-----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, BfYhyUJ2LTymKHVqwR4+6zU2ro/QDvtedzVfWblp/70bLQScdhQ4hQWJ8Ohaz3/i DmQnVftN7XzUqVlvE6/zgQ== 0001454027-10-000004.txt : 20100517 0001454027-10-000004.hdr.sgml : 20100517 20100517114628 ACCESSION NUMBER: 0001454027-10-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100517 DATE AS OF CHANGE: 20100517 EFFECTIVENESS DATE: 20100517 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Verition Fund Managegment LLC CENTRAL INDEX KEY: 0001454027 IRS NUMBER: 262472334 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13309 FILM NUMBER: 10836570 BUSINESS ADDRESS: STREET 1: ONE AMERICAN LANE CITY: GREENWICH STATE: CT ZIP: 06831 BUSINESS PHONE: 203-742-7740 MAIL ADDRESS: STREET 1: ONE AMERICAN LANE CITY: GREENWICH STATE: CT ZIP: 06831 13F-HR 1 marfinal.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for Calendar Year or Quarter ended: March 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: Verition Fund Management, LLC Address: One American Lane Greenwich, CT 06831 13F File Number: 28-13309 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, list and tables, are considered integral parts of this form. Person signing this report on behalf of Reporting manager: Name: Ted Hagan Title: Chief Financial Officer Phone: 203-742-7740 Signature, Place, and Date of Signing: Ted Hagan Greenwich, CT 05/17/2010 Report Type (Check only one): [X] 13F HOLDING REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT List of other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 252 Form 13F Information Table Value Total: $390,609 Information for which the institutional investment manager filing this report is requesting confidential treatment has been omitted and filed separately with the Securities and Exchange Commission. List of Other Included Managers: NONE
VALUE SHRS OR SH/ PUT/ INVSTMT OTHR VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRETN MGRS SOLE SHARED OTHER - ---------------------------- ------------------- --------- ------ ------- --- ---- ------- ---- ------- ------ ----- 3COM CORP COM 885535104 8980 1167802 SH SOLE 1167802 0 0 ABBOTT LABS COM 002824100 1423 27010 SH SOLE 27010 0 0 ADVANCED ENERGY INDS COM 007973100 398 24024 SH SOLE 24024 0 0 ADVANCED MICRO DEVICES INC NOTE 5.750% 8/1 007903AN7 2503 2500000 PRN SOLE 2500000 0 0 ADVANTEST CORP SPON ADR NEW 00762U200 1712 68250 SH SOLE 68250 0 0 AIRGAS INC COM 009363102 775 12187 SH SOLE 12187 0 0 ALCOA INC NOTE 5.250% 3/1 013817AT8 4612 2000000 PRN SOLE 2000000 0 0 ALCOA INC COM 013817101 1424 100000 SH CALL SOLE 100000 0 0 ALCON INC COM SHS H01301102 17 105 SH SOLE 105 0 0 ALLEGHENY ENERGY INC COM 017361106 20 865 SH SOLE 865 0 0 ALLIANT TECHSYSTEMS INC NOTE 2.750% 9/1 