0001085146-11-000708.txt : 20110516 0001085146-11-000708.hdr.sgml : 20110516 20110516165923 ACCESSION NUMBER: 0001085146-11-000708 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110516 DATE AS OF CHANGE: 20110516 EFFECTIVENESS DATE: 20110516 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CNH PARTNERS LLC CENTRAL INDEX KEY: 0001167456 IRS NUMBER: 134172062 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10114 FILM NUMBER: 11848121 BUSINESS ADDRESS: STREET 1: TWO GREENWICH PLAZA STREET 2: 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203-742-3600 MAIL ADDRESS: STREET 1: TWO GREENWICH PLAZA STREET 2: 3RD FLOOR CITY: GREENWICH STATE: CT ZIP: 06830 13F-HR 1 cnh1q2011.txt CNH PARTNERS 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, 2011 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: CNH Partners, LLC Address: Two Greenwich Plaza, 3rd Floor Greenwich, CT 06830 13F File Number: 028-10114 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: Clifford S. Asness Title: As Managing Member of AQR Capital Management, LLC Phone: 203-742-3600 Signature, Place, and Date of Signing: /s/ Clifford S. Asness Greenwich, CT May 13, 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: 0 Form 13F Information Table Entry Total: 406 Form 13F Information Table Value Total: $1,257,233 (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. NONE 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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AAR CORP NOTE 1.750% 2/0 000361AH8 339 300000 PRN SOLE 0 0 0 ABINGTON BANCORP INC COM 00350L109 2308 188738 SH SOLE 188738 0 0 ACTUANT CORP SDCV 2.000%11/1 00508XAB0 7757 5250000 PRN SOLE 0 0 0 ADVANCED BATTERY TECHNOLOG I COM 00752H102 248 127891 SH SOLE 127891 0 0 AFFORDABLE RESIDENTIAL CMNTY NOTE 7.500% 8/1 00828UAB9 1052 975000 PRN SOLE 0 0 0 AGCO CORP NOTE 1.250%12/1 001084AM4 5935 4000000 PRN SOLE 0 0 0 AIRTRAN HLDGS INC COM 00949P108 1414 189821 SH SOLE 189821 0 0 AIRTRAN HLDGS INC NOTE 5.500% 4/1 00949PAC2 2423 1172000 PRN SOLE 0 0 0 AIRTRAN HLDGS INC NOTE 5.250%11/0 00949PAD0 287 200000 PRN SOLE 0 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 8607 226500 SH SOLE 226500 0 0 ALBERTO CULVER CO NEW COM 013078100 3599 96555 SH SOLE 96555 0 0 ALCON INC COM SHS H01301102 4418 26691 SH SOLE 26691 0 0 ALEXION PHARMACEUTICALS INC NOTE 1.375% 2/0 015351AF6 18511 2950000 PRN SOLE 0 0 0 ALLEGHENY TECHNOLOGIES INC NOTE 4.250% 6/0 01741RAD4 13625 7725000 PRN SOLE 0 0 0 ALLIANCE DATA SYSTEMS CORP NOTE 1.750% 8/0 018581AD0 604 500000 PRN SOLE 0 0 0 ALLIANCE ONE INTL INC NOTE 5.500% 7/1 018772AQ6 14008 13000000 PRN SOLE 0 0 0 AMERICA SVC GROUP INC COM 02364L109 1650 64351 SH SOLE 64351 0 0 AMERICAN CAPITAL AGENCY CORP COM 02503X105 293 10066 SH SOLE 10066 0 0 AMERICAN EQTY INVT LIFE HLD NOTE 5.250%12/0 025676AE7 4905 4500000 PRN SOLE 0 0 0 AMERICAN MED SYS HLDGS INC NOTE 3.250% 7/0 02744MAA6 159 137000 PRN SOLE 0 0 0 AMERICAN MED SYS HLDGS INC NOTE 4.000% 9/1 02744MAB4 2499 1863000 PRN SOLE 0 0 0 AMKOR TECHNOLOGY INC NOTE 2.500% 5/1 031652AX8 2500 2500000 PRN SOLE 0 0 0 AMR CORP