-----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, WJnpbDjN/0+bjYJD4mbLN1Cr65HhBs1UmKVkuDXBhhftlM3mRHq+CR86q5mrOpAt Lq1t+uUnyRwZwy05YC6ANA== 0000919574-10-006496.txt : 20101115 0000919574-10-006496.hdr.sgml : 20101115 20101115111351 ACCESSION NUMBER: 0000919574-10-006496 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DIALECTIC CAPITAL MANAGEMENT, LLC CENTRAL INDEX KEY: 0001411512 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12674 FILM NUMBER: 101189981 BUSINESS ADDRESS: STREET 1: 875 THIRD AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-230-3220 MAIL ADDRESS: STREET 1: 875 THIRD AVENUE, 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 d1142636_13f-hr.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 September 30, 2010 Check here if Amendment: |_|; Amendment Number: This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Dialectic Capital Management, LLC Address: 875 Third Avenue, 15th Floor New York, New York 10022 13F File Number: 028-12674 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 Fichthorn Title: Managing Member Phone: 212-230-3220 Signature, Place and Date of Signing: /s/John Fichthorn New York, New York November 15, 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 managers(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: NONE Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 283 Form 13F Information Table Value Total: $478,050 (thousands) List of Other Included Managers: 13 F file Number Name 1. 028-13402 Dialectic Antithesis Offshore, Ltd. 2. 028-13802 Dialectic Antithesis Partners, LP FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X1000) PRN AMT PRN CALL DISCRETION MANGRS SOLE SHARED NONE A POWER ENERGY GENERAT SYS L COM G04136100 101 12,208 SH SOLE 12,208 A POWER ENERGY GENERAT SYS L COM G04136100 138 16,639 SH SHARED 1 16,639 A POWER ENERGY GENERAT SYS L COM G04136100 185 22,340 SH SHARED 2 22,340 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 451 10,617 SH SOLE 10,617 ACTIVISION BLIZZARD INC COM 00507V109 1,872 173,058 SH SOLE 173,058 ACTIVISION BLIZZARD INC COM 00507V109 1,461 134,989 SH SHARED 1 134,989 ACTIVISION BLIZZARD INC COM 00507V109 1,968 181,863 SH SHARED 2 181,863 ADOBE SYS INC COM 00724F101 486 18,596 SH SOLE 18,596 ADOBE SYS INC COM 00724F101 299 11,423 SH SHARED 1 11,423 ADOBE SYS INC COM 00724F101 403 15,420 SH SHARED 2 15,420 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 2,946 839,337 SH SOLE 839,337 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 2,101 598,634 SH SHARED 1 598,634 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 2,944 838,856 SH SHARED 2 838,856 AGFEED INDUSTRIES INC COM 00846L101 261 101,300 PUT SOLE 101,300 AIR PRODS & CHEMS INC COM 009158106 2,419 29,208 SH SOLE 29,208 ALCATEL-LUCENT SPONSORED ADR 013904305 666 197,000 SH SOLE 197,000 ALCATEL-LUCENT SPONSORED ADR 