0000897423-12-000038.txt : 20120511 0000897423-12-000038.hdr.sgml : 20120511 20120511144331 ACCESSION NUMBER: 0000897423-12-000038 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120331 FILED AS OF DATE: 20120511 DATE AS OF CHANGE: 20120511 EFFECTIVENESS DATE: 20120511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BBT Capital Management, LLC CENTRAL INDEX KEY: 0001544341 IRS NUMBER: 412028120 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-14954 FILM NUMBER: 12833803 BUSINESS ADDRESS: STREET 1: 201 MAIN STREET, SUITE 3200 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 817-390-8400 MAIL ADDRESS: STREET 1: 201 MAIN STREET, SUITE 3200 CITY: FORT WORTH STATE: TX ZIP: 76102 13F-HR 1 bbtcmllc13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Quarter Ended: March 31, 2012 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: BBT Capital Management, LLC Address: 201 Main Street, Suite 3200 Fort Worth, Texas 76102 Form 13F File Number: 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 Report Manager: Name: William O. Reimann Title: Vice President Phone: 817/390-8400 Signature, Place, and Date of Signing: /s/ William O. Reimann Fort Worth, Texas May 11, 2012 Explanatory Index: On March 26, 2012, BBT Capital Management, LLC, the sole stockholder and parent entity of BBT Capital Management, Inc., assumed all investment advisory functions previously provided by BBT Capital Management, Inc. Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 Form 13F Information Table Entry Total: 230 Form 13F Information Table Value Total: $1,519,792 (thousands) List of Other Included Managers:
No. Form 13F File Number Name 1 28-5275 BBT Fund, L.P. 2 28-10369 BBT Master Fund, L.P. 3 28-12147 SRI Fund, L.P. 4 28-12712 BBT Capital Management, Inc.
FORM 13F INFORMATION TABLE
TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMNT OTHR VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CLL DISCRETN MGRS SOLE SHRD NONE AT&T INC COM 00206R102 1249 40000 SH Defined 1,2,3 40000 AVI BIOPHARMA INC COM 002346104 385 250000 SH Defined 1,2 250000 ABBOTT LABS COM 002824100 2452 40000 SH Defined 1,2 40000 ABITIBIBOWATER INC COM NEW 003687209 2177 152466 SH Defined 1,2 152466 ACHILLION PHARMACEUTICALS IN COM 00448Q201 1586 165513 SH Defined 1,2 165513 ACORDA THERAPEUTICS INC COM 00484M106 3390 127677 SH Defined 1,2 127677 ACTIVE NETWORK INC COM 00506D100 337 20000 SH Defined 1,2 20000 ACTIVISION BLIZZARD INC COM 00507V109 2820 220000 SH Defined 1,2,3 220000 ALERE INC COM 01449J105 2601 100000 SH Defined 1,2 100000 AMARIN CORP PLC SPONS ADR 023111206 10188 900000 SH Defined 1,2 900000 AMAZON COM INC COM 023135106 405 2000 SH Defined 1 2000 AMAZON COM INC COM 023135106 1013 5000 SH PUT Defined 1 AMERICAN AXLE & MFG HLDGS IN COM 024061103 2016 172149 SH Defined 1,2 172149 AMERICAN EXPRESS CO COM 025816109 1447 25000 SH CALL Defined 1 ANADARKO PETE CORP COM 032511107 1463 18676 SH Defined 1,2 18676 ANADARKO PETE CORP COM 032511107 1410 18000 SH PUT Defined 1 APPROACH RESOURCES INC COM 03834A103 6072 164339 