NOTE 6.250%10/1 001765BC9 6927 6550000 PRN SOLE 0 0 0 ANIMAL HEALTH INTL INC COM 03525N109 91 21726 SH SOLE 21726 0 0 ANIXTER INTL INC NOTE 1.000% 2/1 035290AJ4 378 300000 PRN SOLE 0 0 0 ANNALY CAP MGMT INC NOTE 4.000% 2/1 035710AA0 2303 1975000 PRN SOLE 0 0 0 AON CORP COM 037389103 962 18158 SH SOLE 18158 0 0 APACHE CORP COM 037411105 3614 27603 SH SOLE 27603 0 0 ARCELORMITTAL SA LUXEMBOURG NOTE 5.000% 5/1 03938LAK0 22487 15455000 PRN SOLE 0 0 0 ARRIS GROUP INC NOTE 2.000%11/1 04269QAC4 840 775000 PRN SOLE 0 0 0 ARVINMERITOR INC FRNT 4.625% 3/0 043353AF8 1693 1500000 PRN SOLE 0 0 0 ATHEROS COMMUNICATIONS INC COM 04743P108 3549 79496 SH SOLE 79496 0 0 AUSTRALIA ACQUISITION CORP SHS G06368107 1138 118000 SH SOLE 118000 0 0 AUTHENTIDATE HLDG CORP COM 052666104 72 120122 SH SOLE 120122 0 0 AUTOCHINA INTERNATIONAL LIMI SHS G06750106 346 10639 SH SOLE 10639 0 0 AVATAR HLDGS INC NOTE 4.500% 4/0 053494AF7 2509 2500000 PRN SOLE 0 0 0 AVATAR HLDGS INC NOTE 7.500% 2/1 053494AG5 1064 1000000 PRN SOLE 0 0 0 BABCOCK & WILCOX CO NEW COM 05615F102 763 22851 SH SOLE 22851 0 0 BALTIC TRADING LIMITED COM Y0553W103 164 18000 SH SOLE 18000 0 0 BANK OF AMERICA CORPORATION 7.25%CNV PFD L 060505682 2023 2000 SH SOLE 2000 0 0 BARNES GROUP INC NOTE 3.750% 8/0 067806AB5 5552 5450000 PRN SOLE 0 0 0 BEAZER HOMES USA INC NT SUB7.5%2013 07556Q402 1703 69700 SH SOLE 69700 0 0 BEAZER HOMES USA INC UNIT 99/99/9999 07556Q501 2919 140225 SH SOLE 140225 0 0 BECKMAN COULTER INC COM 075811109 597 7189 SH SOLE 7189 0 0 BECKMAN COULTER INC NOTE 2.500%12/1 075811AD1 3434 2880000 PRN SOLE 0 0 0 BHP BILLITON PLC SPONSORED ADR 05545E209 3359 42200 SH SOLE 42200 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 2580 102658 SH SOLE 102658 0 0 BIONOVO INC COM NEW 090643206 9 13154 SH SOLE 13154 0 0 BLACKROCK CORE BD TR SHS BEN INT 09249E101 433 35864 SH SOLE 35864 0 0 BLACKROCK CORPOR HI YLD FD V COM 09255N102 444 37342 SH SOLE 37342 0 0 BLACKROCK CORPOR HI YLD III COM 09255M104 438 61259 SH SOLE 61259 0 0 BLACKROCK CORPOR HIGH YLD FD COM 09255L106 93 12970 SH SOLE 12970 0 0 BLACKROCK CREDIT ALL IN TR I COM SHS 09249V103 440 41809 SH SOLE 41809 0 0 BLACKROCK CREDIT ALL INC TR COM 092508100 439 36245 SH SOLE 36245 0 0 BLACKROCK CREDIT ALL INC TR COM 09255H105 441 44847 SH SOLE 44847 0 0 BLACKROCK DEBT STRAT FD INC COM 09255R103 148 37118 SH SOLE 37118 0 0 BLACKROCK INCOME OPP TRUST I COM 092475102 432 46312 SH SOLE 46312 0 0 BOISE INC *W EXP 06/18/201 09746Y113 679 399122 SH SOLE 399122 0 0 BOSTON PRIVATE FINL HLDGS IN *W EXP 11/21/201 101119113 43 16107 SH SOLE 16107 0 0 BRISTOW GROUP INC NOTE 3.000% 6/1 110394AC7 5032 5001000 PRN SOLE 0 0 0 BUCYRUS INTL INC NEW COM 118759109 3192 34901 SH SOLE 34901 0 0 CALIX INC COM 13100M509 539 26551 SH SOLE 26551 0 0 CAPITALSOURCE INC SDCV 4.000% 7/1 14055XAE2 957 950000 PRN SOLE 0 0 0 CARACO PHARMACEUTICAL LABS L COM 14075T107 228 43844 SH SOLE 43844 0 0 CARRIZO OIL & CO INC NOTE 4.375% 6/0 144577AA1 168 168000 PRN SOLE 0 0 0 CAZADOR ACQUISITION CORPORAT SHS G19867103 1081 110323 SH SOLE 110323 0 0 CELGENE CORP COM 151020104 219 3798 SH