0001304096-11-000080.txt : 20110819 0001304096-11-000080.hdr.sgml : 20110819 20110819152121 ACCESSION NUMBER: 0001304096-11-000080 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110630 FILED AS OF DATE: 20110819 DATE AS OF CHANGE: 20110819 EFFECTIVENESS DATE: 20110819 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Lombard Odier Asset Management (USA) Corp CENTRAL INDEX KEY: 0001491719 IRS NUMBER: 061603711 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13939 FILM NUMBER: 111047258 BUSINESS ADDRESS: STREET 1: 888 7TH AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 BUSINESS PHONE: 212 295 6200 MAIL ADDRESS: STREET 1: 888 7TH AVENUE, 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10106 13F-HR/A 1 loam13faq2hr.txt ............................ . OMB APPROVAL . ............................ .OMB Number: 3235-0006 . .Expires: August 31, 2012. .Estimated average burden . .hours per response 23.5 . ............................ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: June 30, 2011 Check here if Amendment [x]; Amendment Number: 1 This Amendment (Check only one.): [x] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Lombard Odier Asset Management (USA) Corp Address: 888 7th Avenue 11th Floor New York, New York 10106 Form 13F File Number: 28-13939 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: Simon Raykher Title: Authorized Signatory Phone: (212) 295-6183 Signature, Place, and Date of Signing: /s/ Simon Raykher --------------------------- New York, New York August 19, 2011 Simon Raykher Report Type (Check only one.): [ ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [X] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 28-13013 1798 Global Partners (Cayman Islands) Ltd FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 139 Form 13F Information Table Value Total: $1,048,538 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment 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/ INVEST OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCR MANAGERS SOLE SHARED NONE ---------------------------- -------------- --------- -------- ------- --- ---- ------ --------- ---------- --------- ----- ABERCROMBIE & FITCH CO CL A 002896207 201 3,000 SH DEFINED 0 3,000 ALKERMES INC COM 01642T108 391 21,000 SH DEFINED 0 21,000 ALLERGAN INC COM 018490102 316 3,800 SH DEFINED 0 3,800 ALLSCRIPTS HEALTHCARE SOLUTN COM 01988P108 222 11,400 SH DEFINED 0 11,400 ALPHA NATURAL RESOURCES INC COM 02076X102 1,927 65,000 SH Call DEFINED 0 65,000 AMAZON COM INC COM 023135106 286 1,400 SH DEFINED 0 1,400 AMERICAN TOWER CORP CL A 029912201 225 4,300 SH DEFINED 0 4,300 ANADARKO PETE CORP COM 032511107 11,385 170,000 SH Call DEFINED 0 170,000 ANADARKO PETE CORP COM 032511107 25,926 337,760 SH DEFINED 0 337,760 APACHE CORP COM 037411105 5,054 50,000 SH Call DEFINED 0 50,000 APACHE CORP COM 037411105 34,231 277,421 SH DEFINED 0 277,421 APPROACH RESOURCES INC COM 03834A103 