-----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, NpvrnDV/g9Pq+KH/U2+v74SWUyoJ5/sxVS/aK3o7Jq5rz7QR87CO+ciM6kIon415 leeEf+oZeVqdhRWmfddhxg== 0001140361-10-020832.txt : 20100513 0001140361-10-020832.hdr.sgml : 20100513 20100513111658 ACCESSION NUMBER: 0001140361-10-020832 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100513 DATE AS OF CHANGE: 20100513 EFFECTIVENESS DATE: 20100513 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: 10827045 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: 3/31/2010 Check here if Amendment []; Amendment Number: ------- This Amendment (Check only one.): [] is a restatement. [] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: 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 5/13/2010 - --------------------------------- --------------------------------- ---------- [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: 368 Form 13F Information Table Value Total: $ 582,108 -------------- (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 - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- ABERCROMBIE & FITCH CO CL A 002896207 3,282 1,283,500 CALL DEFINED 1,2,3 0 1,283,500 0 ABIOMED INC COM 003654100 271 377,400 CALL DEFINED 1,2,3 0 377,400 0 ABIOMED INC COM 003654100 41 30,000 PUT DEFINED 1,2,3 0 30,000 0 ACORDA THERAPEUTICS INC COM 00484M106 2,219 452,300 PUT DEFINED 1,2,3 0 452,300 0 AFFYMAX INC COM 00826A109 113 33,200 CALL DEFINED 1,2,3 0 33,200 0 AFFYMAX INC COM 00826A109 48 37,400 PUT DEFINED 1,2,3 0 37,400 0 AGILENT TECHNOLOGIES INC COM 00846U101 323 195,400 CALL DEFINED 1,2,3 0 195,400 0 AGILENT TECHNOLOGIES INC COM 00846U101 62 93,200 PUT DEFINED 1,2,3 0 93,200 0 AKAMAI TECHNOLOGIES INC COM 00971T101 169 32,100 CALL DEFINED 1,2,3 0 32,100 0 AKAMAI TECHNOLOGIES INC COM 00971T101 5,043 160,507 SH DEFINED 1,2,3 0 160,507 0 AKAMAI TECHNOLOGIES INC COM 00971T101 139 234,800 PUT DEFINED 1,2,3 0 234,800 0 ALCOA INC COM 013817101 111 623,100 CALL DEFINED 1,2,3 0 623,100 0 ALCOA INC COM 013817101 1,692 118,795 SH DEFINED 1,2,3 0 118,795 0 ALCOA INC COM 013817101 95 114,000 PUT DEFINED 1,2,3 0 114,000 0 ALCON INC COM SHS H01301102 2,402 1,146,800 CALL DEFINED 1,2,3 0 1,146,800 0 ALCON INC COM SHS H01301102 23,832 147,512 SH DEFINED 1,2,3 0 147,512 0 ALCON INC COM SHS H01301102 3,350 746,300 PUT DEFINED 1,2,3 0 746,300 0 ALEXION PHARMACEUTICALS INC COM 015351109 912 122,800 CALL DEFINED 1,2,3 0 122,800 0 ALEXION PHARMACEUTICALS INC COM 015351109 157 36,100 PUT DEFINED 1,2,3 0 36,100 0 ALKERMES INC COM 01642T108 929 361,400 CALL DEFINED 1,2,3 0 361,400 0 ALKERMES INC COM 01642T108 401 680,400 PUT DEFINED 1,2,3 0 680,400 0 ALLOS THERAPEUTICS INC COM 019777101 123 104,700 PUT DEFINED 1,2,3 0 104,700 0 AMAG PHARMACEUTICALS INC COM 00163U106 732 597,200 CALL DEFINED 1,2,3 0 597,200 0 AMAG PHARMACEUTICALS INC COM 00163U106 780 279,900 PUT DEFINED 1,2,3 0 279,900 0 AMAZON COM INC COM 023135106 6,625 687,100 CALL DEFINED 1,2,3 0 687,100 0 AMGEN INC COM 031162100 2,958 884,900 CALL DEFINED 1,2,3 0 884,900 0 AMGEN INC COM 031162100 6,536 109,235 SH DEFINED 1,2,3 0 109,235 0 AMGEN INC COM 031162100 252 389,200 PUT DEFINED 1,2,3 0 389,200 0 AMPHENOL CORP NEW CL A 032095101 232 109,700 CALL DEFINED 1,2,3 0 109,700 0 AMPHENOL CORP NEW CL A 032095101 184 147,400 PUT DEFINED 1,2,3 0 147,400 0 AMYLIN PHARMACEUTICALS INC COM 032346108 6,357 1,028,400 CALL DEFINED 1,2,3 0 1,028,400 0 AMYLIN PHARMACEUTICALS INC COM 032346108 1,050 862,300 PUT DEFINED 1,2,3 0 862,300 0 APPLE INC COM 037833100 6,434 512,500 CALL DEFINED 1,2,3 0 512,500 0 APPLE INC COM 037833100 496 58,300 PUT DEFINED 1,2,3 0 58,300 0 ARCHER DANIELS MIDLAND CO COM 039483102 172 171,900 CALL DEFINED 1,2,3 0 171,900 0 ARCHER DANIELS MIDLAND CO COM 039483102 5 100,000 PUT DEFINED 