018804AN4 3075 3000000 PRN SOLE 3000000 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 360 7216 SH SOLE 7216 0 0 ALPS ETF TR C&S GLOBL ETF 00162Q106 205 6355 SH SOLE 6355 0 0 ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 566 21984 SH SOLE 21984 0 0 AMERICREDIT CORP NOTE 0.750% 9/1 03060RAP6 2519 2500000 PRN SOLE 2500000 0 0 AMR CORP NOTE 6.250% 10/1 001765BC9 4645 4000000 PRN SOLE 4000000 0 0 AMYLIN PHARMACEUTICALS INC NOTE 3.000% 6/1 032346AF5 3585 4000000 PRN SOLE 4000000 0 0 ANALOG DEVICES INC COM 032654105 2882 100000 SH CALL SOLE 100000 0 0 APPLE INC COM 037833100 332 1414 SH SOLE 1414 0 0 ARCADIA RES INC COM 039209101 570 1425162 SH SOLE 1425162 0 0 ARCH COAL INC COM 039380100 245 10726 SH SOLE 10726 0 0 AT&T INC COM 00206R102 255 9879 SH SOLE 9879 0 0 AUTONATION INC COM 05329W102 316 17492 SH SOLE 17492 0 0 BANK OF AMERICA CORPORATION COM 060505104 743 41627 SH SOLE 41627 0 0 BAXTER INTL INC COM 071813109 674 11587 SH SOLE 11587 0 0 BECKMAN COULTER INC COM 075811109 1646 26218 SH SOLE 26218 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 219 2700 SH SOLE 2700 0 0 BIOGEN IDEC INC COM 09062X103 201 3500 SH CALL SOLE 3500 0 0 BJ SVCS CO COM 055482103 1331 62200 SH SOLE 62200 0 0 BORGWARNER INC NOTE 3.500% 4/1 099724AF3 7219 5500000 PRN SOLE 5500000 0 0 BOSTON SCIENTIFIC CORP COM 101137107 289 40000 SH CALL SOLE 40000 0 0 BUCYRUS INTL INC NEW COM 118759109 413 6264 SH SOLE 6264 0 0 CABOT OIL & GAS CORP COM 127097103 209 5682 SH SOLE 5682 0 0 CAPITALSOURCE INC DBCV 4.000% 7/1 14055XAE2 1925 2000000 PRN SOLE 2000000 0 0 CARMAX INC COM 143130102 292 11635 SH SOLE 11635 0 0 CARNIVAL CORP PAIRED CTF 143658300 208 5347 SH SOLE 5347 0 0 CEDAR FAIR L P DEPOSITRY UNIT 150185106 358 30000 SH PUT SOLE 30000 0 0 CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 874 12134 SH SOLE 12134 0 0 CHINA MOBILE LIMITED SPONSORED ADR 16941M109 1076 22366 SH SOLE 22366 0 0 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 405 4925 SH SOLE 4925 0 0 CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 782 15968 SH SOLE 15968 0 0 CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 395 35382 SH SOLE 35382 0 0 CIENA CORP NOTE 0.875% 6/1 171779AE1 1360 2000000 PRN SOLE 2000000 0 0 CKE RESTAURANTS INC COM 12561E105 443 40000 SH SOLE 40000 0 0 CLAYMORE ETF TRUST 2 S&P GBL WATER 18383Q507 224 12157 SH SOLE 12157 0 0 CLAYMORE ETF TRUST 2 DELTA GLOB ETF 18383Q820 483 32955 SH SOLE 32955 0 0 CLAYMORE ETF TRUST 2 CLAY/ALPH CHN 18383Q861 285 15714 SH SOLE 15714 0 0 CLAYMORE EXCHANGE-TRADED FD ALPH SHS CHINA 18385P101 574 22710 SH SOLE 22710 0 0 CNOOC LTD SPONSORED ADR 126132109 631 3820 SH SOLE 3820 0 0 CNX GAS CORP COM 12618H309 1826 48000 SH SOLE 48000 0 0 COMCAST CORP NEW CL A SPL 20030N200 