-----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, E/qZn/18o1Eb26pUPOamBJUKq1NokhxgX8D2nYaj6aS8HXuFCmLiZ+KbSUNu3kHR qGuMjVj24CxnUgCUtoP69Q== 0000950147-03-000594.txt : 20030512 0000950147-03-000594.hdr.sgml : 20030512 20030512130925 ACCESSION NUMBER: 0000950147-03-000594 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030331 FILED AS OF DATE: 20030512 EFFECTIVENESS DATE: 20030512 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: 03692231 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 e-9941.txt SCHEDULE 13F OF ASCEND CAPITAL UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F Report for the Calendar Year or Quarter Ended: March 31, 2003 Check here if Amendment [ ] Amendment Number: _____ Institutional Investment Manager Filing this Report: Name: Ascend Capital, LLC Address: 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 the 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 San Francisco, CA May __, 2003 - ---------------------- ----------------- ---------------- [Signature] [City, State] [Date] Report Type: [X] 13F HOLDINGS REPORT [ ] 13F NOTICE [ ] 13F COMBINATION REPORT Form 13F SUMMARY PAGE REPORT SUMMARY Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 76 Form 13F Information Table Value Total: $285,186 List of Other Included Managers: None
TITLE OF CUSIP MARKET VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME CLASS NUMBER (X $1,000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---- ----- ------ ------------ ------- --- ---- ---------- -------- ---- ------ ---- ISIS PHARMACEUTICALS INC DEL CONV C 464337AA2 128 200,000 PRN SOLE 200,000 SHAW GROUP INC LYON 820280AC9 973 1,532,000 PRN SOLE 1,532,000 SOLECTRON CORP SR LIQUID YIELD SR LYON ZERO 20 834182AK3 562 904,000 PRN SOLE 904,000 ADMINISTAFF INC COMMON 7094105 4375 700,000 SH SOLE 700,000 ANTHEM INC COMMON 03674B104 3445 52,000 SH SOLE 52,000 AXONYX INC COMMON 05461R101 190 200,000 SH SOLE 200,000 B F GOODRICH CO COMMON 382388106 2812 200,000 SH SOLE 200,000 BOOTS & COOTS/INTL WELL CT COMMON 99469108 115 140,000 SH SOLE 140,000 CALIFORNIA MICRO DEVICES C COMMON 130439102 190 48,150 SH SOLE 48,150 CAPITAL ONE FINANCIAL CORP COMMON 14040H105 1501 50,000 SH SOLE 50,000 CARDIODYNAMICS INTL CORP COMMON 141597104 623 206,131 SH SOLE 206,131 CELERITEK INC COMMON 150926103 1457 192,775 SH SOLE 192,775 CENDANT CORP COMMON 151313103 3302 260,000 SH SOLE 260,000 CENTENE CORP DEL COMMON 15135B101 1084 37,124 SH SOLE 37,124 CHRISTOPHER & BANKS CORP COMMON 171046105 4121 232,800 SH SOLE 232,800 CNA FINANCIAL CORP COMMON 126117100 5542 247,400 SH SOLE 247,400 CONMED CORP COMMON 207410101 4600 280,300 SH SOLE 280,300 CONSOL ENERGY INC COMMON 20854P109 1322 80,000 SH SOLE 80,000 COSINE COMMUNICATIONS INC COMMON 221222607 542 119,844 SH SOLE 119,844 COSTCO WHOLESALE CORP-NEW COMMON 22160K105 6912 230,158 SH SOLE 230,158 CREDENCE SYSTEMS CORP COMMON 225302108 6120 900,000 SH SOLE 900,000 CVS CORP COMMON 126650100 7453 312,500 SH SOLE 312,500 CYMER INC COMMON 232572107 617 26,076 SH SOLE 26,076 DELL COMPUTER CORP COMMON 247025109 3165 115,900 SH SOLE 115,900 DIAMOND OFFSHORE DRILLING COMMON 25271C102 5854 301,600 SH SOLE 301,600 EMULEX CORP NEW COMMON 292475209 4692 245,000 SH SOLE 245,000 ENZON INC COMMON 293904108 343 30,200 SH SOLE 30,200 