-----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, J8Tt30QdIy88ObSdX5jQPD9gGVUJyQWegLj9NVOlVqwCexzJMmt8wiSs4FLv6/wa PcQrQBY1duzZG28eZvzXGw== 0000950130-02-007944.txt : 20021114 0000950130-02-007944.hdr.sgml : 20021114 20021114155147 ACCESSION NUMBER: 0000950130-02-007944 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020930 FILED AS OF DATE: 20021114 EFFECTIVENESS DATE: 20021114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: TUDOR INVESTMENT CORP ET AL CENTRAL INDEX KEY: 0000923093 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04356 FILM NUMBER: 02825063 BUSINESS ADDRESS: STREET 1: ONE LIBERTY PLAZA STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10006 MAIL ADDRESS: STREET 1: ONE LIBERTY PLAZA STREET 2: 51ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10006 13F-HR 1 d13fhr.txt FORM 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: September 30, 2002 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: Tudor Investment Corporation Address: 1275 King Street Greenwich, CT 06831 Form 13F File Number: 28-7762 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: John Torell Title: Managing Director and Chief Operating Officer Phone: (203) 863-6742 Signature, Place, and Date of Signing: /s/ John Torell Greenwich, CT 06831 November 13, 2002 - --------------------------- ------------------- ----------------- [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.) [ ] 13 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 Included Managers: Form 13F File Number Name 28-5175 Tudor Proprietary Trading, L.L.C. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers 1. Form 13F Information Table Entry Total 140 Form 13F Information Table Value Total $ 1,679,190 (Thousands) List of Other Included Managers: No. Form 13F File Number Name 1. 28-5175 Tudor Proprietary Trading, L.L.C.
- ----------------------------------------------------------------------------------------------------------- COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 - ----------------------------------------------------------------------------------------------------------- NAME OF ISSUER TITLE OF CLASS CUSIP VALUE (x1000) - ----------------------------------------------------------------------------------------------------------- 2QUIFAX INC COMMON STOCK 294429105 1,663 - ----------------------------------------------------------------------------------------------------------- ADVANCE AUTO PARTS COMMON STOCK 00751Y106 43,864 - ----------------------------------------------------------------------------------------------------------- ADVANCE AUTO PARTS COMMON STOCK 00751Y956 625 - ----------------------------------------------------------------------------------------------------------- AETNA INC COMMON STOCK 00817Y908 60 - ----------------------------------------------------------------------------------------------------------- AFFILIATED COMPUTER SVCS-A COMMON STOCK 008190100 8,510 - ----------------------------------------------------------------------------------------------------------- AFFILIATED COMPUTER SVCS-A COMMON STOCK 008190950 5,020 - ----------------------------------------------------------------------------------------------------------- AMERICAN EAGLE OUTFITTERS COMMON STOCK 02553E106 10,345 - ----------------------------------------------------------------------------------------------------------- AMERICAN STATES WATER CO COMMON STOCK 029899101 5,589 - ----------------------------------------------------------------------------------------------------------- AMERICREDIT CORP COMMON STOCK 03060R101 1,614 - ----------------------------------------------------------------------------------------------------------- AMERICREDIT CORP COMMON STOCK 03060R951 390 - ----------------------------------------------------------------------------------------------------------- ANADARKO PETROLEUM CORP COMMON STOCK 032511107 8,463 - ----------------------------------------------------------------------------------------------------------- ANDREW CORP COMMON STOCK 034425108 1,087 - ----------------------------------------------------------------------------------------------------------- ANTHEM INC COMMON STOCK 03674B104 48,900 - ----------------------------------------------------------------------------------------------------------- ANTHEM INC COMMON STOCK 03674B904 388 - ----------------------------------------------------------------------------------------------------------- ANTHEM INC COMMON STOCK 03674B954 5,650 - ----------------------------------------------------------------------------------------------------------- AON CORP COMMON STOCK 037389103 21,715 - ----------------------------------------------------------------------------------------------------------- APPLE COMPUTER INC COMMON STOCK 037833100 29,100 - ----------------------------------------------------------------------------------------------------------- ARBITRON INC COMMON STOCK 03875Q108 13,896 - ----------------------------------------------------------------------------------------------------------- ART TECHNOLOGY GROUP INC COMMON STOCK 04289L107 138 - ----------------------------------------------------------------------------------------------------------- ASHLAND INC COMMON STOCK 044204905 50 - ----------------------------------------------------------------------------------------------------------- AT&T CORP COMMON STOCK 001957109 3,603 - ----------------------------------------------------------------------------------------------------------- AUTONATION INC COMMON STOCK 05329W102 8,640 - ----------------------------------------------------------------------------------------------------------- AUTONATION INC COMMON STOCK 05329W952 2,588 - ----------------------------------------------------------------------------------------------------------- BEAZER HOMES USA INC COMMON STOCK 07556Q105 16,789 - ----------------------------------------------------------------------------------------------------------- BEMIS COMPANY COMMON STOCK 081437105 2,470 - ----------------------------------------------------------------------------------------------------------- BEMIS COMPANY COMMON STOCK 081437955 523 - ----------------------------------------------------------------------------------------------------------- BOWATER INC COMMON STOCK 102183900 769 - ----------------------------------------------------------------------------------------------------------- BRISTOL-MYERS SQUIBB CO COMMON STOCK 110122108 33,351 - ----------------------------------------------------------------------------------------------------------- BURLINGTON RESOURCES INC COMMON STOCK 122014903 1,063 - ----------------------------------------------------------------------------------------------------------- CARDIAC SCIENCE INC COMMON STOCK 141410209 4,024 - ----------------------------------------------------------------------------------------------------------- CEPHALON INC COMMON STOCK 156708959 2,063 - ----------------------------------------------------------------------------------------------------------- CERNER CORP COMMON STOCK 156782954 1,325 - ----------------------------------------------------------------------------------------------------------- CERTEGY INC COMMON STOCK 156880106 4,020 - ----------------------------------------------------------------------------------------------------------- CHESAPEAKE