-----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, Lf9g6gNn0Uh9GeP6rPLz9Xb+GYO/z4eoRm2Ivry//Yr8xL6z10gV2mbebxSN4Zrg v98gMZuaFASKzHWGSHLoNQ== 0000950005-03-000793.txt : 20030808 0000950005-03-000793.hdr.sgml : 20030808 20030808153459 ACCESSION NUMBER: 0000950005-03-000793 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030630 FILED AS OF DATE: 20030808 EFFECTIVENESS DATE: 20030808 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ASCEND CAPITAL LLC CENTRAL INDEX KEY: 0001165501 IRS NUMBER: 880440610 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10128 FILM NUMBER: 03831809 BUSINESS ADDRESS: STREET 1: 1 MONTGOMERY ST STREET 2: STE 3300 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4152177733 MAIL ADDRESS: STREET 1: 1 MONTGOMERY ST STREET 2: STE 3300 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 13F-HR 1 p17517_13fhr.txt HOLDINGS REPORT FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2003 Check here if Amendment |_|; Amendment Number: __________ This Amendment (Check only one.): |_| is a restatement. |_| adds new holdings entries. Name: Ascend Capital, LLC Addess: 600 Montgomery Street, 37th Floor San Francisco, CA 94111 Form 13F File Number: 028-10128 The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Name: Benjamin D. Slavet Title: Chief Financial Officer Phone: (415) 217-8304 Signature, Place, and Date of Signing: /S/ Benjamin D. Slavet - -------------------------------------------------------------------------------- [Signature] San Francisco, CA 94111 - -------------------------------------------------------------------------------- [City, State] August 7, 2003 - -------------------------------------------------------------------------------- [Date] 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).) List of Other Managers Reporting for this Manager: Form 13F Summary Page Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 111 Form 13F Information Table Value Total: $269,229 (thousands) List of Other Included Managers: FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ---------------------- -------------- --------- ----------- -------- --- ---- ------- -------- --------- ------ ---- SHAW GROUP INC CONV C 820280AC9 986 1,532,000 PRN SOLE 1,532,000 CV THERAPEUTICS INC CONV C 126667AC8 1354 1,500,000 PRN SOLE 1,500,000 ABERCROMBIE & FITCH CO COMMON 002896207 3551 125,000 SH SOLE 125,000 ACCREDO HEALTH INC COMMON 00437V104 2832 130,792 SH SOLE 130,792 ADMINISTAFF INC COMMON 007094105 7739 751,400 SH SOLE 751,400 APPLIED MICRO CIRCUITS CORP COMMON 03822W109 1833 303,449 SH SOLE 303,449 ASYST TECHNOLOGIES INC COMMON 04648X107 2632 392,223 SH SOLE 392,223 BMC SOFTWARE INC COMMON 55921100 3299 202,000 SH SOLE 202,000 CARDIODYNAMICS INTL CORP COMMON 141597104 298 87,579 SH SOLE 87,579 CELERITEK INC COMMON 150926103 531 72,675 SH SOLE 72,675 CHINA.COM CORP COMMON G2108N109 841 100,000 SH SOLE 100,000 CIGNA CORP COMMON 125509109 4225 90,000 SH SOLE 90,000 CNA FINANCIAL CORP COMMON 126117100 6086 247,400 SH SOLE 247,400 COGNIZANT TECHNOLOGY SOLUTIONS COMMON 192446102 2926 119,983 SH SOLE 119,983 COLONIAL BANCGROUP INC COMMON 195493309 1803 130,000 SH SOLE 130,000 CONMED CORP COMMON 207410101 1837 99,872 SH SOLE 99,872 COSTCO WHOLESALE CORP COMMON 22160K105 3403 92,990 