0000894579-12-000234.txt : 20120814
0000894579-12-000234.hdr.sgml : 20120814
20120814114715
ACCESSION NUMBER: 0000894579-12-000234
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120630
FILED AS OF DATE: 20120814
DATE AS OF CHANGE: 20120814
EFFECTIVENESS DATE: 20120814
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: SPRINGBOK CAPITAL MANAGEMENT, LLC
CENTRAL INDEX KEY: 0001387508
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-12257
FILM NUMBER: 121030733
BUSINESS ADDRESS:
STREET 1: 130 EAST 59TH STREET
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
BUSINESS PHONE: 212-897-6732
MAIL ADDRESS:
STREET 1: 130 EAST 59TH STREET
STREET 2: 11TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10022
13F-HR
1
springbok13fhr080612.txt
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: June 30, 2012
Check here if Amendment: |_|; Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding entries.
Institutional Investment Manager Filing this Report:
Name: Springbok Capital Management, LLC
Address: 437 Madison Avenue, 33rd Floor
New York, New York 10022
13F File Number: 028-12257
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: Cisco J. del Valle
Title: Managing Member
Phone: 212-546-1180
Signature, Place and Date of Signing:
/s/ Cisco J. del Valle New York, NY August 14, 2012
----------------------- -------------------------- --------------------
[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: 0
Form 13F Information Table Entry Total: 639
Form 13F Information Table Value Total: $278,681
(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.
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
7 DAYS GROUP HLDGS LTD ADR 81783J101 79 7,500 SH OTHER 7,500
ABERCROMBIE & FITCH CO CL A 002896207 137 4,000 SH OTHER 4,000
ABOVENET INC COM 00374N107 302 3,600 SH OTHER 3,600
ACCURIDE CORP NEW COM NEW 00439T206 252 42,055 SH OTHER 42,055
ACE LTD SHS H0023R105 44 600 SH OTHER 600
ACHILLION
PHARMACEUTICALS IN COM 00448Q201 175 28,234 SH OTHER 28,234
ACME PACKET INC COM 004764106 45 2,400 SH OTHER 2,400
ACORDA THERAPEUTICS INC COM 00484M106 435 18,459 SH OTHER 18,459
ADOBE SYS INC COM 00724F101 26 800 SH OTHER 800
AETNA INC NEW COM 00817Y108 1,745 45,000 SH Call OTHER 45,000
AETNA INC NEW COM 00817Y108 1,369 35,300 SH OTHER 35,300
AFFYMAX INC COM 00826A109 415 32,222 SH OTHER 32,222
AFFYMETRIX INC COM 00826T108 429 91,454 SH OTHER 91,454
AFLAC INC COM 001055102 239 5,600 SH OTHER 5,600
AG MTG INVT TR INC COM 001228105 833 38,740 SH OTHER 38,740
AGILENT TECHNOLOGIES INC COM 00846U101 133 3,400 SH OTHER 3,400
AGL RES INC COM 001204106 50 1,300 SH OTHER 1,300
AIRGAS INC COM 009363102 50 600 SH OTHER 600
AK STL HLDG CORP COM 001547108 468 79,740 SH OTHER 79,740
AKAMAI TECHNOLOGIES INC COM 00971T101 222 7,000 SH Put OTHER 7,000
ALBEMARLE CORP COM 012653101 48 800 SH OTHER 800
ALCATEL-LUCENT SPONSORED ADR 013904305 29 17,500 SH OTHER 17,500
ALCOA INC COM 013817101 38 4,300 SH OTHER 4,300
ALEXION PHARMACEUTICALS INC COM 015351109 311 3,130 SH OTHER 3,130
ALIGN TECHNOLOGY INC COM 016255101 130 3,900 SH Put OTHER 3,900
ALLERGAN INC COM 018490102 790 8,533 SH OTHER 8,533
ALLSTATE CORP COM 020002101 46 1,300 SH OTHER 1,300
ALNYLAM
PHARMACEUTICALS INC COM 02043Q107 218 18,700 SH OTHER 18,700
ALTRIA GROUP INC COM 02209S103 52 1,500 SH OTHER 1,500
AMAG PHARMACEUTICALS INC COM 00163U106 264 17,146 SH OTHER 17,146
AMARIN CORP PLC SPONS ADR NEW 023111206 506 35,000 SH Call OTHER 35,000
AMARIN CORP PLC SPONS ADR NEW 023111206 1,297 89,662 SH OTHER 89,662
AMEREN CORP COM 023608102 44 1,300 SH OTHER 1,300
AMERICAN AXLE & MFG HLDGS IN COM 024061103 224 21,400 SH OTHER 21,400
AMERICAN CAP MTG INVT CORP COM 02504A104 465 19,500 SH OTHER 19,500
AMERICAN ELEC PWR INC COM 025537101 88 2,200 SH OTHER 2,200
AMERICAN EQTY INVT LIFE HLD COM 025676206 4 340 SH OTHER 340
AMERICAN INTL GROUP INC COM NEW 026874784 112 3,500 SH OTHER 3,500
AMERICAN TOWER CORP NEW COM 03027X100 944 13,500 SH OTHER 13,500
AMGEN INC COM 031162100 140 1,925 SH OTHER 1,925
AMICUS THERAPEUTICS INC COM 03152W109 130 23,669 SH OTHER 23,669
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
AMPHENOL CORP NEW CL A 032095101 38 700 SH OTHER 700
AMYLIN PHARMACEUTICALS INC COM 032346108 191 6,787 SH OTHER 6,787
ANADARKO PETE CORP COM 032511107 941 14,210 SH OTHER 14,210
ANALOG DEVICES INC COM 032654105 159 4,227 SH OTHER 4,227
ANGIES LIST INC COM 034754101 158 10,000 SH Put OTHER 10,000
ANNALY CAP MGMT INC NOTE 5.000% 5/1 035710AB8 13,424 800,000 SH OTHER 800,000
APARTMENT INVT & MGMT CO CL A 03748R101 297 11,000 SH OTHER 11,000
APOLLO COML REAL EST FIN INC COM 03762U105 100 6,250 SH OTHER 6,250
APPLE INC COM 037833100 1,830 3,133 SH OTHER 3,133
ARCHER DANIELS MIDLAND CO COM 039483102 180 6,100 SH OTHER 6,100
ARES CAP CORP COM 04010L103 983 61,600 SH OTHER 61,600
ARIBA INC COM NEW 04033V203 1,992 44,500 SH OTHER 44,500
ASHFORD HOSPITALITY TR INC 9% CUM PFD
SER E 044103505 14 1,700 SH OTHER 1,700
ASHLAND INC NEW COM 044209104 80 1,150 SH OTHER 1,150
ASML HOLDING N V NY REG SHS N07059186 443 8,625 SH OTHER 8,625
AT&T INC COM 00206R102 82 2,300 SH OTHER 2,300
ATHENAHEALTH INC COM 04685W103 317 4,000 SH Put OTHER 4,000
