-----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, RCjVcClYCup43CbtfuRgXUGCNOn7Z8QiEK4/85gq1yk4Xr5+UjRoQpwH5YNiCNqU lnjMfXiHSwh0nnUX0lCEnQ== 0000919574-10-004849.txt : 20100816 0000919574-10-004849.hdr.sgml : 20100816 20100816154846 ACCESSION NUMBER: 0000919574-10-004849 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100630 FILED AS OF DATE: 20100816 DATE AS OF CHANGE: 20100816 EFFECTIVENESS DATE: 20100816 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KINGDON CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0001000097 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04575 FILM NUMBER: 101019504 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/A 1 d1124399_13fhr-a.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: June 30, 2010 Check here if Amendment: |X|; Amendment Number: 1 This Amendment (Check only one): |X| 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 August 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: 4 Form 13F Information Table Entry Total: 177 Form 13F Information Table Value Total: $2,453,961 (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-[XXXXX] M. Kingdon Offshore Master Fund L.P. 3 28-10842 Kingdon Family Partnership, L.P. 4 28-10583 M. Kingdon Offshore Ltd. FORM 13F INFORMATION TABLE Kingdon Capital Management, L.L.C. June 30, 2010
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1,000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE ACACIA RESH CORP ACACIA TCH COM 003881307 26,963 1,901,457 SHS Shared-Other 1,2,3 Sole ACTIVISION BLIZZARD INC COM 00507V109 31,470 3,000,000 SHS Shared-Other 1,2,3 Sole AETNA INC NEW COM 00817Y108 5,276 200,000 SHS Shared-Other 1,2,3 Sole ALBEMARLE CORP COM 012653101 4,964 125,000 SHS Shared-Other 1,2,3 Sole ALIMERA SCIENCES INC COM 016259103 4,323 586,502 SHS Shared-Other 1,2,3 Sole ALTERA CORP COM 021441100 19,848 800,000 PUT Shared-Other 1,2,3 Sole AMAZON COM INC COM 023135106 10,926 100,000 PUT Shared-Other 1,2,3 Sole AMDOCS LTD ORD G02602103 29,535 1,100,000 SHS Shared-Other 1,2,3 Sole AMERICAN WTR WKS CO INC NEW COM 030420103 4,338 210,600 SHS Shared-Other 1,2,3 Sole AMGEN INC COM 031162100 23,670 450,000 CALL Shared-Other 1,2,3 Sole AMPHENOL CORP NEW CL A 032095101 16,340 416,000 PUT Shared-Other 1,2,3 Sole ANALOG DEVICES INC COM 032654105 5,572 200,000 PUT Shared-Other 1,2,3 Sole APPLE INC COM 037833100 94,556 376,000 SHS Shared-Other 1,2,3 Sole APPLE INC COM 037833100 50,306 200,000 CALL Shared-Other 1,2,3 Sole AVAGO TECHNOLOGIES LTD SHS Y0486S104 7,582 360,000 PUT Shared-Other 1,2,3 Sole BAIDU INC SPON ADR REP A 056752108 34,020 500,000 SHS Shared-Other 1,2,3 Sole BANK OF AMERICA CORPORATION COM 060505104 35,925 2,500,000 CALL Shared-Other 1,2,3 Sole BMC SOFTWARE INC COM 055921100 34,630 1,000,000 CALL Shared-Other 1,2,3 Sole BRINKER INTL INC COM 109641100 723 50,000 SHS Shared-Other 1,2,3 Sole BRISTOL MYERS SQUIBB CO COM 110122108 4,988 200,000 SHS Shared-Other 1,2,3 Sole BROADCOM CORP CL A 111320107 6,594 200,000 PUT Shared-Other 