0000919574-12-000958.txt : 20120214
0000919574-12-000958.hdr.sgml : 20120214
20120213194132
ACCESSION NUMBER: 0000919574-12-000958
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20111231
FILED AS OF DATE: 20120214
DATE AS OF CHANGE: 20120213
EFFECTIVENESS DATE: 20120214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Espalier Global Management LLC
CENTRAL INDEX KEY: 0001533327
IRS NUMBER: 000000000
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-14742
FILM NUMBER: 12601679
BUSINESS ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, SUITE 4110
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-339-3981
MAIL ADDRESS:
STREET 1: 599 LEXINGTON AVENUE, SUITE 4110
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
d1265120_13f-hr.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, 2011
Check here if Amendment: |_|; Amendment Number:
This Amendment (Check only one): |_| is a restatement
|_| adds new holding entries.
Institutional Manager Filing this Report:
Name: Espalier Global Management LLC
Address: 599 Lexington Avenue
Suite 4110
New York, New York 10022
13F File Number: XXX-XXXXX
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: Wojciech Uzdelewicz
Title: Managing Principal
Phone: 212-339-7448
Signature, Place and Date of Signing:
/s/Wojciech Uzdelewicz New York, New York February 14, 2012
----------------------- -------------------------- ----------------------
[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 managers(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: 1
Form 13F Information Table Entry Total: 106
Form 13F Information Table Value Total: $212,636
(in 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.
No. Form 13F File Number Name
--- -------------------- ----
1 XXX-XXXXX Espalier Global Master Fund, Ltd.
FORM 13F INFORMATION TABLE
Espalier Global Management LLC
December 31, 2011
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8
TITLE OF VALUE SHS OR SH/ PUT/ INVESTMENT OTHR VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE
ADA ES INC COM 005208103 7,071 312,304 SH SHARED-DEFINED 1 312,304
ADA ES INC COM 005208103 765 33,774 SH SOLE 33,774
AKAMAI TECHNOLOGIES INC COM 00971T101 2,236 69,275 SH SHARED-DEFINED 1 69,275
AKAMAI TECHNOLOGIES INC COM 00971T101 185 5,725 SH SOLE 5,725
ALPHA NATURAL RESOURCES INC COM 02076X102 2,076 101,622 SH SHARED-DEFINED 1 101,622
ALPHA NATURAL RESOURCES INC COM 02076X102 171 8,378 SH SOLE 8,378
AMERICAN EXPRESS CO COM 025816109 8,405 178,193 SH SHARED-DEFINED 1 178,193
AMERICAN EXPRESS CO COM 025816109 862 18,265 SH SOLE 18,265
AMERICAN EXPRESS CO COM 025816109 2,179 46,200 CALL SHARED-DEFINED 1 46,200
AMERICAN EXPRESS CO COM 025816109 179 3,800 CALL SOLE 3,800
AMERICAN EXPRESS CO COM 025816109 2,179 46,200 PUT SHARED-DEFINED 1 46,200
AMERICAN EXPRESS CO COM 025816109 179 3,800 PUT SOLE 3,800
APPLE INC COM 037833100 25,647 63,327 SH SHARED-DEFINED 1 63,327
APPLE INC COM 037833100 2,136 5,273 SH SOLE 5,273
