0000909518-11-000288.txt : 20110815 0000909518-11-000288.hdr.sgml : 20110815 20110815140633 ACCESSION NUMBER: 0000909518-11-000288 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110815 DATE AS OF CHANGE: 20110815 EFFECTIVENESS DATE: 20110815 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: 111035094 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 mm08-1511ulysses_13fhr.txt FOR QTR. ENDED 6/30/11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 ------------------- 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: 28-14306 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 August 15, 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: 102 ----------- Form 13F Information Table Value Total: 304,340 ----------- (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 JUNE, 2011 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 83,592 800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ENSTAR GROUP LTD SHS G3075P101 334,368 3,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ INGERSOLL RAND PLC SHS G47791101 449,559 9,900 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ INGERSOLL RAND PLC SHS G47791101 1,820,941 40,100 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ TE CONNECTIVITY REG LTD SHS H84989104 397,008 10,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ TE CONNECTIVITY REG LTD SHS H84989104 1,992,392 54,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ AK STEEL HLDG CORP COM 001547108 133,960 8,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ AK STEEL HLDG CORP COM 001547108 654,040 41,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ABOVENET COM 00374N107 1,604,445 22,771 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ABOVENET COM 00374N107 13,098,514 185,900 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ AKAMAI TECHNOLOGIES INC. COM 00971T101 25,176 800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ AKAMAI TECHNOLOGIES INC. COM 00971T101 132,174 4,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ANHEUSER SPONSORED BUSCH CO. ADR 03524A108 1,821,514 31,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ANHEUSER SPONSORED BUSCH CO. ADR 03524A108 8,776,913 151,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ AVATAR HOLDINGS(144) COM 053494100 782,326 51,435 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ BLUE COAT COM SYSTEMS NEW 09534T508 148,648 6,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ BLUE COAT COM SYSTEMS NEW 09534T508 725,752 33,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ BOOZ ALLEN HAMILTON HLDG CL A 099502106 164,346 8,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ BOOZ ALLEN HAMILTON HLDG CL A 099502106 810,264 42,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ CISCO SYSTEMS INC COM 17275R102 1,209,775 77,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ COINSTAR INC COM 19259P300 147,258 2,700 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ COINSTAR INC COM 19259P300 643,572 11,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ COMCAST CORP. CL A CL A 20030N101 519,470 20,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ COMCAST CORP. CL A CL A 20030N101 2,014,530 79,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ DANA HOLDING CORP COM 235825205 201,300 11,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ DANA HOLDING CORP COM 235825205 988,200 54,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ DEERE & CO. COM 244199105 57,715 700 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ DEERE & CO. COM 244199105 272,085 3,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ EXPEDIA INC. COM 30212P105 2,791,737 96,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ EXPEDIA INC. COM 30212P105 13,080,288 451,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ FLOWSERVE CORP COM 34354P105 373,626 3,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ FLOWSERVE CORP COM 34354P105 1,274,724 11,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ FORD COM MOTOR PAR CO $0.01 345370860 210,987 15,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ FORD COM MOTOR PAR CO $0.01 345370860 1,032,871 74,900 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ FREEPORT MCMORAN COM 35671D857 4,496,500 85,000 CALL X X ------------------------------------------------------------------------------------------------------------------------------------ FREEPORT MCMORAN COM 35671D857 793,500 15,000 CALL X X ------------------------------------------------------------------------------------------------------------------------------------ HERITAGE OAKS BANCORP COM 42724R107 189,240 49,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ HERITAGE OAKS BANCORP COM 42724R107 893,760 235,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ INTERDIGITAL COM 45867G101 65,360 1,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ INTERDIGITAL COM 45867G101 343,140 8,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ INTERDIGITAL COM 45867G101 510,625 12,500 CALL X X ------------------------------------------------------------------------------------------------------------------------------------ INTERDIGITAL COM 45867G101 102,125 2,500 CALL X X ------------------------------------------------------------------------------------------------------------------------------------ INTL BUSINESS MACHIN COM 459200101 85,775 500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ INTL BUSINESS MACHIN COM 459200101 428,875 2,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ISHARES RUSSELL TR 2000 464287655 5,150,160 62,200 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ ISHARES RUSSELL TR 2000 464287655 1,059,840 12,800 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ J.P.MORGAN CHASE & CO COM 46625H100 1,568,002 38,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ J.P.MORGAN CHASE & CO COM 46625H100 7,500,208 183,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ JOHNSON & JOHNSON COM 478160104 1,330,400 20,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ JOHNSON & JOHNSON COM 478160104 5,255,080 79,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ KEYCORP COM 493267108 176,596 21,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------
