0000919574-11-003337.txt : 20110516 0000919574-11-003337.hdr.sgml : 20110516 20110516111724 ACCESSION NUMBER: 0000919574-11-003337 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 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: 11844378 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 d1193203_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 March 31, 2011 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 May 16, 2011 ---------------------- ------------------ -------------------- [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: 3 Form 13F Information Table Entry Total: 382 Form 13F Information Table Value Total: $669,701 (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 3. 028-14239 Dialectic Offshore L2, Ltd. 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 MNGRS SOLE SHARED NONE -------------- -------------- ------ -------- ------- --- ---- ---------- ----- ---- ------ ---- A POWER ENERGY GENERAT SYS L COM G04136100 97 20,588 SH SHARED 2 20,588 ABB LTD SPONSORED ADR 000375204 870 35,971 SH SOLE 35,971 ABB LTD SPONSORED ADR 000375204 977 40,383 SH SHARED 3 40,383 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 441 8,030 SH SOLE 8,030 ACCENTURE PLC IRELAND SHS CLASS A G1151C101 493 8,970 SH SHARED 3 8,970 ACTIVISION BLIZZARD INC COM 00507V109 3,068 279,633 SH SOLE 279,633 ACTIVISION BLIZZARD INC COM 00507V109 2,546 232,083 SH SHARED 1 232,083 ACTIVISION BLIZZARD INC COM 00507V109 2,687 244,935 SH SHARED 2 244,935 ACTIVISION BLIZZARD INC COM 00507V109 3,444 313,931 SH SHARED 3 313,931 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 3,282 868,315 SH SOLE 868,315 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 2,884 762,881 SH SHARED 1 762,881 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 3,543 937,330 SH SHARED 2 937,330 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 2,627 694,855 SH SHARED 3 694,855 AIR PRODS & CHEMS INC COM 009158106 2,497 27,688 SH SOLE 27,688 AIR PRODS & CHEMS INC COM 009158106 2,803 31,085 SH SHARED 3 31,085 AIRGAS INC COM 009363102 1,680 25,299 SH SOLE 25,299 AIRGAS INC COM 009363102 1,887 28,403 SH SHARED 3 28,403 ALTRIA GROUP INC COM 02209S103 865 33,235 SH SOLE 33,235 ALTRIA GROUP INC COM 02209S103 971 37,311 SH SHARED 3 37,311 AMERICAN GREETINGS CORP CL A 026375105 1,705 72,259 SH SOLE 72,259 AMERICAN GREETINGS CORP CL A 026375105 1,096 46,442 SH SHARED 1 46,442 AMERICAN GREETINGS CORP CL A 026375105 1,157 49,014 SH SHARED 2 49,014 AMERICAN GREETINGS CORP CL A 026375105 1,914 81,122 SH SHARED 3 81,122 AMERIGON INC COM 03070L300 871 57,055 SH SOLE 57,055 AMERIGON INC COM 03070L300 977 63,990 SH SHARED 3 63,990 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1,731 30,284 SH SOLE 30,284 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1,106 19,354 SH SHARED 1 19,354 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1,173 20,511 SH SHARED 2 20,511 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 1,963 34,336 SH SHARED 3 34,336 APACHE CORP COM 037411105 2,050 15,662 SH SOLE 15,662 APACHE CORP COM 037411105 2,322 17,736 SH SHARED 3 17,736 APPLE INC COM 037833100 2,779 7,973 SH SOLE 7,973 APPLE INC COM 037833100 3,095 8,882 SH SHARED 3 8,882 ARCH CAP GROUP LTD ORD G0450A105 1,051 10,600 