APPLIED MATLS INC COM 038222105 1,978 184,729 SH SHARED-DEFINED 1 184,729
APPLIED MATLS INC COM 038222105 164 15,271 SH SOLE 15,271
ASPEN TECHNOLOGY INC COM 045327103 3,052 175,884 SH SHARED-DEFINED 1 175,884
ASPEN TECHNOLOGY INC COM 045327103 332 19,107 SH SOLE 19,107
BANK OF AMERICA CORPORATION COM 060505104 5,136 923,797 SH SHARED-DEFINED 1 923,797
BANK OF AMERICA CORPORATION COM 060505104 424 76,203 SH SOLE 76,203
BLOCK H & R INC COM 093671105 2,262 138,547 SH SHARED-DEFINED 1 138,547
BLOCK H & R INC COM 093671105 187 11,453 SH SOLE 11,453
CADENCE DESIGN SYSTEM INC COM 127387108 3,664 352,306 SH SHARED-DEFINED 1 352,306
CADENCE DESIGN SYSTEM INC COM 127387108 389 37,411 SH SOLE 37,411
CAPITAL ONE FINL CORP COM 14040H105 3,906 92,365 SH SHARED-DEFINED 1 92,365
CAPITAL ONE FINL CORP COM 14040H105 323 7,635 SH SOLE 7,635
CITIGROUP INC COM NEW 172967424 3,281 124,717 SH SHARED-DEFINED 1 124,717
CITIGROUP INC COM NEW 172967424 271 10,283 SH SOLE 10,283
COMCAST CORP NEW CL A 20030N101 3,989 169,315 SH SHARED-DEFINED 1 169,315
COMCAST CORP NEW CL A 20030N101 329 13,985 SH SOLE 13,985
DIGITAL RIV INC COM 25388B104 1,319 87,783 SH SHARED-DEFINED 1 87,783
DIGITAL RIV INC COM 25388B104 108 7,217 SH SOLE 7,217
DOLLAR GEN CORP NEW COM 256677105 3,041 73,921 SH SHARED-DEFINED 1 73,921
DOLLAR GEN CORP NEW COM 256677105 250 6,079 SH SOLE 6,079
EBAY INC COM 278642103 10,635 350,647 SH SHARED-DEFINED 1 350,647
EBAY INC COM 278642103 981 32,353 SH SOLE 32,353
ELECTRONIC ARTS INC COM 285512109 2,500 121,367 SH SHARED-DEFINED 1 121,367
ELECTRONIC ARTS INC COM 285512109 207 10,028 SH SOLE 10,028
ENTROPIC COMMUNICATIONS INC COM 29384R105 118 23,092 SH SHARED-DEFINED 1 23,092
ENTROPIC COMMUNICATIONS INC COM 29384R105 10 1,908 SH SOLE 1,908
EXELIS INC COM 30162A108 1,652 182,511 SH SHARED-DEFINED 1 182,511
EXELIS INC COM 30162A108 186 20,528 SH SOLE 20,528
FUEL SYS SOLUTIONS INC COM 35952W103 1,686 102,242 SH SHARED-DEFINED 1 102,242
FUEL SYS SOLUTIONS INC COM 35952W103 174 10,558 SH SOLE 10,558
FUSION-IO INC COM 36112J107 1,565 64,659 SH SHARED-DEFINED 1 64,659
FUSION-IO INC COM 36112J107 129 5,341 SH SOLE 5,341
GOLAR LNG LTD BERMUDA SHS G9456A100 1,845 41,507 SH SHARED-DEFINED 1 41,507
GOLAR LNG LTD BERMUDA SHS G9456A100 197 4,443 SH SOLE 4,443
GOOGLE INC CL A 38259P508 8,949 13,855 SH SHARED-DEFINED 1 13,855
GOOGLE INC CL A 38259P508 740 1,145 SH SOLE 1,145
HOME DEPOT INC COM 437076102 10,233 243,415 SH SHARED-DEFINED 1 243,415
HOME DEPOT INC COM 437076102 1,034 24,585 SH SOLE 24,585
ILLUMINA INC COM 452327109 3,017 98,997 SH SHARED-DEFINED 1 98,997
ILLUMINA INC COM 452327109 247 8,103 SH SOLE 8,103
ILLUMINA INC COM 452327109 2,009 65,900 CALL SHARED-DEFINED 1 65,900
ILLUMINA INC COM 452327109 165 5,400 CALL SOLE 5,400
INVENSENSE INC COM 46123D205 783 78,651 SH SHARED-DEFINED 1 78,651
INVENSENSE INC COM 46123D205 69 6,951 SH SOLE 6,951
LAM RESEARCH CORP COM 512807108 1,197 32,328 SH SHARED-DEFINED 1 32,328
LAM RESEARCH CORP COM 512807108 99 2,672 SH SOLE 2,672