1,2,3 0 100,000 0 ARENA PHARMACEUTICALS INC COM 040047102 527 637,400 CALL DEFINED 1,2,3 0 637,400 0 ARENA PHARMACEUTICALS INC COM 040047102 1,852 593,535 SH DEFINED 1,2,3 0 593,535 0 ARENA PHARMACEUTICALS INC COM 040047102 1,413 2,415,400 PUT DEFINED 1,2,3 0 2,415,400 0 ARIAD PHARMACEUTICALS INC COM 04033A100 2,088 2,128,000 CALL DEFINED 1,2,3 0 2,128,000 0 ARIAD PHARMACEUTICALS INC COM 04033A100 464 687,900 PUT DEFINED 1,2,3 0 687,900 0 ASTRAZENECA PLC SPONSORED ADR 046353108 1,744 39,004 SH DEFINED 1,2,3 0 39,004 0 ASTRAZENECA PLC SPONSORED ADR 046353108 141 208,900 PUT DEFINED 1,2,3 0 208,900 0 AUTODESK INC COM 052769106 7 10,000 CALL DEFINED 1,2,3 0 10,000 0 AUTODESK INC COM 052769106 2,149 73,154 SH DEFINED 1,2,3 0 73,154 0 AUTODESK INC COM 052769106 10 153,500 PUT DEFINED 1,2,3 0 153,500 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 527 227,324 SH DEFINED 1,2,3 0 227,324 0 BAIDU INC SPON ADR REP A 056752108 3,274 99,900 CALL DEFINED 1,2,3 0 99,900 0 BAIDU INC SPON ADR REP A 056752108 1,639 2,746 SH DEFINED 1,2,3 0 2,746 0 BAIDU INC SPON ADR REP A 056752108 880 82,600 PUT DEFINED 1,2,3 0 82,600 0 BANCO SANTANDER SA ADR 05964H105 47 186,800 CALL DEFINED 1,2,3 0 186,800 0 BANCO SANTANDER SA ADR 05964H105 20 27,600 PUT DEFINED 1,2,3 0 27,600 0 BANK OF AMERICA CORPORATION COM 060505104 2,807 1,322,000 CALL DEFINED 1,2,3 0 1,322,000 0 BANK OF AMERICA CORPORATION COM 060505104 1,032 1,299,900 PUT DEFINED 1,2,3 0 1,299,900 0 BEBE STORES INC COM 075571109 115 355,200 CALL DEFINED 1,2,3 0 355,200 0 BIOCRYST PHARMACEUTICALS COM 09058V103 707 107,624 SH DEFINED 1,2,3 0 107,624 0 BIOCRYST PHARMACEUTICALS COM 09058V103 1,547 417,300 PUT DEFINED 1,2,3 0 417,300 0 BIOGEN IDEC INC COM 09062X103 5,881 102,477 SH DEFINED 1,2,3 0 102,477 0 BIOGEN IDEC INC COM 09062X103 43 106,700 PUT DEFINED 1,2,3 0 106,700 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 1,364 458,500 CALL DEFINED 1,2,3 0 458,500 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 - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- BIOMIMETIC THERAPEUTICS INC COM 09064X101 313 161,600 CALL DEFINED 1,2,3 0 161,600 0 BIOMIMETIC THERAPEUTICS INC COM 09064X101 1,004 76,365 SH DEFINED 1,2,3 0 76,365 0 BIOMIMETIC THERAPEUTICS INC COM 09064X101 566 367,700 PUT DEFINED 1,2,3 0 367,700 0 BLACKBOARD INC COM 091935502 55 27,700 CALL DEFINED 1,2,3 0 27,700 0 BLACKBOARD INC COM 091935502 18 5,700 PUT DEFINED 1,2,3 0 5,700 0 BP PLC SPONSORED ADR 055622104 310 365,400 CALL DEFINED 1,2,3 0 365,400 0 BP PLC SPONSORED ADR 055622104 87 321,400 PUT DEFINED 1,2,3 0 321,400 0 BRISTOL MYERS SQUIBB CO COM 110122108 2,045 744,200 CALL DEFINED 1,2,3 0 744,200 0 BRISTOL MYERS SQUIBB CO COM 110122108 437 591,200 PUT DEFINED 1,2,3 0 591,200 0 BUNGE LIMITED COM G16962105 423 405,800 CALL DEFINED 1,2,3 0 405,800 0 BUNGE LIMITED COM G16962105 46 150,300 PUT DEFINED 1,2,3 0 150,300 0 CAMECO CORP COM 13321L108 159 397,200 CALL DEFINED 1,2,3 0 397,200 0 CATERPILLAR INC DEL COM 149123101 2,024 629,400 CALL DEFINED 1,2,3 0 629,400 0 CELL THERAPEUTICS INC COM NO PAR 150934503 7 296,800 CALL DEFINED 1,2,3 0 296,800 0 CENTURY ALUM CO COM 156431108 4 2,000 CALL DEFINED 1,2,3 0 2,000 0 CENTURY ALUM CO COM 156431108 695 50,473 SH DEFINED 1,2,3 0 50,473 0 CEPHALON INC COM 156708109 40 100,000 CALL DEFINED 1,2,3 0 100,000 0 CEPHALON INC COM 156708109 5,295 78,121 SH DEFINED 1,2,3 0 78,121 0 CF INDS HLDGS INC COM 125269100 10,668 117,000 SH DEFINED 1,2,3 0 117,000 0 CF INDS HLDGS INC COM 125269100 825 131,600 PUT DEFINED 1,2,3 0 131,600 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 1,257 310,100 CALL DEFINED 1,2,3 0 310,100 0 CHECK POINT SOFTWARE TECH LT ORD M22465104 203 226,200 PUT DEFINED 1,2,3 0 226,200 0 CHESAPEAKE ENERGY CORP COM 165167107 20 81,600 