0000919574-13-003569.txt : 20130515 0000919574-13-003569.hdr.sgml : 20130515 20130515161309 ACCESSION NUMBER: 0000919574-13-003569 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130515 DATE AS OF CHANGE: 20130515 EFFECTIVENESS DATE: 20130515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KINGDON CAPITAL MANAGEMENT, L.L.C. CENTRAL INDEX KEY: 0001000097 IRS NUMBER: 134015739 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04575 FILM NUMBER: 13847192 BUSINESS ADDRESS: STREET 1: 157 WEST 57TH STREET STREET 2: 50TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-333-0100 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 50TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: KINGDON CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 19980914 FORMER COMPANY: FORMER CONFORMED NAME: KINGDON CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19960408 13F-HR 1 d1377516_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: March 31, 2013 Check here if Amendment [ ]; Amendment Number: This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Kingdon Capital Management, L.L.C. Address: 152 West 57th Street New York, New York 10019 13F File Number: 028-04575 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 May 15, 2013 ---------------------- ------------------------ -------------------- (Signature) (City, State) (Date) 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: 3 Form 13F Information Table Entry Total: 212 Form 13F Information Table Value Total: 2,328,582 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. No. 13F File Number Name 1. 028-10584 Kingdon Associates 2. 028-13996 M. Kingdon Offshore Master Fund L.P. 3. 028-10842 Kingdon Family Partnership, L.P. FORM 13F INFORMATION TABLE March 31, 2013

COL 1 COL 2 COL 3 COL 4 COL 5 COL 6 COL 7 COL 8 SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE -------------- --------------- ------ ------ -------- --- ---- ---------- ---- ---- ------ ---- AOL INC COM 00184X105 14,049 365,000 SHS Shared-Defined 1/2/3 365,000 ABERCROMBIE & FITCH CL A 002896207 3,443 74,515 SHS Shared-Defined 1/2/3 74,515 ACHILLION PHARMACEUTICALS INC COM 00448Q201 5,559 636,000 SHS Shared-Defined 1/2/3 636,000 ACHILLION PHARMACEUTICALS INC COM 00448Q201 1,750 200,000 CALL Shared-Defined 1/2/3 200,000 ACTAVIS INC COM 00507K103 7,777 84,430 SHS Shared-Defined 1/2/3 84,430 ACTAVIS INC COM 00507K103 9,211 100,000 CALL Shared-Defined 1/2/3 100,000 AEGERION PHARMACEUTICALS INC COM 00767E102 29,239 725,000 SHS Shared-Defined 1/2/3 725,000 AEGERION PHARMACEUTICALS INC COM 00767E102 20,170 500,000 CALL Shared-Defined 1/2/3 500,000 AEROPOSTALE COM 007865108 348 25,600 SHS Shared-Defined 1/2/3 25,600 AKAMAI TECHNOLOGIES INC COM 00971T101 5,292 150,000 SHS Shared-Defined 1/2/3 150,000 AMARIN