CALL SOLE 10,600 ARCH CAP GROUP LTD ORD G0450A105 1,319 13,300 CALL SHARED 1 13,300 ARCH CAP GROUP LTD ORD G0450A105 1,399 14,100 CALL SHARED 2 14,100 ARCH CAP GROUP LTD ORD G0450A105 1,190 12,000 CALL SHARED 3 12,000 ARKANSAS BEST CORP DEL COM 040790107 344 13,277 SH SOLE 13,277 ARKANSAS BEST CORP DEL COM 040790107 206 7,934 SH SHARED 1 7,934 ARKANSAS BEST CORP DEL COM 040790107 217 8,389 SH SHARED 2 8,389 ARM HLDGS PLC SPONSORED ADR 042068106 692 24,563 SH SOLE 24,563 ARM HLDGS PLC SPONSORED ADR 042068106 767 27,225 SH SHARED 3 27,225 AVX CORP NEW COM 002444107 199 13,345 SH SOLE 13,345 AVX CORP NEW COM 002444107 226 15,155 SH SHARED 3 15,155 BALL CORP COM 058498106 2,520 70,294 SH SOLE 70,294 BALL CORP COM 058498106 2,840 79,231 SH SHARED 3 79,231 BEMIS INC COM 081437105 1,649 50,258 SH SOLE 50,258 BEMIS INC COM 081437105 2,288 69,728 SH SHARED 1 69,728 BEMIS INC COM 081437105 2,414 73,589 SH SHARED 2 73,589 BEMIS INC COM 081437105 1,851 56,422 SH SHARED 3 56,422 CALAMP CORP COM 128126109 145 43,294 SH SOLE 43,294 CALAMP CORP COM 128126109 163 48,609 SH SHARED 3 48,609 CALLIDUS SOFTWARE INC COM 13123E500 656 95,460 SH SOLE 95,460 CALLIDUS SOFTWARE INC COM 13123E500 483 70,270 SH SHARED 1 70,270 CALLIDUS SOFTWARE INC COM 13123E500 509 74,094 SH SHARED 2 74,094 CALLIDUS SOFTWARE INC COM 13123E500 735 106,988 SH SHARED 3 106,988 CHEMTURA CORP COM NEW 163893209 2,175 126,427 SH SOLE 126,427 CHEMTURA CORP COM NEW 163893209 2,441 141,934 SH SHARED 3 141,934 CHEVRON CORP NEW COM 166764100 1,788 16,633 SH SOLE 16,633 CHEVRON CORP NEW COM 166764100 2,007 18,674 SH SHARED 3 18,674 CHINA GREEN AGRICULTURE INC COM 16943W105 383 55,500 PUT SOLE 55,500 CHINA GREEN AGRICULTURE INC COM 16943W105 308 44,600 PUT SHARED 1 44,600 CHINA GREEN AGRICULTURE INC COM 16943W105 328 47,600 PUT SHARED 2 47,600 CHINA GREEN AGRICULTURE INC COM 16943W105 273 39,500 PUT SHARED 3 39,500 CHINA MEDIAEXPRESS HLDGS INC COM 169442100 541 45,500 PUT SOLE 45,500 CHINA MEDIAEXPRESS HLDGS INC COM 169442100 220 18,500 PUT SHARED 1 18,500 CHINA MEDIAEXPRESS HLDGS INC COM 169442100 233 19,600 PUT SHARED 2 19,600 CHINA MEDIAEXPRESS HLDGS INC COM 169442100 195 16,400 PUT SHARED 3 16,400 CHINA-BIOTICS INC COM 16937B109 87 10,778 SH SOLE 10,778 CHINA-BIOTICS INC COM 16937B109 97 12,100 SH SHARED 3 12,100 CINCINNATI BELL INC NEW COM 171871106 292 109,051 SH SOLE 109,051 CINCINNATI BELL INC NEW COM 171871106 326 121,728 SH SHARED 3 121,728 CINEMARK HOLDINGS INC COM 17243V102 1,725 89,163 SH SOLE 89,163 CINEMARK HOLDINGS INC COM 17243V102 1,119 57,849 SH SHARED 1 57,849 CINEMARK HOLDINGS INC COM 17243V102 1,181 61,053 SH SHARED 2 61,053 CINEMARK HOLDINGS INC COM 17243V102 1,937 100,099 SH SHARED 3 100,099 CISCO SYS INC COM 17275R102 1,377 80,282 SH SOLE 80,282 CISCO SYS INC COM 17275R102 1,322 77,069 SH SHARED 1 77,069 CISCO SYS INC COM 17275R102 1,396 81,420 SH SHARED 2 81,420 CISCO SYS INC COM 17275R102 1,543 89,991 SH SHARED 3 89,991 CITRIX SYS INC COM 177376100 773 10,521 SH SOLE 10,521 CITRIX SYS INC COM 177376100 770 10,479 SH SHARED 3 10,479 CLEARWIRE CORP NEW CL A 18538Q105 521 93,288 SH SOLE 93,288 CLEARWIRE CORP NEW CL A 18538Q105 586 104,741 SH SHARED 3 104,741 CNINSURE INC SPONSORED ADR 18976M103 290 22,400 PUT SOLE 22,400 CNINSURE INC