0001140361-14-039429.txt : 20141030
0001140361-14-039429.hdr.sgml : 20141030
20141029174901
ACCESSION NUMBER: 0001140361-14-039429
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20140930
FILED AS OF DATE: 20141030
DATE AS OF CHANGE: 20141029
EFFECTIVENESS DATE: 20141030
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: GABELLI SECURITIES, INC.
CENTRAL INDEX KEY: 0000932724
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10598
FILM NUMBER: 141181091
BUSINESS ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: 914-921-5000
MAIL ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
FORMER COMPANY:
FORMER CONFORMED NAME: GABELLI SECURITIES INC
DATE OF NAME CHANGE: 19941114
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0000932724
XXXXXXXX
09-30-2014
09-30-2014
GABELLI SECURITIES, INC.
One Corporate Center
Rye
NY
10580
13F HOLDINGS REPORT
028-10598
N
Douglas R. Jamieson
President
914-921-5020
/s/ Douglas R. Jamieson
Rye
NY
10-27-2014
0
173
626580
false
INFORMATION TABLE
2
form13fInfoTable.xml
ACTAVIS PLC SHS
COM
G0083B108
3413
14146
SH
SOLE
14146
0
0
ADCARE HEALTH SYSTEMS INC
COM
00650W300
47
10000
SH
SOLE
10000
0
0
ADOBE SYSTEMS INC COM
COM
00724F101
692
10000
SH
SOLE
10000
0
0
ADT CORPORATION COM
COM
00101J106
1064
30000
SH
SOLE
30000
0
0
AKAMAI TECHNOLOGIES INC COM
COM
00971T101
538
9000
SH
SOLE
9000
0
0
ALCOA INC
COM
013817951
200
20000
SH
Put
SOLE
0
0
0
ALERE INC
COM
01449J105
3120
80466
SH
SOLE
80466
0
0
ALLERGAN INC
COM
018490102
7536
42293
SH
SOLE
42293
0
0
AMC NETWORKS INC CL A
COM
00164V103
1782
30500
SH
SOLE
30500
0
0
AMKOR TECHNOLOGY INC
COM
031652950
350
50000
SH
Put
SOLE
0
0
0
AMER RLTY CAP HEALTHCAR TR ICO
COM
02917R108
4591
438100
SH
SOLE
438100
0
0
AMERICAN EXPRESS CO
COM
025816109
306
3500
SH
SOLE
3500
0
0
AMGEN INC
COM
031162100
211
1500
SH
SOLE
1500
0
0
ANGLOGOLD ASHANTI LTD
COM
035128906
500
20000
SH
Call
SOLE
0
0
0
ANNIE'S INC
COM
03600T104
8996
196002
SH
SOLE
196002
0
0
APACHE CORP
COM
037411105
1877
20000
SH
SOLE
20000
0
0
ASCMA 4 07/15/20 CV
CONVERTIBLE BOND
043632AA6
229
250000
PRN
SOLE
250000
0
0
ASTRAZENECA PLC ADR SPONSORED
COM
046353108
2290
32050
SH
SOLE
32050
0
0
ATHLON ENERGY INC COM
COM
047477104
11011
189100
SH
SOLE
189100
0
0
AURICO GOLD INC COM
COM
05155C105
45
13000
SH
SOLE
13000
0
0
AURICO GOLD INC
COM
05155C905
275
55000
SH
Call
SOLE
0
0
0
AUXILIUM PHARMACEUTICALS INCCO
COM
05334D107
1940
64999
SH
SOLE
64999
0
0
BIOTA HOLDINGS LTD
COM
090694100
934
378107
SH
SOLE
378107
0
0
B2GOLD CORP COM NPV