ENERGY CORP COMMON STOCK 165167107 5,429 - ----------------------------------------------------------------------------------------------------------- CHUBB CORP COMMON STOCK 171232101 47,614 - ----------------------------------------------------------------------------------------------------------- CHUBB CORP COMMON STOCK 171232901 81 - ----------------------------------------------------------------------------------------------------------- CIRCUIT CITY STORES - CIRCUI COMMON STOCK 172737108 4,265 - ----------------------------------------------------------------------------------------------------------- CITIGROUP INC COMMON STOCK 172967101 8,895 - ----------------------------------------------------------------------------------------------------------- CLEAR CHANNEL COMMUNICATIONS COMMON STOCK 184502102 18,251 - ----------------------------------------------------------------------------------------------------------- CONSTELLATION ENERGY GROUP COMMON STOCK 210371100 16,114 - ----------------------------------------------------------------------------------------------------------- CORE LABORATORIES N.V. COMMON STOCK N22717107 4,554 - ----------------------------------------------------------------------------------------------------------- COSTCO WHOLESALE CORP COMMON STOCK 22160K105 1,301 - ----------------------------------------------------------------------------------------------------------- CROWN CORK & SEAL CO INC COMMON STOCK 228255905 50 - ----------------------------------------------------------------------------------------------------------- CTI MOLECULAR IMAGING INC COMMON STOCK 22943D105 16,708 - -----------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------- DAVITA INC COMMON STOCK 23918K108 64,445 - ----------------------------------------------------------------------------------------------------------- DEAN FOODS CO COMMON STOCK 242370104 16,238 - ----------------------------------------------------------------------------------------------------------- DELUXE CORP COMMON STOCK 248019101 58,799 - ----------------------------------------------------------------------------------------------------------- EASTMAN KODAK CO COMMON STOCK 277461109 272 - ----------------------------------------------------------------------------------------------------------- EASTMAN KODAK CO COMMON STOCK 277461959 14,000 - ----------------------------------------------------------------------------------------------------------- EDISON INTERNATIONAL COMMON STOCK 281020107 2,894 - ----------------------------------------------------------------------------------------------------------- EL PASO ELECTRIC CO COMMON STOCK 283677854 25,250 - ----------------------------------------------------------------------------------------------------------- ELI LILLY & CO COMMON STOCK 532457958 1,113 - ----------------------------------------------------------------------------------------------------------- ENERGIZER HOLDINGS INC COMMON STOCK 29266R108 69,236 - ----------------------------------------------------------------------------------------------------------- EQUITABLE RESOURCES INC COMMON STOCK 294549100 51,632 - ----------------------------------------------------------------------------------------------------------- ESS TECHNOLOGY COMMON STOCK 269151106 1,910 - ----------------------------------------------------------------------------------------------------------- ETHAN ALLEN INTERIORS INC COMMON STOCK 297602954 1,480 - ----------------------------------------------------------------------------------------------------------- EXPEDIA INC-WT09 COMMON STOCK 302125125 1,531 - ----------------------------------------------------------------------------------------------------------- EXPEDITORS INTL WASH INC COMMON STOCK 302130109 10,827 - ----------------------------------------------------------------------------------------------------------- FAIR ISAAC & COMPANY INC COMMON STOCK 303250104 50,834 - ----------------------------------------------------------------------------------------------------------- FANNIE MAE COMMON STOCK 313586959 1,163 - ----------------------------------------------------------------------------------------------------------- FUELCELL ENERGY INC COMMON STOCK 35952H106 2,079 - ----------------------------------------------------------------------------------------------------------- GAP INC/THE COMMON STOCK 364760108 1,085 - ----------------------------------------------------------------------------------------------------------- GENERAL MOTORS-CLASS H COMMON STOCK 370442832 39,146 - ----------------------------------------------------------------------------------------------------------- GLOBALSANTAFE CORP COMMON STOCK G3930E101 14,528 - ----------------------------------------------------------------------------------------------------------- GOODYEAR TIRE & RUBBER CO COMMON STOCK 382550951 1,044 - ----------------------------------------------------------------------------------------------------------- GUIDANT CORP COMMON STOCK 401698905 357 - ----------------------------------------------------------------------------------------------------------- GUIDANT CORP COMMON STOCK 401698955 1,069 - ----------------------------------------------------------------------------------------------------------- H&R BLOCK INC COMMON STOCK 093671105 8,293 - ----------------------------------------------------------------------------------------------------------- H&R BLOCK INC COMMON STOCK 093671955 3,071 - ----------------------------------------------------------------------------------------------------------- HARLEY-DAVIDSON INC COMMON STOCK 412822958 338 - ----------------------------------------------------------------------------------------------------------- HEALTHAXIS INC COMMON STOCK 42219D100 209 - ----------------------------------------------------------------------------------------------------------- HEALTHETECH INC COMMON STOCK 422210104 1,796 - ----------------------------------------------------------------------------------------------------------- HPL TECHNOLOGIES INC COMMON STOCK 40426C105 29 - ----------------------------------------------------------------------------------------------------------- IDEC PHARMACEUTICALS CORP COMMON STOCK 449370905 2,317 - ----------------------------------------------------------------------------------------------------------- INCO LTD COMMON STOCK 453258402 2,730 - ----------------------------------------------------------------------------------------------------------- INTERMUNE INC COMMON STOCK 45844X903 4,120 - ----------------------------------------------------------------------------------------------------------- INTL BUSINESS MACHINES CORP COMMON STOCK 459200101 116,620 - ----------------------------------------------------------------------------------------------------------- INTL BUSINESS MACHINES CORP COMMON STOCK 459200951 2,025 - ----------------------------------------------------------------------------------------------------------- IVAX CORP COMMON STOCK 465823102 3,190 - ----------------------------------------------------------------------------------------------------------- JOHN HANCOCK FINANCIAL SRVCS COMMON STOCK 41014S106 38,161 - ----------------------------------------------------------------------------------------------------------- JOHN HANCOCK