-----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, MtM5Tx8aQla0QARWB+6p1OMYzNT8eQQ7gvwkyWW8CMU9rfojX5B4UYJuc3fIw06t W2zlIrLM6Sx2z1K37SdxfQ== 0001095449-02-000044.txt : 20020725 0001095449-02-000044.hdr.sgml : 20020725 20020724181459 ACCESSION NUMBER: 0001095449-02-000044 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020603 FILED AS OF DATE: 20020725 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: 02710221 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 f13f0602.txt FORM 13F FOR THE QUARTER ENDING JUNE 30, 2002 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, 2002 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: Ascend Capital, LLC Address: One Montgomery Street, Suite 3300 San Francisco, CA 94104 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: Malcolm P. Fairbairn Title: Managing Member Phone: (415) 217-7733 Signature, Place, and Date of Signing: /s/ Malcolm P. Fairbairn San Francisco, CA July 8, 2002 - -------------------------------------------------------------------------------- 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 Managers: 0 Form 13F Information Table Entry Total: 76 Form 13F Information Table Value Total: $207,355,000 List of Other Included Managers: No. 13F File Number Name NONE
FORM 13F INFORMATION TABLE TITLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS Sole SHARED NONE - ------------------------------ ------------ --------- -------- -------- --- ---- ------- ------------ -------- ------ ---- TYCO INTL LTD NEW CORP B 902124AC0 5738 10000000 PRN X 10000000 0 0 SHAW GROUP INC CORP B 820280AC9 5713 10000000 PRN X 10000000 0 0 SOLECTRON COMMON 834182AK3 2360 4000000 SH X 4000000 0 0 ADVANCED AUTO PARTS INC COMMON 00751Y106 13343 244798 SH X 244798 0 0 ARMOR HOLDINGS INC COMMON 042260109 1196 46900 SH X 46900 0 0 ALLEN TELECOM INC CONV P 018091207 392 11000 SH X 11000 0 0 AMKOR TECHNOLOGY INC COMMON 031652100 917 147500 SH X 147500 0 0 AMERICAN AXLE & MFG HLDGS COMMON 024061103 1874 63000 SH X 63000 0 0 AXONYX INC COMMON 05461R101 563 250000 SH X 250000 0 0 BEST BUY COMPANY INC COMMON 086516101 3634 100100 SH X 100100 0 0 BECTON DICKINSON & CO COMMON 075887109 5185 150500 SH X 150500 0 0 BEACON CAPITAL PARTNERS IN COMMON 073561300 1182 195000 SH X 195000 0 0 BEA SYSTEMS INC COMMON 073325102 5685 597781 SH X 597781 0 0 BEBE STORES INC COMMON 075571109 2651 130646 SH X 130646 0 0 BRISTOL MYERS SQUIBB CO COMMON 110122108 2185 85000 SH X 85000 0 0 CALIFORNIA MICRO DEVICES C COMMON 130439102 1016 200000 SH X 200000 0 0 CABOT MICROELECTONICS COMMON 12709P953 5935 125000 PUT X 125000 0 0 CARDIODYNAMICS INTL CORP COMMON 141597104 1682 452128 SH X 452128 0 0 SUPREMEA SPECIALITIES INC COMMON 86859F107 0 35000 SH X 35000 0 0 CELERITEK INC COMMON 150926103 1866 282775 SH X 282775 0 0 CNA FINANCIAL CORP COMMON 126117100 4423 166900 SH X 166900 0 0 CONMED CORP COMMON 207410101 8711 390100 SH X 390100 0 0 COSINE COMMUNICATIONS INC COMMON 221222102 751 1745477 SH X 1745477 0 0 COSTCO WHOLESALE CORP-NEW COMMON 22160K105 4457 115400 SH X 115400 0 0 CARRIAGE SERVICES INC-CL A COMMON 143905107 305 71000 SH X 71000 0 0 CVS CORP COMMON 126650100 10227 334200 SH X 334200 