CORP PLC SPONS ADR NEW 023111206 10,331 1,396,147 SHS Shared-Defined 1/2/3 1,396,147 AMARIN CORP PLC SPONS ADR NEW 023111206 6,224 840,000 CALL Shared-Defined 1/2/3 840,000 AMERICAN AXLE & MFG HLDGS INC COM 024061103 12,285 900,000 SHS Shared-Defined 1/2/3 900,000 AMERICAN INTL GROUP INC COM NEW 026874784 11,646 300,000 SHS Shared-Defined 1/2/3 300,000 ANACOR PHARMACEUTICALS INC COM 032420101 12,132 1,875,100 SHS Shared-Defined 1/2/3 1,875,100 ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 3,715 37,320 SHS Shared-Defined 1/2/3 37,320 ANTARES PHARMA INC COM 036642106 1,607 450,000 SHS Shared-Defined 1/2/3 450,000 ARIAD PHARMACEUTICALS INC COM 04033A100 4,972 275,000 SHS Shared-Defined 1/2/3 275,000 ARMSTRONG WORLD INDS INC NEW COM 04247X102 4,192 75,000 SHS Shared-Defined 1/2/3 75,000 AVON PRODS INC COM 054303102 6,634 320,000 SHS Shared-Defined 1/2/3 320,000 AXIALL CORP COM 05463D100 13,986 225,000 SHS Shared-Defined 1/2/3 225,000 BP PLC SPONSORED ADR 055622104 8,606 203,223 SHS Shared-Defined 1/2/3 203,223 BP PLC SPONSORED ADR 055622104 10,588 250,000 CALL Shared-Defined 1/2/3 250,000 BEAM INC COM 073730103 7,307 115,000 SHS Shared-Defined 1/2/3 115,000 BLOOMIN BRANDS INC COM 094235108 983 55,000 SHS Shared-Defined 1/2/3 55,000 BRINKER INTL INC COM 109641100 22,220 590,166 SHS Shared-Defined 1/2/3 590,166 BROADSOFT INC COM 11133B409 5,294 200,000 SHS Shared-Defined 1/2/3 200,000 CANADIAN PAC RY LTD COM 13645T100 13,047 100,000 SHS Shared-Defined 1/2/3 100,000 CEMEX SAB DE CV NOTE 3.250% 3/1 151290BB8 3,974 3,000,000 PRN Shared-Defined 1/2/3 3,000,000 CEMPRA INC COM 15130J109 3,855 571,121 SHS Shared-Defined 1/2/3 571,121 CENTENE CORP DEL COM 15135B101 793 18,000 SHS Shared-Defined 1/2/3 18,000 CERUS CORP COM 157085101 2,652 600,000 SHS Shared-Defined 1/2/3 600,000 CHEESECAKE FACTORY INC COM 163072101 11,197 290,000 SHS Shared-Defined 1/2/3 290,000 CHICOS FAS INC COM 168615102 14,950 889,906 SHS Shared-Defined 1/2/3 889,906 CHIPOTLE MEXICAN GRILL INC COM 169656105 2,607 8,000 SHS Shared-Defined 1/2/3 8,000 CHURCH & DWIGHT INC COM 171340102 2,973 46,000 SHS Shared-Defined 1/2/3 46,000 CIMAREX EXERGY CO COM 171798101 7,544 100,000 SHS Shared-Defined 1/2/3 100,000 CISCO SYS INC COM 17275R102 10,027 480,000 SHS Shared-Defined 1/2/3 480,000 CITIGROUP INC COM NEW 172967424 13,272 300,000 SHS Shared-Defined 1/2/3 300,000 CITIGROUP INC COM NEW 172967424 22,120 500,000 CALL Shared-Defined 1/2/3 500,000 CITRIX SYS INC COM 177376100 19,839 275,000 SHS Shared-Defined 1/2/3 275,000 CLEARWIRE CORP NEW CL A 18538Q105 2,423 750,000 SHS Shared-Defined 1/2/3 750,000 CLOROX CO DEL COM 189054109 1,328 15,000 SHS Shared-Defined 1/2/3 15,000 COACH INC COM 189754104 4,499 90,000 SHS Shared-Defined 1/2/3 90,000 COBALT INTL ENERGY INC COM 19075F106 8,460 