-----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, U+X4ysJBRbI9KABLlWnIdAA73+ODj3QtPQ4g5cvSlQxaX3vVyGJFCItIqEiVEVAG 7p6ODfIAycuxgaaQ5QhkbA== 0000909518-11-000083.txt : 20110214 0000909518-11-000083.hdr.sgml : 20110214 20110214140041 ACCESSION NUMBER: 0000909518-11-000083 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ulysses ManagementLLC CENTRAL INDEX KEY: 0001510912 IRS NUMBER: 133948950 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14306 FILM NUMBER: 11605582 BUSINESS ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 BUSINESS PHONE: 212-455-6200 MAIL ADDRESS: STREET 1: ONE ROCKEFELLER PLAZA STREET 2: 20TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10020 13F-HR 1 mv12-3110_um13fhr.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: 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: Ulysses Management LLC Address: One Rockefeller Plaza, 20th Floor New York, NY 10020 Form 13F File Number: 28- 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: Joshua Nash Title: President Phone: (212) 455-6200 Signature, Place, and Date of Signing: Joshua Nash New York, New York February 14, 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 manager(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).) FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 ----------- Form 13F Information Table Entry Total: 96 ----------- Form 13F Information Table Value Total: 317,194 ----------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. NONE
ULYSSES MANAGEMENT LLC S.E.C. FORM 13F FOR QUARTER ENDED DECEMBER 31, 2010 ITEM 6: INVESTMENT DISCRETION ITEM 4: ITEM 5: (b) Shares ITEM 7: ITEM 8: ITEM 2: ITEM 3: Fair Shares or as Defined Managers VOTING AUTHORITY SHARES ITEM 1: Title of Cusip Market Principal in (c) Shared See Name of Issuer Class Number Value Amount (a) Sole Instr. V Other Instr. V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ ENSTAR GROUP LTD SHS G3075P101 270,656 3,200 SHARES X X ENSTAR GROUP LTD SHS G3075P101 67,664 800 SHARES X X INGERSOLL RAND SHS G47791101 1,883,600 40,000 SHARES X X INGERSOLL RAND SHS G47791101 470,900 10,000 SHARES X X FOSTER WHEELER COM H27178104 552,320 16,000 SHARES X X FOSTER WHEELER COM H27178104 138,080 4,000 SHARES X X AMR CORP COM 001765106 623,200 80,000 SHARES X X AMR CORP COM 001765106 155,800 20,000 SHARES X X AMERICA ONLINE COM 00184X105 379,360 16,000 SHARES X X AMERICA ONLINE COM 00184X105 94,840 4,000 SHARES X X ABOVENET COM 00374N107 12,786,254 218,718 SHARES X X ABOVENET COM 00374N107 1,237,657 21,171 SHARES X X ALUM CO OF AMERICA COM 013817101 923,400 60,000 SHARES X X ALUM CO OF AMERICA COM 013817101 230,850 15,000 SHARES X X AMERICAN EXPRESS COM 025816109 1,716,800 40,000 SHARES X X AMERICAN EXPRESS COM 025816109 429,200 10,000 SHARES X X APPLE INC COM 037833100 1,612,800 5,000 CALL X X AVATAR HOLDINGS COM 053494100 1,005,468 50,730 SHARES X X BANK OF AMERICA CORPORATION COM 060505104 333,500 25,000 CALL X X BROADCOM CORP CL A 111320107 435,500 10,000 CALL X X CISCO SYSTEMS INC COM 17275R102 1,618,400 80,000 SHARES X X CISCO SYSTEMS INC COM 17275R102 1,972,425 97,500 SHARES X X COCA-COLA ENTERP INC COM 19122T109 450,540 18,000 SHARES X X COCA-COLA ENTERP INC COM 19122T109 112,635 4,500 SHARES X X COINSTAR COM 19259P300 586,976 10,400 SHARES X X COINSTAR COM 19259P300 146,744 2,600 SHARES X X COMCAST CORP. CL A CL A 20030N101 2,021,240 92,000 SHARES X X COMCAST CORP. CL A CL A 20030N101 505,310 23,000 SHARES X X CONSOL ENERGY INC. COM 20854P109 1,169,760 24,000 SHARES X X CONSOL ENERGY INC. COM 20854P109 292,440 6,000 SHARES X X DISCOVER FINL SVCS COM 254709108 1,482,400 80,000 CALL X X DISCOVER FINL SVCS COM 254709108 374,306 20,200 CALL X X EMCOR GROUP COM 29084Q100 1,593,900 55,000 SHARES X X EMCOR GROUP COM 29084Q100 434,700 15,000 SHARES X X FIDELITY NATIONAL FINANCIAL CL A 31620R105 5,526,720 404,000 SHARES X X FIDELITY NATIONAL FINANCIAL CL A 31620R105 1,395,360 102,000 SHARES X X FLOWSERVE COM 34354P105 2,384,400 20,000 SHARES X X FLOWSERVE COM 34354P105 596,100 