SOLE 3798 0 0 CENTER FINL CORP CALIF COM 15146E102 1232 167797 SH SOLE 167797 0 0 CENTRAL EUROPEAN DIST CORP NOTE 3.000% 3/1 153435AA0 288 330000 PRN SOLE 0 0 0 CENTRAL GARDEN & PET CO COM 153527106 954 108329 SH SOLE 108329 0 0 CEPHALON INC COM 156708109 553 7300 SH SOLE 7300 0 0 CEPHALON INC NOTE 2.000% 6/0 156708AP4 10974 6586000 PRN SOLE 0 0 0 CEREPLAST INC COM NEW 156732307 166 31078 SH SOLE 31078 0 0 CHARLES RIVER ASSOCIATES DBCV 2.875% 6/1 159852AB8 7101 6500000 PRN SOLE 0 0 0 CHINA CENTY DRAGON MEDIA INC COM NEW 16936D205 118 24506 SH SOLE 24506 0 0 CHINA GENGSHENG MINERALS INC COM 16942P101 257 84178 SH SOLE 84178 0 0 CHINA HYDROELECTRIC CORP SPONSORED ADR 16949D101 120 16500 SH SOLE 16500 0 0 CHINA INTEGRATED ENERGY INC COM 16948P105 153 60188 SH SOLE 60188 0 0 CHINA MED TECHNOLOGIES INC NOTE 4.000% 8/1 169483AC8 4835 5365000 PRN SOLE 0 0 0 CHINA MED TECHNOLOGIES INC NOTE 6.250%12/1 169483AE4 4962 4600000 PRN SOLE 0 0 0 CHIQUITA BRANDS INTL INC NOTE 4.250% 8/1 170032AT3 314 300000 PRN SOLE 0 0 0 CLINICAL DATA INC NEW COM 18725U109 2618 86388 SH SOLE 86388 0 0 COINSTAR INC NOTE 4.000% 9/0 19259PAF9 12522 9025000 PRN SOLE 0 0 0 COMCAST CORP NEW CL A SPL 20030N200 5580 240289 SH SOLE 240289 0 0 COMERICA INC *W EXP 11/14/201 200340115 1032 81430 SH SOLE 81430 0 0 COMPUCREDIT HLDGS CORP NOTE 3.625% 5/3 20478NAB6 1820 2000000 PRN SOLE 0 0 0 COMPUCREDIT HLDGS CORP COM 20478T107 203 30897 SH SOLE 30897 0 0 COMTECH TELECOMMUNICATIONS C NOTE 3.000% 5/0 205826AF7 1874 1800000 PRN SOLE 0 0 0 CONEXANT SYSTEMS INC COM NEW 207142308 1540 647255 SH SOLE 647255 0 0 CONVERGYS CORP SDCV 5.750% 9/1 212485AE6 7046 4725000 PRN SOLE 0 0 0 CONVERTED ORGANICS INC *W EXP 12/31/201 21254S131 8 100000 SH SOLE 100000 0 0 CORE LABORATORIES N V COM N22717107 3979 38948 SH SOLE 38948 0 0 CORELOGIC INC COM 21871D103 310 16772 SH SOLE 16772 0 0 CORMEDIX INC COM 21900C100 135 75400 SH SOLE 75400 0 0 CORMEDIX INC *W EXP 03/24/201 21900C118 20 37700 SH SOLE 37700 0 0 CPEX PHARMACEUTICALS INC COM 12620N104 2063 75709 SH SOLE 75709 0 0 CSG SYS INTL INC NOTE 2.500% 6/1 126349AB5 5069 5000000 PRN SOLE 0 0 0 D R HORTON INC NOTE 2.000% 5/1 23331ABB4 17290 15100000 PRN SOLE 0 0 0 DANVERS BANCORP INC COM 236442109 3522 164436 SH SOLE 164436 0 0 DELTA PETE CORP NOTE 3.750% 5/0 247907AD0 433 500000 PRN SOLE 0 0 0 DENDREON CORP NOTE 4.750% 6/1 24823QAB3 377 100000 PRN SOLE 0 0 0 DENDREON CORP NOTE 2.875% 1/1 24823QAC1 5076 4800000 PRN SOLE 0 0 0 DEVELOPERS DIVERSIFIED RLTY NOTE 1.750%11/1 251591AX1 1796 1675000 PRN SOLE 0 0 0 DEXCOM INC COM 252131107 298 19184 SH SOLE 19184 0 0 DIODES INC NOTE 2.250%10/0 254543AA9 1045 1000000 PRN SOLE 0 0 0 DIONEX CORP COM 254546104 3324 28157 SH SOLE 28157 0 0 DISCOVERY COMMUNICATNS NEW COM SER C 25470F302 4736 134507 SH SOLE 134507 0 0 DISCOVERY LABORATORIES INC N COM NEW 254668403 85 46190 SH SOLE 46190 0 0 DOLLAR FINL CORP NOTE 2.875% 6/3 256664AB9 1664 1575000 PRN SOLE 0 0 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 5919 88706 SH SOLE 88706 0 0 DST SYS INC DEL DBCV 8/1 233326AE7 11289 9282000 PRN SOLE 0 0 0 DUFF & PHELPS