300,000 SHS Shared-Defined 1/2/3 300,000 COBALT INTL ENERGY INC NOTE 2.625%12/0 19075FAA4 8,943 8,000,000 PRN Shared-Defined 1/2/3 8,000,000 COCA COLA CO COM 191216100 4,448 110,000 SHS Shared-Defined 1/2/3 110,000 COLUMBIA LABS INC COM 197779101 562 950,000 SHS Shared-Defined 1/2/3 950,000 COMMUNITY HEALTH SYS INC NEW COM 203668108 11,611 245,000 SHS Shared-Defined 1/2/3 245,000 CONCHO RES INC COM 20605P101 24,358 250,000 SHS Shared-Defined 1/2/3 250,000 CORSICANTO LTD NOTE 3.500% 1/1 220480AC1 2,457 2,000,000 PRN Shared-Defined 1/2/3 2,000,000 COSTCO WHSL CORP NEW COM 22160K105 17,929 169,000 SHS Shared-Defined 1/2/3 169,000 DST SYS INC DEL COM 233326107 14,254 200,000 SHS Shared-Defined 1/2/3 200,000 DARDEN RESTAURANTS INC COM 237194105 9,044 175,000 SHS Shared-Defined 1/2/3 175,000 DECKERS OUTDOOR CORP COM 243537107 4,454 80,000 SHS Shared-Defined 1/2/3 80,000 DELTA AIR LINES INC DEL COM NEW 247361702 8,420 510,000 SHS Shared-Defined 1/2/3 510,000 DISCOVER FINL SVCS COM 254709108 11,210 250,000 SHS Shared-Defined 1/2/3 250,000 DYNAVAX TECHNOLOGIES CORP COM 268158102 5,818 2,632,600 SHS Shared-Defined 1/2/3 2,632,600 EASTMAN CHEM CO COM 277432100 5,240 75,000 SHS Shared-Defined 1/2/3 75,000 EDGEN GROUP INC CL A 28014Q107 4,844 670,000 SHS Shared-Defined 1/2/3 670,000 ELAN PLC ADR 284131208 2,963 251,100 SHS Shared-Defined 1/2/3 251,100 EMERGENT BIOSOLUTIONS INC COM 29089Q105 13,618 974,104 SHS Shared-Defined 1/2/3 974,104 ENDO HEALTH SOLUTIONS INC COM 29264F205 4,614 150,000 CALL Shared-Defined 1/2/3 150,000 EXACTTARGET INC COM 30064K105 5,236 225,000 SHS Shared-Defined 1/2/3 225,000 EXCO RESOURCES INC COM 269279402 2,139 300,000 SHS Shared-Defined 1/2/3 300,000 FAMILY DLR STORES INC COM 307000109 2,355 39,887 SHS Shared-Defined 1/2/3 39,887 FOMENTO ECONOMICO MEXICANO S SPON ADR UNITS 344419106 2,270 20,000 SHS Shared-Defined 1/2/3 20,000 FORTRESS INVESTMENT GROUP LL CL A 34958B106 2,240 350,000 SHS Shared-Defined 1/2/3 350,000 FOSTER WHEELER AG COM H27178104 4,570 200,000 SHS Shared-Defined 1/2/3 200,000 FUSION-IO INC COM 36112J107 8,185 500,000 PUT Shared-Defined 1/2/3 500,000 GENERAL MLS INC COM 370334104 19,724 400,000 CALL Shared-Defined 1/2/3 400,000 GENPACT LIMITED SHS G3922B107 9,308 511,700 SHS Shared-Defined 1/2/3 511,700 GEVO INC COM 374396109 781 350,000 SHS Shared-Defined 1/2/3 350,000 GRACE WR & CO DEL NEW COM 38388F108 5,813 75,000 SHS Shared-Defined 1/2/3 75,000 GREENBRIER COS INC NOTE 3.500% 4/0 393657AH4 10,060 10,000,000 PRN Shared-Defined 1/2/3 10,000,000 GREEN MTN COFFEE ROASTERS INC COM 393122106 5,902 104,000 SHS Shared-Defined 1/2/3 104,000 GRIFOLS S A SP ADR REP B NVT 398438408 3,805 130,945 SHS Shared-Defined 1/2/3 130,945 HCA HOLDINGS INC COM 40412C101 93,246 2,294,996 SHS Shared-Defined 1/2/3 2,294,996 HCA