ATWOOD OCEANICS INC COM 050095108 189 5,000 SH Call OTHER 5,000
AVERY DENNISON CORP COM 053611109 94 3,450 SH OTHER 3,450
BAKER HUGHES INC COM 057224107 41 1,000 SH OTHER 1,000
BALLY TECHNOLOGIES INC COM 05874B107 51 1,100 SH OTHER 1,100
BANK OF AMERICA CORPORATION COM 060505104 308 37,625 SH OTHER 37,625
BANK OF NEW YORK MELLON CORP COM 064058100 110 5,000 SH OTHER 5,000
IPTH S&P
BARCLAYS BK PLC VIX NEW 06740C261 1,399 92,000 SH OTHER 92,000
BARD C R INC COM 067383109 189 1,760 SH OTHER 1,760
BARRETT BILL CORP COM 06846N104 64 3,000 SH OTHER 3,000
BECTON DICKINSON & CO COM 075887109 150 2,000 SH OTHER 2,000
BED BATH & BEYOND INC COM 075896100 618 10,000 SH OTHER 10,000
BHP BILLITON PLC SPONSORED ADR 05545E209 1,361 23,805 SH OTHER 23,805
BIOGEN IDEC INC COM 09062X103 309 2,140 SH OTHER 2,140
BIOMED REALTY TRUST INC COM 09063H107 596 31,900 SH OTHER 31,900
BLACKROCK INC COM 09247X101 102 600 SH OTHER 600
BLACKROCK KELSO CAPITAL CORP COM 092533108 100 10,200 SH OTHER 10,200
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 65 5,000 SH OTHER 5,000
BMC SOFTWARE INC COM 055921100 30 700 SH OTHER 700
BOISE INC COM 09746Y105 159 24,150 SH OTHER 24,150
BOSTON SCIENTIFIC CORP COM 101137107 652 115,000 SH OTHER 115,000
BP PLC SPONSORED ADR 055622104 93 2,300 SH OTHER 2,300
BRE PROPERTIES INC CL A 05564E106 580 11,600 SH OTHER 11,600
BROADCOM CORP CL A 111320107 68 2,000 SH Call OTHER 2,000
BROADCOM CORP CL A 111320107 337 9,975 SH OTHER 9,975
BROOKFIELD ASSET MGMT INC CL A LTD VT SH 112585104 150 4,525 SH OTHER 4,525
BROOKFIELD OFFICE PPTYS INC COM 112900105 610 35,000 SH OTHER 35,000
BRUKER CORP COM 116794108 48 3,600 SH OTHER 3,600
BUNGE LIMITED COM G16962105 391 6,235 SH OTHER 6,235
C&J ENERGY SVCS INC COM 12467B304 1,388 75,000 SH OTHER 75,000
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
CABOT OIL & GAS CORP COM 127097103 453 11,500 SH Put OTHER 11,500
CABOT OIL & GAS CORP COM 127097103 984 24,986 SH OTHER 24,986
CALPINE CORP COM NEW 131347304 233 14,100 SH OTHER 14,100
CAMECO CORP COM 13321L108 1,195 54,447 SH OTHER 54,447
CAMERON INTERNATIONAL CORP COM 13342B105 816 19,100 SH OTHER 19,100
CAPITAL ONE FINL CORP COM 14040H105 797 14,582 SH OTHER 14,582
CARDINAL HEALTH INC COM 14149Y108 122 2,900 SH OTHER 2,900
CAREER EDUCATION CORP COM 141665109 502 75,000 SH OTHER 75,000
CARMAX INC COM 143130102 75 2,900 SH OTHER 2,900
CARRIZO OIL & CO INC COM 144577103 28 1,200 SH OTHER 1,200
CATALYST HEALTH SOLUTIONS IN COM 14888B103 1,551 16,600 SH OTHER 16,600
CATERPILLAR INC DEL COM 149123101 560 6,600 SH OTHER 6,600
CELANESE CORP DEL COM SER A 150870103 48 1,400 SH OTHER 1,400
CELGENE CORP COM 151020104 287 4,480 SH OTHER 4,480
CF INDS HLDGS INC COM 125269100 49 251 SH OTHER 251
CHART INDS INC COM PAR $0.01 16115Q308 552 8,033 SH OTHER 8,033
CHATHAM LODGING TR COM 16208T102 76 5,300 SH OTHER 5,300
CHENIERE ENERGY INC COM NEW 16411R208 372 25,220 SH OTHER 25,220
CHINA LODGING GROUP LTD SPONSORED ADR 16949N109 76 6,500 SH OTHER 6,500
CHUBB CORP COM 171232101 80 1,100 SH OTHER 1,100
CIGNA CORPORATION COM 125509109 154 3,500 SH OTHER 3,500
CIRRUS LOGIC INC COM 172755100 149 5,000 SH OTHER 5,000
CISCO SYS INC COM 17275R102 52 3,050 SH OTHER 3,050
CITIGROUP INC COM NEW 172967424 137 5,000 SH OTHER 5,000
CLEAN ENERGY FUELS CORP COM 184499101 96 6,200 SH OTHER 6,200
CLEARWATER PAPER CORP COM 18538R103 95 2,775 SH OTHER 2,775
CLEVELAND BIOLABS INC COM 185860103 181 115,000 SH OTHER 115,000
CLOUD PEAK ENERGY INC COM 18911Q102 720 42,580 SH OTHER 42,580
CMS ENERGY CORP COM 125896100 148 6,300 SH OTHER 6,300
CNOOC LTD SPONSORED ADR 126132109 193 960 SH OTHER 960
COACH INC COM 189754104 135 2,300 SH OTHER 2,300
COBALT INTL ENERGY INC COM 19075F106 345 14,700 SH OTHER 14,700
COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 303 5,044 SH OTHER 5,044
COLGATE PALMOLIVE CO COM 194162103 204 1,960 SH OTHER 1,960
COLONY FINL INC COM 19624R106 48 2,750 SH OTHER 2,750
COLUMBIA SPORTSWEAR CO COM 198516106 139 2,600 SH Put OTHER 2,600
COMCAST CORP NEW CL A 20030N101 160 5,000 SH Put OTHER 5,000
COMCAST CORP NEW CL A 20030N101 208 6,500 SH OTHER 6,500
COMCAST CORP NEW CL A SPL 20030N200 606 19,300 SH OTHER 19,300
COMERICA INC COM 200340107 58 1,900 SH OTHER 1,900
COMPUTER SCIENCES CORP COM 205363104 42 1,700 SH OTHER 1,700
COMSTOCK RES INC COM NEW 205768203 25 1,550 SH OTHER 1,550
CONSOLIDATED EDISON INC COM 209115104 261 4,200 SH OTHER 4,200
CONTINENTAL RESOURCES INC COM 212015101 107 1,600 SH OTHER 1,600
CON-WAY INC COM 205944101 271 7,500 SH Put OTHER 7,500
COOPER INDUSTRIES PLC SHS G24140108 2,523 37,000 SH OTHER 37,000
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
CORNING INC COM 219350105 18 1,400 SH OTHER 1,400
COSTAMARE INC SHS Y1771G102 330 23,733 SH OTHER 23,733
COTT CORP QUE COM 22163N106 119 14,500 SH OTHER 14,500
COVIDIEN PLC SHS G2554F113 576 10,770 SH OTHER 10,770
CREE INC COM 225447101 295 11,500 SH Call OTHER 11,500
CREE INC COM 225447101 385 15,000 SH Put OTHER 15,000
CREE INC COM 225447101 257 10,000 SH OTHER 10,000
CROWN CASTLE INTL CORP COM 228227104 120 2,050 SH OTHER 2,050
CUBESMART COM 229663109 282 24,200 SH OTHER 24,200
CVS CAREMARK CORPORATION COM 126650100 322 6,900 SH OTHER 6,900
