-----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, NiVwUfKckPFHzUUpUvHhcCnpOv9Bn+3fWrFMT3sOsVgoUWap10lPKjq23r19CVoW 5l9tH1V9sm9ob2CSWf+Cvg== 0001085146-10-000015.txt : 20100120 0001085146-10-000015.hdr.sgml : 20100120 20100119210006 ACCESSION NUMBER: 0001085146-10-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100120 DATE AS OF CHANGE: 20100119 EFFECTIVENESS DATE: 20100120 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DIVERSIFIED GLOBAL ASSET MANAGEMENT CORP CENTRAL INDEX KEY: 0001425779 IRS NUMBER: 331133518 STATE OF INCORPORATION: A6 FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12840 FILM NUMBER: 10534671 BUSINESS ADDRESS: STREET 1: ROYAL BANK PLAZA, SOUTH TOWER STREET 2: 200 BAY STREET, SUITE 3201 CITY: TORONTO STATE: A6 ZIP: M5J 2J4 BUSINESS PHONE: 416-644-7587 MAIL ADDRESS: STREET 1: ROYAL BANK PLAZA, SOUTH TOWER STREET 2: 200 BAY STREET, SUITE 3201 CITY: TORONTO STATE: A6 ZIP: M5J 2J4 13F-HR 1 dgam4q09.txt DIVERSIFIED GLOBAL ASSET MANAGEMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 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: Diversified Global Asset Management Corporation Address: Royal Trust Tower 77 King Street West, Suite 4310 Toronto, Ontario M5K 1J5 13F File Number: 028-12840 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: Jeff Lucassen Title: Chief Financial and Operating Officer Phone: 416-644-7587 Signature, Place, and Date of Signing: /s/ Jeff Lucassen Toronto, Ontario January 19, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 167 Form 13F Information Table Value Total: $60,126 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3COM CORP COM 885535104 825 110000 SH SOLE 110000 0 0 AIRCASTLE LTD COM G0129K104 213 21670 SH SOLE 21670 0 0 ALCOA INC NOTE 5.250% 3/1 013817AT8 1297 500000 PRN SOLE 0 0 500000 ALLERGAN INC NOTE 1.500% 4/0 018490AL6 576 500000 PRN SOLE 0 0 500000 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 220 4690 SH SOLE 4690 0 0 AMERICAN CAP LTD COM 02503Y103 48 19800 SH SOLE 19800 0 0 AMERICAN STRATEGIC INCOME II COM 03009T101 140 15890 SH SOLE 15890 0 0 AMGEN INC NOTE 0.125% 2/0 031162AN0 2173 2200000 PRN SOLE 0 0 2200000 AMN HEALTHCARE SERVICES INC COM 001744101 95 10460 SH SOLE 10460 0 0 ANNALY CAP MGMT INC COM 035710409 214 12320 SH SOLE 12320 0 0 ARCHER DANIELS MIDLAND CO NOTE 0.875% 2/1 039483AW2 1048 1000000 PRN SOLE 0 0 1000000 AUTOZONE INC COM 053332102 213 1346 SH SOLE 1346 0 0 B & G FOODS INC NEW CL A 05508R106 186 20250 SH SOLE 20250 0 0 BANK OF AMERICA CORPORATION COM 060505104 220 14600 SH SOLE 14600 0 0 BIOMED REALTY TRUST INC COM 09063H107 188 11940 SH SOLE 11940 0 0 BIOVAIL CORP COM 09067J109 144 10280 SH SOLE 10280 0 0 BLACKROCK CORPOR HI YLD FD V COM 09255P107 136 12829 SH SOLE 12829 0 0 BLACKROCK CREDIT ALL INC TR COM 092508100 139 12200 SH SOLE 12200 0 0 BLACKROCK INCOME TR INC COM 09247F100 136 21450 SH SOLE 21450 0 0 BLOCK H & R INC COM 093671105 214 9460 SH SOLE 9460 0 0 BOSTON PPTYS LTD PARTNERSHIP NOTE 3.750% 5/1 10112RAG9 511 500000 PRN SOLE 0 0 500000 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 196 17230 SH SOLE 17230 0 0 BROOKDALE SR LIVING INC COM 112463104 244 13400 SH SOLE 13400 0 0 BUCKEYE TECHNOLOGIES