-----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, PV002CvOPBdB91duu4E/DHK+J+7BnEh75m64GG3p/GZR0C66l0zUzSj+Ac7725+y jd+agrRpJivCVBSXbZnbhA== 0000902664-11-000284.txt : 20110210 0000902664-11-000284.hdr.sgml : 20110210 20110210154631 ACCESSION NUMBER: 0000902664-11-000284 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110210 DATE AS OF CHANGE: 20110210 EFFECTIVENESS DATE: 20110210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lombard Odier Asset Management (USA) Corp CENTRAL INDEX KEY: 0001491719 IRS NUMBER: 061603711 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13939 FILM NUMBER: 11592314 BUSINESS ADDRESS: STREET 1: 888 7TH AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 212 295 6200 MAIL ADDRESS: STREET 1: 888 7TH AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 13F-HR 1 p11-0380form13fhr.txt LOMBARD ODIER ASSET MANAGEMENT (USA) CORP 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, 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: Lombard Odier Asset Management (USA) Corp -------------------------------------------------- Address: 888 7th Avenue, 11th Floor -------------------------------------------------- New York, NY 10106 -------------------------------------------------- Form 13F File Number: 28-13939 -------------- 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: Eliott Frank -------------------------------------------------- Title: Authorized Signatory -------------------------------------------------- Phone: 212-295-6200 -------------------------------------------------- Signature, Place, and Date of Signing: /s/ Eliott Frank New York, NY 2/10/2011 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Report Type (Check only one): [ ] 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).) [X] 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 File Number Name 28-13013 1798 Global Partners (Cayman Islands) Ltd Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 --------------- Form 13F Information Table Entry Total: 100 --------------- Form 13F Information Table Value Total: $ 491,981 -------------- (thousands) List of Other Included Managers: NONE
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- --------------- --------- -------- ------------------- ---------- -------- ---------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- --------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ---- ABITIBIBOWATER INC COM NEW 003687209 10,486 443,016 SH SOLE 0 443,016 0 0 AMERICAN MED SYS HLDGS INC COM 02744M108 417 22,100 SH SOLE 0 22,100 0 0 ANADARKO PETE CORP COM 032511107 28,047 368,260 SH DEFINED 0 368,260 0 0 ANADARKO PETE CORP COM 032511107 10,830 142,200 SH CALL DEFINED 0 142,200 0 0 APACHE CORP COM 037411105 15,965 133,900 SH DEFINED 0 133,900 0 0 BAKER HUGHES INC COM 057224107 1,143 20,000 SH DEFINED 0 20,000 0 0 BHP BILLITON PLC SPONSORED ADR 05545E209 929 10,000 SH PUT DEFINED 0 10,000 0 0 BIO RAD LABS INC CL A 090572207 405 3,900 SH SOLE 0 3,900 0 0 BON-TON STORES INC COM 09776J101 3,603 284,600 SH SOLE 0 284,600 0 0 BP PLC SPONSORED ADR 055622104 7,270 164,600 SH DEFINED 0 164,600 0 0 BP PLC SPONSORED ADR 055622104 1,767 40,000 SH CALL DEFINED 0 40,000 0 0 BPZ RESOURCES INC COM 055639108 595 125,000 SH DEFINED 0 125,000 0 0 BRIGHAM EXPLORATION CO COM 109178103 2,620 96,200 SH DEFINED 0 96,200 0 0 BRIGHAM EXPLORATION CO COM 109178103 