-----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, V73XHQCz9djpNvlYqEPeGmQkT9Zv6hEXJuTwOMjQMXpHrCaZmccqATzsUi8Sbu0a uOocE1Z4aOoUEv9eFonGhw== 0000902664-08-003222.txt : 20081114 0000902664-08-003222.hdr.sgml : 20081114 20081114115020 ACCESSION NUMBER: 0000902664-08-003222 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081114 DATE AS OF CHANGE: 20081114 EFFECTIVENESS DATE: 20081114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Polar Securities Inc. CENTRAL INDEX KEY: 0001326389 IRS NUMBER: 000000000 STATE OF INCORPORATION: A6 FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12489 FILM NUMBER: 081188328 BUSINESS ADDRESS: STREET 1: 372 BAY STREET STREET 2: 21ST FLOOR CITY: TORONTO STATE: A6 ZIP: M5H 2S6 BUSINESS PHONE: 416-367-4364 MAIL ADDRESS: STREET 1: 372 BAY STREET STREET 2: 21ST FLOOR CITY: TORONTO STATE: A6 ZIP: M5H 2S6 13F-HR 1 p08-1608form13fhr.txt POLAR SECURITIES INC. 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, 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: Polar Securities Inc. -------------------------------------------------- Address: 372 Bay Street, 21st Floor -------------------------------------------------- Toronto, Ontario M5H 2N9 -------------------------------------------------- Canada -------------------------------------------------- Form 13F File Number: 028-12489 ------------------ 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: Robyn Schultz -------------------------------------------------- Title: Chief Compliance Officer -------------------------------------------------- Phone: 416-369-4453 -------------------------------------------------- Signature, Place, and Date of Signing: /s/ Robyn Schultz Toronto, Ontario Canada 11/14/08 ------------------------ ----------------------------- ---------- 2 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).) 3 Report Summary: Number of Other Included Managers: 0 ------------- Form 13F Information Table Entry Total: 216 ------------- Form 13F Information Table Value Total: $779,225 ------------- (thousands) List of Other Included Managers: NONE 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. NONE 4
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ----------------------------- --------------- --------- -------- ------------------ ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ----------------------------- --------------- --------- -------- -------- --- ---- ---------- -------- ------- ------ ----- 2020 CHINACAP ACQUIRCO INC COM 90212G109 724 100,000 SH SOLE 100,000 2020 CHINACAP ACQUIRCO INC *W EXP 11/08/201 90212G117 20 100,000 SH SOLE 100,000 ABERCROMBIE & FITCH CO CL A 002896207 2,959 75,000 SH SOLE 75,000 ABITIBIBOWATER INC COM 003687100 437 111,500 SH SOLE 111,500 ABITIBIBOWATER INC COM 003687100 417 100,000 SH PUT SOLE 100,000 ABITIBIBOWATER INC COM 003687100 1,025 245,900 SH PUT SOLE 245,900 