CALL DEFINED 1,2,3 0 81,600 0 CHESAPEAKE ENERGY CORP COM 165167107 2,913 123,230 SH DEFINED 1,2,3 0 123,230 0 CHESAPEAKE ENERGY CORP COM 165167107 86 331,300 PUT DEFINED 1,2,3 0 331,300 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 1,373 28,530 SH DEFINED 1,2,3 0 28,530 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 70 35,700 PUT DEFINED 1,2,3 0 35,700 0 CIT GROUP INC COM NEW 125581801 389 160,400 CALL DEFINED 1,2,3 0 160,400 0 CIT GROUP INC COM NEW 125581801 25 15,100 PUT DEFINED 1,2,3 0 15,100 0 CITIGROUP INC COM 172967101 1,766 4,430,800 CALL DEFINED 1,2,3 0 4,430,800 0 CITIGROUP INC COM 172967101 1,221 301,576 SH DEFINED 1,2,3 0 301,576 0 CITIGROUP INC COM 172967101 1,722 2,234,700 PUT DEFINED 1,2,3 0 2,234,700 0 COMERICA INC COM 200340107 297 146,600 CALL DEFINED 1,2,3 0 146,600 0 COMMERCIAL METALS CO COM 201723103 41 150,000 CALL DEFINED 1,2,3 0 150,000 0 COMPASS MINERALS INTL INC COM 20451N101 293 107,500 CALL DEFINED 1,2,3 0 107,500 0 COMPASS MINERALS INTL INC COM 20451N101 3,542 44,147 SH DEFINED 1,2,3 0 44,147 0 COMPASS MINERALS INTL INC COM 20451N101 934 119,000 PUT DEFINED 1,2,3 0 119,000 0 CONSECO INC COM NEW 208464883 38 118,100 CALL DEFINED 1,2,3 0 118,100 0 CONSECO INC COM NEW 208464883 861 138,500 SH DEFINED 1,2,3 0 138,500 0 CONSECO INC COM NEW 208464883 3 20,000 PUT DEFINED 1,2,3 0 20,000 0 CON-WAY INC COM 205944101 147 103,100 CALL DEFINED 1,2,3 0 103,100 0 CREE INC COM 225447101 611 237,200 CALL DEFINED 1,2,3 0 237,200 0 CREE INC COM 225447101 134 18,100 PUT DEFINED 1,2,3 0 18,100 0 CYTORI THERAPEUTICS INC COM 23283K105 17 84,700 CALL DEFINED 1,2,3 0 84,700 0 CYTORI THERAPEUTICS INC COM 23283K105 657 143,970 SH DEFINED 1,2,3 0 143,970 0 CYTORI THERAPEUTICS INC COM 23283K105 387 129,300 PUT DEFINED 1,2,3 0 129,300 0 DEAN FOODS CO NEW COM 242370104 0 16,400 PUT DEFINED 1,2,3 0 16,400 0 DELCATH SYS INC COM 24661P104 4 10,000 CALL DEFINED 1,2,3 0 10,000 0 DELCATH SYS INC COM 24661P104 49 66,700 PUT DEFINED 1,2,3 0 66,700 0 DELL INC COM 24702R101 2,168 1,761,900 CALL DEFINED 1,2,3 0 1,761,900 0 DELL INC COM 24702R101 800 2,196,500 PUT DEFINED 1,2,3 0 2,196,500 0 DENDREON CORP COM 24823Q107 45,049 3,053,300 CALL DEFINED 1,2,3 0 3,053,300 0 DENDREON CORP COM 24823Q107 5,314 1,878,900 PUT DEFINED 1,2,3 0 1,878,900 0 DEUTSCHE BANK AG NAMEN AKT D18190898 578 87,700 CALL DEFINED 1,2,3 0 87,700 0 DEUTSCHE BANK AG NAMEN AKT D18190898 7 12,500 PUT DEFINED 1,2,3 0 12,500 0 DEVELOPERS DIVERSIFIED RLTY COM 251591103 430 35,350 SH DEFINED 1,2,3 0 35,350 0 DEVON ENERGY CORP NEW COM 25179M103 30 100,000 CALL DEFINED 1,2,3 0 100,000 0 DIGITAL RIV INC COM 25388B104 308 438,500 CALL DEFINED 1,2,3 0 438,500 0 DIGITAL RIV INC COM 25388B104 1,567 51,712 SH DEFINED 1,2,3 0 51,712 0 DIGITAL RIV INC COM 25388B104 198 124,300 PUT DEFINED 1,2,3 0 124,300 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 23331A109 146 265,000 CALL DEFINED 1,2,3 0 265,000 0 D R HORTON INC COM 23331A109 27 48,500 PUT DEFINED 1,2,3 0 48,500 0 E TRADE FINANCIAL CORP COM 269246104 118 1,406,300 CALL DEFINED 1,2,3 0 1,406,300 0 E TRADE FINANCIAL CORP COM 269246104 79 48,003 SH DEFINED 1,2,3 0 48,003 0 E TRADE FINANCIAL CORP COM 269246104 0 2,000 PUT DEFINED 1,2,3 0 2,000 0 EBAY INC COM 278642103 547 121,100 CALL DEFINED 1,2,3 0 121,100 0 EBAY INC COM 278642103 3,574 132,544 SH DEFINED 1,2,3 0 132,544 0 EBAY INC COM 278642103 6 76,300 PUT DEFINED 1,2,3 0 76,300 0 EDWARDS LIFESCIENCES CORP COM 28176E108 164 15,200 CALL DEFINED 1,2,3 0 15,200 0 EDWARDS LIFESCIENCES CORP COM 28176E108 4,434 44,840 SH DEFINED 1,2,3 0 44,840 0 EDWARDS LIFESCIENCES CORP COM 28176E108 3,401 454,700 PUT DEFINED 1,2,3 0 454,700 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 79 26,500 CALL DEFINED 1,2,3 0 26,500 