1,2,3 Sole CALIX INC COM 13100M509 2,052 200,000 SHS Shared-Other 1,2,3 Sole CEPHALON INC COM 156708109 9,931 175,000 SHS Shared-Other 1,2,3 Sole CEPHALON INC COM 156708109 17,025 300,000 CALL Shared-Other 1,2,3 Sole CHARMING SHOPPES INC COM 161133103 750 200,000 SHS Shared-Other 1,2,3 Sole CHECK POINT SOFTWARE TECH LT ORD M22465104 29,480 1,000,000 SHS Shared-Other 1,2,3 Sole CHEESECAKE FACTORY INC COM 163072101 5,229 234,913 SHS Shared-Other 1,2,3 Sole CHINA MOBILE LIMITED SPONSORED ADR 16941M109 19,764 400,000 SHS Shared-Other 1,2,3 Sole CHINA UNICOM (HONG KONG) LTD SPONSORED ADR 16945R104 13,300 1,000,000 SHS Shared-Other 1,2,3 Sole CHIPOTLE MEXICAN GRILL INC COM 169656105 3,783 27,651 SHS Shared-Other 1,2,3 Sole CMS ENERGY CORP COM 125896100 4,395 300,000 SHS Shared-Other 1,2,3 Sole COCA COLA CO COM 191216100 34,583 690,000 SHS Shared-Other 1,2,3 Sole COCA COLA ENTERPRISES INC COM 191219104 25,221 975,300 SHS Shared-Other 1,2,3 Sole COGO GROUP INC COM 192448108 3,003 483,631 SHS Shared-Other 1,2,3 Sole COMERICA INC COM 200340107 27,623 750,000 PUT Shared-Other 1,2,3 Sole CONSOL ENERGY INC COM 20854P109 1,688 50,000 SHS Shared-Other 1,2,3 Sole DANA HOLDING CORP COM 235825205 1,750 175,000 SHS Shared-Other 1,2,3 Sole DELTA AIR LINES INC DEL COM NEW 247361702 9,988 850,000 SHS Shared-Other 1,2,3 Sole DISH NETWORK CORP CL A 25470M109 18,130 1,000,000 SHS Shared-Other 1,2,3 Sole DOLE FOOD CO INC NEW COM 256603101 2,868 275,000 SHS Shared-Other 1,2,3 Sole DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 14,914 350,000 SHS Shared-Other 1,2,3 Sole DOLLAR TREE INC COM 256746108 9,371 224,998 SHS Shared-Other 1,2,3 Sole DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,870 50,000 SHS Shared-Other 1,2,3 Sole DURECT CORP COM 266605104 6,561 2,700,000 SHS Shared-Other 1,2,3 Sole EMCORE CORP COM 290846104 4,231 4,852,041 SHS Shared-Other 1,2,3 Sole ENZON PHARMACEUTICALS INC COM 293904108 5,059 475,000 SHS Shared-Other 1,2,3 Sole EXCO RESOURCES INC COM 269279402 2,922 200,000 SHS Shared-Other 1,2,3 Sole FEDEX CORP COM 31428X106 8,764 125,000 SHS Shared-Other 1,2,3 Sole FINANCIAL ENGINES INC COM 317485100 1,251 92,000 SHS Shared-Other 1,2,3 Sole FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 9,709 225,000 SHS Shared-Other 1,2,3 Sole GENERAL MLS INC COM 370334104 1,223 34,418 SHS Shared-Other 1,2,3 Sole GENERAL MLS INC COM 370334104 42,624 1,200,000 CALL Shared-Other 1,2,3 Sole GILEAD SCIENCES INC COM 375558103 25,710 750,000 CALL Shared-Other 1,2,3 Sole GLOBAL GEOPHYSICAL SVCS INC COM 37946S107 1,378 197,700 SHS Shared-Other 1,2,3 Sole GOLDMAN SACHS GROUP INC COM 38141G104 32,818 250,000 SHS Shared-Other 1,2,3 Sole GOLDMAN SACHS GROUP INC COM 38141G104 45,945 350,000 CALL Shared-Other 1,2,3 Sole GOOGLE INC CL A 38259P508 22,244 50,000 SHS Shared-Other 1,2,3 Sole GRUPO TELEVISA SA DE CV SP ADR REP ORD 40049J206 8,792 505,000 SHS Shared-Other 1,2,3 Sole GT SOLAR INTL INC COM 3623E0209 4,732 845,000 SHS Shared-Other 1,2,3 Sole HARLEY DAVIDSON INC COM 412822108 