-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, BcYulh5+IoH8Pfco3jsUT3195WVlOzmAlM3cAtVmSTyn7whX0LVRmXw1z2LWmIBY U5qaN3yiGr3vQjPTKk7ikw== 0000950123-10-049399.txt : 20100514 0000950123-10-049399.hdr.sgml : 20100514 20100514100419 ACCESSION NUMBER: 0000950123-10-049399 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100514 DATE AS OF CHANGE: 20100514 EFFECTIVENESS DATE: 20100514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: U S GLOBAL INVESTORS INC CENTRAL INDEX KEY: 0000754811 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 741598370 STATE OF INCORPORATION: TX FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-02220 FILM NUMBER: 10831030 BUSINESS ADDRESS: STREET 1: 7900 CALLAGHAN RD CITY: SAN ANTONIO STATE: TX ZIP: 78229 BUSINESS PHONE: 2103081234 MAIL ADDRESS: STREET 1: 7900 CALLAGHAN ROAD CITY: SAN ANTONIO STATE: TX ZIP: 78229 FORMER COMPANY: FORMER CONFORMED NAME: UNITED SERVICES ADVISORS INC /TX/ DATE OF NAME CHANGE: 19950321 13F-HR 1 c01073e13fvhr.txt FORM 13F 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, 2010 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: U.S. Global Investors, Inc. Address: 7900 Callaghan Road San Antonio, TX 78229 Form 13F File Number: 28-________ 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: Susan B. McGee Title: President Phone: (210) 308-1234 Signature, Place, and Date of Signing: /s/ Susan B. McGee San Antonio, TX 5/14/10 - --------------------- -------------------- --------------- [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 manager(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).) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28-_______ __________________________ [Repeat as necessary.] Number of Other Included Managers 0 Form 13F Information Table Entry Total 413 Form 13F Information Table Total Value (x1000) 1,039,521 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ------------------------------ ------------------ --------- --------- ---------- ------------------- -------- ---------------------- SHARES OR VOTING AUTHORITY VALUE PRINCIPAL SH/ PUT/ INVESTMENT OTHER ---------------------- NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) AMOUNT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------ ------------------ --------- --------- ---------- --- ---- ---------- -------- ---- --------- ------- ABOVENET INC COM 00374N107 482 9,500 SH Sole 9,500 ABOVENET INC COM 00374N107 380 7,500 SH Sole 7,500 AEGEAN MARINE PETROLEUM NETW COM Y0017S102 710 25,000 SH Sole 25,000 AEGEAN MARINE PETROLEUM NETW COM Y0017S102 937 33,000 SH Sole 33,000 AGNICO-EAGLE MINES LTD COM 008474108 10577 190,000 SH Sole 190,000 AGNICO-EAGLE MINES LTD COM 008474108 14196 255,000 SH Sole 255,000 AGNICO-EAGLE MINES LTD /CAD/ COM 008474108 1,688 29,750 SH WTS Sole 29,750 AGNICO-EAGLE MINES LTD /CAD/ COM 008474108 1,279 22,550 SH WTS Sole 22,550 AKAMAI TECHNOLOGIES COM 00971T101 188 6,000 SH Sole 6,000 ALEXION PHARMACEUTICALS INC COM 015351109 544 10,000 SH Sole 10,000 ALLIED NEVADA GOLD COM 019344100 3314 200,000 SH Sole 200,000 ALPHA NATURAL RESOURCES INC COM 02076X102 10227 205,000 SH Sole 205,000 ALTISOURCE PORT SOLUTIONS SA REG SHS L0175J104 336 15,000 SH Sole 15,000 ALTRIA GROUP INC COM 02209S103 164 8,000 SH Sole 8,000 AMAZON COM INC COM 023135106 407 3,000 SH Sole 3,000 AMERICA MOVIL SAB DE CV SERIES L SPON ADR L SHS 02364W105 453 9,000 SH Sole 9,000 