409 15,000 SH CALL DEFINED 0 15,000 0 0 BROOKDALE SR LIVING INC COM 112463104 287 13,400 SH SOLE 0 13,400 0 0 BRUKER CORP COM 116794108 463 27,900 SH SOLE 0 27,900 0 0 CABOT OIL & GAS CORP COM 127097103 2,808 74,200 SH DEFINED 0 74,200 0 0 CABOT OIL & GAS CORP COM 127097103 454 12,000 SH CALL DEFINED 0 12,000 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 3,911 77,100 SH DEFINED 0 77,100 0 0 CARBO CERAMICS INC COM 140781105 632 6,100 SH DEFINED 0 6,100 0 0 CAREFUSION CORP COM 14170T101 439 17,100 SH SOLE 0 17,100 0 0 CIMAREX ENERGY CO COM 171798101 2,435 27,500 SH DEFINED 0 27,500 0 0 CIMAREX ENERGY CO COM 171798101 3,099 35,000 SH CALL DEFINED 0 35,000 0 0 CONTANGO OIL & GAS COMPANY COM NEW 21075N204 805 13,900 SH DEFINED 0 13,900 0 0 CORE LABORATORIES LP NOTE 0.250%10/3 21868FAB9 5,831 3,000,000 PRN DEFINED 0 3,000,000 0 0 COVIDIEN PLC SHS G2554F105 411 9,000 SH SOLE 0 9,000 0 0 DANA HLDG CORP COM 235825205 5,041 292,900 SH SOLE 0 292,900 0 0 DEVON ENERGY CORP NEW COM 25179M103 3,140 40,000 SH DEFINED 0 40,000 0 0 DEVON ENERGY CORP NEW COM 25179M103 1,178 15,000 SH CALL DEFINED 0 15,000 0 0 DEX ONE CORP COM 25212W100 2,021 270,900 SH SOLE 0 270,900 0 0 DRESSER-RAND GROUP INC COM 261608103 2,044 48,000 SH DEFINED 0 48,000 0 0 DRIL-QUIP INC COM 262037104 1,609 20,700 SH DEFINED 0 20,700 0 0 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 10,372 10,000,000 PRN DEFINED 0 10,000,000 0 0 ENDOLOGIX INC COM 29266S106 208 29,100 SH SOLE 0 29,100 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 3,044 110,000 SH DEFINED 0 110,000 0 0 EXAMWORKS GROUP INC COM 30066A105 355 19,200 SH SOLE 0 19,200 0 0 EXCO RESOURCES INC COM 269279402 1,119 57,620 SH DEFINED 0 57,620 0 0 EXTERRAN HLDGS INC NOTE 4.250% 6/1 30225XAA1 9,369 7,500,000 PRN DEFINED 0 7,500,000 0 0 EXXON MOBIL CORP COM 30231G102 16,491 225,540 SH DEFINED 0 225,540 0 0 GENERAL MTRS CO COM 37045V100 7,630 207,000 SH SOLE 0 207,000 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 3,014 4,000,000 PRN DEFINED 0 4,000,000 0 0 GMX RES INC COM 38011M108 110 20,000 SH PUT DEFINED 0 20,000 0 0 GRAN TIERRA ENERGY INC COM 38500T101 285 35,000 SH DEFINED 0 35,000 0 0 HALLIBURTON CO COM 406216101 16,089 394,040 SH DEFINED 0 394,040 0 0 HALLIBURTON CO COM 406216101 4,083 100,000 SH CALL DEFINED 0 100,000 0 0 HALLIBURTON CO COM 406216101 1,021 25,000 SH PUT DEFINED 0 25,000 0 0 HELMERICH & PAYNE INC COM 423452101 979 20,200 SH DEFINED 0 20,200 0 0 HESS CORP COM 42809H107 6,238 81,500 SH DEFINED 0 81,500 0 0 HESS CORP COM 42809H107 3,827 50,000 SH CALL DEFINED 0 50,000 0 0 HOSPIRA INC COM 441060100 613 11,000 SH SOLE 0 11,000 0 0 ICON PUB LTD CO SPONSORED ADR 45103T107 237 10,800 SH SOLE 0 10,800 0 0 INSPIRE PHARMACEUTICALS INC COM 457733103 301 35,800 SH SOLE 0 35,800 0 0 INTEROIL CORP NOTE 2.750%11/1 460951AC0 4,505 4,500,000 PRN DEFINED 0 4,500,000 0 0 JAZZ PHARMACEUTICALS INC COM 472147107 705 35,800 SH SOLE 0 35,800 0 0 KODIAK OIL & GAS CORP COM 50015Q100 726 110,000 SH DEFINED 0 110,000 0 0 LDK SOLAR CO LTD NOTE 4.750% 4/1 50183LAB3 988 1,000,000 PRN DEFINED 0 1,000,000 0 0 LIFE TECHNOLOGIES CORP COM 53217V109 1,138 20,500 SH SOLE 0 20,500 0 0 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 7,792 226,500 SH SOLE 0 226,500 0 0 MICRON TECHNOLOGY INC COM 595112103 5,053 630,000 SH CALL SOLE 0 630,000 0 0 MYLAN INC COM 628530107 374 17,700 SH SOLE 0 17,700 0 0