834 46400 SH SOLE 46400 0 0 CONAGRA FOODS INC COM 205887102 238 9475 SH SOLE 9475 0 0 CONEXANT SYSTEMS INC COM NEW 207142308 254 74802 SH SOLE 74802 0 0 CONOCOPHILLIPS COM 20825C104 303 5927 SH SOLE 5927 0 0 CONSOL ENERGY INC COM 20854P109 422 9889 SH SOLE 9889 0 0 CONTINENTAL AIRLS INC NOTE 4.500% 1/1 210795PU8 3370 2600000 PRN SOLE 2600000 0 0 COVENTRY HEALTH CARE INC COM 222862104 205 8278 SH SOLE 8278 0 0 COVIDIEN PLC SHS G2554F105 805 16007 SH SOLE 16007 0 0 CREE INC COM 225447101 2809 40000 SH PUT SOLE 40000 0 0 CREE INC COM 225447101 2107 30000 SH PUT SOLE 30000 0 0 CUBIST PHARMACEUTICALS INC NOTE 2.250% 6/1 229678AC1 996 1000000 PRN SOLE 1000000 0 0 DEERE & CO COM 244199105 217 3654 SH SOLE 3654 0 0 DELL INC COM 24702R101 1573 104800 SH CALL SOLE 104800 0 0 DEVON ENERGY CORP NEW COM 25179M103 467 7247 SH SOLE 7247 0 0 DEX ONE CORP COM 25212W100 820 29361 SH SOLE 29361 0 0 DIREXION SHS ETF TR DLY R/E BEAR3X 25459W748 93 10400 SH SOLE 10400 0 0 DIREXION SHS ETF TR DLY FIN BULL NEW 25459W516 779 8073 SH SOLE 8073 0 0 DIREXION SHS ETF TR DLY FIN BEAR NEW 25459W490 3135 232942 SH SOLE 232942 0 0 DRYSHIPS INC SHS Y2109Q101 711 121789 SH SOLE 121789 0 0 DRYSHIPS INC. NOTE 5.000% 12/0 262498AB4 2574 2500000 PRN SOLE 2500000 0 0 E M C CORP MASS NOTE 1.750%12/0 268648AK8 9122 7500000 PRN SOLE 7500000 0 0 E M C CORP MASS COM 268648102 226 12507 SH SOLE 12507 0 0 E TRADE FINANCIAL CORP COM 269246104 743 450000 SH SOLE 450000 0 0 EXXON MOBIL CORP COM 30231G102 402 6001 SH SOLE 6001 0 0 FIRST TR EXCH TRADED FD II NASDQ CLN EDGE 33737A108 443 14404 SH SOLE 14404 0 0 FIRST TR EXCHANGE TRADED FD AMEX BIOTECH 33733E203 358 9631 SH SOLE 9631 0 0 FIRST TR ISE GLB WIND ENRGE COM SHS 33736G106 311 23362 SH SOLE 23362 0 0 FOMENTO ECONOMICO MEXICANOS SPON ADR UNITS 344419106 219 4600 SH SOLE 4600 0 0 GENERAL ELECTRIC CO COM 369604103 287 15788 SH SOLE 15788 0 0 GILEAD SCIENCES INC COM 375558103 209 4586 SH SOLE 4586 0 0 GLOBAL X FDS CHINA MATL ETF 37950E879 268 20167 SH SOLE 20167 0 0 GLOBAL X FDS CHINA CONS ETF 37950E408 338 19508 SH SOLE 19508 0 0 GLOBAL X FDS CHINA FINL ETF 37950E606 317 22222 SH SOLE 22222 0 0 HALLIBURTON CO COM 406216101 229 7616 SH SOLE 7616 0 0 HECKMANN CORP *W EXP 11/09/201 422680116 184 239000 SH SOLE 239000 0 0 HUANENG PWR INTL INC SPON ADR H SHS 443304100 395 17015 SH SOLE 17015 0 0 HUDSON HIGHLAND GROUP INC COM 443792106 85 19300 SH SOLE 19300 0 0 HUTCHINSON TECHNOLOGY INC NOTE 3.250% 1/1 448407AF3 1710 2000000 PRN SOLE 2000000 0 0 ICONIX BRAND GROUP INC NOTE 1.875% 6/3 451055AB3 468 500000 PRN SOLE 500000 0 0 INTERACTIVE DATA CORP COM 45840J107 579 18100 SH SOLE 18100 0 0 INTERCONTINENTALEXCHANGE INC COM 45865V100 350 3122 SH SOLE 3122 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 