AMERICA MOVIL SAB DE CV SERIES L SPON ADR L SHS 02364W105 201 4,000 SH Sole 4,000 AMERICAN TOWER CORP CL A CL A 029912201 298 7,000 SH Sole 7,000 AMERICAN TOWER CORP CL A CL A 029912201 213 5,000 SH Sole 5,000 ANADARKO PETE CORP COM 032511107 9104 125,000 SH Sole 125,000 ANALOG DEVICES INC COM 032654105 173 6,000 SH Sole 6,000 APPLE INC COM 037833100 705 3,000 SH Sole 3,000 APPLE INC COM 037833100 1410 6,000 SH Sole 6,000 ARCSIGHT INC COM 039666102 394 14,000 SH Sole 14,000 ARENA RESOURCES INC COM 040049108 8350 250,000 SH Sole 250,000 ARENA RESOURCES INC COM 040049108 167 5,000 SH Sole 5,000 ASIANINFO HOLDINGS INC COM 04518A104 397 15,000 SH Sole 15,000 AT&T INC COM 00206R102 168 6,500 SH Sole 6,500 ATLAS ENERGY INC COM 049298102 13070 420,000 SH Sole 420,000 ATLAS ENERGY INC COM 049298102 156 5,000 SH Sole 5,000 AURIZON MINES LTD COM 05155P106 1428 300,000 SH Sole 300,000 AURIZON MINES LTD COM 05155P106 1904 400,000 SH Sole 400,000 BAIDU INC SPON ADR SPON ADR REP A 056752108 896 1,500 SH Sole 1,500 BAIDU INC SPON ADR SPON ADR REP A 056752108 478 800 SH Sole 800 BAIDU INC SPON ADR SPON ADR REP A 056752108 239 400 SH Sole 400 BANK NOVA SCOTIA HALIFAX COM 064149107 150 3,000 SH Sole 3,000 BANK OF AMERICA CORP COM 060505104 446 25,000 SH Sole 25,000 BANK OF AMERICA CORP COM 060505104 803 45,000 SH Sole 45,000 BANK OF AMERICA CORP COM 060505104 179 10,000 SH CALL Sole 10,000 BARRICK GOLD CORP COM COM 067901108 4217 110,000 SH Sole 110,000 BARRICK GOLD CORP COM 067901108 767 20,000 SH CALL Sole 20,000 BB&T CORPORATION COM 054937107 194 6,000 SH Sole 6,000 BEMIS CO COM 081437105 172 6,000 SH Sole 6,000 BERKSHIRE HATHAWAY INC CLASS B CL B NEW 084670702 691 8,500 SH Sole 8,500 BLUE COAT SYSTEMS INC COM 09534T508 155 5,000 SH Sole 5,000 BRISTOL MYERS SQUIBB CO COM 110122108 174 6,500 SH Sole 6,500 BRISTOL MYERS SQUIBB CO COM 110122108 454 17,000 SH Sole 17,000 BROADCOM CORP CL A CL A 111320107 415 12,500 SH Sole 12,500 CAMERON INTERNATIONAL CORPORATION COM 13342B105 10929 255,000 SH Sole 255,000 CAMERON INTERNATIONAL CORPORATION COM 13342B105 536 12,500 SH Sole 12,500 CAMPBELL SOUP COM 134429109 177 5,000 SH Sole 5,000 CANADIAN NATURAL RESOURCES COM 136385101 24063 325,000 SH Sole 325,000 CAPELLA EDUCATION CO COM 139594105 557 6,000 SH Sole 6,000 CARBO CERAMICS INC COM 140781105 9039 145,000 SH Sole 145,000 CELGENE CORP COM 151020104 620 10,000 SH Sole 10,000 CENTURYTEL INC COM 156700106 160 4,500 SH Sole 4,500
CERNER CORP COM 156782104 255 3,000 SH Sole 3,000 CHEVRON CORP COM 166764100 29195 385,000 SH Sole 385,000 CHINA AGRITECH INC COM 16937A200 373 15,000 SH Sole 15,000 CHINA AGRITECH INC COM 16937A200 99 4,000 SH Sole 4,000 CHINA AUTOMOTIVE SYS INC COM COM 16936R105 578 25,000 SH Sole 25,000 CHINA ED ALLIANCE INC COM 16938Y207 107 20,000 SH Sole 20,000 CHINA GERUI ADVANCED MATERIALS COM G21101103 190 25,000 SH Sole 25,000 CHINA GERUI ADVANCED MATERIALS COM G21101103 38 5,000 SH Sole 5,000 CHINA MEDIAEXPRESS HOLDINGS INC COM 169442100 276 20,000 SH Sole 20,000 CHINA VALVES TECHNOLOGY INC COM 169476207 390 30,000 SH Sole 30,000 CHINA VALVES TECHNOLOGY INC COM 169476207 390 30,000 SH Sole 30,000 CHINA WIND SYSTEMS INC COM 16945F209 48 10,000 SH Sole 10,000 CHINA WIND SYSTEMS INC COM 16945F209 24 5,000 SH Sole 5,000 CHINA-BIOTICS INC COM 16937B109 269 15,000 SH Sole 15,000 CHINA-BIOTICS INC COM 16937B109 179 10,000 SH Sole 10,000 CHINA-BIOTICS INC COM 16937B109 