-----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, KiZBMQf38VXHrPyMj6ioc+1f0zqCqowTNR5N2zmS1+9uUtjVBIo1qu6x0sbTbniq 3BdAkP8LW8x+Sm3Fe9wxwA== 0001193125-04-209151.txt : 20041208 0001193125-04-209151.hdr.sgml : 20041208 20041208093621 ACCESSION NUMBER: 0001193125-04-209151 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041208 DATE AS OF CHANGE: 20041208 EFFECTIVENESS DATE: 20041208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BALYASNY ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001218710 IRS NUMBER: 364472709 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-10402 FILM NUMBER: 041189770 BUSINESS ADDRESS: STREET 1: 181 W MADISON STE 3600 CITY: CHICAGO STATE: IL ZIP: 60602 BUSINESS PHONE: 3124992999 MAIL ADDRESS: STREET 1: 181 W MADISON STE 3600 CITY: CHICAGO STATE: IL ZIP: 60602 13F-HR/A 1 d13fhra.txt AMENDMENT #1 TO FORM 13F-HR 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 2004 -------------- 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: Balyasny Asset Management, L.P. --------------------------------------------- Address: 181 W. Madison --------------------------------------------- Suite 3600 --------------------------------------------- Chicago, IL 60602 --------------------------------------------- Form 13F File Number: 28-10402 ----------------- 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: Scott Schroeder --------------------------------------------- Title: General Counsel --------------------------------------------- Phone: 312-499-2974 --------------------------------------------- Signature, Place, and Date of Signing: ------------------------ -------------------------- -------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 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).) [ ] 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: [If there are no entries in this list, omit this section.] Form 13F File Number Name 28- ------------------ ------------------------ [Repeat as necessary.] Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None ------------------- Form 13F Information Table Entry Total: 248 ------------------- Form 13F Information Table Value Total: 341,638 ------------------- (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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] No. Form 13F File Number Name 28- ---- ------------------- ---------------------- [Repeat as necessary.]
NAME OF ISSUER CUSIP MARKET VALUE SHARES SHS/ PUT/ INVESTMENT OTHER VOTING TITLE OF PRN CALL DISCRETION MANAGERS AUTHORITY CLASS ABX Air Inc 00080S101 487,500.00 75,000 Sole No Sole Common Stock Access Pharmaceuticals Inc 00431M209 1,636,112.42 277,778 Sole No Sole Common Stock Acusphere Inc 00511R870 1,960,225.10 313,135 Sole No Sole Common Stock Aeolus Pharmaceuticals Inc 00765G109 304,000.00 200,000 Sole No Sole Common Stock Affirmative Insurance Holdings Inc 008272106 487,602.00 30,900 Sole No Sole Common Stock Alcoa Inc 013817101 21,000.00 150 C Sole No Sole Common Stock Allstate Corp/The 020002101 2,639,450.00 55,000 Sole No Sole Common Stock Alpharma Inc 020813101 200,000.00 2,000 C Sole No Sole Common Stock America Movil SA de CV 02364W105 1,951,500.00 50,000 Sole No Sole Common Stock American Pharmaceutical Partners Inc 02886P109 2,369,730.00 5,257 C Sole No Sole Common Stock American Pharmaceutical Partners Inc 02886P109 2,228,675.00 3,791 P Sole No Sole Common Stock American Water Star Inc 030409106 104,808.00 158,800 Sole No Sole Common Stock Amgen Inc 031162100 21,255,056.68 375,001 Sole No Sole Common Stock Antares Pharma