SH SOLE 92,990 CREDENCE SYSTEMS CORP COMMON 225302108 6881 801,000 SH SOLE 801,000 CVS CORP COMMON 126650100 2803 100,000 SH SOLE 100,000 DIAMOND OFFSHORE DRILLING COMMON 25271C102 7275 346,600 SH SOLE 346,600 DOLLAR TREE STORES INC COMMON 256747106 7791 245,218 SH SOLE 245,218 EXTREME NETWORKS INC COMMON 30226D106 6208 1,179,022 SH SOLE 1,179,022 FISHER SCIENTIFIC INTL INC COMMON 338032204 2443 70,000 SH SOLE 70,000 FMC CORP COMMON 302491303 6814 301,100 SH SOLE 301,100 FOREST OIL CORP COMMON 346091705 7292 290,300 SH SOLE 290,300 GENERAL DYNAMICS CORP COMMON 369550108 2791 38,500 SH SOLE 38,500 GLOBALSANTAFE CORP COMMON G3930E101 3384 145,000 SH SOLE 145,000 HANGER ORTHOPEDIC GROUP INC COMMON 41043F208 2479 216,500 SH SOLE 216,500 HCA-HEALTHCARE CO COMMON 404119109 1557 48,600 SH SOLE 48,600 INTERCEPT GROUP INC COMMON 45845L107 2158 256,300 SH SOLE 256,300 INVESTORS FINL SERVICES CO COMMON 461915100 1353 46,615 SH SOLE 46,615 J JILL GROUP INC COMMON 466189107 1088 64,900 SH SOLE 64,900 J2 GLOBAL COMMUNICATIONS INC COMMON 46626E209 1622 35,250 SH SOLE 35,250 JOHN HANCOCK FINL SVCS INC COMMON 41014S106 1537 50,000 SH SOLE 50,000 KIMBERLY CLARK CORP COMMON 494368103 6721 128,900 SH SOLE 128,900 LIFEPOINT HOSPITALS INC COMMON 53219L109 3362 159,256 SH SOLE 159,256 LINENS N THINGS INC COMMON 535679104 7909 335,000 SH SOLE 335,000 LONGS DRUG STORES INC COMMON 543162101 3320 200,000 SH SOLE 200,000 MAY DEPARTMENT STORES CO COMMON 577778103 1603 72,000 SH SOLE 72,000 MICROSOFT CORP COMMON 594918104 12815 499,800 SH SOLE 499,800 MONTPELIER RE HOLDINGS COMMON G62185106 1580 50,000 SH SOLE 50,000 NEW CENTURY FINANCIAL CORP COMMON 64352D101 1303 30,000 SH SOLE 30,000 PRECISION DRILLING CORP COMMON 74022D100 1257 33,300 SH SOLE 33,300 PRIORITY HEALTHCARE CORP COMMON 74264T102 3223 173,257 SH SOLE 173,257 PROVINCE HEALTHCARE CO COMMON 743977100 4324 390,600 SH SOLE 390,600 RAILAMERICA INC COMMON 750753105 7302 864,100 SH SOLE 864,100 SCHNITZER STEEL INDUSTRIES COMMON 806882106 660 15,000 SH SOLE 15,000 SHARPER IMAGE CORP COMMON 820013100 8333 305,558 SH SOLE 305,558 SIEBEL SYSTEMS INC COMMON 826170102 4836 510,000 SH SOLE 510,000 SIERRA PACIFIC RESOURCES COMMON 826428104 2940 495,000 SH SOLE 495,000 SOLECTRON CORP COMMON 834182107 1864 498,400 SH SOLE 498,400 SPRINT CORPORATION COM COMMON 852061506 6253 1,087,500 SH SOLE 1,087,500 STANDARD MTR PRODS INC COMMON 853666105 454 40,900 SH SOLE 40,900 STEWART & STEVENSON SERVICES COMMON 860342104 3646 231,500 SH SOLE 231,500 SUPERCONDUCTOR TECHNOLOGIES COMMON 867931107 1037 465,120 SH SOLE 465,120 TALBOTS INC COMMON 874161102 5301 180,000 SH SOLE 180,000 TECHNITROL INC COMMON 878555101 3519 233,800 SH SOLE 233,800 TEMPLE INLAND INC COMMON 879868107 3265 76,100 SH SOLE 76,100 TENET HEALTHCARE/NATL MEDICAL COMMON 88033G100 4253 365,100 SH SOLE 365,100 TESORO PETROLEUM CORP COMMON 881609101 1135 165,000 SH SOLE 165,000 THERMA-WAVE INC COMMON 88343A108 721 358,551 SH SOLE 358,551 TOO INC COMMON 890333107 6492 320,600 SH SOLE 320,600 TRANSOCEAN SEDCO FOREX INC COMMON G90078109 7492 341,000 SH SOLE 341,000 TRIAD HOSPITALS INC COMMON 89579K109 3348 134,900 SH SOLE 134,900 TROPICAL SPORTWEAR COMMON 89708P102 2267 318,429 SH SOLE 318,429 TYSON FOODS INC-CL A COMMON 902494103 7115 670,000 