-----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, UVs/cQ9btkHBAul1kul99iJ1xKDct0LXM2kV57PTAUtWBANNEY0OimZAX1oqoow5 6lSJm02nAkRBXHx0zO13FA== 0001095449-02-000004.txt : 20020414 0001095449-02-000004.hdr.sgml : 20020414 ACCESSION NUMBER: 0001095449-02-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011231 FILED AS OF DATE: 20020215 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: 02550459 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 f13f1201.txt SCHEDULE 13F FOR DECEMBER 31M, 2001 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2001 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: 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 February 14, 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: 82 Form 13F Information Table Value Total: $136,944,000 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 - ------------------------------ ------------ --------- -------- -------- --- ---- ------- ------------ -------- ------ ---- ***BIOVAIL CORP INTERNATIO COM 09067J10 529 9400 SH Sole 9400 ***IPC HOLDINGS LTD COM G4933P101 2220 75000 SH Sole 75000 ADVANCED DIGITAL INFORMATI COM 7525108 2331 145300 SH Sole 145300 AFC ENTERPRISES INC COM 00104Q107 1283 45200 SH Sole 45200 AKSYS LTD COM 10196103 609 131000 SH Sole 131000 AMERICAN AXLE & MFG HLDGS COM 24061103 1371 64138 SH Sole 64138 APRIA HEALTHCARE GROUP INC COM 37933108 2059 82400 SH Sole 82400 ARMOR HOLDINGS INC COM 42260109 1379 51100 SH Sole 51100 AXONYX INC COM 05461R101 880 250000 SH Sole 250000 BEACON CAPITAL PARTNERS IN COM 73561102 1377 195000 SH Sole 195000 BECTON DICKINSON & CO COM 75887109 1001 30200 SH Sole 30200 BJS WHOLESALE CLUB INC COM 05548J106 7219 163700 SH Sole 163700 Bunge Ltd COM G16962105 356 15300 SH Sole 15300 CABLEVISION SYS CORP COM 12686C844 2344 94900 SH Sole 94900 CALIFORNIA MICRO DEVICES C COM 130439102 940 200000 SH Sole 200000 CARDIODYNAMICS INTL CORP COM 141597104 3135 474328 SH Sole 474328 CARRIAGE SERVICES INC-CL A COM 143905107 374 71000 SH Sole 71000 CELERITEK INC COM 150926103 2838 211975 SH Sole 211975 CERES GROUP INC COM 156772105 1107 300000 SH Sole 300000 CNA FINANCIAL CORP COM 126117100 788 27000 SH Sole 27000 COMMUNITY HEALTH SYSTEMS I COM 203668108 3040 119200 SH Sole 119200 CONMED CORP COM 207410101 8583 430000 SH Sole 430000 DIAGNOSTIC RETRIEVAL SYS I COM 23330X100 2620 73500 SH Sole 73500 EARTHLINK INC COM 270321102 657 54000 SH Sole 54000 EARTHLINK INC COM 270321902 105000 P Sole 105000 EGL INC COM 268484102 943 67600 SH Sole 67600 EXE TECHNOLOGIES INC COM 301504106 1226 240800 SH Sole 240800 FAMOUS DAVES AMER INC COM 307068106 731 100000 SH Sole 100000 GAP INC COM 364760108 1533 110000 SH Sole 110000 GENESEE & WYOMING INC-CL A COM 371559105 1306 40000 SH Sole 40000 HOLOGIC INC. COM 436440101 279 30000 SH Sole 30000 HOLOGIC INC. COM 435440901 50000 C Sole 50000 HOOPER HOLMES INC COM 439104100 420 46900 SH