Inc 036642106 2,250,000.00 1,500,000 Sole No Sole Common Stock AON Corp 037389103 1,149,600.00 40,000 Sole No Sole Common Stock Apple Computer Inc 037833100 385,000.00 500 C Sole No Sole Common Stock Armstrong Holdings Inc 042384107 14,400.00 10,000 Sole No Sole Common Stock Atherogenics Inc 047439104 8,274,140.40 251,112 Sole No Sole Common Stock Atherogenics Inc 047439104 1,087,500.00 2,500 C Sole No Sole Common Stock Atherogenics Inc 047439104 125,000.00 1,000 P Sole No Sole Common Stock Axonyx Inc 05461R101 1,412,500.00 250,000 Sole No Sole Common Stock Bank of New York Co Inc/The 064057102 583,400.00 20,000 Sole No Sole Common Stock Bear Stearns Cos Inc/The 073902108 480,850.00 5,000 Sole No Sole Common Stock BFC Financial Corp 055384200 282,579.00 25,689 Sole No Sole Common Stock Big 5 Sporting Goods Corp 08915P101 522,416.40 22,913 Sole No Sole Common Stock BioCryst Pharmaceuticals Inc 09058V103 2,905,480.20 569,702 Sole No Sole Common Stock Bioenvision Inc 09059N100 799,000.00 100,000 Sole No Sole Common Stock Biovail Corp 09067J109 105,000.00 1,000 C Sole No Sole Common Stock Biovail Corp 09067J109 125,000.00 1,000 P Sole No Sole Common Stock Bookham Inc 09856E105 290,550.00 44,700 Sole No Sole Common Stock Boston Scientific Corp 101137107 15,296,050.00 385,000 Sole No Sole Common Stock Boston Scientific Corp 101137107 187,000.00 2,200 C Sole No Sole Common Stock Bristol West Holdings Inc 11037M105 599,900.00 35,000 Sole No Sole Common Stock Bristol-Myers Squibb Co 110122108 473,400.00 20,000 Sole No Sole Common Stock Bristol-Myers Squibb Co 110122108 140,000.01 1,000 P Sole No Sole Common Stock Burlington Northern Santa Fe Corp 12189T104 71,000.00 200 C Sole No Sole Common Stock Cablevision Systems Corp 12686C109 237,276.00 11,700 Sole No Sole Common Stock Callisto Pharmaceuticals Inc 1312EM104 298,000.00 200,000 Sole No Sole Common Stock CallWave Inc 13126N101 143,250.00 15,000 Sole No Sole Common Stock Canyon Resources Corp 138869300 364,135.00 95,825 Sole No Sole Common Stock Carmike Cinemas Inc 143436400 1,056,300.00 30,000 Sole No Sole Common Stock Caterpillar Inc 149123101 603,375.00 7,500 Sole No Sole Common Stock ChromaVision Medical Systems Inc 17111P104 137,950.00 155,000 Sole No Sole Common Stock Citadel Broadcasting Corp 17285T106 256,400.00 20,000 Sole No Sole Common Stock Citigroup Inc 172967101 2,206,000.00 50,000 Sole No Sole Common Stock Clear Channel Communications Inc 184502102 3,272,850.00 105,000 Sole No Sole Common Stock CNF Inc 12612W104 2,848,805.00 69,500 Sole No Sole Common Stock CNF Inc 12612W104 3,750.00 100 C Sole No Sole Common Stock Cognizant Technology Solutions Corp 192446102 2,440,800.00 80,000 Sole No Sole Common Stock Comcast Corp 20030N200 558,400.00 20,000 Sole No Sole Common Stock Commercial Capital Bancorp Inc 20162L105 879,350.95 38,755 Sole No Sole Common Stock Community Health Systems Inc 203668108 3,335,000.00 125,000 Sole No Sole Common Stock Connetics Corp 208192104 2,702,000.00 100,000 Sole No Sole Common Stock Consol Energy Inc 20854P109 3,052,875.00 87,500 Sole No Sole Common Stock Corgentech Inc 21872P105 495,030.00 29,000 Sole No Sole Common Stock Corgentech Inc 21872P105 1,176,850.00 2,545 C Sole No Sole Common Stock Corgentech Inc 21872P105 331,250.00 1,250 P Sole No Sole Common Stock Correctional Services Co 219921103 64,500.00 25,000 Sole No Sole Common Stock Cox Radio Inc 224051102 290,940.00 19,500 Sole No Sole Common Stock Crown Financial Group Inc 22834Q108 175,214.00 380,900 Sole No Sole Common Stock CryoLife Inc 228903100 1,815,000.00 