-----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, BOwCKQP4eQrjTuUrjucFUxiPRd0103w0k86D2lrBWYoXdVMao1zYs5V5bNNZPaaU lxfk4lu5gbOatHQf59mCwA== 0000919574-10-001186.txt : 20100216 0000919574-10-001186.hdr.sgml : 20100215 20100216103557 ACCESSION NUMBER: 0000919574-10-001186 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KINGDON CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001000097 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04575 FILM NUMBER: 10603164 BUSINESS ADDRESS: STREET 1: 157 WEST 57TH STREET 50TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2123330100 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET 50 FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: KINGDON CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19960408 13F-HR 1 d1071450_13f-hr.txt 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, 2009 Check here if Amendment: |_|; Amendment Number: This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Kingdon Capital Management, L.L.C. Address: 152 West 57th Street New York, New York 10019 13F File Number: 28-04575 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: William Walsh Title: Chief Financial Officer Phone: (212) 333-0100 Signature, Place and Date of Signing: /s/ William Walsh New York, New York February 16, 2010 - ----------------------- ------------------------ --------------------- [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 managers(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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: [248] Form 13F Information Table Value Total: $[3,667,540] (in 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. No. Form 13F File Number Name - --- -------------------- ---- 1 28-10584 Kingdon Associates 2 28-10583 M. Kingdon Offshore Ltd. 3 28-10842 Kingdon Family Partnership, L.P. FORM 13F INFORMATION TABLE Kingdon Capital Management, L.L.C. December 31, 2009
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8 VALUE SHS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE ABERCROMBIE & FITCH CO CL A 002896207 4,182 120,000 SHS Shared-Other 1,2,3 Sole ACACIA RESH CORP ACACIA TCH COM 003881307 15,285 1,681,523 SHS Shared-Other 1,2,3 Sole ACCENTURE PLC IRELAND SHS CLASS A G1151C101 24,153 582,000 SHS Shared-Other 1,2,3 Sole ADVANCED ENERGY INDS COM 007973100 4,524 300,000 SHS Shared-Other 1,2,3 Sole AETNA INC NEW COM 00817Y108 15,850 500,000 PUT Shared-Other 1,2,3 Sole AETNA INC NEW COM 00817Y108 24,568 775,000 SHS Shared-Other 1,2,3 Sole AIRTRAN HLDGS INC COM 00949P108 5,698 1,091,500 SHS Shared-Other 1,2,3 Sole AK STL HLDG CORP COM 001547108 12,383 580,000 SHS Shared-Other 1,2,3 Sole ALBEMARLE CORP COM 012653101 15,094 415,000 SHS Shared-Other 1,2,3 Sole ALBERTO CULVER CO NEW COM 013078100 2,343 80,000 SHS Shared-Other 1,2,3 Sole ALLEGHENY TECHNOLOGIES INC COM 01741R102 17,236 385,000 SHS Shared-Other 1,2,3 Sole ALLIANCE DATA SYSTEMS CORP COM 018581108 8,074 125,000 SHS Shared-Other 1,2,3 Sole ALTERA CORP COM 021441100 