HOLDINGS INC COM 40412C101 8,126 200,000 CALL Shared-Defined 1/2/3 200,000 HAIN CELESTIAL GROUP INC COM 405217100 5,497 90,000 SHS Shared-Defined 1/2/3 90,000 HALLIBURTON CO COM 406216101 12,123 300,000 CALL Shared-Defined 1/2/3 300,000 HEALTH MGMT ASSOC INC NEW CL A 421933102 10,940 850,000 SHS Shared-Defined 1/2/3 850,000 HEALTHSOUTH CORP COM NEW 421924309 3,660 138,800 SHS Shared-Defined 1/2/3 138,800 HERSHEY CO COM 427866108 2,188 25,000 SHS Shared-Defined 1/2/3 25,000 HERTZ GLOBAL HOLDINGS INC COM 42805T105 6,122 275,000 SHS Shared-Defined 1/2/3 275,000 HI-TECH PHARMACAL INC COM 42840B101 3,477 105,000 SHS Shared-Defined 1/2/3 105,000 HILLSHIRE BRANDS CO COM 432589109 2,987 84,990 SHS Shared-Defined 1/2/3 84,990 HOLOGIC INC COM 436440101 2,214 98,000 SHS Shared-Defined 1/2/3 98,000 HOME DEPOT INC COM 437076102 10,163 145,647 SHS Shared-Defined 1/2/3 145,647 HORIZON PHARMA INC COM 44047T109 2,029 748,628 SHS Shared-Defined 1/2/3 748,628 HUMANA INC COM 444859102 9,330 135,000 CALL Shared-Defined 1/2/3 135,000 IMPAX LABORATORIES INC COM 45256B101 1,467 95,000 SHS Shared-Defined 1/2/3 95,000 IMPAX LABORATORIES INC COM 45256B101 3,088 200,000 CALL Shared-Defined 1/2/3 200,000 INFORMATICA CORP COM 45666Q102 15,162 440,000 SHS Shared-Defined 1/2/3 440,000 INTERCONTINENTALEXCHANGE INC COM 45865V100 30,168 185,000 SHS Shared-Defined 1/2/3 185,000 INTERFACE INC COM 458665304 6,727 350,000 SHS Shared-Defined 1/2/3 350,000 INTERMUNE INC COM 45884X103 3,731 412,300 SHS Shared-Defined 1/2/3 412,300 ISHARES TR MSCI EAFE INDEX 464287465 58,980 1,000,000 CALL Shared-Defined 1/2/3 1,000,000 ISHARES TR NASDQ BIO INDX 464287556 23,990 150,000 PUT Shared-Defined 1/2/3 150,000 ISHARES TR RUSSELL 2000 464287655 80,738 855,000 PUT Shared-Defined 1/2/3 855,000 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 8,888 159,000 SHS Shared-Defined 1/2/3 159,000 JPMORGAN CHASE & CO COM 46625H100 10,679 225,000 SHS Shared-Defined 1/2/3 225,000 JPMORGAN CHASE & CO COM 46625H100 26,103 550,000 CALL Shared-Defined 1/2/3 550,000 KELLOGG CO COM 487836108 11,275 175,000 SHS Shared-Defined 1/2/3 175,000 KINDER MORGAN INC DEL *W EXP 05/25/201 49456B119 771 150,000 SHS Shared-Defined 1/2/3 150,000 KOSMOS ENERGY LTD SHS G5315B107 4,520 400,000 SHS Shared-Defined 1/2/3 400,000 LAUDER ESTEE COS INC CL A 518439104 5,763 90,000 SHS Shared-Defined 1/2/3 90,000 LIFEPOINT HOSPITALS INC COM 53219L109 5,764 119,000 SHS Shared-Defined 1/2/3 119,000 LIBERTY MEDIA CORP DEB 4.000% 11/1 530715AG6 9,791 14,000,000 PRN Shared-Defined 1/2/3 14,000,000 LINCOLN ELEC HLDGS INC COM 533900106 6,766 125,000 SHS Shared-Defined 1/2/3 125,000 LINNCO LLC COMSHS LTD INT 535782106 11,727 300,000 SHS Shared-Defined 1/2/3 300,000 LOWES COS INC COM 548661107 11,376 300,000 CALL Shared-Defined 1/2/3 300,000 