ADVANCE AUTO PARTS INC COM 00751Y106 4,002 100,900 SH SOLE 100,900 ADVANCED TECHNOLOGY ACQU COR COM 007556103 8,030 1,063,600 SH SOLE 1,063,600 AGILENT TECHNOLOGIES INC COM 00846U101 7,062 238,100 SH SOLE 238,100 AK STL HLDG CORP COM 001547108 233 9,000 SH PUT SOLE 9,000 AK STL HLDG CORP COM 001547108 259 10,000 SH CALL SOLE 10,000 ALPHA SEC GROUP CORP *W EXP 03/23/201 02078A118 20 100,000 SH SOLE 100,000 ALPHA SEC GROUP CORP COM 02078A100 3,041 317,800 SH SOLE 317,800 ALSIUS CORPORATION COM 021211107 21 25,000 SH SOLE 25,000 ALTERNATIVE ASSET MGMT ACQU *W EXP 08/01/201 02149U119 51 146,800 SH SOLE 146,800 ALTERNATIVE ASSET MGMT ACQU COM 02149U101 8,820 979,999 SH SOLE 979,999 ALYST ACQUISTION CORP *W EXP 06/28/201 02263A113 125 283,000 SH SOLE 283,000 ALYST ACQUISTION CORP COM 02263A105 5,719 778,100 SH SOLE 778,100 AMDOCS LTD ORD G02602103 10,046 366,900 SH SOLE 366,900 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1,854 40,000 SH CALL SOLE 40,000 AMERICA MOVIL SAB DE CV SPON ADR L SHS 02364W105 1,854 40,000 SH PUT SOLE 40,000 AMERICAN INTL GROUP INC COM 026874107 83 25,000 SH PUT SOLE 25,000 APEX BIOVENTURES ACQ CORP COM 03753Q105 5,923 789,679 SH SOLE 789,679 APPLE INC COM 037833100 1,318 11,600 SH CALL SOLE 11,600 APPLE INC COM 037833100 1,318 11,600 SH PUT SOLE 11,600 ASIA SPECIAL SIT ACQST CORP UNIT 99/99/9999 G0538M113 1,245 138,900 SH SOLE 138,900 ASIA SPECIAL SIT ACQST CORP SHS G0538M105 1,994 221,600 SH SOLE 221,600 ATLAS ACQUISITION HLDGS CORP COM 049162100 4,119 458,200 SH SOLE 458,200 AUTOMATIC DATA PROCESSING IN COM 053015103 10,726 250,900 SH SOLE 250,900 BAKER HUGHES INC COM 057224107 7,041 116,300 SH SOLE 116,300 BANK NOVA SCOTIA HALIFAX COM 064149107 677 15,000 SH CALL SOLE 15,000 BCE INC COM NEW 05534B760 473 13,700 SH SOLE 13,700 BCE INC COM NEW 05534B760 655 19,000 SH PUT SOLE 19,000 BCE INC COM NEW 05534B760 8,214 238,200 SH CALL SOLE 238,200 BIO RAD LABS INC CL A 090572207 7,428 74,942 SH SOLE 74,942 BROADCOM CORP CL A 111320107 279 15,000 SH CALL SOLE 15,000 BROADCOM CORP CL A 111320107 279 15,000 SH PUT SOLE 15,000 CAPITOL ACQUISITION CORP DEL COM 14055E104 900 100,000 SH SOLE 100,000 CARDERO RES CORP COM 14140U105 151 101,869 SH SOLE 101,869 CARNIVAL CORP PAIRED CTF 143658300 14,501 410,200 SH SOLE 410,200 CARNIVAL CORP PAIRED CTF 143658300 7,070 200,000 SH PUT SOLE 200,000 CDN IMPERIAL BK OF COMMERCE COM 136069101 861 15,000 SH CALL SOLE 15,000 CELESTICA INC SUB VTG SHS 15101Q108 2,253 360,108 SH SOLE 360,108 CHARDAN 2008 CHINA ACQST COR SHS G8977T101 679 100,000 SH SOLE 100,000 CHATTEM INC COM 162456107 2,189 28,000 SH PUT SOLE 28,000 CHICOS FAS INC COM 168615102 4,070 744,139 SH SOLE 744,139 CHICOS FAS INC COM 168615102 1,094 200,000 SH CALL SOLE 200,000 CHINA DIGITAL TV HLDG CO LTD SPONSORED ADR 16938G107 1,868 228,100 SH SOLE 228,100 CHINA HEALTHCARE ACQ CORP *W EXP 04/18/201 16939Q112 59 386,000 