9,052 400,000 PUT Shared-Other 1,2,3 Sole AMB PROPERTY CORP COM 00163T109 10,187 398,700 SHS Shared-Other 1,2,3 Sole AMERICAN TOWER CORP CL A 029912201 20,957 485,000 SHS Shared-Other 1,2,3 Sole AMGEN INC COM 031162100 32,816 580,000 SHS Shared-Other 1,2,3 Sole ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 7,050 135,500 SHS Shared-Other 1,2,3 Sole APPLE INC COM 037833100 21,073 100,000 CALL Shared-Other 1,2,3 Sole APPLE INC COM 037833100 73,752 350,000 SHS Shared-Other 1,2,3 Sole ARCHER DANIELS MIDLAND CO COM 039483102 14,090 450,000 SHS Shared-Other 1,2,3 Sole AU OPTRONICS CORP SPONSORED ADR 002255107 3,597 300,000 SHS Shared-Other 1,2,3 Sole AVIS BUDGET GROUP COM 053774105 3,641 277,500 SHS Shared-Other 1,2,3 Sole AVON PRODS INC COM 054303102 12,600 400,000 SHS Shared-Other 1,2,3 Sole AXT INC COM 00246W103 1,715 531,000 SHS Shared-Other 1,2,3 Sole BARE ESCENTUALS INC COM 067511105 305 25,000 SHS Shared-Other 1,2,3 Sole BMC SOFTWARE INC COM 055921100 40,100 1,000,000 CALL Shared-Other 1,2,3 Sole BOSTON PROPERTIES INC COM 101121101 7,042 105,000 SHS Shared-Other 1,2,3 Sole BPZ RESOURCES INC COM 055639108 2,565 270,000 SHS Shared-Other 1,2,3 Sole BRINKER INTL INC COM 109641100 2,929 196,315 SHS Shared-Other 1,2,3 Sole BROADCOM CORP CL A 111320107 14,162 450,000 PUT Shared-Other 1,2,3 Sole BROCADE COMMUNICATIONS SYS I COM NEW 111621306 4,425 580,000 SHS Shared-Other 1,2,3 Sole CAMPBELL SOUP CO COM 134429109 6,733 199,210 SHS Shared-Other 1,2,3 Sole CAVIUM NETWORKS INC COM 14965A101 9,532 400,000 PUT Shared-Other 1,2,3 Sole CBEYOND INC COM 149847105 14,281 906,746 SHS Shared-Other 1,2,3 Sole CBS CORP NEW CL B 124857202 8,079 575,000 SHS Shared-Other 1,2,3 Sole CENTRAL EUROPEAN DIST CORP COM 153435102 538 18,905 SHS Shared-Other 1,2,3 Sole CEPHALON INC COM 156708109 45,559 730,000 SHS Shared-Other 1,2,3 Sole CEPHALON INC COM 156708109 62,420 1,000,000 CALL Shared-Other 1,2,3 Sole CHARMING SHOPPES INC COM 161133103 4,522 700,000 SHS Shared-Other 1,2,3 Sole CHECK POINT SOFTWARE TECH LT ORD M22465104 32,815 970,000 SHS Shared-Other 1,2,3 Sole CHIPOTLE MEXICAN GRILL INC CL A 169656105 4,900 55,581 SHS Shared-Other 1,2,3 Sole CITIGROUP INC COM 172967101 13,240 4,000,000 CALL Shared-Other 1,2,3 Sole COGO GROUP INC COM 192448108 1,420 193,200 SHS Shared-Other 1,2,3 Sole COLGATE PALMOLIVE CO COM 194162103 6,227 75,800 SHS Shared-Other 1,2,3 Sole CONAGRA FOODS INC COM 205887102 16,262 705,500 SHS Shared-Other 1,2,3 Sole CONOCOPHILLIPS COM 20825C104 25,535 500,000 CALL Shared-Other 1,2,3 Sole CTRIP COM INTL LTD ADR 22943F100 3,698 51,506 SHS Shared-Other 1,2,3 Sole CYPRESS SEMICONDUCTOR CORP COM 232806109 3,168 300,000 PUT Shared-Other 1,2,3 Sole DANA HOLDING CORP COM 235825205 9,485 875,000 SHS Shared-Other 1,2,3 Sole DEPOMED INC COM 249908104 2,997 900,000 SHS Shared-Other 1,2,3 Sole DIRECTV COM CL A 25490A101 11,336 340,000 SHS Shared-Other 1,2,3 Sole DIRECTV COM CL A 25490A101 13,340 400,000 CALL Shared-Other 1,2,3 Sole DISH NETWORK CORP CL A 25470M109 