0001470876-13-000005.txt : 20130220 0001470876-13-000005.hdr.sgml : 20130220 20130220124811 ACCESSION NUMBER: 0001470876-13-000005 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20121231 FILED AS OF DATE: 20130220 DATE AS OF CHANGE: 20130220 EFFECTIVENESS DATE: 20130220 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Freestone Capital Holdings, LLC CENTRAL INDEX KEY: 0001470876 IRS NUMBER: 261341800 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-13894 FILM NUMBER: 13625935 BUSINESS ADDRESS: STREET 1: 1918 EIGHTH AVENUE STREET 2: SUITE 3400 CITY: SEATTLE STATE: WA ZIP: 98101 BUSINESS PHONE: 206-398-1100 MAIL ADDRESS: STREET 1: 1918 EIGHTH AVENUE STREET 2: SUITE 3400 CITY: SEATTLE STATE: WA ZIP: 98101 13F-HR/A 1 13ffchAmendment2.20.txt 13F AMENDED HOLDINGS REPORT 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, 2012 Check here if Amendment [x]; Amendment Number: This Amendment (Check only one.): [x] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Freestone Capital Holdings, LLC Address: 1918 Eighth Ave Ste 3400 Seattle, Washington 98101 Form 13F File Number: 028-13894 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: James Rooney Phone: 206-398-1100 Signature, Place, and Date of Signing: /s/ James Rooney Seattle, Washington Feb 20, 2012 Report Type (Check only one.): [x] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 575 Form 13F Information Table Value Total: 476,678 (thousands) List of Other Included Managers: No. Name Form 13F File Number -------------------------------------------------------------------- 1 Freestone Capital Management, LLC 028-05975 --------------------------------------------------------------------- Name of IssuTitle CUSIP Value Shares P/Inv Other Voting (x$1000) C Disc MgrsSolShared 3SBIO INC COM 88575Y105 150.86 11060 Other 11060 3SBIO INC CALL 85575Y905 13.64 1000c Other 1000 ABB LTD SP COM 000375204 291.08 14001 Defined 1 14001 ABBOTT LAB COM 002824100 434.59 6635 Defined 1 6635 ABBOTT LAB COM 002824100 949.75 14500 Other 14500 ACACIA RES CALL 003881907 141.13 5500c Other 5500 ACACIA RES COM 003881307 642.33 25033 Other 25033 ACE LTD SH COM h0023r105 357.74 4483 Defined 1 4483 ACELRX PHA COM 00444T100 48.99 11500 Other 11500 ACQUITY GR COM 00489C103 114.49 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8889 Defined 1 8889 NATIONAL O COM 637071101 321.04 4697 Other 4697 NATUZZI S COM 63905A101 27.88 14523 Other 14523 NCR CORP N COM 62886E108 999.10 39211 Defined 1 39211 NEUSTAR IN COM 64126x201 782.92 18672 Defined 1 18672 NEVSUN RES COM 64156L101 124.69 29134 Other 29134 NEWMARKET COM 651587107 811.77 3096 Defined 1 3096 NEWMONT MI COM 651639106 696.60 15000 Defined 1 15000 NEWMONT MI COM 651639106 48.76 1050 Other 1050 NEXTERA EN COM 65339F101 209.09 3022 Other 3022 NOBLE CORP COM h5833n103 696.75 20010 Defined 1 20010 NOKIA CORP COM 654902204 150.10 38000 Other 38000 NORFOLK SO COM 655844108 557.55 9016 Defined 1 9016 NOVARTIS A COM 66987v109 2114.60 33406 Defined 1 33406 NQ MOBILE COM 64118U108 186.94 30950 Other 30950 NRG ENERGY COM 629377508 744.74 32394 Other 32394 NTT DOCOMO COM 62942m201 217.04 15062 Defined 1 15062 NU SKIN EN COM 67018t105 694.87 18755 Defined 1 18755 NU SKIN EN COM 67018T105 25.94 700 Other 700 NVIDIA COR COM 67066G104 122.60 10000 Other 10000 OCCIDENTAL COM 674599105 