302 2358 SH SOLE 2358 0 0 INTUITIVE SURGICAL INC COM NEW 46120E602 214 614 SH SOLE 614 0 0 INVENTIV HEALTH INC COM 46122E105 602 26781 SH SOLE 26781 0 0 ISHARES INC MSCI ISRAEL FD 464286632 281 4776 SH SOLE 4776 0 0 ISHARES INC MSCI SWEDEN 464286756 208 8175 SH SOLE 8175 0 0 ISHARES INC MSCI ITALY 464286855 271 14863 SH SOLE 14863 0 0 ISHARES INC MSCI JAPAN 464286848 489 46842 SH SOLE 46842 0 0 ISHARES INC MSCI SPAIN 464286764 332 7853 SH SOLE 7853 0 0 ISHARES INC MSCI SINGAPORE 464286673 218 18930 SH SOLE 18930 0 0 ISHARES INC MSCI TAIWAN 464286731 1607 128025 SH SOLE 128025 0 0 ISHARES INC MSCI UTD KINGD 464286699 471 29000 SH SOLE 29000 0 0 ISHARES TR DJ SEL DIV INX 464287168 559 12154 SH SOLE 12154 0 0 ISHARES TR MSCI EMERG MKT 464287234 3263 77477 SH SOLE 77477 0 0 ISHARES TR DJ BROKER-DEAL 464288794 1073 37953 SH SOLE 37953 0 0 ISHARES TR COHEN&ST RLTY 464287564 696 12134 SH SOLE 12134 0 0 ISHARES TR S&P GLO INFRAS 464288372 292 8524 SH SOLE 8524 0 0 ISHARES TR S&P NA SEMICND 464287523 509 10306 SH SOLE 10306 0 0 ISHARES TR DJ MED DEVICES 464288810 693 11855 SH SOLE 11855 0 0 ISHARES TR DJ HOME CONSTN 464288752 620 45759 SH SOLE 45759 0 0 ISHARES TR TRANSP AVE IDX 464287192 206 2608 SH SOLE 2608 0 0 ISHARES TR DJ US TELECOMM 464287713 412 20588 SH SOLE 20588 0 0 ISHARES TR S&P GL UTILITI 464288711 447 9776 SH SOLE 9776 0 0 ISHARES TR S&G GL MATERIA 464288695 544 8556 SH SOLE 8556 0 0 JOY GLOBAL INC COM 481165108 353 6245 SH SOLE 6245 0 0 JPMORGAN & CHASE & CO COM 46625H100 337 7525 SH SOLE 7525 0 0 KB FINANCIAL GROUP INC SPONSORED ADR 48241A105 411 8560 SH SOLE 8560 0 0 KING PHARMACEUTICALS INC COM 495582108 124 10521 SH SOLE 10521 0 0 KLA-TENCOR CORP COM 482480100 7311 236461 SH SOLE 236461 0 0 KLA-TENCOR CORP COM 482480100 4638 150000 SH CALL SOLE 150000 0 0 KLA-TENCOR CORP COM 482480100 6184 200000 SH CALL SOLE 200000 0 0 KULICKE & SOFFA INDS INC COM 501242101 5090 702001 SH SOLE 702001 0 0 KULICKE & SOFFA INDS INC COM 501242101 91 12500 SH CALL SOLE 12500 0 0 KULICKE & SOFFA INDS INC COM 501242101 73 10000 SH CALL SOLE 10000 0 0 LAM RESEARCH CORP COM 512807108 9330 250000 SH CALL SOLE 250000 0 0 LAM RESEARCH CORP COM 512807108 7464 200000 SH CALL SOLE 200000 0 0 LAM RESEARCH CORP COM 512807108 1866 50000 SH CALL SOLE 50000 0 0 LDK SOLAR CO LTD NOTE 4.750% 4/1 50183LAB3 1268 1500000 PRN SOLE 1500000 0 0 LDK SOLAR CO LTD SPONSORED ADR 50183L107 2798 426600 SH PUT SOLE 426600 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 324 18308 SH SOLE 18308 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 1083 20725 SH SOLE 20725 0 0 LIONS GATE ENTMNT CORP NOTE 2.938%10/1 535919AF1 2403 2500000 PRN SOLE 2500000 0 0 LORILLARD INC COM 544147101 1181 15697 SH SOLE 15697 0 0 