-----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, DnqztTfc5f/3UDjys1JBxESflM9AQBNMBkTpL/0yPIbvDxgbkTMNyrLARVK/tUdF sdaGEUJ/OH3pXMV8rV8FSQ== 0000922423-08-000455.txt : 20080509 0000922423-08-000455.hdr.sgml : 20080509 20080508173812 ACCESSION NUMBER: 0000922423-08-000455 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080331 FILED AS OF DATE: 20080509 DATE AS OF CHANGE: 20080508 EFFECTIVENESS DATE: 20080509 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST NEW YORK SECURITIES LLC /NY CENTRAL INDEX KEY: 0001111629 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11898 FILM NUMBER: 08815318 BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 kl05010.txt 13F HOLDINGS REPORT 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, 2008 -------------- 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: FIRST NEW YORK SECURITIES LLC ------------------------------------ Address: 90 PARK AVENUE, 5TH FLOOR ------------------------------------ NEW YORK, NY 10016 ------------------------------------ ------------------------------------ Form 13F File Number: 028-11898 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: HARRIS SUFIAN ------------------------------------ Title: MANAGING MEMBER ----------------------------------- Phone: (212) 331-6853 ----------------------------------- Signature, Place, and Date of Signing: /s/ Harris Sufian New York, NY May 8, 2008 ----------------- --------------------- ----------- 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-________________ _________________________ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Number 13F Information Table Entry Total: 418 Form 13F Information Table Value Total: $545,283,480 List of Other Included Managers: N/A 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 - -
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- ABB LTD SPONSORED ADR 000375204 3300 122600 SH Sole Sole ABBOTT LABS COM COM 002824100 1555 28200 SH Sole Sole ABERCROMBIE & FITCH CO CL A 002896207 267 3661 SH Sole Sole ACERGY S A SPONSORED ADR 00443E104 1652 77400 SH Sole Sole ACORN ENERGY INC COM 004848107 359 76420 SH Sole Sole ADOBE SYSTEMS INC (DE) COM COM 00724F101 301 8447 SH Sole Sole ADVENTRX PHARMACEUTICALS INC COM 00764X103 135 250000 SH Sole Sole AEROPOSTALE INC COM 007865108 390 14400 SH Sole Sole AGRIUM INC COM 008916108 458 5500 SH P Sole Sole AGRIUM INC COM COM 008916108 366 5900 SH Sole Sole AIR TRAN HOLDINGS INC COM 00949P108 275 41600 SH Sole Sole ALADDIN KNOWLEDGE SYSTEMS LTD CMN COM M0392N101 299 15712 SH Sole Sole ALBERTO-CULVER COMPANY CMN COM 013078100 593 21630 SH Sole Sole ALCOA INC COM 013817101 361 10000 SH Sole Sole ALLIANCE DATA SYSTEMS CORP COM 018581108 713 15000 SH Sole Sole ALLIANZ SE SP ADR 1/10 SH 018805101 197 10000 SH Sole Sole ALTRIA GROUP INC COM 02209S103 3545 159675 SH Sole Sole ALUMINA LTD SPONSORED ADR 022205108 486 23853 SH Sole Sole ALUMINUM CORP CHINA LTD SPON ADR H SHS 022276109 2710 67022 SH Sole Sole AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 637 10000 SH Sole Sole AMERICAN FINL RLTY TR COM 02607P305 8049 1013754 SH Sole Sole AMERICAN OIL & GAS INC NEW COM 028723104 638 195000 SH Sole Sole AMEX S & P DEPOSITARY RECEIPT (SPDR UNIT SER 1 78462F103 1262 9563 SH Sole Sole AMEX S & P DEPOSITARY RECEIPTS UNIT SER 1 78462F103 1,145 8200 SH P Sole Sole AMEX S & P DEPOSITARY RECEIPTS UNIT SER 1 78462F103 3,049 23100 SH C Sole Sole AMR CORP COM 001765106 113 12500 SH Sole Sole ANADARKO PETE CORP