-----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, KZLA7yskRH2g8jmn1o7lG/JUXAZkb5mxwnO+t3Y8hUmA6GIFlOUsXHtIoOkjVaeT riYNHOCX45Oq67spJCO5vA== 0001011814-09-000015.txt : 20091112 0001011814-09-000015.hdr.sgml : 20091111 20091112090658 ACCESSION NUMBER: 0001011814-09-000015 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KINETICS ASSET MANAGEMENT INC CENTRAL INDEX KEY: 0001011814 IRS NUMBER: 133878346 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-05163 FILM NUMBER: 091174455 BUSINESS ADDRESS: STREET 1: 470 PARK AVENUE STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 646-495-7347 MAIL ADDRESS: STREET 1: 470 PARK AVENUE SOUTH STREET 2: 4TH FLOOR SOUTH CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR 1 kineticsthirteenfseptnine.txt KINETICSTHIRTEENFSEPTNINE UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Quarter ended: September 30, 2009 Amendment. Institutional Investment Manager Filing this Report: Name: Kinetics Asset Management, Inc. Address: 470 Park Avenue South 4th Floor South New York, N.Y. 10016 13F File Number: 028-05163 The institutional investment manager filing this report; and 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: Andrew M. Fishman Title: Director of Compliance Phone: 646-495-7347 Signature, Place, and Date of Signing: Andrew M. Fishman New York, New York November 12, 2009 Report Type: 13F HOLDINGS REPORT List of Other Managers Reporting for this Manager: none I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. Report Summary: Number of Other Included Managers: none Form 13F Information Table Entry Total: 233 Form Information Table Value Total: $3,795,110.31 Name of Issuer Class Cusip Value(000) Shares SHR/PRN put/callDiscretioOther Mgrs Sole Shared None CME GROUP INC common 12572Q105149,801.30 486,068 SHR sole no 486,068 INTERCONTINENTAL common 45865V100148,123.781,524,064 SHR sole no 1,524,064 SUNCOR ENERGY common 867229106142,264.244,116,442 SHR sole no 4,116,442 LEUCADIA NAT common 527288104132,279.225,351,101 SHR sole no 5,351,101 CANADIAN NAT common 136385101126,500.431,882,727 SHR sole no 1,882,727 NASDAQ OMX common 631103108114,389.195,434,166 SHR sole no 5,434,166 NYSE EURONEXT common 629491101112,826.573,905,385 SHR sole no 3,905,385 ICAHN ENTERP common 451100101108,177.752,707,151 SHR sole no 2,707,151 ANGLO AMERICAN common 03485P201 97,999.866,148,818 SHR sole no 6,148,818 BROOKFIELD ASSET common 112585104 88,909.153,914,978 SHR sole no 3,914,978 ENCANA CORP common 292505104 80,804.021,402,604 SHR sole no 1,402,604 MASTERCARD INC common 57636Q104 79,447.17 393,011 SHR sole no 393,011 BERKSHIRE HATH CL. A 084670108 76,356.00 756 SHR sole no 756 WYNN RESORTS LTD common 983134107 68,704.46 969,170 SHR sole no 969,170 RRI ENERGY INC common 74971X107 64,653.449,055,104 SHR sole no 9,055,104 CALPINE CORP common 131347304 62,538.685,428,705 SHR sole no 5,428,705 BURLINGTON NORTH common 12189T104 59,857.97 749,818 SHR sole no 749,818 SEARS HOLDINGS C common 812350106 59,610.73 878,437 SHR sole no 878,437 BERKSHIRE HATHAW CL. B 084670207 58,880.24 17,719 SHR sole no 17,719 ASSURED GUARANTY LTD common G0585R106 57,524.432,962,123 SHR sole no 2,962,123 VISA INC common 92826C839 57,216.31 827,902 SHR sole no 827,902 RIO TINTO GROUP common 767204100 55,243.27 324,407 SHR sole no 324,407 BANK OF