1,039 45,813 SH DEFINED 0 45,813 ATP OIL & GAS CORP COM 00208J108 1,135 74,103 SH DEFINED 0 74,103 ATWOOD OCEANICS INC COM 050095108 2,427 55,000 SH DEFINED 0 55,000 BAIDU INC SPON ADR REP A 056752108 350 2,500 SH DEFINED 0 2,500 BAXTER INTL INC COM 071813109 347 5,800 SH DEFINED 0 5,800 BELO CORP COM SER A 080555105 22,382 2,972,400 SH DEFINED 0 2,972,40 BERRY PETE CO CL A 085789105 1,109 20,877 SH DEFINED 0 20,877 BIO RAD LABS INC CL A 090572207 275 2,300 SH DEFINED 0 2,300 BON-TON STORES INC COM 09776J101 800 82,324 SH DEFINED 0 82,324 BP PLC SPONSORED ADR 055622104 976 25,000 SH Call DEFINED 0 25,000 BP PLC SPONSORED ADR 055622104 9,948 224,600 SH DEFINED 0 224,600 BPZ RESOURCES INC COM 055639108 869 265,000 SH DEFINED 0 265,000 BRIGHAM EXPLORATION CO COM 109178103 2,946 110,000 SH Call DEFINED 0 110,000 BRIGHAM EXPLORATION CO COM 109178103 5,782 193,200 SH DEFINED 0 193,200 CABOT OIL & GAS CORP COM 127097103 1,679 25,000 SH Call DEFINED 0 25,000 CALLON PETE CO DEL COM 13123X102 351 50,000 SH DEFINED 0 50,000 CAMERON INTERNATIONAL CORP COM 13342B105 6,140 122,100 SH DEFINED 0 122,100 CARRIZO OIL & CO INC COM 144577103 1,246 29,841 SH DEFINED 0 29,841 CHESAPEAKE ENERGY CORP COM 165167107 3,681 125,000 SH Call DEFINED 0 125,000 CHESAPEAKE ENERGY CORP COM 165167107 5,661 190,680 SH DEFINED 0 190,680 CIGNA CORP COM 125509109 299 5,800 SH DEFINED 0 5,800 CIMAREX ENERGY CO COM 171798101 6,070 67,500 SH DEFINED 0 67,500 CNOOC LTD SPONSORED ADR 126132109 1,865 10,000 SH Put DEFINED 0 10,000 COACH INC COM 189754104 269 4,200 SH DEFINED 0 4,200 COBALT INTL ENERGY INC COM 19075F106 269 30,000 SH Call DEFINED 0 30,000 COMSTOCK RES INC COM NEW 205768203 749 30,000 SH Put DEFINED 0 30,000 CONSOL ENERGY INC COM 20854P109 3,918 100,000 SH Call DEFINED 0 100,000 CONTANGO OIL & GAS COMPANY COM NEW 21075N204 2,156 36,900 SH DEFINED 0 36,900 COVIDIEN PLC SHS G2554F113 298 5,600 SH DEFINED 0 5,600 CURRENCYSHARES EURO TR EURO SHS 23130C108 2,830 20,000 SH Put DEFINED 0 20,000 CVR ENERGY INC COM 12662P108 24,657 1,001,500 SH DEFINED 0 1,001,500 DENBURY RES INC COM NEW 247916208 576 28,777 SH DEFINED 0 28,777 DENTSPLY INTL INC NEW COM 249030107 293 7,700 SH DEFINED 0 7,700 DEVON ENERGY CORP NEW COM 25179M103 3,399 50,000 SH Call DEFINED 0 50,000 DEVON ENERGY CORP NEW COM 25179M103 9,191 116,616 SH DEFINED 0 116,616 DRESSER-RAND GROUP INC COM 261608103 1,236 23,000 SH DEFINED 0 23,000 DRIL-QUIP INC COM 262037104 1,404 20,700 SH DEFINED 0 20,700 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 593 9,000 PRN DEFINED 0 9,000 EL PASO CORP COM 28336L109 253 12,500 SH DEFINED 0 12,500 EMERITUS CORP COM 291005106 245 11,500 SH DEFINED 0 11,500 ENERGEN CORP COM 29265N108 1,116 19,749 SH DEFINED 0 19,749 EOG RES INC COM 26875P101 1,344 15,000 SH Put DEFINED 0 15,000 EQT CORP COM 26884L109 1,074 20,453 SH DEFINED 0 20,453 EXAMWORKS GROUP INC COM 30066A105 894 35,200 SH DEFINED 0 35,200 EXCO RESOURCES INC COM 269279402 1,264 