0 0 WALT DISNEY CO HOLDING CO COMMON 254687106 1418 75000 SH X 75000 0 0 EMPIRE DIST ELEC CO COMMON 291641108 615 30000 SH X 30000 0 0 ELECTRO SCIENTIFIC INDS IN COMMON 285229100 972 40000 SH X 40000 0 0 EXE TECHNOLOGIES INC COMMON 301504106 277 247200 SH X 247200 0 0 FAIRCHILD SEMICONDUCTOR IN COMMON 303726103 5438 223800 SH X 223800 0 0 FIVE STAR QUALITY CARE INC COMMON 33832D106 559 100000 SH X 100000 0 0 GAP INC COMMON 364760108 7100 500000 SH X 500000 0 0 GART SPORTS CO COMMON 366630101 1864 65410 SH X 65410 0 0 HOLOGIC INC. COMMON 436440101 259 17920 SH X 17920 0 0 HERLEY INDUSTRIES INC COMMON 427398102 435 20500 SH X 20500 0 0 HYPERCOM CORP COMMON 44913M105 1057 137300 SH X 137300 0 0 IBM COMMON 459200951 6264 87000 PUT X 87000 0 0 INDEVUS PHARMACEUTICAL COMMON 454072109 116 100000 SH X 100000 0 0 INTEL CORP COMMON 458140100 6775 370800 SH X 370800 0 0 KROGER CO COMMON 501044101 7218 362700 SH X 362700 0 0 LONE STAR TECHNOLOGIES INC COMMON 542312103 229 10000 SH X 10000 0 0 MCKESSON HBOC INC COM COMMON 58155Q103 948 29000 SH X 29000 0 0 MICROSOFT CORP COMMON 594918104 5820 106400 SH X 106400 0 0 NORDIC AMERICAN TANKER COMMON G65773106 1365 100000 SH X 100000 0 0 NIKU CORP COMMON 654113109 878 2041075 SH X 2041075 0 0 NETWORK APPLIANCE INC COMMON 64120L104 7509 603611 SH X 603611 0 0 PREMCORE INC COMMON 74045Q104 900 35000 SH X 35000 0 0 PRIDE INTERNATIONAL INC COMMON 74153Q102 1488 95000 SH X 95000 0 0 PFSWEB INC COMMON 717098107 9 18202 SH X 18202 0 0 POGO PRODUCING CO COMMON 730448107 1335 40940 SH X 40940 0 0 PROVIDIAN FINL CORP COMMON 74406A102 834 141900 SH X 141900 0 0 TRANSOCEAN SEDCO FOREX COMMON G90078109 3894 125000 SH X 125000 0 0 POLO RALPH LAUREN CORP-CL COMMON 731572103 1120 50000 SH X 50000 0 0 CABLEVISION SYS CORP COMMON 12686C844 400 45700 SH X 45700 0 0 ROTECH HEALTHCARE INC NEW COMMON 778669101 738 25000 SH X 25000 0 0 RAILAMERICA INC COMMON 750753105 9346 863800 SH X 863800 0 0 RAYTHEON CO COMMON 755111507 204 5000 SH X 5000 0 0 SCHERING PLOUGH CORP COMMON 806605101 2276 92500 SH X 92500 0 0 SARA LEE CORP COMMON 803111103 4128 200000 SH X 200000 0 0 SELECT MEDICAL CORP COMMON 816196109 1351 86300 SH X 86300 0 0 SOLECTRON CORP COMMON 834182107 123 20000 SH X 20000 0 0 SOLECTRON CORP ADJ CONVERS COMMON 834182206 9932 556100 SH X 556100 0 0 STEWART & STEVENSON SERVIC COMMON 860342104 2406 135638 SH X 135638 0 0 SUNCOR ENERGY INC COMMON 867229106 475 26600 SH X 26600 0 0 SAFEWAY INC COMMON 786514208 1168 40000 SH X 40000 0 0 TOO INC COMMON 890333107 444 14400 SH X 14400 0 0 TRIPATH TECHNOLOGY INC COMMON 89672P104 224 213322 SH X 213322 0 0 TROPICAL SPORTWEAR COMMON 89708P102 2885 130000 SH X 130000 0 0 TESORO PETROLEUM CORP-W/RT COMMON 881609101 544 70162 SH X 70162 0 0 TUESDAY MORNING CORP COMMON 899035505 1369 73734 SH X 73734 0 0 TOWER AUTOMOTIVE INC COMMON 891707101 1057 75800 SH X 75800 0 0 UNITED THERAPEUTICS CORP D COMMON 91307C102 3483 281818 SH X 281818 0 0 VCA ANTECH INC COMMON 918194101 352 22600 SH X 22600 0 0 XM SATELLITE RADIO HLDGS I COMMON 983759101 850 117300 SH X 117300 0 0 FOOT LOCKER INC COMMON 344849104 4913 340000 SH X 340000 0 0
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