COM
11777Q209
893
391698
SH
SOLE
391698
0
0
BALLY TECHNOLOGIES INC COM
COM
05874B107
9962
123444
SH
SOLE
123444
0
0
BANCO SANTANDER BRASIL S A ADS
COM
05967A107
5864
896567
SH
SOLE
896567
0
0
BANK OF AMERICA
COM
060505104
1854
108729
SH
SOLE
108729
0
0
BANK OF NEW YORK MELLON CORP
COM
064058100
426
11000
SH
SOLE
11000
0
0
BE AEROSPACE INC COM
COM
073302101
1234
14700
SH
SOLE
14700
0
0
BGC 4 1/2 11/15/29
CONVERTIBLE BOND
369300AL2
469
675000
PRN
SOLE
675000
0
0
BIOSCRIP INC
COM
09069N108
1421
205706
SH
SOLE
205706
0
0
BLYTH INC
COM
09643P207
716
88200
SH
SOLE
88200
0
0
BOB EVANS FARMS INC COM
COM
096761101
2727
57596
SH
SOLE
57596
0
0
BOLT TECHNOLOGY CORP
COM
097698104
3377
153919
SH
SOLE
153919
0
0
BOYD GAMING CORP
COM
103304101
2285
224920
SH
SOLE
224920
0
0
BROOKDALE SR LIVING INC COM
COM
112463104
860
26701
SH
SOLE
26701
0
0
BROOKFIELD PPTY PARTNERS L PUN
COM
G16249107
754
35770
SH
SOLE
35770
0
0
CABLEVISION SYS NY GROUP A
COM
12686C109
284
16200
SH
SOLE
16200
0
0
CABLEVISION SYS CORP
COM
12686C959
420
30000
SH
Put
SOLE
0
0
0
CBS CORP CLASS A
COM
124857103
450
8400
SH
SOLE
8400
0
0
CBS OUTDOOR AMERS INC COM
COM
14987J106
617
20600
SH
SOLE
20600
0
0
CHEMTURA CORP COM NEW
COM
163893209
2764
118479
SH
SOLE
118479
0
0
CHICOS FAS INC COM
COM
168615102
1930
130657
SH
SOLE
130657
0
0
CHIPOTLE MEXICAN GRILL INC CL
COM
169656105
4333
6500
SH
SOLE
6500
0
0
CIE 2.625% 12/01/19
CONVERTIBLE BOND
19075FAA4
975
1175000
PRN
SOLE
1175000
0
0
CINCINNATI BELL
COM
171871106
1288
382067
SH
SOLE
382067
0
0
CLEAR CHANNEL OUTDOOR HLDGS CL
COM
18451C109
101
15000
SH
SOLE
15000
0
0
CLECO CORP NEW COM
COM
12561W105
1226
25462
SH
SOLE
25462
0
0
COMCAST CORP CL A SPL
COM
20030N200
241
4500
SH
SOLE
4500
0
0
COMMUNITY HEALTH SYSTEMS-CVR
WARRANT AND RIGH
203668116
17
492630
SH
SOLE
492630
0
0
COMPUWARE CORP COM
COM
205638109
11739
1106409
SH
SOLE
1106409
0
0
COMVERSE INC COM
COM
20585P105
929
41615
SH
SOLE
41615
0
0
CONCUR TECHNOLOGIES INC COM
COM
206708109
27903
220020
SH
SOLE
220020
0
0
CONVERSANT INC COM
COM
21249J105
1137
33200
SH
SOLE
33200
0
0
COOPER TIRE & RUBBER CO
COM
216831107
2862
99709
SH
SOLE
99709
0
0
CORCEPT THERAPEUTICS INC OC-CO
COM
218352102
268
100000
SH
SOLE
100000
0
0
CORNING INC
COM
219350105
203
10500
SH
SOLE
10500
0
0
COVIDIEN LTD
COM
G2554F113
16678
192791
SH
SOLE
192791
0
0
CUBIST PHARMACEUTICALS CVR
WARRANT AND RIGH
229678123
98
815317
SH
SOLE
815317
0
0
CURTISS WRIGHT CORP
COM
231561101
330
5000
SH
SOLE
5000
0
0
DAVITA INC
COM
23918K108
256
3500
SH
SOLE
