-----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, KXcVqSzc63AnyOGZsx5ZR+lUdVzJocohwCveyZnhBNXPeS0q5+c1bD6uiKCexbL2 HYvh2Owmd0Dfc1lJha/cOQ== 0000902664-09-003293.txt : 20090812 0000902664-09-003293.hdr.sgml : 20090812 20090812103836 ACCESSION NUMBER: 0000902664-09-003293 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090812 DATE AS OF CHANGE: 20090812 EFFECTIVENESS DATE: 20090812 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: 091005582 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 p09-1689form13fhr.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: June 30, 2009 ------------------------ 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 8/12/09 ------------------------ ------------------------------ ---------- 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).) Report Summary: Number of Other Included Managers: 0 ------------- Form 13F Information Table Entry Total: 175 ------------- Form 13F Information Table Value Total: $594,774 ------------- (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 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 *W EXP 11/08/201 90212G117 17 100,000 SH SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- 2020 CHINACAP ACQUIRCO INC COM 90212G109 3,232 415,400 SH SOLE 415,400 - ----------------------------------------------------------------------------------------------------------------------------------- A C MOORE ARTS & CRAFTS INC COM 00086T103 586 155,917 SH SOLE 155,917 - ----------------------------------------------------------------------------------------------------------------------------------- ACCENTURE LTD BERMUDA CL A G1150G111 6,799 203,200 SH SOLE 203,200 - ----------------------------------------------------------------------------------------------------------------------------------- ACTIVISION BLIZZARD INC COM 00507V109 1,225 97,000 SH CALL SOLE 97,000 - ----------------------------------------------------------------------------------------------------------------------------------- ACTIVISION BLIZZARD INC COM 00507V109 1,225 97,000 SH PUT SOLE 97,000 - ----------------------------------------------------------------------------------------------------------------------------------- ADVANCED TECHNOLOGY ACQU COR COM 007556103 8,636 1,063,600 SH SOLE 1,063,600 - ----------------------------------------------------------------------------------------------------------------------------------- AFC ENTERPRISES INC COM 00104Q107 2,965 439,297 SH SOLE 439,297 - ----------------------------------------------------------------------------------------------------------------------------------- AGILENT TECHNOLOGIES INC COM 00846U101 3,946 194,306 SH SOLE 194,306 - ----------------------------------------------------------------------------------------------------------------------------------- ALPHA SEC GROUP CORP COM 02078A100 3,178 317,800 SH SOLE 317,800 - ----------------------------------------------------------------------------------------------------------------------------------- ALPHA SEC GROUP CORP *W EXP 03/23/201 02078A118 1 100,000 SH SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- ALTERNATIVE ASSET MGMT ACQU COM 02149U101 9,575 979,999 SH SOLE 979,999 - ----------------------------------------------------------------------------------------------------------------------------------- ALTERNATIVE ASSET MGMT ACQU *W EXP 08/01/201 02149U119 21 146,800 SH SOLE 146,800 - ----------------------------------------------------------------------------------------------------------------------------------- ARCH COAL INC COM 039380100 227 14,800 SH CALL SOLE 14,800 - ----------------------------------------------------------------------------------------------------------------------------------- ARCH COAL INC COM 039380100 227 14,800 SH PUT SOLE 14,800 - ----------------------------------------------------------------------------------------------------------------------------------- ATLAS ACQUISITION HLDGS CORP COM 049162100 4,426 458,200 SH SOLE 458,200 - ----------------------------------------------------------------------------------------------------------------------------------- AUTHENTEC INC COM 052660107 517 288,600 SH SOLE 288,600 - ----------------------------------------------------------------------------------------------------------------------------------- BAKER HUGHES INC COM 057224107 3,141 86,200 SH SOLE 86,200 - ----------------------------------------------------------------------------------------------------------------------------------- BANK MONTREAL QUE COM 063671101 843 20,000 SH PUT SOLE 20,000 - ----------------------------------------------------------------------------------------------------------------------------------- BANK MONTREAL QUE COM 063671101 316 7,500 SH CALL SOLE 7,500 - ----------------------------------------------------------------------------------------------------------------------------------- BANK OF AMERICA CORPORATION COM 060505104 5,131 388,700 SH SOLE 388,700 - ----------------------------------------------------------------------------------------------------------------------------------- BANK