SPONSORED ADR 18976M103 140 10,800 PUT SHARED 1 10,800 CNINSURE INC SPONSORED ADR 18976M103 149 11,500 PUT SHARED 2 11,500 COCA COLA ENTERPRISES INC NE COM 19122T109 1,541 56,460 SH SOLE 56,460 COCA COLA ENTERPRISES INC NE COM 19122T109 1,730 63,385 SH SHARED 3 63,385 COGO GROUP INC COM 192448108 1,917 237,499 SH SOLE 237,499 COGO GROUP INC COM 192448108 1,410 174,755 SH SHARED 1 174,755 COGO GROUP INC COM 192448108 1,488 184,344 SH SHARED 2 184,344 COGO GROUP INC COM 192448108 2,152 266,621 SH SHARED 3 266,621 COINSTAR INC COM 19259P300 501 10,900 PUT SOLE 10,900 COLGATE PALMOLIVE CO COM 194162103 2,544 31,495 SH SOLE 31,495 COLGATE PALMOLIVE CO COM 194162103 2,128 26,351 SH SHARED 1 26,351 COLGATE PALMOLIVE CO COM 194162103 2,246 27,810 SH SHARED 2 27,810 COLGATE PALMOLIVE CO COM 194162103 2,856 35,358 SH SHARED 3 35,358 COMCAST CORP NEW CL A SPL 20030N200 1,575 67,808 SH SOLE 67,808 COMCAST CORP NEW CL A SPL 20030N200 985 42,403 SH SHARED 1 42,403 COMCAST CORP NEW CL A SPL 20030N200 1,043 44,917 SH SHARED 2 44,917 COMCAST CORP NEW CL A SPL 20030N200 1,768 76,125 SH SHARED 3 76,125 CON-WAY INC COM 205944101 1,956 49,790 SH SOLE 49,790 CON-WAY INC COM 205944101 2,480 63,129 SH SHARED 1 63,129 CON-WAY INC COM 205944101 2,627 66,867 SH SHARED 2 66,867 CON-WAY INC COM 205944101 2,196 55,903 SH SHARED 3 55,903 CREXUS INVT CORP COM 226553105 269 23,595 SH SOLE 23,595 CREXUS INVT CORP COM 226553105 302 26,405 SH SHARED 3 26,405 CROWN HOLDINGS INC COM 228368106 2,097 54,355 SH SOLE 54,355 CROWN HOLDINGS INC COM 228368106 2,360 61,176 SH SHARED 3 61,176 CURRENCYSHARES EURO TR EURO SHS 23130C108 4,192 29,700 PUT SOLE 29,700 CURRENCYSHARES EURO TR EURO SHS 23130C108 1,269 8,993 SH 8,993 CURRENCYSHARES EURO TR EURO SHS 23130C108 5,252 37,200 PUT SHARED 1 37,200 CURRENCYSHARES EURO TR EURO SHS 23130C108 1,779 12,601 SH SHARED 1 12,601 CURRENCYSHARES EURO TR EURO SHS 23130C108 5,576 39,500 PUT SHARED 2 39,500 CURRENCYSHARES EURO TR EURO SHS 23130C108 1,884 13,346 SH SHARED 2 13,346 CURRENCYSHARES EURO TR EURO SHS 23130C108 4,742 33,600 PUT SHARED 3 33,600 CURRENCYSHARES EURO TR EURO SHS 23130C108 1,302 9,221 SH SHARED 3 9,221 CVS CAREMARK CORPORATION COM 126650100 2,363 68,849 SH SOLE 68,849 CVS CAREMARK CORPORATION COM 126650100 1,012 29,500 SH SHARED 1 29,500 CVS CAREMARK CORPORATION COM 126650100 1,071 31,209 SH SHARED 2 31,209 CVS CAREMARK CORPORATION COM 126650100 2,658 77,440 SH SHARED 3 77,440 DDI CORP COM 0.0001 NEW 233162502 738 69,823 SH SOLE 69,823 DDI CORP COM 0.0001 NEW 233162502 782 74,019 SH SHARED 3 74,019 DELL INC COM 24702R101 441 30,383 SH SOLE 30,383 DELL INC COM 24702R101 553 38,131 SH SHARED 1 38,131 DELL INC COM 24702R101 584 40,243 SH SHARED 2 40,243 DELL INC COM 24702R101 495 34,109 SH SHARED 3 34,109 DEUTSCHE BANK AG NAMEN AKT D18190898 239 4,046 SH SHARED 2 4,046 DEVON ENERGY CORP NEW COM 25179M103 569 6,200 PUT SOLE 6,200 DEVON ENERGY CORP NEW COM 25179M103 743 8,100 PUT SHARED 1 8,100 DEVON ENERGY CORP NEW COM 25179M103 789 8,600 PUT SHARED 2 8,600 DEVON ENERGY CORP NEW COM 25179M103 652 7,100 PUT SHARED 3 7,100 E M C CORP MASS COM 268648102 2,857 107,575 SH SOLE 107,575 E M C CORP MASS COM 268648102 3,200 120,481 SH SHARED 3 120,481 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 