COM 032511107 630 10000 SH C Sole Sole ANHEUSER BUSCH CO INC COM 035229103 627 13220 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- ANOORAQ RES CORP COM 03633E108 163 48100 SH Sole Sole APPLIED MATERIALS INC COM COM 038222105 570 29200 SH Sole Sole ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 2708 33100 SH Sole Sole ARES CAPITAL CORPORATION CMN COM 04010L103 176 14000 SH Sole Sole ARROW ELECTRS INC COM 042735100 202 6000 SH Sole Sole ASE TEST LTD ORD Y02516105 3007 206687 SH Sole Sole ASIALNFO HOLDINGS INC COM 04518A104 110 10100 SH Sole Sole ASYST TECHNOLOGY CORP COM 04648X107 70 20000 SH Sole Sole ATMEL CORP COM COM 049513104 670 192511 SH Sole Sole AUXILIUM PHARMACEUTICALS INC COM 05334D107 1070 40000 SH Sole Sole AVIZA TECHNOLOGY INC COM 05381A105 16 28735 SH Sole Sole AXA SPONSORED ADR 054536107 433 12000 SH Sole Sole BALL CORPORATION COM COM 058498106 280 6100 SH Sole Sole BANCO BILBAO VIZCAYAARGENTA SPONSORED ADR 05946K101 5535 251727 SH Sole Sole BANK OF NEW YORK MELLON CORP COM 064058100 2379 57000 SH P Sole Sole BAXTER INTL INC COM 071813109 1735 30000 SH P Sole Sole BEA SYS INC COM 073325102 890 46486 SH Sole Sole BEAR STEARNS COS INC COM 073902108 105 10000 SH P Sole Sole BECKMAN COULTER INC COM 075811109 396 6140 SH Sole Sole BECKMAN COULTER INC COM 075811109 500 7700 SH C Sole Sole BERKSHIRE HATHAWAY INC CL-B HOLDING CL B 084670207 581 130 SH Sole Sole BHP BILLITON LTD SPONSORED ADR 088606108 984 14943 SH Sole Sole BLOCKBUSTER INC CL A 093679108 98 30000 SH Sole Sole BMC SOFTWARE INC COM 055921100 648 19941 SH Sole Sole BORG WARNER INC COM COM 099724106 1188 27600 SH Sole Sole BOSTON SCIENTIFIC CORP COM 101137107 2897 225100 SH Sole Sole BP PLC SPONSORED ADR 055622104 2001 33000 SH Sole Sole BUILDING MATLS HLDG CORP COM 120113105 66 15000 SH Sole Sole BURGER KING HLDGS INC COM 121208201 246 8900 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- BURLINGTN NRTHN SANTA FE CORP COM COM 12189T104 286 3100 SH Sole Sole CALPINE CORPORATION CMN COM 131347304 221 12020 SH Sole Sole CAMECO CORP COM 13321L108 264 8000 SH C Sole Sole CAMPBELL SOUP CO COM COM 134429109 521 15350 SH Sole Sole CANO PETE INC CMN COM 137801106 115 24500 SH Sole Sole CANON INC ADR 138006309 2615 56400 SH Sole Sole CAPITAL SOURCE INC COM 14055X102 513 53087 SH Sole Sole CARDIUM THERAPEUTICS INC COM 141916106 71 31400 SH Sole Sole CELGENE CORP COM 151020104 322 5258 SH Sole Sole CELLCOM ISRAEL LTD SHS M2196U109 629 20000 SH Sole Sole CEPHEID COM 15670R107 276 11300 SH Sole Sole CGG VERITAS SPONSORED ADR 204386106 1901 38400 SH Sole Sole CHARLOTTE RUSSE HLDG INC COM 161048103 3281 189214 SH Sole Sole CHC HELICOPTER CORP CL A SUB VTG 12541C203 1448 47625 SH Sole Sole CHILDRENS PL RETAIL STORES I COM 168905107 737 30000 SH Sole Sole CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 1824 35034 SH Sole Sole CHINA MOBILE LIMITED SPONSORED ADR 16941M109 2400 32000 SH Sole Sole CHINA MOBILE LIMITED SPONSORED ADR SPONSORED ADR 16941M109 225 3000 SH Sole Sole CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 1804 20980 SH Sole Sole CHINA TELECOM CORP LTD SPON ADR H SHS 169426103 679 10800 SH Sole Sole CHINA UNICOM LTD SPONSORED ADR 16945R104 425 20000 SH Sole Sole CHINA YUCHAI INT'L LTD COM COM G21082105 191 22816 SH Sole Sole CHUNGHWA TELECOM CO LTD SPON ADR NEW 17133Q304 911 35000 SH Sole Sole CHURCH & DWIGHT CO INC COM 171340102 1562 28800 SH Sole Sole CISCO SYS INC COM 17275R102 434 18000 SH Sole Sole CLEAR CHANNEL