D R HORTON INC COM 23331A109 50 2,700 SH OTHER 2,700
DANA HLDG CORP COM 235825205 420 32,800 SH OTHER 32,800
DANAHER CORP DEL COM 235851102 42 800 SH OTHER 800
DAVITA INC COM 23918K108 641 6,530 SH OTHER 6,530
DECKERS OUTDOOR CORP COM 243537107 251 5,710 SH OTHER 5,710
DEERE & CO COM 244199105 247 3,050 SH OTHER 3,050
DELL INC COM 24702R101 49 3,900 SH OTHER 3,900
DELTA AIR LINES INC DEL COM NEW 247361702 469 42,850 SH OTHER 42,850
DEVON ENERGY CORP NEW COM 25179M103 52 900 SH OTHER 900
DIAMOND OFFSHORE DRILLING IN COM 25271C102 142 2,400 SH OTHER 2,400
DIGITALGLOBE INC COM NEW 25389M877 529 34,900 SH Call OTHER 34,900
DIGITALGLOBE INC COM NEW 25389M877 440 29,015 SH OTHER 29,015
DISNEY WALT CO COM DISNEY 254687106 252 5,200 SH OTHER 5,200
DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 49 600 SH OTHER 600
DOMINION RES INC VA NEW COM 25746U109 27 500 SH OTHER 500
DOMINOS PIZZA INC COM 25754A201 2,435 78,789 SH OTHER 78,789
DOUBLELINE OPPORTUNISTIC CR COM 258623107 287 10,654 SH OTHER 10,654
DOVER CORP COM 260003108 289 5,400 SH OTHER 5,400
DOW CHEM CO COM 260543103 835 26,520 SH OTHER 26,520
DRIL-QUIP INC COM 262037104 414 6,305 SH OTHER 6,305
DTE ENERGY CO COM 233331107 154 2,600 SH OTHER 2,600
DUKE ENERGY CORP NEW COM 26441C105 23 1,000 SH OTHER 1,000
E M C CORP MASS COM 268648102 128 5,000 SH Call OTHER 5,000
E M C CORP MASS COM 268648102 410 16,000 SH Put OTHER 16,000
E M C CORP MASS COM 268648102 730 28,500 SH OTHER 28,500
E TRADE FINANCIAL CORP COM NEW 269246401 26 3,200 SH OTHER 3,200
EATON CORP COM 278058102 589 14,850 SH OTHER 14,850
EBAY INC COM 278642103 50 1,200 SH Put OTHER 1,200
EBAY INC COM 278642103 740 17,618 SH OTHER 17,618
ECHOSTAR CORP CL A 278768106 2,821 106,758 SH OTHER 106,758
E-COMMERCE CHINA DANGDANG IN SPN ADS COM A 26833A105 224 33,600 SH Call OTHER 33,600
E-COMMERCE CHINA DANGDANG IN SPN ADS COM A 26833A105 869 130,480 SH OTHER 130,480
EDELMAN FINL GROUP INC COM 27943Q105 394 45,300 SH OTHER 45,300
EDISON INTL COM 281020107 51 1,100 SH OTHER 1,100
ELDORADO GOLD CORP NEW COM 284902103 92 7,500 SH OTHER 7,500
ELSTER GROUP SE SPONSORED ADR 290348101 418 20,600 SH OTHER 20,600
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
ENDOCYTE INC COM 29269A102 24 2,888 SH OTHER 2,888
ENTERGY CORP NEW COM 29364G103 54 800 SH OTHER 800
EOG RES INC COM 26875P101 781 8,666 SH OTHER 8,666
EPLUS INC COM 294268107 181 5,585 SH OTHER 5,585
EQUINIX INC COM NEW 29444U502 1,873 10,666 SH OTHER 10,666
EQUITY RESIDENTIAL SH BEN INT 29476L107 218 3,500 SH OTHER 3,500
ESSEX PPTY TR INC COM 297178105 385 2,500 SH OTHER 2,500
EXCO RESOURCES INC COM 269279402 23 3,000 SH OTHER 3,000
EXELON CORP COM 30161N101 354 9,400 SH OTHER 9,400
EXPRESS INC COM 30219E103 167 9,200 SH OTHER 9,200
EXPRESS SCRIPTS INC COM 302182100 510 12,409 SH OTHER 12,409
F5 NETWORKS INC COM 315616102 149 1,500 SH Put OTHER 1,500
FAIRCHILD SEMICONDUCTOR INTL COM 303726103 155 10,975 SH OTHER 10,975
FAMILY DLR STORES INC COM 307000109 80 1,200 SH OTHER 1,200
FELCOR LODGING TR INC COM 31430F101 18 3,850 SH OTHER 3,850
FIDELITY NATIONAL FINANCIAL CL A 31620R105 67 3,500 SH OTHER 3,500
FIFTH STREET FINANCE CORP COM 31678A103 499 50,000 SH OTHER 50,000
FIFTH THIRD BANCORP COM 316773100 52 3,900 SH OTHER 3,900
FINISAR CORP COM NEW 31787A507 598 40,000 SH OTHER 40,000
FIRST NIAGARA FINL GP INC COM 33582V108 48 6,300 SH OTHER 6,300
FLIR SYS INC COM 302445101 47 2,400 SH OTHER 2,400
FMC TECHNOLOGIES INC COM 30249U101 157 4,000 SH OTHER 4,000
FOREST LABS INC COM 345838106 49 1,400 SH OTHER 1,400
FRANCESCAS HLDGS CORP COM 351793104 270 10,000 SH OTHER 10,000
FREEPORT-MCMORAN COPPER & GO COM 35671D857 51 1,500 SH Call OTHER 1,500
FREEPORT-MCMORAN COPPER & GO COM 35671D857 1,540 45,201 SH OTHER 45,201
FRONTLINE LTD SHS G3682E127 1 300 SH Call OTHER 300
FUSION-IO INC COM 36112J107 209 10,000 SH Put OTHER 10,000
FXCM INC COM CL A 302693106 162 13,800 SH Call OTHER 13,800
FXCM INC COM CL A 302693106 1,700 144,561 SH OTHER 144,561
GAP INC DEL COM 364760108 79 2,900 SH OTHER 2,900
GARTNER INC COM 366651107 52 1,200 SH OTHER 1,200
GENERAL DYNAMICS CORP COM 369550108 139 2,100 SH OTHER 2,100
GENERAL ELECTRIC CO COM 369604103 146 7,000 SH OTHER 7,000
GENERAL MLS INC COM 370334104 112 2,900 SH OTHER 2,900
GENERAL MTRS CO COM 37045V100 325 16,500 SH OTHER 16,500
GEN-PROBE INC NEW COM 36866T103 1,673 20,350 SH OTHER 20,350
GENTEX CORP COM 371901109 48 2,300 SH OTHER 2,300
GENUINE PARTS CO COM 372460105 157 2,600 SH OTHER 2,600
GEOEYE INC COM 37250W108 232 15,000 SH Call OTHER 15,000
GEOEYE INC COM 37250W108 132 8,509 SH OTHER 8,509
GILEAD SCIENCES INC COM 375558103 851 16,594 SH OTHER 16,594
GLOBAL CASH ACCESS HLDGS INC COM 378967103 544 75,413 SH OTHER 75,413
GLOBAL X FDS GLB X URANIUM 37950E754 104 14,000 SH OTHER 14,000
GOLAR LNG LTD BERMUDA SHS G9456A100 1,296 34,384 SH OTHER 34,384
GOLDMAN SACHS GROUP INC COM 38141G104 77 800 SH OTHER 800
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
GOODRICH CORP COM 382388106 3,667 28,900 SH OTHER 28,900
GOODYEAR TIRE & RUBR CO COM 382550101 372 31,525 SH OTHER 31,525
GOOGLE INC CL A 38259P508 58 100 SH Put OTHER 100