013904305 64 18,814 SH SHARED 1 18,814 ALCATEL-LUCENT SPONSORED ADR 013904305 102 30,147 SH SHARED 2 30,147 ALTERA CORP COM 021441100 400 13,270 SH SOLE 13,270 ALTRIA GROUP INC COM 02209S103 1,561 64,974 SH SOLE 64,974 AMERICAN ELEC PWR INC COM 025537101 3,068 84,684 SH SOLE 84,684 AMERICAN ELEC PWR INC COM 025537101 2,165 59,745 SH SHARED 1 59,745 AMERICAN ELEC PWR INC COM 025537101 2,906 80,219 SH SHARED 2 80,219 AMERIGON INC COM 03070L300 867 84,219 SH SOLE 84,219 APACHE CORP COM 037411105 3,290 33,658 SH SOLE 33,658 APACHE CORP COM 037411105 3,343 34,201 SH SHARED 1 34,201 APACHE CORP COM 037411105 4,489 45,921 SH SHARED 2 45,921 APPLE INC COM 037833100 755 2,660 SH SOLE 2,660 ARCHER DANIELS MIDLAND CO COM 039483102 2,638 82,658 SH SOLE 82,658 ARCHER DANIELS MIDLAND CO COM 039483102 2,535 79,415 SH SHARED 1 79,415 ARCHER DANIELS MIDLAND CO COM 039483102 3,404 106,629 SH SHARED 2 106,629 ASCENT MEDIA CORP COM SER A 043632108 2,725 102,006 SH SOLE 102,006 ASCENT MEDIA CORP COM SER A 043632108 1,689 63,239 SH SHARED 1 63,239 ASCENT MEDIA CORP COM SER A 043632108 2,268 84,925 SH SHARED 2 84,925 ATMEL CORP COM 049513104 1,002 125,900 SH SOLE 125,900 AVALONBAY CMNTYS INC COM 053484101 416 4,000 PUT SOLE 4,000 AVALONBAY CMNTYS INC COM 053484101 603 5,800 PUT SHARED 1 5,800 AVALONBAY CMNTYS INC COM 053484101 842 8,100 PUT SHARED 2 8,100 BALL CORP COM 058498106 1,178 20,014 SH SOLE 20,014 BALL CORP COM 058498106 1,106 18,800 SH SHARED 1 18,800 BALL CORP COM 058498106 1,393 23,675 SH SHARED 2 23,675 BEST BUY INC COM 086516101 550 13,463 SH SOLE 13,463 BEST BUY INC COM 086516101 1,385 33,919 SH SHARED 1 33,919 BEST BUY INC COM 086516101 1,860 45,543 SH SHARED 2 45,543 BOFI HLDG INC COM 05566U108 708 59,603 SH SOLE 59,603 CALAMP CORP COM 128126109 193 75,000 SH SOLE 75,000 CALLIDUS SOFTWARE INC COM 13123E500 1,565 366,472 SH SOLE 366,472 CALLIDUS SOFTWARE INC COM 13123E500 1,250 292,683 SH SHARED 1 292,683 CALLIDUS SOFTWARE INC COM 13123E500 1,678 392,980 SH SHARED 2 392,980 CARROLS RESTAURANT GROUP INC COM 14574X104 132 24,868 SH SOLE 24,868 CENTERSTATE BANKS INC COM 15201P109 861 100,285 SH SOLE 100,285 CF INDS HLDGS INC COM 125269100 2,053 21,501 SH SOLE 21,501 CHESAPEAKE ENERGY CORP COM 165167107 1,133 50,000 SH SOLE 50,000 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 1,596 65,282 SH SOLE 65,282 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 521 21,325 SH SHARED 1 21,325 CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 701 28,675 SH SHARED 2 28,675 CHINA AGRITECH INC COM NEW 16937A200 229 19,800 PUT SOLE 19,800 CHINA AGRITECH INC COM NEW 16937A200 231 19,962 SH SOLE 19,962 CHINA FIRE & SEC GROUP INC COM 16938R103 127 15,600 PUT SOLE 15,600 CHINA FIRE & SEC GROUP INC COM 16938R103 165 20,400 PUT SHARED 1 20,400 CHINA FIRE & SEC GROUP INC COM 16938R103 231 28,500 PUT SHARED 2 28,500 CHINA