SH Defined 1,2 164339 ARDEA BIOSCIENCES INC COM 03969P107 7148 328484 SH Defined 1,2 328484 ARMSTRONG WORLD INDS INC NEW COM 04247X102 23488 481613 SH Defined 1,2,3 481613 ASTRAZENECA PLC SPONSORED 046353108 2879 64700 SH Defined 1,2 64700 ATLAS AIR WORLDWIDE HLDGS COM NEW 049164205 1722 35000 SH Defined 1,2,3 35000 AVANIR PHARMACEUTICALSCLNA NEW 05348P401 2736 800000 SH Defined 1,2 800000 AVIS BUDGET GROUP NOTE 3.50 053774AB1 38775 33000000 PRN Defined 1,2 BANK OF AMERICA CORPORATION COM 060505104 823 85951 SH Defined 1,2,3 85951 BARRICK GOLD CORP COM 067901108 1739 40000 SH CALL Defined 1 BARRETT BILL CORP NOTE 5.00 06846NAA2 1931 2000000 PRN Defined 1,2,3 BED BATH & BEYOND INC COM 075896100 1118 17000 SH CALL Defined 1 BIODELIVERY SCIENCES INTL IN COM 09060J106 2970 1227271 SH Defined 1,2 1227271 BIOGEN IDEC INC COM 09062X103 3394 26940 SH Defined 1,2 26940 BON-TON STORES INC COM 09776J101 218 23553 SH Defined 1,2,3 23553 BOYD GAMING CORP COM 103304101 3136 400000 SH Defined 1,2 400000 CBS CORP NEW CL B 124857202 2965 87450 SH Defined 1,2 87450 CBS CORP NEW COM 124857202 10244 302100 SH PUT Defined 1,2 CMS ENERGY CORP COM 125896100 8285 376600 SH Defined 1,2 376600 CABOT OIL & GAS CORP COM 127097103 14834 475922 SH Defined 1,2 475922 CAPITAL ONE FINL CORP COM 14040H105 468 8400 SH Defined 1 8400 CAPITAL ONE FINL CORP COM 14040H105 1115 20000 SH PUT Defined 1 CELGENE CORP RIGHT 12/3 151020112 273 140147 SH Defined 1,2 140147 CENTERPOINT ENERGY INC COM 15189T107 19036 965312 SH Defined 1,2 965312 CENTURYLINK INC COM 156700106 1949 50435 SH Defined 1,2,3 50435 CHESAPEAKE ENERGY CORP COM 165167107 714 30800 SH Defined 1 30800 CHESAPEAKE ENERGY CORP COM 165167107 1390 60000 SH PUT Defined 1 CHINA DIGITAL TV HLDG CO LTD SPONSORED 16938G107 347 100000 SH Defined 1,2,3 100000 CHIQUITA BRANDS INTL INC NOTE 4.25 170032AT3 9261 10000000 PRN Defined 1,2,3 CISCO SYS INC COM 17275R102 4071 192464 SH Sole 192464 CLEARWIRE CORP NEW CL A 18538Q105 2736 1200000 SH Defined 1,2 1200000 CONSOL ENERGY INC COM 20854P109 4944 145000 SH Defined 1,2 145000 CORNERSTONE THERAPEUTICS INC COM 21924P103 1573 264000 SH Defined 1,2 264000 CORNING INC COM 219350105 704 50000 SH CALL Defined 1 CROWN CASTLE INTL CORP COM 228227104 512 9600 SH Defined 1,2 9600 CUMMINS INC COM 231021106 4249 35400 SH Defined 1,2,3 35400 CUMMINS INC COM 231021106 2401 20000 SH CALL Defined 1 D R HORTON INC NOTE 2.00 23331ABB4 35168 26850000 PRN Defined 1,2 DEERE & CO COM 244199105 777 9600 SH Defined 1 9600 DEERE & CO COM 244199105 1618 20000 SH PUT Defined 1 DELTA AIR LINES INC DEL COM NEW 247361702 3177 320410 SH Defined 1,2,3 320410 DIAMOND FOODS INC COM 252603105 1369 60000 SH Defined 1,2 60000 DIAMOND OFFSHORE DRILLING IN COM 25271C102 2670 40000 SH Defined 1,2 40000 DICE HLDGS INC COM 253017107 5033 539452 SH Defined 1,2 539452 DISNEY WALT CO COM 254687106 2189 50000 SH PUT Defined 1,2 DISNEY WALT CO COM DISNEY 254687106 3283 75000 SH Defined 1,2 75000 DIRECTV COM 25490A101 3947 80000 SH CALL Defined 1,2 DIRECTV COM CL A 25490A101 434 8802 