GOOGLE INC CL A 38259P508 377 650 SH OTHER 650
GREEN MTN COFFEE ROASTERS IN COM 393122106 327 15,000 SH OTHER 15,000
GROUPON INC COM CL A 399473107 106 10,000 SH Put OTHER 10,000
GSI GROUP INC CDA NEW COM NEW 36191C205 116 10,163 SH OTHER 10,163
GUESS INC COM 401617105 106 3,500 SH OTHER 3,500
HALLIBURTON CO COM 406216101 171 6,010 SH OTHER 6,010
HALOZYME THERAPEUTICS INC COM 40637H109 392 44,241 SH OTHER 44,241
HANESBRANDS INC COM 410345102 69 2,500 SH OTHER 2,500
HANGER INC COM NEW 41043F208 67 2,600 SH OTHER 2,600
HARLEY DAVIDSON INC COM 412822108 137 3,000 SH OTHER 3,000
HARMONY GOLD MNG LTD SPONSORED ADR 413216300 101 10,700 SH OTHER 10,700
HARTFORD FINL SVCS GROUP INC COM 416515104 97 5,500 SH OTHER 5,500
HCA HOLDINGS INC COM 40412C101 551 18,100 SH OTHER 18,100
HEINZ H J CO COM 423074103 179 3,300 SH OTHER 3,300
HERBALIFE LTD COM USD SHS G4412G101 217 4,500 SH OTHER 4,500
HERTZ GLOBAL HOLDINGS INC COM 42805T105 52 4,100 SH OTHER 4,100
HESS CORP COM 42809H107 678 15,600 SH OTHER 15,600
HEWLETT PACKARD CO COM 428236103 68 3,400 SH OTHER 3,400
HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 34 18,000 SH Call OTHER 18,000
HIMAX TECHNOLOGIES INC SPONSORED ADR 43289P106 93 49,335 SH OTHER 49,335
HOME INNS & HOTELS MGMT INC SPON ADR 43713W107 79 3,500 SH OTHER 3,500
HOME LN SERVICING SOLUTIONS ORD SHS G6648D109 323 24,102 SH OTHER 24,102
HONEYWELL INTL INC COM 438516106 190 3,400 SH OTHER 3,400
HORMEL FOODS CORP COM 440452100 12 400 SH OTHER 400
HORSEHEAD HLDG CORP COM 440694305 110 11,000 SH OTHER 11,000
COM SH
HOSPITALITY PPTYS TR BEN INT 44106M102 193 7,800 SH OTHER 7,800
HSN INC COM 404303109 387 9,584 SH OTHER 9,584
HUMAN GENOME SCIENCES INC COM 444903108 380 28,926 SH OTHER 28,926
HUMANA INC COM 444859102 54 700 SH OTHER 700
IDENIX PHARMACEUTICALS INC COM 45166R204 113 10,982 SH OTHER 10,982
ILLINOIS TOOL WKS INC COM 452308109 79 1,500 SH OTHER 1,500
ILLUMINA INC COM 452327109 693 17,153 SH OTHER 17,153
INCYTE CORP COM 45337C102 419 18,459 SH OTHER 18,459
INFINITY PHARMACEUTICALS INC COM 45665G303 475 35,048 SH OTHER 35,048
INGERSOLL-RAND PLC SHS G47791101 30 700 SH OTHER 700
INNOPHOS HOLDINGS INC COM 45774N108 88 1,550 SH OTHER 1,550
INTEL CORP COM 458140100 192 7,200 SH OTHER 7,200
INTERACTIVE BROKERS GROUP IN COM 45841N107 269 18,284 SH OTHER 18,284
INTERLINE BRANDS INC COM 458743101 361 14,400 SH OTHER 14,400
INTERMUNE INC COM 45884X103 283 23,689 SH OTHER 23,689
INTERNATIONAL BUSINESS MACHS COM 459200101 117 600 SH Put OTHER 600
INTERNATIONAL BUSINESS MACHS COM 459200101 225 1,150 SH OTHER 1,150
INTERNATIONAL GAME TECHNOLOG COM 459902102 315 20,000 SH OTHER 20,000
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
INTEROIL CORP COM 460951106 7,254 104,080 SH OTHER 104,080
INTERSIL CORP CL A 46069S109 59 5,500 SH OTHER 5,500
INTL PAPER CO COM 460146103 113 3,900 SH OTHER 3,900
INVESCO MORTGAGE CAPITAL INC COM 46131B100 261 14,250 SH OTHER 14,250
IRONWOOD
PHARMACEUTICALS INC COM CL A 46333X108 321 23,327 SH OTHER 23,327
ISHARES INC MSCI BRAZIL 464286400 899 17,400 SH OTHER 17,400
MSCI CDA
ISHARES INC INDEX 464286509 165 6,400 SH OTHER 6,400
ISHARES INC MSCI S KOREA 464286772 493 9,000 SH OTHER 9,000
ISHARES S&P GSCI
COMMODITY I UNIT BEN INT 46428R107 82 2,700 SH OTHER 2,700
ISHARES SILVER TRUST ISHARES 46428Q109 133 5,000 SH OTHER 5,000
ISHARES TR S&P 100 IDX FD 464287101 81 1,300 SH OTHER 1,300
BARCLYS
ISHARES TR TIPS BD 464287176 251 2,100 SH OTHER 2,100
ISHARES TR FTSECHINA25 IDX 464287184 67 2,000 SH OTHER 2,000
ISHARES TR S&P 500 VALUE 464287408 81 1,300 SH OTHER 1,300
ISHARES TR RUSSELL MCP GR 464287481 160 2,700 SH OTHER 2,700
ISHARES TR RUSSELL 1000GRW 464287614 82 1,300 SH OTHER 1,300
ISHARES TR RUSSELL 2000 464287655 17,782 223,500 SH Put OTHER 223,500
ISHARES TR RUSSELL 2000 464287655 4 46 SH OTHER 46
ISHARES TR HIGH YLD CORP 464288513 913 10,000 SH OTHER 10,000
ISIS PHARMACEUTICALS INC COM 464330109 323 26,899 SH OTHER 26,899
ITT CORP NEW COM NEW 450911201 81 4,600 SH OTHER 4,600
JDA SOFTWARE GROUP INC COM 46612K108 39 1,300 SH OTHER 1,300
JOHNSON & JOHNSON COM 478160104 439 6,500 SH OTHER 6,500
JOHNSON CTLS INC COM 478366107 47 1,700 SH OTHER 1,700
JOY GLOBAL INC COM 481165108 170 3,000 SH OTHER 3,000
*W EXP
JPMORGAN CHASE & CO 10/28/201 46634E114 132 13,500 SH OTHER 13,500
JPMORGAN CHASE & CO COM 46625H100 304 8,500 SH OTHER 8,500
KAISER ALUMINUM CORP COM PAR $0.01 483007704 109 2,100 SH OTHER 2,100
KANSAS CITY SOUTHERN COM NEW 485170302 308 4,425 SH OTHER 4,425
KBR INC COM 48242W106 30 1,200 SH OTHER 1,200
KELLOGG CO COM 487836108 153 3,100 SH OTHER 3,100
KEY ENERGY SVCS INC COM 492914106 94 12,400 SH OTHER 12,400
KEYCORP NEW COM 493267108 50 6,500 SH OTHER 6,500
KIMBERLY CLARK CORP COM 494368103 25 300 SH OTHER 300
KIMCO RLTY CORP COM 49446R109 396 20,800 SH OTHER 20,800
KINDER MORGAN INC DEL COM 49456B101 273 8,462 SH OTHER 8,462
*W EXP
KINDER MORGAN INC DEL 05/25/201 49456B119 82 37,756 SH OTHER 37,756
KINDER MORGAN MANAGEMENT LLC SHS 49455U100 217 3,000 SH OTHER 3,000
KINDRED HEALTHCARE INC COM 494580103 29 3,000 SH OTHER 3,000
KKR FINANCIAL HLDGS LLC COM 48248A306 310 36,440 SH OTHER 36,440
KLA-TENCOR CORP COM 482480100 286 5,800 SH OTHER 5,800
