-----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, JBY+0bNXcumLttNVUWevy4ODTzRmDogoe6TiF7dRZ4GTj9Xg7smnwmnQjErOCH4j 8sWKxQfFfItetaKQA8emQQ== 0001193125-09-176039.txt : 20090814 0001193125-09-176039.hdr.sgml : 20090814 20090814164040 ACCESSION NUMBER: 0001193125-09-176039 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090814 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OZ MANAGEMENT LP CENTRAL INDEX KEY: 0001054587 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06663 FILM NUMBER: 091016484 BUSINESS ADDRESS: STREET 1: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2127900165 MAIL ADDRESS: STREET 1: 9 WEST 57TH STREET, 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: OZ MANAGEMENT LLC DATE OF NAME CHANGE: 19980204 13F-HR 1 d13fhr.txt FORM 13F 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 No.: This Amendment (Check only one.): [_] is a restatement. [_] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: OZ Management, LP Address: 9 West 57th Street 39th Floor New York, New York 10019
13F File Number: 28-6912 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: Daniel S. Och Title: Chief Executive Officer Phone: 212-790-0000 /s/ Daniel S. Och New York, New York Dated: August 14, 2009 - ------------------------- Report Type (Check only one.): [X] 13F HOLDINGS REPORT. [_] 13F NOTICE. [_] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager NONE I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included 0 Managers: Form 13F Information 251 Table Entry Total: Form 13F Information $3,447,242 (thousands) Table Value Total: 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. List of Other Included Managers NONE NAME: OZ MANAGEMENT LP MANAGER CIK: 0001054587 13F REPORT FOR THE QUARTER ENDED: June 30, 2009 13F FILE NUMBER: 28-6912
(5) (6) INVESTMENT (7) OTHER (8) VOTING AUTH (1) NAME (2) TITLE (3) CUSIP (4) VALUE SHRS/PRN/AMT SH/PRN DISCRETION MNGRs (sole, shared, none) -------- ---------- --------- -------------- ------------ ------ -------------- --------- -------------------- A D C TELECOMMUNICATIONS NOTE 000886AF8 8828.098846 14,500,000 PRN SOLE 14500000 AT&T INC COM 00206R102 1397.92068 56,277 SH SOLE 56277 ACTIVIDENTITY CORP COM 00506P103 10856.0782 4,290,940 SH SOLE 4290940 ADVANCED MICRO DEVICES INC NOTE 007903AL1 28025 59,000,000 PRN SOLE 59000000 ALLEGHENY TECHNOLOGIES INC NOTE 01741RAD4 6234.502762 5,650,000 PRN SOLE 5650000 ALTERA CORP COM 021441100 3038.70402 186,538 SH SOLE 186538 ALTRIA GROUP INC COM 02209S103 221.54363 13,517 SH SOLE 13517 AMERICAN EXPRESS CO COM 025816109 2928.98368 126,032 SH SOLE 126032 AMERICAN INTL GROUP INC COM 026874107 44.18788 38,093 SH SOLE 38093 AMERICAN TOWER CORP CL A 029912201 57835.03758 1,834,286 SH SOLE 1834286 AMERICREDIT CORP NOTE 03060RAP6 13324.08142 17,300,000 PRN SOLE 17300000 AMERISOURCEBERGEN CORP COM 03073E105 4412.25732 248,718 SH SOLE 248718 AMGEN INC NOTE 