM 73941U102 73 90,700 PUT DEFINED 1,2,3 0 90,700 0 PRICELINE COM INC COM NEW COM 741503403 3,854 46,300 CALL DEFINED 1,2,3 0 46,300 0 PROTALIX BIOTHERAPEUTICS INC COM COM 74365A101 12 1,869 SH DEFINED 1,2,3 0 1,869 0 PROTALIX BIOTHERAPEUTICS INC COM COM 74365A101 36 24,100 PUT DEFINED 1,2,3 0 24,100 0 QUALCOMM INC COM COM 747525103 133 81,000 PUT DEFINED 1,2,3 0 81,000 0 RAMBUS INC DEL COM COM 750917106 4,165 728,500 CALL DEFINED 1,2,3 0 728,500 0 RAMBUS INC DEL COM COM 750917106 409 925,300 PUT DEFINED 1,2,3 0 925,300 0 REGENERON PHARMACEUTICALS COM COM 75886F107 1,062 247,100 CALL DEFINED 1,2,3 0 247,100 0 REGENERON PHARMACEUTICALS COM COM 75886F107 73 45,000 PUT DEFINED 1,2,3 0 45,000 0 REPROS THERAPEUTICS INC COM COM 76028H100 1 1,100 SH DEFINED 1,2,3 0 1,100 0 REPROS THERAPEUTICS INC COM COM 76028H100 1 20,000 CALL DEFINED 1,2,3 0 20,000 0 REPROS THERAPEUTICS INC COM COM 76028H100 4 900 PUT DEFINED 1,2,3 0 900 0 RIGEL PHARMACEUTICALS INC COM NEW COM 766559603 132 101,800 CALL DEFINED 1,2,3 0 101,800 0 RIGEL PHARMACEUTICALS INC COM NEW COM 766559603 3 1,800 PUT DEFINED 1,2,3 0 1,800 0 ROCKWELL MEDICAL TECH COM COM 774374102 50 57,600 CALL DEFINED 1,2,3 0 57,600 0 SALESFORCE COM INC COM COM 79466L302 2,268 277,400 CALL DEFINED 1,2,3 0 277,400 0 SALESFORCE COM INC COM COM 79466L302 673 183,300 PUT DEFINED 1,2,3 0 183,300 0 SALIX PHARMACEUTICALS INC COM COM 795435106 87 3,428 SH DEFINED 1,2,3 0 3,428 0 SALIX PHARMACEUTICALS INC COM COM 795435106 527 68,300 CALL DEFINED 1,2,3 0 68,300 0 SALIX PHARMACEUTICALS INC COM COM 795435106 40 144,800 PUT DEFINED 1,2,3 0 144,800 0 SAVIENT PHARMACEUTICALS INC COM COM 80517Q100 1,579 115,996 SH DEFINED 1,2,3 0 115,996 0 SAVIENT PHARMACEUTICALS INC COM COM 80517Q100 690 146,200 CALL DEFINED 1,2,3 0 146,200 0 SAVIENT PHARMACEUTICALS INC COM COM 80517Q100 1,648 466,300 PUT DEFINED 1,2,3 0 466,300 0 SCHWAB CHARLES CORP NEW COM COM 808513105 52 122,500 CALL DEFINED 1,2,3 0 122,500 0 SCHWAB CHARLES CORP NEW COM COM 808513105 74 128,500 PUT DEFINED 1,2,3 0 128,500 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2,421 168,121 SH DEFINED 1,2,3 0 168,121 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1,260 2,490,800 CALL DEFINED 1,2,3 0 2,490,800 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2,203 2,137,200 PUT DEFINED 1,2,3 0 2,137,200 0 SEQUENOM INC COM NEW COM 817337405 3,626 875,857 SH DEFINED 1,2,3 0 875,857 0 SEQUENOM INC COM NEW COM 817337405 355 1,593,600 CALL DEFINED 1,2,3 0 1,593,600 0 SEQUENOM INC COM NEW COM 817337405 15,523 1,203,500 PUT DEFINED 1,2,3 0 1,203,500 0 SILICON LABORATORIES INC COM COM 826919102 1,082 267,800 CALL DEFINED 1,2,3 0 267,800 0 SILICON LABORATORIES INC COM COM 826919102 187 121,500 PUT DEFINED 1,2,3 0 121,500 0 SIMON PPTY GROUP INC NEW COM COM 828806109 580 100,000 CALL DEFINED 1,2,3 0 100,000 0 SIMON PPTY GROUP INC NEW COM COM 828806109 67 25,000 PUT DEFINED 1,2,3 0 25,000 0 SL