OF AMERICA CORPORATION COM 060505104 330 25,000 SH CALL SOLE 25,000 - ----------------------------------------------------------------------------------------------------------------------------------- BCE INC COM NEW 05534B760 341 16,500 SH CALL SOLE 16,500 - ----------------------------------------------------------------------------------------------------------------------------------- BECTON DICKINSON & CO COM 075887109 6,339 88,900 SH SOLE 88,900 - ----------------------------------------------------------------------------------------------------------------------------------- BIG LOTS INC COM 089302103 589 28,000 SH CALL SOLE 28,000 - ----------------------------------------------------------------------------------------------------------------------------------- BIG LOTS INC COM 089302103 589 28,000 SH PUT SOLE 28,000 - ----------------------------------------------------------------------------------------------------------------------------------- BLUEPHOENIX SOLUTIONS LTD SHS M20157109 720 293,900 SH SOLE 293,900 - ----------------------------------------------------------------------------------------------------------------------------------- BROOKFIELD HOMES CORP COM 112723101 287 71,836 SH SOLE 71,836 - ----------------------------------------------------------------------------------------------------------------------------------- BUFFALO WILD WINGS INC COM 119848109 715 22,000 SH CALL SOLE 22,000 - ----------------------------------------------------------------------------------------------------------------------------------- BUFFALO WILD WINGS INC COM 119848109 715 22,000 SH PUT SOLE 22,000 - ----------------------------------------------------------------------------------------------------------------------------------- CALIFORNIA PIZZA KITCHEN INC COM 13054D109 1,304 98,100 SH SOLE 98,100 - ----------------------------------------------------------------------------------------------------------------------------------- CAPITOL ACQUISITION CORP DEL COM 14055E104 2,871 294,800 SH SOLE 294,800 - ----------------------------------------------------------------------------------------------------------------------------------- CAPSTEAD MTG CORP COM NO PAR 14067E506 691 54,400 SH CALL SOLE 54,400 - ----------------------------------------------------------------------------------------------------------------------------------- CARDERO RES CORP COM 14140U105 35 36,669 SH SOLE 36,669 - ----------------------------------------------------------------------------------------------------------------------------------- CELESTICA INC SUB VTG SHS 15101Q108 8,905 1,188,526 SH SOLE 1,188,526 - ----------------------------------------------------------------------------------------------------------------------------------- CHARDAN 2008 CHINA ACQST COR SHS G8977T101 734 100,000 SH SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- CHINA HLDGS ACQUISITION CORP COM 16942N106 6,479 674,200 SH SOLE 674,200 - ----------------------------------------------------------------------------------------------------------------------------------- CITIGROUP INC COM 172967101 62 21,000 SH CALL SOLE 21,000 - ----------------------------------------------------------------------------------------------------------------------------------- CLARK HLDGS INC *W EXP 02/15/201 18145M117 1 11,300 SH SOLE 11,300 - ----------------------------------------------------------------------------------------------------------------------------------- COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 2,010 31,000 SH CALL SOLE 31,000 - ----------------------------------------------------------------------------------------------------------------------------------- COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 2,010 31,000 SH PUT SOLE 31,000 - ----------------------------------------------------------------------------------------------------------------------------------- DARDEN RESTAURANTS INC COM 237194105 4,198 127,295 SH SOLE 127,295 - ----------------------------------------------------------------------------------------------------------------------------------- DATA DOMAIN INC COM 23767P109 1,502 45,000 SH CALL SOLE 45,000 - ----------------------------------------------------------------------------------------------------------------------------------- DEL MONTE FOODS CO COM 24522P103 10,652 1,135,600 SH SOLE 1,135,600 - ----------------------------------------------------------------------------------------------------------------------------------- DENTSPLY INTL INC NEW COM 249030107 3,344 109,400 SH SOLE 109,400 - ----------------------------------------------------------------------------------------------------------------------------------- DESCARTES SYS GROUP INC COM 249906108 9,578 2,507,354 SH SOLE 2,507,354 - ----------------------------------------------------------------------------------------------------------------------------------- DIANA SHIPPING INC COM Y2066G104 4,595 345,000 SH SOLE 345,000 - ----------------------------------------------------------------------------------------------------------------------------------- DIRECTV GROUP INC COM 25459L106 6,506 263,300 SH SOLE 263,300 - ----------------------------------------------------------------------------------------------------------------------------------- DOLLAR TREE INC COM 256746108 5,974 141,900 SH SOLE 141,900 - ----------------------------------------------------------------------------------------------------------------------------------- ELDORADO GOLD CORP NEW COM 284902103 5,858 654,501 SH SOLE 654,501 - ----------------------------------------------------------------------------------------------------------------------------------- ENCANA CORP COM 292505104 989 20,000 SH CALL SOLE 20,000 - ----------------------------------------------------------------------------------------------------------------------------------- ENCANA CORP COM 292505104 989 20,000 SH PUT SOLE 20,000 - ----------------------------------------------------------------------------------------------------------------------------------- ENTERPRISE ACQUISITION CORP COM 29365R108 7,677 786,600 SH SOLE 786,600 - ----------------------------------------------------------------------------------------------------------------------------------- ENTERPRISE ACQUISITION CORP *W EXP 11/07/201 29365R116 29 440,000 SH SOLE 440,000 - ----------------------------------------------------------------------------------------------------------------------------------- EQUIFAX INC COM 294429105 7,438 284,970 SH SOLE 284,970 - ----------------------------------------------------------------------------------------------------------------------------------- EXACTECH INC COM 30064E109 2,833 195,361 SH SOLE 195,361 - ----------------------------------------------------------------------------------------------------------------------------------- FISERV INC COM 337738108 7,878 172,339 SH SOLE 172,339 - ----------------------------------------------------------------------------------------------------------------------------------- GARMIN LTD ORD G37260109 1,191 50,000 SH CALL SOLE 50,000 - ----------------------------------------------------------------------------------------------------------------------------------- GENESEE & WYO INC CL A 371559105 2,850 107,500 SH SOLE 107,500 - ----------------------------------------------------------------------------------------------------------------------------------- GHL ACQUISITION CORP COM 36172H108 7,130 727,500 SH SOLE 727,500 - ----------------------------------------------------------------------------------------------------------------------------------- GILDAN ACTIVEWEAR INC COM 375916103 2,410 162,823 SH SOLE 162,823 - ----------------------------------------------------------------------------------------------------------------------------------- GLOBAL BRANDS ACQUISITION CO COM 378982102 6,578 675,380 SH SOLE 675,380 - ----------------------------------------------------------------------------------------------------------------------------------- GOLDEN POND HEALTHCARE INC COM 38116J109 1,425 184,800 SH SOLE 184,800 - ----------------------------------------------------------------------------------------------------------------------------------- GROUPE CGI INC CL A SUB VTG 39945C109 3,190 359,634 SH SOLE 359,634 - ----------------------------------------------------------------------------------------------------------------------------------- HASBRO INC COM 418056107 3,137 129,400 SH SOLE 129,400 - ----------------------------------------------------------------------------------------------------------------------------------- HEIDRICK & STRUGGLES INTL IN COM 422819102 4,476 245,256 SH SOLE 245,256 - ----------------------------------------------------------------------------------------------------------------------------------- HIBBETT SPORTS INC COM 428567101 3,062 170,100 SH SOLE 170,100 - ----------------------------------------------------------------------------------------------------------------------------------- HICKS ACQUISITION CO I INC COM 429086309 10,882 1,134,700 SH SOLE 1,134,700 - ----------------------------------------------------------------------------------------------------------------------------------- HIGHLANDS ACQUISITION CORP COM 430880104 8,279 849,100 SH SOLE 849,100 - ----------------------------------------------------------------------------------------------------------------------------------- HUDSON HIGHLAND GROUP INC COM 443792106 280 142,986 SH SOLE 142,986 - ----------------------------------------------------------------------------------------------------------------------------------- HYPERCOM CORP COM 44913M105 614 409,000 SH SOLE 409,000 - ----------------------------------------------------------------------------------------------------------------------------------- IAC INTERACTIVECORP COM PAR $.001 44919P508 6,345 395,300 SH SOLE 395,300 - ----------------------------------------------------------------------------------------------------------------------------------- ICICI BK LTD ADR 45104G104 1,475 50,000 SH