INC COM 118255108 146 14930 SH SOLE 14930 0 0 BURLINGTON NORTHN SANTA FE C COM 12189T104 220 2230 SH SOLE 2230 0 0 CALPINE CORP COM NEW 131347304 219 19890 SH SOLE 19890 0 0 CAMERON INTERNATIONAL CORP NOTE 2.500% 6/1 13342BAB1 1336 1000000 PRN SOLE 0 0 1000000 CAPITALSOURCE INC COM 14055X102 92 23080 SH SOLE 23080 0 0 CASEYS GEN STORES INC COM 147528103 242 7570 SH SOLE 7570 0 0 CDC CORP SHS A G2022L106 41 18580 SH SOLE 18580 0 0 CENTERPOINT ENERGY INC COM 15189T107 178 12250 SH SOLE 12250 0 0 CF INDS HLDGS INC COM 125269100 908 10000 SH SOLE 10000 0 0 CHESAPEAKE ENERGY CORP NOTE 2.750%11/1 165167BW6 97 100000 PRN SOLE 0 0 100000 CINCINNATI BELL INC NEW COM 171871106 59 17130 SH SOLE 17130 0 0 CITIGROUP INC COM 172967101 219 66270 SH SOLE 66270 0 0 COMPLETE PRODUCTION SERVICES COM 20453E109 149 11490 SH SOLE 11490 0 0 COMPUWARE CORP COM 205638109 101 13990 SH SOLE 13990 0 0 CONAGRA FOODS INC COM 205887102 237 10270 SH SOLE 10270 0 0 CONOCOPHILLIPS COM 20825C104 359 7030 SH SOLE 7030 0 0 COTT CORP QUE COM 22163N106 178 21650 SH SOLE 21650 0 0 COVIDIEN PLC SHS G2554F105 218 4550 SH SOLE 4550 0 0 DEL MONTE FOODS CO COM 24522P103 233 20520 SH SOLE 20520 0 0 DEVELOPERS DIVERSIFIED RLTY COM 251591103 127 13740 SH SOLE 13740 0 0 DIAMONDROCK HOSPITALITY CO COM 252784301 135 15990 SH SOLE 15990 0 0 DREYFUS HIGH YIELD STRATEGIE SH BEN INT 26200S101 137 36565 SH SOLE 36565 0 0 DUKE ENERGY CORP NEW COM 26441C105 181 10510 SH SOLE 10510 0 0 DUKE REALTY CORP COM NEW 264411505 192 15780 SH SOLE 15780 0 0 DUPONT FABROS TECHNOLOGY INC COM 26613Q106 191 10590 SH SOLE 10590 0 0 E M C CORP MASS COM 268648102 214 12235 SH SOLE 12235 0 0 EDUCATION RLTY TR INC COM 28140H104 181 37410 SH SOLE 37410 0 0 ELIZABETH ARDEN INC COM 28660G106 176 12200 SH SOLE 12200 0 0 ENCORE ACQUISITION CO COM 29255W100 840 17500 SH SOLE 17500 0 0 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 249 6690 SH SOLE 6690 0 0 EXPRESS SCRIPTS INC COM 302182100 221 2560 SH SOLE 2560 0 0 EXTRA SPACE STORAGE INC COM 30225T102 184 15890 SH SOLE 15890 0 0 FIRST POTOMAC RLTY TR COM 33610F109 191 15200 SH SOLE 15200 0 0 FIRST TR/FOUR CRNRS SR FLOAT COM 33733U108 142 11955 SH SOLE 11955 0 0 FLEXTRONICS INTL LTD NOTE 1.000% 8/0 33938EAL1 24 24000 PRN SOLE 0 0 24000 FRANKLIN TEMPLETON LTD DUR I COM 35472T101 138 11510 SH SOLE 11510 0 0 FRESH DEL MONTE PRODUCE INC ORD G36738105 227 10290 SH SOLE 10290 0 0 GERDAU AMERISTEEL CORP COM 37373P105 140 16950 SH SOLE 16950 0 0 GILEAD SCIENCES INC NOTE 0.500% 5/0 375558AG8 2862 2400000 PRN SOLE 0 0 2400000 GRAPHIC PACKAGING HLDG CO COM 388689101 110 31730 SH SOLE 31730 0 0 HATTERAS FINL CORP COM 41902R103 202 7240 SH SOLE 7240 0 0 HEADWATERS INC COM 42210P102 168 25800 SH SOLE 25800 0 0 HEALTH CARE REIT INC NOTE 4.750% 7/1 42217KAQ9 1116 1000000 PRN SOLE 0 0 1000000 HEALTH MGMT ASSOC INC NEW CL A 421933102 99 13570 SH SOLE 13570 0 0 HERCULES OFFSHORE INC COM 427093109 101 21050 SH SOLE 21050 0 0 HESS CORP COM 42809H107 218 3610 SH SOLE 3610 0 0 HEWLETT PACKARD CO COM 428236103 316 6140 SH SOLE 6140 0 0 HOME DEPOT INC COM 437076102 268 9269 SH SOLE 9269 0 0 HOSPITALITY PPTYS TR COM SH BEN INT 44106M102 249 10510 SH SOLE 10510 0 0 HOST HOTELS & RESORTS INC