-----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, N+J9MWdTApKV0pxmrcKxhKy/kUJxloVcnnDFR6K/vyzso8oCi4W9ve3nxhykdENu E5yOzKe/HYb/68TDtkUBmQ== 0000950147-03-000128.txt : 20030210 0000950147-03-000128.hdr.sgml : 20030210 20030210104119 ACCESSION NUMBER: 0000950147-03-000128 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20021231 FILED AS OF DATE: 20030210 EFFECTIVENESS DATE: 20030210 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ASCEND CAPITAL LLC CENTRAL INDEX KEY: 0001165501 IRS NUMBER: 880440610 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10128 FILM NUMBER: 03546138 BUSINESS ADDRESS: STREET 1: 1 MONTGOMERY ST STREET 2: STE 3300 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4152177733 MAIL ADDRESS: STREET 1: 1 MONTGOMERY ST STREET 2: STE 3300 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 13F-HR 1 e-9495.txt FORM 13 F-HR OF ASCEND CAPITAL, LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or Quarter Ended: December 31, 2002 Check here if Amendment [ ] Amendment Number: _____ Institutional Investment Manager Filing this Report: Name: Ascend Capital, LLC Address: 600 Montgomery Street, 37th Floor San Francisco, CA 94111 Form 13F File Number: 028-10128 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 the 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: Benjamin D. Slavet Title: Chief Financial Officer Phone: 415-217-8304 Signature, Place, and Date of Signing: /s/ Benjamin D. Slavet San Francisco, CA February 3, 2003 - ---------------------- ----------------- ---------------- [Signature] [City, State] [Date] Report Type: [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT Form 13F SUMMARY PAGE REPORT SUMMARY Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 68 Form 13F Information Table Value Total: $188,433,000 List of Other Included Managers: None
TITLE OF CUSIP MARKET VALUE SHARES OR PRN AMT INVESTMENT OTHER VOTING AUTHORITY NAME CLASS NUMBER (X $1,000) (X 1,000) DISCRETION MANAGERS (X 1,000) - ---- ----- ------ ------------ ----------------- ---------- -------- ---------------- ISIS PHARMACEUTICALS INC DEL CORP B 464337AA2 143 200 PRN SOLE 200 SHAW GROUP INC CORP B 820280AC9 5725 10000 PRN SOLE 10000 SOLECTRON COR SR LIQUID YEILD CORP B 834182AK3 555 904 PRN SOLE 904 ADVANCED MICRO DEVICES INC COMMON 7903107 969 150 SH SOLE 150 AON CORP COMMON 37389103 2380 126 SH SOLE 126 ADMINISTAFF INC COMMON 7094105 3438 573 SH SOLE 573 AXONYX INC COMMON 05461R101 223 240 SH SOLE 240 BEST BUY COMPANY INC COMMON 86516101 5888 244 SH SOLE 244 BECTON DICKINSON & CO COMMON 75887109 5233 171 SH SOLE 171 BMC SOFTWARE INC COMMON 55921100 5492 321 SH SOLE 321 CALIFORNIA MICRO DEVICES C COMMON 130439102 535 118 SH SOLE 118 CHRISTOPHER & BANKS CORP COMMON 171046105 3386 163 SH SOLE 163 CABOT MICROELECTRONICS COR COMMON 12709P103 4088 87 SH SOLE 87 CARDIODYNAMICS INTL CORP COMMON 141597104 967 315 SH SOLE 315 CELERITEK INC COMMON 150926103 1883 283 SH SOLE 283 CREDENCE SYSTEMS CORP COMMON 225302108 4945 530 SH SOLE 530 CNA FINANCIAL