COMMUNICATIONS COM 184502102 2118 72500 SH C Sole Sole CMGI INC CMN COM 125750307 149 11250 SH Sole Sole CNOOC LTD SPONSORED ADR 126132109 294 2000 SH Sole Sole CNX GAS CORP. CMN COM 12618H309 436 13500 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- COCA-COLA ENTERPRISES INC COM COM 191219104 604 24940 SH Sole Sole COEUR D ALENE MINES CORP IDA COM 192108108 121 30000 SH Sole Sole COGENT INC CMN COM 19239Y108 163 17300 SH Sole Sole COGNIZANT TECH SOLUJTIONS CL- CL A 192446102 496 17188 SH Sole Sole COMMERCE BANCORP INC NJ COM 200519106 71306 2037317 SH Sole Sole COMPUWARE CORP COM COM 205638109 80 10875 SH Sole Sole COMTECH TELECOM CRP NEW COM NEW 205826209 452 11600 SH Sole Sole COMVERGE INC COM 205859101 244 23600 SH C Sole Sole COMVERGE INC COM 205859101 619 60000 SH P Sole Sole COMVERGE INC COM 205859101 8536 826301 SH Sole Sole CONAGRA FOODS INC COM 205887102 450 18790 SH Sole Sole CONCEPTUS INC COM 206016107 479 25800 SH Sole Sole CONTINENTAL AIRLS INC CL B 210795308 684 35600 SH Sole Sole CORNING INCORPORATED COM 219350105 894 37200 SH Sole Sole CORRECTIONS CORP AMERICA NEW COM NEW 22025Y407 526 19100 SH Sole Sole COSI INC COM 22122P101 220 76500 SH Sole Sole COUNTRYWIDE FINANCIAL CORP COM 222372104 96 17500 SH Sole Sole COVANTA HOLDING CORP CMN COM 22282E102 390 14190 SH Sole Sole CREDIT SUISSE GROUP SPONSORED ADR 225401108 1526 30000 SH Sole Sole CROCS INC COM 227046109 1165 66686 SH Sole Sole CROWN HOLDINGS INC CMN COM 228368106 1530 60800 SH Sole Sole CSK AUTO CORP COM 125965103 100 10788 SH Sole Sole CUBIST PHARMACEUTICALS INC COM 229678107 184 9975 SH Sole Sole CURIS INC COM 231269101 3052 1357236 SH Sole Sole CURRENCY SHARES EURO TR EURO SHS 23130C108 14246 90000 SH P Sole Sole CVS/CAREMARK CORP COM 126650100 562 13861 SH Sole Sole CYCLACEL PHARMACEUTICALS INC COM 23254L108 1530 513383 SH Sole Sole CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 1149 160500 SH C Sole Sole CYPRESS SEMICONDUCTOR CORP COM 232806109 514 21779 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- DANAHER CORP COM 235851102 1133 14900 SH Sole Sole DAVITA INC. COM 23918K108 660 13810 SH Sole Sole DECKERS OUTDOOR CORP COM 243537107 615 5704 SH Sole Sole DECKERS OUTDOOR CORP COM 243537107 1078 10000 SH C Sole Sole DELL INC COM 24702R101 670 33620 SH Sole Sole DELTA AIR LINES INC DEL COM NEW 247361702 791 92000 SH Sole Sole DENDREON CORP COM 24823Q107 265 55000 SH P Sole Sole DEUTSCHE BANK AG NAMEN AKT D18190898 859 12000 SH Sole Sole DIAMONDS TR UNIT SER 1 252787106 6120 50000 SH C Sole Sole DIRECTV GROUP INC COM 25459L106 372 15000 SH Sole Sole DISCOVERY HOLDING CO CMNCLASS A CL A COM 25468Y107 1183 55749 SH Sole Sole DISCOVERY LABORATORIES INC N COM 254668106 782 332613 SH Sole Sole DISNEY WALT CO COM DISNEY 254687106 212 6750 SH Sole Sole DIVX INC CMN COM 255413106 267 38200 SH Sole Sole DRESS BARN INC COM 261570105 530 40934 SH Sole Sole DU PONT E I DENEMOURS & CO COM COM 263534109 2976 63640 SH Sole Sole DYAX CORP COM 26746E103 141 30000 SH Sole Sole DYNAMICS RESEARCH CORP COM 268057106 105 10409 SH Sole Sole E Z EM INC COM NEW 269305405 229 10930 SH Sole Sole EARTH LINK INC COM 270321102 387 42300 SH C Sole Sole EARTH LINK INC COM 270321102 1388 183846 SH Sole Sole ECOLOGY & ENVIRONMENT INC CL A 278878103 220 18400 SH Sole Sole EMC CORP MASS COM COM 268648102 324 22560 SH Sole Sole ENCORE ACQUISTION CO COM 29255W100 228 5650 SH Sole Sole ENCYSIVE PHARMACEUTICALS INC COM 29256X107 1105 470253 SH Sole Sole