63 3,500 SH Sole 3,500 CHINACAST EDUCATION CORP COM 16946T109 292 40,000 SH Sole 40,000 CHINACAST EDUCATION CORP COM 16946T109 73 10,000 SH Sole 10,000 CIBT EDUCATION GROUP INC /CAD/ COM 17163Y102 357 453,632 SH Sole 453,632 CINCINNATI FINANCIAL CORP COM 172062101 173 6,000 SH Sole 6,000 CLAUDE RESOURCES INC /CAD/ COM 182873109 2952 2,802,000 SH Sole 2,802,000 CLAUDE RESOURCES INC /CAD/ COM 182873109 2192 2,080,700 SH Sole 2,080,700 CLIFFS NATURAL RESOURCES INC COM 18683K101 12416 175,000 SH Sole 175,000 CNINSURE INC-ADR SPONSORED ADR 18976M103 399 15,000 SH Sole 15,000 CNINSURE INC-ADR SPONSORED ADR 18976M103 93 3,500 SH Sole 3,500 CNOOC LTD ADR SPONSORED ADR 126132109 495 3,000 SH Sole 3,000 COEUR D ALENE MINES CORP IDAHO COM NEW 192108504 1333 89,000 SH Sole 89,000 COEUR D ALENE MINES CORP IDAHO COM NEW 192108504 3460 231,000 SH Sole 231,000 COEUR D'ALENE MINES CORP IDAHO COM 192108504 120 8,000 SH Sole 8,000 COGNIZANT TECH SOLUTIONSCORP CLASS A CL A 192446102 612 12,000 SH Sole 12,000 COMPANHIA BRASILEIRA DE DISTRIBUICAO ADR SPN ADR PFD CL A 20440T201 269 4,000 SH Sole 4,000 COMPANHIA ENERGETICA DE MINAS GERAIS SP ADR N-V PFD 204409601 669 40,201 SH Sole 40,201 CONCHO RESOURCES INC COM 20605P101 201 4,000 SH Sole 4,000 CONCHO RESOURCES INC COM 20605P101 806 16,000 SH Sole 16,000 CONOCOPHILLIPS COM 20825C104 154 3,000 SH Sole 3,000 COPA HOLDINGS SA CLASS A CL A P31076105 578 9,500 SH Sole 9,500 COPA HOLDINGS SA CLASS A CL A P31076105 608 10,000 SH Sole 10,000 COPA HOLDINGS SA CLASS A CL A P31076105 182 3,000 SH Sole 3,000 CORE LABORATORIES N V COM N22717107 11772 90,000 SH Sole 90,000 CORE LABORATORIES N V COM N22717107 706 5,400 SH Sole 5,400 CPFL ENERGIA SA SP ADR /USD/ SPONSORED ADR 126153105 762 12,500 SH Sole 12,500 CREE INC COM 225447101 316 4,500 SH Sole 4,500 CREE INC COM 225447101 702 10,000 SH Sole 10,000 CRYSTALLEX INTL CORP COM 22942F101 708 2,150,000 SH Sole 2,150,000 CRYSTALLEX INTL CORP COM 22942F101 21 62,500 SH WTS Sole 62,500 CRYSTALLEX INTL CORP COM 22942F101 54 162,500 SH WTS Sole 162,500 CRYSTALLEX INTL CORP /CAD/ COM 22942F101 32 100,000 SH Sole 100,000 CRYSTALLEX INTL CORP COM 22942F101 76 230,000 SH Sole 230,000 CRYSTALLEX INTL CORP COM 22942F101 25 75,000 SH WTS Sole 75,000 CSX CORP COM 126408103 509 10,000 SH Sole 10,000 CTRIP.COM INTERNATIONAL LTD AMERICAN DEP SHS 22943F100 784 20,000 SH Sole 20,000 CTRIP.COM INTERNATIONAL LTD AMERICAN DEP SHS 22943F100 784 20,000 SH Sole 20,000 CTRIP.COM INTERNATIONAL LTD AMERICAN DEP SHS 22943F100 118 3,000 SH Sole 3,000 DECKERS OUTDOOR CORP COM 243537107 690 5,000 SH Sole 5,000 DIAMOND OFFSHORE DRILLING INC COM 25271C102 142 1,600 SH Sole 1,600 DIEBOLD INC COM 253651103 159 5,000 SH Sole 5,000 DONNELLEY /R R/ & SONS COM 257867101 171 8,000 SH Sole 8,000 DRDGOLD LTD SPONSORED ADR SPONSORED ADR 26152H301 2445 500,000 SH Sole 500,000 DRDGOLD LTD SPONSORED ADR SPONSORED ADR 26152H301 489 100,000 SH Sole 100,000 DU PONT /E I/ DE NEMOURS & CO COM 263534109 186 5,000 SH Sole 5,000 DUKE ENERGY CORP COM 26441C105 163 10,000 SH Sole 10,000 DUOYUAN GLOBAL WATER INC-ADR SPONSORED ADR 266043108 417 15,000 SH Sole 15,000 DUOYUAN GLOBAL WATER INC-ADR SPONSORED ADR 266043108 555 20,000 SH Sole 20,000 DUOYUAN GLOBAL WATER INC-ADR SPONSORED ADR 266043108 139 5,000 SH Sole 5,000