CALL SOLE 50,000 - ----------------------------------------------------------------------------------------------------------------------------------- ICICI BK LTD ADR 45104G104 1,475 50,000 SH PUT SOLE 50,000 - ----------------------------------------------------------------------------------------------------------------------------------- ICT GROUP INC COM 44929Y101 533 61,029 SH SOLE 61,029 - ----------------------------------------------------------------------------------------------------------------------------------- IDEATION ACQUISITION CORP COM 451665103 2,560 332,000 SH SOLE 332,000 - ----------------------------------------------------------------------------------------------------------------------------------- IMMUCOR INC COM 452526106 1,538 111,800 SH SOLE 111,800 - ----------------------------------------------------------------------------------------------------------------------------------- IMS HEALTH INC COM 449934108 6,320 497,621 SH SOLE 497,621 - ----------------------------------------------------------------------------------------------------------------------------------- INFOGROUP INC COM 45670G108 4,016 703,314 SH SOLE 703,314 - ----------------------------------------------------------------------------------------------------------------------------------- INTER ATLANTIC FINANCIAL INC COM 45890H100 7,274 933,717 SH SOLE 933,717 - ----------------------------------------------------------------------------------------------------------------------------------- INTER ATLANTIC FINANCIAL INC *W EXP 10/02/201 45890H118 54 306,500 SH SOLE 306,500 - ----------------------------------------------------------------------------------------------------------------------------------- INTERMEC INC COM 458786100 5,573 432,000 SH SOLE 432,000 - ----------------------------------------------------------------------------------------------------------------------------------- ISHARES INC MSCI MALAYSIA 464286830 2,261 254,000 SH CALL SOLE 254,000 - ----------------------------------------------------------------------------------------------------------------------------------- ISHARES INC MSCI MALAYSIA 464286830 2,225 250,000 SH PUT SOLE 250,000 - ----------------------------------------------------------------------------------------------------------------------------------- ISHARES INC MSCI JAPAN 464286848 1,415 150,000 SH CALL SOLE 150,000 - ----------------------------------------------------------------------------------------------------------------------------------- ISHARES INC MSCI JAPAN 464286848 123 13,000 SH SOLE 13,000 - ----------------------------------------------------------------------------------------------------------------------------------- ISHARES TR BARCLYS 7-10 YR 464287440 9,067 100,000 SH CALL SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- ISHARES TR MSCI EMERG MKT 464287234 967 30,000 SH PUT SOLE 30,000 - ----------------------------------------------------------------------------------------------------------------------------------- ITT CORP NEW COM 450911102 6,056 136,100 SH SOLE 136,100 - ----------------------------------------------------------------------------------------------------------------------------------- ITT EDUCATIONAL SERVICES INC COM 45068B109 3,006 29,866 SH SOLE 29,866 - ----------------------------------------------------------------------------------------------------------------------------------- ITT EDUCATIONAL SERVICES INC COM 45068B109 1,510 15,000 SH CALL SOLE 15,000 - ----------------------------------------------------------------------------------------------------------------------------------- ITT EDUCATIONAL SERVICES INC COM 45068B109 1,510 15,000 SH PUT SOLE 15,000 - ----------------------------------------------------------------------------------------------------------------------------------- IVANHOE MINES LTD COM 46579N103 2,020 360,744 SH SOLE 360,744 - ----------------------------------------------------------------------------------------------------------------------------------- JACKSON HEWITT TAX SVCS INC COM 468202106 6,968 1,113,100 SH SOLE 1,113,100 - ----------------------------------------------------------------------------------------------------------------------------------- JDA SOFTWARE GROUP INC COM 46612K108 4,338 290,000 SH SOLE 290,000 - ----------------------------------------------------------------------------------------------------------------------------------- KBL HEALTHCARE ACQUIS CORP I COM 48241N107 10,386 1,341,800 SH SOLE 1,341,800 - ----------------------------------------------------------------------------------------------------------------------------------- KINGSWAY FINL SVCS INC COM 496904103 2,462 857,900 SH SOLE 857,900 - ----------------------------------------------------------------------------------------------------------------------------------- LAS VEGAS SANDS CORP COM 517834107 94 12,000 SH CALL SOLE 12,000 - ----------------------------------------------------------------------------------------------------------------------------------- LIBERTY ACQUISITION HLDGS CO