525.62 6861 Defined 1 6861 OCCIDENTAL COM 674599105 49.80 650 Other 650 OGE ENERGY COM 670837103 435.61 7736 Other 7736 OLD DOMINI COM 679580100 706.10 20598 Defined 1 20598 OMNIAMERIC COM 68216R107 486.26 21023 Other 21023 ON SEMICON COM 682189105 354.37 50265 Defined 1 50265 ON SEMICON COM 682189105 17.63 2500 Other 2500 ORACLE COR COM 68389x105 10075.5302387.72 Defined 1 302388 ORACLE COR COM 68389X105 196.59 5900 Other 5900 PACIFIC DR COM L7257P106 151.52 16051 Other 16051 PACIFIC PR COM 69478X105 143.36 14000 Other 14000 PARKER HAN COM 701094104 327.48 3850 Other 3850 PARTNERRE COM g6852t105 1252.26 15558 Defined 1 15558 PAYCHEX IN COM 704326107 29.23 940 Defined 1 940 PAYCHEX IN COM 704326107 289.23 9300 Other 9300 PDL BIOPHA COM 69329Y104 14.76 2096 Defined 1 2096 PDL BIOPHA COM 69329Y104 115.11 16351 Other 16351 PENN VA CO COM 707882106 86.00 19500 Other 19500 PENNEY J C COM 708160106 236.52 12000 Other 12000 PENNYMAC M COM 70931t103 4726.88186906.89 Defined 1 186907 PEOPLES UN COM 712704105 343.21 28388 Other 28388 PEPSICO IN COM 713448108 65.62 959 Defined 1 959 PEPSICO IN COM 713448108 205.29 3000 Other 3000 PERMA-FIX COM 714157104 15.01 22042 Other 22042 PERRIGO CO COM 714290103 587.67 5649 Defined 1 5649 PERVASIVE COM 715710109 493.70 55410 Other 55410 PETROLEO B COM 71654v408 241.31 12394 Defined 1 12394 PHARMATHEN COM 71714G102 41.44 37000 Other 37000 PIMCO INCO COM 72201J104 110.50 10000 Other 10000 PIONEER NA COM 723787107 483.28 4534 Defined 1 4534 PLX TECHNO COM 693417107 72.60 20000 Other 20000 POTASH COR COM 73755L107 669.88 16463 Defined 1 16463 POTASH COR COM 73755L107 176.31 4333 Other 4333 PREMIER EX COM 74051e102 365.61 134912 Defined 1 134912 PRICELINE COM 741503403 566.42 913 Defined 1 913 PRICELINE COM 741503403 184.88 298 Other 298 PRICESMART COM 741511109 716.55 9307 Defined 1 9307 PROCTER & COM 742718109 642.04 9457 Defined 1 9457 PRUDENTIAL COM 744320102 337.10 6321 Defined 1 6321 PSS WORLD COM 69366A100 229.16 7935 Other 7935 PUBLIC STO COM 74460D109 3442.80 23750 Other 23750 PVH CORP COM 693656100 608.56 5482 Defined 1 5482 QLOGIC COR COM 747277101 3486.41 358316 Defined 1 358316 QLT INC COM 746927102 117.90 15000 Other 15000 QUALCOMM I COM 747525103 1328.19 21471 Defined 1 21471 QUALCOMM I COM 747525103 1060.27 17140 Other 17140 QUALITY SY COM 747582104 8706.90501549.63 Defined 1 501550 QUESTCOR P COM 74835y101 7327.36274227.54 Defined 1 274228 QUESTCOR P COM 74835Y101 1344.02 50300 Other 50300 QUESTCOR P CALL 74835Y901 224.45 3500c Other 3500 QUICKSILVE COM 74837r104 934.84 326868 Defined 1 326868 RALCORP HL COM 751028101 0.63 7 Defined 1 7 RALCORP HL COM 751028101 655.97 7317 Other 7317 RAYTHEON C COM 755111507 7720.70 134133 Defined 1 134133 RAYTHEON C COM 755111507 113.16 1966 Other 1966 REED ELSEV COM 758205207 271.79 6465 Defined 1 6465 REGENCY CT COM 758849103 2028.66 43053 Other 43053 REGIONS FI COM 7591ep100 381.99 53575 Defined 1 53575 REGIONS FI COM 7591EP100 33.42 4687 Other 4687 RELIANCE S COM 759509102 633.42 10200 Defined 1 10200 RELIANCE S COM 759509102 31.05 500 Other 500 RENTECH IN COM 760112102 64.39 24483 Defined 1 24483 REPROS THE COM 76028H209 573.30 36400 Other 36400 REPROS THE CALL 76028H909 266.18 16900c Other 16900 RIO TINTO COM 767204100 773.47 13315 Defined 1 13315 RIO TINTO COM 767204100 151.15 