GREEN AGRICULTURE INC COM 16943W105 981 111,700 PUT SOLE 111,700 CHINA GREEN AGRICULTURE INC COM 16943W105 255 29,100 PUT SHARED 1 29,100 CHINA GREEN AGRICULTURE INC COM 16943W105 344 39,200 PUT SHARED 2 39,200 CHINA MEDIAEXPRESS HLDGS INC COM 169442100 255 25,000 PUT SOLE 25,000 CHINA NAT GAS INC COM NEW 168910206 298 50,400 PUT SOLE 50,400 CHINA-BIOTICS INC COM 16937B109 1,045 95,000 PUT SOLE 95,000 CHINA-BIOTICS INC COM 16937B109 727 66,100 PUT SHARED 1 66,100 CHINA-BIOTICS INC COM 16937B109 960 87,300 PUT SHARED 2 87,300 CINEMARK HOLDINGS INC COM 17243V102 2,818 175,039 SH SOLE 175,039 CINEMARK HOLDINGS INC COM 17243V102 2,235 138,838 SH SHARED 1 138,838 CINEMARK HOLDINGS INC COM 17243V102 3,001 186,414 SH SHARED 2 186,414 CISCO SYS INC COM 17275R102 1,738 79,358 SH SOLE 79,358 CITIGROUP INC COM 172967101 936 239,300 PUT SOLE 239,300 CITIGROUP INC COM 172967101 1,307 334,200 PUT SHARED 1 334,200 CITIGROUP INC COM 172967101 1,755 448,800 PUT SHARED 2 448,800 CLEARWIRE CORP NEW CL A 18538Q105 202 25,000 SH SOLE 25,000 CLEARWIRE CORP NEW CL A 18538Q105 311 38,454 SH SHARED 1 38,454 CLEARWIRE CORP NEW CL A 18538Q105 417 51,546 SH SHARED 2 51,546 CNH GLOBAL N V SHS NEW N20935206 854 23,306 SH SOLE 23,306 COCA COLA ENTERPRISES INC COM 191219104 1,624 52,376 SH SOLE 52,376 COCA COLA ENTERPRISES INC COM 191219104 1,147 37,014 SH SHARED 1 37,014 COCA COLA ENTERPRISES INC COM 191219104 1,541 49,698 SH SHARED 2 49,698 COGO GROUP INC COM 192448108 2,027 327,969 SH SOLE 327,969 COGO GROUP INC COM 192448108 892 144,401 SH SHARED 1 144,401 COGO GROUP INC COM 192448108 1,198 193,884 SH SHARED 2 193,884 COMCAST CORP NEW CL A SPL 20030N200 1,530 89,925 SH SOLE 89,925 COMCAST CORP NEW CL A SPL 20030N200 1,945 114,366 SH SHARED 1 114,366 COMCAST CORP NEW CL A SPL 20030N200 2,609 153,355 SH SHARED 2 153,355 CON-WAY INC COM 205944101 1,559 50,292 SH SOLE 50,292 CVS CAREMARK CORPORATION COM 126650100 1,769 56,217 SH SOLE 56,217 DEAN FOODS CO NEW COM 242370104 321 31,440 SH SOLE 31,440 DEVRY INC DEL COM 251893103 973 19,782 SH SOLE 19,782 DG FASTCHANNEL INC COM 23326R109 265 12,200 PUT SOLE 12,200 DG FASTCHANNEL INC COM 23326R109 337 15,500 PUT SHARED 1 15,500 DG FASTCHANNEL INC COM 23326R109 485 22,300 PUT SHARED 2 22,300 DJSP ENTERPRISES INCORPORATE SHS G7982P104 501 142,857 SH SOLE 142,857 E M C CORP MASS COM 268648102 1,867 91,916 SH SOLE 91,916 E M C CORP MASS COM 268648102 546 26,899 SH SHARED 1 26,899 E M C CORP MASS COM 268648102 753 37,091 SH SHARED 2 37,091 EAGLE BULK SHIPPING INC COM Y2187A101 1,653 316,703 SH SOLE 316,703 EAGLE BULK SHIPPING INC COM Y2187A101 1,001 191,703 SH SHARED 1 191,703 EAGLE BULK SHIPPING INC COM Y2187A101 1,341 256,835 SH SHARED 2 256,835 ECOLAB INC COM 278865100 1,978 38,985 SH SOLE 38,985 ECOLAB INC COM 278865100 2,487 49,012 SH SHARED 1 49,012 ECOLAB INC COM 278865100 3,339 65,807 SH SHARED 