COM 53015Y107 6,830 753,914 SH SOLE 753,914 - ----------------------------------------------------------------------------------------------------------------------------------- LIFE TECHNOLOGIES CORP COM 53217V109 3,296 79,000 SH SOLE 79,000 - ----------------------------------------------------------------------------------------------------------------------------------- LOWES COS INC COM 548661107 6,112 314,900 SH SOLE 314,900 - ----------------------------------------------------------------------------------------------------------------------------------- MASTEC INC COM 576323109 4,615 393,800 SH SOLE 393,800 - ----------------------------------------------------------------------------------------------------------------------------------- MDS INC COM 55269P302 1,460 273,376 SH SOLE 273,376 - ----------------------------------------------------------------------------------------------------------------------------------- MICROSEMI CORP COM 595137100 3,171 229,800 SH SOLE 229,800 - ----------------------------------------------------------------------------------------------------------------------------------- MINDSPEED TECHNOLOGIES INC COM NEW 602682205 5,384 2,492,601 SH SOLE 2,492,601 - ----------------------------------------------------------------------------------------------------------------------------------- MIPS TECHNOLOGIES INC COM 604567107 2,594 864,600 SH SOLE 864,600 - ----------------------------------------------------------------------------------------------------------------------------------- NAM TAI ELECTRS INC COM PAR $0.02 629865205 557 131,100 SH SOLE 131,100 - ----------------------------------------------------------------------------------------------------------------------------------- NAVIOS MARITIME ACQUIS CORP SHS Y62159101 6,936 741,065 SH SOLE 741,065 - ----------------------------------------------------------------------------------------------------------------------------------- NEW YORK & CO INC COM 649295102 2,831 916,209 SH SOLE 916,209 - ----------------------------------------------------------------------------------------------------------------------------------- NORFOLK SOUTHERN CORP COM 655844108 4,351 115,500 SH SOLE 115,500 - ----------------------------------------------------------------------------------------------------------------------------------- NORTH AMERN PALLADIUM LTD *W EXP 12/13/200 656912110 53 458,800 SH SOLE 458,800 - ----------------------------------------------------------------------------------------------------------------------------------- NOVA CHEMICALS CORP COM 66977W109 3,350 565,000 SH SOLE 565,000 - ----------------------------------------------------------------------------------------------------------------------------------- NRDC ACQUISITION CORP COM 62941R102 11,246 1,160,600 SH SOLE 1,160,600 - ----------------------------------------------------------------------------------------------------------------------------------- O CHARLEYS INC COM 670823103 2,136 230,900 SH SOLE 230,900 - ----------------------------------------------------------------------------------------------------------------------------------- O2MICRO INTERNATIONAL LTD SPONS ADR 67107W100 5,579 1,115,868 SH SOLE 1,115,868 - ----------------------------------------------------------------------------------------------------------------------------------- OCWEN FINL CORP COM NEW 675746309 778 60,000 SH CALL SOLE 60,000 - ----------------------------------------------------------------------------------------------------------------------------------- OCWEN FINL CORP COM NEW 675746309 778 60,000 SH PUT SOLE 60,000 - ----------------------------------------------------------------------------------------------------------------------------------- OPEN TEXT CORP COM 683715109 1,857 51,000 SH PUT SOLE 51,000 - ----------------------------------------------------------------------------------------------------------------------------------- OPEN TEXT CORP COM 683715109 1,311 36,000 SH CALL SOLE 36,000 - ----------------------------------------------------------------------------------------------------------------------------------- OVERTURE ACQUISITION CORP SHS G6830P100 5,359 553,009 SH SOLE 553,009 - ----------------------------------------------------------------------------------------------------------------------------------- PALL CORP COM 696429307 5,538 208,526 SH SOLE 208,526 - ----------------------------------------------------------------------------------------------------------------------------------- PAN AMERICAN SILVER CORP COM 697900108 2,145 117,026 SH SOLE 117,026 - ----------------------------------------------------------------------------------------------------------------------------------- PERKINELMER INC COM 714046109 6,229 358,000 SH SOLE 358,000 - ----------------------------------------------------------------------------------------------------------------------------------- POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 1,697 75,000 SH CALL SOLE 75,000 - ----------------------------------------------------------------------------------------------------------------------------------- POWERSHARES DB CMDTY IDX TRA UNIT BEN INT 73935S105 1,697 75,000 SH PUT SOLE 75,000 - ----------------------------------------------------------------------------------------------------------------------------------- PRICELINE COM INC COM NEW 741503403 2,789 25,000 SH PUT SOLE 25,000 - ----------------------------------------------------------------------------------------------------------------------------------- PROSPECT ACQUISITION CORP COM 74347T103 9,033 934,100 SH SOLE 934,100 - ----------------------------------------------------------------------------------------------------------------------------------- QUANEX BUILDING PRODUCTS COR COM 747619104 2,896 258,091 SH SOLE 258,091 - ----------------------------------------------------------------------------------------------------------------------------------- RADVISION LTD ORD M81869105 505 64,500 SH SOLE 64,500 - ----------------------------------------------------------------------------------------------------------------------------------- REGAL BELOIT CORP COM 758750103 4,798 120,800 SH SOLE 120,800 - ----------------------------------------------------------------------------------------------------------------------------------- REPUBLIC SVCS INC COM 760759100 5,010 205,255 SH SOLE 205,255 - ----------------------------------------------------------------------------------------------------------------------------------- RESEARCH IN MOTION LTD COM 760975102 4,184 58,854 SH SOLE 58,854 - ----------------------------------------------------------------------------------------------------------------------------------- RICHARDSON ELECTRS LTD COM 763165107 445 136,106 SH SOLE 136,106 - ----------------------------------------------------------------------------------------------------------------------------------- RRI ENERGY INC COM 74971X107 80 16,000 SH CALL SOLE 16,000 - ----------------------------------------------------------------------------------------------------------------------------------- SANTA MONICA MEDIA CORP COM 802501106 4,776 598,520 SH SOLE 598,520 - ----------------------------------------------------------------------------------------------------------------------------------- SANTA MONICA MEDIA CORP *W EXP 03/27/201 802501114 1 180,500 SH SOLE 180,500 - ----------------------------------------------------------------------------------------------------------------------------------- SAPPHIRE INDUSTRIALS CORP COM 80306T109 7,465 764,120 SH SOLE 764,120 - ----------------------------------------------------------------------------------------------------------------------------------- SCHEIN HENRY INC COM 806407102 1,649 34,400 SH SOLE 34,400 - ----------------------------------------------------------------------------------------------------------------------------------- SECURE AMER ACQUISITION CORP COM 81372L103 2,568 331,400 SH SOLE 331,400 - ----------------------------------------------------------------------------------------------------------------------------------- SECURE AMER ACQUISITION CORP *W EXP 10/23/201 81372L111 5 62,600 SH SOLE 62,600 - ----------------------------------------------------------------------------------------------------------------------------------- SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 1,195 100,000 SH CALL SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- SIERRA WIRELESS INC COM 826516106 3,815 667,000 SH SOLE 667,000 - ----------------------------------------------------------------------------------------------------------------------------------- SILVER WHEATON CORP COM 828336107 448 46,391 SH SOLE 46,391 - ----------------------------------------------------------------------------------------------------------------------------------- SMUCKER J M CO COM NEW 832696405 4,496 92,400 SH SOLE 92,400 - ----------------------------------------------------------------------------------------------------------------------------------- SP ACQUISITION HOLDINGS INC COM 78470A104 4,506 465,500 SH SOLE 465,500 - ----------------------------------------------------------------------------------------------------------------------------------- SP ACQUISITION HOLDINGS INC *W EXP 10/10/201 78470A112 6 100,000 SH SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- SPDR TR UNIT SER 1 78462F103 32,183 350,000 SH PUT SOLE 350,000 - ----------------------------------------------------------------------------------------------------------------------------------- SPORTS PPTYS ACQUISITION COR COM 84920F107 4,539 468,930 SH SOLE 468,930 - ----------------------------------------------------------------------------------------------------------------------------------- STANLEY WKS COM 854616109 2,616 77,300 SH SOLE 77,300 - ----------------------------------------------------------------------------------------------------------------------------------- STONELEIGH PARTNERS ACQUS CO *W EXP 05/31/201 861923126 2 64,200 SH SOLE 64,200 - ----------------------------------------------------------------------------------------------------------------------------------- STRYKER