-----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, DUQpd/ndY57oXMHqJHmz9+qrqNgpTcHAGTRlB94y9H2xdkAIhs6mytNYZ5yjOQn/ C/rYwYVwcX1WtP5GWSmgPw== 0001085146-10-000972.txt : 20101115 0001085146-10-000972.hdr.sgml : 20101115 20101112175319 ACCESSION NUMBER: 0001085146-10-000972 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ramius LLC CENTRAL INDEX KEY: 0001475770 IRS NUMBER: 270423711 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13626 FILM NUMBER: 101188322 BUSINESS ADDRESS: STREET 1: 599 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212 845 7900 MAIL ADDRESS: STREET 1: 599 LEXINGTON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: Park Exchange LLC DATE OF NAME CHANGE: 20091030 13F-HR 1 raml3q10.txt RAMIUS LLC UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2010 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: Ramius LLC Address: 599 Lexington Avenue, 2Oth Flr. New York, NY 10022 13F File Number: 028-06309 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: Owen Littman Title: General Counsel Phone: 212-201-4841 Signature, Place, and Date of Signing: /s/ Owen Littman New York, NY November 15, 2010 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 106 Form 13F Information Table Value Total: $385,866 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 01 028-10676 Ramius Securities, LLC 02 028-10674 Ramius Advisors, LLC 03 028-12004 RCG Starboard Advisors, LLC 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- A D C TELECOMMUNICATIONS NOTE 3.500% 7/1 000886AE1 2975 3000000 PRN DEFINED 02 3000000 0 0 ACORDA THERAPEUTICS INC COM 00484M106 792 24000 SH PUT DEFINED 02 24000 0 0 ACTEL CORP COM 004934105 20351 1275945 SH DEFINED 02 1275945 0 0 ACTEL CORP COM 004934105 19325 1211614 SH DEFINED 03 1211614 0 0 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 66 18750 SH DEFINED 02 18750 0 0 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 197 56250 SH DEFINED 03 56250 0 0 AGILYSYS INC COM 00847J105 668 102831 SH DEFINED 02 102831 0 0 AGILYSYS INC COM 00847J105 6124 942096 SH DEFINED 03 942096 0 0 AMERICAN OIL & GAS INC NEW COM 028723104 2867 353900 SH DEFINED 02 353900 0 0 ANALOGIC CORP COM PAR $0.05 032657207 16181 360542 SH DEFINED 02 360542 0 0 ANALOGIC CORP COM PAR $0.05 032657207 15033 334958 SH DEFINED 03 334958 0 0 APPLE INC COM 037833100 2838 10000 SH PUT DEFINED 02 10000 0 0 ATC TECHNOLOGY CORP COM 00211W104 2686 108566 SH DEFINED 02 108566 0 0 AVIAT NETWORKS INC COM 05366Y102 2610 638203 SH DEFINED 02 638203 0 0 AVIAT NETWORKS INC COM 05366Y102 15693 3836797 SH DEFINED 03 3836797 0 0 BURGER KING HLDGS INC COM 121208201 2579 108000 SH DEFINED 02 108000 0 0 CAMAC ENERGY INC COM 131745101 455 142500 SH PUT DEFINED 02 142500 0 0 CLEVELAND BIOLABS INC COM 185860103 157 30346 SH DEFINED 02 30346 0 0 CONVERTED ORGANICS INC *W EXP 12/31/201 21254S131 17 374672 SH DEFINED 02 374672 0 0 CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 2878 747500 SH DEFINED 02 747500 0 0 CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 11810 3067500 SH DEFINED 03 3067500 0 0 DIAMOND MGMT & TECHNOLOGY CO COM 25269L106 