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 302 15,848 SH DEFINED 1,2,3 0 15,848 0 E HOUSE CHINA HLDGS LTD ADR 26852W103 138 78,100 PUT DEFINED 1,2,3 0 78,100 0 ELAN PLC ADR 284131208 1,359 2,092,700 CALL DEFINED 1,2,3 0 2,092,700 0 ELAN PLC ADR 284131208 401 301,400 PUT DEFINED 1,2,3 0 301,400 0 ELECTRO OPTICAL SCIENCES INC COM 285192100 7 267,500 CALL DEFINED 1,2,3 0 267,500 0 ELECTRO OPTICAL SCIENCES INC COM 285192100 1,326 178,709 SH DEFINED 1,2,3 0 178,709 0 ELECTRO OPTICAL SCIENCES INC COM 285192100 604 230,100 PUT DEFINED 1,2,3 0 230,100 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 5,188 90,200 SH DEFINED 1,2,3 0 90,200 0 ENTERGY CORP NEW COM 29364G103 231 68,000 CALL DEFINED 1,2,3 0 68,000 0 ENTERGY CORP NEW COM 29364G103 232 2,850 SH DEFINED 1,2,3 0 2,850 0 ENZON PHARMACEUTICALS INC COM 293904108 1,455 142,920 SH DEFINED 1,2,3 0 142,920 0 ENZON PHARMACEUTICALS INC COM 293904108 30 42,100 PUT DEFINED 1,2,3 0 42,100 0 EOG RES INC COM 26875P101 80 145,500 CALL DEFINED 1,2,3 0 145,500 0 EOG RES INC COM 26875P101 4,436 47,725 SH DEFINED 1,2,3 0 47,725 0 EOG RES INC COM 26875P101 242 182,700 PUT DEFINED 1,2,3 0 182,700 0 FBR CAPITAL MARKETS CORP COM 30247C301 483 106,000 SH DEFINED 1,2,3 0 106,000 0 FBR CAPITAL MARKETS CORP COM 30247C301 169 150,000 PUT DEFINED 1,2,3 0 150,000 0 FIFTH THIRD BANCORP COM 316773100 228 185,000 CALL DEFINED 1,2,3 0 185,000 0 FIFTH THIRD BANCORP COM 316773100 163 325,000 PUT DEFINED 1,2,3 0 325,000 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2,011 1,923,800 CALL DEFINED 1,2,3 0 1,923,800 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 10,093 632,782 SH DEFINED 1,2,3 0 632,782 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1,350 4,391,200 PUT DEFINED 1,2,3 0 4,391,200 0 FIRST SOLAR INC COM 336433107 572 132,200 PUT DEFINED 1,2,3 0 132,200 0 FORD MTR CO DEL COM PAR $0.01 345370860 2,472 1,001,000 CALL DEFINED 1,2,3 0 1,001,000 0 FOREST LABS INC COM 345838106 401 296,800 CALL DEFINED 1,2,3 0 296,800 0 FOREST LABS INC COM 345838106 207 306,900 PUT DEFINED 1,2,3 0 306,900 0 GAMESTOP CORP NEW CL A 36467W109 3 55,100 CALL DEFINED 1,2,3 0 55,100 0 GAMESTOP CORP NEW CL A 36467W109 71 69,000 PUT DEFINED 1,2,3 0 69,000 0 GENERAL ELECTRIC CO COM 369604103 151 222,700 CALL DEFINED 1,2,3 0 222,700 0 GENERAL ELECTRIC CO COM 369604103 55 164,300 PUT DEFINED 1,2,3 0 164,300 0 GENVEC INC COM 37246C109 37 47,840 SH DEFINED 1,2,3 0 47,840 0 GENWORTH FINL INC COM CL A 37247D106 1,210 312,000 CALL DEFINED 1,2,3 0 312,000 0 GENWORTH FINL INC COM CL A 37247D106 210 355,000 PUT DEFINED 1,2,3 0 355,000 0 GERON CORP COM 374163103 17 30,000 CALL DEFINED 1,2,3 0 30,000 0 GERON CORP COM 374163103 100 17,656 SH DEFINED 1,2,3 0 17,656 0 GERON CORP COM 374163103 170 35,000 PUT DEFINED 1,2,3 0 35,000 0 GOODRICH PETE CORP COM NEW 382410405 51 30,000 CALL DEFINED 1,2,3 0 30,000 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 3,662 453,300 CALL DEFINED 1,2,3 0 453,300 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 1,965 466,900 PUT DEFINED 1,2,3 0 466,900 0 GTX INC DEL COM 40052B108 446 570,600 CALL DEFINED 1,2,3 0 570,600 0 GTX INC DEL COM 40052B108 636 189,836 SH DEFINED 1,2,3 0 189,836 0 GTX INC DEL COM 40052B108 1,280 270,000 PUT DEFINED 1,2,3 0 270,000 0 HAIN CELESTIAL GROUP INC COM 405217100 4 30,000 CALL DEFINED 1,2,3 0 30,000 0 HARTFORD FINL SVCS GROUP INC COM 416515104 704 238,300 CALL DEFINED 1,2,3 0 238,300 0 HARTFORD FINL SVCS GROUP INC COM 416515104 85 121,000 PUT DEFINED 1,2,3 0 121,000 0 HOLOGIC INC COM 436440101 65 20,500 CALL DEFINED 1,2,3 0 20,500 0 HSBC HLDGS PLC SPON ADR NEW 404280406 339 371,500 CALL DEFINED 1,2,3 0 371,500 0 HSBC HLDGS PLC SPON ADR NEW 404280406 636 216,900 PUT DEFINED 1,2,3 0 216,900 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 - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- HUMAN GENOME SCIENCES INC COM 444903108 11,748 1,508,600 CALL DEFINED 1,2,3 0 1,508,600 0 HUMAN GENOME SCIENCES INC COM 444903108 1,945 1,291,300 PUT DEFINED 1,2,3 0 1,291,300 0 ICICI BK LTD ADR 45104G104 906 234,200 CALL DEFINED 1,2,3 0 234,200 0 ICICI BK LTD ADR 45104G104 5,614 131,481 SH DEFINED 1,2,3 0 131,481 0 ICICI BK LTD ADR 45104G104 207 110,500 PUT DEFINED 1,2,3 0 110,500 0 ILLINOIS TOOL WKS INC COM 452308109 370 200,200 CALL DEFINED 1,2,3 0 200,200 0 ILLINOIS TOOL WKS INC COM 452308109 101 115,600 PUT DEFINED 1,2,3 0 115,600 0 INTERMUNE INC COM 45884X103 18,922 1,347,700 CALL DEFINED 1,2,3 0 1,347,700 0 INTERMUNE INC COM 45884X103 441 269,000 PUT DEFINED 1,2,3 0 269,000 0 INTL PAPER CO COM 460146103 16 155,000 CALL DEFINED 1,2,3 0 155,000 0 INTL PAPER CO COM 460146103 524 21,300 SH DEFINED 1,2,3 0 21,300 0 INTL PAPER CO COM 460146103 196 80,000 PUT DEFINED 1,2,3 0 80,000 0 INTUITIVE SURGICAL INC COM NEW 46120E602 2,101 21,000 CALL DEFINED 1,2,3 0 21,000 0 INTUITIVE SURGICAL INC COM NEW 46120E602 1 6,200 PUT DEFINED 1,2,3 0 6,200 0 BARCLAYS BK PLC IPATH SHRT ETN 06740C527 7,868 374,495 SH DEFINED 1,2,3 0 374,495 0 ISHARES TR INDEX BARCLYS 20+ YR 464287432 2 7,600 CALL DEFINED 1,2,3 0 7,600 0 ISHARES TR INDEX BARCLYS 20+ YR 464287432 21,231 237,215 SH DEFINED 1,2,3 0 237,215 0 ISHARES TR INDEX BARCLYS 20+ YR 464287432 301 747,600 PUT DEFINED 1,2,3 0 747,600 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 2,520 400,000 CALL DEFINED 1,2,3 0 400,000 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 182 400,000 PUT DEFINED 1,2,3 0 400,000 0 ISHARES TR INDEX RUSSELL 2000 464287655 678 1,099,900 PUT DEFINED 1,2,3 0 1,099,900 0 ISIS PHARMACEUTICALS INC COM 464330109 184 366,100 CALL DEFINED 1,2,3 0 366,100 0 ISIS PHARMACEUTICALS INC COM 464330109 3,299 301,862 SH DEFINED 1,2,3 0 301,862 0 ISIS PHARMACEUTICALS INC COM 464330109 1,136 772,700 PUT DEFINED 1,2,3 0 772,700 0 JPMORGAN CHASE & CO COM 46625H100 1,758 279,800 CALL DEFINED 1,2,3 0 279,800 0 JPMORGAN CHASE & CO COM 46625H100 911 320,400 PUT DEFINED 1,2,3 0 320,400 0 KEYCORP NEW COM 493267108 588 535,200 CALL DEFINED 1,2,3 0 535,200 0 KEYCORP NEW COM 493267108 68 183,500 PUT DEFINED 1,2,3 0 183,500 0 KIMBERLY CLARK CORP COM 494368103 145 50,000 CALL DEFINED 1,2,3 0 50,000 0 KIMBERLY CLARK CORP COM 494368103 1 37,700 PUT DEFINED 1,2,3 0 37,700 0 KING PHARMACEUTICALS INC COM 495582108 46 131,900 CALL DEFINED 1,2,3 0 131,900 0 KINROSS GOLD CORP COM NO PAR 496902404 1 50,000 CALL DEFINED 1,2,3 0 50,000 0 KINROSS GOLD CORP COM NO PAR 496902404 756 44,244 SH DEFINED 1,2,3 0 44,244 0 LAS VEGAS SANDS CORP COM 517834107 685 253,400 CALL DEFINED 1,2,3 0 253,400 0 LENNAR CORP CL A 526057104 295 259,500 CALL DEFINED 1,2,3 0 259,500 0 LENNAR CORP CL A 526057104 936 54,415 SH DEFINED 1,2,3 0 54,415 0 LENNAR CORP CL A 526057104 791 267,500 PUT DEFINED 1,2,3 0 267,500 0 MANNKIND CORP COM 56400P201 976 945,900 CALL DEFINED 1,2,3 0 945,900 0 MANNKIND CORP COM 56400P201 2,406 366,758 SH DEFINED 1,2,3 0 366,758 0 MANNKIND CORP COM 56400P201 4,662 1,047,000 PUT DEFINED 1,2,3 0 1,047,000 0 MEDICINES CO COM 584688105 17 38,200 CALL DEFINED 1,2,3 0 38,200 0 MEDIVATION INC COM 58501N101 57 1,860,600 CALL DEFINED 1,2,3 0 1,860,600 0 MEDIVATION INC COM 58501N101 9,576 912,894 SH DEFINED 1,2,3 0 912,894 0 MEDIVATION INC COM 58501N101 10,353 1,544,500 PUT DEFINED 1,2,3 0 1,544,500 0 MERCADOLIBRE INC COM 58733R102 221 122,800 CALL DEFINED 1,2,3 0 122,800 0 MERCADOLIBRE INC COM 58733R102 6,807 141,201 SH DEFINED 1,2,3 0 141,201 0 MERCADOLIBRE INC COM 58733R102 132 54,700 PUT DEFINED 1,2,3 0 54,700 0 MGIC INVT CORP WIS COM 552848103 3,412 868,600 CALL DEFINED 1,2,3 0 868,600 0 MGIC