031162AQ3 55412.61124 61,226,000 PRN SOLE 61226000 ANADARKO PETE CORP COM 032511107 12284.66733 270,647 SH SOLE 270647 APACHE CORP COM 037411105 975.9009 13,526 SH SOLE 13526 APPLE INC COM 037833100 9770.12828 68,596 SH SOLE 68596 ARCHER DANIELS MIDLAND CO COM 039483102 3937.30483 147,079 SH SOLE 147079 ARCHER DANIELS MIDLAND CO UNIT 039483201 320.95833 8,855 PRN SOLE 8855 ARVINMERITOR INC NOTE 043353AF8 13764.5625 28,235,000 PRN SOLE 28235000 ARVINMERITOR INC NOTE 043353AH4 277.711 679,000 PRN SOLE 679000 ATLAS ENERGY RESOURCES LLC COM 049303100 15707.29905 768,835 SH SOLE 768835 AUTOLIV INC UNIT 052800208 36936.65 895,000 PRN SOLE 895000 BANK OF AMERICA CORPORATION COM 060505104 188736.6492 14,298,231 SH SOLE 14298231 BANK OF NEW YORK MELLON CORP COM 064058100 32526.33285 1,109,735 SH SOLE 1109735 BERKSHIRE HATHAWAY INC DEL CL B 084670207 9900.50087 3,419 SH SOLE 3419 BIO RAD LABS INC CL A 090572207 18773.15916 248,717 SH SOLE 248717 BIOMARIN PHARMACEUTICAL INC NOTE 09061GAD3 30100.81014 33,599,000 PRN SOLE 33599000 BOEING CO COM 097023105 1296.2925 30,501 SH SOLE 30501 BORGWARNER INC NOTE 099724AF3 63253.36341 49,568,000 PRN SOLE 49568000 BOSTON SCIENTIFIC CORP COM 101137107 2521.99038 248,717 SH SOLE 248717 BRANDYWINE RLTY TR SH BEN INT 105368203 2316.16775 310,895 SH SOLE 310895 BRISTOL MYERS SQUIBB CO COM 110122108 362.79753 17,863 SH SOLE 17863 BROADCOM CORP CL A 111320107 3082.85961 124,359 SH SOLE 124359 BROCADE COMMUNICATIONS SYS I COM 111621306 2827.40976 360,639 SH SOLE 360639 BROOKDALE SR LIVING INC COM 112463104 8708.89438 894,137 SH SOLE 894137 CB RICHARD ELLIS GROUP INC CL A 12497T101 2327.99112 248,717 SH SOLE 248717 CF INDS HLDGS INC COM 125269100 59929.5862 808,330 SH SOLE 808330
(5) (6) INVESTMENT (7) OTHER (8) VOTING AUTH (1) NAME (2) TITLE (3) CUSIP (4) VALUE SHRS/PRN/AMT SH/PRN DISCRETION MNGRs (sole, shared, none) -------- ---------- --------- ------------- ------------ ------ -------------- --------- -------------------- CIGNA CORP COM 125509109 10485.26886 435,254 SH SOLE 435254 CKX INC COM 12562M106 25635.39651 3,605,541 SH SOLE 3605541 CME GROUP INC COM 12572Q105 1345.28288 4,324 SH SOLE 4324 CMS ENERGY CORP NOTE 125896AW0 20675.27538 20,206,000 PRN SOLE 20206000 CSX CORP COM 126408103 7783.40417 224,759 SH SOLE 224759 CVS CAREMARK CORPORATION COM 126650100 19816.51104 621,792 SH SOLE 621792 CABLEVISION SYS CORP CL A 12686C109 32645.54313 1,681,893 SH SOLE 1681893 CABOT OIL & GAS CORP COM 127097103 6959.84536 227,149 SH SOLE 227149 CARNIVAL CORP PAIRED CTF 143658300 7073.865 274,500 SH SOLE 274500 CATERPILLAR INC DEL COM 149123101 2342.536 70,900 SH SOLE 70900 CATHAY GENERAL BANCORP COM 149150104 2365.29867 248,717 SH SOLE 248717 CAVIUM NETWORKS INC COM 14965A101 9062.55677 539,117 SH SOLE 539117 CELANESE CORP DEL COM SER A 150870103 13290.80875 559,613 SH SOLE 559613 CEPHALON INC NOTE 156708AP4 57118.48034 45,050,000 PRN SOLE 45050000 