250,000 Sole No Sole Common Stock Crystallex International Corp 22942F101 842,500.00 250,000 Sole No Sole Common Stock CSX Corp 126408103 1,328,000.00 40,000 Sole No Sole Common Stock Curon Medical Inc 231292103 153,265.99 140,611 Sole No Sole Common Stock Delta Petroleum Corp 247907207 3,018,760.00 231,500 Sole No Sole Common Stock Denny's Corp 24869P104 1,485,000.00 550,000 Sole No Sole Common Stock Depomed Inc 249908104 5,212,571.94 998,577 Sole No Sole Common Stock DIAMONDS Trust Series I 252787106 6,500.00 200 P Sole No Sole Common Stock Digital River Inc 25388B104 282,910.00 9,500 Sole No Sole Common Stock Dollar Tree Stores Inc 256747106 404,250.00 15,000 Sole No Sole Common Stock Downey Financial Corp 261018105 824,400.00 15,000 Sole No Sole Common Stock Dynatronics Corp 268157104 42,640.00 26,000 Sole No Sole Common Stock E*Trade Financial Corp 269246104 456,800.00 40,000 Sole No Sole Common Stock Eagle Materials Inc 26969P108 5,347,500.00 75,000 Sole No Sole Common Stock Eli Lilly & Co 532457108 100,000.00 500 P Sole No Sole Common Stock Emerson Electric Co 291011104 680,790.00 11,000 Sole No Sole Common Stock Encore Medical Corp 29256E109 3,464,825.04 695,748 Sole No Sole Common Stock Endo Pharmaceuticals Holdings Inc 29264F205 190,000.00 1,000 C Sole No Sole Common Stock Endo Pharmaceuticals Holdings Inc 29264F205 105,000.00 1,000 P Sole No Sole Common Stock EnerSys 29275Y102 1,315,840.00 102,400 Sole No Sole Common Stock Entercom Communications Corp 293639100 924,278.00 28,300 Sole No Sole Common Stock Enterprise Products Partners LP 293792107 463,600.00 20,000 Sole No Sole Common Stock EP Medsystems Inc 26881P103 2,480,000.00 1,000,000 Sole No Sole Common Stock eSpeed Inc 296643109 344,050.00 35,000 Sole No Sole Common Stock Express Scripts Inc 302182100 170,000.00 500 C Sole No Sole Common Stock Express Scripts Inc 302182100 63,750.00 500 P Sole No Sole Common Stock Eyetech Pharmaceuticals Inc 302297106 339,900.00 10,000 Sole No Sole Common Stock Eyetech Pharmaceuticals Inc 302297106 742,380.00 3,581 C Sole No Sole Common Stock Eyetech Pharmaceuticals Inc 302297106 403,750.00 1,500 P Sole No Sole Common Stock Fifth Third Bancorp 316773100 1,476,600.00 30,000 Sole No Sole Common Stock FindWhat.com 317794105 1,873,000.00 100,000 Sole No Sole Common Stock Franklin Resources Inc 354613101 1,115,200.00 20,000 Sole No Sole Common Stock Friedman Billings Ramsey Group Inc 358434108 233,020.00 12,200 Sole No Sole Common Stock Genelabs Technologies 368706107 885,322.44 339,204 Sole No Sole Common Stock Genentech Inc 368710406 502,500.00 1,500 C Sole No Sole Common Stock Genentech Inc 368710406 22,500.00 1,500 P Sole No Sole Common Stock General Electric Co 369604103 671,600.00 20,000 Sole No Sole Common Stock Genesco Inc 371532102 5,389,417.50 228,850 Sole No Sole Common Stock Gold Fields Ltd 38059T106 750.00 100 C Sole No Sole Common Stock Golden West Financial Corp 381317106 1,442,350.00 13,000 Sole No Sole Common Stock Goldman Sachs Group Inc 38141G104 2,144,520.00 23,000 Sole No Sole Common Stock Guidant Corp 401698105 625,000.00 1,000 C Sole No Sole Common Stock Hartford Financial Services Group Inc 416515104 1,238,600.00 20,000 Sole No Sole Common Stock Health Net Inc 42222G108 67,500.00 500 C Sole No Sole Common Stock Health Net Inc 42222G108 77,500.00 500 P Sole No Sole Common Stock Illinois Tool Works Inc 452308109 698,775.00 7,500 Sole No Sole Common Stock Imax Corp 45245E109 115,949.85 20,595 Sole No Sole Common Stock ImClone Systems Inc 45245W109 528,500.00 10,000 Sole No Sole Common