LORILLARD INC COM 544147101 752 10000 SH CALL SOLE 10000 0 0 LSI CORPORATION COM 502161102 612 100000 SH CALL SOLE 100000 0 0 LTX-CREDENCE CORP COM 502403108 1283 423486 SH SOLE 423486 0 0 M & T BK CORP COM 55261F104 206 2594 SH SOLE 2594 0 0 MARATHON OIL CORP COM 565849106 253 7986 SH SOLE 7986 0 0 MARKET VECTORS ETF TR GAMING ETF 57060U829 223 8626 SH SOLE 8626 0 0 MARKET VECTORS ETF TR BRAZIL SMCP ETF 57060U613 259 5663 SH SOLE 5663 0 0 MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 210 8175 SH SOLE 8175 0 0 MARKET VECTORS ETF TR SOLAR ENRG ETF 57060U811 302 23250 SH SOLE 23250 0 0 MARKET VECTORS ETF TR AGRIBUS ETF 57060U605 1009 22337 SH SOLE 22337 0 0 MARKET VECTORS ETF TR VECTRS POL ETF 57060U571 375 14494 SH SOLE 14494 0 0 MARKET VECTORS ETF TR VIETNAM ETF 57060U761 443 17616 SH SOLE 17616 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 4938 242318 SH SOLE 242318 0 0 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 4076 200000 SH CALL SOLE 200000 0 0 MATTSON TECHNOLOGY INC COM 577223100 858 185687 SH SOLE 185687 0 0 MEDCATH CORP COM 58404W109 680 64944 SH SOLE 64944 0 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 2602 110406 SH SOLE 110406 0 0 MERCER INTL INC COM 588056101 395 75000 SH SOLE 75000 0 0 MICRON TECHNOLOGY INC COM 595112103 2078 200000 SH CALL SOLE 200000 0 0 MICRON TECHNOLOGY INC COM 595112103 11881 1143500 SH CALL SOLE 1143500 0 0 MICRON TECHNOLOGY INC COM 595112103 1559 150000 SH CALL SOLE 150000 0 0 MICRON TECHNOLOGY INC COM 595112103 2598 250000 SH CALL SOLE 250000 0 0 MICROSOFT CORP COM 594918104 263 9000 SH SOLE 9000 0 0 MOLSON COORS BREWING CO CL B 60871R209 725 17228 SH SOLE 17228 0 0 MOLSON COORS BREWING CO CL B 60871R209 589 14000 SH CALL SOLE 14000 0 0 MSCI INC CL A 55354G100 490 13564 SH SOLE 13564 0 0 NATIONAL OILWELL VARCO INC COM 637071101 412 10149 SH SOLE 10149 0 0 NEKTAR THERAPEUTICS NOTE 3.250% 9/2 640268AH1 1998 2000000 PRN SOLE 2000000 0 0 NEWELL RUBBERMAID INC NOTE 5.500% 3/1 651229AH9 3765 2000000 PRN SOLE 2000000 0 0 NEWS CORP CL A 65248E104 788 54686 SH SOLE 54686 0 0 ORACLE CORP COM 68389X105 711 27691 SH SOLE 27691 0 0 ORIENT PAPER INC COM NEW 68619F205 84 10000 SH SOLE 10000 0 0 OSI PHARMACEUTICALS INC SDCV 3.000% 1/1 671040AH6 11076 9600000 PRN SOLE 9600000 0 0 OSI PHARMACEUTICALS INC COM 671040103 2525 42400 SH CALL SOLE 42400 0 0 OSI PHARMACEUTICALS INC COM 671040103 393 6600 SH CALL SOLE 6600 0 0 PEPSICO INC COM 713448108 298 4504 SH SOLE 4504 0 0 PETROCHINA CO LTD SPONSORED ADR 71646E100 674 5747 SH SOLE 5747 0 0 PFIZER INC COM 717081103 2025 118093 SH SOLE 118093 0 0 POLYCOM INC COM 73172K104 3618 118297 SH SOLE 118297 0 0 POWERSHARES ETF TR II GLBL WIND ENRG 73937B308 137 10376 SH SOLE 10376 0 0 POWERSHARES ETF