SH SOLE 670,000 ULTIMATE ELECTRONICS INC COMMON 903849107 2448 191,852 SH SOLE 191,852 UNITED THERAPEUTICS CORP COMMON 91307C102 10768 497,618 SH SOLE 497,618 VALUECLICK INC COMMON 92046N102 1898 313,235 SH SOLE 313,235 WILLIAMS SONOMA INC COMMON 969904101 6497 222,500 SH SOLE 222,500 CALL CISCO SYSTEMS OCT 20 CALL 17275R3JD 30 100,000 C CALL SOLE 100,000 CALL FMC CORP OCT 20 CALL 3024913JD 132 40,000 C CALL SOLE 40,000 CALL JOHN HANCOCK JAN 35 CALL 41014S4AG 259 235,000 C CALL SOLE 235,000 CALL HUTCHINSON TECHNOLOGY AUG 35 CALL 4484073HG 232 149,500 C CALL SOLE 149,500 CALL INTER-TEL INC JUL 22.50 CALL 4583723GX 20 25,000 C CALL SOLE 25,000 CALL INTER-TEL INC AUG 22.50 CALL 4583723HX 31 25,000 C CALL SOLE 25,000 CALL INTER-TEL INC OCT 22.50 CALL 4583723JX 103 50,000 C CALL SOLE 50,000 CALL MAXTOR CORP JUL 7.50 CALL 5777293GU 34 86,000 C CALL SOLE 86,000 CALL NEW CENTURY FINANCIAL JUL 55 CALL 64352D3GK 15 60,000 C CALL SOLE 60,000 CALL ORACLE SYSTEMS SEP 15 CALL 68389X3IC 128 850,000 C CALL SOLE 850,000 CALL PITNEY BOWES JAN 40 CALL 7244794AH 192 128,000 C CALL SOLE 128,000 CALL PACIFICARE HLTH JUL 45 CALL 6951123GI 125 25,000 C CALL SOLE 25,000 CALL PACIFICARE HLTH JUL 50 CALL 6951123GJ 100 50,000 C CALL SOLE 50,000 CALL PACIFICARE HLTH AUG 45 CALL 6951123HI 610 100,000 C CALL SOLE 100,000 CALL RUDOLPH TECH INC AUG 20 CALL 7812703HD 28 65,000 C CALL SOLE 65,000 CALL WEBEX INC JULY 17.50 CALL 94767L3GW 16 91,000 C CALL SOLE 91,000 PUT ADOBE SYS INC OCT 25 PUT 00724F3VE 78 100,000 P PUT SOLE 100,000 PUT AMAZON COM JUL 30 PUT 0231353SF 59 50,000 P PUT SOLE 50,000 PUT AVOCENT CORP JUL 30.00 PUT 0538933SF 43 27,000 P PUT SOLE 27,000 PUT AVOCENT CORP AUG 25 PUT 0538933TE 107 130,000 P PUT SOLE 130,000 PUT AVOCENT CORP AUG 27.50 PUT 0538933TY 128 950,000 P PUT SOLE 950,000 PUT CABOT MICROELECT OCT 40 PUT 12709P3VH 68 41,000 P PUT SOLE 41,000 PUT CREE RESEARCH SEP 15 PUT 2253373UC 495 300,000 P PUT SOLE 300,000 PUT CREE RESEARCH SEP 12.50 PUT 2253373UV 46 52,500 P PUT SOLE 52,500 PUT CREE RESEARCH DEC 20.0 PUT 2252273LD 285 50,000 P PUT SOLE 50,000 PUT CREE RESEARCH DEC 22.50 PUT 2252273LX 370 50,000 P PUT SOLE 50,000 PUT CYMER INC AUG 30.00 PUT 2325723TF 72 40,000 P PUT SOLE 40,000 PUT GENTEX CORP JUL 30.00 PUT 3719013SF 26 30,000 P PUT SOLE 30,000 PUT HEWLETT PACKARD AUG 20 PUT 4282363TD 165 300,000 P PUT SOLE 300,000 PUT INTERSIL HLDG OCT 22.50 PUT 46069S3VX 192 120,000 P PUT SOLE 120,000 PUT PHOTON DYNAMICS OCT 25 PUT 7193643VE 230 100,000 P PUT SOLE 100,000 PUT PHOTON DYNAMICS OCT 22.50 PUT 7193643VX 74 50,000 P PUT SOLE 50,000 PUT PROQUEST COMPANY SEP 25 PUT 74346P3UE 230 115,000 P PUT SOLE 115,000 PUT PROQUEST COMPANY SEP 30 PUT 74346P3UF 50 10,000 P PUT SOLE 10,000 PUT PROQUEST COMPANY SEP 22.50 PUT 74346P3UX 31 30,000 P PUT SOLE 30,000 PUT PROQUEST COMPANY DEC 22.50 PUT 74346P3XX 19 10,000 P PUT SOLE 10,000 PUT SIEBEL SYSTEMS JUN 12.50 PUT 8261703SV 1059 350,000 P PUT SOLE 350,000 PUT VEECO INSTRUMENT OCT 15 PUT 9224173VC 36 27,500 P PUT SOLE 27,500 PUT VEECO INSTRUMENT OCT 17.50 PUT 9223173VW 245 100,000 P PUT SOLE 100,000 PUT WESTERN DIGIT JUL 10.0 PUT 9581023SB 96 240,000 P PUT SOLE 240,000 PUT ZORAN CORP SEP 17.50 PUT 98975F3UW 60 45,000 P PUT SOLE 45,000
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