3500
0
0
DEVON ENERGY CORP NEW
COM
25179M103
2045
30000
SH
SOLE
30000
0
0
DIRECTV
COM
25490A309
19607
226619
SH
SOLE
226619
0
0
DRESSER-RAND GROUP INC COM
COM
261608103
11054
134378
SH
SOLE
134378
0
0
EATON CORP PLC SHS
COM
G29183103
501
7900
SH
SOLE
7900
0
0
ECHOSTAR CORP-A
COM
278768106
853
17500
SH
SOLE
17500
0
0
EINSTEIN NOAH REST GROUP INCCO
COM
28257U104
2935
145581
SH
SOLE
145581
0
0
ELIZABETH ARDEN INC
COM
28660G106
731
43673
SH
SOLE
43673
0
0
ENERGY XXI (BERMUDA) LTD
COM
G10082140
2791
245911
SH
SOLE
245911
0
0
FAMILY DLR STORES INC
COM
307000109
5716
74000
SH
SOLE
74000
0
0
FEDERAL MOGUL CORP CL A
COM
313549404
533
35872
SH
SOLE
35872
0
0
FERRO CORP
COM
315405100
284
19600
SH
SOLE
19600
0
0
FORTEGRA FINL CORP COM
COM
34954W104
611
61800
SH
SOLE
61800
0
0
FOSTER WHEELER AGR
COM
H27178104
5308
167874
SH
SOLE
167874
0
0
GENERAL MOTORS CO
COM
37045V900
400
10000
SH
Call
SOLE
0
0
0
GLIMCHER RLTY TR SH BEN INT
COM
379302102
3080
227500
SH
SOLE
227500
0
0
GRAHAM HOLDINGS CO.
COM
384637104
844
1207
SH
SOLE
1207
0
0
GRIFOLS SA SP ADR REP B NVT
COM
398438408
734
20898
SH
SOLE
20898
0
0
GRUPO TELEVISA SA DE CV ADR (B
COM
40049J206
305
9000
SH
SOLE
9000
0
0
GULF COAST ULTRA DEEP RTY TR R
UNITS
40222T104
3364
1682001
SH
SOLE
1682001
0
0
HARVEST NAT RES INC COM
COM
41754V103
832
226760
SH
SOLE
226760
0
0
HERTZ GLOBAL HOLDINGS INC COM
COM
42805T105
3263
128500
SH
SOLE
128500
0
0
HESS CORP
COM
42809H107
943
10000
SH
SOLE
10000
0
0
HUDSON CITY BANCORP INC COM
COM
443683107
9634
991134
SH
SOLE
991134
0
0
ICU MEDICAL INC
COM
44930G107
1066
16616
SH
SOLE
16616
0
0
INTEGRYS ENERGY GROUP INC
COM
45822P105
2411
37200
SH
SOLE
37200
0
0
INTEL CORP 3.25% 8/1/39 144A
CONVERTIBLE BOND
458140AF7
209
125000
PRN
SOLE
125000
0
0
INTERNATIONAL GAME TECH
COM
459902102
33811
2004185
SH
SOLE
2004185
0
0
INTERNATIONAL RECTIFIER CORPCO
COM
460254105
14330
365184
SH
SOLE
365184
0
0
INTERPUBLIC GROUP COS INC
COM
460690100
2352
128400
SH
SOLE
128400
0
0
INTL FLAVORS & FRAGRANCES
COM
459506101
719
7500
SH
SOLE
7500
0
0
ISHARES TR HIGH YLD CORP
MUTUAL FUNDS
464288513
920
10000
SH
SOLE
10000
0
0
KEY ENERGY SVCS INC COM
COM
492914106
104
21500
SH
SOLE
21500
0
0
KIMBALL INTL INC CL B
COM
494274103
1346
89459
SH
SOLE
89459
0
0
KINDER MORGAN EGY PTNS L P UT
COM
494550106
3545
38000
SH
SOLE
38000
0
0
KINDER MORGAN INC WT EXP 05/25
WARRANT AND RIGH
49456B119
1419
389710
SH
SOLE
389710
0
0
KODIAK OIL & GAS CORP COM
COM
50015Q100
4987
367515
SH
SOLE
367515
0
0
KODIAK OIL & GAS CORP
COM
50015Q950