ENDOLOGIX INC COM 29266S106 223 74500 SH Sole Sole ENVIRONMENTAL PWR CORP COM NEW 29406L201 140 33800 SH Sole Sole ERICSSON L M TEL CO ADR B SEK 10 294821608 2064 105000 SH Sole Sole EVERGREEN ENERGY INC COM 30024B104 308 200000 SH C Sole Sole EVERGREEN ENERGY INC COM 30024B104 1245 808190 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- EVERGREEN SOLAR INC COM 30033R108 99 10650 SH Sole Sole EXIDE TECHNOLOGIES NEW COM NEW 302051206 146 11150 SH Sole Sole EZCORP INC CL A NON VTG 302301106 185 15000 SH Sole Sole FAIRPOINT COMMUNICATIONS INC COM 305560104 480 55400 SH Sole Sole FEDERAL NATL MTG ASSN COM 313586109 955 31800 SH P Sole Sole FINANCIAL SELECT SECTOR SPDR SBI INT-FINL 81369Y605 562 20800 SH C Sole Sole FINISH LINE INC CL A 317923100 48 10000 SH Sole Sole FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 352 10000 SH Sole Sole FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 1406 40000 SH C Sole Sole FRANCE TELECOM SA SPONSORED ADR CMN SPONSORED ADR 35177Q105 679 20219 SH Sole Sole FRONTIER OIL CORP COM 35914P105 273 10000 SH Sole Sole FRONTLINE LTD SHS G3682E127 810 17600 SH Sole Sole FUJIFILM HLDGS CORP ADR 2 ORD 35958N107 1279 36000 SH Sole Sole GASCO ENERGY INC COM 367220100 202 82900 SH Sole Sole GENELABS TECHNOLOGIES INC COM NEW 368706206 676 759663 SH Sole Sole GENENTECH INC COM NEW 368710406 1575 19400 SH Sole Sole GENERAL ELECTRIC CO COM 369604103 2147 58020 SH Sole Sole GENOPTIX, INC. CMN COM 37243V100 325 13000 SH Sole Sole GETTY IMAGES INC COM 374276103 656 20500 SH Sole Sole GLOBAL INDUSTRIES LTD COM COM 379336100 161 10000 SH Sole Sole GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 968 70000 SH Sole Sole GOLDMAN SACHS GROUP INC COM 38141G104 323 1700 SH P Sole Sole GOLDMAN SACHS GROUP INC COM 38141G104 380 2300 SH Sole Sole GOODRICH CORP COM 382388106 753 13100 SH Sole Sole GRAINGER W W INC COM 384802104 253 3300 SH Sole Sole GRANT PRIDECO INC COM 38821G101 11373 231059 SH Sole Sole GREAT ATLANTIC & PAC TEA INC COM 390064103 262 10000 SH Sole Sole GREIF INC CL A 397624107 1079 15883 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- GREY WOLF INC COM 397888108 169 24922 SH Sole Sole GRUPO TELEVISA SA DE CV SP ADR REP ORD 40049J206 606 25000 SH Sole Sole GSC INVESTMENT CORP COM 362493108 1866 184600 SH Sole Sole GTC BIOTHERAPEUTICS INC COM 36238T104 11 22000 SH Sole Sole GYMBOREE CORP COM 403777105 399 10000 SH Sole Sole HANESBRANDS INC. CMN COM 410345102 526 18030 SH Sole Sole HANGER ORTHOPEDIC GROUP (NEW) COM NEW 41043F208 109 10100 SH Sole Sole HANSEN MEDICAL INC COM 411307101 422 30000 SH C Sole Sole HARRIS CORP COM COM 413875105 364 7500 SH Sole Sole HECLA MNG CO COM 422704106 1116 100000 SH Sole Sole HILLENBRAND INDS INC COM 431573104 1993 41700 SH Sole Sole HITACHI LIMITED ADR 10 COM 433578507 893 15000 SH Sole Sole HMS HLDGS CORP COM+ COM 40425J101 316 11060 SH Sole Sole HOLOGIC INC COM COM 436440101 1084 19500 SH Sole Sole HOME DEPOT INC COM 437076102 428 15298 SH Sole Sole HONEYWELL INTL INC COM 438516106 977 17313 SH Sole Sole HOOPER HOLMES INC COM 439104100 8 12700 SH Sole Sole HSBC HLDGS PLC SPON ADR NEW 404280406 329 4000 SH Sole Sole HUMAN GENOME SCIENCES INC COM 444903108 136 20000 SH C Sole Sole IMAGE ENTMT INC COM NEW 452439201 277 165000 SH Sole Sole IMAX CORP COM 45245e109 498 71400 SH Sole Sole IMCLONE SYS INC COM 45245W109 539 12700 SH Sole Sole INSITE VISION INC COM 457660108 293 450800 SH Sole Sole INTEGRATED SILICON SOLUTIONS COM 45812P107 122 20100 