927 1,485,977 PRN SOLE 1,485,977 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 1,033 1,656,023 PRN SHARED 3 1,656,023 EXXON MOBIL CORP COM 30231G102 1,763 20,958 SH SOLE 20,958 EXXON MOBIL CORP COM 30231G102 1,979 23,529 SH SHARED 3 23,529 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 878 53,485 SH SOLE 53,485 FIBRIA CELULOSE S A SP ADR REP COM 31573A109 990 60,290 SH SHARED 3 60,290 FIRST SOLAR INC COM 336433107 1,721 10,700 PUT SOLE 10,700 FIRST SOLAR INC COM 336433107 2,139 13,300 PUT SHARED 1 13,300 FIRST SOLAR INC COM 336433107 2,268 14,100 PUT SHARED 2 14,100 FIRST SOLAR INC COM 336433107 1,914 11,900 PUT SHARED 3 11,900 FOOT LOCKER INC COM 344849104 820 41,564 SH SOLE 41,564 FOOT LOCKER INC COM 344849104 920 46,662 SH SHARED 3 46,662 FORD MTR CO DEL *W EXP 01/01/201 345370134 526 82,450 SH SOLE 82,450 FORD MTR CO DEL *W EXP 01/01/201 345370134 732 114,716 SH SHARED 1 114,716 FORD MTR CO DEL *W EXP 01/01/201 345370134 737 115,523 SH SHARED 2 115,523 FORD MTR CO DEL *W EXP 01/01/201 345370134 601 94,276 SH SHARED 3 94,276 FRONTIER OIL CORP COM 35914P105 1,792 61,104 SH SOLE 61,104 FRONTIER OIL CORP COM 35914P105 583 19,896 SH SHARED 1 19,896 FRONTIER OIL CORP COM 35914P105 617 21,046 SH SHARED 2 21,046 FRONTIER OIL CORP COM 35914P105 2,019 68,844 SH SHARED 3 68,844 GOLUB CAP BDC INC COM 38173M102 157 10,000 SH SOLE 10,000 GOOGLE INC CL A 38259P508 437 745 SH SOLE 745 GOOGLE INC CL A 38259P508 496 846 SH SHARED 3 846 GSE SYS INC COM 36227K106 202 89,267 SH SOLE 89,267 GSE SYS INC COM 36227K106 432 191,051 SH SHARED 1 191,051 GSE SYS INC COM 36227K106 456 201,631 SH SHARED 2 201,631 GSE SYS INC COM 36227K106 226 100,215 SH SHARED 3 100,215 GULFMARK OFFSHORE INC CL A NEW 402629208 959 21,538 SH SOLE 21,538 GULFMARK OFFSHORE INC CL A NEW 402629208 1,076 24,180 SH SHARED 3 24,180 HARBIN ELECTRIC INC COM 41145W109 394 19,050 SH SOLE 19,050 HARBIN ELECTRIC INC COM 41145W109 354 17,126 SH SHARED 1 17,126 HARBIN ELECTRIC INC COM 41145W109 374 18,074 SH SHARED 2 18,074 HARBIN ELECTRIC INC COM 41145W109 326 15,755 SH SHARED 3 15,755 HARRIS CORP DEL COM 413875105 3,385 68,248 SH SOLE 68,248 HARRIS CORP DEL COM 413875105 3,793 76,470 SH SHARED 3 76,470 HECKMANN CORP *W EXP 11/09/201 422680116 45 46,890 SH SOLE 46,890 HECKMANN CORP *W EXP 11/09/201 422680116 56 59,262 SH SHARED 1 59,262 HECKMANN CORP *W EXP 11/09/201 422680116 60 62,776 SH SHARED 2 62,776 HECKMANN CORP *W EXP 11/09/201 422680116 50 52,772 SH SHARED 3 52,772 HOLOGIC INC COM 436440101 703 31,648 SH SOLE 31,648 HOLOGIC INC COM 436440101 783 35,277 SH SHARED 3 35,277 HUNT J B TRANS SVCS INC COM 445658107 1,790 39,406 SH SOLE 39,406 HUNT J B TRANS SVCS INC COM 445658107 2,007 44,181 SH SHARED 3 44,181 IMMERSION CORP COM 452521107 3,550 465,894 SH SOLE 465,894 IMMERSION CORP COM 452521107 4,933 647,322 SH SHARED 1 647,322 IMMERSION CORP COM 452521107 5,247 688,538 SH SHARED 2 688,538 IMMERSION CORP COM 452521107 4,000 524,948 SH SHARED 3 524,948 INTERNATIONAL BUSINESS MACHS COM 459200101 417 2,557 SH SOLE 2,557 INTERNATIONAL BUSINESS MACHS COM 459200101 465 2,854 SH SHARED 3 2,854 INTERNATIONAL RECTIFIER CORP COM 460254105 1,146 34,654 SH SOLE 34,654 INTERNATIONAL RECTIFIER CORP COM 460254105 1,027 31,069 SH SHARED 3 31,069 