NEW YORK common 064058100 53,463.471,844,204 SHR sole no 1,844,204 CSX CORP common 126408103 52,931.011,264,477 SHR sole no 1,264,477 SIGMA-ALDRICH CORP common 826552101 52,899.86 979,990 SHR sole no 979,990 UNION PACIFIC CORP common 907818108 51,146.05 876,539 SHR sole no 876,539 CANADIAN OIL SAN common 13642L100 48,844.421,708,026 SHR sole no 1,708,026 STATE STREET CORP common 857477103 45,818.97 871,083 SHR sole no 871,083 NORFOLK SOUTHERN common 655844108 44,743.311,037,887 SHR sole no 1,037,887 WARNER MUSIC GROUP common 934550104 43,163.087,805,259 SHR sole no 7,805,259 BROADRIDGE FINANCIAL common 11133T103 42,641.242,571,848 SHR sole no 2,571,848 DREAMWORKS common 26153C103 38,494.461,082,217 SHR sole no 1,082,217 MBIA INC common 55262C100 37,640.664,850,600 SHR sole no 4,850,600 FREEPORT-MCMORAN common 35671D857 36,319.87 529,367 SHR sole no 529,367 CHINA LIFE common 16939P106 34,437.56 524,084 SHR sole no 524,084 FOREST CITY CL. A CL. A 345550107 33,456.502,502,356 SHR sole no 2,502,356 TEXAS PACIFIC LAND common 882610108 33,367.921,059,299 SHR sole no 1,059,299 AMERICAN REAL debt 021969AA7 33,092.0040,000,00 PRN sole no 40,000,000 NEXEN INC common 65334H102 32,073.031,421,047 SHR sole no 1,421,047 MARKEL CORP common 570535104 31,233.62 94,699 SHR sole no 94,699 MARKET VECTORS GOLD common 57060U100 30,833.02 680,791 SHR sole no 680,791 PENN WEST ENERGY common 707885109 30,281.111,911,686 SHR sole no 1,911,686 EW SCRIPPS -CL A CL. A 811054402 30,253.274,033,769 SHR sole no 4,033,769 IMPERIAL OIL LTD common 453038408 30,087.02 791,139 SHR sole no 791,139 MSCI INC-CL A CL. A 55354G100 28,830.45 979,961 SHR sole no 979,961 FEDERAL HOME LOAN common 313400301 28,684.7915,935,99 SHR sole no 15,935,997 JARDEN CORP common 471109108 27,972.71 996,534 SHR sole no 996,534 EL PASO CORP common 28336L109 27,385.642,653,647 SHR sole no 2,653,647 NORTHERN TRUST CORP common 665859104 26,761.10 460,129 SHR sole no 460,129 JEFFERIES GROUP INC common 472319102 25,488.75 936,054 SHR sole no 936,054 LABRANCHE & CO INC common 505447102 25,151.317,397,444 SHR sole no 7,397,444 CNOOC LTD common 126132109 24,680.36 182,237 SHR sole no 182,237 U S GLOBAL INVEST common 902952100 24,052.552,597,468 SHR sole no 2,597,468 FANNIE MAE common 313586109 22,080.1114,526,38 SHR sole no 14,526,387 BHP BILLITON common 088606108 20,732.44 378,813 SHR sole no 378,813 POTASH CORP SASK INC common 73755L107 20,015.73 221,560 SHR sole no 221,560 EATON VANCE CORP common 278265103 19,406.38 683,564 SHR sole no 683,564 BLACKROCK INC common 09247X101 17,979.15 82,922 SHR sole no 82,922 DYNEGY INC common 26817G102 17,887.697,014,781 SHR sole no 7,014,781 WASHINGTON POST common 939640108 16,875.22 36,052 SHR sole no 36,052 CACI INTL INC -CL A CL. A 127190304 16,491.91 386,137 SHR sole no 386,137 CHINA UNICOM common 16945R104 14,733.031,034,623 SHR sole no 1,034,623 HONG KONG EXC common Y3506N139 13,664.73 763,393 SHR sole no 763,393 ICICI BANK LTD common 45104G104 13,641.76 353,780 SHR sole no 353,780 TIME WARNER INC common 887317303 13,165.81 457,464 SHR sole no 457,464 NRG ENERGY INC common 629377508 13,027.53 462,133 SHR sole no 462,133 CHINA MOBILE LTD common 16941M109 13,016.70 265,052 SHR sole no 265,052 PZENA INVESTMENT M common 74731Q103 13,014.731,592,990 SHR sole no 1,592,990 TATA MOTORS LTD common 