FINANCIAL SRVCS COMMON STOCK 41014S906 2,040 - ----------------------------------------------------------------------------------------------------------- KERR-MCGEE CORP COMMON STOCK 492386107 16,507 - ----------------------------------------------------------------------------------------------------------- KINDER MORGAN INC COMMON STOCK 49455P101 31,905 - ----------------------------------------------------------------------------------------------------------- KLA-TENCOR CORPORATION COMMON STOCK 482480950 838 - ----------------------------------------------------------------------------------------------------------- KRISPY KREME DOUGHNUTS INC COMMON STOCK 501014104 3,282 - ----------------------------------------------------------------------------------------------------------- LABORATORY CRP OF AMER HLDGS COMMON STOCK 50540R409 19,079 - ----------------------------------------------------------------------------------------------------------- LEGATO SYSTEMS INC COMMON STOCK 524651106 331 - ----------------------------------------------------------------------------------------------------------- LENNAR CORP COMMON STOCK 526057104 28,308 - ----------------------------------------------------------------------------------------------------------- LIQUIDMETAL TECHNOLOGIES COMMON STOCK 53634X100 1,894 - ----------------------------------------------------------------------------------------------------------- MAGNUM HUNTER RESOURCES INC COMMON STOCK 55972F203 1,444 - ----------------------------------------------------------------------------------------------------------- MARRIOTT INTERNATIONAL-CL A COMMON STOCK 571903952 550 - ----------------------------------------------------------------------------------------------------------- MEDQUIST INC COMMON STOCK 584949101 753 - ----------------------------------------------------------------------------------------------------------- MERRILL LYNCH & CO INC COMMON STOCK 590188108 23,065 - ----------------------------------------------------------------------------------------------------------- MOTOROLA INC COMMON STOCK 620076959 1,263 - ----------------------------------------------------------------------------------------------------------- NATIONAL-OILWELL INC COMMON STOCK 637071101 7,752 - ----------------------------------------------------------------------------------------------------------- NAUTILUS GROUP INC COMMON STOCK 63910B102 390 - -----------------------------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------------------------- NEOFORMA INC COMMON STOCK 640475505 330 - ----------------------------------------------------------------------------------------------------------- NEWMONT MINING CORP COMMON STOCK 651639106 6,877 - ----------------------------------------------------------------------------------------------------------- NOBLE CORP COMMON STOCK G65422100 620 - ----------------------------------------------------------------------------------------------------------- NORTHWESTERN CORPORATION COMMON STOCK 668074107 244 - ----------------------------------------------------------------------------------------------------------- OFFICEMAX INC COMMON STOCK 67622M108 2,711 - ----------------------------------------------------------------------------------------------------------- PACTIV CORPORATION COMMON STOCK 695257105 4,935 - ----------------------------------------------------------------------------------------------------------- PENNZOIL-QUAKER STATE CO COMMON STOCK 709323109 3,076 - ----------------------------------------------------------------------------------------------------------- PEPSICO INC COMMON STOCK 713448108 2,032 - ----------------------------------------------------------------------------------------------------------- PHARMACIA CORP COMMON STOCK 71713U102 5,443 - ----------------------------------------------------------------------------------------------------------- PPG INDUSTRIES INC COMMON STOCK 693506957 4,444 - ----------------------------------------------------------------------------------------------------------- PRIDE INTERNATIONAL INC COMMON STOCK 74153Q102 320 - ----------------------------------------------------------------------------------------------------------- PROGENICS PHARMACEUTICALS COMMON STOCK 743187106 7,644 - ----------------------------------------------------------------------------------------------------------- PRUDENTIAL FINANCIAL INC COMMON STOCK 744320102 140,458 - ----------------------------------------------------------------------------------------------------------- PRUDENTIAL FINANCIAL INC COMMON STOCK 744320902 2,283 - ----------------------------------------------------------------------------------------------------------- PRUDENTIAL FINANCIAL INC COMMON STOCK 744320952 7,883 - ----------------------------------------------------------------------------------------------------------- PULTE HOMES INC COMMON STOCK 745867101 13,791 - ----------------------------------------------------------------------------------------------------------- QLOGIC CORP COMMON STOCK 747277101 3,906 - ----------------------------------------------------------------------------------------------------------- QLOGIC CORP COMMON STOCK 747277951 1,748 - ----------------------------------------------------------------------------------------------------------- RATEXCHANGE CORPORATION COMMON STOCK 754091106 35 - ----------------------------------------------------------------------------------------------------------- RJ REYNOLDS TOBACCO HOLDINGS COMMON STOCK 76182K105 30,708 - ----------------------------------------------------------------------------------------------------------- ROCKWELL AUTOMATION INC COMMON STOCK 773903109 7,219 - ----------------------------------------------------------------------------------------------------------- SEARS ROEBUCK & CO COMMON STOCK 812387108 94,618 - ----------------------------------------------------------------------------------------------------------- SEARS ROEBUCK & CO COMMON STOCK 812387908 5,325 - ----------------------------------------------------------------------------------------------------------- SEARS ROEBUCK & CO COMMON STOCK 812387958 24,000 - ----------------------------------------------------------------------------------------------------------- SHERWIN-WILLIAMS CO/THE COMMON STOCK 824348956 169 - ----------------------------------------------------------------------------------------------------------- SLM CORP COMMON STOCK 78442P906 220 - ----------------------------------------------------------------------------------------------------------- STONEPATH GROUP INC COMMON STOCK 861837102 447 - ----------------------------------------------------------------------------------------------------------- SUPERVALU INC COMMON STOCK 868536953 1,000 - ----------------------------------------------------------------------------------------------------------- TEXAS INSTRUMENTS INC COMMON STOCK 882508954 606 - ----------------------------------------------------------------------------------------------------------- TEXTRON INC COMMON STOCK 883203901 85 - ----------------------------------------------------------------------------------------------------------- THE DIAL CORPORATION COMMON STOCK 25247D101 39,031 - ----------------------------------------------------------------------------------------------------------- TIBCO