KNOLOGY INC COM 499183804 974 49,500 SH OTHER 49,500
KRAFT FOODS INC CL A 50075N104 85 2,200 SH OTHER 2,200
KROGER CO COM 501044101 2 100 SH OTHER 100
LABORATORY CORP AMER HLDGS COM NEW 50540R409 232 2,500 SH OTHER 2,500
LAUDER ESTEE COS INC CL A 518439104 38 700 SH OTHER 700
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
LEAR CORP COM NEW 521865204 1,056 28,000 SH OTHER 28,000
LECROY CORP COM 52324W109 147 10,300 SH OTHER 10,300
LENDER PROCESSING SVCS INC COM 52602E102 88 3,500 SH OTHER 3,500
LENNAR CORP CL A 526057104 626 20,250 SH OTHER 20,250
LEXINGTON REALTY TRUST COM 529043101 58 6,900 SH OTHER 6,900
LIFE TECHNOLOGIES CORP COM 53217V109 634 14,085 SH OTHER 14,085
LILLY ELI & CO COM 532457108 335 7,800 SH OTHER 7,800
LIMITED BRANDS INC COM 532716107 51 1,200 SH OTHER 1,200
LINCOLN NATL CORP IND COM 534187109 98 4,500 SH OTHER 4,500
LOCKHEED MARTIN CORP COM 539830109 35 400 SH OTHER 400
LOUISIANA PAC CORP COM 546347105 1,573 144,536 SH OTHER 144,536
LULULEMON ATHLETICA INC COM 550021109 36 600 SH Call OTHER 600
M D C HLDGS INC COM 552676108 49 1,500 SH OTHER 1,500
M/I HOMES INC COM 55305B101 177 10,230 SH OTHER 10,230
MACERICH CO COM 554382101 591 10,000 SH OTHER 10,000
MACYS INC COM 55616P104 179 5,200 SH OTHER 5,200
MAIDEN HOLDINGS LTD SHS G5753U112 90 10,400 SH OTHER 10,400
MAKO SURGICAL CORP COM 560879108 179 7,000 SH Put OTHER 7,000
MAKO SURGICAL CORP COM 560879108 179 7,000 SH OTHER 7,000
MARATHON PETE CORP COM 56585A102 676 15,055 SH OTHER 15,055
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 157 3,500 SH OTHER 3,500
MARKET VECTORS ETF TR OIL SVCS ETF 57060U191 78 2,200 SH OTHER 2,200
JR GOLD
MARKET VECTORS ETF TR MINERS E 57060U589 432 22,500 SH OTHER 22,500
MARRIOTT INTL INC NEW CL A 571903202 349 8,900 SH OTHER 8,900
MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 54 4,750 SH OTHER 4,750
MASCO CORP COM 574599106 1,715 123,637 SH OTHER 123,637
MATTRESS FIRM HLDG CORP COM 57722W106 446 14,727 SH OTHER 14,727
MAXWELL TECHNOLOGIES INC COM 577767106 34 5,237 SH OTHER 5,237
MCDERMOTT INTL INC COM 580037109 798 71,589 SH OTHER 71,589
MCDONALDS CORP COM 580135101 298 3,370 SH OTHER 3,370
MCG CAPITAL CORP COM 58047P107 4,633 1,011,551 SH SOLE 1,011,551
MCKESSON CORP COM 58155Q103 47 500 SH OTHER 500
MEAD JOHNSON NUTRITION CO COM 582839106 1,188 14,762 SH OTHER 14,762
MEDIDATA SOLUTIONS INC COM 58471A105 65 2,000 SH OTHER 2,000
MEDIVATION INC COM 58501N101 337 3,688 SH OTHER 3,688
MEMC ELECTR MATLS INC COM 552715104 43 20,000 SH Call OTHER 20,000
MEMC ELECTR MATLS INC COM 552715104 43 20,000 SH Put OTHER 20,000
METHANEX CORP COM 59151K108 56 2,000 SH OTHER 2,000
METLIFE INC COM 59156R108 537 17,400 SH OTHER 17,400
MGM RESORTS INTERNATIONAL COM 552953101 279 25,000 SH OTHER 25,000
MICHAEL KORS HLDGS LTD SHS G60754101 418 10,000 SH OTHER 10,000
MICROSOFT CORP COM 594918104 511 16,700 SH OTHER 16,700
MOBILE TELESYSTEMS OJSC SPONSORED ADR 607409109 74 4,300 SH OTHER 4,300
MOMENTA PHARMACEUTICALS INC COM 60877T100 461 34,232 SH OTHER 34,232
MONSANTO CO NEW COM 61166W101 124 1,500 SH Put OTHER 1,500
MONSANTO CO NEW COM 61166W101 277 3,345 SH OTHER 3,345
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
MORGAN STANLEY COM NEW 617446448 1,167 80,000 SH Call OTHER 80,000
MORGAN STANLEY COM NEW 617446448 730 50,000 SH OTHER 50,000
MORGAN STANLEY CHINA A SH FD COM 617468103 58 3,000 SH OTHER 3,000
MOSAIC CO NEW COM 61945C103 1,401 25,582 SH OTHER 25,582
MYLAN INC COM 628530107 51 2,400 SH OTHER 2,400
MYRIAD GENETICS INC COM 62855J104 287 12,057 SH OTHER 12,057
NABORS INDUSTRIES LTD SHS G6359F103 7 500 SH OTHER 500
NAVISTAR INTL CORP NEW COM 63934E108 120 4,227 SH OTHER 4,227
NEKTAR THERAPEUTICS COM 640268108 477 59,165 SH OTHER 59,165
NETFLIX INC COM 64110L106 171 2,500 SH Put OTHER 2,500
NETFLIX INC COM 64110L106 342 5,000 SH OTHER 5,000
NEW ORIENTAL ED & TECH GRP I SPON ADR 647581107 245 10,000 SH Put OTHER 10,000
NEWELL RUBBERMAID INC COM 651229106 77 4,250 SH OTHER 4,250
NEWMONT MINING CORP COM 651639106 267 5,500 SH OTHER 5,500
NIKE INC CL B 654106103 88 1,000 SH Call OTHER 1,000
NIKE INC CL B 654106103 488 5,560 SH OTHER 5,560
NISOURCE INC COM 65473P105 203 8,200 SH OTHER 8,200
NOBLE ENERGY INC COM 655044105 119 1,400 SH OTHER 1,400
NORTHERN OIL & GAS INC NEV COM 665531109 511 32,075 SH OTHER 32,075
NORTHERN TR CORP COM 665859104 51 1,100 SH OTHER 1,100
NOVO-NORDISK A S ADR 670100205 626 4,310 SH OTHER 4,310
NPS PHARMACEUTICALS INC COM 62936P103 464 53,921 SH OTHER 53,921
ADR REPSTG
NQ MOBILE INC CL A 64118U108 1,153 140,822 SH OTHER 140,822
NRG ENERGY INC COM NEW 629377508 581 33,440 SH OTHER 33,440
NVIDIA CORP COM 67066G104 346 25,000 SH Put OTHER 25,000
NVIDIA CORP COM 67066G104 346 25,000 SH OTHER 25,000
OCCIDENTAL PETE CORP DEL COM 674599105 43 500 SH OTHER 500
OCEANEERING INTL INC COM 675232102 479 10,000 SH Put OTHER 10,000
OCH ZIFF CAP MGMT GROUP CL A 67551U105 152 20,000 SH OTHER 20,000
OCLARO INC COM NEW 67555N206 82 27,047 SH OTHER 27,047
OCWEN FINL CORP COM NEW 675746309 351 18,700 SH OTHER 18,700
OCZ TECHNOLOGY GROUP INC COM 67086E303 1,005 190,000 SH Call OTHER 190,000
OCZ TECHNOLOGY GROUP INC COM 67086E303 3,099 585,831 SH OTHER 585,831