UTIL CORP BD T COM 26432K108 248 22570 SH SOLE 22570 0 0 DYNAVOX INC CL A 26817F104 86 15600 SH SOLE 15600 0 0 EARTHLINK INC FRNT 3.250%11/1 270321AA0 2765 2575000 PRN SOLE 0 0 0 EASTMAN KODAK CO NOTE 7.000% 4/0 277461BJ7 4705 5250000 PRN SOLE 0 0 0 EMERGENCY MEDICAL SVCS CORP CL A 29100P102 3094 48663 SH SOLE 48663 0 0 EMERGENT GROUP INC NEV COM NEW 29089V203 173 20431 SH SOLE 20431 0 0 EMMIS COMMUNICATIONS CORP CL A 291525103 571 559576 SH SOLE 559576 0 0 ENDO PHARMACEUTICALS HLDGS I NOTE 1.750% 4/1 29264FAB2 2825 2000000 PRN SOLE 0 0 0 ENERGY CONVERSION DEVICES IN NOTE 3.000% 6/1 292659AA7 157 250000 PRN SOLE 0 0 0 ENERSYS NOTE 3.375% 6/0 29275YAA0 3746 3000000 PRN SOLE 0 0 0 ENPRO INDS INC DBCV 3.938%10/1 29355XAB3 16503 13072000 PRN SOLE 0 0 0 ENZON PHARMACEUTICALS INC NOTE 4.000% 6/0 293904AE8 2683 2125000 PRN SOLE 0 0 0 EQUINIX INC NOTE 4.750% 6/1 29444UAH9 2563 1900000 PRN SOLE 0 0 0 EVERGREEN SOLAR INC NOTE 4.000% 7/1 30033RAC2 1456 5000000 PRN SOLE 0 0 0 EXCO RESOURCES INC COM 269279402 1574 76200 SH SOLE 76200 0 0 EXIDE TECHNOLOGIES FRNT 9/1 302051AL1 5713 6150000 PRN SOLE 0 0 0 EXTERRAN HLDGS INC NOTE 4.250% 6/1 30225XAA1 2478 2000000 PRN SOLE 0 0 0 FELCOR LODGING TR INC COM 31430F101 116 18931 SH SOLE 18931 0 0 FIFTH THIRD BANCORP CNV PFD DEP1/250 316773209 1308 8860 SH SOLE 8860 0 0 FINISAR CORP COM NEW 31787A507 4319 175554 SH SOLE 175554 0 0 FINISAR CORP NOTE 5.000%10/1 31787AAK7 1986 800000 PRN SOLE 0 0 0 FIRST AMERN FINL CORP COM 31847R102 276 16745 SH SOLE 16745 0 0 FIRSTENERGY CORP COM 337932107 1786 48145 SH SOLE 48145 0 0 FIRSTSERVICE CORP SDCV 6.500%12/3 33761NAA7 1479 1000000 PRN SOLE 0 0 0 FORD MTR CO DEL COM PAR $0.01 345370860 25787 1729499 SH SOLE 1729499 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 3172 57104 SH SOLE 57104 0 0 FTI CONSULTING INC NOTE 3.750% 7/1 302941AB5 1261 975000 PRN SOLE 0 0 0 FUSHI COPPERWELD INC COM 36113E107 1052 131225 SH SOLE 131225 0 0 GASCO ENERGY INC COM 367220100 171 363788 SH SOLE 363788 0 0 GENCO SHIPPING & TRADING LTD NOTE 5.000% 8/1 36869MAA3 1699 1800000 PRN SOLE 0 0 0 GENCORP INC SDCV 4.062%12/3 368682AN0 4556 4550000 PRN SOLE 0 0 0 GENERAL CABLE CORP DEL NEW NOTE 0.875%11/1 369300AD0 1648 1500000 PRN SOLE 0 0 0 GENERAL MARITIME CORP NEW SHS Y2693R101 314 153000 SH SOLE 153000 0 0 GENON ENERGY INC COM 37244E107 130 34179 SH SOLE 34179 0 0 GENZYME CORP COM 372917104 3593 47183 SH SOLE 47183 0 0 GLOBAL DEFENSE TECH SYS INC COM 37950B107 776 32019 SH SOLE 32019 0 0 GMX RES INC NOTE 4.500% 5/0 38011MAJ7 4119 5000000 PRN SOLE 0 0 0 GOLD RESV INC NOTE 5.500% 6/1 38068NAB4 352 500000 PRN SOLE 0 0 0 GOLDCORP INC NEW NOTE 2.000% 8/0 380956AB8 640 500000 PRN SOLE 0 0 0 GOODRICH PETE CORP NOTE 3.250%12/0 382410AB4 51 50000 PRN SOLE 0 0 0 GOODRICH PETE CORP NOTE 5.000%10/0 382410AC2 5330 5225000 PRN SOLE 0 0 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 267 4130 SH SOLE 4130 0 0 GREENBRIER COS INC NOTE 2.375% 5/1 393657AD3 294 300000 PRN SOLE 0 0 0 GSI COMMERCE INC COM 36238G102 1040 35541 SH SOLE 35541 0 0 GSI COMMERCE INC NOTE 2.500% 6/0 36238GAD4 961 850000 PRN