ULYSSES MANAGEMENT LLC S.E.C. FORM 13F FOR QUARTER ENDED JUNE, 2011 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 ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ KEYCORP COM 493267108 864,654 103,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ LOCKHEED MARTIN CORP COM 39830109 1,941,256 23,975 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ LOCKHEED MARTIN CORP COM 539830109 7,667,859 94,700 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ MEADOWBROOK INSURANCE GROUP COM 58319P108 77,298 7,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ MEADOWBROOK INSURANCE GROUP COM 58319P108 300,273 30,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ METROPOLITAN LIFE COM 59156R108 293,929 6,700 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ METROPOLITAN LIFE COM 59156R108 1,460,871 33,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ MICROSOFT CORP COM 594918104 3,543,800 136,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ MICROSOFT CORP COM 594918104 14,331,200 551,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ MOVE INC COM 62458M108 28,032 12,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ MOVE INC COM 62458M108 136,218 62,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ NORTH VALLEY COM BANCORP NEW 66304M204 651,040 62,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ NORTH VALLEY COM BANCORP NEW 66304M204 2,650,960 254,900 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ORACLE CORP COM 68389X105 523,269 15,900 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ ORACLE CORP COM 68389X105 1,944,981 59,100 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ OWENS CORNING INC COM 690742101 347,355 9,300 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ OWENS CORNING INC COM 690742101 1,146,645 30,700 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ PREFERRED BANK LA COM 740367404 131,328 18,240 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ PREFERRED BANK LA COM 740367404 656,352 91,160 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ PROGRESSIVE WASTE SOLUTIONS LT COM 74339G101 610,050 24,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ PROGRESSIVE WASTE SOLUTIONS LT COM 74339G101 1,630,950 65,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ POWERSHARES UNIT QQQ SER TRUST 1 73935A104 14,205,450 249,000 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ POWERSHARES UNIT QQQ SER TRUST 1 73935A104 2,909,550 51,000 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ RAYTHEON COM NEW 755111507 324,025 6,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ RAYTHEON COM NEW 55111507 1,171,475 23,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ SPDR S&P 500 TR ETR TR UNIT 78462F103 81,860,991 620,300 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ SPDR S&P 500 TR ETR TR UNIT 78462F103 16,588,629 125,700 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ SPDR S&P MIDCAP 400 UTSER1 ETF TR S&PDCRP 78467Y107 29,456,700 166,000 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ SPDR S&P MIDCAP 400 UTSER1 ETF TR S&PDCRP 78467Y107 6,033,300 34,000 PUT X X ------------------------------------------------------------------------------------------------------------------------------------ SELECT SBI SECTOR INT- SPDR TR FINL 81369Y605 64,470 4,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ SELECT SBI SECTOR INT- SPDR TR FINL 81369Y605 319,280 20,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ SONUS NETWORKS COM 835916107 248,184 76,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ SONUS NETWORKS COM 835916107 1,047,816 323,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ SPRINT NEXTEL COM CORP SER 1 852061100 157,388 29,200 CALL X X ------------------------------------------------------------------------------------------------------------------------------------ SPRINT NEXTEL COM CORP SER 1 852061100 31,262 5,800 CALL X X ------------------------------------------------------------------------------------------------------------------------------------ STAPLES COM 855030102 771,040 48,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ STAPLES COM 855030102 3,810,960 241,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ STEEL DYNAMICS INC COM 858119100 123,500 7,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ STEEL DYNAMICS INC COM 858119100 607,750 37,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ TIME WARNER CABLE COM 88732J207 390,200 5,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ TIME WARNER CABLE COM 88732J207 1,560,800 20,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ UNITED RENTALS INC COM 911363109 172,720 6,800 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ UNITED RENTALS INC COM 911363109 843,280 33,200 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ URS CORP COM 903236107 514,510 11,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ URS CORP COM 903236107 1,722,490 38,500 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ VODAFONE SPONS GROUP ADR PLC NEW 92857W209 203,072 7,600 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ VODAFONE SPONS GROUP ADR PLC NEW 92857W209 865,728 32,400 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ WAL MART STORES INC COM 931142103 159,420 3,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ WAL MART STORES INC COM 931142103 637,680 12,000 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ WEST COAST COM BANCORP/OREGON NEW 952145209 1,965,160 117,253 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------ WEST COAST COM BANCORP/OREGON NEW 952145209 5,912,040 352,747 SHARES X X ------------------------------------------------------------------------------------------------------------------------------------