INVT CORP WIS COM 552848103 104 245,900 PUT DEFINED 1,2,3 0 245,900 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 234 114,100 CALL DEFINED 1,2,3 0 114,100 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 133 8,853 SH DEFINED 1,2,3 0 8,853 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 194 114,100 PUT DEFINED 1,2,3 0 114,100 0 MONSANTO CO NEW COM 61166W101 6 398,800 CALL DEFINED 1,2,3 0 398,800 0 MONSANTO CO NEW COM 61166W101 71,989 1,007,960 SH DEFINED 1,2,3 0 1,007,960 0 MONSANTO CO NEW COM 61166W101 7,082 1,839,700 PUT DEFINED 1,2,3 0 1,839,700 0 MORGAN STANLEY COM NEW 617446448 18 80,000 PUT DEFINED 1,2,3 0 80,000 0 NETFLIX INC COM 64110L106 2,527 523,700 CALL DEFINED 1,2,3 0 523,700 0 NETLOGIC MICROSYSTEMS INC COM 64118B100 1,917 293,800 CALL DEFINED 1,2,3 0 293,800 0 NETLOGIC MICROSYSTEMS INC COM 64118B100 225 180,400 PUT DEFINED 1,2,3 0 180,400 0 NEWFIELD EXPL CO COM 651290108 38 2,200 CALL DEFINED 1,2,3 0 2,200 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 - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- NEWFIELD EXPL CO COM 651290108 2,163 41,561 SH DEFINED 1,2,3 0 41,561 0 NEWFIELD EXPL CO COM 651290108 11 14,000 PUT DEFINED 1,2,3 0 14,000 0 NEWMONT MINING CORP COM 651639106 677 211,000 CALL DEFINED 1,2,3 0 211,000 0 NEWMONT MINING CORP COM 651639106 207 29,200 PUT DEFINED 1,2,3 0 29,200 0 NMT MED INC COM 629294109 49 72,600 CALL DEFINED 1,2,3 0 72,600 0 NMT MED INC COM 629294109 48 10,585 SH DEFINED 1,2,3 0 10,585 0 NMT MED INC COM 629294109 87 132,000 PUT DEFINED 1,2,3 0 132,000 0 NOKIA CORP SPONSORED ADR 654902204 2,215 1,105,700 CALL DEFINED 1,2,3 0 1,105,700 0 NOKIA CORP SPONSORED ADR 654902204 36 267,100 PUT DEFINED 1,2,3 0 267,100 0 NUVASIVE INC COM 670704105 584 194,800 CALL DEFINED 1,2,3 0 194,800 0 ONYX PHARMACEUTICALS INC COM 683399109 529 569,900 CALL DEFINED 1,2,3 0 569,900 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 322 26,200 SH DEFINED 1,2,3 0 26,200 0 OREXIGEN THERAPEUTICS INC COM 686164104 82 13,910 SH DEFINED 1,2,3 0 13,910 0 OREXIGEN THERAPEUTICS INC COM 686164104 142 182,800 PUT DEFINED 1,2,3 0 182,800 0 OSI PHARMACEUTICALS INC COM 671040103 28 10,000 CALL DEFINED 1,2,3 0 10,000 0 OSI PHARMACEUTICALS INC COM 671040103 667 222,300 PUT DEFINED 1,2,3 0 222,300 0 PALM INC NEW COM 696643105 38 514,000 CALL DEFINED 1,2,3 0 514,000 0 PALM INC NEW COM 696643105 1,801 478,883 SH DEFINED 1,2,3 0 478,883 0 PEABODY ENERGY CORP COM 704549104 376 227,900 CALL DEFINED 1,2,3 0 227,900 0 PETROHAWK ENERGY CORP COM 716495106 90 100,000 CALL DEFINED 1,2,3 0 100,000 0 PETROHAWK ENERGY CORP COM 716495106 2,533 124,900 SH DEFINED 1,2,3 0 124,900 0 PETROHAWK ENERGY CORP COM 716495106 258 189,200 PUT DEFINED 1,2,3 0 189,200 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 709 480,500 CALL DEFINED 1,2,3 0 480,500 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 261 200,000 PUT DEFINED 1,2,3 0 200,000 0 PFIZER INC COM 717081103 4,852 282,900 SH DEFINED 1,2,3 0 282,900 0 PFIZER INC COM 717081103 261 275,000 PUT DEFINED 1,2,3 0 275,000 0 PLAINS EXPL& PRODTN CO COM 726505100 8 73,000 CALL DEFINED 1,2,3 0 73,000 0 POLYCOM INC COM 73172K104 635 20,750 SH DEFINED 1,2,3 0 20,750 0 POLYCOM INC COM 73172K104 6 25,500 PUT DEFINED 1,2,3 0 25,500 0 PONIARD PHARMACEUTICALS INC COM NEW 732449301 49 426,500 CALL DEFINED 1,2,3 0 426,500 0 PONIARD PHARMACEUTICALS INC COM NEW 732449301 98 85,000 SH DEFINED 1,2,3 0 85,000 0 PONIARD PHARMACEUTICALS INC COM NEW 732449301 2,534 658,100 PUT DEFINED 1,2,3 0 658,100 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 5 63,300 CALL DEFINED 1,2,3 0 63,300 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 3,614 75,043 SH DEFINED 1,2,3 0 75,043 0 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 218 