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------- --------------- --------- -------- ------------------- ---------- -------- ---------------------- SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------- --------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ---- NATIONAL OILWELL VARCO INC COM 637071101 673 10,000 SH PUT DEFINED 0 10,000 0 0 NEWFIELD EXPL CO COM 651290108 2,142 29,700 SH DEFINED 0 29,700 0 0 NEWPARK RES INC NOTE 4.000%10/0 651718AC2 1,820 2,000,000 PRN DEFINED 0 2,000,000 0 0 NOBLE ENERGY INC COM 655044105 13,941 161,950 SH DEFINED 0 161,950 0 0 NOBLE ENERGY INC COM 655044105 5,165 60,000 SH CALL DEFINED 0 60,000 0 0 NORTHERN OIL & GAS INC NEV COM 665531109 1,494 54,900 SH DEFINED 0 54,900 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 8,751 89,200 SH DEFINED 0 89,200 0 0 OCCIDENTAL PETE CORP DEL COM 674599105 2,943 30,000 SH CALL DEFINED 0 30,000 0 0 ONYX PHARMACEUTICALS INC COM 683399109 583 15,800 SH SOLE 0 15,800 0 0 PAREXEL INTL CORP COM 699462107 667 31,400 SH SOLE 0 31,400 0 0 PETROHAWK ENERGY CORP COM 716495106 2,102 115,200 SH DEFINED 0 115,200 0 0 PETROHAWK ENERGY CORP COM 716495106 1,825 100,000 SH CALL DEFINED 0 100,000 0 0 PIONEER NAT RES CO COM 723787107 4,934 56,830 SH DEFINED 0 56,830 0 0 PIONEER NAT RES CO COM 723787107 2,171 25,000 SH CALL DEFINED 0 25,000 0 0 PIONEER NAT RES CO NOTE 2.875% 1/1 723787AH0 3,026 2,000,000 PRN DEFINED 0 2,000,000 0 0 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 231 15,700 SH SOLE 0 15,700 0 0 ROWAN COS INC COM 779382100 2,793 80,000 SH DEFINED 0 80,000 0 0 SALIX PHARMACEUTICALS INC COM 795435106 1,390 29,600 SH SOLE 0 29,600 0 0 SCHLUMBERGER LTD COM 806857108 1044 12,500 SH PUT DEFINED 0 12,500 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 44,363 650,000 SH CALL DEFINED 0 650,000 0 0 SEMGROUP CORP CL A 81663A105 11,475 426,115 SH DEFINED 0 426,115 0 0 SEMGROUP CORP CL A 81663A105 2,356 87,500 SH SOLE 0 87,500 0 0 SMURFIT-STONE CONTAINER CORP COM 83272A104 8,627 337,000 SH SOLE 0 337,000 0 0 SOUTHWESTERN ENERGY CO COM 845467109 7,943 212,200 SH DEFINED 0 212,200 0 0 SOUTHWESTERN ENERGY CO COM 845467109 1,984 53,000 SH CALL DEFINED 0 53,000 0 0 SPANSION INC COM CL A NEW 84649R200 17,232 832,482 SH SOLE 0 832,482 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 5,030 40,000 SH CALL DEFINED 0 40,000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 62,058 493,500 SH PUT SOLE 0 493,500 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 9,073 172,000 SH PUT DEFINED 0 172,000 0 0 SUNOCO INC COM 86764P109 4,595 114,000 SH SOLE 0 114,000 0 0 TALISMAN ENERGY INC COM 87425E103 9,099 409,000 SH DEFINED 0 409,000 0 0 TOLL BROTHERS INC COM 889478103 3,359 176,800 SH SOLE 0 176,800 0 0 TOREADOR RES CORP COM 891050106 512 33,000 SH DEFINED 0 33,000 0 0 TRANSOCEAN LTD REG SHS H8817H100 7,229 104,000 SH DEFINED 0 104,000 0 0 UNITED STATES OIL FUND LP UNITS 91232N108 5,850 150,000 SH PUT DEFINED 0 150,000 0 0 VERSO PAPER CORP COM 92531L108 3,585 1,048,274 SH SOLE 0 1,048,274 0 0 VERTEX PHARMACEUTICALS INC COM 92532F100 315 9,000 SH PUT SOLE 0 9,000 0 0 WARNER CHILCOTT PLC IRELAND SHS A G94368100 352 15,600 SH SOLE 0 15,600 0 0 WELLPOINT INC COM 94973V107 1,137 20,000 SH SOLE 0 20,000 0 0 WHITING PETE CORP NEW COM 966387102 352 3,000 SH DEFINED 0 3,000 0 0
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