15,663 754,850 SHS Shared-Other 1,2,3 Sole DISNEY WALT CO COM DISNEY 254687106 6,450 200,000 SHS Shared-Other 1,2,3 Sole DOLBY LABORATORIES INC COM 25659T107 18,510 387,800 SHS Shared-Other 1,2,3 Sole DOLE FOOD CO INC NEW COM 256603101 6,826 550,000 SHS Shared-Other 1,2,3 Sole DOW CHEM CO COM 260543103 10,638 385,000 SHS Shared-Other 1,2,3 Sole DOW CHEM CO COM 260543103 13,815 500,000 CALL Shared-Other 1,2,3 Sole DR PEPPER SNAPPLE GROUP INC COM 26138E109 19,632 693,716 SHS Shared-Other 1,2,3 Sole DURECT CORP COM 266605104 7,105 2,900,000 SHS Shared-Other 1,2,3 Sole E M C CORP MASS COM 268648102 13,539 775,000 SHS Shared-Other 1,2,3 Sole EMCORE CORP COM 290846104 5,143 4,852,041 SHS Shared-Other 1,2,3 Sole ENERGY CONVERSION DEVICES IN COM 292659109 4,598 435,000 SHS Shared-Other 1,2,3 Sole ENZON PHARMACEUTICALS INC COM 293904108 10,510 1,000,000 SHS Shared-Other 1,2,3 Sole EXPEDIA INC DEL COM 30212P105 7,304 284,100 SHS Shared-Other 1,2,3 Sole F5 NETWORKS INC COM 315616102 15,891 300,000 PUT Shared-Other 1,2,3 Sole FINISAR CORP COM NEW 31787A507 4,606 517,498 SHS Shared-Other 1,2,3 Sole FIRST SOLAR INC COM 336433107 13,134 97,000 SHS Shared-Other 1,2,3 Sole FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 6,993 441,459 SHS Shared-Other 1,2,3 Sole FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 4,788 100,000 SHS Shared-Other 1,2,3 Sole FORMFACTOR INC COM 346375108 7,395 340,000 SHS Shared-Other 1,2,3 Sole FREEPORT-MCMORAN COPPER & GO COM 35671D857 8,551 106,500 SHS Shared-Other 1,2,3 Sole GAP INC DEL COM 364760108 2,619 125,000 SHS Shared-Other 1,2,3 Sole GENERAL MLS INC COM 370334104 28,704 405,370 SHS Shared-Other 1,2,3 Sole GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 3,441 262,500 SHS Shared-Other 1,2,3 Sole GOLDMAN SACHS GROUP INC COM 38141G104 16,884 100,000 SHS Shared-Other 1,2,3 Sole GOODYEAR TIRE & RUBR CO COM 382550101 19,740 1,400,000 SHS Shared-Other 1,2,3 Sole GOOGLE INC CL A 38259P508 12,400 20,000 SHS Shared-Other 1,2,3 Sole GRACE W R & CO DEL NEW COM 38388F108 7,985 315,000 SHS Shared-Other 1,2,3 Sole GT SOLAR INTL INC COM 3623E0209 5,125 925,000 SHS Shared-Other 1,2,3 Sole HARRY WINSTON DIAMOND CORP COM 41587B100 1,254 131,845 SHS Shared-Other 1,2,3 Sole HAYNES INTERNATIONAL INC COM NEW 420877201 2,656 80,621 SHS Shared-Other 1,2,3 Sole HEINZ H J CO COM 423074103 26,722 624,940 SHS Shared-Other 1,2,3 Sole HERTZ GLOBAL HOLDINGS INC COM 42805T105 7,510 630,000 SHS Shared-Other 1,2,3 Sole HESS CORP COM 42809H107 16,033 265,000 SHS Shared-Other 1,2,3 Sole ILLINOIS TOOL WKS INC COM 452308109 23,275 485,000 SHS Shared-Other 1,2,3 Sole ILLUMINA INC COM 452327109 9,195 300,000 SHS Shared-Other 1,2,3 Sole ILLUMINA INC COM 452327109 23,010 750,000 CALL Shared-Other 1,2,3 Sole IMAX CORP COM 45245E109 7,714 580,000 SHS Shared-Other 1,2,3 Sole IMMUNOGEN INC COM 45253H101 8,660 1,101,743 SHS Shared-Other 1,2,3 Sole INSPIRE PHARMACEUTICALS INC COM 457733103 16,530 3,000,000 SHS Shared-Other 1,2,3 Sole INTEL CORP COM 458140100 3,774 