SOFTWARE INC COMMON STOCK 88632Q103 1,858 - ----------------------------------------------------------------------------------------------------------- TRANSMETA CORP/DELAWARE COMMON STOCK 89376R109 380 - ----------------------------------------------------------------------------------------------------------- UNILAB CORPORATION COMMON STOCK 904763208 1,049 - ----------------------------------------------------------------------------------------------------------- UTI WORLDWIDE INC COMMON STOCK G87210103 1,809 - ----------------------------------------------------------------------------------------------------------- VERITAS DGC INC COMMON STOCK 92343P107 4,054 - ----------------------------------------------------------------------------------------------------------- VIACOM INC-CL B COMMON STOCK 925524308 46,126 - ----------------------------------------------------------------------------------------------------------- WEBEX COMMUNICATIONS INC COMMON STOCK 94767L109 504 - ----------------------------------------------------------------------------------------------------------- WEBMD CORPORATION COMMON STOCK 94769M105 22,851 - ---------------------------------------------------------------------------------------------------------- WESTPOINT STEVENS INC COMMON STOCK 961238102 176 - ----------------------------------------------------------------------------------------------------------- WR GRACE & CO COMMON STOCK 38388F108 172 - ----------------------------------------------------------------------------------------------------------- WYETH COMMON STOCK 983024100 19,811 - ----------------------------------------------------------------------------------------------------------- XTO ENERGY INC COMMON STOCK 98385X106 845 - ----------------------------------------------------------------------------------------------------------- ZORAN CORP COMMON STOCK 98975F101 2,558 - ----------------------------------------------------------------------------------------------------------- Grand Total 1,679,190 - -----------------------------------------------------------------------------------------------------------
TUDOR INVESTMENT CORPORATION QUARTERLY REPORT DETAILING 13F ELIGIBLE SECURITIES AS September 30, 2002
- --------------------------------------------------------------------------------------------------- COLUMN 5 COLUMN 6 - --------------------------------------------------------------------------------------------------- Investment Discretion - --------------------------------------------------------------------------------------------------- SHRS OR PRN AMT SH/PRN PUT/CALL shared-defined shared-other - --------------------------------------------------------------------------------------------------- 76,500 SH 70,723 5,777 - --------------------------------------------------------------------------------------------------- 831,700 SH 767,317 64,383 - --------------------------------------------------------------------------------------------------- 200,000 SH PUT 184,800 15,200 - --------------------------------------------------------------------------------------------------- 1,200,000 SH CALL 1,109,500 90,500 - --------------------------------------------------------------------------------------------------- 200,000 SH 184,897 15,103 - --------------------------------------------------------------------------------------------------- 400,000 SH PUT 369,200 30,800 - --------------------------------------------------------------------------------------------------- 857,800 SH 792,707 65,093 - --------------------------------------------------------------------------------------------------- 213,150 SH 198,861 14,289 - --------------------------------------------------------------------------------------------------- 200,000 SH 184,897 15,103 - --------------------------------------------------------------------------------------------------- 600,000 SH PUT 554,600 45,400 - --------------------------------------------------------------------------------------------------- 190,000 SH 175,541 14,459 - --------------------------------------------------------------------------------------------------- 166,000 SH 153,464 12,536 - --------------------------------------------------------------------------------------------------- 752,300 SH 692,570 59,730 - --------------------------------------------------------------------------------------------------- 500,000 SH CALL 462,600 37,400 - --------------------------------------------------------------------------------------------------- 1,000,000 SH PUT 925,400 74,600 - --------------------------------------------------------------------------------------------------- 1,059,800 SH 979,767 80,033 - --------------------------------------------------------------------------------------------------- 2,006,900 SH 1,855,348 151,552 - --------------------------------------------------------------------------------------------------- 407,500 SH 378,939 28,561 - --------------------------------------------------------------------------------------------------- 143,936 SH 60,605 83,331 - --------------------------------------------------------------------------------------------------- 400,000 SH CALL 369,000 31,000 - --------------------------------------------------------------------------------------------------- 300,000 SH 195,000 105,000 - --------------------------------------------------------------------------------------------------- 750,000 SH 689,442 60,558 - --------------------------------------------------------------------------------------------------- 750,000 SH PUT 679,500 70,500 - --------------------------------------------------------------------------------------------------- 275,000 SH 228,250 46,750 - --------------------------------------------------------------------------------------------------- 50,000 SH 46,196 3,804 - --------------------------------------------------------------------------------------------------- 50,000 SH PUT 46,100 3,900 - --------------------------------------------------------------------------------------------------- 750,000 SH CALL 693,000 57,000 - --------------------------------------------------------------------------------------------------- 1,401,300 SH 1,292,087 109,213 - --------------------------------------------------------------------------------------------------- 250,000 SH CALL 231,100 18,900 - --------------------------------------------------------------------------------------------------- 2,032,500 SH 1,890,009 142,491 - --------------------------------------------------------------------------------------------------- 250,000 SH PUT 231,100 18,900 - --------------------------------------------------------------------------------------------------- 250,000 SH PUT 231,100 18,900 - --------------------------------------------------------------------------------------------------- 200,000 SH 184,896 15,104 - --------------------------------------------------------------------------------------------------- 822,500 SH 682,675 139,825 - --------------------------------------------------------------------------------------------------- 868,400 SH 802,492 65,908 - --------------------------------------------------------------------------------------------------- 650,000 SH CALL 600,400 49,600 - --------------------------------------------------------------------------------------------------- 281,500 SH 260,242 21,258 - --------------------------------------------------------------------------------------------------- 300,000 SH 277,345 22,655 - --------------------------------------------------------------------------------------------------- 525,200 SH 485,538 39,662 - --------------------------------------------------------------------------------------------------- 650,000 SH 542,500 107,500 - --------------------------------------------------------------------------------------------------- 486,000 SH 403,380 82,620 - --------------------------------------------------------------------------------------------------- 40,200 SH 37,164 3,036 - --------------------------------------------------------------------------------------------------- 500,000 SH CALL 461,400 38,600 - --------------------------------------------------------------------------------------------------- 660,400 SH 606,914 53,486 - ---------------------------------------------------------------------------------------------------