COM 44107P104 174 14950 SH SOLE 14950 0 0 IMS HEALTH INC COM 449934108 807 38335 SH SOLE 38335 0 0 INTEL CORP SDCV 2.950%12/1 458140AD2 579 600000 PRN SOLE 0 0 600000 INTER PARFUMS INC COM 458334109 193 15880 SH SOLE 15880 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 274 2090 SH SOLE 2090 0 0 INTERNATIONAL COAL GRP INC N COM 45928H106 101 26170 SH SOLE 26170 0 0 ISHARES INC MSCI BRAZIL 464286400 783 10500 SH SOLE 10500 0 0 ISHARES INC MSCI MEX INVEST 464286822 1535 31400 SH SOLE 31400 0 0 ISHARES INC MSCI S KOREA 464286772 1553 32600 SH SOLE 32600 0 0 ISHARES INC MSCI TAIWAN 464286731 1973 152100 SH SOLE 152100 0 0 ISHARES TR INDEX DJ US REAL EST 464287739 69 50000 SH PUT SOLE 50000 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 5022 121000 SH SOLE 121000 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 61 210000 SH CALL SOLE 210000 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 49 50000 SH PUT SOLE 50000 0 0 ISHARES TR INDEX RUSSELL 2000 464287655 110 100000 SH PUT SOLE 100000 0 0 JPMORGAN CHASE & CO COM 46625H100 221 5300 SH SOLE 5300 0 0 KAPSTONE PAPER & PACKAGING C COM 48562P103 147 14960 SH SOLE 14960 0 0 KEY ENERGY SVCS INC COM 492914106 101 11460 SH SOLE 11460 0 0 KRAFT FOODS INC CL A 50075N104 226 8300 SH SOLE 8300 0 0 LATTICE SEMICONDUCTOR CORP COM 518415104 52 19430 SH SOLE 19430 0 0 LEXINGTON REALTY TRUST COM 529043101 156 25650 SH SOLE 25650 0 0 LUCENT TECHNOLOGIES INC DBCV 2.875% 6/1 549463AH0 85 100000 PRN SOLE 0 0 100000 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 1977 63400 SH SOLE 63400 0 0 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 50 50000 SH CALL SOLE 50000 0 0 MASTERCARD INC CL A 57636Q104 218 850 SH SOLE 850 0 0 MCDONALDS CORP COM 580135101 214 3420 SH SOLE 3420 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 192 19160 SH SOLE 19160 0 0 MEDTRONIC INC NOTE 1.500% 4/1 585055AL0 508 500000 PRN SOLE 0 0 500000 MERCK & CO INC NEW COM 58933Y105 217 5934 SH SOLE 5934 0 0 MFA FINANCIAL INC COM 55272X102 181 24630 SH SOLE 24630 0 0 MFS MULTIMARKET INCOME TR SH BEN INT 552737108 138 21215 SH SOLE 21215 0 0 MICRON TECHNOLOGY INC NOTE 1.875% 6/0 595112AH6 481 500000 PRN SOLE 0 0 500000 MICROSOFT CORP COM 594918104 217 7110 SH SOLE 7110 0 0 MILLIPORE CORP NOTE 3.750% 6/0 601073AD1 516 500000 PRN SOLE 0 0 500000 MOLSON COORS BREWING CO NOTE 2.500% 7/3 60871RAA8 553 500000 PRN SOLE 0 0 500000 MONSANTO CO NEW COM 61166W101 217 2660 SH SOLE 2660 0 0 MOTOROLA INC COM 620076109 225 28986 SH SOLE 28986 0 0 NABORS INDS INC NOTE 0.940% 5/1 629568AP1 196 200000 PRN SOLE 0 0 200000 NATIONAL CITY CORP NOTE 4.000% 2/0 635405AW3 509 500000 PRN SOLE 0 0 500000 NEWMONT MINING CORP NOTE 3.000% 2/1 651639AK2 2503 2000000 PRN SOLE 0 0 2000000 NEWPARK RES INC COM PAR $.01NEW 651718504 146 34460 SH SOLE 34460 0 0 NEWS CORP CL A 65248E104 217 15820 SH SOLE 15820 0 0 NISOURCE INC COM 65473P105 182 11810 SH SOLE 11810 0 0 NUVEEN FLOATING RATE INCOME COM 67072T108 140 13550 SH SOLE 13550 0 0 NUVEEN FLTNG RTE INCM OPP FD COM SHS 6706EN100 141 13075 SH SOLE 13075 0 0 NUVEEN MULTI STRAT INC GR FD COM SHS 67073D102 141 18335 SH SOLE 18335 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 217 2673 SH