OGE ENERGY CORP COM 670837103 47 900 SH OTHER 900
OIL STS INTL INC COM 678026105 53 800 SH OTHER 800
ON SEMICONDUCTOR CORP COM 682189105 147 20,725 SH OTHER 20,725
ONEOK INC NEW COM 682680103 114 2,700 SH OTHER 2,700
ONYX PHARMACEUTICALS INC COM 683399109 321 4,827 SH OTHER 4,827
ORITANI FINL CORP DEL COM 68633D103 50 3,500 SH OTHER 3,500
P F CHANGS CHINA BISTRO INC COM 69333Y108 1,014 19,700 SH OTHER 19,700
PACIFIC BIOSCIENCES CALIF IN COM 69404D108 136 62,470 SH OTHER 62,470
PACIFIC CAP BANCORP NEW COM NEW 69404P200 59 1,300 SH OTHER 1,300
PALL CORP COM 696429307 93 1,700 SH OTHER 1,700
PARKER HANNIFIN CORP COM 701094104 238 3,100 SH OTHER 3,100
PATRICK INDS INC COM 703343103 147 11,551 SH OTHER 11,551
PATTERSON UTI ENERGY INC COM 703481101 22 1,500 SH OTHER 1,500
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
PAYCHEX INC COM 704326107 82 2,600 SH OTHER 2,600
PEABODY ENERGY CORP COM 704549104 221 9,000 SH Call OTHER 9,000
PEABODY ENERGY CORP COM 704549104 25 1,000 SH OTHER 1,000
PENN NATL GAMING INC COM 707569109 446 10,000 SH OTHER 10,000
PENNANTPARK INVT CORP COM 708062104 697 67,298 SH OTHER 67,298
PENNEY J C INC COM 708160106 77 3,300 SH OTHER 3,300
PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 56 3,000 SH Call OTHER 3,000
UNIT LTD
PETROLOGISTICS LP PTH INT 71672U101 542 50,381 SH OTHER 50,381
PETSMART INC COM 716768106 968 14,200 SH Put OTHER 14,200
PFIZER INC COM 717081103 414 18,000 SH OTHER 18,000
PG&E CORP COM 69331C108 54 1,200 SH OTHER 1,200
PHARMACYCLICS INC COM 716933106 629 11,512 SH OTHER 11,512
PIONEER NAT RES CO COM 723787107 44 500 SH OTHER 500
PLAINS EXPL& PRODTN CO COM 726505100 56 1,600 SH OTHER 1,600
PMC-SIERRA INC COM 69344F106 246 40,000 SH Put OTHER 40,000
POTASH CORP SASK INC COM 73755L107 87 2,000 SH Put OTHER 2,000
POTASH CORP SASK INC COM 73755L107 87 2,000 SH OTHER 2,000
FDM HG
POWERSHARES GLOBAL ETF TRUST YLD RAFI 73936T557 375 20,000 SH OTHER 20,000
PPG INDS INC COM 693506107 32 300 SH OTHER 300
PPL CORP COM 69351T106 178 6,400 SH OTHER 6,400
PRAXAIR INC COM 74005P104 33 300 SH OTHER 300
PRECISION CASTPARTS CORP COM 740189105 148 900 SH OTHER 900
PRICELINE COM INC COM NEW 741503403 665 1,000 SH Call OTHER 1,000
PRINCIPAL FINL GROUP INC COM 74251V102 66 2,500 SH OTHER 2,500
PROCTER & GAMBLE CO COM 742718109 92 1,500 SH OTHER 1,500
PROGRESSIVE CORP OHIO COM 743315103 67 3,200 SH OTHER 3,200
PROGRESSIVE WASTE SOLUTIONS COM 74339G101 47 2,500 SH OTHER 2,500
PROLOGIS INC COM 74340W103 299 9,000 SH OTHER 9,000
PSHS
PROSHARES TR SHTFINL ETF 74347R230 631 19,600 SH OTHER 19,600
PSHS SHRT
PROSHARES TR S&P500 74347R503 1,023 28,055 SH OTHER 28,055
PROTALIX BIOTHERAPEUTICS INC COM 74365A101 170 29,702 SH OTHER 29,702
PRUDENTIAL FINL INC COM 744320102 73 1,500 SH OTHER 1,500
QIAGEN NV REG SHS N72482107 1,129 67,575 SH OTHER 67,575
QLOGIC CORP COM 747277101 49 3,600 SH OTHER 3,600
QUAD / GRAPHICS INC COM CL A 747301109 100 6,924 SH OTHER 6,924
QUALCOMM INC COM 747525103 418 7,500 SH Put OTHER 7,500
QUALCOMM INC COM 747525103 1,585 28,475 SH OTHER 28,475
QUALITY DISTR INC FLA COM 74756M102 319 28,750 SH OTHER 28,750
QUEST SOFTWARE INC COM 74834T103 1,010 36,300 SH OTHER 36,300
QUESTAR CORP COM 748356102 50 2,400 SH OTHER 2,400
QUESTCOR
PHARMACEUTICALS INC COM 74835Y101 149 2,805 SH OTHER 2,805
QUICKSILVER RESOURCES INC COM 74837R104 350 64,600 SH Put OTHER 64,600
RACKSPACE HOSTING INC COM 750086100 220 5,000 SH Put OTHER 5,000
RACKSPACE HOSTING INC COM 750086100 439 10,000 SH OTHER 10,000
RALPH LAUREN CORP CL A 751212101 56 400 SH OTHER 400
REALNETWORKS INC COM NEW 75605L708 295 34,100 SH OTHER 34,100
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
REALTY INCOME CORP COM 756109104 77 1,850 SH OTHER 1,850
REDWOOD TR INC COM 758075402 34 2,700 SH OTHER 2,700
REED ELSEVIER N V SPONS ADR NEW 758204200 1,371 60,181 SH OTHER 60,181
REGENERON PHARMACEUTICALS COM 75886F107 465 4,067 SH OTHER 4,067
REGIONS FINANCIAL CORP NEW COM 7591EP100 25 3,700 SH OTHER 3,700
RENTECH NITROGEN PARTNERS L COM UNIT 760113100 348 12,649 SH OTHER 12,649
*W EXP
REPROS THERAPEUTICS INC 02/08/201 76028H126 323 20,000 SH OTHER 20,000
REPROS THERAPEUTICS INC COM NEW 76028H209 285 31,376 SH OTHER 31,376
REPUBLIC SVCS INC COM 760759100 16 600 SH OTHER 600
RICHARDSON ELECTRS LTD COM 763165107 317 25,728 SH OTHER 25,728
RIGEL PHARMACEUTICALS INC COM NEW 766559603 357 38,340 SH OTHER 38,340
ROCKWELL AUTOMATION INC COM 773903109 178 2,700 SH OTHER 2,700
ROCKWELL COLLINS INC COM 774341101 138 2,800 SH OTHER 2,800
ROCKWOOD HLDGS INC COM 774415103 106 2,400 SH OTHER 2,400
ROPER INDS INC NEW COM 776696106 49 500 SH OTHER 500
ROSETTA RESOURCES INC COM 777779307 106 2,900 SH OTHER 2,900
ROVI CORP COM 779376102 92 4,700 SH OTHER 4,700
ROWAN COMPANIES PLC SHS CL A G7665A101 178 5,500 SH Call OTHER 5,500
RUBICON TECHNOLOGY INC COM 78112T107 96 9,450 SH OTHER 9,450
SAFEWAY INC COM NEW 786514208 29 1,600 SH OTHER 1,600
SAKS INC COM 79377W108 53 5,000 SH OTHER 5,000
SALESFORCE COM INC COM 79466L302 277 2,000 SH Put OTHER 2,000
SALIX PHARMACEUTICALS INC COM 795435106 258 4,733 SH OTHER 4,733
SANDISK CORP COM 80004C101 36 1,000 SH Call OTHER 1,000