TRUST DYN MEDIA PORT 73935X823 370 28483 SH SOLE 28483 0 0 POWERSHARES ETF TRUST WNDRHLL CLN EN 73935X500 391 39213 SH SOLE 39213 0 0 POWERSHARES ETF TRUST WATER RESOURCE 73935X575 342 19598 SH SOLE 19598 0 0 POWERSHARES ETF TRUST CON STAPLE SEC 73935X393 1264 48189 SH SOLE 48189 0 0 POWERSHARES ETF TRUST DYNM LRG CP GR 73935X609 211 14352 SH SOLE 14352 0 0 POWERSHARES ETF TRUST CLEANTECH PORT 73935X278 395 16188 SH SOLE 16188 0 0 POWERSHARES GLOBAL ETF TRUST DEV INTL OPP 73936T805 403 24606 SH SOLE 24606 0 0 POWERSHARES GLOBAL ETF TRUST DEV MKTS EX-US 73936T789 810 21537 SH SOLE 21537 0 0 POWERSHARES GLOBAL ETF TRUST EMER MRKT PORT 73936T763 687 29927 SH SOLE 29927 0 0 PROCTER & GAMBLE CO COM 742718109 285 4500 SH SOLE 4500 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 2921 60000 SH SOLE 60000 0 0 PSYCHIATRIC SOLUTIONS INC COM 74439H108 2232 74900 SH SOLE 74900 0 0 PUBLIC SVC ENTERPRISE GROUP COM 744573106 284 9636 SH SOLE 9636 0 0 QUEST DIAGNOSTICS INC COM 74834L100 973 16697 SH SOLE 16697 0 0 QWEST COMMUNICATIONS INTLIN NOTE 3.500%11/1 749121BY4 5650 5000000 PRN SOLE 5000000 0 0 RANGE RES CORP COM 75281A109 486 10362 SH SOLE 10362 0 0 RAYMOND JAMES FINANCIAL INC COM 754730109 370 13834 SH SOLE 13834 0 0 RUDOLPH TECHNOLOGIES INC COM 781270103 154 17968 SH SOLE 17968 0 0 SCHLUMBERGER LTD COM 806857108 3832 60386 SH SOLE 60386 0 0 SEAGATE TECHNOLOGY SHS G7945J104 1954 107009 SH SOLE 107009 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 6972 436591 SH SOLE 436591 0 0 SESI L L C NOTE 1.500%12/1 78412FAH7 3735 4000000 PRN SOLE 4000000 0 0 SHAW GROUP INC COM 820280105 303 8798 SH SOLE 8798 0 0 SKILLSOFT PLC SPONSORED ADR 830928107 13907 1347600 SH SOLE 1347600 0 0 SMURFIT-STONE CONTAINER CORP COM 832727101 117 450000 SH SOLE 450000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 218 2000 SH SOLE 2000 0 0 SPDR INDEX SHS FDS ASIA PACIF ETF 78463X301 1130 15014 SH SOLE 15014 0 0 SPDR INDEX SHS FDS S&P CHINA ETF 78463X400 1512 20987 SH SOLE 20987 0 0 SPDR INDEX SHS FDS INTL MTRLS SEC 78463X665 229 8735 SH SOLE 8735 0 0 SPDR SERIES TRUST SPDR KBW BK ETF 78464A797 284 11020 SH SOLE 11020 0 0 SPDR SERIES TRUST SPDR KBW CAP ETF 78464A771 473 12712 SH SOLE 12712 0 0 SPDR SERIES TRUST KBW REGN BK ETF 78464A698 596 22736 SH SOLE 22736 0 0 SPDR SERIES TRUST DJ WLSH REIT ETF 78464A607 1063 19774 SH SOLE 19774 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 769 12828 SH SOLE 12828 0 0 SPDR SERIES TRUST OILGAS EQUIP 78464A748 524 17654 SH SOLE 17654 0 0 SPDR SERIES TRUST S&P SEMICNDCTR 78464A862 303 6305 SH SOLE 6305 0 0 SPDR TR UNIT SER 1 78462F103 11699 100000 SH PUT SOLE 100000 0 0 SPDR TR UNIT SER 1 78462F103 6743 57638 SH SOLE 57638 0 0 STAPLES INC COM 855030102 215 9185 SH SOLE 