1598 127805 SH DEFINED 02 127805 0 0 DIVX INC COM 255413106 533 55950 SH DEFINED 02 55950 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 231 10000 SH CALL DEFINED 02 10000 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 679 29400 SH DEFINED 01 29400 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 8586 371520 SH DEFINED 02 371520 0 0 ENTERPRISE GP HLDGS L P UNIT LP INT 293716106 4404 75000 SH DEFINED 02 75000 0 0 ESSEX RENT CORP *W EXP 03/04/201 297187114 31 45341 SH DEFINED 02 45341 0 0 ESSEX RENT CORP COM 297187106 9115 1833653 SH DEFINED 02 1833653 0 0 EXPRESSJET HOLDINGS INC COM NEW 30218U306 1425 213640 SH DEFINED 02 213640 0 0 EXTREME NETWORKS INC COM 30226D106 2323 746911 SH DEFINED 02 746911 0 0 EXTREME NETWORKS INC COM 30226D106 15637 5027989 SH DEFINED 03 5027989 0 0 EXXON MOBIL CORP COM 30231G102 4944 80000 SH CALL DEFINED 02 80000 0 0 FINANCIAL ENGINES INC COM 317485100 325 24500 SH DEFINED 02 24500 0 0 FUELCELL ENERGY INC COM 35952H106 98 80000 SH DEFINED 02 80000 0 0 GREAT ATLANTIC & PAC TEA INC COM 390064103 164 41500 SH CALL DEFINED 02 41500 0 0 GREAT ATLANTIC & PAC TEA INC COM 390064103 751 189800 SH PUT DEFINED 02 189800 0 0 GREAT ATLANTIC & PAC TEA INC NOTE 5.125% 6/1 390064AJ2 5305 7267000 PRN DEFINED 02 7267000 0 0 HEWITT ASSOCS INC COM 42822Q100 4640 92000 SH DEFINED 02 92000 0 0 HQ SUSTAINABLE MARITIM IND I COM NEW 40426A208 225 74608 SH DEFINED 02 74608 0 0 IMMERSION CORP COM 452521107 11487 1943598 SH DEFINED 03 1943598 0 0 IMMERSION CORP COM 452521107 12587 2129839 SH DEFINED 02 2129839 0 0 INTEGRAL SYS INC MD COM 45810H107 129 17501 SH DEFINED 02 17501 0 0 INTEGRAL SYS INC MD COM 45810H107 387 52499 SH DEFINED 03 52499 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 671 5000 SH DEFINED 01 5000 0 0 ISHARES INC MSCI CDA INDEX 464286509 280 10000 SH DEFINED 01 10000 0 0 ISHARES TR RUSSELL 2000 464287655 10362 153500 SH PUT DEFINED 02 153500 0 0 JOHNSON & JOHNSON COM 478160104 241 3885 SH DEFINED 01 3885 0 0 KNOT INC COM 499184109 911 99749 SH DEFINED 02 99749 0 0 KNOT INC COM 499184109 6758 740251 SH DEFINED 03 740251 0 0 L-1 IDENTITY SOLUTIONS INC COM 50212A106 1408 120000 SH DEFINED 02 120000 0 0 LABRANCHE & CO INC COM 505447102 1950 500002 SH DEFINED 02 500002 0 0 LABRANCHE & CO INC COM 505447102 5850 1499998 SH DEFINED 03 1499998 0 0 LIGHTBRIDGE CORP COM 53224K104 443 75000 SH CALL DEFINED 02 75000 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 229 4460 SH DEFINED 01 4460 0 0 MCAFEE INC COM 579064106 4773 101000 SH DEFINED 02 101000 0 0 MCMORAN EXPLORATION CO COM 582411104 559 32500 SH CALL DEFINED 02 32500 0 0 MCMORAN EXPLORATION CO NOTE 5.250%10/0 582411AE4 1727 1500000 PRN DEFINED 01 1500000 0 0 METALLINE MINING INC COM 591257100 24 37263 SH DEFINED 02 37263 0 0 MICROTUNE INC DEL COM 59514P109 6376 2198679 SH DEFINED 02 2198679 0 0 MICROTUNE INC DEL COM 59514P109 9152 3156016 SH DEFINED 03 3156016 0 0 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 79 12450 SH DEFINED 02 12450 0 0 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 237 37350 SH DEFINED 03 37350 0 0 NBTY INC COM 628782104 1787 32500 SH