-----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, JaVvHUu7dTE1YnY8CuqpmKkoJlEAvbS9oagBM02YPakErfn9Z4xyMzkz8yeEAeVD C49vFSeQ0bGN+XdvC/3LFg== 0001085146-11-000325.txt : 20110214 0001085146-11-000325.hdr.sgml : 20110214 20110214185005 ACCESSION NUMBER: 0001085146-11-000325 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 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: 11609664 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 raml4q10.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: December 31, 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 February 14, 2011 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: 4 Form 13F Information Table Entry Total: 107 Form 13F Information Table Value Total: $428,068 (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 04 028-NEW Ramius Alternative Solutions 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ACORDA THERAPEUTICS INC COM 00484M106 654 24000 SH PUT DEFINED 02 24000 0 0 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 1053 262500 SH DEFINED 02 262500 0 0 ADVANCED ANALOGIC TECHNOLOGI COM 00752J108 3158 787500 SH DEFINED 03 787500 0 0 AGILYSYS INC COM 00847J105 3450 612868 SH DEFINED 03 612868 0 0 AIRGAS INC COM 009363102 3229 51700 SH CALL DEFINED 02 51700 0 0 ALLEGHENY ENERGY INC COM 017361106 2114 87200 SH DEFINED 02 87200 0 0 ANALOGIC CORP COM PAR $0.05 032657207 6874 138843 SH DEFINED 03 138843 0 0 ART TECHNOLOGY GROUP INC COM 04289L107 6372 1065488 SH DEFINED 02 1065488 0 0 ATLAS ENERGY INC COM 049298102 5378 122300 SH DEFINED 02 122300 0 0 ATLAS ENERGY INC COM 049298102 10667 242600 SH CALL DEFINED 02 242600 0 0 AVIAT NETWORKS INC COM 05366Y102 2310 455663 SH DEFINED 02 455663 0 0 AVIAT NETWORKS INC COM 05366Y102 17057 3364231 SH DEFINED 03 3364231 0 0 BARCLAYS BK PLC IPATH S&P MT ETN 06740C519 2997 45570 SH DEFINED 04 45570 0 0 BUCYRUS INTL INC NEW COM 118759109 742 8300 SH DEFINED 02 8300 0 0 BUCYRUS INTL INC NEW COM 118759109 10827 121100 SH CALL DEFINED 02 121100 0 0 CAL MAINE FOODS INC COM NEW 128030202 887 28100 SH CALL DEFINED 02 28100 0 0 CAPITAL ONE FINL CORP COM 14040H105 215 5050 SH DEFINED 02 5050 0 0 CELERA CORP COM 15100E106 1835 291304 SH DEFINED 02 291304 0 0 CELERA CORP COM 15100E106 5095 808696 SH DEFINED 03 808696 0 0 CISCO SYS INC COM 17275R102 1214 60000 SH CALL DEFINED 02 60000 0 0 COMMSCOPE INC COM 203372107 3125 100100 SH DEFINED 02 100100 0 0 COMPELLENT TECHNOLOGIES INC COM 20452A108 1371 49700 SH CALL DEFINED 02 49700 0 0 CONVERTED ORGANICS INC *W EXP 12/31/201 21254S131 40 374672 SH DEFINED 02 374672 0 0 COWEN GROUP INC NEW CL A 223622101 210 45000 SH DEFINED 02 45000 0 0 CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 19877 3067500 SH DEFINED 03 3067500 0 0 CYPRESS BIOSCIENCES INC COM PAR $.02 232674507 4844 747500 SH DEFINED 02 747500 0 0 DEL MONTE FOODS CO COM 24522P103 940 50000 SH CALL DEFINED 02 50000 0 0 DEL MONTE