-----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, As5IDnrOnwRffde2CPCdwUhCXAIdM/Uh4pVzHS9iR7SGoy67KAJpOFw5mXZwULTT 7rqKoFiyLY+wu77g0aHRJg== 0001095449-02-000025.txt : 20020416 0001095449-02-000025.hdr.sgml : 20020416 ACCESSION NUMBER: 0001095449-02-000025 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20020331 FILED AS OF DATE: 20020416 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: 02611664 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 f13f0302.txt FORM 13F FOR THE QUARTER ENDING MARCH 31, 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: March 31, 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 April 5, 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: 86 Form 13F Information Table Value Total: $183,074,000 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 - ------------------------------ ------------ --------- -------- -------- --- ---- ------- ------------ -------- ------ ---- ***TRANSOCEAN SEDCO FOREX COMMON G90078109 665 20000 SH 20000 0 0 ADVANCED AUTO PARTS INC OTC IS 00751Y106 11270 245000 SH 245000 0 0 AFC ENTERPRISES INC OTC IS 00104Q107 1442 43100 SH 43100 0 0 AKSYS LTD OTC IS 10196103 975 111000 SH 111000 0 0 ALCON INC COMMON H01301102 1219 36000 SH 36000 0 0 ALLEN TELECOM INC CONV P 18091207 950 20000 SH 20000 0 0 AMERICAN AXLE & MFG HLDGS COMMON 24061103 2900 100000 SH 100000 0 0 Anteon Intl Corp OTC IS 3.67E+111 1175 56500 SH 56500 0 0 ARMOR HOLDINGS INC COMMON 42260109 1385 51100 SH 51100 0 0 AXONYX INC OTC IS 05461R101 900 250000 SH 250000 0 0 BEA SYSTEMS INC OTC IS 73325102 7683 560381 SH 560381 0 0 BEA SYSTEMS INC 200000 Call 200000 0 0 BEACON CAPITAL PARTNERS IN OTC IS BEACON2 1377 195000 SH 195000 0 0 BEBE STORES INC OTC IS 75571109 2526 120011 SH 120011 0 0 BECTON DICKINSON & CO COMMON 75887109 377 10000 SH 10000 0 0 BRISTOL MYERS SQUIBB CO COMMON 110122108 3037 75000 SH 75000 0 0 Bunge Ltd COMMON G16962105 7800 360300 SH 360300 0 0 CABLEVISION SYS CORP COMMON 12686C844 2342 94900 SH 94900 0 0 CALIFORNIA MICRO DEVICES C OTC IS 130439102 830 190800 SH 190800 0 0 CARDIODYNAMICS INTL CORP OTC IS 141597104 2016 474328 SH 474328 0 0 CARRIAGE SERVICES INC-CL A COMMON 143905107 359 71000 SH 71000 0 0 CELERITEK INC OTC IS 150926103 2799 271775 SH 271775 0 0 CERES GROUP INC OTC IS 156772105 135 29574 SH 29574 0 0 CNA FINANCIAL CORP COMMON 126117100 3080 103700 SH 103700 0 0 COMMUNITY HEALTH SYSTEMS I COMMON 203668108 1338 60500 SH 60500 0 0 CONMED CORP OTC IS 207410101 10000 400000 SH 400000 0 0 CORPORATE EXECUTIVE BRD CO OTC IS 21988R102 300 8000 SH 8000 0 0 COSINE COMMUNICATIONS INC OTC IS 221222102 1529 1329877 SH 1329877 0 0 COSTCO WHOLESALE CORP-NEW OTC IS 22160K105 4778 119988 SH 119988 0 0 CVS CORP COMMON 126650100 10443 304200 SH 304200 0 0 ESS TECHNOLOGY INC OTC IS 269151106 1010 48700 SH 48700 0 0 EXE TECHNOLOGIES INC OTC IS 301504106 531 247200 SH 247200 0 0 FISHER SCIENTIFIC INTL INC COMMON 338032204 5196 184900 SH 184900 0 0 FIVE STAR QUALITY CARE INC COMMON 33832D106 732 100000 SH 100000 0 0 GENERAL MTRS CORP PREFER 370442733 1230 45000 SH 45000 0 0 