SH Sole Sole INTERNATIONAL BUSINESS MACHS COM 459200101 339 2944 SH Sole Sole INTERNET INITIATIVE JAPAN IN SPONSORED ADR 46059T109 651 81476 SH Sole Sole INVERNESS MD INV INC COM 46126P106 452 15000 SH Sole Sole IONA TECHNOLOGIES PLC SPONSORED ADR 46206P109 47 12200 SH Sole Sole ISHARES INC MSCI TAIWAN 464286731 159 10000 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- ISHARES NASDAQ BIOTECH FUND NASDQ BIO INDX 464287556 227 3000 SH Sole Sole ISHARES TR RUSSELL 2000 464287655 10244 150000 SH C Sole Sole ISHARES TR RUSSELL 2000 464287655 36878 540000 SH P Sole Sole ITT CORP NEW COM 450911102 414 8000 SH Sole Sole J. CREW GROUP, INC CMN COM 46612H402 490 11100 SH Sole Sole J.C. PENNY CO INC HOLDING CO COM 708160106 1260 33400 SH Sole Sole J.P. MORGAN CHASE & CO COM 46625H100 880 20500 SH Sole Sole JACK IN THE BOX INC COM 466367109 403 15000 SH Sole Sole JAKKS PAC INC COM 47012eab2 221 8000 SH Sole Sole JETBLUE AIRWAYS CORP COM 477143101 162 28000 SH Sole Sole JP MORGAN CHASE & CO COM 46625H100 219 5100 SH Sole Sole KHD HUMBOLDT WEDAG INTL LTD CMN COM 482462108 324 13299 SH Sole Sole KIMBERLY CLARK CORP COM COM 494368103 1194 18500 SH Sole Sole KONINKLIJKE PHILIPS ELECTRS NY REG SH NEW 500472303 767 20000 SH Sole Sole KROGER CO COM 501044101 2539 99940 SH Sole Sole LAUDER ESTEE COS INC CL A 518439104 573 12500 SH Sole Sole LAUDER ESTEE COS INC CL A 518439104 2293 50000 SH C Sole Sole LEAP WIRELESS INTL INC COM NEW 521863308 699 15000 SH Sole Sole LEHMAN BROS HLDGS INC COM 524908100 499 11900 SH P Sole Sole LIFECELL CORP COM COM 531927101 252 6000 SH Sole Sole LIMELIGHT NETWORKS INC COM 53261M104 234 72100 SH C Sole Sole LOEWS CORP COM 540424108 894 22225 SH Sole Sole LOEWS CORP CAROLNA GP STK 540424207 2540 35000 SH P Sole Sole LOEWS CORP CAROLINA GROUP STK CAROLNA GP STK 540424207 962 13259 SH Sole Sole LOOPNET INC CMN COM 543524300 139 10929 SH Sole Sole LULULEMON ATHLETICA INC COM 550021109 569 20000 SH Sole Sole LULULEMON ATHLETICA INC COM 550021109 2559 90000 SH C Sole Sole M & F WORLDWIDE CORP COM 552541104 871 23290 SH Sole Sole MAGUIRE PPTYS INC COM 559775101 301 21000 SH C Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- MAGUIRE PPTYS INC COM 559775101 358 25000 SH Sole Sole MANITOWOC COMPANY INC COM COM 563571108 359 8800 SH Sole Sole MASIMO CORP CMN COM 574795100 312 12000 SH Sole Sole MATHSTAR INC COM 576801203 47 76400 SH Sole Sole MATSUSHITA ELEC INDL ADR 576879209 1761 81100 SH Sole Sole MBIA INC COM 55262C100 122 10000 SH C Sole Sole MCCLATCHY CO CL A 579489105 304 28400 SH Sole Sole MCCLATCHY CO CL A 579489105 3084 288200 SH C Sole Sole MCDONALDS CORP COM COM 580135101 479 8580 SH Sole Sole MEDIA SCIENCES INTL INC COM 58446X107 54 15000 SH Sole Sole MEDIS TECHNOLOGIES LTD COM 58500P107 91 10000 SH C Sole Sole MELCO PBL ENTMNT LTD ADR 585464100 455 40000 SH Sole Sole MEMC ELECTRONIC MATERIALS, IN COM 552715104 383 5403 SH Sole Sole MERRILL LYNCH PIERCE FENNER & COM 590188108 249 5000 SH P Sole Sole MERRILL LYNCH SEMI HLDRS DEP RCPT 816636203 359 11600 SH C Sole Sole MGM MIRAGE COM COM 552953101 206 3500 SH Sole Sole MGT CAPITAL INVTS INC COM 55302P103 857 342612 SH Sole Sole MI DEVS INC CL A SUB VTG 55304X104 359 12500 SH Sole Sole MICRON TECHNOLOGY INC COM 595112103 263 44000 SH Sole Sole MICROSOFT CORP COM 594918104 3164 111496 SH Sole Sole MIDDLEBROOK PHARMACEUTICAL I COM 596087106 842 210000 SH Sole Sole MILLICOM INTL CELLULAR S A SHS NEW L6388F110 1217 12876 SH Sole Sole MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 518 59500 SH Sole Sole MONEYGRAM INTL INC COM 60935Y109 19 10000 SH Sole Sole MUELLER WTR PRODS INC COM SER B 624758207 574 72800 SH Sole Sole NALCO HOLDING COMPANY CMN COM 62985Q101 272 12850 SH Sole Sole NAM TAI ELECTRONICS INC (NEW) COM PAR $0.02 629865205 112 11700 SH Sole Sole NATIONAL BK GREECE S A SPONSORED ADR 633643408 1901 180010 SH Sole Sole NAVTEQ CORP COM 63936L100 3190 46907 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- NETEZZA CORPORATION CMN COM 64111N101 510 55200 SH Sole Sole NEUROGESX INC CMN COM 641252101 46 12400 SH Sole Sole NEWS CORP CL A 65248e104 375 20000 SH Sole Sole NEWS CORP CL B 65248e203 8742 459134 SH Sole Sole NIKE INC CL B 654106103 340 5000 SH Sole Sole NIPPON TELEG & TEL CORP SPONSORED ADR 654624105 394 18153 SH Sole Sole NISSAN MOTORS SPONSORED ADR 654744408 202 12100 SH Sole Sole NOKIA CORP SPONSORED ADR 654902204 2439 76615 SH Sole Sole NORTHSTAR NEUROSCIENCE INC COM 66704V101 593 375000 SH Sole Sole NORTHWEST AIRLS CORP COM 667280408 643 71500 SH Sole Sole NORTHWESTERN CORPORATION CMN COM 668074305 427 17520 SH Sole Sole NOVACEA INC COM 66987B103 1410 522252 SH Sole Sole NOVARTIS A G SPONSORED ADR 66987V109 3330 65000 SH Sole Sole NOVARTIS AG-ADR SPONSORED ADR CMN SPONSORED ADR 66987V109 484 9450 SH Sole Sole NOVELL INC COM COM 670006105 107 16950 SH Sole Sole NRG ENERGY INC COM NEW 629377508 565 14500 SH Sole Sole NTT DOCOMO INC SPONS ADR 62942M201 794 52070 SH Sole Sole OIL SERVICE HOLD TR DEPOSTRY RCPT 678002106 273 1542 SH Sole Sole OMNICARE INC COM 681904108 2788 153500 SH Sole Sole ON SEMICONDUCTOR CORP COM 682189105 128 22500 SH Sole Sole P C CONNECTION COM 69318J100 79 10000 SH Sole Sole PACTIV CORP COM 695257105 1040 39694 SH Sole Sole PALM INC COM 696643105 400 80030 SH Sole Sole PARKER HANNIFIN CORP COM 701094104 239 3437 SH Sole Sole PARTNER COMMUNICATIONS CO LT ADR 70211M109 225 10000 SH Sole Sole PARTNERRE LTD COM G6852T105 386 5060 SH Sole Sole PDL BIOPHARMA INC COM 69329Y104 1112 105000 SH Sole Sole PENWEST PHARMACEUTICALS CO COM 709754105 742 285400 SH Sole Sole PETROBRAS ENERGIA PARTICIP S ADR SP ADR B SHS 71646M102 111 9800 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- PETROCHINA CO LTD SPONSORED ADR 71646e100 1103 8800 SH Sole Sole PETROQUEST ENERGY INC COM 716748108 281 16200 SH Sole Sole PFIZER INC COM 717081103 1348 64400 SH C Sole Sole PHARMACOPEIA INC COM 7171EP101 376 102171 SH Sole Sole PHARMASSET INC COM 71715N106 451 25000 SH Sole Sole PHH CORP COM NEW 693320202 202 11600 SH Sole Sole PIER 1 IMPORTS INC COM 720279108 273 43500 SH Sole Sole PINNACLE ENTMT INC COM 723456109 192 15000 SH Sole Sole PLAINS EXPL& PRODTN CO COM 726505100 553 10400 SH Sole Sole POPULAR INC COM 733174106 118 10100 SH Sole Sole POSCO SPONSORED ADR 693483109 714 6000 SH Sole Sole POWERSHARES QQQ TRUST UNIT SER 1 73935A104 350 8000 SH C Sole Sole POWERSHARES QQQ TRUST UNIT SER 1 73935A104 568 13000 SH Sole Sole POZEN INC COM 73941U102 155 15000 SH C Sole Sole POZEN INC COM 73941U102 2450 236400 SH P Sole Sole PRINCIPAL FINANCIAL GROUP INC COM 74251V102 407 7310 SH Sole Sole PROGENICS PHARMACEUTICALS INC COM 743187106 113 17300 SH Sole Sole PROSHARES TR BASIC MTRL PRO 74347R651 892 22600 SH Sole Sole PROXYMED INC (NEW) COM NEW 744290305 72 60000 SH Sole Sole QLT INC COM 746927102 89 25000 SH Sole Sole QUALCOMM INC COM 747525103 308 7500 SH C Sole Sole QUALCOMM INC COM COM 747525103 809 19737 SH Sole Sole QUEPASA CORP COM