0001140361-14-042097.txt : 20141114
0001140361-14-042097.hdr.sgml : 20141114
20141114140202
ACCESSION NUMBER: 0001140361-14-042097
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141114
DATE AS OF CHANGE: 20141114
EFFECTIVENESS DATE: 20141114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Ulysses Management LLC
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: 141222758
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
FORMER COMPANY:
FORMER CONFORMED NAME: Ulysses ManagementLLC
DATE OF NAME CHANGE: 20110124
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001510912
XXXXXXXX
09-30-2014
09-30-2014
Ulysses Management LLC
ONE ROCKEFELLER PLAZA
20TH FLOOR
NEW YORK
NY
10020
13F HOLDINGS REPORT
028-14306
N
Joshua Nash
Member
(212) 455-6200
/s/ Joshua Nash
New York
NY
11-14-2014
0
104
784247
false
INFORMATION TABLE
2
form13fInfoTable.xml
ENSCO PLC NEW CLASS A ORD
SHS CLASS A
G3157S106
144585
3500
SH
DFND
0
3500
0
ENSCO PLC NEW CLASS A ORD
SHS CLASS A
G3157S106
888165
21500
SH
SOLE
21500
0
0
ROWAN COMPANIES LTD
SHS CL A
G7665A101
141736
5600
SH
DFND
0
5600
0
ROWAN COMPANIES LTD
SHS CL A
G7665A101
870664
34400
SH
SOLE
34400
0
0
CONSTELLIUM
CL A
N22035104
204263
8300
SH
DFND
0
8300
0
CONSTELLIUM
CL A
N22035104
1272337
51700
SH
SOLE
51700
0
0
ALLY FINL INC
COM
02005N100
6170350
266653
SH
SOLE
266653
0
0
AV HOMES INC
COM
00234P102
1986467
135595
SH
SOLE
135595
0
0
AMERICAN INTL GROUP
COM NEW
026874784
2587558
47900
SH
DFND
0
47900
0
AMERICAN INTL GROUP
COM NEW
026874784
15757634
291700
SH
SOLE
291700
0
0
ANHEUSER BUSCH CO.
SPONSORED ADR
03524A108
2272425
20500
SH
DFND
0
20500
0
ANHEUSER BUSCH CO.
SPONSORED ADR
03524A108
14022525
126500
SH
SOLE
126500
0
0
APPLE COMPUTER INC
COM
037833100
423150
4200
SH
Call
DFND
0
4200
0
APPLE COMPUTER INC
COM
037833100
2599350
25800
SH
Call
SOLE
25800
0
0
BANK OF CALIFORNIA INC
COM
05990K106
293076
25200
SH
DFND
0
25200
0
BANK OF CALIFORNIA INC
COM
05990K106
1800324
154800
SH
SOLE
154800
0
0
CALLAWAY GOLF CO
COM
131193104
432952
59800
SH
DFND
0
59800
0
CALLAWAY GOLF CO
COM
131193104
2607848
360200
SH
SOLE
360200
0
0
CISCO SYSTEMS INC
COM
17275R102
27687
1100
SH
DFND
0
1100
0
CISCO SYSTEMS INC
COM
17275R102
176190
7000
SH
Call
DFND
0
7000
0
CISCO SYSTEMS INC
COM
17275R102
161088
6400
SH
SOLE
6400
0
0
CISCO SYSTEMS INC
COM
17275R102
1082310
43000
SH
Call
SOLE
43000
0
0
CITIGROUP INC
COM NEW
172967424
2653184
51200
SH
DFND
0
51200
0
CITIGROUP INC
COM NEW
172967424
15727370
303500
SH
SOLE
303500
0
0
COGENT COMMUNICATIONS HLDGS
COM NEW
19239V302
2068796
61553
SH
DFND
0