EASTMAN CHEMICAL CO COM 277432100 159 2,500 SH Sole 2,500 EBIX INC COM 278715206 359 22,500 SH Sole 22,500 ELDORADO GOLD CORP COM 284902103 2114 175,000 SH Sole 175,000 ELDORADO GOLD CORP COM 284902103 121 10,000 SH Sole 10,000 EMERGING MARKETS ENERGY TITANS ETF DJ TITANS ETF 268461860 48 1,000 SH Sole 1,000 EMERGING MRKTS METALS & MINING TITANS ETF DJ FINL TITANS 268461852 62 1,000 SH Sole 1,000 ENTREE GOLD INC COM 29383G100 2156 750,000 SH Sole 750,000 EOG RESOURCES INC COM 26875P101 10688 115,000 SH Sole 115,000 ETFS PLATINUM TRUST ETF SH BEN INT 26922V101 821 5,000 SH Sole 5,000 EXELON CORPORATION COM 30161N101 263 6,000 SH Sole 6,000 EXETER RESOURCE CORP COM 301835104 2452 400,000 SH Sole 400,000 EXETER RESOURCE CORP COM 301835104 125 20,500 SH Sole 20,500 EXPRESS SCRIPTS INC COMMON COM 302182100 1018 10,000 SH Sole 10,000 EXXON MOBIL CORP COM 30231G102 167 2,500 SH Sole 2,500 F P L GROUP INC COM 302571104 725 15,000 SH Sole 15,000 FIBRIA CELULOSE SA-ADR SP ADR REP COM 31573A109 7658 350,000 SH Sole 350,000 FIBRIA CELULOSE SA-ADR SP ADR REP COM 31573A109 109 5,000 SH Sole 5,000 FIRSTENERGY CORP COM 337932107 508 13,000 SH Sole 13,000 FLOWSERVE CORPORATION COM 34354P105 9924 90,000 SH Sole 90,000 FORD MOTOR CO DEL COM 345370860 314 25,000 SH Sole 25,000 FOSSIL INC COM 349882100 189 5,000 SH Sole 5,000 FOSTER WHEELER AG COM COM H27178104 489 18,000 SH Sole 18,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 24227 290,000 SH Sole 290,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 418 5,000 SH Sole 5,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 418 5,000 SH Sole 5,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 835 10,000 SH Sole 10,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 292 3,500 SH Sole 3,500 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 551 6,600 SH Sole 6,600 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 752 9,000 SH Sole 9,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 276 3,300 SH Sole 3,300 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 1671 20,000 SH CALL Sole 20,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 5012 60,000 SH CALL Sole 60,000 FREEPORT-MCMORAN COPPER & GOLDINC COM 35671D857 8354 100,000 SH CALL Sole 100,000 FRONTIER COMMUNICATIONS CORP COM 35906A108 149 20,000 SH Sole 20,000 GEN MILLS COM 370334104 248 3,500 SH Sole 3,500 GENUINE PARTS CO COM 372460105 169 4,000 SH Sole 4,000 GERDAU SA SPONSORED ADR COM 373737105 163 10,000 SH Sole 10,000 GERDAU SA SPONSORED ADR COM 373737105 734 45,000 SH Sole 45,000 GOLD FIELDS LTD SPONSORED ADR SPONSORED ADR 38059T106 3029 240,000 SH Sole 240,000 GOLD FIELDS LTD SPONSORED ADR SPONSORED ADR 38059T106 5300 420,000 SH Sole 420,000 GOLD FIELDS LTD SPONSORED ADR SPONSORED ADR 38059T106 315 25,000 SH Sole 25,000 GOLDCORP INC CW11 /CAD/ *W EXP 06/09/201 380956177 6235 1,407,241 SH Sole 1,407,241 GOLDCORP INC CW11 /CAD/ *W EXP 06/09/202 380956177 4557 1,028,384 SH Sole 1,028,384 GOLDCORP INC CW11 /CAD/ *W EXP 06/09/203 380956177 16727 3,775,202 SH Sole 3,775,202 GREAT BASIN GOLD LTD COM 390124105 3407 2,000,000 SH Sole 2,000,000 GRUPO TELEVISA SA DE SP ADR REP ORD 40049J206 158 7,500 SH Sole 7,500 HALLIBURTON CO HOLDING COM 406216101 12353 410,000 SH Sole 410,000 HARBIN ELECTRIC INC COM 41145W109 432 20,000 SH Sole 20,000 HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 2939 310,000 SH Sole 310,000 HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 5024 530,000 SH Sole 530,000 HARMONY GOLD MINING CO LTD SPONSORED ADR 413216300 