SH SOLE 386,000 CHINA HEALTHCARE ACQ CORP COM 16939Q104 4,700 870,450 SH SOLE 870,450 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 1,018 13,000 SH PUT SOLE 13,000 CHINA PETE & CHEM CORP SPON ADR H SHS 16941R108 1,175 15,000 SH CALL SOLE 15,000 CHURCHILL VENTURES LTD *W EXP 03/01/201 17157P117 6 50,000 SH SOLE 50,000 CHURCHILL VENTURES LTD COM 17157P109 4,103 526,000 SH SOLE 526,000 CISCO SYS INC COM 17275R102 7,625 338,000 SH SOLE 338,000 CITIGROUP INC COM 172967101 8,547 416,700 SH SOLE 416,700 CLARK HLDGS INC *W EXP 02/15/201 18145M117 1 11,300 SH SOLE 11,300 CLEVELAND CLIFFS INC COM 185896107 265 5,000 SH CALL SOLE 5,000 CLEVELAND CLIFFS INC COM 185896107 265 5,000 SH PUT SOLE 5,000 COLUMBUS ACQUISITION CORP COM 198851107 8,697 1,144,350 SH SOLE 1,144,350 COMPANHIA SIDERURGICA NACION SPONSORED ADR 20440W105 319 15,000 SH CALL SOLE 15,000 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 507 26,500 SH SOLE 26,500 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 1,532 80,000 SH PUT SOLE 80,000 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 1,915 100,000 SH CALL SOLE 100,000 CONOCOPHILLIPS COM 20825C104 256 3,500 SH SOLE 3,500 CONOCOPHILLIPS COM 20825C104 1,831 25,000 SH CALL SOLE 25,000 CONOCOPHILLIPS COM 20825C104 1,831 25,000 SH PUT SOLE 25,000 CONTINENTAL AIRLS INC CL B 210795308 2,400 143,900 SH SOLE 143,900 CON-WAY INC COM 205944101 3,467 78,600 SH SOLE 78,600 COREL CORP NEW COM 21869X103 1,399 164,597 SH SOLE 164,597 DAYSTAR TECHNOLOGIES INC COM 23962Q100 1,949 696,015 SH SOLE 696,015 DESCARTES SYS GROUP INC COM 249906108 10,377 2,817,400 SH SOLE 2,817,400 DIRECTV GROUP INC COM 25459L106 524 20,000 SH CALL SOLE 20,000 DIRECTV GROUP INC COM 25459L106 524 20,000 SH PUT SOLE 20,000 DISNEY WALT CO COM DISNEY 254687106 1,535 50,000 SH PUT SOLE 50,000 DISNEY WALT CO COM DISNEY 254687106 15,176 494,500 SH SOLE 494,500 DOLAN MEDIA CO COM 25659P402 4,457 450,000 SH SOLE 450,000 DRESS BARN INC NOTE 2.500%12/1 261570AB1 7,620 4,900,000 PRN SOLE 4,900,000 ELDORADO GOLD CORP NEW COM 284902103 2,333 373,873 SH SOLE 373,873 ENERGY INFRASTRUCTURE ACQUI COM 29269P109 6,359 627,127 SH SOLE 627,127 ENTERPRISE ACQUISITION CORP *W EXP 11/07/201 29365R116 70 440,000 SH SOLE 440,000 ENTERPRISE ACQUISITION CORP COM 29365R108 5,844 636,600 SH SOLE 636,600 EXACTECH INC COM 30064E109 4,294 193,060 SH SOLE 193,060 EXFO ELECTRO OPTICAL ENGR IN SUB VTG SHS 302043104 3,307 1,014,351 SH SOLE 1,014,351 FIRST ADVANTAGE CORP CL A 31845F100 4,112 292,655 SH SOLE 292,655 FIRST SOLAR INC COM 336433107 8,066 42,700 SH SOLE 42,700 FLOWSERVE CORP COM 34354P105 6,125 69,000 SH SOLE 69,000 FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 3,527 123,700 SH SOLE 123,700 FORDING CDN COAL TR TR UNIT 345425102 1,004 11,500 SH PUT SOLE 11,500 FORDING CDN COAL TR TR UNIT 345425102 10,136 115,000 SH CALL SOLE 115,000 FORWARD AIR CORP COM 349853101 