185,000 SHS Shared-Other 1,2,3 Sole INTERNATIONAL BUSINESS MACHS COM 459200101 32,725 250,000 PUT Shared-Other 1,2,3 Sole INTL PAPER CO COM 460146103 9,708 362,500 SHS Shared-Other 1,2,3 Sole INTUIT COM 461202103 12,582 409,691 SHS Shared-Other 1,2,3 Sole ISHARES TR INDEX RUSSELL 2000 464287655 31,220 500,000 PUT Shared-Other 1,2,3 Sole J2 GLOBAL COMMUNICATIONS INC COM NEW 46626E205 14,245 700,000 SHS Shared-Other 1,2,3 Sole JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 5,690 1,000,000 SHS Shared-Other 1,2,3 Sole JAMES RIVER COAL CO COM NEW 470355207 5,362 290,000 SHS Shared-Other 1,2,3 Sole JDA SOFTWARE GROUP INC COM 46612K108 15,282 600,000 SHS Shared-Other 1,2,3 Sole JOHNSON CTLS INC COM 478366107 13,211 485,000 SHS Shared-Other 1,2,3 Sole JPMORGAN CHASE & CO COM 46625H100 156,263 3,750,000 SHS Shared-Other 1,2,3 Sole JUNIPER NETWORKS INC COM 48203R104 8,001 300,000 PUT Shared-Other 1,2,3 Sole KAR AUCTION SVCS INC COM 48238T109 6,895 500,000 SHS Shared-Other 1,2,3 Sole KELLOGG CO COM 487836108 2,814 52,890 SHS Shared-Other 1,2,3 Sole KIMBERLY CLARK CORP COM 494368103 1,593 25,000 SHS Shared-Other 1,2,3 Sole KLA-TENCOR CORP COM 482480100 10,848 300,000 PUT Shared-Other 1,2,3 Sole KROGER CO COM 501044101 2,053 100,000 SHS Shared-Other 1,2,3 Sole LAM RESEARCH CORP COM 512807108 7,842 200,000 PUT Shared-Other 1,2,3 Sole LEAP WIRELESS INTL INC COM NEW 521863308 17,024 970,000 SHS Shared-Other 1,2,3 Sole LEAR CORP COM NEW 521865204 8,117 120,000 SHS Shared-Other 1,2,3 Sole LIMELIGHT NETWORKS INC COM 53261M104 3,902 998,000 SHS Shared-Other 1,2,3 Sole LIMITED BRANDS INC COM 532716107 6,445 335,000 SHS Shared-Other 1,2,3 Sole LINCARE HLDGS INC COM 532791100 21,592 582,000 SHS Shared-Other 1,2,3 Sole LINCARE HLDGS INC COM 532791100 37,135 1,000,000 CALL Shared-Other 1,2,3 Sole LORILLARD INC COM 544147101 2,407 30,000 SHS Shared-Other 1,2,3 Sole LOWES COS INC COM 548661107 7,251 310,000 SHS Shared-Other 1,2,3 Sole MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 4,150 200,000 PUT Shared-Other 1,2,3 Sole MASIMO CORP COM 574795100 3,085 101,400 SHS Shared-Other 1,2,3 Sole MASSEY ENERGY CORP COM 576206106 14,914 355,000 CALL Shared-Other 1,2,3 Sole MASTERCARD INC CL A 57636Q104 7,423 29,000 SHS Shared-Other 1,2,3 Sole MATTEL INC COM 577081102 8,721 436,500 SHS Shared-Other 1,2,3 Sole MAXWELL TECHNOLOGIES INC COM 577767106 21,290 1,193,408 SHS Shared-Other 1,2,3 Sole MCCORMICK & CO INC COM NON VTG 579780206 6,526 180,619 SHS Shared-Other 1,2,3 Sole MCDONALDS CORP COM 580135101 7,268 116,400 SHS Shared-Other 1,2,3 Sole MEAD JOHNSON NUTRITION CO COM CL A 582839106 4,951 113,300 SHS Shared-Other 1,2,3 Sole MEDIACOM COMMUNICATIONS CORP CL A 58446K105 1,275 285,300 SHS Shared-Other 1,2,3 Sole MEDIDATA SOLUTIONS INC COM 58471A105 17,528 1,122,863 SHS Shared-Other 1,2,3 Sole MEDIVATION INC COM 58501N101 4,872 129,390 SHS Shared-Other 1,2,3 Sole MEDIVATION INC COM 58501N101 18,825 500,000 CALL Shared-Other 1,2,3 Sole MEDTRONIC INC COM 585055106 41,781 950,000 