9185 0 0 STILLWATER MNG CO NOTE 1.875% 3/1 86074QAF9 1852 2000000 PRN SOLE 2000000 0 0 SUNPOWER CORP DBCV 1.250% 2/1 867652AA7 1810 2000000 PRN SOLE 2000000 0 0 SUPERMEDIA INC COM 868447103 384 9400 SH SOLE 9400 0 0 SYMANTEC CORP NOTE 0.750% 6/1 871503AD0 5219 5000000 PRN SOLE 5000000 0 0 SYNOVIS LIFE TECHNOLOGIESIN COM 87162G105 612 39400 SH SOLE 39400 0 0 TELEPHONE & DATA SYS INC SPL COM 879433860 1492 50000 SH SOLE 50000 0 0 TERRA INDS INC COM 880915103 11947 261071 SH SOLE 261071 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 2779 44050 SH SOLE 44050 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 322 5100 SH PUT SOLE 5100 0 0 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 946 15000 SH PUT SOLE 15000 0 0 TEXTRON INC NOTE 4.500% 5/0 883203BN0 4350 2500000 PRN SOLE 2500000 0 0 TIVO INC COM 888706108 856 50000 SH CALL SOLE 50000 0 0 TRINA SOLAR LIMITED NOTE 4.000% 7/1 89628EAA2 9760 6100000 PRN SOLE 6100000 0 0 TRIUMPH GROUP INC NEW NOTE 2.625%10/0 896818AB7 3451 2545000 PRN SOLE 2545000 0 0 TURKCELL ILETISIM HIZMETLERI SPON ADR NEW 900111204 551 36577 SH SOLE 36577 0 0 UNISYS CORP COM NEW 909214306 474 13594 SH SOLE 13594 0 0 VALUEVISION MEDIA INC CL A 92047K107 619 186500 SH SOLE 186500 0 0 VANGUARD INDEX FDS MID CAP ETF 922908629 491 7538 SH SOLE 7538 0 0 VANGUARD INTL EQUITY INDEXF TT WRLD ST ETF 922042742 420 9443 SH SOLE 9443 0 0 VANGUARD WORLD FDS MATERIALS ETF 92204A801 244 3447 SH SOLE 3447 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 3312 100000 SH CALL SOLE 100000 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 6316 190700 SH CALL SOLE 190700 0 0 VARIAN SEMICONDUCTOR EQUIPMN COM 922207105 4349 131300 SH CALL SOLE 131300 0 0 VEECO INSTRS INC DEL COM 922417100 3045 70000 SH PUT SOLE 70000 0 0 VEECO INSTRS INC DEL COM 922417100 1740 40000 SH PUT SOLE 40000 0 0 VEECO INSTRS INC DEL COM 922417100 2610 60000 SH PUT SOLE 60000 0 0 VERIGY LTD SHS Y93691106 662 59200 SH CALL SOLE 59200 0 0 WEINGARTEN RLTY INVS SH BEN INT 948741103 313 14519 SH SOLE 14519 0 0 WELLS FARGO & CO NEW COM 949746101 229 7362 SH SOLE 7362 0 0 WESTERN DIGITAL CORP COM 958102105 252 6456 SH SOLE 6456 0 0 WISDOMTREE TRUST INTL BAS MATER 97717W752 578 20117 SH SOLE 20117 0 0 WISDOMTREE TRUST EMG MKTS SMCAP 97717W281 352 7874 SH SOLE 7874 0 0 WISDOMTREE TRUST INTL ENERGY 97717W711 329 13413 SH SOLE 13413 0 0 WISDOMTREE TRUST PAC EXJP HG YD 97717W810 205 3587 SH SOLE 3587 0 0 XTO ENERGY INC COM 98385X106 60 1274 SH SOLE 1274 0 0 YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 361 14998 SH SOLE 14998 0 0 ZIMMER HLDGS INC COM 98956P102 1251 21138 SH SOLE 21138 0 0 *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** *** ***
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