NEW 74833W206 1320 521872 SH Sole Sole QUIKSILVER INC COM 74838C106 206 21000 SH Sole Sole RAM ENERGY RESOURCES INC *W EXP 05/11/200 75130P117 26 220673 SH Sole Sole RAM ENERGY RESOURCES INC COM 75130P109 7080 1439076 SH Sole Sole RAM ENERGY RESOURCES INC CMN COM 75130P109 1254 254800 SH Sole Sole RANDGOLD RES LTD ADR 752344309 602 13000 SH Sole Sole RANGE RESOURCES CORP COM 75281A109 333 5250 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- RED ROBIN GORMET BURGERS COM 75689M101 361 9600 SH Sole Sole RENAISSANCE ACQUISITION CORP *W EXP 01/28/201 75966C115 9 46000 SH Sole Sole RENESOLA LTD SPONS ADS 75971T103 227 19950 SH Sole Sole RENOVIS INC COM 759885106 35 15000 SH Sole Sole REPSOL YPF S A SPONSORED ADR 76026T205 2539 73800 SH Sole Sole RESEARCH IN MOTION LTD COM 760975102 333 2975 SH Sole Sole RESMED INC COM 761152107 2938 69665 SH Sole Sole RETAIL HOLDERS TRUST DEPOSTRY RCPT 76127U101 449 4600 SH C Sole Sole RITE AID CORP COM 767754104 103 35000 SH Sole Sole ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 310 4500 SH Sole Sole ROYAL KPN N.V. SPONSORED ADR CMN SPONSORED ADR 780641205 602 35628 SH Sole Sole RTI BIOLOGICS, INC. CMN COM 74975N105 539 57000 SH Sole Sole SAFECO CORPORATION CMN COM 786429100 297 6760 SH Sole Sole SAFEWAY INC COM NEW 786514208 704 24000 SH Sole Sole SAIC INC CMN COM 78390X101 377 20286 SH Sole Sole SAKS INC COM 79377W108 624 50000 SH C Sole Sole SANOFI AVENTIS SPONSORED ADR 80105N105 1708 45500 SH Sole Sole SAP AKTIENGESELLSCHAFT SPONSORED ADR 803054204 8799 177500 SH Sole Sole SARA LEE CORP COM 803111103 329 23540 SH Sole Sole SCHERING PLOUGH CORP COM 806605101 905 62800 SH Sole Sole SCHWAB CHARLES CORP NEW COM COM 808513105 330 17540 SH Sole Sole SEARS HLDGS CORP COM 812350106 510 5000 SH P Sole Sole SECURE COMPUTING CORP COM 813705100 106 16500 SH Sole Sole SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 2962 40000 SH Sole Sole SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 14812 200000 SH P Sole Sole SERVICE CORP INTL COM COM 817565104 609 60050 SH Sole Sole SHIRE PLC SPONSORED ADR 82481R106 290 5000 SH C Sole Sole SIEMENS A G SPONSORED ADR 826197501 327 3000 SH Sole Sole SILGAN HOLDINGS INC COM 827048109 721 14534 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- SIRIUS SATELLITE RADIO INC COM 82966U103 214 75000 SH Sole Sole SIRIUS SATELLITE RADIO INC COM 82966U103 286 100000 SH C Sole Sole SONY CORP ADR NEW 835699307 321 8000 SH Sole Sole SOVEREIGN BANCORP INC COM 845905108 93 10000 SH Sole Sole SPDR TR UNIT SER 1 78462F103 1452 11000 SH Sole Sole SPDR TR UNIT SER 1 78462F103 1980 15000 SH C Sole Sole SPRINT NEXTEL CORPORATION COM SER 1 852061100 170 21900 SH P Sole Sole SPRINT NEXTEL CORPORATION CMN COM 852061100 198 29600 SH Sole Sole SPX CORPORATION COM 784635104 455 4340 SH Sole Sole ST JUDE MEDICAL INC COM 790849103 1218 28200 SH Sole Sole STAR SCIENTIFIC INC COM 85517P101 49 32000 SH Sole Sole STATE STR CORP COM 857477103 395 5000 SH Sole Sole STEINWAY MUSICAL INSTRS INC COM 858495104 3741 131158 SH Sole Sole SULPHCO INC COM 865378103 128 30711 SH Sole Sole SUN HEALTHCARE GROUP INC CMN COM 866933401 382 29050 SH Sole Sole SUNRISE SENIOR LIVING INC COM 86768K106 223 10000 SH Sole Sole TAIWAN SEMICONDUCTOR MFG LTD SPONSORED ADR 874039100 411 40000 SH Sole Sole TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2695 105620 SH Sole Sole TARGET CORP COM 87612E106 228 4500 SH Sole Sole TASER INTERNATIONAL INC COM 87651B104 245 26100 SH Sole Sole