FOODS CO COM 24522P103 4360 231917 SH DEFINED 02 231917 0 0 DIONEX CORP COM 254546104 201 1700 SH DEFINED 02 1700 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 8877 320700 SH DEFINED 02 320700 0 0 ENERGY XXI (BERMUDA) LTD USD UNRS SHS G10082140 830 30000 SH CALL DEFINED 02 30000 0 0 EOG RES INC COM 26875P101 201 2200 SH DEFINED 02 2200 0 0 EOG RES INC COM 26875P101 2742 30000 SH CALL DEFINED 02 30000 0 0 ESSEX RENT CORP COM 297187106 9257 1773653 SH DEFINED 02 1773653 0 0 EXTREME NETWORKS INC COM 30226D106 1415 457808 SH DEFINED 02 457808 0 0 EXTREME NETWORKS INC COM 30226D106 13681 4427549 SH DEFINED 03 4427549 0 0 FINANCIAL ENGINES INC COM 317485100 198 10000 SH DEFINED 02 10000 0 0 GENZYME CORP COM 372917104 7120 100000 SH PUT DEFINED 02 100000 0 0 GENZYME CORP COM 372917104 3076 43200 SH CALL DEFINED 02 43200 0 0 IMMERSION CORP COM 452521107 3688 549688 SH DEFINED 02 549688 0 0 IMMERSION CORP COM 452521107 11789 1756872 SH DEFINED 03 1756872 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 734 5000 SH DEFINED 02 5000 0 0 ISHARES GOLD TRUST ISHARES 464285105 445 31980 SH DEFINED 02 31980 0 0 ISHARES INC MSCI CDA INDEX 464286509 310 10000 SH DEFINED 02 10000 0 0 ISHARES SILVER TRUST ISHARES 46428Q109 1056 35000 SH DEFINED 02 35000 0 0 ISHARES TR HIGH YLD CORP 464288513 18853 208804 SH DEFINED 04 208804 0 0 ISHARES TR RUSSELL 2000 464287655 391 5000 SH PUT DEFINED 02 5000 0 0 J CREW GROUP INC COM 46612H402 4314 100000 SH CALL DEFINED 02 100000 0 0 JOHNSON & JOHNSON COM 478160104 225 3630 SH DEFINED 02 3630 0 0 KING PHARMACEUTICALS INC COM 495582108 578 41130 SH DEFINED 02 41130 0 0 KNOT INC COM 499184109 137 13890 SH DEFINED 02 13890 0 0 KNOT INC COM 499184109 1742 176328 SH DEFINED 03 176328 0 0 LABRANCHE & CO INC COM 505447102 5400 1499998 SH DEFINED 03 1499998 0 0 LABRANCHE & CO INC COM 505447102 1800 500002 SH DEFINED 02 500002 0 0 LASERCARD CORP COM 51807U101 576 92100 SH DEFINED 02 92100 0 0 LIGHTBRIDGE CORP COM 53224K104 697 130000 SH CALL DEFINED 02 130000 0 0 MAGELLAN MIDSTREAM PRTNRS LP COM UNIT RP LP 559080106 252 4460 SH DEFINED 02 4460 0 0 MCAFEE INC COM 579064106 855 18464 SH DEFINED 02 18464 0 0 MCAFEE INC COM 579064106 5714 123400 SH CALL DEFINED 02 123400 0 0 MCAFEE INC COM 579064106 2867 61900 SH PUT DEFINED 02 61900 0 0 MCMORAN EXPLORATION CO COM 582411104 557 32500 SH CALL DEFINED 02 32500 0 0 MCMORAN EXPLORATION CO NOTE 5.250%10/0 582411AE4 1552 1300000 PRN DEFINED 02 1300000 0 0 MEDIACOM COMMUNICATIONS CORP CL A 58446K105 2522 297756 SH DEFINED 02 297756 0 0 METALLINE MINING INC COM 591257100 47 37263 SH DEFINED 02 37263 0 0 MUELLER INDS INC COM 624756102 654 20000 SH DEFINED 02 20000 0 0 NGAS RESOURCES INC COM 62912T103 384 685000 SH SOLE 685000 0 0 NOVELL INC COM 670006105 1957 330560 SH DEFINED 02 330560 0 0 ONCOTHYREON INC COM 682324108 40 12300 SH PUT DEFINED 02 12300 0 0 OPENWAVE SYS INC COM NEW 683718308 928 437503 