MBIA INC COM 55262C100 5,183 447,237 SH SHARED-DEFINED 1 447,237
MBIA INC COM 55262C100 426 36,764 SH SOLE 36,764
NCR CORP NEW COM 62886E108 1,885 114,530 SH SHARED-DEFINED 1 114,530
NCR CORP NEW COM 62886E108 217 13,184 SH SOLE 13,184
NUANCE COMMUNICATIONS INC COM 67020Y100 4,453 176,973 SH SHARED-DEFINED 1 176,973
NUANCE COMMUNICATIONS INC COM 67020Y100 454 18,027 SH SOLE 18,027
NVIDIA CORP COM 67066G104 1,280 92,380 SH SHARED-DEFINED 1 92,380
NVIDIA CORP COM 67066G104 106 7,620 SH SOLE 7,620
OFFICE DEPOT INC COM 676220106 790 367,520 SH SHARED-DEFINED 1 367,520
OFFICE DEPOT INC COM 676220106 70 32,480 SH SOLE 32,480
RACKSPACE HOSTING INC COM 750086100 2,518 58,554 SH SHARED-DEFINED 1 58,554
RACKSPACE HOSTING INC COM 750086100 277 6,446 SH SOLE 6,446
ROSETTA STONE INC COM 777780107 907 118,934 SH SHARED-DEFINED 1 118,934
ROSETTA STONE INC COM 777780107 75 9,772 SH SOLE 9,772
SCIENTIFIC GAMES CORP CL A 80874P109 1,613 166,262 SH SHARED-DEFINED 1 166,262
SCIENTIFIC GAMES CORP CL A 80874P109 133 13,738 SH SOLE 13,738
SIGMA DESIGNS INC COM 826565103 832 138,698 SH SHARED-DEFINED 1 138,698
SIGMA DESIGNS INC COM 826565103 74 12,255 SH SOLE 12,255
SINA CORP ORD G81477104 2,883 55,435 SH SHARED-DEFINED 1 55,435
SINA CORP ORD G81477104 237 4,565 SH SOLE 4,565
SPDR GOLD TRUST GOLD SHS 78463V107 3,040 20,000 PUT SHARED-DEFINED 1 20,000
SPDR GOLD TRUST GOLD SHS 78463V107 350 2,300 PUT SOLE 2,300
SWIFT TRANSN CO CL A 87074U101 2,550 309,479 SH SHARED-DEFINED 1 309,479
SWIFT TRANSN CO CL A 87074U101 210 25,521 SH SOLE 25,521
SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 3,563 117,935 SH SHARED-DEFINED 1 117,935
SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 300 9,936 SH SOLE 9,936
TD AMERITRADE HLDG CORP COM 87236Y108 5,242 334,932 SH SHARED-DEFINED 1 334,932
TD AMERITRADE HLDG CORP COM 87236Y108 586 37,468 SH SOLE 37,468
TIVO INC COM 888706108 930 103,680 SH SHARED-DEFINED 1 103,680
TIVO INC COM 888706108 76 8,520 SH SOLE 8,520
UNIVERSAL DISPLAY CORP COM 91347P105 2,769 75,477 SH SHARED-DEFINED 1 75,477
UNIVERSAL DISPLAY CORP COM 91347P105 256 6,965 SH SOLE 6,965
URBAN OUTFITTERS INC COM 917047102 3,310 120,111 SH SHARED-DEFINED 1 120,111
URBAN OUTFITTERS INC COM 917047102 273 9,889 SH SOLE 9,889
VEECO INSTRS INC DEL COM 922417100 945 45,435 SH SHARED-DEFINED 1 45,435
VEECO INSTRS INC DEL COM 922417100 95 4,565 SH SOLE 4,565
VISA INC COM CL A 92826C839 4,323 42,581 SH SHARED-DEFINED 1 42,581
VISA INC COM CL A 92826C839 498 4,902 SH SOLE 4,902
WENDYS CO COM 95058W100 6,705 1,250,947 SH SHARED-DEFINED 1 1,250,947
WENDYS CO COM 95058W100 593 110,553 SH SOLE 110,553
WESTPORT INNOVATIONS INC COM NEW 960908309 3,654 109,927 SH SHARED-DEFINED 1 109,927
WESTPORT INNOVATIONS INC COM NEW 960908309 401 12,073 SH SOLE 12,073
XYLEM INC COM 98419M100 3,117 121,350 SH SHARED-DEFINED 1 121,350
XYLEM INC COM 98419M100 330 12,850 SH SOLE 12,850
YAHOO INC COM 984332106 4,623 286,605 SH SHARED-DEFINED 1 286,605
YAHOO INC COM 984332106 381 23,641 SH SOLE 23,641
SK 27173 0002 1265120