CEPHALON INC NOTE 156708AR0 26804.49746 27,000,000 PRN SOLE 27000000 CENVEO INC COM 15670S105 8140.00473 1,924,351 SH SOLE 1924351 CHARLES RIV LABS INTL INC COM 159864107 4197.11625 124,359 SH SOLE 124359 CHENIERE ENERGY INC NOTE 16411RAE9 1691 4,450,000 PRN SOLE 4450000 CHESAPEAKE ENERGY CORP NOTE 165167BZ9 287.4978248 401,000 PRN SOLE 401000 CHESAPEAKE ENERGY CORP NOTE 165167CA3 29960.71471 41,789,000 PRN SOLE 41789000 CHINA SUNERGY CO LTD SPON ADR 16942X104 274.752 63,600 SH SOLE 63600 CHINA MED TECHNOLOGIES INC NOTE 169483AB0 10206.28682 11,900,000 PRN SOLE 11900000 CHINA MED TECHNOLOGIES INC NOTE 169483AC8 8710.227573 13,770,000 PRN SOLE 13770000 CHIQUITA BRANDS INTL INC NOTE 170032AT3 23403.88768 32,998,000 PRN SOLE 32998000 CIMAREX ENERGY CO COM 171798101 5053.5888 178,320 SH SOLE 178320 CITIGROUP INC COM 172967101 449.064 151,200 SH SOLE 151200 CLEARWIRE CORP CL A 18538Q105 780.36595 141,115 SH SOLE 141115 COMCAST CORP CL A 20030N101 16074.40116 1,111,646 SH SOLE 1111646 COMPUCREDIT CORP NOTE 20478NAB6 15355.43332 45,255,000 PRN SOLE 45255000 CONOCOPHILLIPS COM 20825C104 2572.22136 61,156 SH SOLE 61156 CONSECO INC COM 208464883 2895.88878 1,221,894 SH SOLE 1221894 D R HORTON INC NOTE 23331ABB4 23980.76181 25,000,000 PRN SOLE 25000000 DATA DOMAIN INC COM 23767P109 46423.66894 1,390,763 SH SOLE 1390763 DEERE & CO COM 244199105 343.21045 8,591 SH SOLE 8591 DEVON ENERGY CORP COM 25179M103 251.354 4,612 SH SOLE 4612 DIRECTV GROUP INC COM 25459L106 42784.08008 1,731,448 SH SOLE 1731448 DISNEY WALT CO COM 254687106 693.85753 29,741 SH SOLE 29741 DOW CHEM CO COM 260543103 20242.19082 1,254,163 SH SOLE 1254163 DRESS BARN INC COM 261570105 1236.95 86,500 SH SOLE 86500 DU PONT E I DE NEMOURS & CO COM 263534109 352.24938 13,749 SH SOLE 13749 ECB BANCORP INC COM 268253101 3980.808 204,144 SH SOLE 204144 E M C CORP MASS COM 268648102 3018.1483 230,393 SH SOLE 230393 E M C CORP MASS NOTE 268648AK8 5200.06044 5,000,000 PRN SOLE 5000000 E M C CORP MASS NOTE 268648AM4 9271.604004 9,083,000 PRN SOLE 9083000 EBAY INC COM 278642103 12979.401 757,700 SH SOLE 757700 EQUIFAX INC COM 294429105 11265.2559 431,619 SH SOLE 431619 EQUINIX INC NOTE 29444UAG1 44345.22289 54,406,000 PRN SOLE 54406000 EXXON MOBIL CORP COM 30231G102 2658.88703 38,033 SH SOLE 38033
(5) (6) INVESTMENT (7) OTHER (8) VOTING AUTH (1) NAME (2) TITLE (3) CUSIP (4) VALUE SHRS/PRN/AMT SH/PRN DISCRETION MNGRs (sole, shared, none) -------- --------------- --------- -------------- ------------ ------ -------------- --------- -------------------- FIBERTOWER CORP COM 31567R100 2731.284 5,462,568 SH SOLE 5462568 FIBERTOWER CORP NOTE 31567RAC4 16981.36875 39,722,500 PRN SOLE 39722500 FIDELITY NATIONAL FINANCIAL CL A 31620R105 8794.5 650,000 SH SOLE 650000 FIFTH THIRD BANCORP COM 316773100 769.64 108,400 SH SOLE 108400 FIRST CALIFORNIA FINANCIAL G COM 319395109 2278.40824 369,272 SH SOLE 369272 FIRST NIAGARA FINL GP INC