2602 Other 2602 RITCHIE BR COM 767744105 313.14 14990 Defined 1 14990 RIVERBED T COM 768573107 0.45 23 Defined 1 23 RIVERBED T COM 768573107 293.79 14898 Other 14898 ROBBINS & COM 770196103 324.24 5454 Other 5454 ROCKWELL A COM 773903109 394.08 4692 Defined 1 4692 ROPER INDS COM 776696106 383.60 3441 Defined 1 3441 ROSS STORE COM 778296103 567.35 10489 Defined 1 10489 ROYAL DUTC COM 780259206 868.43 12595 Defined 1 12595 SAFE BULKE COM Y7388L103 84.00 25000 Other 25000 SALESFORCE COM 79466L302 528.51 3144 Other 3144 SALIX PHAR COM 795435106 643.50 15900 Other 15900 SANOFI SPO COM 80105n105 1898.42 40068 Defined 1 40068 SAP AG SPO COM 803054204 408.25 5079 Defined 1 5079 SAREPTA TH PUT 803607950 224.46 2000p Other 2000 SBA COMMUN COM 78388j106 1.92 27 Defined 1 27 SBA COMMUN COM 78388J106 212.94 3000 Other 3000 SCHLUMBERG COM 806857108 1355.55 19561 Defined 1 19561 SCHWAB CHA COM 808513105 943.47 65701 Defined 1 65701 SCICLONE P COM 80862K104 48.20 11183 Other 11183 SCRIPPS NE COM 811065101 295.39 5100 Other 5100 SEAGATE TE COM g7945m107 18.43 606 Defined 1 606 SEAGATE TE COM G7945M107 285.95 9400 Other 9400 SEALY CORP COM 812139301 56.62 26094 Other 26094 SEI INVEST COM 784117103 457.44 19599 Defined 1 19599 SEMILEDS C COM 816645105 16.20 20000 Other 20000 SERVICE CO COM 817565104 662.58 47978 Defined 1 47978 SIGA TECHN COM 826917106 71.00 27100 Other 27100 SIGA TECHN CALL 826917906 56.33 21500c Other 21500 SILICON IM COM 82705T102 363.89 73365 Other 73365 SILICON MO COM 82706C108 142.20 10000 Other 10000 SKYWORKS S COM 83088M102 0.89 44 Defined 1 44 SKYWORKS S COM 83088M102 1246.36 61397 Other 61397 SOLITARIO COM 8342EP107 44.36 26404 Other 26404 SPDR GOLD COM 78463V107 81.01 500 Other 500 SPDR S&P 5 PUT 78462F953 1637.72 2000p Other 2000 SPDR SERIE COM 78464A755 301.02 6670 Other 6670 SPIRIT AER COM 848574109 329.22 19400 Other 19400 SPIRIT RLT COM 84860F109 642.75 36150 Other 36150 SPRINT NEX COM 852061100 5.04 889 Defined 1 889 SPRINT NEX COM 852061100 658.25 116094 Other 116094 STANLEY BL COM 854502101 285.45 3859 Defined 1 3859 STARBUCKS COM 855244109 264.18 4926 Defined 1 4926 STARBUCKS COM 855244109 107.26 2000 Other 2000 STERICYCLE COM 858912108 565.09 6058 Defined 1 6058 STERLING F COM 859319303 208.12 9958 Other 9958 STURM RUGE COM 864159108 266.95 5880 Defined 1 5880 STURM RUGE COM 864159108 36.32 800 Other 800 SUNCOR ENE COM 867224107 697.82 21159 Defined 1 21159 SUNOPTA IN COM 8676EP108 93.40 16590 Other 16590 SUPERIOR E COM 868157108 359.49 17350 Defined 1 17350 SUPERIOR E COM 868157108 31.08 1500 Other 1500 SUPPORT CO COM 86858W101 70.89 17000 Other 17000 SYKES ENTE COM 871237103 524.18 34440 Other 34440 SYMANTEC C COM 871503108 687.98 36556 Defined 1 36556 SYMANTEC C COM 871503108 206.68 10982 Other 10982 SYNERGETIC COM 87160G107 74.40 15500 Other 15500 SYNGENTA A COM 87160a100 358.27 4434 Defined 1 4434 TALISMAN E COM 87425e103 149.70 13213 Defined 1 13213 TARGACEPT COM 87611R306 52.60 12010 Other 12010 TARGET COR COM 87612e106 585.66 9898 Defined 1 9898 TARGET COR CALL 87612E906 147.93 2500c Other 2500 TAUBMAN CT COM 876664103 1787.73 22710 Other 22710 TEJON RANC COM 879080109 384.30 13686 Defined 1 13686 TELULAR CO COM 87970T208 117.70 12429 Other 12429 TEMPUR PED COM 88023u101 2233.65 70932 Defined 1 70932 TENARIS S COM 88031m109 608.59 14518 