SH Defined 1,2,3 8802 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 21476 265436 SH Defined 1,2 265436 DUKE ENERGY CORP NEW COM 26441C105 630 30000 SH Defined 1,2 30000 DYNAVAX TECHNOLOGIES CORP COM 268158102 4012 797649 SH Defined 1,2 797649 DYNEGY INC DEL COM 26817G300 764 1364175 SH Defined 1,2 1364175 EOG RES INC COM 26875P101 11277 101500 SH Defined 1,2 101500 EQT CORP COM 26884L109 13504 280114 SH Defined 1,2 280114 EXCO RESOURCES INC COM 269279402 1550 233721 SH Defined 1,2 233721 ELAN PLC ADR 284131208 5749 383032 SH Defined 1,2 383032 ELECTRONIC ARTS INC COM 285512109 2968 179997 SH Defined 1,2 179997 EMERSON ELEC CO COM 291011104 1565 30000 SH CALL Defined 1 ENTERGY CORP NEW COM 29364G103 4962 73842 SH Defined 1,2 73842 EQUINIX INC COM 29444U502 1574 10000 SH CALL Defined 1,2 EXPRESS SCRIPTS INC COM 302182100 488 9000 SH Defined 1 9000 EXPRESS SCRIPTS INC COM 302182100 1084 20000 SH CALL Defined 1 FAIRPOINT COMMUNICATIONS ICOM NEW 305560302 376 99905 SH Defined 1,2 99905 FAMILY DLR STORES INC COM 307000109 7762 122656 SH Defined 1,2 122656 FIRSTENERGY CORP COM 337932107 18252 400356 SH Defined 1,2 400356 FOCUS MEDIA HLDG LTD SPONSORED 34415V109 1507 60000 SH Defined 1,2,3 60000 FORD MTR CO DEL *W EXP 01/ 345370860 33689 2697250 SH Defined 1,2 2697250 FORD MTR CO DEL COM 345370860 1499 120000 SH CALL Defined 1 FOREST LABS INC COM 345838106 3469 100000 SH CALL Defined 1,2 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1522 40000 SH CALL Defined 1 GENON ENERGY INC COM 37244E107 4732 2275000 SH Defined 1,2 2275000 GILEAD SCIENCES INC COM 375558103 9294 190217 SH Defined 1,2 190217 GOLDCORP INC NEW COM 380956409 901 20000 SH CALL Defined 1 GOODRICH CORP COM 382388106 7526 60000 SH Defined 1,2 60000 GOODYEAR TIRE & RUBR CO COM 382550101 9808 874150 SH Defined 1,2,3 874150 GOOGLE INC CL A 38259P508 10260 16000 SH Defined 1,2,3 16000 GOOGLE INC COM 38259P508 1282 2000 SH PUT Defined 1,2 GRIFOLS S A SPONSORED 398438309 2200 285339 SH Defined 1,2 285339 HALLIBURTON CO COM 406216101 1344 40500 SH CALL Defined 1 HARTE-HANKS INC COM 416196103 3054 337500 SH Defined 1,2,3 337500 HARTE-HANKS INC COM 416196103 190 21000 SH CALL Defined 1,2 HELMERICH & PAYNE INC COM 423452101 3237 60000 SH Defined 1,2 60000 HERTZ GLOBAL HOLDINGS INC NOTE 5.25 42805TAA3 38324 19980000 PRN Defined 1,2 HESS CORP COM 42809H107 5895 100000 SH Defined 1,2 100000 HUMAN GENOME SCIENCES INC COM 444903108 14395 1746925 SH Sole 1746925 HUNT J B TRANS SVCS INC COM 445658107 5002 92000 SH Defined 1,2,3 92000 HYATT HOTELS CORP COM CL A 448579102 9433 220807 SH Defined 1,2 220807 ISTAR FINL INC COM 45031U101 13563 1870800 SH PUT Defined 1,2 ISTAR FINL INC FRNT 45031UBF7 8820 9000000 PRN Defined 1,2 IDENIX PHARMACEUTICALS INC COM 45166R204 1106 112994 SH Defined 1,2 112994 INTERMUNE INC COM 45884X103 4034 275000 SH Defined 1,2 275000 INTL PAPER CO COM 460146103 1492 42500 SH CALL Defined 1 IRONWOOD PHARMACEUTICALSCOMCCL A 46333X108 7325 550314 SH Defined 1,2 550314 ISHARES TR COM 464287655 3312 40000 SH CALL Defined 1,2 