Stock ImClone Systems Inc 45245W109 225,000.00 1,000 C Sole No Sole Common Stock ImClone Systems Inc 45245W109 393,750.00 1,000 P Sole No Sole Common Stock Impax Laboratories Inc 45256B101 117,500.00 1,000 P Sole No Sole Common Stock Indevus Pharmaceuticals Inc 454072109 3,261,400.00 460,000 Sole No Sole Common Stock Indus International Inc 45578L100 158,000.00 100,000 Sole No Sole Common Stock Infosys Technologies Ltd 456788108 4,528,000.00 80,000 Sole No Sole Common Stock Insite Vision Inc 457660108 783,750.00 1,375,000 Sole No Sole Common Stock Integrated Silicon Solutions Inc 45812P107 1,454,000.00 200,000 Sole No Sole Common Stock Investment Technology Group Inc 46145F105 30,000.00 500 P Sole No Sole Common Stock Investors Financial Services Corp 461915100 676,950.00 15,000 Sole No Sole Common Stock iShares Lehman 20+ Year Treasury Bond Fund 464287432 227,500.00 1,500 P Sole No Sole Common Stock iShares Russell 2000 Index Fund 464287655 2,846,250.00 25,000 Sole No Sole Common Stock iShares Russell 2000 Index Fund 464287655 70,500.00 450 P Sole No Sole Common Stock Jacobs Engineering Group Inc 469814107 268,030.00 7,000 Sole No Sole Common Stock JPMorgan Chase & Co 46625H100 35,625.00 250 P Sole No Sole Common Stock Kayne Anderson MLP Investment Co 486606106 506,000.00 20,000 Sole No Sole Common Stock KB Home 48666K109 8,449,000.00 100,000 Sole No Sole Common Stock KFX Inc 48245L107 77,100.00 10,000 Sole No Sole Common Stock Knight Trading Group Inc 499063105 138,450.00 15,000 Sole No Sole Common Stock Ladenburg Thalmann Financial Services Inc 50575Q102 15,000.00 30,000 Sole No Sole Common Stock Laidlaw International Inc 50730R102 658,000.00 40,000 Sole No Sole Common Stock Large Scale Biology Corp 517053104 303,481.30 316,456 Sole No Sole Common Stock Laserscope 518081104 222,970.00 11,000 Sole No Sole Common Stock Legg Mason Inc 524901105 799,050.00 15,000 Sole No Sole Common Stock Level 3 Communications Inc 52729N100 103,600.00 40,000 Sole No Sole Common Stock Liberty Media International Inc 530719103 3,135,761.10 93,992 Sole No Sole Common Stock Liberty Media International Inc 530718AF2 968,265.00 900,000 PRN Sole No Sole Convertible Bond Lincoln Electric Holdings Inc 533900106 329,280.00 10,500 Sole No Sole Common Stock Lions Gate Entertainment Corp 535919203 977,010.00 112,300 Sole No Sole Common Stock Ltd Brands 532716107 557,250.00 25,000 Sole No Sole Common Stock Lubrizol Corp 549271104 1,557,000.00 45,000 Sole No Sole Common Stock Manhattan Pharmaceuticals Inc 563118207 1,636,362.90 1,818,181 Sole No Sole Common Stock MarineMax Inc 567908108 21,875.00 250 C Sole No Sole Common Stock Massey Energy Co 576206106 3,674,110.00 127,000 Sole No Sole Common Stock Matrix Service Co 576853105 243,200.00 47,500 Sole No Sole Common Stock McDonald's Corp 580135101 1,401,500.00 50,000 Sole No Sole Common Stock MDC Partners Inc 552697104 190,200.00 15,000 Sole No Sole Common Stock MDU Communications International Inc 582828109 102,000.00 40,000 Sole No Sole Common Stock Micro Linear Corp 594850109 936,449.15 175,859 Sole No Sole Common Stock Mines Management Inc 603432105 1,497,300.00 230,000 Sole No Sole Common Stock Mirant Corp 604675108 10,250.00 25,000 Sole No Sole Common Stock Motorola Inc 620076109 2,706,000.00 150,000 Sole No Sole Common Stock National-Oilwell Inc 637071101 328,600.00 10,000 Sole No Sole Common Stock Nautilus Group Inc 63910B102 1,470,609.00 65,100 Sole No Sole Common Stock Nektar Therapeutics 640268108 815,500.00 5,250 C Sole No Sole Common Stock Net Perceptions Inc 64107U101 320,854.38 