651 23,900 SH SOLE 23,900 GENERAL CABLE CORP DEL NEW COM 369300108 3,859 108,300 SH SOLE 108,300 GENEVA ACQUISITION CORP *W EXP 02/12/201 37185Y112 29 417,900 SH SOLE 417,900 GENEVA ACQUISITION CORP COM 37185Y104 1,677 289,200 SH SOLE 289,200 GHL ACQUISITION CORP COM 36172H108 2,300 250,000 SH SOLE 250,000 GILDAN ACTIVEWEAR INC COM 375916103 2,717 122,295 SH SOLE 122,295 GLOBAL BRANDS ACQUISITION CO COM 378982102 362 39,400 SH SOLE 39,400 GOLDEN POND HEALTHCARE INC COM 38116J109 1,331 184,800 SH SOLE 184,800 GRANAHAN MCCOURT ACQ CORP *W EXP 10/18/201 385034111 24 128,400 SH SOLE 128,400 GRANAHAN MCCOURT ACQ CORP COM 385034103 692 84,400 SH SOLE 84,400 GREY WOLF INC COM 397888108 4,979 640,000 SH SOLE 640,000 GSC ACQUISITION COMPANY COM 40053G106 7,648 813,660 SH SOLE 813,660 HECKMANN CORP COM 422680108 2,479 300,500 SH SOLE 300,500 HICKS ACQUISITION CO I INC COM 429086309 10,156 1,134,700 SH SOLE 1,134,700 HIGHLANDS ACQUISITION CORP COM 430880104 6,742 749,100 SH SOLE 749,100 HUNTSMAN CORP COM 447011107 1,110 88,100 SH CALL SOLE 88,100 IDEARC INC COM 451663108 438 350,000 SH SOLE 350,000 INFOGROUP INC COM 45670G108 3,959 599,003 SH SOLE 599,003 INTER ATLANTIC FINANCIAL INC *W EXP 10/02/201 45890H118 77 306,500 SH SOLE 306,500 INTER ATLANTIC FINANCIAL INC COM 45890H100 6,807 933,717 SH SOLE 933,717 IPCS INC COM NEW 44980Y305 5,986 268,788 SH SOLE 268,788 ISHARES INC MSCI CDA INDEX 464286509 1,346 51,100 SH CALL SOLE 51,100 ISHARES INC MSCI CDA INDEX 464286509 1,873 71,100 SH PUT SOLE 71,100 ISHARES INC MSCI GERMAN 464286806 2,268 94,900 SH SOLE 94,900 ISHARES INC MSCI GERMAN 464286806 2,390 100,000 SH PUT SOLE 100,000 ISHARES TR NYSE 100INX FD 464287135 2,720 40,000 SH CALL SOLE 40,000 ISHARES TR NYSE 100INX FD 464287135 3,400 50,000 SH PUT SOLE 50,000 IVANHOE MINES LTD COM 46579N103 1,641 270,893 SH SOLE 270,893 JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 1,390 131,900 SH SOLE 131,900 JETBLUE AIRWAYS CORP COM 477143101 2,199 444,300 SH SOLE 444,300 JOHNSON & JOHNSON COM 478160104 2,078 30,000 SH PUT SOLE 30,000 KBL HEALTHCARE ACQUIS CORP I COM 48241N107 9,889 1,341,800 SH SOLE 1,341,800 KIMBERLY CLARK CORP COM 494368103 3,242 50,000 SH PUT SOLE 50,000 MANULIFE FINL CORP COM 56501R106 1,370 38,100 SH CALL SOLE 38,100 MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 3,946 424,300 SH SOLE 424,300 MBF HEALTHCARE ACQUISITION C *W EXP 04/16/201 552650111 56 278,000 SH SOLE 278,000 MCCLATCHY CO CL A 579489105 343 78,000 SH PUT SOLE 78,000 MECHEL OAO SPONSORED ADR 583840103 180 10,000 SH CALL SOLE 10,000 MECHEL OAO SPONSORED ADR 583840103 180 10,000 SH PUT SOLE 10,000 MEDIA & ENTMT HOLDINGS INC *W EXP 03/09/201 58439W116 43 214,500 SH SOLE 214,500 MEDIA & ENTMT HOLDINGS INC COM 58439W108 4,321 576,074 SH SOLE 576,074 MERRILL LYNCH & CO INC COM 590188108 1,265 50,000 SH SOLE 50,000 MERRILL LYNCH & CO INC COM 590188108 