GREEN RLTY CORP COM COM 78440X101 22 40,000 PUT DEFINED 1,2,3 0 40,000 0 SLM CORP COM COM 78442P106 1,668 148,044 SH DEFINED 1,2,3 0 148,044 0 SLM CORP COM COM 78442P106 159 645,300 CALL DEFINED 1,2,3 0 645,300 0 SLM CORP COM COM 78442P106 7 245,000 PUT DEFINED 1,2,3 0 245,000 0 SOUTHWEST AIRLS CO COM COM 844741108 23,327 2,040,900 SH DEFINED 1,2,3 0 2,040,900 0 SOUTHWEST AIRLS CO COM COM 844741108 1,196 302,800 CALL DEFINED 1,2,3 0 302,800 0 SOUTHWEST AIRLS CO COM COM 844741108 1,524 2,364,600 PUT DEFINED 1,2,3 0 2,364,600 0 SPDR GOLD TRUST GOLD SHS 78463V107 4,178 38,932 SH DEFINED 1,2,3 0 38,932 0 SPDR GOLD TRUST GOLD SHS 78463V107 21 237,700 CALL DEFINED 1,2,3 0 237,700 0 SPDR GOLD TRUST GOLD SHS 78463V107 692 53,300 PUT DEFINED 1,2,3 0 53,300 0 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 556 24,991 SH DEFINED 1,2,3 0 24,991 0 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 68 228,300 PUT DEFINED 1,2,3 0 228,300 0 SPDR SERIES TRUST SPDR KBW BK ETF 78464A797 1 49,500 PUT DEFINED 1,2,3 0 49,500 0 SPDR TR UNIT SER 1 78462F103 62 175,000 PUT DEFINED 1,2,3 0 175,000 0 STEC INC COM COM 784774101 1,993 122,000 SH DEFINED 1,2,3 0 122,000 0 STEC INC COM COM 784774101 39 141,700 CALL DEFINED 1,2,3 0 141,700 0 STEC INC COM COM 784774101 1,772 139,600 PUT DEFINED 1,2,3 0 139,600 0 STERIS CORP COM COM 859152100 24 857 SH DEFINED 1,2,3 0 857 0 STERIS CORP COM COM 859152100 167 111,600 CALL DEFINED 1,2,3 0 111,600 0 STERIS CORP COM COM 859152100 79 46,300 PUT DEFINED 1,2,3 0 46,300 0 STERLITE INDS INDIA LTD ADS 859737207 9 15,000 PUT DEFINED 1,2,3 0 15,000 0 STILLWATER MNG CO COM COM 86074Q102 83 311,100 CALL DEFINED 1,2,3 0 311,100 0 SUNTECH PWR HLDGS CO LTD ADR 86800C104 110 100,000 CALL DEFINED 1,2,3 0 100,000 0 SYNGENTA AG SPONSORED ADR COM 87160A100 271 258,700 CALL DEFINED 1,2,3 0 258,700 0 TD AMERITRADE HLDG CORP COM COM 87236Y108 97 5,000 SH DEFINED 1,2,3 0 5,000 0 TD AMERITRADE HLDG CORP COM COM 87236Y108 50 130,000 PUT DEFINED 1,2,3 0 130,000 0 TESORO CORP COM COM 881609101 155 155,000 CALL DEFINED 1,2,3 0 155,000 0 TESORO CORP COM COM 881609101 13 100,000 PUT DEFINED 1,2,3 0 100,000 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 1,706 460,200 CALL DEFINED 1,2,3 0 460,200 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 11 76,000 PUT DEFINED 1,2,3 0 76,000 0 THERAVANCE INC COM COM 88338T104 257 19,676 SH DEFINED 1,2,3 0 19,676 0 THERAVANCE INC COM COM 88338T104 0 4,200 CALL DEFINED 1,2,3 0 4,200 0 THERAVANCE INC COM COM 88338T104 49 25,000 PUT DEFINED 1,2,3 0 25,000 0 THORATEC CORP COM NEW COM 885175307 6,359 236,225 SH DEFINED 1,2,3 0 236,225 0 THORATEC CORP COM NEW COM 885175307 215 166,800 CALL DEFINED 1,2,3 0 166,800 0 THORATEC CORP COM NEW COM 885175307 1,028 412,700 PUT DEFINED 1,2,3 0 412,700 0 UNITED STATES STL CORP NEW COM COM 912909108 659 190,100 CALL DEFINED 1,2,3 0 190,100 0 UNITED STATES STL CORP NEW COM COM 912909108 2 60,000 