DEFINED 02 32500 0 0 NGAS RESOURCES INC COM 62912T103 56 65994 SH SOLE 65994 0 0 ONCOTHYREON INC COM 682324108 1056 302714 SH DEFINED 02 302714 0 0 ONCOTHYREON INC COM 682324108 567 162300 SH PUT DEFINED 02 162300 0 0 PACTIV CORP COM 695257105 3361 101900 SH CALL DEFINED 02 101900 0 0 PACTIV CORP COM 695257105 971 29444 SH DEFINED 02 29444 0 0 PETROHAWK ENERGY CORP COM 716495106 968 60000 SH DEFINED 02 60000 0 0 PHOENIX TECHNOLOGY LTD COM 719153108 10226 2622079 SH DEFINED 02 2622079 0 0 PHOENIX TECHNOLOGY LTD COM 719153108 9678 2481421 SH DEFINED 03 2481421 0 0 POTASH CORP SASK INC COM 73755L107 6367 44200 SH DEFINED 02 44200 0 0 PRESIDENTIAL LIFE CORP COM 740884101 100 10250 SH DEFINED 01 10250 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 241 7725 SH DEFINED 01 7725 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 4688 150000 SH CALL DEFINED 02 150000 0 0 PROSPECT MEDICAL HOLDINGS IN COM 743494106 693 81569 SH DEFINED 02 81569 0 0 QWEST COMMUNICATIONS INTL IN COM 749121109 1568 250000 SH DEFINED 02 250000 0 0 RAND LOGISTICS INC COM 752182105 7326 1498262 SH DEFINED 02 1498262 0 0 SANDRIDGE ENERGY INC COM 80007P307 85 15000 SH DEFINED 02 15000 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 2998 309064 SH DEFINED 01 309064 0 0 SEACHANGE INTL INC COM 811699107 6919 933769 SH DEFINED 02 933769 0 0 SEACHANGE INTL INC COM 811699107 14359 1937822 SH DEFINED 03 1937822 0 0 SHORETEL INC COM 825211105 806 162569 SH DEFINED 02 162569 0 0 SHORETEL INC COM 825211105 2424 488701 SH DEFINED 03 488701 0 0 SIGA TECHNOLOGIES INC COM 826917106 856 101200 SH DEFINED 01 101200 0 0 SIGA TECHNOLOGIES INC COM 826917106 1506 177956 SH DEFINED 02 177956 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 1440 11260 SH DEFINED 01 11260 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 320 2500 SH DEFINED 02 2500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 6848 60000 SH PUT DEFINED 02 60000 0 0 STERLING BANCORP COM 859158107 358 41157 SH DEFINED 01 41157 0 0 SURMODICS INC COM 868873100 1043 87503 SH DEFINED 02 87503 0 0 SURMODICS INC COM 868873100 3129 262497 SH DEFINED 03 262497 0 0 SYNOVIS LIFE TECHNOLOGIES IN COM 87162G105 296 19831 SH DEFINED 03 19831 0 0 TERREMARK WORLDWIDE INC COM NEW 881448203 2085 201624 SH DEFINED 01 201624 0 0 TOLLGRADE COMMUNICATIONS INC COM 889542106 8281 1129758 SH DEFINED 02 1129758 0 0 TOLLGRADE COMMUNICATIONS INC COM 889542106 7075 965199 SH DEFINED 03 965199 0 0 TRANSOCEAN INC NOTE 1.625%12/1 893830AU3 990 1000000 PRN DEFINED 02 1000000 0 0 TRANSOCEAN LTD REG SHS H8817H100 5786 90000 SH CALL DEFINED 02 90000 0 0 VIRGINIA COMM BANCORP INC COM 92778Q109 218 44782 SH DEFINED 02 44782 0 0 VIVUS INC COM 928551100 268 40000 SH DEFINED 02 40000 0 0 WAL MART STORES INC COM 931142103 371 6925 SH DEFINED 01 6925 0 0 WALTER INVT MGMT CORP COM 93317W102 197 11258 SH DEFINED 02 11258 0 0 WEBMD CORP NOTE 3.125% 9/0 94769MAG0 1281 900000 PRN DEFINED 01 900000 0 0 WEBMD CORP NOTE 3.125% 9/0 94769MAG0 712 500000 PRN DEFINED 02 500000 0 0 WEBMD HEALTH CORP COM 94770V102 1626 32595 SH DEFINED 01 32595 0 0
-----END PRIVACY-ENHANCED MESSAGE-----