INTERNET CAP GROUP INC COM NEW 46059C205 1,685 118,678 SH SOLE 118,678 INTERNET CAP GROUP INC COM NEW 46059C205 1,891 133,193 SH SHARED 3 133,193 INTL PAPER CO COM 460146103 1,886 62,493 SH SOLE 62,493 INTL PAPER CO COM 460146103 2,351 77,899 SH SHARED 1 77,899 INTL PAPER CO COM 460146103 2,490 82,505 SH SHARED 2 82,505 INTL PAPER CO COM 460146103 2,115 70,065 SH SHARED 3 70,065 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 308 128,913 SH SOLE 128,913 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 421 176,142 SH SHARED 1 176,142 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 496 207,721 SH SHARED 2 207,721 IRIDIUM COMMUNICATIONS INC *W EXP 02/14/201 46269C110 348 145,484 SH SHARED 3 145,484 JACOBS ENGR GROUP INC DEL COM 469814107 1,674 32,545 SH SOLE 32,545 JACOBS ENGR GROUP INC DEL COM 469814107 2,235 43,455 SH SHARED 1 43,455 JACOBS ENGR GROUP INC DEL COM 469814107 2,366 46,008 SH SHARED 2 46,008 JACOBS ENGR GROUP INC DEL COM 469814107 1,882 36,589 SH SHARED 3 36,589 KBR INC COM 48242W106 1,915 50,701 SH SOLE 50,701 KBR INC COM 48242W106 2,171 57,485 SH SHARED 3 57,485 KEMET CORP COM NEW 488360207 894 60,278 SH SOLE 60,278 KEMET CORP COM NEW 488360207 1,012 68,222 SH SHARED 3 68,222 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 356 25,000 SH SOLE 25,000 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 456 32,040 SH SHARED 1 32,040 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 481 33,814 SH SHARED 2 33,814 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 399 28,066 SH SHARED 3 28,066 KROGER CO COM 501044101 871 36,345 SH SOLE 36,345 KROGER CO COM 501044101 978 40,807 SH SHARED 3 40,807 LDK SOLAR CO LTD SPONSORED ADR 50183L107 2,238 182,900 PUT SOLE 182,900 LDK SOLAR CO LTD SPONSORED ADR 50183L107 1,729 141,200 PUT SHARED 1 141,200 LDK SOLAR CO LTD SPONSORED ADR 50183L107 1,830 149,500 PUT SHARED 2 149,500 LDK SOLAR CO LTD SPONSORED ADR 50183L107 1,547 126,400 PUT SHARED 3 126,400 LIMITED BRANDS INC COM 532716107 727 22,100 PUT SOLE 22,100 LIMITED BRANDS INC COM 532716107 1,115 33,900 PUT SHARED 1 33,900 LIMITED BRANDS INC COM 532716107 1,180 35,900 PUT SHARED 2 35,900 LIMITED BRANDS INC COM 532716107 822 25,000 PUT SHARED 3 25,000 LIVEPERSON INC COM 538146101 335 26,470 SH SOLE 26,470 LIVEPERSON INC COM 538146101 376 29,716 SH SHARED 3 29,716 LYONDELLBASELL INDUSTRIES N SHS A N53745100 1,761 44,531 SH SOLE 44,531 LYONDELLBASELL INDUSTRIES N SHS A N53745100 1,977 49,992 SH SHARED 3 49,992 MARATHON OIL CORP COM 565849106 1,758 32,979 SH SOLE 32,979 MARATHON OIL CORP COM 565849106 558 10,463 SH SHARED 1 10,463 MARATHON OIL CORP COM 565849106 591 11,083 SH SHARED 2 11,083 MARATHON OIL CORP COM 565849106 1,983 37,204 SH SHARED 3 37,204 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 248 16,000 SH SOLE 16,000 MCDONALDS CORP COM 580135101 1,635 21,491 SH SOLE 21,491 MCDONALDS CORP COM 580135101 2,097 27,566 SH SHARED 1 27,566 MCDONALDS CORP COM 580135101 2,214 29,093 SH SHARED 2 29,093 MCDONALDS CORP COM 580135101 1,836 24,127 SH SHARED 3 24,127 MEDIFAST INC COM 58470H101 395 20,000 SH SOLE 20,000 MEDLEY CAP CORP COM 58503F106 3,060 251,222 SH SOLE 251,222 MEDLEY CAP CORP COM 58503F106 3,446 282,893 SH SHARED 3 282,893 MELLANOX TECHNOLOGIES LTD SHS