SOLE 0 0 0 HANOVER COMPRESSOR CO NOTE 4.750% 1/1 410768AE5 6812 6770000 PRN SOLE 0 0 0 HARBIN ELECTRIC INC COM 41145W109 2384 115213 SH SOLE 115213 0 0 HARVEST NATURAL RESOURCES IN NOTE 8.250% 3/0 41754VAA1 9674 3486000 PRN SOLE 0 0 0 HATTERAS FINL CORP COM 41902R103 759 27000 SH SOLE 27000 0 0 HCP INC COM 40414L109 300 7919 SH SOLE 7919 0 0 HECKMANN CORP *W EXP 11/09/201 422680116 100 105000 SH SOLE 105000 0 0 HEICO CORP NEW CL A 422806208 1470 32689 SH SOLE 32689 0 0 HELIX ENERGY SOLUTIONS GRP I COM 42330P107 258 15000 SH SOLE 15000 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 359 22956 SH SOLE 22956 0 0 HERTZ GLOBAL HOLDINGS INC NOTE 5.250% 6/0 42805TAA3 30300 15000000 PRN SOLE 0 0 0 HESS CORP COM 42809H107 602 7066 SH SOLE 7066 0 0 HOLOGIC INC FRNT 2.000%12/1 436440AA9 970 1000000 PRN SOLE 0 0 0 HOVNANIAN ENTERPRISES INC UNIT 99/99/9999 44248W208 424 20000 SH SOLE 20000 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250%10/1 444903AK4 5510 3100000 PRN SOLE 0 0 0 HUMAN GENOME SCIENCES INC NOTE 2.250% 8/1 444903AM0 488 300000 PRN SOLE 0 0 0 HUNTINGTON BANCSHARES INC PFD CONV SER A 446150401 924 800 SH SOLE 800 0 0 HUTCHINSON TECHNOLOGY INC NOTE 3.250% 1/1 448407AF3 115 146000 PRN SOLE 0 0 0 HUTCHINSON TECHNOLOGY INC NOTE 8.500% 1/1 448407AG1 46 52000 PRN SOLE 0 0 0 HYPERCOM CORP COM 44913M105 4627 384623 SH SOLE 384623 0 0 ICONIX BRAND GROUP INC NOTE 1.875% 6/3 451055AB3 254 250000 PRN SOLE 0 0 0 IFM INVTS LTD ADS 45172L100 53 15000 SH SOLE 15000 0 0 INCYTE CORP NOTE 4.750%10/0 45337CAJ1 4617 2300000 PRN SOLE 0 0 0 INLAND REAL ESTATE CORP NOTE 5.000%11/1 457461AC5 210 198000 PRN SOLE 0 0 0 INSULET CORP NOTE 5.375% 6/1 45784PAA9 2418 2000000 PRN SOLE 0 0 0 INTEL CORP COM 458140100 510 25300 SH SOLE 25300 0 0 INTELLIPHARMACEUTICS INTL IN COM 458173101 207 68750 SH SOLE 68750 0 0 INTERNATIONAL COAL GRP INC N NOTE 4.000% 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117993 SH SOLE 117993 0 0 KIPS BAY MED INC COM 49726K105 99 16041 SH SOLE 16041 0 0 KKR FINANCIAL HLDGS LLC NOTE 7.000% 7/1 48248AAB4 210 200000 PRN SOLE 0 0 0 KRATOS DEFENSE & SEC SOLUTIO COM NEW 50077B207 270 18968 SH SOLE 18968 0 0 L-1 IDENTITY SOLUTIONS INC COM 50212A106 2135 181215 SH SOLE 181215 0 0 L-1 IDENTITY SOLUTIONS INC NOTE 3.750% 5/1 50212AAB2 1520 1514000 PRN SOLE 0 0 0 LABRANCHE & CO INC COM 505447102 279 70874 SH SOLE 70874 0 0 LADISH INC COM NEW 505754200 4400 80508 SH SOLE 80508 0 0 LDK SOLAR CO LTD NOTE 4.750% 4/1 50183LAB3 274 275000 PRN SOLE 0 0 0 LDK SOLAR CO LTD NOTE 4.750% 4/1 50183LAD9 973 975000 PRN SOLE 0 0 0 LENNAR CORP CL B 526057302 1083 73850 SH SOLE 73850 0 0 LEUCADIA NATL CORP NOTE 3.750% 4/1 527288AX2 15176 8785000 PRN SOLE 0 0 0 LEVEL 3 COMMUNICATIONS INC NOTE 3.500% 6/1 52729NBK5 149 150000 PRN SOLE 0 0 0 LEVEL 3 COMMUNICATIONS INC NOTE 7.000% 3/1 52729NBP4 4792 4100000 PRN SOLE 0 0 0 LEVEL 3 COMMUNICATIONS INC NOTE 6.500%10/0 52729NBR0 4149 2825000 PRN SOLE 0 0 0 LIBERTY GLOBAL INC COM SER C 530555309 3229 80738 SH SOLE 80738 0 0 LINCOLN NATL CORP IND *W EXP 07/10/201 534187117 3344 154590 SH SOLE 154590 0 0 LOEWS CORP