SHS Shared-Other 1,2,3 Sole MERCK & CO INC NEW COM 58933Y105 46,040 1,260,000 SHS Shared-Other 1,2,3 Sole METROPCS COMMUNICATIONS INC COM 591708102 11,662 1,528,462 SHS Shared-Other 1,2,3 Sole MICRON TECHNOLOGY INC COM 595112103 16,368 1,550,000 SHS Shared-Other 1,2,3 Sole MICROSOFT CORP COM 594918104 30,236 992,000 SHS Shared-Other 1,2,3 Sole MICROSOFT CORP COM 594918104 30,480 1,000,000 CALL Shared-Other 1,2,3 Sole MOLSON COORS BREWING CO CL B 60871R209 2,432 53,858 SHS Shared-Other 1,2,3 Sole MORGAN STANLEY COM NEW 617446448 22,200 750,000 PUT Shared-Other 1,2,3 Sole MOTOROLA INC COM 620076109 13,541 1,745,000 SHS Shared-Other 1,2,3 Sole MUELLER WTR PRODS INC COM SER A 624758108 1,170 225,000 SHS Shared-Other 1,2,3 Sole NALCO HOLDING COMPANY COM 62985Q101 14,796 580,000 SHS Shared-Other 1,2,3 Sole NETAPP INC COM 64110D104 11,565 250,000 PUT Shared-Other 1,2,3 Sole NETLOGIC MICROSYSTEMS INC COM 64118B100 4,626 100,000 PUT Shared-Other 1,2,3 Sole NEUSTAR INC CL A 64126X201 16,128 700,000 SHS Shared-Other 1,2,3 Sole NEW GOLD INC CDA COM 644535106 1,820 500,000 SHS Shared-Other 1,2,3 Sole NEWELL RUBBERMAID INC COM 651229106 19,773 1,317,351 SHS Shared-Other 1,2,3 Sole NEWS CORP CL A 65248E104 6,687 488,100 SHS Shared-Other 1,2,3 Sole NEXXUS LIGHTING INC COM 65338E105 1,035 300,000 SHS Shared-Other 1,2,3 Sole NIKE INC CL B 654106103 6,277 95,000 SHS Shared-Other 1,2,3 Sole NORDSTROM INC COM 655664100 5,449 145,000 SHS Shared-Other 1,2,3 Sole NOVELLUS SYS INC COM 670008101 4,668 200,000 PUT Shared-Other 1,2,3 Sole NYSE EURONEXT COM 629491101 18,975 750,000 SHS Shared-Other 1,2,3 Sole O2MICRO INTERNATIONAL LTD SPONS ADR 67107W100 2,116 400,000 SHS Shared-Other 1,2,3 Sole OCCIDENTAL PETE CORP DEL COM 674599105 25,625 315,000 SHS Shared-Other 1,2,3 Sole OFFICEMAX INC DEL COM 67622P101 4,886 385,000 SHS Shared-Other 1,2,3 Sole OPTIBASE LTD ORD M7524R108 557 425,200 SHS Shared-Other 1,2,3 Sole PACKAGING CORP AMER COM 695156109 5,005 217,500 SHS Shared-Other 1,2,3 Sole PALM INC NEW COM 696643105 3,357 335,000 SHS Shared-Other 1,2,3 Sole PANERA BREAD CO CL A 69840W108 8,741 130,700 SHS Shared-Other 1,2,3 Sole PEOPLES UNITED FINANCIAL INC COM 712704105 8,350 500,000 SHS Shared-Other 1,2,3 Sole PEPSI BOTTLING GROUP INC COM 713409100 6,660 177,587 SHS Shared-Other 1,2,3 Sole PEPSICO INC COM 713448108 14,756 242,700 SHS Shared-Other 1,2,3 Sole PETROHAWK ENERGY CORP COM 716495106 16,313 680,000 SHS Shared-Other 1,2,3 Sole PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 95,360 2,000,000 PUT Shared-Other 1,2,3 Sole PFIZER INC COM 717081103 39,563 2,175,000 SHS Shared-Other 1,2,3 Sole POWER-ONE INC COM 739308104 3,120 720,500 SHS Shared-Other 1,2,3 Sole POWERSHARES QQQ TRUST UNIT SER 1 73935A104 68,625 1,500,000 PUT Shared-Other 1,2,3 Sole PRICELINE COM INC COM NEW 741503403 6,543 30,000 SHS Shared-Other 1,2,3 Sole PROCTER & GAMBLE CO COM 742718109 15,406 254,100 SHS Shared-Other 1,2,3 Sole PRUDENTIAL FINL INC COM 744320102 7,215 145,000 SHS Shared-Other 1,2,3 Sole