- --------------------------------------------------------------------------------------------------- 2,730,700 SH 2,519,309 211,391 - --------------------------------------------------------------------------------------------------- 408,195 SH 338,753 69,442 - --------------------------------------------------------------------------------------------------- 1,304,900 SH 1,203,887 101,013 - --------------------------------------------------------------------------------------------------- 10,000 SH 8,300 1,700 - --------------------------------------------------------------------------------------------------- 1,250,000 SH PUT 1,154,500 95,500 - --------------------------------------------------------------------------------------------------- 289,400 SH 267,545 21,855 - --------------------------------------------------------------------------------------------------- 2,125,400 SH 1,953,279 172,121 - --------------------------------------------------------------------------------------------------- 500,000 SH PUT 462,200 37,800 - --------------------------------------------------------------------------------------------------- 2,277,500 SH 2,101,187 176,313 - --------------------------------------------------------------------------------------------------- 1,494,400 SH 1,378,710 115,690 - --------------------------------------------------------------------------------------------------- 310,500 SH 285,449 25,051 - --------------------------------------------------------------------------------------------------- 400,000 SH PUT 370,500 29,500 - --------------------------------------------------------------------------------------------------- 75,434 SH 69,476 5,958 - --------------------------------------------------------------------------------------------------- 387,500 SH 321,625 65,875 - --------------------------------------------------------------------------------------------------- 1,554,549 SH 1,434,207 120,342 - --------------------------------------------------------------------------------------------------- 50,000 SH PUT 32,500 17,500 - --------------------------------------------------------------------------------------------------- 330,000 SH 307,361 22,639 - --------------------------------------------------------------------------------------------------- 100,000 SH 92,393 7,607 - --------------------------------------------------------------------------------------------------- 4,278,300 SH 3,946,022 332,278 - --------------------------------------------------------------------------------------------------- 650,000 SH 539,500 110,500 - --------------------------------------------------------------------------------------------------- 750,000 SH PUT 693,300 56,700 - --------------------------------------------------------------------------------------------------- 750,000 SH CALL 693,300 56,700 - --------------------------------------------------------------------------------------------------- 750,000 SH PUT 693,300 56,700 - --------------------------------------------------------------------------------------------------- 197,400 SH 182,492 14,908 - --------------------------------------------------------------------------------------------------- 370,000 SH PUT 341,800 28,200 - --------------------------------------------------------------------------------------------------- 500,000 SH PUT 462,200 37,800 - --------------------------------------------------------------------------------------------------- 550,000 SH 550,000 - - --------------------------------------------------------------------------------------------------- 400,000 SH 400,000 - - --------------------------------------------------------------------------------------------------- 575,000 SH 529,202 45,798 - --------------------------------------------------------------------------------------------------- 790,000 SH CALL 730,300 59,700 - --------------------------------------------------------------------------------------------------- 170,000 SH 157,162 12,838 - --------------------------------------------------------------------------------------------------- 400,000 SH CALL 368,700 31,300 - --------------------------------------------------------------------------------------------------- 2,000,000 SH 2,000,000 - - --------------------------------------------------------------------------------------------------- 500,000 SH PUT 462,200 37,800 - --------------------------------------------------------------------------------------------------- 260,000 SH 240,366 19,634 - --------------------------------------------------------------------------------------------------- 1,372,700 SH 1,266,111 106,589 - --------------------------------------------------------------------------------------------------- 600,000 SH CALL 553,400 46,600 - --------------------------------------------------------------------------------------------------- 380,000 SH 315,400 64,600 - --------------------------------------------------------------------------------------------------- 900,000 SH 747,000 153,000 - --------------------------------------------------------------------------------------------------- 250,000 SH PUT 231,100 18,900 - --------------------------------------------------------------------------------------------------- 105,000 SH 96,820 8,180 - --------------------------------------------------------------------------------------------------- 564,800 SH 521,941 42,859 - --------------------------------------------------------------------------------------------------- 120,000 SH 110,938 9,062 - --------------------------------------------------------------------------------------------------- 507,500 SH 421,225 86,275 - --------------------------------------------------------------------------------------------------- 237,100 SH 196,793 40,307 - --------------------------------------------------------------------------------------------------- 275,000 SH 228,250 46,750 - --------------------------------------------------------------------------------------------------- 250,000 SH PUT 231,100 18,900 - --------------------------------------------------------------------------------------------------- 32,100 SH 25,365 6,735 - --------------------------------------------------------------------------------------------------- 700,000 SH 647,137 52,863 - --------------------------------------------------------------------------------------------------- 500,000 SH PUT 462,200 37,800 - --------------------------------------------------------------------------------------------------- 400,000 SH 332,000 68,000 - --------------------------------------------------------------------------------------------------- 20,000 SH 18,489 1,511 - ---------------------------------------------------------------------------------------------------