433,587 Sole No Sole Common Stock Netease.com 64110W102 28,125.00 1,250 C Sole No Sole Common Stock New York Community Bancorp Inc 649445103 513,500.00 25,000 Sole No Sole Common Stock News Corp Inc 65248E104 469,950.00 15,000 Sole No Sole Common Stock NGAS Resources Inc 62912T103 5,093,920.00 1,027,000 Sole No Sole Common Stock NII Holdings Inc 62913F201 700,570.00 17,000 Sole No Sole Common Stock Novadel Pharma Inc 66986X106 1,535,540.10 808,179 Sole No Sole Common Stock NovaMed Inc 66986W108 1,747,502.00 414,100 Sole No Sole Common Stock NRG Energy Inc 629377508 538,800.00 20,000 Sole No Sole Common Stock OGE Energy Corp 670837103 252,300.00 10,000 Sole No Sole Common Stock Olin Corp 680665205 280,000.00 14,000 Sole No Sole Common Stock Olympic Steel Inc 68162K106 189,000.00 10,000 Sole No Sole Common Stock Onyx Pharmaceuticals Inc 683399109 248,750.00 1,750 C Sole No Sole Common Stock Orbimage Inc 68555Y101 135,000.00 10,000 Sole No Sole Common Stock Orchid BioSciences Inc 68571P506 321,200.00 40,000 Sole No Sole Common Stock Oregon Steel Mills Inc 686079104 1,862,560.00 112,000 Sole No Sole Common Stock Oscient Pharmaceuticals Corp 68812R105 4,186,799.00 1,179,380 Sole No Sole Common Stock Par Pharmaceutical Cos Inc 69888P106 1,796,500.00 50,000 Sole No Sole Common Stock Parker Hannifin Corp 701094104 588,600.00 10,000 Sole No Sole Common Stock PEP Boys-Manny Moe & Jack 713278109 910,000.00 65,000 Sole No Sole Common Stock Per-Se Technologies Inc 713569309 540.00 500 Sole No Sole Convertible Preferred Pfizer Inc 717081103 3,060,000.00 100,000 Sole No Sole Common Stock Pfizer Inc 717081103 455,000.00 7,000 C Sole No Sole Common Stock Pfizer Inc 717081103 885,000.00 8,000 P Sole No Sole Common Stock Pharmaceutical HOLDRs Trust 71712A206 5,694,400.00 80,000 Sole No Sole Common Stock Pharmaceutical HOLDRs Trust 71712A206 375,000.00 4,000 C Sole No Sole Common Stock Pharmaceutical HOLDRs Trust 71712A206 1,545,000.00 4,000 P Sole No Sole Common Stock Pharmos Corp 717139208 73,843.20 25,640 Sole No Sole Common Stock Phelps Dodge Corp 717265102 350.00 140 P Sole No Sole Common Stock Placer Sierra Bancshares 726079106 420,000.00 20,000 Sole No Sole Common Stock PNC Financial Services Group Inc 693475105 2,109,900.00 39,000 Sole No Sole Common Stock Premcor Inc 74045Q104 847,000.00 22,000 Sole No Sole Common Stock PRG-Schultz International Inc 69357C107 1,435,000.00 250,000 Sole No Sole Common Stock Quicksilver Resources Inc 74837R104 2,500.00 100 P Sole No Sole Common Stock Radio One Inc 75040P405 213,450.00 15,000 Sole No Sole Common Stock RadioShack Corp 750438103 1,724,128.00 60,200 Sole No Sole Common Stock Retail HOLDRs Trust 76127U101 228,025.00 2,500 Sole No Sole Common Stock Retail HOLDRs Trust 76127U101 77,500.00 1,000 P Sole No Sole Common Stock Rhodia SA 762397107 342,700.00 230,000 Sole No Sole Common Stock Robotic Vision Systems Inc 771074309 1,221,862.80 1,018,219 Sole No Sole Common Stock Royal Dutch Petroleum Co 780257804 7,580.00 1,516 C Sole No Sole Common Stock Rush Enterprises Inc 781846209 659,190.00 60,200 Sole No Sole Common Stock Sandisk Corp 80004C101 1,456,000.00 50,000 Sole No Sole Common Stock Satyam Computer Services Ltd 804098101 1,156,000.00 50,000 Sole No Sole Common Stock Saxon Capital Inc 80556T106 1,290,000.00 60,000 Sole No Sole Common Stock Schnitzer Steel Industries Inc 806882106 6,470,000.00 200,000 Sole No Sole Common Stock Schnitzer Steel Industries Inc 806882106 974,770.00 3,961 C Sole No Sole Common Stock Scientific Games Corp 80874P109 764,000.00 40,000 Sole No