EXTREME NETWORKS INC COMMON 30226D106 5176 1,195,411 SH SOLE 1,195,411 FEDERAL HOME LOAN MORTGAGE COMMON 313400301 2289 43,100 SH SOLE 43,100 FMC CORP-NEW COMMON 302491303 1184 75,500 SH SOLE 75,500 FOOT LOCKER INC COMMON 344849104 2461 230,000 SH SOLE 230,000 FOREST OIL CORP COMMON 346091705 6474 290,300 SH SOLE 290,300 FOUNDRY NETWORKS INC COMMON 35063R100 7554 939,579 SH SOLE 939,579 GENERAL DYNAMICS CORP COMMON 369550108 2698 49,000 SH SOLE 49,000 GLOBALSANTAFE CORP COMMON G3930E101 5163 250,000 SH SOLE 250,000 HANGER ORTHOPEDIC GROUP IN COMMON 41043F208 531 46,500 SH SOLE 46,500 HOME DEPOT INC COMMON 437076102 5603 230,000 SH SOLE 230,000 INTEL CORP COMMON 458140100 2253 138,373 SH SOLE 138,373 INTERCEPT GROUP INC COMMON 45845L107 1115 271,300 SH SOLE 271,300 KIMBERLY CLARK CORP COMMON 494368103 5860 128,900 SH SOLE 128,900 MCKESSON HBOC INC COM COMMON 58155Q103 1431 57,400 SH SOLE 57,400 MERIX CORP COMMON 590049102 400 100,000 SH SOLE 100,000 MICROSOFT CORP COMMON 594918104 13311 549,800 SH SOLE 549,800 NASDAQ 100 SHARES COMMON 631100104 10176 403,000 SH SOLE 403,000 NORDIC AMERICAN TANKER COMMON G65773106 712 50,700 SH SOLE 50,700 NVIDIA CORP COMMON 67066G104 1932 150,000 SH SOLE 150,000 PACIFICARE HEALTH SYSTEMS COMMON 695112102 2668 110,505 SH SOLE 110,505 PRECISION DRILLING CORP COMMON 74022D100 7221 216,400 SH SOLE 216,400 PRIDE INTERNATIONAL INC COMMON 74153Q102 1767 131,000 SH SOLE 131,000 PROVINCE HEALTHCARE CO COMMON 743977100 2560 289,300 SH SOLE 289,300 RAILAMERICA INC COMMON 750753105 5511 903,400 SH SOLE 903,400 ROYAL DUTCH PETROLEUM C COMMON 780257804 4849 119,000 SH SOLE 119,000 S&P DEPOSITARY RECEIPTS COMMON 78462F103 45124 532,500 SH SOLE 532,500 SARA LEE CORP COMMON 803111103 1309 70,000 SH SOLE 70,000 SEAGATE TECHNOLOGY HOLDING COMMON G7945J104 1579 153,000 SH SOLE 153,000 SELECT MEDICAL CORP COMMON 816196109 1579 110,800 SH SOLE 110,800 SERENA SOFTWARE INC COMMON 817492101 766 48,000 SH SOLE 48,000 SHARPER IMAGE CORP COMMON 820013100 3902 216,200 SH SOLE 216,200 STEWART & STEVENSON SERVIC COMMON 860342104 3128 287,000 SH SOLE 287,000 TEMPLE INLAND INC COMMON 879868107 3665 98,000 SH SOLE 98,000 THE PEPSI BOTTLING GROUP I COMMON 713409100 2241 125,000 SH SOLE 125,000 THERMA-WAVE INC COMMON 88343A108 340 808,751 SH SOLE 808,751 TRANSOCEAN SEDCO FOREX COMMON G90078109 6973 341,000 SH SOLE 341,000 TRIAD HOSPITALS INC COMMON 89579K109 538 20,000 SH SOLE 20,000 TRIPATH TECHNOLOGY INC COMMON 89672P104 22 101,400 SH SOLE 101,400 TROPICAL SPORTWEAR COMMON 89708P102 1449 318,429 SH SOLE 318,429 TYSON FOODS INC-CL A COMMON 902494103 3565 460,000 SH SOLE 460,000 ULTIMATE ELECTRONICS INC COMMON 903849107 1590 200,000 SH SOLE 200,000 UNITED THERAPEUTICS CORP D COMMON 91307C102 8579 497,618 SH SOLE 497,618 WALT DISNEY CO HOLDING CO COMMON 254687106 1277 75,000 SH SOLE 75,000 WEBEX COMMUNICATIONS INC COMMON 94767L109 696 67,200 SH SOLE 67,200 WET SEAL INC-CL A COMMON 961840105 1015 139,000 SH SOLE 139,000 ZALE CORP NEW COMMON 988858106 2783 85,000 SH SOLE 85,000 CALL WEBEX INC APR 18 CALL 94767L3DC 6 50,000 SH CALL SOLE 50,000 PUT MERCURY INTER CP APR 20 PUT 5894053PE 83 150,000 SH PUT SOLE 150,000 PUT PHOTON DYNAMICS APR 15 PUT 7193643PC 40 58,700 SH PUT SOLE 58,700
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