COM 540424108 827 19200 SH SOLE 19200 0 0 LONGWEI PETROLEUM INV HLDG L COM 543354104 107 58866 SH SOLE 58866 0 0 LTX-CREDENCE CORP COM NEW 502403207 1281 140269 SH SOLE 140269 0 0 LUBRIZOL CORP COM 549271104 3483 25999 SH SOLE 25999 0 0 LUCENT TECHNOLOGIES INC DBCV 2.875% 6/1 549463AH0 2431 2500000 PRN SOLE 0 0 0 M & T BK CORP COM 55261F104 2885 32607 SH SOLE 32607 0 0 MAGIC SOFTWARE ENTERPRISES L ORD 559166103 326 43238 SH SOLE 43238 0 0 MANNKIND CORP COM 56400P201 291 79842 SH SOLE 79842 0 0 MANNKIND CORP NOTE 3.750%12/1 56400PAA0 1018 2000000 PRN SOLE 0 0 0 MARSHALL & ILSLEY CORP NEW COM 571837103 5336 667842 SH SOLE 667842 0 0 MASSEY ENERGY COMPANY COM 576206106 4602 67325 SH SOLE 67325 0 0 MASTEC INC NOTE 4.000% 6/1 576323AL3 7197 4790000 PRN SOLE 0 0 0 MCDERMOTT INTL INC COM 580037109 992 39064 SH SOLE 39064 0 0 MENTOR GRAPHICS CORP COM 587200106 740 50610 SH SOLE 50610 0 0 MENTOR GRAPHICS CORP SDCV 6.250% 3/0 587200AF3 1321 1275000 PRN SOLE 0 0 0 METALS USA HLDGS CORP COM 59132A104 468 28600 SH SOLE 28600 0 0 MF GLOBAL LTD NOTE 9.000% 6/2 55276YAB2 6323 5275000 PRN SOLE 0 0 0 MGIC INVT CORP WIS NOTE 5.000% 5/0 552848AD5 12868 11725000 PRN SOLE 0 0 0 MICROCHIP TECHNOLOGY INC SDCV 2.125%12/1 595017AB0 1369 1000000 PRN SOLE 0 0 0 MICRON TECHNOLOGY INC COM 595112103 1003 87514 SH SOLE 87514 0 0 MINDSPEED TECHNOLOGIES INC COM NEW 602682205 756 89394 SH SOLE 89394 0 0 MOLEX INC CL A 608554200 4439 214531 SH SOLE 214531 0 0 MOLINA HEALTHCARE INC NOTE 3.750%10/0 60855RAA8 5307 4625000 PRN SOLE 0 0 0 MOLSON COORS BREWING CO CL B 60871R209 424 9048 SH SOLE 9048 0 0 MORGAN STANLEY INCOME SEC INC 61745P874 434 26663 SH SOLE 26663 0 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 474 19412 SH SOLE 19412 0 0 MOTOROLA SOLUTIONS INC COM NEW 620076307 998 22339 SH SOLE 22339 0 0 MYLAN INC COM 628530107 11787 519936 SH SOLE 519936 0 0 NASDAQ OMX GROUP INC COM 631103108 287 11100 SH SOLE 11100 0 0 NASH FINCH CO FRNT 3.500% 3/1 631158AD4 13304 26675000 PRN SOLE 0 0 0 NATIONWIDE HEALTH PPTYS INC COM 638620104 2491 58570 SH SOLE 58570 0 0 NAVISITE INC COM NEW 63935M208 548 99759 SH SOLE 99759 0 0 NAVISTAR INTL CORP NEW NOTE 3.000%10/1 63934EAL2 3522 2325000 PRN SOLE 0 0 0 NEKTAR THERAPEUTICS NOTE 3.250% 9/2 640268AH1 1013 1000000 PRN SOLE 0 0 0 NETAPP INC NOTE 1.750% 6/0 64110DAB0 5569 3500000 PRN SOLE 0 0 0 NEWALLIANCE BANCSHARES INC COM 650203102 5069 341567 SH SOLE 341567 0 0 NEWCASTLE INVT CORP COM 65105M108 154 25500 SH SOLE 25500 0 0 NEWELL RUBBERMAID INC COM 651229106 21117 1103849 SH SOLE 1103849 0 0 NGAS RESOURCES INC COM 62912T103 133 192588 SH SOLE 192588 0 0 NICOR INC COM 654086107 3419 63667 SH SOLE 63667 0 0 NII HLDGS INC NOTE 3.125% 6/1 62913FAJ1 510 505000 PRN SOLE 0 0 0 NORTHGATE MINERALS CORP NOTE 3.500%10/0 666416AB8 1838 1850000 PRN SOLE 0 0 0 NOVAMED INC DEL NOTE 1.000% 6/1 66986WAA6 4922 4953000 PRN SOLE 0 0 0 NOVELL INC COM 670006105 2861 482480 SH SOLE 482480 0 0 NUVEEN QUALITY PFD INC FD 3 COM 67072W101 446 55650 SH SOLE 55650 0 0 NUVEEN QUALITY PFD INCOME FD COM 67071S101 453 58647 SH SOLE 58647 0 0 NUVEEN QUALITY