10,004 450,000 SHS Shared-Other 1,2,3 Sole HARRY WINSTON DIAMOND CORP COM 41587B100 1,618 131,845 SHS Shared-Other 1,2,3 Sole HEINZ H J CO COM 423074103 21,610 500,000 CALL Shared-Other 1,2,3 Sole HENRY JACK & ASSOC INC COM 426281101 6,066 254,000 SHS Shared-Other 1,2,3 Sole HERTZ GLOBAL HOLDINGS INC COM 42805T105 12,771 1,350,000 SHS Shared-Other 1,2,3 Sole HOME DEPOT INC COM 437076102 7,018 250,000 SHS Shared-Other 1,2,3 Sole HOME DEPOT INC COM 437076102 14,035 500,000 CALL Shared-Other 1,2,3 Sole IMAX CORP COM 45245E109 16,016 1,100,000 SHS Shared-Other 1,2,3 Sole IMMUNOGEN INC COM 45253H101 8,486 917,400 SHS Shared-Other 1,2,3 Sole INFINERA CORPORATION COM 45667G103 3,537 550,000 SHS Shared-Other 1,2,3 Sole INGERSOLL-RAND PLC SHS G47791101 3,449 100,000 SHS Shared-Other 1,2,3 Sole INSPIRE PHARMACEUTICALS INC COM 457733103 11,331 2,270,781 SHS Shared-Other 1,2,3 Sole INTEL CORP COM 458140100 27,230 1,400,000 PUT Shared-Other 1,2,3 Sole ISHARES TR INDEX MSCI EMERG MKT 464287234 37,320 1,000,000 SHS Shared-Other 1,2,3 Sole J2 GLOBAL COMMUNICATIONS INC COM NEW 46626E205 14,446 662,341 SHS Shared-Other 1,2,3 Sole JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 3,241 700,000 SHS Shared-Other 1,2,3 Sole JPMORGAN CHASE & CO COM 46625H100 164,745 4,500,000 SHS Shared-Other 1,2,3 Sole JPMORGAN CHASE & CO COM 46625H100 36,610 1,000,000 PUT Shared-Other 1,2,3 Sole KOHLS CORP COM 500255104 15,438 325,000 SHS Shared-Other 1,2,3 Sole KRATON PERFORMANCE POLYMERS COM 50077C106 7,516 400,000 SHS Shared-Other 1,2,3 Sole KROGER CO COM 501044101 2,954 150,000 SHS Shared-Other 1,2,3 Sole KULICKE & SOFFA INDS INC COM 501242101 4,447 633,500 SHS Shared-Other 1,2,3 Sole LAUDER ESTEE COS INC CL A 518439104 1,232 22,100 SHS Shared-Other 1,2,3 Sole LEXMARK INTL NEW CL A 529771107 13,212 400,000 PUT Shared-Other 1,2,3 Sole LIMELIGHT NETWORKS INC COM 53261M104 5,479 1,248,000 SHS Shared-Other 1,2,3 Sole LIMITED BRANDS INC COM 532716107 4,966 225,000 SHS Shared-Other 1,2,3 Sole LONGTOP FINL TECHNOLOGIES LT ADR 54318P108 6,480 200,000 SHS Shared-Other 1,2,3 Sole LOWES COS INC COM 548661107 12,252 600,000 CALL Shared-Other 1,2,3 Sole LUBRIZOL CORP COM 549271104 18,070 225,000 SHS Shared-Other 1,2,3 Sole MACYS INC COM 55616P104 3,580 200,000 SHS Shared-Other 1,2,3 Sole MACYS INC COM 55616P104 4,475 250,000 CALL Shared-Other 1,2,3 Sole MASTERCARD INC CL A 57636Q104 12,650 63,400 SHS Shared-Other 1,2,3 Sole MAXWELL TECHNOLOGIES INC COM 577767106 14,175 1,243,408 SHS Shared-Other 1,2,3 Sole MCAFEE INC COM 579064106 22,936 746,600 SHS Shared-Other 1,2,3 Sole MCDONALDS CORP COM 580135101 24,624 373,834 SHS Shared-Other 1,2,3 Sole MEAD JOHNSON NUTRITION CO COM 582839106 5,633 112,400 SHS Shared-Other 1,2,3 Sole MEDIACOM COMMUNICATIONS CORP CL A 58446K105 12,252 1,823,191 SHS Shared-Other 1,2,3 Sole MEDIDATA SOLUTIONS INC COM 58471A105 17,393 1,122,863 SHS Shared-Other 1,2,3 Sole MERCK & CO INC NEW COM 58933Y105 8,743 250,000 SHS Shared-Other 1,2,3 Sole MICROCHIP TECHNOLOGY INC COM 595017104 