LYONDELLBASELL INDUSTRIES N SHS - A - N53745100 26,898 425,000 SHS Shared-Defined 1/2/3 425,000 MACYS INC COM 55616P104 5,230 125,000 SHS Shared-Defined 1/2/3 125,000 MARATHON OIL CORP COM 565849106 18,546 550,000 CALL Shared-Defined 1/2/3 550,000 MEAD JOHNSON NUTRITION CO COM 582839106 2,866 37,000 SHS Shared-Defined 1/2/3 37,000 MEDIVATION INC COM 58501N101 14,244 304,552 SHS Shared-Defined 1/2/3 304,552 MEDIVATION INC COM 58501N101 8,206 175,000 CALL Shared-Defined 1/2/3 175,000 MEDIVATION INC NOTE 2.625% 4/0 58501NAA9 1,851 1,500,000 PRN Shared-Defined 1/2/3 1,500,000 METROPCS COMMUNICATIONS INC COM 591708102 24,084 2,209,500 CALL Shared-Defined 1/2/3 2,209,500 MICHAEL KORS HLDGS LTD SHS G60754101 17,678 311,281 SHS Shared-Defined 1/2/3 311,281 MICROSOFT CORP COM 594918104 28,605 1,000,000 PUT Shared-Defined 1/2/3 1,000,000 MICROCHIP TECHNOLOGY INC COM 595017104 9,923 270,000 SHS Shared-Defined 1/2/3 270,000 MUELLER INDS INC COM 624756102 7,994 150,000 SHS Shared-Defined 1/2/3 150,000 NPS PHARMACEUTICALS INC COM 62936P103 2,996 294,000 SHS Shared-Defined 1/2/3 294,000 NXP SEMICONDUCTORS N V COM N6596X109 3,027 100,000 SHS Shared-Defined 1/2/3 100,000 NETSCOUT SYS INC COM 64115T104 3,097 126,030 SHS Shared-Defined 1/2/3 126,030 NEWELL RUBBERMAID INC COM 651229106 5,387 206,400 SHS Shared-Defined 1/2/3 206,400 NEXSTAR BROADCASTING GROUP I CL A 65336K103 7,490 416,100 SHS Shared-Defined 1/2/3 416,100 NOBLE ENERGY INC COM 655044105 23,132 200,000 SHS Shared-Defined 1/2/3 200,000 ON SEMICONDUCTOR CORP COM 682189105 10,916 1,320,000 SHS Shared-Defined 1/2/3 1,320,000 ONYX PHARMACEUTICALS INC COM 683399109 12,000 135,100 SHS Shared-Defined 1/2/3 135,100 OAKTREE CAP GROUP LLC UNIT 99/99/9999 674001201 7,653 150,000 SHS Shared-Defined 1/2/3 150,000 OCCIDENTAL PETE CORP DEL COM 674599105 11,756 150,000 SHS Shared-Defined 1/2/3 150,000 OPKO HEALTH INC COM 68375N103 2,289 300,000 SHS Shared-Defined 1/2/3 300,000 OWENS CORNING NEW COM 690742101 3,943 100,000 SHS Shared-Defined 1/2/3 100,000 PBF ENERGY INC CL A 69318G106 1,859 50,000 SHS Shared-Defined 1/2/3 50,000 PVH CORP COM 693656100 7,904 74,000 SHS Shared-Defined 1/2/3 74,000 PACIRA PHARMACEUTICALS INC COM 695127100 5,770 200,000 SHS Shared-Defined 1/2/3 200,000 PANERA BREAD CO CL A 69840W108 7,929 48,000 SHS Shared-Defined 1/2/3 48,000 PEABODY ENERGY CORP SDCV 4.750%12/1 704549AG9 6,530 8,000,000 PRN Shared-Defined 1/2/3 8,000,000 PEPSICO INC COM 713448108 10,284 130,000 SHS Shared-Defined 1/2/3 130,000 PERRIGO CO COM 714290103 4,986 42,000 SHS Shared-Defined 1/2/3 42,000 PFIZER INC COM 717081103 10,620 368,000 SHS Shared-Defined 1/2/3 368,000 PHILLIPS 66 COM 718546104 24,490 350,000 CALL Shared-Defined 1/2/3 350,000 PROCTOR & GAMBLE CO COM 742718109 11,405 148,000 SHS Shared-Defined 1/2/3 