- --------------------------------------------------------------------------------------------------- 35,000 SH 32,273 2,727 - --------------------------------------------------------------------------------------------------- 250,000 SH 230,310 19,690 - --------------------------------------------------------------------------------------------------- 20,000 SH 16,600 3,400 - --------------------------------------------------------------------------------------------------- 25,000 SH 23,110 1,890 - --------------------------------------------------------------------------------------------------- 664,500 SH 607,673 56,827 - --------------------------------------------------------------------------------------------------- 300,000 SH 277,180 22,820 - --------------------------------------------------------------------------------------------------- 140,000 SH 91,000 49,000 - --------------------------------------------------------------------------------------------------- 55,000 SH 50,847 4,153 - --------------------------------------------------------------------------------------------------- 140,000 SH 91,000 49,000 - --------------------------------------------------------------------------------------------------- 500,000 SH PUT 461,900 38,100 - --------------------------------------------------------------------------------------------------- 24,600 SH 21,900 2,700 - --------------------------------------------------------------------------------------------------- 2,342,388 SH 2,123,281 219,107 - --------------------------------------------------------------------------------------------------- 4,918,000 SH 4,536,681 381,319 - --------------------------------------------------------------------------------------------------- 550,000 SH CALL 508,100 41,900 - --------------------------------------------------------------------------------------------------- 3,583,300 SH PUT 3,312,600 270,700 - --------------------------------------------------------------------------------------------------- 323,500 SH 268,505 54,995 - --------------------------------------------------------------------------------------------------- 150,000 SH 138,672 11,328 - --------------------------------------------------------------------------------------------------- 350,000 SH PUT 323,500 26,500 - --------------------------------------------------------------------------------------------------- 125,000 SH 125,000 - - --------------------------------------------------------------------------------------------------- 761,600 SH 701,457 60,143 - --------------------------------------------------------------------------------------------------- 443,700 SH 408,714 34,986 - --------------------------------------------------------------------------------------------------- 2,426,100 SH 2,237,950 188,150 - --------------------------------------------------------------------------------------------------- 750,000 SH CALL 692,900 57,100 - --------------------------------------------------------------------------------------------------- 3,750,000 SH PUT 3,459,700 290,300 - --------------------------------------------------------------------------------------------------- 25,000 SH PUT 20,700 4,300 - --------------------------------------------------------------------------------------------------- 100,000 SH CALL 92,200 7,800 - --------------------------------------------------------------------------------------------------- 425,407 SH 425,407 - - --------------------------------------------------------------------------------------------------- 250,000 SH PUT 231,100 18,900 - --------------------------------------------------------------------------------------------------- 250,000 SH PUT 230,600 19,400 - --------------------------------------------------------------------------------------------------- 100,000 SH CALL 83,000 17,000 - --------------------------------------------------------------------------------------------------- 1,818,800 SH 1,677,562 141,238 - --------------------------------------------------------------------------------------------------- 495,581 SH 457,900 37,681 - --------------------------------------------------------------------------------------------------- 391,500 SH 391,500 - - --------------------------------------------------------------------------------------------------- 50,000 SH 32,500 17,500 - --------------------------------------------------------------------------------------------------- 98,400 SH 81,672 16,728 - --------------------------------------------------------------------------------------------------- 375,000 SH 311,250 63,750 - --------------------------------------------------------------------------------------------------- 1,137,500 SH 1,051,600 85,900 - --------------------------------------------------------------------------------------------------- 45,000 SH 41,601 3,399 - --------------------------------------------------------------------------------------------------- 4,525,000 SH 4,174,185 350,815 - --------------------------------------------------------------------------------------------------- 180,000 SH 166,581 13,419 - --------------------------------------------------------------------------------------------------- 107,400 SH 100,962 6,438 - --------------------------------------------------------------------------------------------------- 623,000 SH 575,956 47,044 - --------------------------------------------------------------------------------------------------- 41,000 SH 34,030 6,970 - --------------------------------------------------------------------------------------------------- 232,500 SH 214,813 17,687 - --------------------------------------------------------------------------------------------------- 95,100,740 87,100,832 7,999,908 - ---------------------------------------------------------------------------------------------------