2 65,807 ENTERGY CORP NEW COM 29364G103 2,958 38,647 SH SOLE 38,647 ENTERGY CORP NEW COM 29364G103 2,087 27,266 SH SHARED 1 27,266 ENTERGY CORP NEW COM 29364G103 2,802 36,609 SH SHARED 2 36,609 FIRST CALIFORNIA FINANCIAL G COM NEW 319395109 180 73,332 SH SOLE 73,332 GAMESTOP CORP NEW CL A 36467W109 1,199 60,815 SH SOLE 60,815 GENCO SHIPPING & TRADING LTD SHS Y2685T107 1,534 96,230 SH SOLE 96,230 GLOBECOMM SYSTEMS INC COM 37956X103 497 59,402 SH SOLE 59,402 GOOGLE INC CL A 38259P508 946 1,800 SH SOLE 1,800 GRAHAM PACKAGING CO INC COM 384701108 416 35,154 SH SOLE 35,154 GSE SYS INC COM 36227K106 277 82,752 SH SOLE 82,752 GSE SYS INC COM 36227K106 548 163,631 SH SHARED 1 163,631 GSE SYS INC COM 36227K106 736 219,704 SH SHARED 2 219,704 GULFMARK OFFSHORE INC CL A NEW 402629208 614 19,980 SH SOLE 19,980 GULFMARK OFFSHORE INC CL A NEW 402629208 818 26,623 SH SHARED 1 26,623 GULFMARK OFFSHORE INC CL A NEW 402629208 1,102 35,864 SH SHARED 2 35,864 HARBIN ELECTRIC INC COM 41145W109 1,016 56,800 PUT SOLE 56,800 HARBIN ELECTRIC INC COM 41145W109 528 29,500 PUT SHARED 1 29,500 HARBIN ELECTRIC INC COM 41145W109 692 38,700 PUT SHARED 2 38,700 HARRIS CORP DEL COM 413875105 1,520 34,323 SH SOLE 34,323 HARRIS CORP DEL COM 413875105 1,157 26,116 SH SHARED 1 26,116 HARRIS CORP DEL COM 413875105 1,553 35,066 SH SHARED 2 35,066 HEWLETT PACKARD CO COM 428236103 798 18,980 SH SOLE 18,980 HOLOGIC INC COM 436440101 3,453 215,661 SH SOLE 215,661 HOLOGIC INC COM 436440101 2,154 134,531 SH SHARED 1 134,531 HOLOGIC INC COM 436440101 2,799 174,808 SH SHARED 2 174,808 IMMERSION CORP COM 452521107 4,063 687,490 SH SOLE 687,490 IMMERSION CORP COM 452521107 3,881 656,641 SH SHARED 1 656,641 IMMERSION CORP COM 452521107 5,273 892,224 SH SHARED 2 892,224 INTEL CORP COM 458140100 576 29,974 SH SOLE 29,974 INTERNATIONAL BUSINESS MACHS COM 459200101 1,875 13,981 SH SOLE 13,981 INTERNATIONAL GAME TECHNOLOG COM 459902102 297 20,553 SH SOLE 20,553 INTERNATIONAL GAME TECHNOLOG COM 459902102 399 27,581 SH SHARED 1 27,581 INTERNATIONAL GAME TECHNOLOG COM 459902102 537 37,154 SH SHARED 2 37,154 INTERNET CAP GROUP INC COM NEW 46059C205 1,655 150,000 SH SOLE 150,000 INTL PAPER CO COM 460146103 478 21,990 SH SOLE 21,990 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 39 15,100 SH SOLE 15,100 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 31 11,900 SH SHARED 2 11,900 IRON MTN INC COM 462846106 1,623 72,660 SH SOLE 72,660 IRON MTN INC COM 462846106 1,069 47,839 SH SHARED 1 47,839 IRON MTN INC COM 462846106 1,440 64,444 SH SHARED 2 64,444 ISHARES TR BARCLYS 20+ YR 464287432 2,533 24,007 SH SOLE 24,007 ISHARES TR BARCLYS 20+ YR 464287432 3,533 33,485 SH SHARED 1 33,485 ISHARES TR BARCLYS 20+ YR 464287432 4,744 44,960 SH SHARED 2 44,960 IVANHOE MINES LTD COM 46579N103 1,229 52,500 SH SOLE 52,500 JPMORGAN CHASE & CO COM 46625H100 658 17,281 SH