PFD INCOME FD COM 67072C105 459 55440 SH SOLE 55440 0 0 O REILLY AUTOMOTIVE INC NEW COM 67103H107 754 13129 SH SOLE 13129 0 0 OCWEN FINL CORP NOTE 3.250% 8/0 675746AD3 549 550000 PRN SOLE 0 0 0 OLD REP INTL CORP COM 680223104 1213 95568 SH SOLE 95568 0 0 OLD REP INTL CORP NOTE 8.000% 5/1 680223AF1 603 500000 PRN SOLE 0 0 0 OMEGA NAVIGATION ENTERPRISES CLASS A Y6476R105 149 148935 SH SOLE 148935 0 0 OMNICARE INC NOTE 3.750%12/1 681904AN8 518 400000 PRN SOLE 0 0 0 OMNICOM GROUP INC NOTE 7/0 682134AA9 564 500000 PRN SOLE 0 0 0 ON SEMICONDUCTOR CORP NOTE 1.875%12/1 682189AD7 8479 5700000 PRN SOLE 0 0 0 ON SEMICONDUCTOR CORP NOTE 2.625%12/1 682189AG0 355 300000 PRN SOLE 0 0 0 ON TRACK INNOVATION LTD SHS M8791A109 130 60960 SH SOLE 60960 0 0 ONYX 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90453 SH SOLE 90453 0 0 PROGRESS ENERGY INC COM 743263105 2798 60636 SH SOLE 60636 0 0 PROLOGIS SH BEN INT 743410102 507 31740 SH SOLE 31740 0 0 QEP RES INC COM 74733V100 880 21699 SH SOLE 21699 0 0 QUESTAR CORP COM 748356102 380 21799 SH SOLE 21799 0 0 QUICKSILVER RESOURCES INC DBCV 1.875%11/0 74837RAB0 7508 7000000 PRN SOLE 0 0 0 QWEST COMMUNICATIONS INTL IN COM 749121109 7523 1101412 SH SOLE 1101412 0 0 RADIAN GROUP INC NOTE 3.000%11/1 750236AK7 3431 3750000 PRN SOLE 0 0 0 RAE SYS INC COM 75061P102 433 244405 SH SOLE 244405 0 0 RAMBUS INC DEL NOTE 5.000% 6/1 750917AC0 20327 15865000 PRN SOLE 0 0 0 REGIONS FINANCIAL CORP NEW COM 7591EP100 2974 409659 SH SOLE 409659 0 0 REGIS CORP MINN NOTE 5.000% 7/1 758932AA5 10078 7500000 PRN SOLE 0 0 0 REHABCARE GROUP INC COM 759148109 3818 103565 SH SOLE 103565 0 0 REPROS THERAPEUTICS INC *W EXP 02/04/201 76028H126 32 15244 SH SOLE 15244 0 0 RETAIL VENTURES INC COM 76128Y102 1486 86152 SH SOLE 86152 0 0 RF MICRODEVICES INC NOTE 0.750% 4/1 749941AG5 318 300000 PRN SOLE 0 0 0 RF MICRODEVICES INC NOTE 1.000% 4/1 749941AJ9 324 300000 PRN SOLE 0 0 0 RITE AID CORP NOTE 8.500% 5/1 767754BU7 900 885000 PRN SOLE 0 0 0 ROBBINS & MYERS INC COM 770196103 1515 32942 SH SOLE 32942 0 0 ROSETTA GENOMICS LTD SHS M82183100 95 179119 SH SOLE 179119 0 0 ROVI CORP COM 779376102 869 16191 SH SOLE 16191 0 0 ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 533 7313 SH SOLE 7313 0 0 ROYCE FOCUS TR COM 78080N108 567 67866 SH SOLE 67866 0 0 RTI INTL METALS INC NOTE 3.000%12/0 74973WAA5 2971 2550000 PRN SOLE 0 0 0 RURAL / METRO CORP COM 781748108 507 29746 SH SOLE 29746 0 0 RXI PHARMACEUTICALS CORP COM 74978T109 62 44616 SH SOLE 44616 0 0 SAKS INC COM 79377W108 359 31719 SH SOLE 31719 0 0 SANDISK CORP NOTE 1.000% 5/1 80004CAC5 986 1000000 PRN SOLE 0 0 0 SCORPIO TANKERS INC SHS Y7542C106 279 27000 SH SOLE 27000 0 0 SEADRILL LIMITED SHS G7945E105 1879 52105 SH SOLE 52105 0 0 SIGNATURE BK NEW YORK N Y *W EXP 12/12/201 82669G112 847 25320 SH SOLE 25320 0 0 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STERLING BANCSHARES INC COM 858907108 3565 414009 SH SOLE 414009 0 0 STERLITE INDS INDIA LTD NOTE 4.000%10/3 859737AB4 8749 8525000 PRN SOLE 0 0 0 STEWART ENTERPRISES INC NOTE 3.125% 7/1 860370AH8 3776 3675000 PRN SOLE 0 0 0 STEWART