187,600 PUT DEFINED 1,2,3 0 187,600 0 POZEN INC COM 73941U102 330 98,400 CALL DEFINED 1,2,3 0 98,400 0 POZEN INC COM 73941U102 14 93,000 PUT DEFINED 1,2,3 0 93,000 0 PRANA BIOTECHNOLOGY LTD SPONSORED ADR 739727105 512 387,540 SH DEFINED 1,2,3 0 387,540 0 PRICELINE COM INC COM NEW 741503403 1,020 45,600 CALL DEFINED 1,2,3 0 45,600 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 45 85,000 CALL DEFINED 1,2,3 0 85,000 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 404 61,511 SH DEFINED 1,2,3 0 61,511 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 188 230,500 PUT DEFINED 1,2,3 0 230,500 0 QUALCOMM INC COM 747525103 550 206,200 CALL DEFINED 1,2,3 0 206,200 0 QUALCOMM INC COM 747525103 1,070 25,500 SH DEFINED 1,2,3 0 25,500 0 RAMBUS INC DEL COM 750917106 886 279,100 CALL DEFINED 1,2,3 0 279,100 0 RAMBUS INC DEL COM 750917106 59 2,690 SH DEFINED 1,2,3 0 2,690 0 RAMBUS INC DEL COM 750917106 58 39,600 PUT DEFINED 1,2,3 0 39,600 0 RAYTHEON CO COM NEW 755111507 628 417,700 CALL DEFINED 1,2,3 0 417,700 0 RAYTHEON CO COM NEW 755111507 176 104,900 PUT DEFINED 1,2,3 0 104,900 0 REGENERON PHARMACEUTICALS COM 75886F107 126 28,600 CALL DEFINED 1,2,3 0 28,600 0 REGENERON PHARMACEUTICALS COM 75886F107 36 57,800 PUT DEFINED 1,2,3 0 57,800 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 582 358,800 CALL DEFINED 1,2,3 0 358,800 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 230 876,600 PUT DEFINED 1,2,3 0 876,600 0 RESEARCH IN MOTION LTD COM 760975102 1,596 510,700 CALL DEFINED 1,2,3 0 510,700 0 RESEARCH IN MOTION LTD COM 760975102 394 204,200 PUT DEFINED 1,2,3 0 204,200 0 SALESFORCE COM INC COM 79466L302 1,527 275,500 CALL DEFINED 1,2,3 0 275,500 0 SALESFORCE COM INC COM 79466L302 466 129,500 PUT DEFINED 1,2,3 0 129,500 0 SALIX PHARMACEUTICALS INC COM 795435106 889 137,100 CALL DEFINED 1,2,3 0 137,100 0 SALIX PHARMACEUTICALS INC COM 795435106 3,200 85,896 SH DEFINED 1,2,3 0 85,896 0 SALIX PHARMACEUTICALS INC COM 795435106 97 191,100 PUT DEFINED 1,2,3 0 191,100 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 - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- SANDRIDGE ENERGY INC COM 80007P307 13 1,700 SH DEFINED 1,2,3 0 1,700 0 SANDRIDGE ENERGY INC COM 80007P307 13 40,000 PUT DEFINED 1,2,3 0 40,000 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 734 125,200 CALL DEFINED 1,2,3 0 125,200 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 281 19,413 SH DEFINED 1,2,3 0 19,413 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 1,212 502,000 PUT DEFINED 1,2,3 0 502,000 0 SEATTLE GENETICS INC COM 812578102 112 123,800 CALL DEFINED 1,2,3 0 123,800 0 SEATTLE GENETICS INC COM 812578102 23 10,000 PUT DEFINED 1,2,3 0 10,000 0 SEQUENOM INC COM NEW 817337405 756 1,324,700 CALL DEFINED 1,2,3 0 1,324,700 0 SEQUENOM INC COM NEW 817337405 5,183 824,075 SH DEFINED 1,2,3 0 824,075 0 SEQUENOM INC COM NEW 817337405 16,119 2,293,500 PUT DEFINED 1,2,3 0 2,293,500 0 SHAW GROUP INC COM 820280105 201 146,000 CALL DEFINED 1,2,3 0 146,000 0 SHERWIN WILLIAMS CO COM 824348106 34 24,700 CALL DEFINED 1,2,3 0 24,700 0 SILICON LABORATORIES INC COM 826919102 308 101,200 CALL DEFINED 1,2,3 0 101,200 0 SILICON LABORATORIES INC COM 826919102 3 24,000 PUT DEFINED 1,2,3 0 24,000 0 SILVER WHEATON CORP COM 828336107 69 83,200 CALL DEFINED 1,2,3 0 83,200 0 SILVER WHEATON CORP COM 828336107 4 3,700 PUT DEFINED 1,2,3 0 3,700 0 SLM CORP COM 78442P106 144 100,000 CALL DEFINED 1,2,3 0 100,000 0 SLM CORP COM 78442P106 6 20,000 PUT DEFINED 1,2,3 0 20,000 0 SOMAXON PHARMACEUTICALS INC COM 834453102 346 40,000 SH DEFINED 1,2,3 0 40,000 0 SPDR SERIES TRUST SPDR KBW BK ETF 78464A797 1,156 44,800 SH DEFINED 1,2,3 0 44,800 0 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 116 60,000 CALL DEFINED 1,2,3 0 60,000 