61553
0
COGENT COMMUNICATIONS HLDGS
COM NEW
19239V302
12714663
378300
SH
SOLE
378300
0
0
WTS COMERICA EXP 11/14/18
*W EXP 11/14/2018
200340115
1714372
82900
SH
DFND
0
82900
0
WTS COMERICA EXP 11/14/18
*W EXP 11/14/2018
200340115
8625628
417100
SH
SOLE
417100
0
0
CROWN HOLDINGS INC
COM
228368106
1807512
40600
SH
DFND
0
40600
0
CROWN HOLDINGS INC
COM
228368106
11103288
249400
SH
SOLE
249400
0
0
DOW CHEM CO
COM
260543103
1221852
23300
SH
DFND
0
23300
0
DOW CHEM CO
COM
260543103
7509408
143200
SH
SOLE
143200
0
0
EBAY INC
COM
278642103
390747
6900
SH
DFND
0
6900
0
EBAY INC
COM
278642103
2440753
43100
SH
SOLE
43100
0
0
EBIX INC
COM NEW
278715206
1627864
114800
SH
Put
DFND
0
114800
0
EBIX INC
COM NEW
278715206
10008244
705800
SH
Put
SOLE
705800
0
0
ERICSSON
ADR B SEK 10
294821608
220325
17500
SH
DFND
0
17500
0
ERICSSON
ADR B SEK 10
294821608
1353425
107500
SH
SOLE
107500
0
0
FIRST SECURITY GROUP INC
COM NEW
336312202
1722600
870000
SH
DFND
0
870000
0
FIRST SECURITY GROUP INC
COM NEW
336312202
10157400
5130000
SH
SOLE
5130000
0
0
GENERAL ELECTRIC
COM
369604103
286944
11200
SH
DFND
0
11200
0
GENERAL ELECTRIC
COM
369604103
1762656
68800
SH
SOLE
68800
0
0
GOOGLE INC CL A
CL A
38259P508
823774
1400
SH
Call
DFND
0
1400
0
GOOGLE INC CL A
CL A
38259P508
5060326
8600
SH
Call
SOLE
8600
0
0
HUDSON VALLEY HLDG CO
COM
444172100
1122088
61823
SH
DFND
0
61823
0
HUDSON VALLEY HLDG CO
COM
444172100
6137912
338177
SH
SOLE
338177
0
0
IAC INTERACTIVECORP
COM PAR $.001
44919P508
2227156
33796
SH
DFND
0
33796
0
IAC INTERACTIVECORP
COM PAR $.001
44919P508
2306500
35000
SH
Call
DFND
0
35000
0
IAC INTERACTIVECORP
COM PAR $.001
44919P508
13133870
199300
SH
SOLE
199300
0
0
IAC INTERACTIVECORP
COM PAR $.001
44919P508
14168500
215000
SH
Call
SOLE
215000
0
0
INTERDIGITAL INC
COM
45867G101
2154262
54100
SH
DFND
0
54100
0
INTERDIGITAL INC
COM
45867G101
557480
14000
SH
Call
DFND
0
14000
0
INTERDIGITAL INC
COM
45867G101
12579138
315900
SH
SOLE
315900
0
0
INTERDIGITAL INC
COM
45867G101
3424520
86000
SH
Call
SOLE
86000
0
0
INTERMOUNTAIN COMNTY BANCORP
COM NEW
45881M308
765379
40842
SH
DFND
0
40842
0
INTERMOUNTAIN COMNTY BANCORP
COM NEW
45881M308
4107021
219158
SH
SOLE
219158
0
0
INTRALINKS HLDG
COM
46118H104
1773017
218891
SH
DFND
0
218891
0
INTRALINKS HLDG
COM
46118H104
10866960
1341600
SH
SOLE
1341600
0
0
ISHARESRUT2000
RUSSELL 2000 ETF
464287655
15921360
145600
SH
Put
DFND
0
145600
0
ISHARESRUT2000
RUSSELL 2000 ETF
464287655
97802640
894400
SH
Put
SOLE
894400
0
0
LAMAR ADVERTISING CO.
CL A
512815101
482650
9800
SH
DFND
0
9800
0
LAMAR ADVERTISING CO.