ISHARES TR RUSSELL 20 464287655 828 10000 SH Defined 1,2 10000 ISLE OF CAPRI CASINOS INC COM 464592104 1525 216068 SH Defined 1,2 216068 JPMORGAN CHASE & CO COM 46625H100 687 14940 SH Defined 1 14940 JPMORGAN CHASE & CO COM 46625H100 1701 37000 SH PUT Defined 1 JABIL CIRCUIT INC COM 466313103 1595 63500 SH CALL Defined 1 JOY GLOBAL INC COM 481165108 505 6875 SH Defined 1 6875 LAMAR ADVERTISING CO COM 512815101 972 30000 SH CALL Defined 1,2 LENNAR CORP COM 526057104 1835 67500 SH CALL Defined 1 LEVEL 3 COMMUNICATIONS INC COM 52729N308 1029 40000 SH CALL Defined 1,2 LEVEL 3 COMMUNICATIONS INC COM 52729N308 257 10000 SH PUT Defined 1,2 LIBERTY MEDIA CORPORATION LIB CAP CO 530322106 14157 160600 SH Defined 1,2 160600 LILLY ELI & CO COM 532457108 5366 133249 SH Defined 1,2 133249 LIMITED BRANDS INC COM 532716107 658 13700 SH Defined 1 13700 LIMITED BRANDS INC COM 532716107 1440 30000 SH PUT Defined 1 LORAL SPACE & COMMUNICATNS I COM 543881106 2388 30000 SH Defined 1,2 30000 MGM RESORTS INTERNATIONAL COM 552953101 18380 1349500 SH PUT Defined 1,2 MACYS INC COM 55616P104 646 16250 SH Defined 1 16250 MACYS INC COM 55616P104 1788 45000 SH PUT Defined 1 MAP PHARMACEUTICALS INC COM 56509R108 3629 252708 SH Defined 1,2 252708 MARATHON OIL CORP COM 565849106 2219 70000 SH Defined 1,2 70000 MASSEY ENERGY CO NOTE 3.25 576203AJ2 18908 21000000 PRN Defined 1,2,3 MCDONALDS CORP COM 580135101 981 10000 SH CALL Defined 1 MEDCO HEALTH SOLUTIONS INC COM 58405U102 47973 682400 SH Defined 1,2 682400 MERCK & CO INC NEW COM 58933Y105 3840 100000 SH Defined 1,2 100000 MOTOROLA MOBILITY HLDGS INC COM 620097105 14028 357500 SH Defined 1,2 357500 MULTIMEDIA GAMES HLDG CO INC COM 625453105 3820 348577 SH Defined 1,2,3 348577 NII HLDGS INC CL B NEW 62913F201 2014 110000 SH Defined 1,2 110000 NII HLDGS INC COM 62913F201 568 31000 SH PUT Defined 1,2 NRG ENERGY INC COM 629377508 718 45800 SH PUT Defined 1,2 NATIONAL GRID PLC SPON ADR N 636274300 9897 196057 SH Defined 1,2 196057 NAVISTAR INTL CORP NEW COM 63934E108 2867 70888 SH Defined 1,2,3 70888 NAVISTAR INTL CORP NEW NOTE 3.00 63934EAL2 11986 10867000 PRN Defined 1,2 NEWFIELD EXPL CO COM 651290108 5375 155000 SH Defined 1,2 155000 NEWS CORP CL A 65248E104 3996 202735 SH Defined 1,2,3 202735 NEWS CORP COM 65248E104 2956 150000 SH CALL Defined 1,2 NOKIA CORP SPONSORED 654902204 11803 2150000 SH Defined 1,2 2150000 NOBLE ENERGY INC COM 655044105 19329 197677 SH Defined 1,2 197677 OFFICEMAX INC DEL COM 67622P101 5285 923883 SH Defined 1,2,3 923883 OPENTABLE INC COM 68372A104 2631 65000 SH Defined 1,2 65000 OPENTABLE INC COM 68372A104 2631 65000 SH PUT Defined 1,2 PPL CORP COM 69351T106 6370 225400 SH Defined 1,2 225400 PPL CORP UNIT 99/99 69351T114 5375 100000 SH Defined 1,2 100000 PARKER DRILLING CO NOTE 2.12 701081AR2 4950 5000000 PRN Defined 1,2 PEABODY ENERGY CORP COM 704549104 623 21500 SH Defined 1,2 21500 PEABODY ENERGY CORP COM 704549104 811 28000 SH CALL Defined 1 PINNACLE WEST CAP CORP COM 723484101 5659 118145 SH Defined 1,2 118145 PIONEER NAT RES CO COM 723787107 16906 