0 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 205 775,400 PUT DEFINED 1,2,3 0 775,400 0 SPDR S&P 500 ETF TR UNIT SER 1 S&P 78462F103 17 35,000 CALL DEFINED 1,2,3 0 35,000 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 1,446 85,989 SH DEFINED 1,2,3 0 85,989 0 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 0 15,500 PUT DEFINED 1,2,3 0 15,500 0 ST JUDE MED INC COM 790849103 19 20,200 CALL DEFINED 1,2,3 0 20,200 0 STEC INC COM 784774101 31 41,000 CALL DEFINED 1,2,3 0 41,000 0 STEC INC COM 784774101 1,463 122,100 SH DEFINED 1,2,3 0 122,100 0 STEC INC COM 784774101 2,299 138,600 PUT DEFINED 1,2,3 0 138,600 0 STERIS CORP COM 859152100 485 103,800 CALL DEFINED 1,2,3 0 103,800 0 STILLWATER MNG CO COM 86074Q102 125 155,700 CALL DEFINED 1,2,3 0 155,700 0 SUNCOR ENERGY INC NEW COM 867224107 569 17,500 SH DEFINED 1,2,3 0 17,500 0 SUNTRUST BKS INC COM 867914103 68 105,000 CALL DEFINED 1,2,3 0 105,000 0 SUNTRUST BKS INC COM 867914103 86 107,500 PUT DEFINED 1,2,3 0 107,500 0 SYSCO CORP COM 871829107 151 232,600 CALL DEFINED 1,2,3 0 232,600 0 TESORO CORP COM 881609101 203 168,000 CALL DEFINED 1,2,3 0 168,000 0 TESORO CORP COM 881609101 35 70,500 PUT DEFINED 1,2,3 0 70,500 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 3,285 574,400 CALL DEFINED 1,2,3 0 574,400 0 UNITED STATES STL CORP NEW COM 912909108 872 225,000 CALL DEFINED 1,2,3 0 225,000 0 UNITED STATES STL CORP NEW COM 912909108 381 6,000 SH DEFINED 1,2,3 0 6,000 0 UNITED STATES STL CORP NEW COM 912909108 686 225,000 PUT DEFINED 1,2,3 0 225,000 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 4,544 82,124 SH DEFINED 1,2,3 0 82,124 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 2,424 189,400 PUT DEFINED 1,2,3 0 189,400 0 UNITEDHEALTH GROUP INC COM 91324P102 316 526,600 CALL DEFINED 1,2,3 0 526,600 0 US BANCORP DEL COM NEW 902973304 68 250,000 CALL DEFINED 1,2,3 0 250,000 0 USEC INC COM 90333E108 352 227,000 CALL DEFINED 1,2,3 0 227,000 0 USEC INC COM 90333E108 159 235,900 PUT DEFINED 1,2,3 0 235,900 0 VALE S A ADR 91912E105 566 212,500 CALL DEFINED 1,2,3 0 212,500 0 VALE S A ADR 91912E105 167 5,197 SH DEFINED 1,2,3 0 5,197 0 VALEANT PHARMACEUTICALS INTL COM 91911X104 100 39,100 CALL DEFINED 1,2,3 0 39,100 0 VALEANT PHARMACEUTICALS INTL COM 91911X104 321 293,600 PUT DEFINED 1,2,3 0 293,600 0 VANDA PHARMACEUTICALS INC COM 921659108 123 100,000 CALL DEFINED 1,2,3 0 100,000 0 VARIAN MED SYS INC COM 92220P105 109 83,600 CALL DEFINED 1,2,3 0 83,600 0 VARIAN MED SYS INC COM 92220P105 654 11,813 SH DEFINED 1,2,3 0 11,813 0 VARIAN MED SYS INC COM 92220P105 142 138,900 PUT DEFINED 1,2,3 0 138,900 0 VERTEX PHARMACEUTICALS INC COM 92532F100 2,510 406,100 CALL DEFINED 1,2,3 0 406,100 0 VERTEX PHARMACEUTICALS INC COM 92532F100 2,582 1,085,500 PUT DEFINED 1,2,3 0 1,085,500 0 VICAL INC COM 925602104 316 574,700 CALL DEFINED 1,2,3 0 574,700 0 VIVUS INC COM 928551100 793 448,900 CALL DEFINED 1,2,3 0 448,900 0 VIVUS INC COM 928551100 1,942 222,448 SH DEFINED 1,2,3 0 222,448 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 - ---------------------------- --------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- VIVUS INC COM 928551100 1,723 550,600 PUT DEFINED 1,2,3 0 550,600 0 WELLS FARGO & CO NEW COM 949746101 359 91,000 CALL DEFINED 1,2,3 0 91,000 0 WELLS FARGO & CO NEW COM 949746101 2,157 69,300 SH DEFINED 1,2,3 0 69,300 0 WELLS FARGO & CO NEW COM 949746101 28 268,100 PUT DEFINED 1,2,3 0 268,100 0 WESTERN REFNG INC COM 959319104 363 66,000 SH DEFINED 1,2,3 0 66,000 0 WESTERN REFNG INC COM 959319104 50 200,000 PUT DEFINED 1,2,3 0 200,000 0 XENOPORT INC COM 98411C100 158 149,500 CALL DEFINED 1,2,3 0 149,500 0 XENOPORT INC COM 98411C100 0 100 PUT DEFINED 1,2,3 0 100 0
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