QUALCOMM INC COM 747525103 9,252 200,000 PUT Shared-Other 1,2,3 Sole QWEST COMMUNICATIONS INTL IN COM 749121109 31,259 7,425,000 SHS Shared-Other 1,2,3 Sole RADIOSHACK CORP COM 750438103 10,823 555,000 SHS Shared-Other 1,2,3 Sole RAE SYS INC COM 75061P102 2,307 2,097,600 SHS Shared-Other 1,2,3 Sole RALCORP HLDGS INC NEW COM 751028101 537 9,000 SHS Shared-Other 1,2,3 Sole RED HAT INC COM 756577102 14,987 485,000 SHS Shared-Other 1,2,3 Sole RENESOLA LTD SPONS ADS 75971T103 4,498 945,000 SHS Shared-Other 1,2,3 Sole REPUBLIC SVCS INC COM 760759100 8,210 290,000 SHS Shared-Other 1,2,3 Sole RINO INTERNATIONAL CORPORATI COM 766883102 6,908 250,000 SHS Shared-Other 1,2,3 Sole ROVI CORP COM 779376102 15,935 500,000 CALL Shared-Other 1,2,3 Sole ROVI CORP COM 779376102 96,792 3,039,000 SHS Shared-Other 1,2,3 Sole RTI INTL METALS INC COM 74973W107 3,650 145,000 SHS Shared-Other 1,2,3 Sole RUBICON TECHNOLOGY INC COM 78112T107 4,824 237,543 SHS Shared-Other 1,2,3 Sole SAIC INC COM 78390X101 19,566 1,033,035 SHS Shared-Other 1,2,3 Sole SANDISK CORP COM 80004C101 14,495 500,000 PUT Shared-Other 1,2,3 Sole SANDRIDGE ENERGY INC COM 80007P307 24,075 2,553,000 SHS Shared-Other 1,2,3 Sole SAVIENT PHARMACEUTICALS INC COM 80517Q100 13,270 975,000 SHS Shared-Other 1,2,3 Sole SCHLUMBERGER LTD COM 806857108 37,752 580,000 SHS Shared-Other 1,2,3 Sole SCHWAB CHARLES CORP NEW COM 808513105 5,646 300,000 SHS Shared-Other 1,2,3 Sole SCHWEITZER-MAUDUIT INTL INC COM 808541106 10,482 149,000 SHS Shared-Other 1,2,3 Sole SEAGATE TECHNOLOGY SHS G7945J104 21,191 1,165,000 SHS Shared-Other 1,2,3 Sole SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 2,647 100,000 SHS Shared-Other 1,2,3 Sole SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 14,400 1,000,000 PUT Shared-Other 1,2,3 Sole SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 53,048 1,900,000 PUT Shared-Other 1,2,3 Sole SILICONWARE PRECISION INDS L SPONSD ADR SPL 827084864 4,200 600,000 SHS Shared-Other 1,2,3 Sole SINA CORP ORD G81477104 11,059 245,146 SHS Shared-Other 1,2,3 Sole SL GREEN RLTY CORP COM 78440X101 5,024 100,000 SHS Shared-Other 1,2,3 Sole SOHU COM INC COM 83408W103 13,577 237,031 SHS Shared-Other 1,2,3 Sole SOLARFUN POWER HOLDINGS CO L SPONSORED ADR 83415U108 8,001 1,050,000 SHS Shared-Other 1,2,3 Sole SOLUTIA INC COM NEW 834376501 13,907 1,095,000 SHS Shared-Other 1,2,3 Sole SONOSITE INC COM 83568G104 7,071 300,000 SHS Shared-Other 1,2,3 Sole SOUTHWESTERN ENERGY CO COM 845467109 9,351 194,000 SHS Shared-Other 1,2,3 Sole SPREADTRUM COMMUNICATIONS IN ADR 849415203 3,226 595,173 SHS Shared-Other 1,2,3 Sole ST JUDE MED INC COM 790849103 35,677 970,000 SHS Shared-Other 1,2,3 Sole STARBUCKS CORP COM 855244109 1,154 50,000 SHS Shared-Other 1,2,3 Sole STARWOOD PPTY TR INC COM 85571B105 6,423 340,000 SHS Shared-Other 1,2,3 Sole STRYKER CORP COM 863667101 29,315 582,000 SHS Shared-Other 1,2,3 Sole SUN MICROSYSTEMS INC COM NEW 866810203 9,370 1,000,000 PUT Shared-Other 1,2,3 Sole SUNOCO INC COM 86764P109 2,610 100,000 