COLUMN 7 COLUMN 8 - ----------------------------------------------------------------------------------------- Voting Authority - ----------------------------------------------------------------------------------------- Managers Sole Shared None - ----------------------------------------------------------------------------------------- 1 70,723 5,777 - ----------------------------------------------------------------------------------------- 1 767,317 64,383 - ----------------------------------------------------------------------------------------- 1 184,800 15,200 - ----------------------------------------------------------------------------------------- 1 1,109,500 90,500 - ----------------------------------------------------------------------------------------- 1 184,897 15,103 - ----------------------------------------------------------------------------------------- 1 369,200 30,800 - ----------------------------------------------------------------------------------------- 1 792,707 65,093 - ----------------------------------------------------------------------------------------- 1 198,861 14,289 - ----------------------------------------------------------------------------------------- 1 184,897 15,103 - ----------------------------------------------------------------------------------------- 1 554,600 45,400 - ----------------------------------------------------------------------------------------- 1 175,541 14,459 - ----------------------------------------------------------------------------------------- 1 153,464 12,536 - ----------------------------------------------------------------------------------------- 1 692,570 59,730 - ----------------------------------------------------------------------------------------- 1 462,600 37,400 - ----------------------------------------------------------------------------------------- 1 925,400 74,600 - ----------------------------------------------------------------------------------------- 1 979,767 80,033 - ----------------------------------------------------------------------------------------- 1 1,855,348 151,552 - ----------------------------------------------------------------------------------------- 1 378,939 28,561 - ----------------------------------------------------------------------------------------- 1 60,605 83,331 - ----------------------------------------------------------------------------------------- 1 369,000 31,000 - ----------------------------------------------------------------------------------------- 1 195,000 105,000 - ----------------------------------------------------------------------------------------- 1 689,442 60,558 - ----------------------------------------------------------------------------------------- 1 679,500 70,500 - ----------------------------------------------------------------------------------------- 1 228,250 46,750 - ----------------------------------------------------------------------------------------- 1 46,196 3,804 - ----------------------------------------------------------------------------------------- 1 46,100 3,900 - ----------------------------------------------------------------------------------------- 1 693,000 57,000 - ----------------------------------------------------------------------------------------- 1 1,292,087 109,213 - ----------------------------------------------------------------------------------------- 1 231,100 18,900 - ----------------------------------------------------------------------------------------- 1 1,890,009 142,491 - ----------------------------------------------------------------------------------------- 1 231,100 18,900 - ----------------------------------------------------------------------------------------- 1 231,100 18,900 - ----------------------------------------------------------------------------------------- 1 184,896 15,104 - ----------------------------------------------------------------------------------------- 1 682,675 139,825 - ----------------------------------------------------------------------------------------- 1 802,492 65,908 - ----------------------------------------------------------------------------------------- 1 600,400 49,600 - ----------------------------------------------------------------------------------------- 1 260,242 21,258 - ----------------------------------------------------------------------------------------- 1 277,345 22,655 - ----------------------------------------------------------------------------------------- 1 485,538 39,662 - ----------------------------------------------------------------------------------------- 1 542,500 107,500 - ----------------------------------------------------------------------------------------- 1 403,380 82,620 - ----------------------------------------------------------------------------------------- 1 37,164 3,036 - ----------------------------------------------------------------------------------------- 1 461,400 38,600 - ----------------------------------------------------------------------------------------- 1 606,914 53,486 - -----------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------- 1 2,519,309 211,391 - ----------------------------------------------------------------------------------------- 1 338,753 69,442 - ----------------------------------------------------------------------------------------- 1 1,203,887 101,013 - ----------------------------------------------------------------------------------------- 1 8,300 1,700 - ----------------------------------------------------------------------------------------- 1 1,154,500 95,500 - ----------------------------------------------------------------------------------------- 1 267,545 21,855 - ----------------------------------------------------------------------------------------- 1 1,953,279 172,121 - ----------------------------------------------------------------------------------------- 1 462,200 37,800 - ----------------------------------------------------------------------------------------- 1 2,101,187 176,313 - ----------------------------------------------------------------------------------------- 1 1,378,710 115,690 - ----------------------------------------------------------------------------------------- 1 285,449 25,051 - ----------------------------------------------------------------------------------------- 1 370,500 29,500 - ----------------------------------------------------------------------------------------- 1 69,476 5,958 - ----------------------------------------------------------------------------------------- 1 321,625 65,875 - ----------------------------------------------------------------------------------------- 1 1,434,207 120,342 - ----------------------------------------------------------------------------------------- 1 32,500 17,500 - ----------------------------------------------------------------------------------------- 1 307,361 22,639 - ----------------------------------------------------------------------------------------- 1 92,393 7,607 - ----------------------------------------------------------------------------------------- 1 3,946,022 332,278 - ----------------------------------------------------------------------------------------- 1 539,500 110,500 - ----------------------------------------------------------------------------------------- 1 693,300 56,700 - ----------------------------------------------------------------------------------------- 1 693,300 56,700 - ----------------------------------------------------------------------------------------- 1 693,300 56,700 - ----------------------------------------------------------------------------------------- 1 182,492 14,908 - ----------------------------------------------------------------------------------------- 1 341,800 28,200 - ----------------------------------------------------------------------------------------- 1 462,200 37,800 - ----------------------------------------------------------------------------------------- 1 550,000 - - ----------------------------------------------------------------------------------------- 1 400,000 - - ----------------------------------------------------------------------------------------- 1 529,202 45,798 - ----------------------------------------------------------------------------------------- 1 730,300 59,700 - ----------------------------------------------------------------------------------------- 1 157,162 12,838 - ----------------------------------------------------------------------------------------- 1 368,700 31,300 - ----------------------------------------------------------------------------------------- 1 2,000,000 - - ----------------------------------------------------------------------------------------- 1 462,200 37,800 - ----------------------------------------------------------------------------------------- 1 240,366 19,634 - ----------------------------------------------------------------------------------------- 1 1,266,111 106,589 - ----------------------------------------------------------------------------------------- 1 553,400 46,600 - ----------------------------------------------------------------------------------------- 1 315,400 64,600 - ----------------------------------------------------------------------------------------- 1 747,000 153,000 - ----------------------------------------------------------------------------------------- 1 231,100 18,900 - ----------------------------------------------------------------------------------------- 1 96,820 8,180 - ----------------------------------------------------------------------------------------- 1 521,941 42,859 - ----------------------------------------------------------------------------------------- 1 110,938 9,062 - ----------------------------------------------------------------------------------------- 1 421,225 86,275 - ----------------------------------------------------------------------------------------- 1 196,793 40,307 - ----------------------------------------------------------------------------------------- 1 228,250 46,750 - ----------------------------------------------------------------------------------------- 1 231,100 18,900 - ----------------------------------------------------------------------------------------- 1 25,365 6,735 - ----------------------------------------------------------------------------------------- 1 647,137 52,863 - ----------------------------------------------------------------------------------------- 1 462,200 37,800 - ----------------------------------------------------------------------------------------- 1 332,000 68,000 - ----------------------------------------------------------------------------------------- 1 18,489 1,511 - -----------------------------------------------------------------------------------------
- ----------------------------------------------------------------------------------------- 1 32,273 2,727 - ----------------------------------------------------------------------------------------- 1 230,310 19,690 - ----------------------------------------------------------------------------------------- 1 16,600 3,400 - ----------------------------------------------------------------------------------------- 1 23,110 1,890 - ----------------------------------------------------------------------------------------- 1 607,673 56,827 - ----------------------------------------------------------------------------------------- 1 277,180 22,820 - ----------------------------------------------------------------------------------------- 1 91,000 49,000 - ----------------------------------------------------------------------------------------- 1 50,847 4,153 - ----------------------------------------------------------------------------------------- 1 91,000 49,000 - ----------------------------------------------------------------------------------------- 1 461,900 38,100 - ----------------------------------------------------------------------------------------- 1 21,900 2,700 - ----------------------------------------------------------------------------------------- 1 2,123,281 219,107 - ----------------------------------------------------------------------------------------- 1 4,536,681 381,319 - ----------------------------------------------------------------------------------------- 1 508,100 41,900 - ----------------------------------------------------------------------------------------- 1 3,312,600 270,700 - ----------------------------------------------------------------------------------------- 1 268,505 54,995 - ----------------------------------------------------------------------------------------- 1 138,672 11,328 - ----------------------------------------------------------------------------------------- 1 323,500 26,500 - ----------------------------------------------------------------------------------------- 1 125,000 - - ----------------------------------------------------------------------------------------- 1 701,457 60,143 - ----------------------------------------------------------------------------------------- 1 408,714 34,986 - ----------------------------------------------------------------------------------------- 1 2,237,950 188,150 - ----------------------------------------------------------------------------------------- 1 692,900 57,100 - ----------------------------------------------------------------------------------------- 1 3,459,700 290,300 - ----------------------------------------------------------------------------------------- 1 20,700 4,300 - ----------------------------------------------------------------------------------------- 1 92,200 7,800 - ----------------------------------------------------------------------------------------- 1 425,407 - - ----------------------------------------------------------------------------------------- 1 231,100 18,900 - ----------------------------------------------------------------------------------------- 1 230,600 19,400 - ----------------------------------------------------------------------------------------- 1 83,000 17,000 - ----------------------------------------------------------------------------------------- 1 1,677,562 141,238 - ----------------------------------------------------------------------------------------- 1 457,900 37,681 - ----------------------------------------------------------------------------------------- 1 391,500 - - ----------------------------------------------------------------------------------------- 1 32,500 17,500 - ----------------------------------------------------------------------------------------- 1 81,672 16,728 - ----------------------------------------------------------------------------------------- 1 311,250 63,750 - ----------------------------------------------------------------------------------------- 1 1,051,600 85,900 - ----------------------------------------------------------------------------------------- 1 41,601 3,399 - ----------------------------------------------------------------------------------------- 1 4,174,185 350,815 - ----------------------------------------------------------------------------------------- 1 166,581 13,419 - ----------------------------------------------------------------------------------------- 1 100,962 6,438 - ----------------------------------------------------------------------------------------- 1 575,956 47,044 - ----------------------------------------------------------------------------------------- 1 34,030 6,970 - ----------------------------------------------------------------------------------------- 1 214,813 17,687 - ----------------------------------------------------------------------------------------- 87,100,832 7,999,908 - -----------------------------------------------------------------------------------------
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