0000919574-12-003442.txt : 20120515 0000919574-12-003442.hdr.sgml : 20120515 20120515111054 ACCESSION NUMBER: 0000919574-12-003442 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120515 DATE AS OF CHANGE: 20120515 EFFECTIVENESS DATE: 20120515 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: 12842049 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 d1290341_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: March 31, 2012 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: 028-14742 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 May 15, 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: 52 Form 13F Information Table Value Total: $367,510 (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 --- -------------------- ---- 1 028-14745 Espalier Global Master Fund, Ltd. FORM 13F INFORMATION TABLE Espalier Global Management LLC March 31, 2012
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8 TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHR VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1,000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE ADA ES INC COM 005208103 8,597 353,635 SH SHARED-DEFINED 1 353,635 AGILENT TECHNOLOGIES INC COM 00846U101 9,570 215,000 SH SHARED-DEFINED 1 215,000 AKAMAI TECHNOLOGIES INC COM 00971T101 6,132 167,095 SH SHARED-DEFINED 1 167,095 ALCATEL-LUCENT SPONSORED ADR 013904305 5,562 2,450,000 SH SHARED-DEFINED 1 2,450,000 ALTERA CORP COM 021441100 3,982 100,000 SH SHARED-DEFINED 1 100,000 AMERICAN EXPRESS CO COM 025816109 19,304 333,626 SH SHARED-DEFINED 1 333,626 AMERISOURCEBERGEN CORP COM 03073E105 3,966 100,000 SH SHARED-DEFINED 1 100,000 ASPEN TECHNOLOGY INC COM 045327103 4,301 209,491 SH SHARED-DEFINED 1 209,491 AUTOZONE INC COM 053332102 2,974 8,000 SH SHARED-DEFINED 1 8,000 BANK OF NEW YORK MELLON CORP COM 064058100 6,636 275,000 SH SHARED-DEFINED 1 275,000 BAZAARVOICE INC COM 073271108 1,331 67,000 SH SHARED-DEFINED 1 67,000 COVIDIEN PLC SHS G2554F113 6,234 114,000 SH SHARED-DEFINED 1 114,000 DELTA AIR LINES INC DEL COM NEW 247361702 5,106 515,000 SH SHARED-DEFINED 1 515,000 DISCOVER FINL SVCS COM 254709108 10,169 305,000 SH SHARED-DEFINED 1 305,000 DOLLAR GEN CORP NEW COM 256677105 15,246 330,000 SH SHARED-DEFINED 1 330,000 E TRADE FINANCIAL CORP COM NEW 269246401 5,804 530,000 SH SHARED-DEFINED 1 530,000 EBAY INC COM 278642103 16,520 447,700 SH SHARED-DEFINED 1 447,700 EQUINIX INC COM NEW 29444U502 9,053 57,500 SH SHARED-DEFINED 1 57,500 ERICSSON L M TEL CO ADR B SEK 10 294821608 3,248 315,000 SH SHARED-DEFINED 1 315,000 ESTERLINE TECHNOLOGIES CORP COM 297425100 4,673 65,400 SH SHARED-DEFINED 1 65,400 FORTINET INC COM 34959E109 2,904 105,020 SH SHARED-DEFINED 1 105,020 FUELCELL ENERGY INC COM 35952H106 3,913 2,500,000 SH SHARED-DEFINED 1 2,500,000 FXCM INC COM CL A 302693106 4,502 346,600 SH SHARED-DEFINED 1 346,600 ILLUMINA INC COM 452327109 2,631 50,000 CALL SHARED-DEFINED 1 50,000 INFORMATICA CORP COM 45666Q102 6,972 131,800 SH SHARED-DEFINED 1 131,800 KENEXA CORP COM 488879107 3,030 97,000 SH SHARED-DEFINED 1 97,000 KLA-TENCOR CORP COM 482480100 8,707 160,000 SH SHARED-DEFINED 1 160,000 L-3 COMMUNICATIONS HLDGS INC COM 502424104 10,120 143,000 SH SHARED-DEFINED 1 143,000 LIVEPERSON INC COM 538146101 2,524 150,481 SH SHARED-DEFINED 1 150,481 LOWES COS INC COM 548661107 3,138 100,000 PUT SHARED-DEFINED 1 100,000 LSI CORPORATION COM 502161102 9,519 1,096,610 SH SHARED-DEFINED 1 1,096,610 MBIA INC COM 55262C100 6,860 700,000 CALL SHARED-DEFINED 1 700,000 MBIA INC COM 55262C100 9,359 955,000 SH SHARED-DEFINED 1 955,000 MICROSOFT CORP COM 594918104 6,451 200,000 SH SHARED-DEFINED 1 200,000 NEWS CORP CL A 65248E104 18,153 921,000 SH SHARED-DEFINED 1 921,000 RACKSPACE HOSTING INC COM 750086100 8,135 140,765 SH SHARED-DEFINED 1 140,765 RED HAT INC COM 756577102 3,593 60,000 CALL SHARED-DEFINED 1 60,000 RED HAT INC COM 756577102 8,468 141,400 SH SHARED-DEFINED 1 141,400 SALESFORCE COM INC COM 79466L302 18,232 118,000 SH SHARED-DEFINED 1 118,000 SARA LEE CORP COM 803111103 1,249 58,000 CALL SHARED-DEFINED 1 58,000 SARA LEE CORP COM 803111103 5,515 256,168 SH SHARED-DEFINED 1 256,168 SCHWAB CHARLES CORP NEW COM 808513105 12,933 900,000 CALL SHARED-DEFINED 1 900,000 SCHWAB CHARLES CORP NEW COM 808513105 8,622 600,000 SH SHARED-DEFINED 1 600,000 SPDR GOLD TRUST GOLD SHS 78463V107 3,615 22,300 PUT SHARED-DEFINED 1 22,300 TD AMERITRADE HLDG CORP COM 87236Y108 5,608 284,084 SH SHARED-DEFINED 1 284,084 TERADATA CORP DEL COM 88076W103 5,452 80,000 SH SHARED-DEFINED 1 80,000 TIBCO SOFTWARE INC COM 88632Q103 7,893 258,800 CALL SHARED-DEFINED 1 258,800 TIBCO SOFTWARE INC COM 88632Q103 9,341 306,253 SH SHARED-DEFINED 1 306,253 TIFFANY & CO NEW COM 886547108 6,913 100,000 PUT SHARED-DEFINED 1 100,000 TIVO INC COM 888706108 5,455 455,000 SH SHARED-DEFINED 1 455,000 URBAN OUTFITTERS INC COM 917047102 6,132 210,663 SH SHARED-DEFINED 1 210,663 XPO LOGISTICS INC COM 983793100 3,163 188,300 SH SHARED-DEFINED 1 188,300
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