876568502 12,851.27 991,610 SHR sole no 991,610 SOTHEBY'S common 835898107 12,710.52 737,697 SHR sole no 737,697 COHEN & STEERS INC common 19247A100 12,617.45 525,727 SHR sole no 525,727 PETROCHINA CO LTD common 71646E100 12,320.72 108,314 SHR sole no 108,314 CHINA PETROLEUM common 16941R108 12,305.11 144,511 SHR sole no 144,511 MGM MIRAGE common 552953101 11,977.16 994,781 SHR sole no 994,781 QUANTA SERVICES INC common 74762E102 11,712.86 529,275 SHR sole no 529,275 HDFC BANK LTD common 40415F101 11,318.18 95,617 SHR sole no 95,617 GAZPROM OAO common 368287207 11,308.55 478,365 SHR sole no 478,365 MELCO CROWN common 585464100 10,223.131,468,841 SHR sole no 1,468,841 FIRST DATA CORP debt 319963AP9 10,148.4911,016,00 PRN sole no 11,016,000 SCRIPPS NETWORKS common 811065101 9,431.86 255,260 SHR sole no 255,260 FOREST CITY debt 345550AH0 9,075.0010,000,00 PRN sole no 10,000,000 BLACKSTONE common 09253U108 8,843.32 622,769 SHR sole no 622,769 ALLEGHENY ENERGY common 017361106 8,578.00 323,454 SHR sole no 323,454 NOVO NORDISK A/S common 670100205 7,989.80 126,923 SHR sole no 126,923 DST SYSTEMS INC common 233326107 7,966.65 177,827 SHR sole no 177,827 LEGG MASON INC common 524901105 7,574.64 244,107 SHR sole no 244,107 ROVI CORP common 779376102 7,466.19 222,208 SHR sole no 222,208 CAMECO CORP common 13321L108 7,388.82 265,785 SHR sole no 265,785 CHINA EASTERN AIR common 16937R104 6,847.80 198,257 SHR sole no 198,257 ST JOE CO common 790148100 6,758.81 232,102 SHR sole no 232,102 LAS VEGAS SANDS CORP common 517834107 6,524.30 387,429 SHR sole no 387,429 FOREST LAB common 345838106 6,351.56 215,746 SHR sole no 215,746 CRESUD SACIFYA common 226406106 6,304.62 668,570 SHR sole no 668,570 CHINA SOUTHERN AIR common 169409109 6,275.70 396,694 SHR sole no 396,694 STATE BK INDIA common 856552203 6,260.23 68,600 SHR sole no 68,600 VORNADO REALTY TRUST common 929042109 5,972.07 92,720 SHR sole no 92,720 COVANTA HOLDING CORP common 22282E102 5,732.28 337,193 SHR sole no 337,193 SINGAPORE EXCHANGE LTD common Y79946102 5,595.76 956,541 SHR sole no 956,541 CONOCOPHILLIPS common 20825C104 5,557.75 123,068 SHR sole no 123,068 WESTERN UNION CO common 959802109 5,501.69 290,787 SHR sole no 290,787 MANTECH INTL CORP common 564563104 5,107.43 108,438 SHR sole no 108,438 FINOVA GROUP INC debt 317928AA7 5,081.4454,562,84 PRN sole no 54,562,845 HUANENG POWER common 443304100 4,957.84 186,105 SHR sole no 186,105 AMBAC FINANCIAL GP common 023139108 4,882.102,906,010 SHR sole no 2,906,010 STATOIL ASA common 85771P102 4,821.28 213,899 SHR sole no 213,899 TIME WARNER CABLE INC common 88732J207 4,675.39 108,503 SHR sole no 108,503 ALEXANDER'S INC common 014752109 4,621.05 15,618 SHR sole no 15,618 RITCHIE BROS common 767744105 4,447.73 181,244 SHR sole no 181,244 ISHARES TR FTSE common 464287184 4,424.48 108,125 SHR sole no 108,125 MIRANT CORP common 60467R100 4,242.46 258,214 SHR sole no 258,214 BUNGE LTD common G16962105 4,138.90 66,106 SHR sole no 66,106 BAIDU INC -ADR common 056752108 3,793.19 9,700 SHR sole no 9,700 BROOKFIELD INFRS common G16252101 3,657.43 222,201 SHR sole no 222,201 GUANGSHEN RAILWAY common 40065W107 3,566.05 177,858 SHR sole no 177,858 NARA BANCORP INC common 63080P105 3,465.29 498,603 SHR sole no 498,603 WILSHIRE BANCORP INC common 97186T108 3,405.44 463,957 SHR sole no 