SOLE 2673 0 0 OLD MUTUAL CLAYMORE LNG SHT COM 68003N103 142 16665 SH SOLE 16665 0 0 OLIN CORP COM PAR $1 680665205 177 10110 SH SOLE 10110 0 0 OMNICARE INC DBCV 3.250%12/1 681904AL2 163 200000 PRN SOLE 0 0 200000 OMNOVA SOLUTIONS INC COM 682129101 101 16550 SH SOLE 16550 0 0 ORACLE CORP COM 68389X105 216 8820 SH SOLE 8820 0 0 PAETEC HOLDING CORP COM 695459107 58 13960 SH SOLE 13960 0 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 220 4610 SH SOLE 4610 0 0 PFIZER INC COM 717081103 290 15967 SH SOLE 15967 0 0 PHILIP MORRIS INTL INC COM 718172109 218 4520 SH SOLE 4520 0 0 PRESTIGE BRANDS HLDGS INC COM 74112D101 135 17140 SH SOLE 17140 0 0 PROCTER & GAMBLE CO COM 742718109 217 3580 SH SOLE 3580 0 0 PROLOGIS SH BEN INT 743410102 164 11990 SH SOLE 11990 0 0 PUTNAM PREMIER INCOME TR SH BEN INT 746853100 134 21864 SH SOLE 21864 0 0 QUALCOMM INC COM 747525103 217 4694 SH SOLE 4694 0 0 QWEST COMMUNICATIONS INTL IN NOTE 3.500%11/1 749121BY4 415 400000 PRN SOLE 0 0 400000 RAMCO-GERSHENSON PPTYS TR COM SH BEN INT 751452202 181 18980 SH SOLE 18980 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 55 10400 SH SOLE 10400 0 0 RETAIL OPPORTUNITY INVTS COR COM 76131N101 181 17940 SH SOLE 17940 0 0 ROWAN COS INC COM 779382100 361 15938 SH SOLE 15938 0 0 SANDISK CORP NOTE 1.000% 5/1 80004CAC5 167 200000 PRN SOLE 0 0 200000 SERVICE CORP INTL COM 817565104 107 13080 SH SOLE 13080 0 0 SHIP FINANCE INTERNATIONAL L SHS G81075106 184 13480 SH SOLE 13480 0 0 SMART MODULAR TECHNOLOGIES I ORD SHS G82245104 69 10910 SH SOLE 10910 0 0 SPARTECH CORP COM NEW 847220209 150 14630 SH SOLE 14630 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 131 90000 SH CALL SOLE 90000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 27 100000 SH PUT SOLE 100000 0 0 STANDARD PAC CORP NEW COM 85375C101 63 16720 SH SOLE 16720 0 0 STEWART ENTERPRISES INC CL A 860370105 55 10640 SH SOLE 10640 0 0 SUN MICROSYSTEMS INC COM NEW 866810203 110 11730 SH SOLE 11730 0 0 SYMANTEC CORP NOTE 1.000% 6/1 871503AF5 1682 1500000 PRN SOLE 0 0 1500000 TARGET CORP COM 87612E106 321 6643 SH SOLE 6643 0 0 TECO ENERGY INC COM 872375100 184 11360 SH SOLE 11360 0 0 TESCO CORP COM 88157K101 147 11380 SH SOLE 11380 0 0 TEVA PHARMACEUTICAL FIN CO B NOTE 1.750% 2/0 88165FAA0 247 200000 PRN SOLE 0 0 200000 TIFFANY & CO NEW COM 886547108 216 5030 SH SOLE 5030 0 0 TRANSOCEAN INC NOTE 1.625%12/1 893830AU3 990 1000000 PRN SOLE 0 0 1000000 TYSON FOODS INC CL A 902494103 231 18850 SH SOLE 18850 0 0 U STORE IT TR COM 91274F104 184 25080 SH SOLE 25080 0 0 VISA INC COM CL A 92826C839 219 2500 SH SOLE 2500 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 106 12730 SH SOLE 12730 0 0 WALGREEN CO COM 931422109 218 5930 SH SOLE 5930 0 0 WAUSAU PAPER CORP COM 943315101 144 12400 SH SOLE 12400 0 0 WELLS FARGO & CO NEW COM 949746101 221 8200 SH SOLE 8200 0 0 WENDYS ARBYS GROUP INC COM 950587105 268 57097 SH SOLE 57097 0 0 WESTERN ASSET EMRG MKT INCM COM 95766E103 138 11231 SH SOLE 11231 0 0 WESTERN ASSET GLB HI INCOME COM 95766B109 139 12512 SH SOLE 12512 0 0 XEROX CORP COM 984121103 96 11370 SH SOLE 11370 0 0 XTO ENERGY INC COM 98385X106 893 19190 SH SOLE 19190 0 0
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