148,000 PROLOR BIOTECH INC COM 74344F106 2,277 450,000 SHS Shared-Defined 1/2/3 450,000 QUALCOMM INC COM 747525103 21,859 326,600 SHS Shared-Defined 1/2/3 326,600 RADIAN GROUP INC NOTE 3.000%11/1 750236AK7 5,997 5,000,000 PRN Shared-Defined 1/2/3 5,000,000 RADWARE LTD ORD M81873107 8,768 232,400 SHS Shared-Defined 1/2/3 232,400 REPROS THERAPEUTICS INC COM NEW 76028H209 4,114 256,018 SHS Shared-Defined 1/2/3 256,018 REPROS THERAPEUTICS INC COM NEW 76028H209 8,855 550,000 CALL Shared-Defined 1/2/3 550,000 ROWAN COMPANIES PLC SHS CL A G7665A101 11,492 325,000 SHS Shared-Defined 1/2/3 325,000 SPDR S&P 500 ETF TR TR UNIT 78462F103 173,904 1,110,000 PUT Shared-Defined 1/2/3 1,110,000 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP, 78467Y107 167,776 800,000 PUT Shared-Defined 1/2/3 800,000 SAGENT PHARMACEUTICALS INC COM 786692103 4,557 260,383 SHS Shared-Defined 1/2/3 260,383 SALIX PHARMACEUTICALS INC COM 795435106 9,914 193,700 SHS Shared-Defined 1/2/3 193,700 SANDISK CORP COM 80004C101 28,870 525,000 SHS Shared-Defined 1/2/3 525,000 SANDISK CORP NOTE 1.500% 8/1 80004CAD3 6,438 5,000,000 PRN Shared-Defined 1/2/3 5,000,000 SANDRIDGE ENERGY INC COM 80007P307 606 115,000 SHS Shared-Defined 1/2/3 115,000 SANTARUS INC COM 802817304 7,108 410,400 SHS Shared-Defined 1/2/3 410,400 SCHLUMBERGER LTD COM 806857108 14,978 200,000 CALL Shared-Defined 1/2/3 200,000 SEADRILL LIMITED SHS G7945E105 5,582 150,000 SHS Shared-Defined 1/2/3 150,000 SEADRILL PARTNERS LLC COMUNIT REP LB Y7545W109 4,163 150,000 SHS Shared-Defined 1/2/3 150,000 SEAGATE TECHNOLOGY PLC SHS G7945M107 8,408 230,000 PUT Shared-Defined 1/2/3 230,000 SHERWIN WILLIAMS CO COM 824348106 5,801 34,350 SHS Shared-Defined 1/2/3 34,350 SIRONA DENTAL SYSTEMS INC COM 82966C103 1,475 20,000 SHS Shared-Defined 1/2/3 20,000 SKYWORKS SOLUTIONS INC COM 83088M102 9,909 450,000 SHS Shared-Defined 1/2/3 450,000 SOLAZYME INC COM 83415T101 1,126 144,350 SHS Shared-Defined 1/2/3 144,350 SOLARFUN POWER HOLDINGS CO L NOTE 3.500% 1/1 83415UAB4 3,456 4,000,000 PRN Shared-Defined 1/2/3 4,000,000 SOUTHWESTERN ENERGY CO COM 845467109 4,658 125,000 SHS Shared-Defined 1/2/3 125,000 SPECTRUM BRANDS HLDGS INC COM 84763R101 3,279 57,944 SHS Shared-Defined 1/2/3 57,944 STARBUCKS CORP COM 855244109 43,581 765,515 SHS Shared-Defined 1/2/3 765,515 STEEL DYNAMICS INC COM 858119100 3,174 200,000 SHS Shared-Defined 1/2/3 200,000 STEEL DYNAMICS INC NOTE 5.125% 6/1 858119AP5 9,015 8,000,000 PRN Shared-Defined 1/2/3 8,000,000 STRYKER CORP COM 863667101 1,977 30,300 SHS Shared-Defined 1/2/3 30,300 SUNCOR ENERGY INC NEW COM 867224107 6,002 200,000 SHS Shared-Defined 1/2/3 200,000 SUNPOWER CORP DBCV 4.750% 4/1 867652AC3 6,500 6,500,000 PRN Shared-Defined 1/2/3 6,500,000 SYMANTEC CORP COM 871503108 12,335 500,000 SHS Shared-Defined 