Sole 46900 I2 TECHNOLOGIES INC COM 465754109 1014 128400 SH Sole 128400 INTERNEURON PHARMACEUTICAL COM 460573108 1109 100000 SH Sole 100000 JOY GLOBAL INC COM 481165108 1667 99200 SH Sole 99200 K MART CORP COM 482584109 137 25000 SH Sole 25000 KAISER VENTURES LLC COM 483101101 2453 656000 SH Sole 656000 KNIGHT TRADING GROUP INC COM 499063105 317 28800 SH Sole 28800 KROGER CO COM 501044101 4487 215000 SH Sole 215000 LEXAR MEDIA INC COM 52886P104 217 82300 SH Sole 82300 LIGHTSPAN PARTNERSHIP INC COM 53226T103 23 16700 SH Sole 16700 LIMITED INC COM 532716107 883 60000 SH Sole 60000 MARIMBA INC COM 56781Q109 392 116000 SH Sole 116000 MARIMBA INC COM 56781Q909 75000 C Sole 75000 MATTSON TECHNOLOGY INC COM 577223100 107 12100 SH Sole 12100 MED-DESIGN CORP COM 583926100 209 10615 SH Sole 10615 MERIX CORP COM 590049102 288 16700 SH Sole 16700 METALINK LTD COM M69897102 110 20000 SH Sole 20000 MIAMI COMPUTER SUPPLY CORP COM 55270M108 1792 76400 SH Sole 76400 MICROSOFT CORP COM 594918104 1087 16400 SH Sole 16400 MOMENTUM BUSINESS APPS INC COM 60877P108 2829 142154 SH Sole 142154 NIKU CORP COM 654113109 3791 2325832 SH Sole 2325832 OPTI INC COM 683960108 1049 346138 SH Sole 346138 ORACLE SYSTEMS CORP COM 68389X105 1929 139700 SH Sole 139700 PFSWEB INC COM 717098107 15 18202 SH Sole 18202 PFSWEB INC COM 717098957 70000 P Sole 70000 POGO PRODUCING CO COM 730448107 4319 164400 SH Sole 164400 PRECISION DRILLING CORP COM 74022D100 1257 48700 SH Sole 48700 PROVINCE HEALTHCARE CO COM 743977100 781 25300 SH Sole 25300 QUIPP INC COM 748802105 142 10265 SH Sole 10265 RAILAMERICA INC COM 750753105 10122 700000 SH Sole 700000 SAFENET INC COM 78645R107 452 23887 SH Sole 23887 SBA COMMUNICATIONS CORP COM 78388J106 263 20200 SH Sole 20200 SBC COMMUNICATIONS INC COM 78387G103 1861 47500 SH Sole 47500 SECURITY CONNECTICUT CORP COM 826428203 268 5000 SH Sole 5000 SELECT MEDICAL CORP COM 816196109 1875 116600 SH Sole 116600 SHOPPERS DRUG MART INC COM 82509W202 708 60000 SH Sole 60000 SIERRA PACIFIC RESOURCES COM 826428104 1204 80000 SH Sole 80000 SILGAN HOLDINGS INC COM 827048109 1360 52000 SH Sole 52000 SOLECTRON CORP ADJ CONVERS COM 834182206 20055 700000 SH Sole 700000 SUPREMA SPECIALTIES INC COM 86859F107 455 35000 SH Sole 35000 TALBOTS INC COM 874161102 830 22900 SH Sole 22900 TELETECH HOLDINGS INC COM 879939106 215 15000 SH Sole 15000 TENET HEALTHCARE/NATL MEDI COM 88033G100 646 11000 SH Sole 11000 TRITON PCS HLDGS INC COM 89677M106 1468 50000 SH Sole 50000 ULTRATECH STEPPER INC COM 904034105 1298 78600 SH Sole 78600 UNITED DEFENSE INDUSTRIES COM 91018B104 1210 57500 SH Sole 57500 UNIVERSAL HEALTH SERVICES COM 913903100 214 5000 SH Sole 5000 VCA ANTECH INC COM 918194101 2962 244400 SH Sole 244400 WEBEX COMMUNICATIONS INC COM 94767L109 1210 48679 SH Sole 48679 WYNDHAM INTERNATIONAL INC COM 9390717 386 5790 SH Sole 5790
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