284 30,000 SH Sole 30,000 HCP INC COM 40414L109 198 6,000 SH Sole 6,000 HECLA MINING COM 422704106 929 169,750 SH WTS Sole 169,750 HECLA MINING COM 422704106 1,724 315,250 SH WTS Sole 315,250 HOME INN HOTELS ADR SPONSORED ADR 24M99U481 98 3,000 SH CALL Sole 3,000 HORNBECK OFFSHORE SERVICES INC COM 440543106 6500 350,000 SH Sole 350,000 HORNBECK OFFSHORE COM 440543106 65 3,500 SH CALL Sole 3,500 HUDSON CITY BANCORP INC COM 443683107 170 12,000 SH Sole 12,000 HUNTSMAN CORP COM 447011107 241 20,000 SH Sole 20,000 I SHARES INC MSCI HONG KONG INDEX FUND ETF MSCI HONG KONG 464286871 220 13,500 SH Sole 13,500 I SHARES INC MSCI HONG KONG INDEX FUND ETF MSCI HONG KONG 464286871 65 4,000 SH Sole 4,000 I SHARES MSCI TAIWAN INDEX FUND ETF MSCI TAIWAN 464286731 126 10,000 SH Sole 10,000 I SHARES MSCI TAIWAN INDEX FUND ETF MSCI TAIWAN 464286731 33 2,600 SH Sole 2,600 IAMGOLD CORPORATION COM 450913108 3826 289,400 SH Sole 289,400
IAMGOLD CORPORATION COM 450913108 5394 408,000 SH Sole 408,000 INTEGRYS ENERGY GROUP INC COM 45822P105 190 4,000 SH Sole 4,000 INTEL CORP COM 458140100 167 7,500 SH Sole 7,500 ISHARES MSCI MEXICO INDEX FUND ETF MSCI MEXICO 464286822 35 650 SH Sole 650 ISHARES MSCI SINGAPORE FREE ETF MSCI SINGAPORE 464286673 108 9,400 SH Sole 9,400 ISHARES MSCI SINGAPORE FREE ETF MSCI SINGAPORE 464286673 32 2,800 SH Sole 2,800 ISHARES MSCI SOUTH KOREA INDEXFUND ETF MSCI SOUTH KOREA 464286772 35 700 SH Sole 700 ISHARES TR INDEX DJ US REAL EST DJ US REAL EST 464287739 149 3,000 SH Sole 3,000 ISHARES TR INDEX DJ US REAL EST DJ US REAL EST 464287739 274 5,500 SH Sole 5,500 IVANHOE ENERGY INC COM 465790103 3269 1,000,000 SH Sole 1,000,000 IVANHOE ENERGY INC /CAD/ COM 465790103 166 50,000 SH WTS Sole 50,000 IVANHOE ENERGY INC /CAD/ COM 465790103 62 18,750 SH Sole 18,750 IVANHOE MINES COM 02E99T026 888 50,000 SH CALL Sole 50,000 IVANHOE MINES COM 02E99T026 222 12,500 SH CALL Sole 12,500 IVANHOE MINES COM 02E99T026 621 35,000 SH CALL Sole 35,000 IVANHOE MINES LTD COM 46579N103 9,071 2,500.00 SH CALL Sole 2,500 IVANHOE MINES LTD COM 46579N103 87 5,000.00 SH CALL Sole 5,000 J CREW GROUP INC COM 46612H402 115 2,500 SH Sole 2,500 J CREW GROUP INC COM 46612H402 367 8,000 SH Sole 8,000 JINPAN INTL LTD ORD G5138L100 50 2,400 SH Sole 2,400 JOY GLOBAL INC COM 481165108 8490 150,000 SH Sole 150,000 KEY ENERGY SVCS INC COM 492914106 7067 740,000 SH Sole 740,000 KEY ENERGY SVCS INC COM 492914106 191 20,000 SH Sole 20,000 KINROSS GOLD CORP COM 496902404 5982 350,000 SH Sole 350,000 KINROSS GOLD CORP COM 496902404 5640 330,000 SH Sole 330,000 KINROSS GOLD CORP COM 496902404 0 1 SH Sole 1 KINROSS GOLD CORP /CAD/ COM 496902404 2,510 144,528 SH WTS Sole 144,528 KINROSS GOLD CORP /CAD/ COM 496902404 5,330 306,843 SH WTS Sole 306,843 KINROSS GOLD CORP /CAD/ COM 496902404 5,212 300,039 SH WTS Sole 300,039 KINROSS GOLD CORP /CAD/ COM 496902404 7,159 412,148 SH WTS Sole 412,148 KINROSS GOLD CORP /CAD/ COM 496902404 16,478 948,671 SH WTS Sole 948,671 KINROSS GOLD CORP /CAD/ COM 496902404 13,483 776,234 SH WTS Sole 776,234 LEGGETT & PLATT INC COM 524660107 173 8,000 SH Sole 8,000 LIHIR GOLD LTD SPON ADR SPONSORED ADR 532349107 282 10,000 SH Sole 10,000 LIHIR GOLD LTD SPON ADR SPONSORED ADR 532349107 2816 100,000 SH Sole 100,000 LIHIR GOLD LTD SPON ADR SPONSORED ADR 532349107 3844 136,500 SH Sole 136,500 LILLY /ELI/ & CO COM 532457108 163 4,500 SH Sole 4,500 LINCOLN NATL CORP IND COM 534187109 