71,620 SH DEFINED 0 71,620 EXTERRAN HLDGS INC NOTE 4.250% 6/1 30225XAA1 794 9,000 PRN DEFINED 0 9,000 FX ENERGY INC COM 302695101 3,832 436,428 SH DEFINED 0 436,428 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 217 3,000 PRN DEFINED 0 3,000 GRAN TIERRA ENERGY INC COM 38500T101 508 80,000 SH DEFINED 0 80,000 GREEN MTN COFFEE ROASTERS IN COM 393122106 411 4,600 SH DEFINED 0 4,600 HALLIBURTON CO COM 406216101 1,313 30,000 SH Call DEFINED 0 30,000 HALLIBURTON CO COM 406216101 15,455 303,040 SH DEFINED 0 303,040 HARLEY DAVIDSON INC COM 412822108 266 6,500 SH DEFINED 0 6,500 HELMERICH & PAYNE INC COM 423452101 1,931 29,200 SH DEFINED 0 29,200 HERBALIFE LTD COM USD SHS G4412G101 277 4,800 SH DEFINED 0 4,800 HESS CORP COM 42809H107 2,770 50,000 SH Call DEFINED 0 50,000 HESS CORP COM 42809H107 14,541 194,500 SH DEFINED 0 194,500 ICON PUB LTD CO SPONSORED ADR 45103T107 386 16,400 SH DEFINED 0 16,400 INSULET CORP COM 45784P101 357 16,100 SH DEFINED 0 16,100 INTEL CORP COM 458140100 214 10,500 SH Put DEFINED 0 10,500 INTEROIL CORP NOTE 2.750%11/1 460951AC0 211 2,500 PRN DEFINED 0 2,500 ISHARES TR S&P GBL ENER 464287341 24,248 580,785 SH DEFINED 0 580,785 JAZZ PHARMACEUTICALS INC COM 472147107 487 14,600 SH DEFINED 0 14,600 LIFE TECHNOLOGIES CORP COM 53217V109 393 7,551 SH DEFINED 0 7,551 LIFE TECHNOLOGIES CORP COM 53217V109 2,946 76,600 SH Call DEFINED 0 76,600 LILLY ELI & CO COM 532457108 538 15,300 SH Call DEFINED 0 15,300 LUFKIN INDS INC COM 549764108 10,042 116,700 SH DEFINED 0 116,700 MARKET VECTORS ETF TR COAL ETF 57060U837 3,917 100,000 SH Call DEFINED 0 100,000 MEAD JOHNSON NUTRITION CO COM 582839106 263 3,900 SH DEFINED 0 3,900 MGIC INVT CORP WIS COM 552848103 3,065 515,177 SH DEFINED 0 515,177 NEWFIELD EXPL CO COM 651290108 7,948 116,853 SH DEFINED 0 116,853 NEXEN INC COM 65334H102 1,080 49,694 SH DEFINED 0 49,694 NOBLE ENERGY INC COM 655044105 18,786 209,597 SH DEFINED 0 209,597 NORTHERN OIL & GAS INC NEV COM 665531109 276 15,000 SH Put DEFINED 0 15,000 NPS PHARMACEUTICALS INC COM 62936P103 326 34,500 SH DEFINED 0 34,500 OCCIDENTAL PETE CORP DEL COM 674599105 16,355 157,200 SH DEFINED 0 157,200 OIL SERVICES HOLDERS TRUST DEPOSTRY RCPT 678002106 66,779 525,000 SH Call DEFINED 0 525,000 PAETEC HOLDING CORP COM 695459107 8,632 1,802,100 SH DEFINED 0 1,802,100 PENN VA CORP COM 707882106 1,194 90,393 SH DEFINED 0 90,393 PETROHAWK ENERGY CORP COM 716495106 6,521 170,000 SH Call DEFINED 0 170,000 PETROHAWK ENERGY CORP COM 716495106 8,590 348,200 SH DEFINED 0 348,200 PIONEER NAT RES CO NOTE 2.875% 1/1 723787AH0 542 4,000 PRN DEFINED 0 4,000 PIONEER NAT RES CO COM 723787107 9,602 107,206 SH DEFINED 0 107,206 PIONEER NAT RES CO COM 723787107 3,752 50,000 SH Call DEFINED 0 50,000 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 1,607 30,800 SH Put DEFINED 0 30,800 PRICELINE COM INC COM NEW 741503403 461 900 SH DEFINED 0 900 QEP RES INC COM 74733V100 1,185 28,317 SH DEFINED 0 28,317 RADIAN GROUP