SHARED 1 17,281 JPMORGAN CHASE & CO COM 46625H100 883 23,202 SH SHARED 2 23,202 KBR INC COM 48242W106 1,532 62,186 SH SOLE 62,186 KBR INC COM 48242W106 1,997 81,064 SH SHARED 1 81,064 KBR INC COM 48242W106 2,798 113,549 SH SHARED 2 113,549 KOHLS CORP COM 500255104 1,837 34,876 SH SOLE 34,876 KOHLS CORP COM 500255104 2,468 46,857 SH SHARED 1 46,857 KOHLS CORP COM 500255104 3,326 63,132 SH SHARED 2 63,132 KROGER CO COM 501044101 567 26,198 SH SOLE 26,198 LIVEPERSON INC COM 538146101 648 77,201 SH SOLE 77,201 LORILLARD INC COM 544147101 1,594 19,845 SH SOLE 19,845 LORILLARD INC COM 544147101 1,681 20,929 SH SHARED 1 20,929 LORILLARD INC COM 544147101 2,257 28,101 SH SHARED 2 28,101 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 114 2,045 SH SOLE 2,045 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 813 14,530 SH SHARED 1 14,530 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 1,091 19,510 SH SHARED 2 19,510 MCDERMOTT INTL INC COM 580037109 1,591 107,669 SH SOLE 107,669 MCDERMOTT INTL INC COM 580037109 2,135 144,447 SH SHARED 1 144,447 MCDERMOTT INTL INC COM 580037109 2,877 194,635 SH SHARED 2 194,635 MELLANOX TECHNOLOGIES LTD SHS M51363113 1,764 89,811 SH SOLE 89,811 MICROSOFT CORP COM 594918104 4,150 169,464 SH SOLE 169,464 MICROSOFT CORP COM 594918104 651 26,565 SH SHARED 1 26,565 MICROSOFT CORP COM 594918104 874 35,668 SH SHARED 2 35,668 MICROTUNE INC DEL COM 59514P109 670 231,044 SH SOLE 231,044 MICROTUNE INC DEL COM 59514P109 2,101 724,523 SH SHARED 1 724,523 MICROTUNE INC DEL COM 59514P109 2,901 1,000,314 SH SHARED 2 1,000,314 MOSAIC CO COM 61945A107 2,037 34,662 SH SOLE 34,662 NATIONAL OILWELL VARCO INC COM 637071101 1,558 35,024 SH SOLE 35,024 NATIONAL OILWELL VARCO INC COM 637071101 2,056 46,240 SH SHARED 1 46,240 NATIONAL OILWELL VARCO INC COM 637071101 2,776 62,419 SH SHARED 2 62,419 NATIONAL SEMICONDUCTOR CORP COM 637640103 585 45,780 SH SOLE 45,780 NATIONAL SEMICONDUCTOR CORP COM 637640103 585 45,822 SH SHARED 1 45,822 NATIONAL SEMICONDUCTOR CORP COM 637640103 792 61,986 SH SHARED 2 61,986 NAVIOS MARITIME HOLDINGS INC COM Y62196103 1,641 279,511 SH SOLE 279,511 NAVIOS MARITIME HOLDINGS INC COM Y62196103 753 128,217 SH SHARED 1 128,217 NAVIOS MARITIME HOLDINGS INC COM Y62196103 1,008 171,783 SH SHARED 2 171,783 NEWALLIANCE BANCSHARES INC COM 650203102 1,173 92,974 SH SOLE 92,974 NIKE INC CL B 654106103 1,690 21,089 SH SOLE 21,089 NORDSTROM INC COM 655664100 1,994 53,592 SH SOLE 53,592 NVIDIA CORP COM 67066G104 1,751 149,850 SH SOLE 149,850 NVIDIA CORP COM 67066G104 1,244 106,449 SH SHARED 1 106,449 NVIDIA CORP COM 67066G104 1,670 142,927 SH SHARED 2 142,927 OPENTABLE INC COM 68372A104 340 5,000 SH SOLE 5,000 ORACLE CORP COM 68389X105 1,712 63,765 SH SOLE 63,765 PARK STERLING BANK COM 70086W109 183 30,014 SH SOLE 30,014 PARK STERLING BANK COM 70086W109 258 42,230 SH SHARED 1 42,230 