Defined 1 14518 TENET HEAL COM 88033g407 558.52 17201 Defined 1 17201 TESSERA TE COM 88164l100 43.13 2622 Defined 1 2622 TESSERA TE COM 88164L100 575.75 35000 Other 35000 TESSERA TE CALL 88164L900 164.50 10000c Other 10000 TEVA PHARM COM 881624209 225.05 6027 Defined 1 6027 TEVA PHARM COM 881624209 26.14 700 Other 700 THERMO FIS COM 883556102 531.16 8328 Defined 1 8328 THERMO FIS COM 883556102 31.89 500 Other 500 TOLL BROTH COM 889478103 2099.83 64950 Other 64950 TOP IMAGE COM M87896102 35.81 10470 Other 10470 TOTAL S A COM 89151e109 865.86 16648 Defined 1 16648 TOWERS WAT COM 891894107 7487.49 133205.6 Defined 1 133206 TRANSOCEAN COM h8817h100 1561.89 34973 Defined 1 34973 TRANSOCEAN COM H8817H100 74.81 1675 Other 1675 TREDEGAR C COM 894650100 300.89 14735 Defined 1 14735 TRIPADVISO COM 896945201 419.20 10000 Other 10000 TRIQUINT S COM 89674K103 304.86 63117 Other 63117 TRONOX LTD COM Q9235V101 206.23 11300 Other 11300 TRW AUTOMO COM 87264s106 10908.4 203477 Defined 1 203477 TSAKOS ENE COM G9108L108 263.06 70150 Other 70150 UBS AG SHS COM h89231338 299.64 19037 Defined 1 19037 UBS AG SHS COM H89231338 31.48 2000 Other 2000 UNILEVER N COM 904784709 340.03 8878 Defined 1 8878 UNILEVER P COM 904767704 400.36 10340 Defined 1 10340 UNION PAC COM 907818108 472.08 3755 Defined 1 3755 UNION PAC COM 907818108 74.55 593 Other 593 UNITIL COR COM 913259107 228.82 8828 Other 8828 UTSTARCOM COM G9310A106 50.45 48920 Other 48920 VALE S A A COM 91912e105 580.76 27708 Defined 1 27708 VALEANT PH COM 91911k102 774.74 12962 Defined 1 12962 VALERO ENE COM 91913y100 607.30 17799 Defined 1 17799 VALUECLICK COM 92046n102 544.49 28052 Defined 1 28052 VARIAN MED COM 92220p105 914.10 13014 Defined 1 13014 VERINT SYS COM 92343X100 1321.20 45000 Other 45000 VERISK ANA COM 92345y106 672.75 13199 Defined 1 13199 VIACOM INC COM 92553p201 8427.13159786.39 Defined 1 159786 VIACOM INC COM 92553P201 429.15 8137 Other 8137 VISA INC C COM 92826c839 669.83 4419 Defined 1 4419 VISA INC C COM 92826C839 75.79 500 Other 500 VMWARE INC COM 928563402 705.30 7492 Other 7492 VODAFONE G COM 92857w209 1598.68 63465 Defined 1 63465 VONAGE HLD COM 92886T201 107.38 45306 Other 45306 WABTEC COR COM 929740108 578.38 6607 Defined 1 6607 WADDELL & COM 930059100 527.98 15163 Defined 1 15163 WARNACO GR COM 934390402 4.22 59 Defined 1 59 WARNACO GR COM 934390402 446.53 6239 Other 6239 WEATHERFOR COM h27013103 977.99 87399 Defined 1 87399 WEST COAST COM 952145209 238.84 10783 Other 10783 WESTERN DI COM 958102105 297.43 7000 Other 7000 WESTERN UN COM 959802109 16450.51208706.9 Defined 1 1208707 WESTERN UN COM 959802109 20.42 1500 Other 1500 WESTFIELD COM 96008P104 178.99 24756 Other 24756 WET SEAL I COM 961840105 73.38 26586 Other 26586 WHITE MTNS COM g9618e107 425.39 826 Defined 1 826 WHITING US COM 966389108 47.50 10236 Other 10236 WILLIS GRO COM g96666105 330.24 9849 Defined 1 9849 WILLIS GRO COM G96666105 33.53 1000 Other 1000 WORLD FUEL COM 981475106 488.03 11854 Defined 1 11854 XEROX CORP COM 984121103 11.40 1671 Defined 1 1671 XEROX CORP COM 984121103 230.52 33800 Other 33800 YAHOO INC COM 984332106 398.34 20017 Other 20017 YAHOO! INC PUT 984332956 75.62 3800p Other 3800 YM BIOSCIE COM 984238105 218.68 76194 Other 76194 ZIX CORP COM 98974p100 61.38 22000 Defined 1 22000 ZYNGA INC COM 98986T108 98.46 41722 Other 41722