151500 SH Defined 1,2 151500 PRECISION DRILLING CORP COM 2010 74022D308 5015 500000 SH Defined 1,2 500000 PRICELINE COM INC COM NEW 741503403 35875 50000 SH Defined 1,2,3 50000 PROGRESS ENERGY INC COM 743263105 9534 179505 SH Defined 1,2 179505 PROLOGIS NOTE 2.25 74340XAQ4 8000 8000000 PRN Defined 1,2 PROLOGIS NOTE 2.62 743410AS1 9888 10000000 PRN Defined 1,2,3 PROSHARES TR PSHS ULTSH 74347R297 409 20000 SH Defined 1 20000 QUESTCOR PHARMACEUTICALS INC COM 74835Y101 10345 275000 SH Defined 1,2 275000 RTI INTL METALS INC NOTE 3.00 74973WAA5 8709 8500000 PRN Defined 1,2 RACKSPACE HOSTING INC COM 750086100 1156 20000 SH CALL Defined 1,2 RANGE RES CORP COM 75281A109 2907 50000 SH Defined 1,2 50000 RAPTOR PHARMACEUTICAL CORP COM 75382F106 6643 982620 SH Defined 1,2 982620 REGAL ENTMT GROUP COM 758766109 680 50000 SH CALL Defined 1,2 REGENERON PHARMACEUTICALS COM 75886F107 2978 25535 SH Defined 1,2 25535 ROWAN COS INC COM 779382100 24088 731499 SH Defined 1,2 731499 RYDER SYS INC COM 783549108 8895 168462 SH Defined 1,2,3 168462 SPDR S&P 500 ETF TR COM 78462F103 9857 70000 SH CALL Defined 1,2 SPDR S&P 500 ETF TR TR UNIT 78462F103 6044 42925 SH Defined 1,2 42925 SPDR GOLD TRUST COM 78463V107 1621 10000 SH CALL Defined 1 SPDR GOLD TRUST GOLD SHS 78463V107 31289 193000 SH Defined 1,2,3 193000 SPDR SERIES TRUST COM 78464A714 2450 40000 SH CALL Defined 1,2 SPDR SERIES TRUST S&P METALS 78464A755 14170 285000 SH Defined 1,2 285000 SALIX PHARMACEUTICALS INC COM 795435106 9396 178965 SH Defined 1,2 178965 SANCHEZ ENERGY CORP COM 79970Y105 5718 254682 SH Defined 1,2 254682 SANOFI SPONSORED 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CO CL B 939640108 418 1120 SH Defined 1,2,3 1120 WEIGHT WATCHERS INTL INC NEW COM 948626106 9780 126700 SH PUT Defined 1,2 WELLS FARGO & CO NEW COM 949746101 1127 33000 SH CALL Defined 1 WHOLE FOODS MKT INC COM 966837106 1165 14000 SH CALL Defined 1 WPX ENERGY INC COM 98212B103 2702 150000 SH Defined 1,2 150000 WYNN RESORTS LTD COM 983134107 250 2000 SH Defined 1 2000 WYNN RESORTS LTD COM 983134107 1249 10000 SH PUT Defined 1 YM BIOSCIENCES INC COM 984238105 1862 1001244 SH Defined 1,2 1001244 YAHOO INC COM 984332106 4566 300000 SH Defined 1,2 300000 YAHOO INC COM 984332106 1979 130000 SH CALL Defined 1 YUM BRANDS INC COM 988498101 997 14000 SH PUT Defined 1 ZIONS BANCORPORATIO*W EXP 05/ 989701107 16377 763136 SH Defined 1,2 763136 ALKERMES PLC SHS G01767105 3325 179223 SH Defined 1,2 179223 DELPHI AUTOMOTIVE PLC SHS G27823106 36848 1166090 SH Defined 1,2 1166090 NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 9368 250000 SH Defined 1,2 250000 TRANSOCEAN LTD COM H8817H100 1094 20000 SH CALL Defined 1 PACIFIC DRILLING SA LUXEMBOU REG SHS L7257P106 6904 682193 SH Defined 1,2 682193 INTERXION HOLDING N.V COM N47279109 898 50000 SH PUT Defined 1,2 INTERXION HOLDING N.V SHS N47279109 7050 392779 SH Defined 1,2 392779 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 32518 744976 SH Defined 1,2 744976 OCEAN RIG UDW INC SHS Y64354205 14948 884517 SH Defined 1,2 884517