1/2/3 500,000 SYNAPTICS INC COM 87157D109 3,870 95,100 SHS Shared-Defined 1/2/3 95,100 TJX COS INC NEW COM 872540109 6,078 130,000 SHS Shared-Defined 1/2/3 130,000 TARGET CORP COM 87612E106 2,054 30,000 SHS Shared-Defined 1/2/3 30,000 TEAM HEALTH HOLDINGS INC COM 87817A107 13,824 380,000 SHS Shared-Defined 1/2/3 380,000 TENET HEALTHCARE CORP COM NEW 88033G407 11,448 240,600 SHS Shared-Defined 1/2/3 240,600 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 4,960 125,000 SHS Shared-Defined 1/2/3 125,000 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 15,872 400,000 CALL Shared-Defined 1/2/3 400,000 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 830 180,000 SHS Shared-Defined 1/2/3 180,000 TIVO INC COM 888706108 23,522 1,900,000 SHS Shared-Defined 1/2/3 1,900,000 TRONOX LTD SHS CL A Q9235V101 6,240 315,000 SHS Shared-Defined 1/2/3 315,000 ULTA SALON COSMETICS & FRAG I COM 90384S303 2,842 35,000 SHS Shared-Defined 1/2/3 35,000 UNITED CONTL HLDGS INC COM 910047109 4,289 134,000 SHS Shared-Defined 1/2/3 134,000 UNITEDHEALTH GROUP INC COM 91324P102 5,721 100,000 CALL Shared-Defined 1/2/3 100,000 UNIVERSAL HLTH SVCS INC CL B 913903100 14,914 233,500 SHS Shared-Defined 1/2/3 233,500 UNWIRED PLANET INC NEW COM 91531F103 10,719 4,850,000 SHS Shared-Defined 1/2/3 4,850,000 V F CORP COM 918204108 2,181 13,000 SHS Shared-Defined 1/2/3 13,000 VALERO ENERGY CORP NEW COM 91913Y100 6,233 150,000 CALL Shared-Defined 1/2/3 150,000 VANGUARD HEALTH SYS INC COM 922036207 6,195 416,586 SHS Shared-Defined 1/2/3 416,586 VEECO INSTRS INC DEL COM 922417100 3,841 100,000 PUT Shared-Defined 1/2/3 100,000 VISTEON CORP COM NEW 92839U206 20,195 350,000 SHS Shared-Defined 1/2/3 350,000 VRINGO INC COM 92911N104 325 102,500 SHS Shared-Defined 1/2/3 102,500 VRINGO INC COM 92911N104 1,585 500,000 CALL Shared-Defined 1/2/3 500,000 WAL-MART STORES INC COM 931142103 11,973 160,000 SHS Shared-Defined 1/2/3 160,000 WARNER CHILCOTT PLC IRELAND SHS A G94368100 2,708 200,000 SHS Shared-Defined 1/2/3 200,000 WEIGHT WATCHER INTL INC NEW COM 948626106 1,053 25,000 SHS Shared-Defined 1/2/3 25,000 WELLPOINT INC COM 94973V107 7,948 120,000 CALL Shared-Defined 1/2/3 120,000 WESTERN DIGITAL CORP COM 958102105 7,038 140,000 SHS Shared-Defined 1/2/3 140,000 WHOLE FOODS MKT INC COM 966837106 4,468 51,515 SHS Shared-Defined 1/2/3 51,515 WILLIAMS COS INC DEL COM 969457100 13,111 350,000 SHS Shared-Defined 1/2/3 350,000 YAHOO INC COM 984332106 9,996 425,000 SHS Shared-Defined 1/2/3 425,000 YANDEX N V SHS CLASS A N97284108 6,476 280,000 SHS Shared-Defined 1/2/3 280,000 ZELTIQ AESTHETICS INC COM 98933Q108 2,426 636,787 SHS Shared-Defined 1/2/3 636,787 ZOETIS INC CL A 98978V103 19,726 590,600 SHS Shared-Defined 1/2/3 590,600

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