Sole Common Stock SCOLR Pharma Inc 78402X107 676,924.60 307,693 Sole No Sole Common Stock Seabridge Gold Inc 811916105 253,500.00 75,000 Sole No Sole Common Stock Select Medical Corp 816196109 335,750.00 25,000 Sole No Sole Common Stock Semiconductor HOLDRs Trust 816636203 755,000.00 25,000 Sole No Sole Common Stock Sepracor Inc 817315104 365,000.00 1,000 C Sole No Sole Common Stock Sepracor Inc 817315104 397,500.00 1,000 P Sole No Sole Common Stock Silicon Valley Bancshares 827064106 706,230.00 19,000 Sole No Sole Common Stock Sirva Inc 82967Y104 1,882,380.00 82,200 Sole No Sole Common Stock Sky Financial Group Inc 83080P103 1,019,950.00 40,798 Sole No Sole Common Stock Smurfit-Stone Container Corp 832727101 193,700.00 10,000 Sole No Sole Common Stock South Financial Group Inc/The 837841105 1,269,000.00 45,000 Sole No Sole Common Stock SPDR Trust Series 1 78462F103 526,389.60 4,710 Sole No Sole Common Stock Sports Authority Inc/The 84917U109 1,160,000.00 50,000 Sole No Sole Common Stock St Paul Travelers Cos Inc/The 792860108 330,600.00 10,000 Sole No Sole Common Stock State Street Corp 857477103 854,200.00 20,000 Sole No Sole Common Stock Stonemor Partners LP 86183Q100 2,683,892.14 126,844 Sole No Sole Common Stock Sun Healthcare Group Inc 866933401 1,901,571.00 236,220 Sole No Sole Common Stock Taser International Inc 87651B104 49,000.00 350 C Sole No Sole Common Stock Telkonet Inc 879604106 91,179.00 29,700 Sole No Sole Common Stock THQ Inc 872443403 60,000.00 1,000 P Sole No Sole Common Stock Time Warner Inc 887317105 1,614,000.00 100,000 Sole No Sole Common Stock TLC Vision Corp 872549100 5,510,331.32 628,316 Sole No Sole Common Stock TLC Vision Corp 872549100 46,875.00 250 C Sole No Sole Common Stock Toll Brothers Inc 889478103 4,633,000.00 100,000 Sole No Sole Common Stock Toys R US Inc 892335100 14,458,100.00 815,000 Sole No Sole Common Stock Triad Hospitals Inc 89579K109 1,722,000.00 50,000 Sole No Sole Common Stock TVI Corp 872916101 262,870.00 48,500 Sole No Sole Common Stock Tyco International Ltd 902124106 2,682,750.00 87,500 Sole No Sole Common Stock Tyco International Ltd 902124106 25,625.00 250 C Sole No Sole Common Stock UnionBanCal Corp 908906100 1,065,780.00 18,000 Sole No Sole Common Stock United Parcel Service Inc/Georgia 911312106 20,500.00 100 C Sole No Sole Common Stock USI Holdings Corp 90333H101 809,485.95 59,303 Sole No Sole Common Stock Vasogen Inc 92232F103 1,832,000.00 400,000 Sole No Sole Common Stock Viacom Inc 925524308 822,220.00 24,500 Sole No Sole Common Stock Viacom Inc 925524308 44,125.00 350 C Sole No Sole Common Stock Vineyard National Bancorp 927426106 849,900.00 30,000 Sole No Sole Common Stock Vion Pharmaceuticals Inc 927624106 2,103,379.15 499,615 Sole No Sole Common Stock Vitran Corp Inc 92850E107 11,104,916.00 746,800 Sole No Sole Common Stock Washington Mutual Inc 939322103 4,298,800.00 110,000 Sole No Sole Common Stock Washington Mutual Inc 939322103 36,820.00 526 C Sole No Sole Common Stock WatchGuard Technologies 941105108 2,503,800.00 535,000 Sole No Sole Common Stock Wells Fargo & Co 949746101 3,279,650.00 55,000 Sole No Sole Common Stock Western Digital Corp 958102105 4,395,000.00 500,000 Sole No Sole Common Stock Western Gas Resources Inc 958259103 1,000,650.00 35,000 Sole No Sole Common Stock Westwood One Inc 961815107 395,400.00 20,000 Sole No Sole Common Stock Wilmington Trust Corp 971807102 213,639.00 5,900 Sole No Sole Common Stock Zila Inc 989513205 4,026,484.24 977,302 Sole No Sole Common Stock
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