154 5,000 SH Sole 5,000 LINEAR TECHNOLOGY CORP COM 535678106 170 6,000 SH Sole 6,000 LOCKHEED MARTIN CORP COM 539830109 166 2,000 SH Sole 2,000 LULULEMON ATHLETICA INC COM 550021109 415 10,000 SH Sole 10,000 MADDEN STEVEN LTD COM 556269108 805 16,500 SH Sole 16,500 MADDEN STEVEN LTD COM 556269108 976 20,000 SH CALL Sole 20,000 MAG SILVER CORPORATION /CAD/ COM 55903Q104 3867 510,000 SH Sole 510,000 MAG SILVER CORP /CAD/ COM 55903Q104 116 15,000 SH Sole 15,000 MANITOWOC CO INC COM 563571108 299 23,000 SH Sole 23,000 MARKET VECTORS GOLD MINERS ETF COM 5706OU10 4441 100,000 SH CALL Sole 100,000 MARKET VECTORS JR GOLD MINERS ETF COM 57060U589 1556 60,500 SH PUT Sole 60,500 MARKET VECTORS JR GOLD MINERS ETF COM 57060U589 4900 190,500 SH PUT Sole 190,500 MARKET VECTORS INDONESIA INDEXETF INDONESIA ETF 57060U753 126 1,800 SH Sole 1,800 MARKET VECTORS INDONESIA INDEXETF INDONESIA ETF 57060U753 35 500 SH Sole 500 MC DONALDS CORP COM 580135101 167 2,500 SH Sole 2,500 MCDERMOTT INTL INC COM 580037109 296 11,000 SH Sole 11,000 MEADWESTVACO CORP COM 583334107 153 6,000 SH Sole 6,000 MECHEL STEEL GROUP OAO SPONSORED ADR 583840103 11936 420,000 SH Sole 420,000 MECHEL STEEL GROUP OAO SPONSORED ADR 583840103 284 10,000 SH Sole 10,000 MECHEL STEEL GROUP OAO SPONSORED ADR 583840103 142 5,000 SH Sole 5,000 MEDCO HEALTH SOLUTIONS INC COM 58405U102 258 4,000 SH Sole 4,000 MEDCO HEALTH SOLUTIONS INC COM 58405U102 613 9,500 SH Sole 9,500 MF GLOBAL HOLDINGS LTD COM 55277J108 81 10,000 SH Sole 10,000 MF GLOBAL HOLDINGS LTD COM 55277J108 242 30,000 SH Sole 30,000 MICROCHIP TECHNOLOGY INC COM 595017104 169 6,000 SH Sole 6,000 MINDRAY MEDICAL INTL LTD ADR SPON ADR 602675100 546 15,000 SH Sole 15,000 MINES MANAGEMENT INC COM 603432105 2024 784,500 SH Sole 784,500
MINES MANAGEMENT INC COM 603432105 109 40,900 SH Sole 40,900 MINES MANAGEMENT INC /CAD/ COM 603432105 7 2,500 SH WTS Sole 2,500 MINES MANAGEMENT INC /CAD/ COM 603432105 35 13,000 SH WTS Sole 13,000 MINES MANAGEMENT INC /CAD/ COM 603432105 2,149 795,800 SH WTS Sole 795,800 MINES MANAGEMENT INC /CAD/ COM 603432105 119 44,000 SH WTS Sole 44,000 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 9158 165,000 SH Sole 165,000 MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 167 3,000 SH Sole 3,000 NATIONAL BANK OF GREECE SPONSORED ADR 633643408 2923 720,000 SH Sole 720,000 NATIONAL BANK OF GREECE SPONSORED ADR 633643408 122 30,000 SH Sole 30,000 NATIONAL OILWELL VARCO INC COM 637071101 10145 250,000 SH Sole 250,000 NETFLIX.COM INC COM 64110L106 959 13,000 SH Sole 13,000 NETLOGIC MICROSYSTEMS INC COM 64118B100 294 10,000 SH Sole 10,000 NEW GOLD INC COM 644535106 21 4,823 SH Sole 4,823 NEW GOLD INC COM 644535106 22 5,000 SH Sole 5,000 NEW GOLD INC COM 644535106 1721 400,000 SH Sole 400,000 NEW GOLD INC COM 644535106 861 200,000 SH Sole 200,000 NEW GOLD INC /CAD/ COM 644535106 1,100 251,800 SH WTS Sole 251,800 NEW GOLD INC /CAD/ COM 644535106 4,807 1,099,900 SH WTS Sole 1,099,900 NEW GOLD INC /CAD/ COM 644535106 3,595 822,570 SH WTS Sole 822,570 NEW GOLD INC /CAD/ COM 644535106 1,541 352,530 SH WTS Sole 352,530 NEW GOLD INC /CAD/ COM 644535106 1,345 307,840 SH WTS Sole 307,840 NEW GOLD INC /CAD/ COM 644535106 39 8,850 SH WTS Sole 8,850 NEW GOLD INC /CAD/ COM 644535106 1,090 249,510 SH WTS Sole 248,510 NEW GOLD INC /CAD/ COM 644535106 473 108,250 SH WTS Sole 108,250 NEW GOLD INC /CAD/ COM 644535106 128 29,400 SH WTS