CL A
512815101
2964850
60200
SH
SOLE
60200
0
0
MICROSOFT CORP
COM
594918104
2498804
53900
SH
DFND
0
53900
0
MICROSOFT CORP
COM
594918104
15539872
335200
SH
SOLE
335200
0
0
MICRON TECHNOLOGY
COM
595112103
191856
5600
SH
Call
DFND
0
5600
0
MICRON TECHNOLOGY
COM
595112103
1178544
34400
SH
Call
SOLE
34400
0
0
MOVE INC
COM NEW
62458M207
4512059
215270
SH
DFND
0
215270
0
MOVE INC
COM NEW
62458M207
26840747
1280570
SH
SOLE
1280570
0
0
NORTH VALLEY BANCORP
COM NEW
66304M204
1058046
49029
SH
DFND
0
49029
0
NORTH VALLEY BANCORP
COM NEW
66304M204
3881508
179866
SH
SOLE
179866
0
0
PENNYMAC MTG INVT TR
COM
70931T103
210014
9800
SH
DFND
0
9800
0
PENNYMAC MTG INVT TR
COM
70931T103
1290086
60200
SH
SOLE
60200
0
0
PEPSICO INC
COM
713448108
139635
1500
SH
DFND
0
1500
0
PEPSICO INC
COM
713448108
6423210
69000
SH
Call
DFND
0
69000
0
PEPSICO INC
COM
713448108
791265
8500
SH
SOLE
8500
0
0
PEPSICO INC
COM
713448108
39498087
424300
SH
Call
SOLE
424300
0
0
POPULAR INC
COM NEW
733174700
535718
18200
SH
DFND
0
18200
0
POPULAR INC
COM NEW
733174700
3290834
111800
SH
SOLE
111800
0
0
PROCTOR GAMBLE
COM
742718109
100488
1200
SH
DFND
0
1200
0
PROCTOR GAMBLE
COM
742718109
527562
6300
SH
SOLE
6300
0
0
REPUBLIC FIRST BANCORP
COM
760416107
843741
216900
SH
DFND
0
216900
0
REPUBLIC FIRST BANCORP
COM
760416107
5185759
1333100
SH
SOLE
1333100
0
0
RUCKUS WIRELESS
COM
781220108
140280
10500
SH
DFND
0
10500
0
RUCKUS WIRELESS
COM
781220108
861720
64500
SH
SOLE
64500
0
0
S&P DEP.
TR UNIT
78462F103
33729824
171200
SH
Put
DFND
0
171200
0
S&P DEP.
TR UNIT
78462F103
207127126
1051300
SH
Put
SOLE
1051300
0
0
SHUTTERFLY INC
COM
82568P304
4912992
100800
SH
DFND
0
100800
0
SHUTTERFLY INC
COM
82568P304
2553976
52400
SH
Call
DFND
0
52400
0
SHUTTERFLY INC
COM
82568P304
29351228
602200
SH
SOLE
602200
0
0
SHUTTERFLY INC
COM
82568P304
15679658
321700
SH
Call
SOLE
321700
0
0
SIERRA BANCORP
COM
82620P102
298328
17800
SH
DFND
0
17800
0
SIERRA BANCORP
COM
82620P102
1813432
108200
SH
SOLE
108200
0
0
SYMANTEC
COM
871503108
82285
3500
SH
Call
DFND
0
3500
0
SYMANTEC
COM
871503108
505465
21500
SH
Call
SOLE
21500
0
0
T-MOBILE US INC
COM
872590104
1075408
37250
SH
DFND
0
37250
0
T-MOBILE US INC
COM
872590104
404180
14000
SH
Call
DFND
0
14000
0
T-MOBILE US INC
COM
872590104
6422132
222450
SH
SOLE
222450
0
0
T-MOBILE US INC
COM
872590104
2482820
86000
SH
Call
SOLE
86000
0
0
3D SYSTEMS CORP
COM NEW
88554D205
278220
6000
SH
Put
DFND
0
6000
0
3D SYSTEMS CORP
COM NEW
88554D205
1738875
37500
SH
Put
SOLE
37500
0
0
TIME WARNER INC
COM NEW
887317303
842352
11200
SH
DFND
0
11200
0
TIME WARNER INC
COM NEW
887317303
5174448
68800
SH
SOLE
68800
0
0
WALGREEN CO.
COM
931422109
397109
6700
SH
DFND
0
6700
0
WALGREEN CO.
COM
931422109
2418216
40800
SH
SOLE
40800
0
0