COM 33582V108 2840.34814 248,717 SH SOLE 248717 FLOTEK INDS INC DEL COM 343389102 553.378 272,600 SH SOLE 272600 GENERAL CABLE CORP NOTE 369300AD0 43070.93237 47,389,000 PRN SOLE 47389000 GENERAL ELECTRIC CO COM 369604103 5876.3494 501,395 SH SOLE 501395 GENERAL MOLY INC COM 370373102 6053.55372 2,726,826 SH SOLE 2726826 GLOBALSTAR INC COM 378973408 346.5 330,000 SH SOLE 330000 GOLDMAN SACHS GROUP INC COM 38141G104 4073.32488 27,627 SH SOLE 27627 GOODYEAR TIRE & RUBR CO COM 382550101 14029.14928 1,245,928 SH SOLE 1245928 GOVERNMENT PPTYS INCOME TR COM SHS BEN INT 38376A103 10212.29949 497,433 SH SOLE 497433 GREAT BASIN GOLD LTD COM 390124105 5986.114647 4,374,758 SH SOLE 4374758 HEADWATERS INC COM 42210P102 137.67264 40,974 SH SOLE 40974 HEALTH CARE REIT INC COM 42217K106 375.1 11,000 SH SOLE 11000 HERITAGE COMMERCE CORP COM 426927109 1802.23902 483,174 SH SOLE 483174 HERTZ GLOBAL HOLDINGS INC NOTE 42805TAA3 30760.29961 27,000,000 PRN SOLE 27000000 HESS CORP COM 42809H107 33421.32 621,792 SH SOLE 621792 HILLTOP HOLDINGS INC COM 432748101 17087.9333 1,439,590 SH SOLE 1439590 HOME DEPOT INC COM 437076102 2478.12536 104,872 SH SOLE 104872 HONEYWELL INTL INC COM 438516106 237.4782 7,563 SH SOLE 7563 HUNTSMAN CORP COM 447011107 4378.65524 870,508 SH SOLE 870508 ILLUMINA INC NOTE 452327AB5 59716.10469 33,200,000 PRN SOLE 33200000 INTEGRATED DEVICE TECHNOLOGY COM 458118106 1502.25068 248,717 SH SOLE 248717 INTEL CORP COM 458140100 2058.14145 124,359 SH SOLE 124359 INVERNESS MED INNOVATIONS IN COM 46126P106 34512.4221 969,995 SH SOLE 969995 JPMORGAN CHASE & CO COM 46625H100 112677.5755 3,303,359 SH SOLE 3303359 JETBLUE AIRWAYS CORP DBCV 477143AD3 5447.92488 5,000,000 PRN SOLE 5000000 JOHNSON & JOHNSON COM 478160104 1164.6272 20,504 SH SOLE 20504 JUNIPER NETWORKS INC COM 48203R104 1467.4244 62,179 SH SOLE 62179 KLA-TENCOR CORP COM 482480100 1206.87425 47,797 SH SOLE 47797 KEYCORP NEW COM 493267108 2249.008 429,200 SH SOLE 429200 KIMCO REALTY CORP COM 49446R109 1878.2445 186,890 SH SOLE 186890 LDK SOLAR CO LTD SPONSORED ADR 50183L107 774.7104 68,680 SH SOLE 68680 LSI CORPORATION NOTE 502161AJ1 26235 26,500,000 PRN SOLE 26500000 LEGG MASON INC UNIT 524901303 41092.1493 1,631,625 PRN SOLE 1631625 LIBERTY ACQUISITION HLDGS CO UNIT 53015Y206 25371.0789 2,728,073 PRN SOLE 2728073 LIBERTY MEDIA CORP DEB 530715AL5 6883.7175 18,542,000 PRN SOLE 18542000 LIBERTY MEDIA CORP DEB 530715AN1 4531.835 12,166,000 PRN SOLE 12166000 LIBERTY MEDIA CORP DEB 530715AR2 12725.965 32,116,000 PRN SOLE 32116000 LIFE TECHNOLOGIES CORP COM 53217V109 29572.92996 708,843 SH SOLE 708843 LINCARE HLDGS INC NOTE 532791AF7 29661.76682 38,250,000 PRN SOLE 38250000 LINEAR TECHNOLOGY CORP COM 535678106 4210.472 180,320 SH SOLE 180320 LINEAR TECHNOLOGY CORP NOTE 535678AD8 9762.5 10,000,000 PRN SOLE 10000000 LOCKHEED MARTIN CORP COM 539830109 211.06105 2,617 SH SOLE 2617 M & T BK CORP COM 55261F104 2393.35349 46,993 SH SOLE 46993