PARK STERLING BANK COM 70086W109 346 56,702 SH SHARED 2 56,702 PATRIOT TRANSN HLDG INC COM 70337B102 203 2,896 SH SOLE 2,896 PATRIOT TRANSN HLDG INC COM 70337B102 508 7,250 SH SHARED 1 7,250 PATRIOT TRANSN HLDG INC COM 70337B102 729 10,388 SH SHARED 2 10,388 PENNEY J C INC COM 708160106 1,085 39,935 SH SOLE 39,935 PENNEY J C INC COM 708160106 1,458 53,654 SH SHARED 1 53,654 PENNEY J C INC COM 708160106 1,965 72,290 SH SHARED 2 72,290 PERVASIVE SOFTWARE INC COM 715710109 1,508 305,908 SH SOLE 305,908 PERVASIVE SOFTWARE INC COM 715710109 1,845 374,150 SH SHARED 1 374,150 PERVASIVE SOFTWARE INC COM 715710109 2,477 502,364 SH SHARED 2 502,364 POPULAR INC COM 733174106 1,268 437,258 SH SOLE 437,258 POPULAR INC COM 733174106 478 164,662 SH SHARED 1 164,662 POPULAR INC COM 733174106 641 221,087 SH SHARED 2 221,087 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 687 24,987 SH SOLE 24,987 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 593 21,573 SH SHARED 1 21,573 POWERSHS DB MULTI SECT COMM DB AGRICULT FD 73936B408 796 28,966 SH SHARED 2 28,966 PPL CORP COM 69351T106 3,102 113,913 SH SOLE 113,913 PPL CORP COM 69351T106 3,088 113,406 SH SHARED 1 113,406 PPL CORP COM 69351T106 4,146 152,268 SH SHARED 2 152,268 PUBLIC SVC ENTERPRISE GROUP COM 744573106 1,092 32,997 SH SOLE 32,997 QUEST SOFTWARE INC COM 74834T103 2,078 84,518 SH SOLE 84,518 QUEST SOFTWARE INC COM 74834T103 1,346 54,721 SH SHARED 1 54,721 QUEST SOFTWARE INC COM 74834T103 1,813 73,742 SH SHARED 2 73,742 RANGE RES CORP COM 75281A109 511 13,407 SH SOLE 13,407 RANGE RES CORP COM 75281A109 711 18,653 SH SHARED 1 18,653 RANGE RES CORP COM 75281A109 955 25,045 SH SHARED 2 25,045 REGAL ENTMT GROUP CL A 758766109 2,427 184,985 SH SOLE 184,985 REGAL ENTMT GROUP CL A 758766109 2,099 159,977 SH SHARED 1 159,977 REGAL ENTMT GROUP CL A 758766109 2,819 214,888 SH SHARED 2 214,888 REGIONAL BK HOLDRS TR DEPOSITRY RCPT 75902E100 900 12,300 PUT SOLE 12,300 REGIONAL BK HOLDRS TR DEPOSITRY RCPT 75902E100 1,178 16,100 PUT SHARED 1 16,100 REGIONAL BK HOLDRS TR DEPOSITRY RCPT 75902E100 1,581 21,600 PUT SHARED 2 21,600 REYNOLDS AMERICAN INC COM 761713106 1,221 20,562 SH SOLE 20,562 REYNOLDS AMERICAN INC COM 761713106 1,717 28,913 SH SHARED 1 28,913 REYNOLDS AMERICAN INC COM 761713106 2,306 38,821 SH SHARED 2 38,821 RINO INTERNATIONAL CORPORATI COM 766883102 870 62,400 PUT SOLE 62,400 RINO INTERNATIONAL CORPORATI COM 766883102 169 12,127 SH SOLE 12,127 RINO INTERNATIONAL CORPORATI COM 766883102 451 32,300 PUT SHARED 1 32,300 RINO INTERNATIONAL CORPORATI COM 766883102 238 17,094 SH SHARED 1 17,094 RINO INTERNATIONAL CORPORATI COM 766883102 608 43,600 PUT SHARED 2 43,600 RINO INTERNATIONAL CORPORATI COM 766883102 320 22,951 SH SHARED 2 22,951 RUBICON TECHNOLOGY INC COM 78112T107 272 12,000 PUT SOLE 12,000 RUBICON TECHNOLOGY INC COM 78112T107 368 16,200 PUT SHARED 1 16,200 