Sole 29,400 NEW GOLD INC /CAD/ COM 644535106 142 32,600 SH WTS Sole 32,600 NEW GOLD INC /CAD/ COM 644535106 25 5,750 SH WTS Sole 5,750 NEW GOLD INC /CAD/ COM 644535106 125 28,500 SH WTS Sole 28,500 NEW GOLD INC /CAD/ COM 644535106 262 59,950 SH WTS Sole 59,950 NEWFIELD EXPLORATION CO COM 651290108 468 9,000 SH Sole 9,000 NEWMONT MINING CORP COM 651639106 4584 90,000 SH Sole 90,000 NEWMONT MINING CORP COM 651639106 3056 60,000 SH Sole 60,000 NEWMONT MINING CORP COM 651639106 3107 61,000 SH CALL Sole 61,000 NEWMONT MINING CORP COM 651639106 8658 170,000 SH CALL Sole 170,000 NEWMONT MINING CORP COM 651639106 4248 83,400 SH CALL Sole 83,400 NEWMONT MINING CORP COM 651639106 13247 260,100 SH CALL Sole 260,100 NISOURCE INC COM 65473P105 158 10,000 SH Sole 10,000 NOBLE ENERGY INC COM 655044105 11680 160,000 SH Sole 160,000 NORTHERN DYNASTY MINERALS COM 66510M204 4766 500,000 SH Sole 500,000 NORTHERN DYNASTY MINERALS COM 66510M204 6195 650,000 SH Sole 650,000 NORTHROP GRUMMAN CORP COM 666807102 164 2,500 SH Sole 2,500 NUCOR CORP COM 670346105 159 3,500 SH Sole 3,500 NUSTAR ENERGY LP UNIT COM 67058H102 453 7,500 SH Sole 7,500 NUSTAR ENERGY LP UNIT COM 67058H102 121 2,000 SH Sole 2,000 OCCIDENTAL PETROLEUM COM 674599105 24094 285,000 SH Sole 285,000 ORIGIN AGRITECH LTD SHS G67828106 500 50,000 SH Sole 50,000 ORIGIN AGRITECH LTD SHS G67828106 75 7,500 SH Sole 7,500 PACIFIC RIM MINING CORP COM 694915208 877 4,738,813 SH Sole 4,738,813 PACIFIC RIM MINING CORP COM 694915208 127 661,900 SH Sole 661,900 PAN AMERICAN SILVER CORP COM 697900108 2315 100,000 SH Sole 100,000 PAN AMERICAN SILVER CORP COM 697900108 3010 130,000 SH Sole 130,000 PANERA BREAD COMPANY CL A CL A 69840W108 116 1,500 SH Sole 1,500 PAYCHEX INC COM 704326107 169 5,500 SH Sole 5,500 PEABODY ENERGY CORP COM 704549104 17138 375,000 SH Sole 375,000 PEABODY ENERGY CORP COM 704549104 343 7,500 SH Sole 7,500 PEPCO HOLDINGS INC COM 713291102 172 10,000 SH Sole 10,000 PETROHAWK ENERGY CORP COM 716495106 2893 142,674 SH Sole 142,674 PHILIP MORRIS INTERNATIONAL COM 718172109 156 3,000 SH Sole 3,000 PLAINS ALL AMER PIPELINE LP UNIT LTD PARTN 726503105 185 3,250 SH Sole 3,250 PLATINUM GROUP METALS COM NEW 72765Q205 2065 1,070,000 SH Sole 1,070,000 POWERSHARES INDIA PORTFOLIO TRUST ETF INDIA PORT 73935L100 34 1,500 SH Sole 1,500 PRICELINE.COM INC COM 741503403 1275 5,000 SH Sole 5,000 QWEST COMMUNICATIONS INTL COM 749121109 183 35,000 SH Sole 35,000 RACKSPACE HOSTING INC COM 750086100 375 20,000 SH Sole 20,000
RACKSPACE HOSTING INC COM 750086100 562 30,000 SH Sole 30,000 RADIAN GROUP INC COM 750236101 117 7,500 SH Sole 7,500 RANDGOLD RESOURCES LTD ADR ADR 752344309 16711 217,500 SH Sole 217,500 RANDGOLD RESOURCES LTD ADR ADR 752344309 18900 246,000 SH Sole 246,000 RANDGOLD RESOURCES LTD ADR ADR 752344309 922 12,000 SH Sole 12,000 RANDGOLD RESOURCES LTD ADR ADR 752344309 384 5,000 SH Sole 5,000 RANDGOLD RESOURCES LTD ADR ADR 752344309 48019 625,000 SH Sole 625,000 RANDGOLD RESOURCES LTD ADR ADR 752344309 230 3,000 SH Sole 3,000 RANGE RESOURCES CORP COM 75281A109 4687 100,000 SH Sole 100,000 RAYTHEON COMPANY COM 755111507 171 3,000 SH Sole 3,000 REGAL ENTERTAIMENT GROUP-A CL A 758766109 334 19,000 SH Sole 19,000 RESEARCH IN MOTION COM 760975102 222 3,000 SH Sole 3,000 RESEARCH IN MOTION COM 760975102 296 4,000 SH Sole 4,000 REYNOLDS AMERICAN INC COM 761713106 162 3,000 SH Sole 3,000 RICHMONT MINES INC COM 76547T106 