TELEFONICA S A SPONSORED ADR 879382208 734 8479 SH Sole Sole TEMPLETON EMERG MKTS INCOME COM 880192109 201 14400 SH Sole Sole TENET HEALTHCARE CORP COM 88033G100 57 10000 SH Sole Sole TETON ENERGY CORP COM 881628101 5283 1112579 SH Sole Sole TETRA TECHNOLOGIES INC (DEL) COM COM 88162F105 185 11673 SH Sole Sole TEXTRON INC COM 883203101 1363 24600 SH Sole Sole THE STEAK N SHAKE CO. COM 857873103 216 27500 SH Sole Sole TIME WARNER INC COM 887317105 245 17500 SH Sole Sole TIME WARNER INC COM 887317105 421 30000 SH C Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- TITANIUM METALS CORP COM NEW 888339207 1957 130000 SH C Sole Sole TORONTO DOMINION BK ONT COM NEW 891160509 3956 64473 SH Sole Sole TOTAL S A SPONSORED ADR 89151E109 2835 38300 SH Sole Sole TOYOTA MOTOR CORP SP ADR REP2COM 892331307 807 8000 SH Sole Sole TREEHOUSE FOODS INC CMN COM 89469A104 285 12480 SH Sole Sole TRIANGLE CAPITAL CORPORATION CMN COM 895848109 1192 100000 SH Sole Sole TRIMERIS INC COM 896263100 120 18375 SH Sole Sole TURKCELL ILETISIM HIZMETLERI SPON ADR NEW 900111204 313 15000 SH Sole Sole U S G CORP COM NEW 903293405 773 21000 SH Sole Sole UAL CORP COM NEW 902549807 618 28700 SH Sole Sole UAP HLDG CORP COM 903441103 229 5970 SH Sole Sole UBS AG SHS NEW H89231338 12478 433500 SH Sole Sole ULTIMATE SOFTWARE GROUP INC COM 90385D107 345 11480 SH Sole Sole UNION PACIFIC CORP COM 907818108 389 3100 SH Sole Sole UNITED STATES NATURALGAS FD LP UNIT 912318102 1,134 21000 SH P Sole Sole UNITED STATES OIL FUND LP UNITS 91232N108 478 5000 SH P Sole Sole UNITED TECHNOLOGIES CORP COM COM 913017109 299 4350 SH Sole Sole UNITED THERAPEUTICS CORP DEL COM 91307C102 503 5800 SH Sole Sole UNUMPROVIDENT CORP COM 91529Y106 603 27400 SH Sole Sole UQM TECHNOLOGIES INC COM 903213106 90 53100 SH Sole Sole URBAN OUTFITTERS INC COM 917047102 244 7774 SH Sole Sole VALEANT PHARMACEUTICALS INTL COM 91911X104 321 25000 SH C Sole Sole VALEANT PHARMACEUTICALS INTL COM 91911X104 962 75000 SH P Sole Sole VALERO ENERGY CORP NEW COM 91913Y100 319 6500 SH Sole Sole VALERO ENERGY CORP NEW COM 91913Y100 659 13420 SH Sole Sole VEOLIA ENVIRONNEMENT SPONSORED ADR SPONSORED ADR 92334N103 413 5910 SH Sole Sole VIACOM INC. CMN CLASS B CL B 92553P201 954 24079 SH Sole Sole VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 6758 229000 SH Sole Sole VYYO INC COM NEW 918458209 8 20000 SH Sole Sole
TITLE OF CUSIP MARKET TYPE OF PUT/ INVESTMENT OTHER VOTING NAME OF ISSUER CLASS NUMBER VALUE AMOUNT SECURITY CALL DISCRETION MANAGERS AUTHORITY - -------------------------- -------- ------ ------ ------ -------- ---- ---------- -------- --------- WACHOVIA CORP (NEW) COM 929903102 574 20000 SH P Sole Sole WAL MART STORES INC COM 931142103 1022 19406 SH Sole Sole WASTE CONNECTIONS INC COM 941053100 264 8600 SH Sole Sole WASTE MANAGEMENT SVC NEW COM 94106L109 641 19100 SH Sole Sole WHITE ELECTR DESIGNS CORP COM 963801105 238 54200 SH Sole Sole WILLBROS GROUP INC (IPO) COM 969199108 457 14930 SH Sole Sole XM SATELLITE RADIO HLDGS INC CL A 983759101 4416 380000 SH C Sole Sole XM SATELLITE RADIO HLDGS INC CL A 983759101 6142 528700 SH Sole Sole XTL BIOPHARMACEUTICALS LTD SPONSORED ADR 98386D109 255 85000 SH Sole Sole YAHOO INC COM 984332106 1447 50000 SH C Sole Sole YAHOO INC COM 984332106 7364 254552 SH Sole Sole YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 213 3000 SH Sole Sole ZILOG INC COM PAR $0.01 989524301 116 33001 SH Sole Sole
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