CORP COMMON 126117100 6333 247 SH SOLE 247 CONMED CORP COMMON 207410101 5589 285 SH SOLE 285 COSINE COMMUNICATIONS INC COMMON 221222607 724 120 SH SOLE 120 COSTCO WHOLESALE CORP-NEW COMMON 22160K105 3912 139 SH SOLE 139 CISCO SYSTEMS INC. COMMON 17275R102 2472 189 SH SOLE 189 CARRIAGE SERVICES INC-CL A COMMON 143905107 283 71 SH SOLE 71 CVS CORP COMMON 126650100 7803 313 SH SOLE 313 DELL COMPUTER CORP COMMON 247025109 2738 102 SH SOLE 102 WALT DISNEY CO HOLDING CO COMMON 254687106 1223 75 SH SOLE 75 DIAMOND OFFSHORE DRILLING COMMON 25271C102 2220 102 SH SOLE 102 ESTEE LAUDER COMPANIES INC COMMON 518439104 1056 40 SH SOLE 40 ENZON INC COMMON 293904108 1508 90 SH SOLE 90 EXE TECHNOLOGIES INC COMMON 301504106 136 247 SH SOLE 247 HOME DEPOT INC COMMON 437076102 4324 180 SH SOLE 180 HANGER ORTHOPEDIC GROUP IN COMMON 41043F208 480 37 SH SOLE 37 IMAGISTICS INTERNATIONAL I COMMON 45247T104 400 20 SH SOLE 20 INTEL CORP COMMON 458140100 1913 123 SH SOLE 123 KIMBERLY CLARK CORP COMMON 494368103 6119 129 SH SOLE 129 LONE STAR TECHNOLOGIES INC COMMON 542312103 1059 71 SH SOLE 71 MCKESSON HBOC INC COM COMMON 58155Q103 6379 236 SH SOLE 236 MOORE CORP LTD COMMON 615785102 5240 576 SH SOLE 576 MICROSOFT CORP COMMON 594918104 7879 152 SH SOLE 152 NORDIC AMERICAN TANKER COMMON G65773106 1354 100 SH SOLE 100 NIKU CORP COMMON 654113703 182 46 SH SOLE 46 PRIDE INTERNATIONAL INC COMMON 74153Q102 1952 131 SH SOLE 131 POLYCOM INC COMMON 73172K104 6097 640 SH SOLE 640 PMC-SIERRA INC COMMON 69344F106 1381 248 SH SOLE 248 PROVINCE HEALTHCARE CO COMMON 743977100 2226 229 SH SOLE 229 PROVIDIAN FINL CORP COMMON 74406A102 2206 340 SH SOLE 340 RF MICRO DEVICES INC COMMON 749941100 3299 450 SH SOLE 450 TRANSOCEAN SEDCO FOREX COMMON G90078109 3271 141 SH SOLE 141 RAILAMERICA INC COMMON 750753105 6047 843 SH SOLE 843 SIEBEL SYSTEMS INC COMMON 826170102 3885 525 SH SOLE 525 SELECT MEDICAL CORP COMMON 816196109 1103 82 SH SOLE 82 SOLECTRON CORP COMMON 834182107 1800 507 SH SOLE 507 SERENA SOFTWARE INC COMMON 817492101 1311 83 SH SOLE 83 SUNCOR ENERGY INC COMMON 867229106 1978 126 SH SOLE 126 STEWART & STEVENSON SERVIC COMMON 860342104 4058 287 SH SOLE 287 TERADYNE INC COMMON 880770102 4227 325 SH SOLE 325 TENET HEALTHCARE/NATL MEDI COMMON 88033G100 861 53 SH SOLE 53 TEMPLE INLAND INC COMMON 879868107 3988 89 SH SOLE 89 TRIPATH TECHNOLOGY INC COMMON 89672P104 29 101 SH SOLE 102 TROPICAL SPORTWEAR COMMON 89708P102 2856 318 SH SOLE 318 TYSON FOODS INC-CL A COMMON 902494103 1344 120 SH SOLE 120 THERMA-WAVE INC COMMON 88343A108 986 939 SH SOLE 939 ULTRATECH STEPPER INC COMMON 904034105 1191 121 SH SOLE 121 UNITED THERAPEUTICS CORP D COMMON 91307C102 8227 493 SH SOLE 493 WESTERN GAS RESOURCES INC COMMON 958259103 2959 80 SH SOLE 80 WET SEAL INC-CL A COMMON 961840105 1511 140 SH SOLE 140 FOOT LOCKER INC COMMON 344849104 2415 230 SH SOLE 230 CALL UNITED THERAP NOV 17. CALL 91307C3BW 50 53 CALL SOLE 53 PUT INTL BUSINESS MAY 90.0 PUT 4592003ML 1 10 PUT SOLE 10
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