2184 550,000 SH Sole 550,000 RIVERBED TECHNOLOGY INC COM 768573107 852 30,000 SH Sole 30,000 ROYAL GOLD INC COM 780287108 10397 225,000 SH Sole 225,000 ROYAL GOLD INC COM 780287108 10472 226,625 SH Sole 226,625 RUBICON MINERALS CORP COM 780911103 7641 2,000,000 SH Sole 2,000,000 RUBICON MINERALS CORP /CAD/ COM 780911103 116 30,000 SH Sole 30,000 RUBICON MINERALS CORP /CAD/ COM 780911103 658 169,600 SH Sole 169,600 SALESFORCE.COM INC COM 79466L302 186 2,500 SH Sole 2,500 SELECT SECTOR SPDR TR SBI INT- ENERGY 81369Y506 863 15,000.00 SH PUT Sole 15,000 SHERWIN WILLIAMS COM 824348106 169 2,500 SH Sole 2,500 SILVERCORP METALS INC COM 82835P103 5106 744,000 SH Sole 744,000 SILVERCORP METALS INC COM 82835P103 10215 1,488,500 SH Sole 1,488,500 SILVERCORP METALS INC COM 82835P103 463 67,500 SH Sole 67,500 SILVER WHEATON CORP /CAD/ COM 828336107 20,222 1,267,820 SH WTS Sole 1,267,820 SILVER WHEATON CORP /CAD/ COM 828336107 4,953 310,540 SH WTS Sole 310,540 SILVER WHEATON CORP /CAD/ COM 828336107 6,197 388,540 SH WTS Sole 388,540 SILVER WHEATON CORP /CAD/ COM 828336107 6,744 422,795 SH WTS Sole 422,795 SILVER WHEATON CORP /CAD/ COM 828336107 8,840 554,206 SH WTS Sole 554,206 SILVER WHEATON CORP /CAD/ COM 828336107 3,728 233,744 SH WTS Sole 233,744 SILVER WHEATON CORP /CAD/ COM 828336107 177 11,071 SH WTS Sole 11,071 SINOVAC BIOTECH LTD COM P8696W104 148 25,000 SH Sole 25,000 SKECHERS USA INC CL A CL A 830566105 345 9,500 SH Sole 9,500 SOLITARIO EXPLORATION & ROYALTY COM 8342EP107 2056 994,522 SH Sole 994,522 SOUTHWESTERN ENERGY CO COM 845467109 15270 375,000 SH Sole 375,000 SPDR GOLD TRUST GOLD SHS 78463V107 163 1,500 SH Sole 1,500 SPDR GOLD TRUST GOLD SHS 78463V107 3377 31,000 SH Sole 31,000 SPDR GOLD TRUST GOLD SHS 78463V107 8237 75,600 SH Sole 75,600 SPDR GOLD TRUST GOLD SHS 78463V107 370 3,400 SH Sole 3,400 SPDR KBW BANK ETF SPDR KBW BK ETF 78464A797 323 12,500 SH Sole 12,500 SPDR KBW BANK ETF SPDR KBW BK ETF 78464A797 581 22,500 SH Sole 22,500 SPDR S&P EMERGING EUROPE ETF EUROPE ETF 78463X608 91 2,000 SH Sole 2,000 SPDR SERIES TRUST BRCLYS YLD ETF BRCLYS YLD ETF 78464A417 159 4,000 SH Sole 4,000 SPDR SERIES TRUST S&P METALS MNG 78464A755 852 15,000.00 SH PUT Sole 15,000 SPDR SERIES TRUST S&P METALS MNG 78464A755 2,841 50,000.00 SH PUT Sole 50,000 SPECTRA ENERGY CORP COM 847560109 180 8,000 SH Sole 8,000 SPROTT PHYSICAL GOLD TRUST ETF UNIT COM 85207H104 1632 165,000 SH Sole 165,000 SPROTT PHYSICAL GOLD TRUST ETF UNIT COM 85207H104 3808 385,000 SH Sole 385,000 ST JUDE MEDICAL INC COM 790849103 164 4,000 SH Sole 4,000 STANTEC INC COM 85472N109 392 15,000 SH Sole 15,000 STEEL DYNAMICS INC COM 858119100 314 18,000 SH Sole 18,000 SUNOCO INC COM 86764P109 178 6,000 SH Sole 6,000 TAIWAN SEMICONDUCTOR SPONSORED ADR SPONSORED ADR 874039100 105 10,000 SH Sole 10,000 TAIWAN SEMICONDUCTOR SPONSORED ADR SPONSORED ADR 874039100 420 40,000 SH Sole 40,000 TECK RESOURCES LTD CLS B CL B 878742204 22216 510,000 SH Sole 510,000 TECK RESOURCES LTD CLS B CL B 878742204 871 20,000 SH Sole 20,000 TECK RESOURCES LTD CLS B CL B 878742204 784 18,000 SH Sole 18,000 TECK RESOURCES LTD CLS B CL B 878742204 196 4,500 SH Sole 4,500 TELESTONE TECHNOLOGIES CORP COM 87953J102 438 25,000 SH Sole 25,000 TELESTONE TECHNOLOGIES CORP COM 87953J102 193 11,000 SH Sole 11,000 TENARIS SA ADR SPONSORED ADR 88031M109 10950 255,000 SH Sole 255,000
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