200
20000
SH
Put
SOLE
0
0
0
LENNAR B SHARES
COM
526057302
3050
95279
SH
SOLE
95279
0
0
LEXICON PHARMACEUTICALS INC
COM
528872104
21
15000
SH
SOLE
15000
0
0
LIBERTY TRIPADVISOR HLDG-A
COM
531465102
622
18338
SH
SOLE
18338
0
0
LIBERTY VENTURES SER A
COM
53071M880
696
18338
SH
SOLE
18338
0
0
LIN MEDIA LLC - A
COM
532771102
4004
180350
SH
SOLE
180350
0
0
LIPOSCIENCE INC COM
COM
53630M108
1275
246200
SH
SOLE
246200
0
0
LORAL SPACE & COMMUNICATNS ICO
COM
543881106
2621
36497
SH
SOLE
36497
0
0
LORILLARD INC COM
COM
544147101
4661
77800
SH
SOLE
77800
0
0
MARKET VECTORS ETF TR GOLD MIN
MUTUAL FUNDS
57060U100
747
35000
SH
SOLE
35000
0
0
MEAD JOHNSON
COM
582839106
1443
15000
SH
SOLE
15000
0
0
MEASUREMENT SPECIALTIES INC CO
COM
583421102
18967
221553
SH
SOLE
221553
0
0
MEDICAL ACTION INDS INC COM
COM
58449L100
4251
308519
SH
SOLE
308519
0
0
MIC 2.875% 07/15/19
CORPORATE BONDS
55608BAA3
307
275000
PRN
SOLE
275000
0
0
MICROSOFT CORP
COM
594918104
464
10000
SH
SOLE
10000
0
0
MOLYCORP INC DEL COM
COM
608753109
34
28200
SH
SOLE
28200
0
0
MONDELEZ INTERNATIONAL
COM
609207105
343
10000
SH
SOLE
10000
0
0
MORGANS HOTEL GROUP CO COM
COM
61748W108
5230
648076
SH
SOLE
648076
0
0
MOVE INC
COM
62458M207
8795
419586
SH
SOLE
419586
0
0
MULTIMEDIA GAMES INC COM
COM
625453105
2126
59051
SH
SOLE
59051
0
0
NATIONAL FUEL GAS CO N J COM
COM
636180101
315
4500
SH
SOLE
4500
0
0
NATIONAL INTERSTATE CORP COM
COM
63654U100
2624
94059
SH
SOLE
94059
0
0
NEOGENOMICS INC COM NEW
COM
64049M209
104
20000
SH
SOLE
20000
0
0
NEWMONT MINING CORP HOLDING CO
COM
651639106
356
15450
SH
SOLE
15450
0
0
NII HLDGS INC CL B NEW
COM
62913F201
1
15500
SH
SOLE
15500
0
0
PEP BOYS MANNY MOE & JACK
COM
713278109
1171
131457
SH
SOLE
131457
0
0
PEPSICO INC
COM
713448108
931
10000
SH
SOLE
10000
0
0
PEREGRINE SEMICONDUCTOR CORPCO
COM
71366R703
4148
335300
SH
SOLE
335300
0
0
PHH CORP COM NEW
COM
693320202
4933
220630
SH
SOLE
220630
0
0
PIKE ELECTRIC CORP
COM
721283109
3228
271457
SH
SOLE
271457
0
0
POST HOLDINGS INC
COM
737446104
1128
34000
SH
SOLE
34000
0
0
PROSHARES TRUST PSHS ULSHT SP5
ETF - EQUITY
74347B300
247
10000
SH
SOLE
10000
0
0
PROTECTIVE LIFE CORP COM
COM
743674103
26488
381619
SH
SOLE
381619
0
0
QUIMICA Y MINERA
COM
833635105
784
30000
SH
SOLE
30000
0
0
QR ENERGY LP
COM
74734R958
105
7000
SH
Put
SOLE
0
0
0
RITE AID CORP COM
COM
767754104
97
20000
SH
SOLE
20000
0
0
RIVERBED TECHNOLOGY INC COM
COM
768573107
4520
243726
SH
SOLE
243726
0
0
ROCKWOOD HLDGS INC COM
COM
774415103
21941
287000
SH
SOLE
287000
0
0