RUBICON TECHNOLOGY INC COM 78112T107 495 21,800 PUT SHARED 2 21,800 SATYAM COMPUTER SERVICES LTD ADR 804098101 97 24,943 SH SOLE 24,943 SMITH & WESSON HLDG CORP COM 831756101 534 150,000 SH SOLE 150,000 SMITHFIELD FOODS INC COM 832248108 1,146 68,090 SH SOLE 68,090 SMITHFIELD FOODS INC COM 832248108 1,674 99,460 SH SHARED 1 99,460 SMITHFIELD FOODS INC COM 832248108 2,107 125,222 SH SHARED 2 125,222 SONIC SOLUTIONS COM 835460106 1,993 175,095 SH SOLE 175,095 SONIC SOLUTIONS COM 835460106 914 80,339 SH SHARED 1 80,339 SONIC SOLUTIONS COM 835460106 1,227 107,798 SH SHARED 2 107,798 SONOCO PRODS CO COM 835495102 1,537 45,955 SH SOLE 45,955 SONOCO PRODS CO COM 835495102 1,670 49,943 SH SHARED 1 49,943 SONOCO PRODS CO COM 835495102 2,192 65,564 SH SHARED 2 65,564 SPDR GOLD TRUST GOLD SHS 78463V107 15,336 119,900 CALL SOLE 119,900 SPDR GOLD TRUST GOLD SHS 78463V107 3,270 25,562 SH SOLE 25,562 SPDR GOLD TRUST GOLD SHS 78463V107 28,012 219,000 CALL SHARED 1 219,000 SPDR GOLD TRUST GOLD SHS 78463V107 4,519 35,333 SH SHARED 1 35,333 SPDR GOLD TRUST GOLD SHS 78463V107 37,606 294,000 CALL SHARED 2 294,000 SPDR GOLD TRUST GOLD SHS 78463V107 6,102 47,709 SH SHARED 2 47,709 SPDR S&P 500 ETF TR TR UNIT 78462F103 6,145 53,843 SH SOLE 53,843 SPECTRA ENERGY CORP COM 847560109 1,524 67,564 SH SOLE 67,564 SPECTRA ENERGY CORP COM 847560109 2,077 92,089 SH SHARED 1 92,089 SPECTRA ENERGY CORP COM 847560109 2,788 123,645 SH SHARED 2 123,645 SRS LABS INC COM 78464M106 1,836 196,534 SH SOLE 196,534 SRS LABS INC COM 78464M106 2,540 271,946 SH SHARED 1 271,946 SRS LABS INC COM 78464M106 3,622 387,759 SH SHARED 2 387,759 STANLEY BLACK & DECKER INC COM 854502101 2,173 35,466 SH SOLE 35,466 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 517 50,937 SH SOLE 50,937 TEEKAY CORPORATION COM Y8564W103 500 18,692 SH SOLE 18,692 TERADYNE INC COM 880770102 566 50,915 SH SOLE 50,915 TWO HBRS INVT CORP COM 90187B101 392 43,482 SH SOLE 43,482 TYCO INTERNATIONAL LTD SHS H89128104 1,475 40,159 SH SOLE 40,159 UNITED PARCEL SERVICE INC CL B 911312106 2,281 34,201 SH SOLE 34,201 UNIVERSAL ELECTRS INC COM 913483103 588 28,219 SH SOLE 28,219 VALUECLICK INC COM 92046N102 304 23,275 SH SOLE 23,275 WAL MART STORES INC COM 931142103 1,608 30,053 SH SOLE 30,053 WAL MART STORES INC COM 931142103 1,002 18,727 SH SHARED 1 18,727 WAL MART STORES INC COM 931142103 1,343 25,089 SH SHARED 2 25,089 WENDYS ARBYS GROUP INC COM 950587105 828 182,843 SH SOLE 182,843 WENDYS ARBYS GROUP INC COM 950587105 95 21,012 SH SHARED 1 21,012 WENDYS ARBYS GROUP INC COM 950587105 133 29,468 SH SHARED 2 29,468 WMS INDS INC COM 929297109 1,473 38,697 SH SOLE 38,697 WMS INDS INC COM 929297109 988 25,964 SH SHARED 1 25,964 WMS INDS INC COM 929297109 1,331 34,975 SH SHARED 2 34,975 ZORAN CORP COM 98975F101 267 35,000 SH SOLE 35,000
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