5,000 SHARES X X GENERAL CABLE CORP COM 369300108 561,440 16,000 SHARES X X GENERAL CABLE CORP COM 369300108 140,360 4,000 SHARES X X GENERAL ELECTRIC COM 369604103 502,975 27,500 SHARES X X HALLIBURTON CO. COM 406216101 2,286,480 56,000 SHARES X X HALLIBURTON CO. COM 406216101 571,620 14,000 SHARES X X HERITAGE COMMERCE CORP COM 426927109 104,175 23,150 SHARES X X HERITAGE COMMERCE CORP COM 426927109 26,730 5,940 SHARES X X HERITAGE OAKS BANCORP COM 42724R107 185,197 56,291 SHARES X X HERITAGE OAKS BANCORP COM 42724R107 46,290 14,070 SHARES X X IESI-BFC LTD. COM 44951D108 1,178,550 48,500 SHARES X X IESI-BFC LTD. COM 44951D108 522,450 21,500 SHARES X X RUSSELL ISHARES TR 2000 464287655 39,120,000 500,000 PUT X X RUSSELL ISHARES TR 2000 464287655 9,780,000 125,000 PUT X X J.P.MORGAN COM 46625H100 318,150 7,500 SHARES X X JOHNSON & JOHNSON COM 478160104 4,886,150 79,000 SHARES X X JOHNSON & JOHNSON COM 478160104 1,237,000 20,000 SHARES X X LIBERTY LIB STAR MEDIA CORP COM A 53071M708 797,760 12,000 SHARES X X LIBERTY LIB STAR MEDIA CORP COM A 53071M708 199,440 3,000 SHARES X X ULYSSES MANAGEMENT LLC S.E.C. FORM 13F FOR QUARTER ENDED DECEMBER 31, 2010 ITEM 6: INVESTMENT DISCRETION ITEM 4: ITEM 5: (b) Shares ITEM 7: ITEM 8: ITEM 2: ITEM 3: Fair Shares or as Defined Managers VOTING AUTHORITY SHARES ITEM 1: Title of Cusip Market Principal in (c) Shared See Name of Issuer Class Number Value Amount (a) Sole Instr. V Other Instr. V (a) Sole (b) Shared (c) None - ------------------------------------------------------------------------------------------------------------------------------------ LOCKHEED MARTIN COM 539830109 6,991,000 100,000 SHARES X X LOCKHEED MARTIN COM 539830109 1,747,750 25,000 SHARES X X MEADOWBROOK INSURANCE GROUP COM 58319P108 310,575 30,300 SHARES X X MEADOWBROOK INSURANCE GROUP COM 58319P108 79,950 7,800 SHARES X X MDCO HEALTH SOLUTIONS COM 58405U102 980,320 16,000 SHARES X X MDCO HEALTH SOLUTIONS COM 58405U102 245,080 4,000 SHARES X X MICROSOFT CORP COM 594918104 15,936,610 571,000 SHARES X X MICROSOFT CORP COM 594918104 4,088,815 146,500 SHARES X X MICRON TECHNOLOGY INC COM 595112103 641,600 80,000 CALL X X MICRON TECHNOLOGY INC COM 595112103 160,400 20,000 CALL X X NORTH VALLEY BANCORP COM 66304M105 2,149,969 240,220 SHARES X X NORTH VALLEY BANCORP COM 66304M105 537,412 60,046 SHARES X X ORACLE CORP COM 68389X105 1,458,580 46,600 SHARES X X ORACLE CORP COM 68389X105 419,420 13,400 SHARES X X ORACLE CORP COM 68389X105 313,000 10,000 CALL X X OWENS CORNING INC COM 690742101 1,869,000 60,000 SHARES X X OWENS CORNING INC COM 690742101 467,250 15,000 SHARES X X RANGE RESOURCES COM 75281A109 719,680 16,000 SHARES X X RANGE RESOURCES COM 75281A109 179,920 4,000 SHARES X X RAYTHEON COM NEW 755111507 1,853,600 40,000 SHARES X X RAYTHEON COM NEW 755111507 463,400 10,000 SHARES X X SPDR S&P 500 ETF TR TR UNIT 78462F103 118,833,750 945,000 PUT X X SPDR S&P 500 ETF TR TR UNIT 78462F103 29,551,250 235,000 PUT X X SELECT SECTOR SBI SPDR TR INTL-FINL 81369Y605 398,750 25,000 SHARES X X SELECT SECTOR SPDR TR COM 81369Y605 1,276,000 80,000 CALL X X SELECT SECTOR SPDR TR COM 81369Y605 319,000 20,000 CALL X X SONUS NETWORKS COM 835916107 640,800 240,000 SHARES X X SONUS NETWORKS COM 835916107 160,200 60,000 SHARES X X TIME WARNER CABLE COM 88732J207 1,320,600 20,000 SHARES X X TIME WARNER CABLE COM 88732J207 330,150 5,000 SHARES X X URS CORP COM 903236107 1,943,187 46,700 SHARES X X URS CORP COM 903236107 553,413 13,300 SHARES X X VODAFONE SPONS GROUP PLC ADR NEW 92857W209 581,680 22,000 SHARES X X VODAFONE SPONS GROUP PLC ADR NEW 92857W209 145,420 5,500 SHARES X X WAL MART STORES COM 931142103 555,479 10,300 SHARES X X WAL MART STORES COM 931142103 145,611 2,700 SHARES X X WEST COAST BANCORP/OREGON COM 952145100 4,928,616 1,747,736 SHARES X X WEST COAST BANCORP/OREGON COM 952145100 1,643,127 582,669 SHARES X X WHIRLPOOL COM 963320106 1,421,280 16,000 SHARES X X WHIRLPOOL COM 963320106 355,320 4,000 SHARES X X
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