GENESEE & WYOMING INC-CL A 66500 Call 66500 0 0 GENESEE & WYOMING INC-CL A OTC IS 371559105 246 10401 SH 10401 0 0 HEWLETT PACKARD CO COMMON 428236103 1188 66200 SH 66200 0 0 HOLOGIC INC. OTC IS 436440101 433 28000 SH 28000 0 0 HOT TOPIC INC OTC IS 441339108 688 32900 SH 32900 0 0 HYPERCOM CORP COMMON 44913M105 3480 600000 SH 600000 0 0 INTERGRATED DEFENSE COMMON 45819B901 10000 Put 10000 0 0 INTERGRATED DEFENSE COMMON 45819B101 1027 37000 SH 37000 0 0 INTERNEURON PHARMACEUTICAL OTC IS 460573108 875 100000 SH 100000 0 0 INTERNEURON PHARMACEUTICAL OTC IS 460573958 25000 Put 25000 0 0 INVISION TECHNOLOGIES INC OTC IS 461851107 1495 37200 SH 37200 0 0 JUNIPER NETWORKS OTC IS 48203R104 316 25000 SH 25000 0 0 KAISER VENTURES LLC NQBI 483101101 2453 656000 SH 656000 0 0 KRAUSE'S FURNITURE INC OTC IS 9387260 271 6000 SH 6000 0 0 KRAUSES FURNITURE INC NEW COMMON 500760202 0 28800 SH 28800 0 0 KROGER CO COMMON 501044101 5263 237500 SH 237500 0 0 MARIMBA INC OTC IS 56781Q109 121 38400 SH 38400 0 0 MED-DESIGN CORP OTC IS 583926100 159 11315 SH 11315 0 0 MENTOR CORP MINN OTC IS 587188103 635 17600 SH 17600 0 0 MIAMI COMPUTER SUPPLY CORP OTC IS 55270M108 537 45100 SH 45100 0 0 MICROSOFT CORP OTC IS 594918104 929 15400 SH 15400 0 0 NIKU CORP OTC IS 654113109 4535 2325832 SH 2325832 0 0 ORACLE SYSTEMS CORP OTC IS 68389X105 3382 264246 SH 264246 0 0 PFSWEB INC OTC IS 717098107 15 18202 SH 18202 0 0 POGO PRODUCING CO COMMON 730448107 2051 64700 SH 64700 0 0 PRECISION DRILLING CORP OTC IS 74022D100 3078 96300 SH 96300 0 0 QUIPP INC OTC IS 748802105 140 10265 SH 10265 0 0 RAILAMERICA INC OTC IS 750753105 7922 753000 SH 753000 0 0 RAYTHEON CO COMMON 755111507 205 5000 SH 5000 0 0 RPM INC OHIO COMMON 749685103 156 10000 SH 10000 0 0 SBC COMMUNICATIONS INC COMMON 78387G103 2640 70500 SH 70500 0 0 SBC COMMUNICATIONS INC COMMON 78387G953 175000 Put 175000 0 0 SCHERING PLOUGH CORP COMMON 806605101 3678 117500 SH 117500 0 0 SHAW GROUP INC CORP B 820280AC9 5488 10000000 SH 10000000 0 0 SOLECTRON CORP ADJ CONVERS OTC IS 834182206 12151 556100 SH 556100 0 0 SOLECTRON CORP ADJ CONVERS 40000 Call 40000 0 0 STEWART & STEVENSON SERVIC OTC IS 860342104 933 48200 SH 48200 0 0 SUN MICROSYSTEMS INC OTC IS 866810104 2712 307510 SH 307510 0 0 SUPREMEA SPECIALITIES INC OTC IS 86859F107 35000 SH 35000 0 0 SYPRIS SOLUTIONS INC OTC IS 871655106 1127 75000 SH 75000 0 0 TALBOTS INC COMMON 874161102 2513 71000 SH 71000 0 0 TESORO PETROLEUM CORP-W/RT COMMON 881609101 1405 100000 SH 100000 0 0 TRIPATH TECHNOLOGY PREFERR OTC IS 9391363 480 16000 SH 16000 0 0 TYCO INTL LTD NEW CORP B 902124AC0 4028 6000000 SH 6000000 0 0 ULTRATECH STEPPER INC OTC IS 904034105 1084 52100 SH 52100 0 0 UNIVERSAL HEALTH SERVICES COMMON 913903100 206 5000 SH 5000 0 0 VCA ANTECH INC OTC IS 918194101 2205 163300 SH 163300 0 0 WASHINGTION GROUP INTL INC OTC IS 938862208 474 25000 SH 25000 0 0 WASHINGTON MUTUAL INC COMMON 939322103 5632 170000 SH 170000 0 0 WTS AKSYS LTD OTC IS 9391433 0 23973 SH 23973 0 0 WYNDHAM INTERNATIONAL INC NQBI 9390717 393 5895 SH 5895 0 0
-----END PRIVACY-ENHANCED MESSAGE-----