SANDISK CORP COM 80004C101 1,532 42,000 SH Put OTHER 42,000
SANDRIDGE ENERGY INC COM 80007P307 1,211 180,977 SH OTHER 180,977
RIGHT
SANOFI 12/31/2020 80105N113 58 41,200 SH OTHER 41,200
SCHLUMBERGER LTD COM 806857108 97 1,500 SH Put OTHER 1,500
SCHLUMBERGER LTD COM 806857108 500 7,700 SH OTHER 7,700
SCHWAB CHARLES CORP NEW COM 808513105 65 5,000 SH OTHER 5,000
SEADRILL LIMITED SHS G7945E105 96 2,700 SH OTHER 2,700
SEAGATE TECHNOLOGY PLC SHS G7945M107 2,102 85,000 SH Put OTHER 85,000
SEALED AIR CORP NEW COM 81211K100 102 6,600 SH OTHER 6,600
SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 84 2,200 SH OTHER 2,200
SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 80 2,300 SH OTHER 2,300
SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 241 5,500 SH OTHER 5,500
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 86 1,300 SH OTHER 1,300
SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 278 19,000 SH Put OTHER 19,000
SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 2,575 72,200 SH Put OTHER 72,200
SELECT SECTOR SPDR TR TECHNOLOGY 81369Y803 247 8,600 SH OTHER 8,600
SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 81 2,200 SH OTHER 2,200
SEMPRA ENERGY COM 816851109 21 300 SH OTHER 300
SENIOR HSG PPTYS TR SH BEN INT 81721M109 326 14,600 SH OTHER 14,600
SEQUENOM INC COM NEW 817337405 354 87,246 SH OTHER 87,246
SHAW GROUP INC COM 820280105 1,236 45,268 SH OTHER 45,268
SHERWIN WILLIAMS CO COM 824348106 172 1,300 SH Put OTHER 1,300
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
SIERRA WIRELESS INC COM 826516106 328 36,291 SH OTHER 36,291
SILICON LABORATORIES INC COM 826919102 53 1,400 SH OTHER 1,400
SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 3,054 216,441 SH OTHER 216,441
SIX FLAGS ENTMT CORP NEW COM 83001A102 98 1,800 SH OTHER 1,800
SKULLCANDY INC COM 83083J104 425 30,000 SH OTHER 30,000
SKYWORKS SOLUTIONS INC COM 83088M102 314 11,500 SH Put OTHER 11,500
SKYWORKS SOLUTIONS INC COM 83088M102 820 30,000 SH OTHER 30,000
SLM CORP COM 78442P106 523 33,263 SH OTHER 33,263
SM ENERGY CO COM 78454L100 713 14,510 SH OTHER 14,510
SMUCKER J M CO COM NEW 832696405 83 1,100 SH OTHER 1,100
SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 82 2,000 SH Call OTHER 2,000
SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 410 10,000 SH OTHER 10,000
SOLARWINDS INC COM 83416B109 218 5,000 SH OTHER 5,000
SOLUTIA INC COM NEW 834376501 1,683 60,000 SH OTHER 60,000
SOUTHERN CO COM 842587107 194 4,200 SH OTHER 4,200
SOUTHWEST AIRLS CO COM 844741108 190 20,600 SH OTHER 20,600
SPANSION INC COM CL A NEW 84649R200 187 17,075 SH OTHER 17,075
SPDR GOLD TRUST GOLD SHS 78463V107 1,552 10,000 SH Call OTHER 10,000
SPDR GOLD TRUST GOLD SHS 78463V107 357 2,300 SH OTHER 2,300
SPDR S&P 500 ETF TR TR UNIT 78462F103 612 4,500 SH Call OTHER 4,500
SPDR S&P 500 ETF TR TR UNIT 78462F103 9,296 68,300 SH Put OTHER 68,300
SPDR S&P 500 ETF TR TR UNIT 78462F103 163 1,200 SH OTHER 1,200
SPDR SERIES TRUST BRCLYS YLD ETF 78464A417 789 20,000 SH OTHER 20,000
SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,424 24,100 SH Put OTHER 24,100
SPDR SERIES TRUST S&P RETAIL ETF 78464A714 165 2,800 SH OTHER 2,800
SPDR SERIES TRUST S&P DIVID ETF 78464A763 78 1,400 SH OTHER 1,400
SPDR SERIES TRUST S&P BK ETF 78464A797 82 3,700 SH OTHER 3,700
SPREADTRUM COMMUNICATIONS IN ADR 849415203 97 5,500 SH Call OTHER 5,500
SPX CORP COM 784635104 20 300 SH OTHER 300
ST JUDE MED INC COM 790849103 296 7,420 SH OTHER 7,420
STANDARD MICROSYSTEMS CORP COM 853626109 734 19,900 SH OTHER 19,900
STANLEY FURNITURE CO INC COM NEW 854305208 162 40,508 SH OTHER 40,508
STAPLES INC COM 855030102 7 500 SH OTHER 500
STARBUCKS CORP COM 855244109 107 2,000 SH Put OTHER 2,000
STARBUCKS CORP COM 855244109 882 16,550 SH OTHER 16,550
STARWOOD HOTELS&RESORTS WRLD COM 85590A401 536 10,100 SH OTHER 10,100
STARWOOD PPTY TR INC COM 85571B105 239 11,200 SH OTHER 11,200
STATE STR CORP COM 857477103 116 2,600 SH OTHER 2,600
STERICYCLE INC COM 858912108 220 2,400 SH OTHER 2,400
STRYKER CORP COM 863667101 198 3,600 SH OTHER 3,600
SUNCOKE ENERGY INC COM 86722A103 1,460 99,634 SH OTHER 99,634
SUNOCO INC COM 86764P109 147 3,100 SH OTHER 3,100
SUPERIOR ENERGY SVCS INC COM 868157108 405 20,000 SH OTHER 20,000
SWIFT TRANSN CO CL A 87074U101 482 51,050 SH OTHER 51,050
SYMANTEC CORP COM 871503108 91 6,200 SH OTHER 6,200
TANGER FACTORY OUTLET CTRS I COM 875465106 538 16,800 SH OTHER 16,800
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
TARGET CORP COM 87612E106 116 2,000 SH Put OTHER 2,000
TARGET CORP COM 87612E106 128 2,200 SH OTHER 2,200
TCF FINL CORP COM 872275102 49 4,300 SH OTHER 4,300
TEMPUR PEDIC INTL INC COM 88023U101 126 5,400 SH OTHER 5,400
TEREX CORP NEW COM 880779103 470 26,336 SH OTHER 26,336
TESLA MTRS INC COM 88160R101 469 15,000 SH OTHER 15,000
TESORO CORP COM 881609101 1,090 43,667 SH OTHER 43,667
TEVA PHARMACEUTICAL INDS LTD ADR 881624209 98 2,475 SH OTHER 2,475
TEXAS INSTRS INC COM 882508104 75 2,600 SH OTHER 2,600
TEXTRON INC COM 883203101 17 700 SH OTHER 700
THERMO FISHER SCIENTIFIC INC COM 883556102 415 8,000 SH OTHER 8,000
THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 234 31,621 SH OTHER 31,621