M51363113 1,526 60,496 SH SOLE 60,496 MELLANOX TECHNOLOGIES LTD SHS M51363113 1,707 67,657 SH SHARED 3 67,657 MEMC ELECTR MATLS INC COM 552715104 293 22,628 SH SOLE 22,628 MEMC ELECTR MATLS INC COM 552715104 195 15,026 SH SHARED 1 15,026 MEMC ELECTR MATLS INC COM 552715104 206 15,858 SH SHARED 2 15,858 MEMC ELECTR MATLS INC COM 552715104 329 25,395 SH SHARED 3 25,395 MICROS SYS INC COM 594901100 1,689 34,163 SH SOLE 34,163 MICROS SYS INC COM 594901100 1,896 38,353 SH SHARED 3 38,353 MICROSOFT CORP COM 594918104 2,595 102,217 SH SOLE 102,217 MICROSOFT CORP COM 594918104 1,051 41,398 SH SHARED 1 41,398 MICROSOFT CORP COM 594918104 1,108 43,631 SH SHARED 2 43,631 MICROSOFT CORP COM 594918104 2,912 114,679 SH SHARED 3 114,679 MINDSPEED TECHNOLOGIES INC COM NEW 602682205 877 103,722 SH SOLE 103,722 MINDSPEED TECHNOLOGIES INC COM NEW 602682205 984 116,278 SH SHARED 3 116,278 NORDSTROM INC COM 655664100 618 13,761 SH SOLE 13,761 NORDSTROM INC COM 655664100 708 15,772 SH SHARED 3 15,772 NORTHERN OIL & GAS INC NEV COM 665531109 425 15,900 PUT SOLE 15,900 NORTHERN OIL & GAS INC NEV COM 665531109 537 20,100 PUT SHARED 1 20,100 NORTHERN OIL & GAS INC NEV COM 665531109 566 21,200 PUT SHARED 2 21,200 NORTHERN OIL & GAS INC NEV COM 665531109 475 17,800 PUT SHARED 3 17,800 ON TRACK INNOVATION LTD SHS M8791A109 309 144,376 SH SOLE 144,376 ON TRACK INNOVATION LTD SHS M8791A109 245 114,615 SH SHARED 1 114,615 ON TRACK INNOVATION LTD SHS M8791A109 259 120,962 SH SHARED 2 120,962 ON TRACK INNOVATION LTD SHS M8791A109 348 162,450 SH SHARED 3 162,450 ORACLE CORP COM 68389X105 1,274 38,095 SH SOLE 38,095 ORACLE CORP COM 68389X105 1,419 42,450 SH SHARED 3 42,450 OWENS ILL INC COM NEW 690768403 1,665 55,162 SH SOLE 55,162 OWENS ILL INC COM NEW 690768403 2,076 68,760 SH SHARED 1 68,760 OWENS ILL INC COM NEW 690768403 2,199 72,826 SH SHARED 2 72,826 OWENS ILL INC COM NEW 690768403 1,867 61,846 SH SHARED 3 61,846 PACKAGING CORP AMER COM 695156109 1,666 57,667 SH SOLE 57,667 PACKAGING CORP AMER COM 695156109 2,077 71,884 SH SHARED 1 71,884 PACKAGING CORP AMER COM 695156109 2,200 76,134 SH SHARED 2 76,134 PACKAGING CORP AMER COM 695156109 1,868 64,655 SH SHARED 3 64,655 PATRIOT TRANSN HLDG INC COM 70337B102 362 13,512 SH SOLE 13,512 PATRIOT TRANSN HLDG INC COM 70337B102 537 20,070 SH SHARED 1 20,070 PATRIOT TRANSN HLDG INC COM 70337B102 732 27,354 SH SHARED 2 27,354 PENN NATL GAMING INC COM 707569109 2,602 70,223 SH SOLE 70,223 PENN NATL GAMING INC COM 707569109 2,983 80,484 SH SHARED 3 80,484 PEPSICO INC COM 713448108 1,657 25,723 SH SOLE 25,723 PEPSICO INC COM 713448108 2,103 32,652 SH SHARED 1 32,652 PEPSICO INC COM 713448108 2,220 34,460 SH SHARED 2 34,460 PEPSICO INC COM 713448108 1,860 28,879 SH SHARED 3 28,879 PERVASIVE SOFTWARE INC COM 715710109 2,066 309,258 SH SOLE 309,258 PERVASIVE SOFTWARE INC COM 715710109 2,814 421,327 SH SHARED 1 421,327 PERVASIVE SOFTWARE INC COM 715710109 2,933 439,101 SH SHARED 2 439,101 PERVASIVE SOFTWARE INC COM 715710109 2,368 354,487 SH SHARED 3 354,487 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1,414 24,616 SH SOLE 24,616 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1,171 20,384 SH SHARED 3 20,384 PRAXAIR INC COM 74005P104 2,580 25,396 SH SOLE 25,396 PRAXAIR INC COM 74005P104 