1,265 50,000 SH PUT SOLE 50,000 MINDSPEED TECHNOLOGIES INC COM NEW 602682205 4,689 1,970,092 SH SOLE 1,970,092 NATIONAL CITY CORP COM 635405103 1,405 803,100 SH SOLE 803,100 NORFOLK SOUTHERN CORP COM 655844108 7,680 116,000 SH SOLE 116,000 NORTEL NETWORKS CORP NEW COM NEW 656568508 905 411,658 SH SOLE 411,658 NORTH AMERN PALLADIUM LTD *W EXP 12/13/200 656912110 147 458,800 SH SOLE 458,800 NRDC ACQUISITION CORP COM 62941R102 9,095 1,010,600 SH SOLE 1,010,600 NUCOR CORP COM 670346105 4,238 107,300 SH SOLE 107,300 O2MICRO INTERNATIONAL LTD SPONS ADR 67107W100 2,620 721,800 SH SOLE 721,800 OCEANAUT INC COM 675227102 2,451 300,700 SH SOLE 300,700 OMEGA PROTEIN CORP COM 68210P107 2,543 216,200 SH SOLE 216,200 OMNIVISION TECHNOLOGIES INC COM 682128103 998 87,500 SH CALL SOLE 87,500 OMNIVISION TECHNOLOGIES INC COM 682128103 998 87,500 SH PUT SOLE 87,500 ONYX PHARMACEUTICALS INC COM 683399109 1,809 50,000 SH CALL SOLE 50,000 ONYX PHARMACEUTICALS INC COM 683399109 1,809 50,000 SH PUT SOLE 50,000 PALL CORP COM 696429307 14,066 409,000 SH SOLE 409,000 PAN AMERICAN SILVER CORP COM 697900108 1,953 89,754 SH SOLE 89,754 PEPSICO INC COM 713448108 11,403 160,000 SH PUT SOLE 160,000 PERKINELMER INC COM 714046109 7,871 315,200 SH SOLE 315,200 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 308 7,000 SH PUT SOLE 7,000 PETROLEO BRASILEIRO SA PETRO SP ADR NON VTG 71654V101 1,099 25,000 SH CALL SOLE 25,000 PHILLIPS VAN HEUSEN CORP COM 718592108 2,472 65,216 SH SOLE 65,216 POTASH CORP SASK INC COM 73755L107 519 4,000 SH PUT SOLE 4,000 POTASH CORP SASK INC COM 73755L107 648 5,000 SH CALL SOLE 5,000 PRECISION DRILLING TR TR UNIT 740215108 1,750 100,000 SH PUT SOLE 100,000 PRIMUS GUARANTY LTD SHS G72457107 887 338,400 SH SOLE 338,400 PROSPECT ACQUISITION CORP COM 74347T103 5,080 558,200 SH SOLE 558,200 PROVIDENT ENERGY TR TR UNIT 74386K104 102 11,500 SH SOLE 11,500 R H DONNELLEY CORP COM NEW 74955W307 498 250,000 SH SOLE 250,000 RADIAN GROUP INC COM 750236101 308 61,100 SH PUT SOLE 61,100 RENAISSANCE ACQUISITION CORP COM 75966C305 3,472 625,600 SH SOLE 625,600 REPUBLIC SVCS INC COM 760759100 7,638 254,755 SH SOLE 254,755 RESEARCH IN MOTION LTD COM 760975102 1,703 25,275 SH SOLE 25,275 ROYAL BK CDA MONTREAL QUE COM 780087102 712 15,000 SH CALL SOLE 15,000 SANDERSON FARMS INC COM 800013104 3,452 93,950 SH SOLE 93,950 SANTA MONICA MEDIA CORP W EXP 03/27/201 802501114 20 180,500 SH SOLE 180,500 SANTA MONICA MEDIA CORP COM 802501106 4,549 598,520 SH SOLE 598,520 SAPPHIRE INDUSTRIALS CORP COM 80306T109 4,149 461,520 SH SOLE 461,520 SCHERING PLOUGH CORP COM 806605101 3,325 180,000 SH SOLE 180,000 SCOPUS VIDEO NETWORKS LTD SHS M8260H106 5,442 1,150,450 SH SOLE 1,150,450 SECURE AMER ACQUISITION CORP *W EXP 10/23/201 81372L111 6 62,600 SH SOLE 62,600 SECURE AMER ACQUISITION CORP COM 81372L103 2,449 331,400 SH SOLE 331,400 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 