11,096 400,000 PUT Shared-Other 1,2,3 Sole MICROSOFT CORP COM 594918104 23,000 1,000,000 SHS Shared-Other 1,2,3 Sole MICROSTRATEGY INC CL A NEW 594972408 6,249 83,217 SHS Shared-Other 1,2,3 Sole MONSTER WORLDWIDE INC COM 611742107 11,650 999,978 SHS Shared-Other 1,2,3 Sole NABORS INDUSTRIES LTD COM G6359F103 6,167 350,000 SHS Shared-Other 1,2,3 Sole NALCO HOLDING COMPANY COM 62985Q101 4,092 200,000 SHS Shared-Other 1,2,3 Sole NCR CORP NEW COM 62886E108 2,168 178,873 SHS Shared-Other 1,2,3 Sole NETAPP INC COM 64110D104 27,983 750,000 PUT Shared-Other 1,2,3 Sole NETLOGIC MICROSYSTEMS INC COM 64118B100 12,240 450,000 PUT Shared-Other 1,2,3 Sole NEUSTAR INC CL A 64126X201 10,310 500,000 SHS Shared-Other 1,2,3 Sole NEWELL RUBBERMAID INC COM 651229106 18,061 1,233,660 SHS Shared-Other 1,2,3 Sole NEWFIELD EXPL CO COM 651290108 19,544 400,000 SHS Shared-Other 1,2,3 Sole NEXXUS LIGHTING INC COM 65338E105 675 300,000 SHS Shared-Other 1,2,3 Sole NII HLDGS INC CL B NEW 62913F201 30,894 950,000 SHS Shared-Other 1,2,3 Sole NIKE INC CL B 654106103 6,755 100,000 SHS Shared-Other 1,2,3 Sole NPS PHARMACEUTICALS INC COM 62936P103 2,254 350,000 SHS Shared-Other 1,2,3 Sole NYSE EURONEXT COM 629491101 13,815 500,000 SHS Shared-Other 1,2,3 Sole O REILLY AUTOMOTIVE INC COM 686091109 5,943 125,000 SHS Shared-Other 1,2,3 Sole OCLARO INC COM NEW 67555N206 1,829 164,940 SHS Shared-Other 1,2,3 Sole OFFICEMAX INC DEL COM 67622P101 5,841 447,276 SHS Shared-Other 1,2,3 Sole ON SEMICONDUCTOR CORP COM 682189105 1,914 300,000 SHS Shared-Other 1,2,3 Sole OPNEXT INC COM 68375V105 1,815 1,100,000 SHS Shared-Other 1,2,3 Sole OPTIBASE LTD ORD M7524R108 574 425,200 SHS Shared-Other 1,2,3 Sole P F CHANGS CHINA BISTRO INC COM 69333Y108 1,057 26,650 SHS Shared-Other 1,2,3 Sole PANERA BREAD CO CL A 69840W108 7,965 106,000 SHS Shared-Other 1,2,3 Sole PFIZER INC COM 717081103 11,408 800,000 SHS Shared-Other 1,2,3 Sole PFIZER INC COM 717081103 14,260 1,000,000 CALL Shared-Other 1,2,3 Sole PHILLIPS VAN HEUSEN CORP COM 718592108 14,350 310,140 SHS Shared-Other 1,2,3 Sole POPULAR INC COM 733174106 8,678 3,250,023 SHS Shared-Other 1,2,3 Sole POWERSHARES QQQ TRUST UNIT SER 1 73935A104 34,168 800,000 PUT Shared-Other 1,2,3 Sole PPL CORP COM 69351T106 11,851 475,000 SHS Shared-Other 1,2,3 Sole PROCTER & GAMBLE CO COM 742718109 7,498 125,000 SHS Shared-Other 1,2,3 Sole QUINSTREET INC COM 74874Q100 10,958 952,072 SHS Shared-Other 1,2,3 Sole RAE SYS INC COM 75061P102 1,678 2,097,600 SHS Shared-Other 1,2,3 Sole REACHLOCAL INC COM 75525F104 4,864 375,000 SHS Shared-Other 1,2,3 Sole RENESOLA LTD SPONS ADS 75971T103 4,251 712,000 SHS Shared-Other 1,2,3 Sole RIVERBED TECHNOLOGY INC COM 768573107 11,048 400,000 PUT Shared-Other 1,2,3 Sole ROVI CORP COM 779376102 92,955 2,451,999 SHS Shared-Other 1,2,3 Sole RUBICON TECHNOLOGY INC COM 78112T107 8,371 281,292 SHS Shared-Other 1,2,3 Sole SANDISK CORP COM 80004C101 12,622 300,000 PUT Shared-Other 1,2,3 Sole SAVIENT PHARMACEUTICALS INC COM 80517Q100 8,554 679,943 SHS Shared-Other 