(5) (6) INVESTMENT (7) OTHER (8) VOTING AUTH (1) NAME (2) TITLE (3) CUSIP (4) VALUE SHRS/PRN/AMT SH/PRN DISCRETION MNGRs (sole, shared, none) -------- ---------------- --------- -------------- ------------ ------ -------------- --------- -------------------- MAGUIRE PPTYS INC COM 559775101 102.6936 120,816 SH SOLE 120816 MARATHON OIL CORP COM 565849106 325.404 10,800 SH SOLE 10800 MARSHALL & ILSLEY CORP COM 571837103 2360.3568 491,741 SH SOLE 491741 MASSEY ENERGY CO NOTE 576203AJ2 14978.94365 22,517,000 PRN SOLE 22517000 MAXIM INTEGRATED PRODS INC COM 57772K101 2438.97912 155,448 SH SOLE 155448 MCKESSON CORP COM 58155Q103 13679.424 310,896 SH SOLE 310896 MCMORAN EXPLORATION CO COM 582411104 10120.527 1,698,075 SH SOLE 1698075 MEDTRONIC INC COM 585055106 19486.09989 558,501 SH SOLE 558501 MEDTRONIC INC NOTE 585055AL0 8619.95462 8,900,000 PRN SOLE 8900000 MEDTRONIC INC NOTE 585055AM8 20314.77614 21,984,000 PRN SOLE 21984000 MERCK & CO INC COM 589331107 1196.88372 42,807 SH SOLE 42807 METLIFE INC COM 59156R108 411.55714 13,714 SH SOLE 13714 MICROSOFT CORP COM 594918104 6916.52329 290,977 SH SOLE 290977 MILLIPORE CORP NOTE 601073AD1 14488.27067 14,582,000 PRN SOLE 14582000 MONSANTO CO COM 61166W101 1501.668 20,200 SH SOLE 20200 MORGAN STANLEY COM 617446448 364.18674 12,774 SH SOLE 12774 NETAPP INC COM 64110D104 2452.35948 124,359 SH SOLE 124359 NEWELL RUBBERMAID INC NOTE 651229AH9 63495.87555 44,950,000 PRN SOLE 44950000 NEWMONT MINING CORP COM 651639106 294.55009 7,207 SH SOLE 7207 NEWSTAR FINANCIAL INC COM 65251F105 8262.278 4,325,800 SH SOLE 4325800 NIKE INC CL B 654106103 274.58934 5,303 SH SOLE 5303 NOBLE ENERGY INC COM 655044105 3960.07138 67,154 SH SOLE 67154 NVIDIA CORP COM 67066G104 1124.94689 99,641 SH SOLE 99641 OCCPETE CORP DEL COM 674599105 15720.10051 238,871 SH SOLE 238871 OMNICARE INC DBCV 681904AL2 10423.68306 15,000,000 PRN SOLE 15000000 OMNIVISION TECHNOLOGIES INC COM 682128103 519.5 50,000 SH SOLE 50000 ON SEMICONDUCTOR CORP NOTE 682189AE5 1907.5 2,000,000 PRN SOLE 2000000 ORACLE CORP COM 68389X105 3034.72134 141,677 SH SOLE 141677 OWENS ILL INC COM 690768403 10449.83075 373,075 SH SOLE 373075 PMC-SIERRA INC COM 69344F106 995 125,000 SH SOLE 125000 PNC FINL SVCS GROUP INC COM 693475105 1709.27002 44,042 SH SOLE 44042 PANTRY INC NOTE 698657AL7 16528.23646 21,187,000 PRN SOLE 21187000 PFIZER INC COM 717081103 1364.55 90,970 SH SOLE 90970 PINNACLE FINL PARTNERS INC COM 72346Q104 6660 500,000 SH SOLE 500000 PROCTER & GAMBLE CO COM 742718109 1907.4608 37,328 SH SOLE 37328 PROLOGIS NOTE 743410AS1 296 400,000 PRN SOLE 400000 PROSHARES TR PSHS ULTSHT FINL 74347R628 2415.462 57,800 SH SOLE 57800 QUALCOMM INC COM 747525103 7622.076 168,630 SH SOLE 168630 QUESTAR CORP COM 748356102 4308.39472 138,712 SH SOLE 138712 RAMBUS INC DEL COM 750917106 1282.463 82,900 SH SOLE 82900 REGAL ENTMT GROUP CL A 758766109 2341.77774 176,206 SH SOLE 176206 