SH DEFINED 02 437503 0 0 OPENWAVE SYS INC COM NEW 683718308 2782 1312497 SH DEFINED 03 1312497 0 0 PETROHAWK ENERGY CORP COM 716495106 319 17500 SH DEFINED 02 17500 0 0 POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 2845 125288 SH DEFINED 04 125288 0 0 PRESIDENTIAL LIFE CORP COM 740884101 102 10250 SH DEFINED 02 10250 0 0 PROSHARES TR PSHS ULSHT 7-10Y 74347R313 804 19000 SH DEFINED 02 19000 0 0 PROSHARES TR PSHS ULTSH 20YRS 74347R297 319 8625 SH DEFINED 02 8625 0 0 RAND LOGISTICS INC COM 752182105 6895 1498262 SH DEFINED 02 1498262 0 0 SCIENTIFIC GAMES CORP CL A 80874P109 3078 309064 SH DEFINED 02 309064 0 0 SEACHANGE INTL INC COM 811699107 3305 386520 SH DEFINED 02 386520 0 0 SEACHANGE INTL INC COM 811699107 19262 2252822 SH DEFINED 03 2252822 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 8549 228533 SH DEFINED 04 228533 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1440 45710 SH DEFINED 04 45710 0 0 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 4277 62662 SH DEFINED 04 62662 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3266 204749 SH DEFINED 04 204749 0 0 SELECT SECTOR SPDR TR SBI INT-TECH 81369Y803 3343 132706 SH DEFINED 04 132706 0 0 SIGA TECHNOLOGIES INC COM 826917106 3671 262200 SH DEFINED 02 262200 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 2838 20460 SH DEFINED 02 20460 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7609 60500 SH PUT DEFINED 02 60500 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 5669 34427 SH DEFINED 04 34427 0 0 STERLING BANCORP COM 859158107 431 41157 SH DEFINED 02 41157 0 0 SURMODICS INC COM 868873100 6198 522193 SH DEFINED 02 522193 0 0 SURMODICS INC COM 868873100 18595 1566567 SH DEFINED 03 1566567 0 0 SWS GROUP INC COM 78503N107 568 112500 SH DEFINED 03 112500 0 0 SWS GROUP INC COM 78503N107 189 37500 SH DEFINED 02 37500 0 0 SYNIVERSE HLDGS INC COM 87163F106 8991 291450 SH DEFINED 02 291450 0 0 TENET HEALTHCARE CORP COM 88033G100 412 61600 SH DEFINED 02 61600 0 0 TERREMARK WORLDWIDE INC COM NEW 881448203 2611 201624 SH DEFINED 02 201624 0 0 TOLLGRADE COMMUNICATIONS INC COM 889542106 10484 1129758 SH DEFINED 02 1129758 0 0 TOLLGRADE COMMUNICATIONS INC COM 889542106 8957 965199 SH DEFINED 03 965199 0 0 VANGUARD INTL EQUITY INDEX F EMR MKT ETF 922042858 5727 118956 SH DEFINED 04 118956 0 0 VERIGY LTD SHS Y93691106 3907 300000 SH CALL DEFINED 02 300000 0 0 WAL MART STORES INC COM 931142103 373 6925 SH DEFINED 02 6925 0 0 WALTER INVT MGMT CORP COM 93317W102 202 11258 SH DEFINED 02 11258 0 0 WEBMD HEALTH CORP COM 94770V102 1355 26542 SH DEFINED 02 26542 0 0 ZORAN CORP COM 98975F101 5759 654400 SH CALL DEFINED 03 654400 0 0 ZORAN CORP COM 98975F101 7865 893750 SH DEFINED 02 893750 0 0 ZORAN CORP COM 98975F101 23595 2681250 SH DEFINED 03 2681250 0 0 ZORAN CORP COM 98975F101 1919 218100 SH CALL DEFINED 02 218100 0 0
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