CORP COM 863667101 3,128 78,700 SH SOLE 78,700 - ----------------------------------------------------------------------------------------------------------------------------------- SUPERGEN INC COM 868059106 101 50,000 SH CALL SOLE 50,000 - ----------------------------------------------------------------------------------------------------------------------------------- TECK RESOURCES LTD CL B 878742204 2,340 146,800 SH SOLE 146,800 - ----------------------------------------------------------------------------------------------------------------------------------- TELETECH HOLDINGS INC COM 879939106 5,469 361,000 SH SOLE 361,000 - ----------------------------------------------------------------------------------------------------------------------------------- THESTREET COM COM 88368Q103 712 340,694 SH SOLE 340,694 - ----------------------------------------------------------------------------------------------------------------------------------- THOMAS & BETTS CORP COM 884315102 4,251 147,300 SH SOLE 147,300 - ----------------------------------------------------------------------------------------------------------------------------------- TIBCO SOFTWARE INC COM 88632Q103 3,346 466,700 SH SOLE 466,700 - ----------------------------------------------------------------------------------------------------------------------------------- TRANSOCEAN LTD REG SHS H8817H100 3,098 41,700 SH SOLE 41,700 - ----------------------------------------------------------------------------------------------------------------------------------- TRAVELCENTERS OF AMERICA LLC COM 894174101 440 200,200 SH SOLE 200,200 - ----------------------------------------------------------------------------------------------------------------------------------- TRIAN ACQUISITION I CORP COM 89582E108 5,750 600,800 SH SOLE 600,800 - ----------------------------------------------------------------------------------------------------------------------------------- TRIPLECROWN ACQUISITION CORP COM 89677G109 7,455 776,600 SH SOLE 776,600 - ----------------------------------------------------------------------------------------------------------------------------------- TRIUMPH GROUP INC NEW COM 896818101 2,161 54,020 SH SOLE 54,020 - ----------------------------------------------------------------------------------------------------------------------------------- TUESDAY MORNING CORP COM NEW 899035505 1,442 427,819 SH SOLE 427,819 - ----------------------------------------------------------------------------------------------------------------------------------- UNITED REFINING ENERGY CORP COM 911360105 7,700 788,132 SH SOLE 788,132 - ----------------------------------------------------------------------------------------------------------------------------------- UNITED REFINING ENERGY CORP *W EXP 12/11/201 911360113 10 100,000 SH SOLE 100,000 - ----------------------------------------------------------------------------------------------------------------------------------- UNITED STATES OIL FUND LP UNITS 91232N108 1,897 50,000 SH PUT SOLE 50,000 - ----------------------------------------------------------------------------------------------------------------------------------- UNITED STATES OIL FUND LP UNITS 91232N108 759 20,000 SH CALL SOLE 20,000 - ----------------------------------------------------------------------------------------------------------------------------------- UNITED STATES STL CORP NEW COM 912909108 6,330 177,100 SH SOLE 177,100 - ----------------------------------------------------------------------------------------------------------------------------------- VALUECLICK INC COM 92046N102 3,011 286,200 SH SOLE 286,200 - ----------------------------------------------------------------------------------------------------------------------------------- WABTEC CORP COM 929740108 2,937 91,295 SH SOLE 91,295 - ----------------------------------------------------------------------------------------------------------------------------------- WATERS CORP COM 941848103 6,351 123,400 SH SOLE 123,400 - ----------------------------------------------------------------------------------------------------------------------------------- WESTERN UN CO COM 959802109 5,565 339,315 SH SOLE 339,315 - ----------------------------------------------------------------------------------------------------------------------------------- WESTPORT INNOVATIONS INC COM NEW 960908309 112 13,800 SH SOLE 13,800 - ----------------------------------------------------------------------------------------------------------------------------------- WRIGHT MED GROUP INC COM 98235T107 3,229 198,579 SH SOLE 198,579 - ----------------------------------------------------------------------------------------------------------------------------------- YANZHOU COAL MNG CO LTD SPON ADR H SHS 984846105 206 15,000 SH CALL SOLE 15,000 - -----------------------------------------------------------------------------------------------------------------------------------
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