ENTERPRISES INC NOTE 3.375% 7/1 860370AK1 3970 3950000 PRN SOLE 0 0 0 STILLWATER MNG CO NOTE 1.875% 3/1 86074QAF9 1204 1000000 PRN SOLE 0 0 0 SUNPOWER CORP DBCV 1.250% 2/1 867652AA7 491 500000 PRN SOLE 0 0 0 SUNPOWER CORP DBCV 4.750% 4/1 867652AC3 2033 1950000 PRN SOLE 0 0 0 SUNTRUST BKS INC COM 867914103 271 9382 SH SOLE 9382 0 0 SVB FINL GROUP NOTE 3.875% 4/1 78486QAB7 410 400000 PRN SOLE 0 0 0 SWS GROUP INC COM 78503N107 186 30569 SH SOLE 30569 0 0 SYNNEX CORP NOTE 4.000% 5/1 87162WAB6 9784 7570000 PRN SOLE 0 0 0 TAKE-TWO INTERACTIVE SOFTWAR NOTE 4.375% 6/0 874054AA7 20002 12550000 PRN SOLE 0 0 0 TALBOTS INC *W EXP 04/09/201 874161110 21 34922 SH SOLE 34922 0 0 TANGER PPTYS LTD PARTNERSHIP NOTE 3.750% 8/1 875484AE7 1461 1000000 PRN SOLE 0 0 0 TELEPHONE & 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INC COM 891777104 306 12733 SH SOLE 12733 0 0 TREX CO INC NOTE 6.000% 7/0 89531PAA3 7020 4475000 PRN SOLE 0 0 0 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 1095 1000000 PRN SOLE 0 0 0 TRUNKBOW INTL HLDGS LTD COM 89818A102 107 26284 SH SOLE 26284 0 0 TTM TECHNOLOGIES INC NOTE 3.250% 5/1 87305RAC3 2066 1500000 PRN SOLE 0 0 0 TYSON FOODS INC NOTE 3.250%10/1 902494AP8 2877 2200000 PRN SOLE 0 0 0 UNISYS CORP PFD SER A 6.25% 909214405 2160 24000 SH SOLE 24000 0 0 UNITED CONTL HLDGS INC COM 910047109 503 21862 SH SOLE 21862 0 0 UNITED RENTALS INC NOTE 4.000%11/1 911363AL3 6280 2025000 PRN SOLE 0 0 0 UNITED STATES STL CORP NEW NOTE 4.000% 5/1 912909AE8 22722 12425000 PRN SOLE 0 0 0 UNITED THERAPEUTICS CORP DEL NOTE 0.500%10/1 91307CAD4 12548 7000000 PRN SOLE 0 0 0 VCG HLDG CORP COM 91821K101 47 21338 SH SOLE 21338 0 0 VECTOR GROUP LTD DBCV 6/1 92240MAL2 2764 2350000 PRN SOLE 0 0 0 VECTOR GROUP LTD FRNT 11/1 92240MAS7 13403 10280000 PRN SOLE 0 0 0 VELTI PLC ST HELIER SHS G93285107 165 13125 SH 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416 6651 SH SOLE 6651 0 0 WESCO INTL INC DBCV 6.000% 9/1 95082PAH8 8059 3386000 PRN SOLE 0 0 0 WEST PHARMACEUTICAL SVSC INC SDCV 4.000% 3/1 955306AA3 5356 5500000 PRN SOLE 0 0 0 WESTERN ASSET GLOBAL CP DEFI COM 95790C107 441 24105 SH SOLE 24105 0 0 WESTERN ASSET INCOME FD COM 95766T100 439 33631 SH SOLE 33631 0 0 WESTERN ASSET INVT GRADE DEF COM 95790A101 442 22265 SH SOLE 22265 0 0 WESTERN REFNG INC NOTE 5.750% 6/1 959319AC8 11036 6275000 PRN SOLE 0 0 0 WHITING PETE CORP NEW COM 966387102 13055 177746 SH SOLE 177746 0 0 WHITING PETE CORP NEW PERP PFD CONV 966387201 491 1417 SH SOLE 1417 0 0 WHITNEY HLDG CORP COM 966612103 2324 170634 SH SOLE 170634 0 0 WILBER CORP COM 967797101 371 39066 SH SOLE 39066 0 0 WILMINGTON TRUST CORP COM 971807102 851 188212 SH SOLE 188212 0 0 WINTRUST FINANCIAL CORP *W EXP 12/18/201 97650W157 1280 67375 SH SOLE 67375 0 0 WORLD ACCEP CORPORATION NOTE 3.000%10/0 981417AB4 2788 2500000 PRN SOLE 0 0 0 XETA TECHNOLOGIES INC COM 983909102 551 100719 SH SOLE 100719 0 0 XILINX INC SDCV 3.125% 3/1 983919AD3 818 700000 PRN SOLE 0 0 0 YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 321 7200 SH SOLE 7200 0 0 ZHONGPIN INC COM 98952K107 451 29724 SH SOLE 29724 0 0