PUT DEFINED 1,2,3 0 60,000 0 UNITED THERAPEUTICS CORP DEL COM COM 91307C102 1,750 114,400 CALL DEFINED 1,2,3 0 114,400 0 US BANCORP DEL COM NEW COM 902973304 56 74,400 CALL DEFINED 1,2,3 0 74,400 0 US BANCORP DEL COM NEW COM 902973304 15 9,600 PUT DEFINED 1,2,3 0 9,600 0 USEC INC COM COM 90333E108 160 41,600 SH DEFINED 1,2,3 0 41,600 0 USEC INC COM COM 90333E108 95 147,200 CALL DEFINED 1,2,3 0 147,200 0 USEC INC COM COM 90333E108 395 242,600 PUT DEFINED 1,2,3 0 242,600 0 VALE S A ADR 91912E105 1,602 397,200 CALL DEFINED 1,2,3 0 397,200 0 VALE S A ADR 91912E105 185 152,900 PUT DEFINED 1,2,3 0 152,900 0 VALEANT PHARMACEUTICALS INTL COM COM 91911X104 238 132,000 PUT DEFINED 1,2,3 0 132,000 0 VALERO ENERGY CORP NEW COM COM 91913Y100 2 333,200 CALL DEFINED 1,2,3 0 333,200 0 VANDA PHARMACEUTICALS INC COM COM 921659108 1,030 91,560 SH DEFINED 1,2,3 0 91,560 0 VANDA PHARMACEUTICALS INC COM COM 921659108 80 1,811,100 CALL DEFINED 1,2,3 0 1,811,100 0 VANDA PHARMACEUTICALS INC COM COM 921659108 34 155,000 PUT DEFINED 1,2,3 0 155,000 0 VERTEX PHARMACEUTICALS INC COM COM 92532F100 9,042 211,009 SH DEFINED 1,2,3 0 211,009 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------------- --------------- --------- -------- ------------------ ---------- -------- ------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- VERTEX PHARMACEUTICALS INC COM COM 92532F100 4,221 385,000 CALL DEFINED 1,2,3 0 385,000 0 VERTEX PHARMACEUTICALS INC COM COM 92532F100 2,434 1,367,600 PUT DEFINED 1,2,3 0 1,367,600 0 VIVUS INC COM COM 928551100 137 14,888 SH DEFINED 1,2,3 0 14,888 0 VIVUS INC COM COM 928551100 98 56,400 CALL DEFINED 1,2,3 0 56,400 0 VIVUS INC COM COM 928551100 7 95,000 PUT DEFINED 1,2,3 0 95,000 0 WALGREEN CO COM COM 931422109 146 350,000 CALL DEFINED 1,2,3 0 350,000 0 WALGREEN CO COM COM 931422109 15 101,000 PUT DEFINED 1,2,3 0 101,000 0 WALTER ENERGY INC COM COM 93317Q105 50 664 SH DEFINED 1,2,3 0 664 0 WALTER ENERGY INC COM COM 93317Q105 114 132,500 CALL DEFINED 1,2,3 0 132,500 0 WALTER ENERGY INC COM COM 93317Q105 7 85,000 PUT DEFINED 1,2,3 0 85,000 0 WELLCARE HEALTH PLANS INC COM COM 94946T106 65 1,774 SH DEFINED 1,2,3 0 1,774 0 WELLCARE HEALTH PLANS INC COM COM 94946T106 889 114,000 CALL DEFINED 1,2,3 0 114,000 0 WELLS FARGO & CO NEW COM COM 949746101 200 305,000 CALL DEFINED 1,2,3 0 305,000 0 WELLS FARGO & CO NEW COM COM 949746101 818 538,500 PUT DEFINED 1,2,3 0 538,500 0 YAMANA GOLD INC COM COM 98462Y100 1,213 106,583 SH DEFINED 1,2,3 0 106,583 0 YAMANA GOLD INC COM COM 98462Y100 35 288,800 CALL DEFINED 1,2,3 0 288,800 0 YAMANA GOLD INC COM COM 98462Y100 210 170,000 PUT DEFINED 1,2,3 0 170,000 0 YRC WORLDWIDE INC COM COM 984249102 50 400,000 CALL DEFINED 1,2,3 0 400,000 0 YRC WORLDWIDE INC COM COM 984249102 2,591 650,000 PUT DEFINED 1,2,3 0 650,000 0 ZIONS BANCORPORATION COM COM 989701107 3 100,000 CALL DEFINED 1,2,3 0 100,000 0
-----END PRIVACY-ENHANCED MESSAGE-----