1,2,3 Sole SAVIENT PHARMACEUTICALS INC COM 80517Q100 4,158 330,000 CALL Shared-Other 1,2,3 Sole SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 54,432 2,100,000 PUT Shared-Other 1,2,3 Sole SHUTTERFLY INC COM 82568P304 14,376 600,000 SHS Shared-Other 1,2,3 Sole SKYWORKS SOLUTIONS INC COM 83088M102 15,111 900,000 PUT Shared-Other 1,2,3 Sole SOLARFUN POWER HOLDINGS CO L SPONSORED ADR 83415U108 293 43,400 SHS Shared-Other 1,2,3 Sole SOLARWINDS INC COM 83416B109 9,624 600,000 SHS Shared-Other 1,2,3 Sole SOLUTIA INC COM NEW 834376501 4,585 350,000 SHS Shared-Other 1,2,3 Sole SPREADTRUM COMMUNICATIONS IN ADR 849415203 2,770 337,846 SHS Shared-Other 1,2,3 Sole ST JOE CO COM 790148100 9,872 426,250 SHS Shared-Other 1,2,3 Sole ST JUDE MED INC COM 790849103 7,218 200,000 SHS Shared-Other 1,2,3 Sole ST JUDE MED INC COM 790849103 18,045 500,000 CALL Shared-Other 1,2,3 Sole STARBUCKS CORP COM 855244109 10,843 446,200 SHS Shared-Other 1,2,3 Sole STARWOOD PPTY TR INC COM 85571B105 4,068 240,000 SHS Shared-Other 1,2,3 Sole SUNPOWER CORP COM CL A 867652109 10,488 867,500 SHS Shared-Other 1,2,3 Sole SYNAPTICS INC COM 87157D109 4,125 150,000 PUT Shared-Other 1,2,3 Sole TARGET CORP COM 87612E106 8,359 170,000 SHS Shared-Other 1,2,3 Sole TEMPLE INLAND INC COM 879868107 3,101 150,000 SHS Shared-Other 1,2,3 Sole TENNECO INC COM 880349105 3,159 150,000 SHS Shared-Other 1,2,3 Sole TIM PARTICIPACOES S A SPONS ADR PFD 88706P106 25,376 935,000 SHS Shared-Other 1,2,3 Sole UAL CORP COM NEW 902549807 10,280 500,000 SHS Shared-Other 1,2,3 Sole ULTRATECH INC COM 904034105 6,455 396,747 SHS Shared-Other 1,2,3 Sole UNITED ONLINE INC COM 911268100 11,750 2,040,000 SHS Shared-Other 1,2,3 Sole UNITED THERAPEUTICS CORP DEL COM 91307C102 12,203 250,000 SHS Shared-Other 1,2,3 Sole URBAN OUTFITTERS INC COM 917047102 7,263 211,200 SHS Shared-Other 1,2,3 Sole US BANCORP DEL COM NEW 902973304 11,175 500,000 SHS Shared-Other 1,2,3 Sole VEECO INSTRS INC DEL COM 922417100 29,217 852,301 SHS Shared-Other 1,2,3 Sole VEECO INSTRS INC DEL COM 922417100 10,284 300,000 PUT Shared-Other 1,2,3 Sole VERISK ANALYTICS INC CL A 92345Y106 2,989 100,000 SHS Shared-Other 1,2,3 Sole VIRGIN MEDIA INC COM 92769L101 33,884 2,030,225 SHS Shared-Other 1,2,3 Sole VISION-SCIENCES INC DEL COM 927912105 1,601 1,617,097 SHS Shared-Other 1,2,3 Sole VIVO PARTICIPACOES S A SPON ADR PFD NEW 92855S200 25,345 977,800 SHS Shared-Other 1,2,3 Sole WELLPOINT INC COM 94973V107 7,340 150,000 SHS Shared-Other 1,2,3 Sole WENDYS ARBYS GROUP INC COM 950587105 3,200 800,000 SHS Shared-Other 1,2,3 Sole WILLIAMS COS INC DEL COM 969457100 3,656 200,000 SHS Shared-Other 1,2,3 Sole YINGLI GREEN ENERGY HLDG CO ADR 98584B103 4,072 400,000 SHS Shared-Other 1,2,3 Sole YUM BRANDS INC COM 988498101 7,472 191,400 SHS Shared-Other 1,2,3 Sole ZHONE TECHNOLOGIES INC NEW COM NEW 98950P884 156 104,650 SHS Shared-Other 1,2,3 Sole ZIONS BANCORPORATION COM 989701107 12,942 600,000 PUT Shared-Other 1,2,3 Sole
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