REGIONS FINANCIAL CORP COM 7591EP100 9038.15872 2,237,168 SH SOLE 2237168 RESEARCH IN MOTION LTD COM 760975102 2303.95581 32,409 SH SOLE 32409 ROCKWOOD HLDGS INC COM 774415103 5811.26016 396,944 SH SOLE 396944 SCBT FINANCIAL CORP COM 78401V102 2040.15911 86,119 SH SOLE 86119 SK TELECOM LTD SPONSORED ADR 78440P108 3333.5151 220,034 SH SOLE 220034 SL GREEN RLTY CORP COM 78440X101 17131.17908 746,782 SH SOLE 746782 SPDR TR UNIT SER 1 78462F103 18272.94765 198,727 PRN SOLE 198727
(5) (6) INVESTMENT (7) OTHER (8) VOTING AUTH (1) NAME (2) TITLE (3) CUSIP (4) VALUE SHRS/PRN/AMT SH/PRN DISCRETION MNGRs (sole, shared, none) -------- ------------- --------- -------------- ------------ ------ -------------- --------- -------------------- SPDR GOLD TRUST GOLD SHS 78463V107 1285.09092 14,094 SH SOLE 14094 SVB FINL GROUP COM 78486Q101 3390.22378 124,549 SH SOLE 124549 SANDISK CORP COM 80004C101 2997.7122 203,926 SH SOLE 203926 SANDISK CORP NOTE 80004CAC5 1875 3,000,000 PRN SOLE 3000000 SAP AG SPON ADR 803054204 1249.46691 31,089 SH SOLE 31089 SAPPHIRE INDUSTRIALS CORP UNIT 80306T208 27443.82634 2,794,687 PRN SOLE 2794687 SCHERING PLOUGH CORP COM 806605101 61793.34112 2,459,926 SH SOLE 2459926 SELECT SECTOR SPDR TR SBI MATERIALS 81369Y100 3208.4622 124,359 SH SOLE 124359 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4088.15475 342,105 SH SOLE 342105 SEPRACOR INC NOTE 817315AW4 1970 2,000,000 PRN SOLE 2000000 SHERWIN WILLIAMS CO COM 824348106 7902.325 147,020 SH SOLE 147020 SINCLAIR BROADCAST GROUP INC NOTE 829226AU3 12091.25 17,000,000 PRN SOLE 17000000 SINCLAIR BROADCAST GROUP INC NOTE 829226AW9 8475 10,000,000 PRN SOLE 10000000 SINA CORP NOTE NOTE 82922RAB9 30506.87963 24,413,000 PRN SOLE 24413000 SOUTHERN UN CO COM 844030106 41733.95337 2,269,383 SH SOLE 2269383 STARBUCKS CORP COM 855244109 166.15218 11,962 SH SOLE 11962 STATE STR CORP COM 857477103 11821.3816 250,453 SH SOLE 250453 STMICROELECTRONICS N V NY REGISTRY 861012102 420.56 56,000 SH SOLE 56000 SUNPOWER CORP DBCV 867652AC3 31455 27,000,000 PRN SOLE 27000000 SUNTECH PWR HLDGS CO LTD ADR 86800C104 7456.51428 417,498 SH SOLE 417498 SYMANTEC CORP NOTE 871503AD0 7095.6276 7,000,000 PRN SOLE 7000000 SYMANTEC CORP NOTE 871503AF5 18012.4281 18,000,000 PRN SOLE 18000000 TERADATA CORP DEL COM 88076W103 8741.17068 373,076 SH SOLE 373076 TERRESTAR CORP COM 881451108 3069.23202 2,006,034 SH SOLE 2006034 TEXAS INSTRS INC COM 882508104 318.0516 14,932 SH SOLE 14932 TEXTRON INC NOTE 883203BN0 31668.33751 31,315,000 PRN SOLE 31315000 THOMSON REUTERS CORP COM 884903105 134029.0459 4,600,938 SH SOLE 4600938 TIME WARNER INC COM 887317303 297.04048 11,792 SH SOLE 11792 TRANSCANADA CORP COM 89353D107 6738.3821 250,000 SH SOLE 250000 TRANSOCEAN INC NOTE 893830AV1 4596.67864 5,000,000 PRN SOLE 5000000 TRANSOCEAN INC NOTE 893830AW9 126238.5101 142,000,000 PRN SOLE 142000000 TRIAN ACQUISITION I CORP UNIT 89582E207 44769.38766 4,577,647 