463,957 SANDRIDGE ENERGY INC common 80007P307 3,032.34 233,977 SHR sole no 233,977 COMDISCO DIST RTS common 200334118 2,650.6322,088,59 SHR sole no 22,088,592 CATHAY GENERAL BANCORP common 149150104 2,478.61 306,379 SHR sole no 306,379 ARCHER-DANIELS-MID common 039483102 2,456.28 91,755 SHR sole no 91,755 EMC CORP/MA common 268648102 2,385.60 140,000 SHR sole no 140,000 LIBERTY GLOBAL INC common 530555309 2,261.88 100,707 SHR sole no 100,707 SANOFI-AVENTIS common 80105N105 2,030.66 54,957 SHR sole no 54,957 LEVEL 3 COMM debt 52729NAS9 1,987.502,000,000 PRN sole no 2,000,000 CENTER FINANCIAL common 15146E102 1,952.06 511,010 SHR sole no 511,010 SUNGARD DATA SYS debt 876363AH6 1,928.501,900,000 PRN sole no 1,900,000 M & T BANK CORP common 55261F104 1,859.69 29,841 SHR sole no 29,841 STUDENT LOAN CORP common 863902102 1,786.86 38,510 SHR sole no 38,510 EAST WEST BANCORP INC common 27579R104 1,775.35 213,898 SHR sole no 213,898 PETROBRAS-PETR common 71654V408 1,742.13 37,955 SHR sole no 37,955 COMDISCO HOLD common 200334100 1,676.02 203,400 SHR sole no 203,400 GOOGLE INC common 38259P508 1,586.72 3,200 SHR sole no 3,200 JOHNSON & JOHNSON common 478160104 1,583.14 26,000 SHR sole no 26,000 BIOGEN IDEC INC common 09062X103 1,528.23 30,250 SHR sole no 30,250 COGNIZANT TECH common 192446102 1,507.74 39,000 SHR sole no 39,000 NATIONAL ENERGY common 635812209 1,461.63 370,033 SHR sole no 370,033 INFOSYS TECH common 456788108 1,454.70 30,000 SHR sole no 30,000 LIFE TECH common 53217V109 1,443.05 31,000 SHR sole no 31,000 GENZYME CORP common 372917104 1,335.31 23,538 SHR sole no 23,538 GLAXOSMITHKLINE PLC common 37733W105 1,330.42 33,673 SHR sole no 33,673 WENDY'S/ARBY'S common 950587105 1,266.06 267,667 SHR sole no 267,667 SOHU.COM INC common 83408W103 1,238.04 18,000 SHR sole no 18,000 PICO HOLDINGS INC common 693366205 1,228.21 36,828 SHR sole no 36,828 AMERICAN INTERNAT common 026874784 1,226.35 27,802 SHR sole no 27,802 IAC/INTERACTIVECORP common 44919P508 1,226.34 60,740 SHR sole no 60,740 NETAPP INC common 64110D104 1,217.25 45,000 SHR sole no 45,000 FTI CONSULTING INC common 302941109 1,175.10 27,578 SHR sole no 27,578 ABBOTT LABORATORIES common 002824100 1,137.81 23,000 SHR sole no 23,000 AFFYMETRIX INC common 00826T108 1,097.50 125,000 SHR sole no 125,000 URS CORP common 903236107 1,091.25 25,000 SHR sole no 25,000 MONSANTO CO common 61166W101 1,059.82 12,635 SHR sole no 12,635 LILLY (ELI) & CO common 532457108 1,056.96 32,000 SHR sole no 32,000 BLACKROCK FLTG common 09255X100 1,038.87 80,720 SHR sole no 80,720 BLACKROCK FLTING common 091941104 1,006.70 80,730 SHR sole no 80,730 BLACKROCK FLT RTE common 09255Y108 1,001.05 80,730 SHR sole no 80,730 SINA CORP common G81477104 986.96 26,000 SHR sole no 26,000 WESCO FINANCIAL CORP common 950817106 972.59 2,988 SHR sole no 2,988 PENN VIRGINIA GP common 70788P105 969.15 75,538 SHR sole no 75,538 HANMI FINANCIAL CORP common 410495105 956.09 582,982 SHR sole no 582,982 EBAY INC common 278642103 944.00 40,000 SHR sole no 40,000 APPLE INC common 037833100 926.75 5,000 SHR sole no 5,000 BRISTOL-MYERS SQUIBB CO common 110122108 923.32 41,000 SHR sole no 41,000 FORTRESS INVEST common 34958B106 862.74 165,911 SHR sole no 165,911 LINDSAY CORP common 535555106 830.20 20,000 SHR sole no 20,000 DENDREON CORP common 24823Q107 811.71 