2,897 28,511 SH SHARED 3 28,511 QUALCOMM INC COM 747525103 845 15,414 SH SOLE 15,414 QUALCOMM INC COM 747525103 950 17,335 SH SHARED 3 17,335 QUEST SOFTWARE INC COM 74834T103 2,032 79,999 SH SOLE 79,999 QUEST SOFTWARE INC COM 74834T103 278 10,956 SH SHARED 1 10,956 QUEST SOFTWARE INC COM 74834T103 294 11,563 SH SHARED 2 11,563 QUEST SOFTWARE INC COM 74834T103 2,278 89,701 SH SHARED 3 89,701 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 212 40,908 SH SOLE 40,908 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 291 56,102 SH SHARED 1 56,102 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 290 55,918 SH SHARED 2 55,918 RESOLUTE ENERGY CORP *W EXP 09/25/201 76116A116 244 47,072 SH SHARED 3 47,072 SEALED AIR CORP NEW COM 81211K100 1,807 67,771 SH SOLE 67,771 SEALED AIR CORP NEW COM 81211K100 2,028 76,083 SH SHARED 3 76,083 SONOCO PRODS CO COM 835495102 1,299 35,844 SH SOLE 35,844 SONOCO PRODS CO COM 835495102 1,458 40,241 SH SHARED 3 40,241 SPDR GOLD TRUST GOLD SHS 78463V107 23,273 166,400 CALL SOLE 166,400 SPDR GOLD TRUST GOLD SHS 78463V107 2,515 17,982 SH SOLE 17,982 SPDR GOLD TRUST GOLD SHS 78463V107 29,482 210,800 CALL SHARED 1 210,800 SPDR GOLD TRUST GOLD SHS 78463V107 31,175 222,900 CALL SHARED 2 222,900 SPDR GOLD TRUST GOLD SHS 78463V107 26,028 186,100 CALL SHARED 3 186,100 SPDR GOLD TRUST GOLD SHS 78463V107 2,823 20,187 SH SHARED 3 20,187 SPDR S&P 500 ETF TR TR UNIT 78462F103 5,648 42,600 CALL SOLE 42,600 SPDR S&P 500 ETF TR TR UNIT 78462F103 8,164 61,575 SH SOLE 61,575 SPDR S&P 500 ETF TR TR UNIT 78462F103 7,054 53,200 CALL SHARED 1 53,200 SPDR S&P 500 ETF TR TR UNIT 78462F103 10,212 77,016 SH SHARED 1 77,016 SPDR S&P 500 ETF TR TR UNIT 78462F103 7,505 56,600 CALL SHARED 2 56,600 SPDR S&P 500 ETF TR TR UNIT 78462F103 10,792 81,395 SH SHARED 2 81,395 SPDR S&P 500 ETF TR TR UNIT 78462F103 6,311 47,600 CALL SHARED 3 47,600 SPDR S&P 500 ETF TR TR UNIT 78462F103 9,176 69,208 SH SHARED 3 69,208 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,057 20,800 PUT SOLE 20,800 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,367 26,900 PUT SHARED 1 26,900 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,448 28,500 PUT SHARED 2 28,500 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,209 23,800 PUT SHARED 3 23,800 SRS LABS INC COM 78464M106 1,510 176,780 SH SOLE 176,780 SRS LABS INC COM 78464M106 2,371 277,642 SH SHARED 1 277,642 SRS LABS INC COM 78464M106 2,502 293,005 SH SHARED 2 293,005 SRS LABS INC COM 78464M106 1,695 198,427 SH SHARED 3 198,427 STANLEY BLACK & DECKER INC COM 854502101 1,276 16,661 SH SOLE 16,661 STANLEY BLACK & DECKER INC COM 854502101 1,433 18,704 SH SHARED 3 18,704 STARBUCKS CORP COM 855244109 1,638 44,320 SH SOLE 44,320 STARBUCKS CORP COM 855244109 2,053 55,557 SH SHARED 1 55,557 STARBUCKS CORP COM 855244109 2,175 58,852 SH SHARED 2 58,852 STARBUCKS CORP COM 855244109 1,828 49,471 SH SHARED 3 49,471 SUNTECH PWR HLDGS CO LTD ADR 86800C104 214 21,700 PUT SOLE 21,700 SUNTECH PWR HLDGS CO LTD ADR 86800C104 165 16,700 PUT SHARED 1 16,700 SUNTECH PWR HLDGS CO LTD ADR 86800C104 175 17,700 PUT SHARED 2 17,700 SUNTECH PWR HLDGS CO LTD ADR 86800C104 148 15,000 PUT SHARED 3 15,000 SUPERTEX INC COM 868532102 357 16,007 SH SOLE 16,007 SUPERTEX INC COM 