SHS Shared-Other 1,2,3 Sole SUNPOWER CORP COM CL A 867652109 8,323 351,638 SHS Shared-Other 1,2,3 Sole SUNTECH PWR HLDGS CO LTD ADR 86800C104 8,315 500,000 SHS Shared-Other 1,2,3 Sole SUNTRUST BKS INC COM 867914103 15,218 750,000 PUT Shared-Other 1,2,3 Sole SYKES ENTERPRISES INC COM 871237103 12,730 500,000 SHS Shared-Other 1,2,3 Sole SYMANTEC CORP COM 871503108 39,000 2,180,000 SHS Shared-Other 1,2,3 Sole SYNAPTICS INC COM 87157D109 18,390 600,000 PUT Shared-Other 1,2,3 Sole TARGET CORP COM 87612E106 14,511 300,000 CALL Shared-Other 1,2,3 Sole TARGET CORP COM 87612E106 15,962 330,000 SHS Shared-Other 1,2,3 Sole TECH DATA CORP COM 878237106 20,997 450,000 PUT Shared-Other 1,2,3 Sole TELVENT GIT SA SHS E90215109 6,983 179,200 SHS Shared-Other 1,2,3 Sole TERRA INDS INC COM 880915103 14,389 447,000 SHS Shared-Other 1,2,3 Sole TEXAS INSTRS INC COM 882508104 15,636 600,000 PUT Shared-Other 1,2,3 Sole THQ INC COM NEW 872443403 4,889 970,000 SHS Shared-Other 1,2,3 Sole TYSON FOODS INC CL A 902494103 4,389 357,712 SHS Shared-Other 1,2,3 Sole ULTRATECH INC COM 904034105 4,459 300,500 SHS Shared-Other 1,2,3 Sole UNITED THERAPEUTICS CORP DEL COM 91307C102 31,590 600,000 SHS Shared-Other 1,2,3 Sole UNITEDHEALTH GROUP INC COM 91324P102 15,240 500,000 PUT Shared-Other 1,2,3 Sole UNITEDHEALTH GROUP INC COM 91324P102 20,574 675,000 SHS Shared-Other 1,2,3 Sole UNITEDHEALTH GROUP INC COM 91324P102 35,052 1,150,000 CALL Shared-Other 1,2,3 Sole URBAN OUTFITTERS INC COM 917047102 14,451 413,000 SHS Shared-Other 1,2,3 Sole VAIL RESORTS INC COM 91879Q109 11,151 295,000 SHS Shared-Other 1,2,3 Sole VALE S A ADR 91912E105 7,258 250,000 SHS Shared-Other 1,2,3 Sole VEECO INSTRS INC DEL COM 922417100 59,075 1,790,144 SHS Shared-Other 1,2,3 Sole VENOCO INC COM 92275P307 1,026 78,650 SHS Shared-Other 1,2,3 Sole VERIGY LTD SHS Y93691106 1,929 150,000 SHS Shared-Other 1,2,3 Sole VERISIGN INC COM 92343E102 37,572 1,550,000 SHS Shared-Other 1,2,3 Sole VERISK ANALYTICS INC CL A 92345Y106 17,388 575,000 SHS Shared-Other 1,2,3 Sole VIACOM INC NEW CL B 92553P201 7,474 251,400 SHS Shared-Other 1,2,3 Sole VISION-SCIENCES INC DEL COM 927912105 1,989 1,617,097 SHS Shared-Other 1,2,3 Sole WEATHERFORD INTERNATIONAL LT REG H27013103 4,298 240,000 SHS Shared-Other 1,2,3 Sole WELLPOINT INC COM 94973V107 29,145 500,000 PUT Shared-Other 1,2,3 Sole WELLPOINT INC COM 94973V107 29,145 500,000 CALL Shared-Other 1,2,3 Sole WELLPOINT INC COM 94973V107 33,808 580,000 SHS Shared-Other 1,2,3 Sole WELLS FARGO & CO NEW COM 949746101 99,863 3,700,000 SHS Shared-Other 1,2,3 Sole WENDYS ARBYS GROUP INC COM 950587105 1,797 383,200 SHS Shared-Other 1,2,3 Sole WONDER AUTO TECHNOLOGY INC COM 978166106 2,639 225,000 SHS Shared-Other 1,2,3 Sole XILINX INC COM 983919101 15,036 600,000 PUT Shared-Other 1,2,3 Sole YINGLI GREEN ENERGY HLDG CO ADR 98584B103 6,324 400,000 SHS Shared-Other 1,2,3 Sole ZHONE TECHNOLOGIES INC NEW COM 98950P108 207 523,255 SHS Shared-Other 1,2,3 Sole
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