TIBCO SOFTWARE INC COM 88632Q103 224 7,500 SH Put OTHER 7,500
TIBCO SOFTWARE INC COM 88632Q103 60 2,000 SH OTHER 2,000
TIFFANY & CO NEW COM 886547108 32 600 SH OTHER 600
TIME WARNER CABLE INC COM 88732J207 49 600 SH OTHER 600
TJX COS INC NEW COM 872540109 646 15,040 SH OTHER 15,040
TOTAL S A SPONSORED ADR 89151E109 135 3,000 SH OTHER 3,000
TRANSOCEAN LTD REG SHS H8817H100 261 5,825 SH OTHER 5,825
TRAVELCENTERS OF AMERICA LLC COM 894174101 127 24,991 SH OTHER 24,991
TRW AUTOMOTIVE HLDGS CORP COM 87264S106 368 10,000 SH OTHER 10,000
TWO HBRS INVT CORP COM 90187B101 414 39,962 SH OTHER 39,962
TYCO INTERNATIONAL LTD SHS H89128104 533 10,091 SH OTHER 10,091
TYSON FOODS INC CL A 902494103 49 2,600 SH OTHER 2,600
U S SILICA HLDGS INC COM 90346E103 148 13,105 SH OTHER 13,105
UBS AG SHS NEW H89231338 34 2,900 SH OTHER 2,900
ULTRA PETROLEUM CORP COM 903914109 58 2,500 SH OTHER 2,500
ULTRATECH INC COM 904034105 238 7,585 SH OTHER 7,585
UNDER ARMOUR INC CL A 904311107 161 3,400 SH Put OTHER 3,400
UNITED RENTALS INC COM 911363109 17 500 SH Put OTHER 500
UNITED RENTALS INC COM 911363109 383 11,250 SH OTHER 11,250
UNITED STATES NATL GAS FUND UNIT PAR $0.001 912318201 96 5,000 SH OTHER 5,000
UNITED STATES STL CORP NEW COM 912909108 37 1,800 SH OTHER 1,800
UNITED THERAPEUTICS CORP DEL COM 91307C102 361 7,306 SH OTHER 7,306
UNITEDHEALTH GROUP INC COM 91324P102 226 3,870 SH OTHER 3,870
UNIVERSAL DISPLAY CORP COM 91347P105 371 10,325 SH OTHER 10,325
UNIVERSAL TRUCKLOAD SVCS INC COM 91388P105 374 24,738 SH OTHER 24,738
URBAN OUTFITTERS INC COM 917047102 0 1 SH OTHER 1
VALE S A ADR 91912E105 89 4,500 SH Put OTHER 4,500
VALE S A ADR 91912E105 108 5,437 SH OTHER 5,437
VALERO ENERGY CORP NEW COM 91913Y100 188 7,800 SH OTHER 7,800
VALLEY NATL BANCORP COM 919794107 50 4,700 SH OTHER 4,700
VANGUARD SPECIALIZED PORTFOL DIV APP ETF 921908844 79 1,400 SH OTHER 1,400
VANTAGE DRILLING COMPANY ORD SHS G93205113 385 256,376 SH OTHER 256,376
VARIAN MED SYS INC COM 92220P105 6 100 SH OTHER 100
VEECO INSTRS INC DEL COM 922417100 1,690 49,185 SH OTHER 49,185
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8
Voting Authority
Value /
Notional Shares / SH/ Put/ Investment Other
Name of Issuer Title of Class Cusip (x1000) Prn Amt PR Call Discretion Manager Sole Shared None
------------------------------------------------------------------------------------------------------------------------------------
VERIFONE SYS INC COM 92342Y109 50 1,500 SH Call OTHER 1,500
VERIFONE SYS INC COM 92342Y109 463 14,000 SH OTHER 14,000
VERISIGN INC COM 92343E102 52 1,200 SH OTHER 1,200
VERIZON COMMUNICATIONS INC COM 92343V104 18 400 SH OTHER 400
VERTEX PHARMACEUTICALS INC COM 92532F100 453 8,102 SH OTHER 8,102
VIAD CORP COM NEW 92552R406 315 15,773 SH OTHER 15,773
VIRNETX HLDG CORP COM 92823T108 60 1,700 SH Call OTHER 1,700
VIRNETX HLDG CORP COM 92823T108 6,345 180,000 SH OTHER 180,000
VIROPHARMA INC COM 928241108 452 19,060 SH OTHER 19,060
VISTEON CORP COM NEW 92839U206 53 1,400 SH OTHER 1,400
VMWARE INC CL A COM 928563402 228 2,500 SH Call OTHER 2,500
VODAFONE GROUP PLC NEW SPONS ADR NEW 92857W209 380 13,500 SH OTHER 13,500
VORNADO RLTY TR SH BEN INT 929042109 605 7,200 SH OTHER 7,200
WABASH NATL CORP COM 929566107 662 100,000 SH OTHER 100,000
WADDELL & REED FINL INC CL A 930059100 124 4,100 SH OTHER 4,100
WALGREEN CO COM 931422109 1,183 40,000 SH Call OTHER 40,000
WALGREEN CO COM 931422109 997 33,700 SH OTHER 33,700
WALTER ENERGY INC COM 93317Q105 265 6,000 SH Call OTHER 6,000
WALTER ENERGY INC COM 93317Q105 199 4,500 SH OTHER 4,500
WASHINGTON REAL ESTATE INVT SH BEN INT 939653101 361 12,700 SH OTHER 12,700
WASTE CONNECTIONS INC COM 941053100 613 20,500 SH OTHER 20,500
WATERS CORP COM 941848103 554 6,970 SH OTHER 6,970
WAUSAU PAPER CORP COM 943315101 78 8,000 SH OTHER 8,000
WEATHERFORD INTERNATIONAL LT REG SHS H27013103 100 7,900 SH OTHER 7,900
WEIGHT WATCHERS INTL INC NEW COM 948626106 98 1,900 SH OTHER 1,900
WEINGARTEN RLTY INVS SH BEN INT 948741103 190 7,200 SH OTHER 7,200
WELLCARE HEALTH PLANS INC COM 94946T106 795 15,000 SH OTHER 15,000
WELLPOINT INC COM 94973V107 887 13,900 SH OTHER 13,900
WELLS FARGO & CO NEW COM 949746101 134 4,000 SH OTHER 4,000
WESTERN DIGITAL CORP COM 958102105 305 10,000 SH Put OTHER 10,000
WESTERN DIGITAL CORP COM 958102105 34 1,100 SH OTHER 1,100
WESTPORT INNOVATIONS INC COM NEW 960908309 493 13,412 SH OTHER 13,412
WEYERHAEUSER CO COM 962166104 67 3,000 SH OTHER 3,000
WHITING PETE CORP NEW COM 966387102 3,626 88,169 SH OTHER 88,169
WHOLE FOODS MKT INC COM 966837106 95 1,000 SH Put OTHER 1,000
WHOLE FOODS MKT INC COM 966837106 129 1,350 SH OTHER 1,350
WILLIAMS COS INC DEL COM 969457100 236 8,200 SH OTHER 8,200
WINDSTREAM CORP COM 97381W104 51 5,300 SH OTHER 5,300
WORLD FUEL SVCS CORP COM 981475106 49 1,300 SH OTHER 1,300
WPX ENERGY INC COM 98212B103 97 6,000 SH OTHER 6,000
WUXI PHARMATECH CAYMAN INC SPONS ADR SHS 929352102 339 24,020 SH OTHER 24,020
XCEL ENERGY INC COM 98389B100 179 6,300 SH OTHER 6,300
XEROX CORP COM 984121103 551 70,000 SH Call OTHER 70,000
XEROX CORP COM 984121103 122 15,480 SH OTHER 15,480
XYLEM INC COM 98419M100 68 2,700 SH OTHER 2,700
ZYNGA INC CL A 98986T108 109 20,000 SH OTHER 20,000