868532102 400 17,970 SH SHARED 3 17,970 SWIFT TRANSN CO CL A 87074U101 818 55,616 SH SOLE 55,616 SWIFT TRANSN CO CL A 87074U101 928 63,145 SH SHARED 3 63,145 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 1,045 85,837 SH SOLE 85,837 TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 1,165 95,663 SH SHARED 3 95,663 TELLABS INC COM 879664100 1,563 298,362 SH SOLE 298,362 TELLABS INC COM 879664100 2,060 393,043 SH SHARED 1 393,043 TELLABS INC COM 879664100 2,173 414,744 SH SHARED 2 414,744 TELLABS INC COM 879664100 1,753 334,623 SH SHARED 3 334,623 TEMPLE INLAND INC COM 879868107 824 35,235 SH SOLE 35,235 TEMPLE INLAND INC COM 879868107 1,031 44,067 SH SHARED 1 44,067 TEMPLE INLAND INC COM 879868107 1,088 46,507 SH SHARED 2 46,507 TEMPLE INLAND INC COM 879868107 926 39,556 SH SHARED 3 39,556 TRINA SOLAR LIMITED SPON ADR 89628E104 678 22,500 PUT SOLE 22,500 TRINA SOLAR LIMITED SPON ADR 89628E104 708 23,500 PUT SHARED 1 23,500 TRINA SOLAR LIMITED SPON ADR 89628E104 991 32,900 PUT SHARED 2 32,900 TRINA SOLAR LIMITED SPON ADR 89628E104 636 21,100 PUT SHARED 3 21,100 TWO HBRS INVT CORP COM 90187B101 1,238 118,249 SH SOLE 118,249 TWO HBRS INVT CORP COM 90187B101 1,385 132,322 SH SHARED 3 132,322 TYCO INTERNATIONAL LTD SHS H89128104 1,610 35,951 SH SOLE 35,951 TYCO INTERNATIONAL LTD SHS H89128104 1,807 40,360 SH SHARED 3 40,360 UNITED PARCEL SERVICE INC CL B 911312106 1,683 22,648 SH SOLE 22,648 UNITED PARCEL SERVICE INC CL B 911312106 1,890 25,426 SH SHARED 3 25,426 USANA HEALTH SCIENCES INC COM 90328M107 407 11,800 PUT SOLE 11,800 USANA HEALTH SCIENCES INC COM 90328M107 556 16,100 PUT SHARED 1 16,100 USANA HEALTH SCIENCES INC COM 90328M107 652 18,900 PUT SHARED 2 18,900 USANA HEALTH SCIENCES INC COM 90328M107 456 13,200 PUT SHARED 3 13,200 UTSTARCOM INC COM 918076100 448 190,452 SH SOLE 190,452 UTSTARCOM INC COM 918076100 502 213,500 SH SHARED 3 213,500 VALERO ENERGY CORP NEW COM 91913Y100 1,764 59,161 SH SOLE 59,161 VALERO ENERGY CORP NEW COM 91913Y100 561 18,820 SH SHARED 1 18,820 VALERO ENERGY CORP NEW COM 91913Y100 595 19,948 SH SHARED 2 19,948 VALERO ENERGY CORP NEW COM 91913Y100 1,958 65,660 SH SHARED 3 65,660 VISHAY INTERTECHNOLOGY INC COM 928298108 237 13,345 SH SOLE 13,345 VISHAY INTERTECHNOLOGY INC COM 928298108 269 15,155 SH SHARED 3 15,155 VITESSE SEMICONDUCTOR CORP COM NEW 928497304 52 10,755 SH SOLE 10,755 VITESSE SEMICONDUCTOR CORP COM NEW 928497304 58 12,074 SH SHARED 3 12,074 WERNER ENTERPRISES INC COM 950755108 1,555 58,744 SH SOLE 58,744 WERNER ENTERPRISES INC COM 950755108 1,754 66,256 SH SHARED 3 66,256 WONDER AUTO TECHNOLOGY INC COM 978166106 145 26,760 SH SOLE 26,760 YAHOO INC COM 984332106 2,101 125,948 SH SOLE 125,948 YAHOO INC COM 984332106 2,361 141,559 SH SHARED 3 141,559 YONGYE INTL INC COM 98607B106 366 59,700 PUT SOLE 59,700 YONGYE INTL INC COM 98607B106 299 48,700 PUT SHARED 1 48,700 YONGYE INTL INC COM 98607B106 316 51,500 PUT SHARED 2 51,500 YONGYE INTL INC COM 98607B106 257 42,000 PUT SHARED 3 42,000 ZORAN CORP COM 98975F101 550 52,929 SH SOLE 52,929 ZORAN CORP COM 98975F101 276 26,596 SH SHARED 1 26,596 ZORAN CORP COM 98975F101 292 28,069 SH SHARED 2 28,069 ZORAN CORP COM 98975F101 617 59,421 SH SHARED 3 59,421
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