557 28,000 SH PUT SOLE 28,000 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 2,984 150,000 SH CALL SOLE 150,000 SP ACQUISITION HOLDINGS INC *W EXP 10/10/201 78470A112 30 100,000 SH SOLE 100,000 SP ACQUISITION HOLDINGS INC COM 78470A104 3,860 415,500 SH SOLE 415,500 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 15,219 773,700 SH SOLE 773,700 SPDR TR UNIT SER 1 78462F103 11,599 100,000 SH CALL SOLE 100,000 SPDR TR UNIT SER 1 78462F103 98,592 850,000 SH PUT SOLE 850,000 SPORTS PPTYS ACQUISITION COR COM 84920F107 3,600 400,000 SH SOLE 400,000 SPX CORP COM 784635104 4,135 53,700 SH SOLE 53,700 STANLEY WKS COM 854616109 6,599 158,100 SH SOLE 158,100 STEEL DYNAMICS INC COM 858119100 4,298 251,500 SH SOLE 251,500 STONELEIGH PARTNERS ACQUS CO *W EXP 05/31/201 861923126 10 64,200 SH SOLE 64,200 STONELEIGH PARTNERS ACQUS CO COM 861923100 6,089 806,500 SH SOLE 806,500 SYNAPTICS INC COM 87157D109 626 20,700 SH CALL SOLE 20,700 SYNAPTICS INC COM 87157D109 626 20,700 SH PUT SOLE 20,700 TAILWIND FINL INC *W EXP 04/11/201 874023112 53 280,000 SH SOLE 280,000 TAILWIND FINL INC COM 874023104 4,274 550,000 SH SOLE 550,000 TECK COMINCO LTD CL B 878742204 867 28,700 SH PUT SOLE 28,700 TELETECH HOLDINGS INC COM 879939106 3,110 250,000 SH SOLE 250,000 TORONTO DOMINION BK ONT COM NEW 891160509 602 10,000 SH CALL SOLE 10,000 TRANSALTA CORP COM 89346D107 873 32,500 SH CALL SOLE 32,500 TRANSFORMA ACQUISITION GROUP COM 89366E100 5,715 730,792 SH SOLE 730,792 TRANS-INDIA ACQUISITION CORP *W EXP 02/08/201 893237115 43 214,600 SH SOLE 214,600 TRANS-INDIA ACQUISITION CORP COM 893237107 6,214 809,114 SH SOLE 809,114 TRANSOCEAN INC NEW SHS G90073100 5,745 52,300 SH SOLE 52,300 TREMISIS ENERGY ACQ CORP II COM 89472N101 2,687 378,400 SH SOLE 378,400 TRIAN ACQUISITION I CORP COM 89582E108 885 100,000 SH SOLE 100,000 TRIPLECROWN ACQUISITION CORP COM 89677G109 5,620 635,000 SH SOLE 635,000 TRIUMPH GROUP INC NEW COM 896818101 1,208 26,426 SH SOLE 26,426 UAL CORP COM NEW 902549807 1,845 209,900 SH SOLE 209,900 UNION STREET ACQ CORP *W EXP 02/05/201 908536113 3 293,900 SH SOLE 293,900 UNION STREET ACQ CORP COM 908536105 6,865 862,470 SH SOLE 862,470 UNITED REFINING ENERGY CORP *W EXP 12/11/201 911360113 21 100,000 SH SOLE 100,000 UNITED REFINING ENERGY CORP COM 911360105 5,029 553,832 SH SOLE 553,832 UNITED STATES OIL FUND LP UNITS 91232N108 2,460 30,000 SH CALL SOLE 30,000 USA TECHNOLOGIES INC COM NO PAR 90328S500 1,113 268,804 SH SOLE 268,804 VERISIGN INC COM 92343E102 897 34,400 SH SOLE 34,400 VERISIGN INC COM 92343E102 913 35,000 SH PUT SOLE 35,000 VIACOM INC NEW CL B 92553P201 10,802 434,849 SH SOLE 434,849 VICTORY ACQUISITION CORP COM 92644D100 5,700 600,000 SH SOLE 600,000 WESTERN UN CO COM 959802109 7,374 298,900 SH SOLE 298,900 YAMANA GOLD INC COM 98462Y100 7,502 912,530 SH SOLE 912,530
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