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
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