PRN SOLE 4577647 TYSON FOODS INC NOTE 902494AP8 72792.31629 71,852,000 PRN SOLE 71852000 UAL CORP DBCV 902549AE4 1740.330587 4,303,916 PRN SOLE 4303916 UAL CORP NOTE 902549AH7 6104.50011 18,000,000 PRN SOLE 18000000 UDR INC COM 902653104 4106.40226 397,522 SH SOLE 397522 US BANCORP DEL COM 902973304 3622.45632 202,146 SH SOLE 202146 UNION PAC CORP COM 907818108 22663.43598 435,333 SH SOLE 435333 UNITED DOMINION REALTY TR IN NOTE 910197AK8 28628.775 30,295,000 PRN SOLE 30295000 UNITED RENTALS NORTH AMER IN NOTE 911365AH7 1827.5 2,000,000 PRN SOLE 2000000 UNITED TECHNOLOGIES CORP COM 913017109 802.10652 15,437 SH SOLE 15437 UNITEDHEALTH GROUP INC COM 91324P102 640.71202 25,649 SH SOLE 25649 VALEANT PHARMACEUTICALS INTL COM 91911X104 3125.3658 121,515 SH SOLE 121515 VALEANT PHARMACEUTICALS INTL NOTE 91911XAB0 6818.557544 6,591,000 PRN SOLE 6591000 VALE S A ADR 91912E105 1763 100,000 SH SOLE 100000 VERISIGN INC COM 92343E102 340.89764 18,407 SH SOLE 18407 VERISIGN INC SDCV 92343EAD4 37965.14268 56,700,000 PRN SOLE 56700000 VERIZON COMMUNICATIONS INC COM 92343V104 827.43598 26,926 SH SOLE 26926
(5) (6) INVESTMENT (7) OTHER (8) VOTING AUTH (1) NAME (2) TITLE (3) CUSIP (4) VALUE SHRS/PRN/AMT SH/PRN DISCRETION MNGRs (sole, shared, none) -------- --------- --------- -------------- ------------ ------ -------------- --------- -------------------- VISIONCHINA MEDIA INC SPON ADR 92833U103 57970.8246 9,487,860 SH SOLE 9487860 WATSON PHARMACEUTICALS INC COM 942683103 9877.73955 293,195 SH SOLE 293195 WELLPOINT INC COM 94973V107 12036.04479 236,511 SH SOLE 236511 WELLS FARGO & CO COM 949746101 3269.83558 134,783 SH SOLE 134783 WENDYS ARBYS GROUP INC COM 950587105 2487.168 621,792 SH SOLE 621792 WESCO INTL INC COM 95082P105 3241.428 129,450 SH SOLE 129450 WESTERN ALLIANCE BANCORP COM 957638109 7442.85024 1,088,136 SH SOLE 1088136 WESTERN DIGITAL CORP COM 958102105 2372.7835 89,539 SH SOLE 89539 WESTERN REFNG INC COM 959319104 4606.38172 652,462 SH SOLE 652462 WYETH COM 983024100 59066.32473 1,301,307 SH SOLE 1301307 WYNDHAM WORLDWIDE CORP NOTE 98310WAC2 23615.12756 21,293,000 PRN SOLE 21293000 XTO ENERGY INC COM 98385X106 204.31598 5,357 SH SOLE 5357 XILINX INC COM 983919101 6641.17278 324,593 SH SOLE 324593 XEROX CORP COM 984121103 648 100,000 SH SOLE 100000 YAHOO INC COM 984332106 385.95636 24,646 SH SOLE 24646 ALLIED WRLD ASSUR COM HLDG L SHS G0219G203 55853.11269 1,367,943 SH SOLE 1367943 AXIS CAPITAL HOLDINGS SHS G0692U109 29301.33668 1,119,226 SH SOLE 1119226 COVIDIEN PLC SHS G2554F105 21765.21984 581,336 SH SOLE 581336 SEAGATE TECHNOLOGY SHS G7945J104 7804.729 746,150 SH SOLE 746150 SINA CORP ORD G81477104 978.08744 33,178 SH SOLE 33178 XL CAP LTD CL A G98255105 324.44406 28,311 SH SOLE 28311 TYCO ELECTRONICS LTD COM G9144P105 3821.30463 205,557 SH SOLE 205557 TOTAL VALUE (x 1000): $ 3,447,242.27 TOTAL ENTRIES: 251
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