ROWAN COMPANIES PLC SHS CL A
COM
G7665A101
881
34800
SH
SOLE
34800
0
0
SAFEWAY INC COM NEW
COM
786514208
22260
648979
SH
SOLE
648979
0
0
SANOFI-AVENTIS-CVR
COM
80105N113
148
318241
SH
SOLE
318241
0
0
SEADRILL LIMITED
COM
G7945E955
250
10000
SH
Put
SOLE
0
0
0
SHANDA GAMES LTD SP ADR REPTG
COM
81941U105
2491
380946
SH
SOLE
380946
0
0
SHIRE PLC ADR
COM
82481R106
16846
65030
SH
SOLE
65030
0
0
SHUTTERFLY INC COM
COM
82568P304
3134
64300
SH
SOLE
64300
0
0
SIGMA ALDRICH CORP
COM
826552101
11452
84200
SH
SOLE
84200
0
0
SIRIUS XM HOLDINGS INC
COM
82968B103
3493
1000934
SH
SOLE
1000934
0
0
SNDK 1 1/2 08/17
CONVERTIBLE BOND
80004CAD3
242
125000
PRN
SOLE
125000
0
0
SNYDERS LANCE INC COM
COM
833551104
265
10000
SH
SOLE
10000
0
0
SONY CORP-ADR (B:SNE US)
COM
835699307
271
15000
SH
SOLE
15000
0
0
SPWRA 4 1/2 03/15
CONVERTIBLE BOND
867652AE9
1544
1000000
PRN
SOLE
1000000
0
0
STATOIL ASA SPONSORED ADR
COM
85771P102
1086
40000
SH
SOLE
40000
0
0
SWS GROUP INC
COM
78503N107
1147
166469
SH
SOLE
166469
0
0
TELEPHONE & DATA SYS
COM
879433829
379
15800
SH
SOLE
15800
0
0
TIBCO SOFTWARE INC
COM
88632Q103
9296
393400
SH
SOLE
393400
0
0
TIM HORTONS INC COM
COM
88706M103
4358
55300
SH
SOLE
55300
0
0
TIME WARNER CABLE INC COM
COM
88732J207
15040
104813
SH
SOLE
104813
0
0
TIME WARNER INC COM
COM
887317303
1418
18850
SH
SOLE
18850
0
0
TIME WARNER INC
COM
887317903
925
10000
SH
Call
SOLE
0
0
0
TRI POINTE HOMES INC COM
COM
87265H109
357
27600
SH
SOLE
27600
0
0
TRIQUINT SEMICONDUCTOR INC COM
COM
89674K103
11727
614961
SH
SOLE
614961
0
0
TRULIA INC COM
COM
897888103
14218
290750
SH
SOLE
290750
0
0
TRW AUTOMOTIVE HOLDINGS CORP
COM
87264S106
24138
238400
SH
SOLE
238400
0
0
TW TELECOM INC
COM
87311L104
17964
431733
SH
SOLE
431733
0
0
TWENTY FIRST CENTY FOX B
COM
90130A200
456
13700
SH
SOLE
13700
0
0
T-MOBILE US INC
COM
872590104
7158
247947
SH
SOLE
247947
0
0
T-MOBILE US INC
COM
872590904
1700
50000
SH
Call
SOLE
0
0
0
UNIVERSAL AMERICAN CORP
COM
91338E101
757
94145
SH
SOLE
94145
0
0
URS CORP NEW COM
COM
903236107
2950
51203
SH
SOLE
51203
0
0
VERIZON COMMUNICATIONS
COM
92343V104
2306
46133
SH
SOLE
46133
0
0
VIACOM INC NEW CL A
COM
92553P102
624
8100
SH
SOLE
8100
0
0
WEATHERFORD INTERNATIONAL PLC
COM
G48833100
940
45207
SH
SOLE
45207
0
0
WELLS FARGO & CO NEW
COM
949746101
4240
81743
SH
SOLE
81743
0
0
WRIGHT MEDICAL GROUP INC-CVR 3
COM
98235T115
55
25569
SH
SOLE
25569
0
0
X 2 3/4 04/01/19
CONVERTIBLE BOND
912909AH1
206
125000
PRN
SOLE
125000
0
0
YAHOO INC.
COM
984332106
1455
35700
SH
SOLE
35700
0
0