INC COM 750236101 2,063 487,800 SH DEFINED 0 487,800 RANGE RES CORP COM 75281A109 1,407 25,000 SH Call DEFINED 0 25,000 RESOLUTE ENERGY CORP COM 76116A108 1,115 68,974 SH DEFINED 0 68,974 SANDRIDGE ENERGY INC COM 80007P307 1,012 140,000 SH Call DEFINED 0 140,000 SANDRIDGE ENERGY INC COM 80007P307 6,289 590,000 SH DEFINED 0 590,000 SCHLUMBERGER LTD COM 806857108 6,048 70,000 SH DEFINED 0 70,000 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 10,461 300,000 SH Put DEFINED 0 300,000 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 212,861 3,293,000 SH Call DEFINED 0 3,293,00 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 42,672 660,000 SH Put DEFINED 0 660,000 SHIRE PLC SPONSORED ADR 82481R106 358 3,800 SH DEFINED 0 3,800 SM ENERGY CO COM 78454L100 2,416 32,878 SH DEFINED 0 32,878 SOUTHWESTERN ENERGY CO COM 845467109 1,828 50,000 SH Call DEFINED 0 50,000 SOUTHWESTERN ENERGY CO COM 845467109 6,526 152,200 SH DEFINED 0 152,200 SPANSION INC COM CL A NEW 84649R200 11,567 600,270 SH DEFINED 0 600,270 SPDR S&P 500 ETF TR TR UNIT 78462F103 42,713 371,000 SH Call DEFINED 0 371,000 SPDR S&P 500 ETF TR TR UNIT 78462F103 179,84 1,562,000 SH Put DEFINED 0 1,562,00 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 814 13,850 SH DEFINED 0 13,850 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 14,253 285,000 SH Put DEFINED 0 285,000 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 2,080 45,000 SH Put DEFINED 0 45,000 STONE ENERGY CORP COM 861642106 1,144 37,645 SH DEFINED 0 37,645 STRYKER CORP COM 863667101 2,168 45,900 SH Call DEFINED 0 45,900 THERMO FISHER SCIENTIFIC INC COM 883556102 374 5,800 SH DEFINED 0 5,800 TIFFANY & CO NEW COM 886547108 259 3,300 SH DEFINED 0 3,300 TIMKEN CO COM 887389104 287 5,700 SH DEFINED 0 5,700 TJX COS INC NEW COM 872540109 284 5,400 SH DEFINED 0 5,400 TRANSGLOBE ENERGY CORP COM 893662106 330 30,000 SH DEFINED 0 30,000 TRANSOCEAN INC NOTE 1.500%12/1 893830AW9 634 6,500 PRN DEFINED 0 6,500 TRANSOCEAN INC NOTE 1.500%12/1 893830AV1 697 7,000 PRN DEFINED 0 7,000 TRANSOCEAN LTD REG SHS H8817H100 2,841 44,000 SH DEFINED 0 44,000 TUPPERWARE BRANDS CORP COM 899896104 310 4,600 SH DEFINED 0 4,600 UNITED CONTINENTAL HOLDINGS COM 910047109 15,981 706,200 SH DEFINED 0 706,200 UNITED STATES NATL GAS FUND UNIT NEW 912318110 1,011 100,000 SH Call DEFINED 0 100,000 UNITED STATES OIL FUND LP UNITS 91232N108 4,786 150,000 SH Put DEFINED 0 150,000 VERSO PAPER CORP COM 92531L108 4,491 1,675,608 SH DEFINED 0 1,675,608 VISA INC COM CL A 92826C839 466 5,800 SH Call DEFINED 0 5,800 WELLCARE HEALTH PLANS INC COM 94946T106 632 12,300 SH DEFINED 0 12,300 WHITING PETE CORP NEW COM 966387102 5,008 88,000 SH DEFINED 0 88,000 WHITING PETE CORP NEW COM 966387102 964 20,000 SH Call DEFINED 0 20,000 WRIGHT MED GROUP INC COM 98235T107 230 15,300 SH DEFINED 0 15,300 YM BIOSCIENCES INC COM 984238105 259 91,900 SH DEFINED 0 91,900 YUM BRANDS INC COM 988498101 470 8,500 SH DEFINED 0 8,500