29,000 SHR sole no 29,000 VEOLIA ENVIRONNEMENT common 92334N103 750.56 19,500 SHR sole no 19,500 QUALCOMM INC common 747525103 674.70 15,000 SHR sole no 15,000 MCAFEE INC common 579064106 656.85 15,000 SHR sole no 15,000 CMS ENERGY CORP common 125896100 654.30 48,828 SHR sole no 48,828 CHECK POINT SOFT common M22465104 595.35 21,000 SHR sole no 21,000 ATLAS ENERGY INC common 049298102 570.04 21,058 SHR sole no 21,058 XO HOLDINGS INC -CL A common 98417K106 568.38 835,850 SHR sole no 835,850 AMERON INTE common 030710107 566.79 7,000 SHR sole no 7,000 CEPHALON INC common 156708109 524.16 9,000 SHR sole no 9,000 ITRON INC common 465741106 513.12 8,000 SHR sole no 8,000 ASTRAZENECA PLC common 046353108 494.45 11,000 SHR sole no 11,000 SYMANTEC CORP common 871503108 494.10 30,000 SHR sole no 30,000 PRICE (T. ROWE) GROUP common 74144T108 484.88 10,610 SHR sole no 10,610 CUBIST PHARMA common 229678107 484.80 24,000 SHR sole no 24,000 CONNECTICUT WATER common 207797101 474.80 21,206 SHR sole no 21,206 HUTCHISON TELEC common 44841T107 461.26 150,740 SHR sole no 150,740 BUCKEYE GP HOLDINGS LP common 118167105 447.27 18,559 SHR sole no 18,559 NORTHWEST PIPE COMPANY common 667746101 436.59 13,021 SHR sole no 13,021 ALBANY MOLECULAR common 012423109 424.34 49,000 SHR sole no 49,000 TETRA TECH INC common 88162G103 397.95 15,000 SHR sole no 15,000 HUMAN GENOME SCI common 444903108 395.22 21,000 SHR sole no 21,000 ESCO TECHNOLOGIES INC common 296315104 394.00 10,000 SHR sole no 10,000 ALLIANCEBERNSTEIN common 01881G106 386.58 14,171 SHR sole no 14,171 YORK WATER CO common 987184108 382.69 27,611 SHR sole no 27,611 FRANKLIN RESOURCES INC common 354613101 372.42 3,702 SHR sole no 3,702 MET-PRO CORP common 590876306 366.16 39,800 SHR sole no 39,800 EMPIRE DISTRICT ELE common 291641108 361.80 20,000 SHR sole no 20,000 MICROSOFT CORP common 594918104 356.55 15,000 SHR sole no 15,000 POWER CORP OF CANADA common 739239101 350.47 12,861 SHR sole no 12,861 ARTESIAN RESOURCE CL. A 043113208 346.66 20,610 SHR sole no 20,610 AMERICAN RAILCAR common 02916P103 341.30 32,168 SHR sole no 32,168 AMERICAN EXPRESS CO common 025816109 339.00 10,000 SHR sole no 10,000 WMG HOLDINGS debt 92930MAF0 337.75 350,000 PRN sole no 350,000 CASCAL N.V. common N1842P109 315.00 50,000 SHR sole no 50,000 DISNEY (WALT) CO common 254687106 312.49 11,380 SHR sole no 11,380 MIDDLESEX WATER CO common 596680108 301.60 20,000 SHR sole no 20,000 VALUE LINE INC common 920437100 299.14 9,725 SHR sole no 9,725 AMERICAN WATER common 030420103 299.10 15,000 SHR sole no 15,000 FISERV INC common 337738108 296.91 6,160 SHR sole no 6,160 AQUA AMERICA INC common 03836W103 294.59 16,700 SHR sole no 16,700 ACXIOM CORP common 005125109 285.22 30,150 SHR sole no 30,150 UCBH HOLDINGS INC common 90262T308 277.60 346,995 SHR sole no 346,995 BOMBARDIER CL. B CL. B 097751200 258.82 55,900 SHR sole no 55,900 JDS UNIPHASE CORP common 46612J507 257.40 45,000 SHR sole no 45,000 NEW ORIENTAL ED common 647581107 250.81 3,550 SHR sole no 3,550 ENERGY RECOVERY INC common 29270J100 233.60 40,000 SHR sole no 40,000 R H DONNELLEY CORP common 74955W307 231.614,541,467 SHR sole no 4,541,467 ALLEGHANY CORP common 017175100 227.96 880 SHR sole no 880 RISKMETRICS GROUP INC common 767735103 226.38 15,484 SHR sole no 15,484 AMERICAN STATES common 029899101 224.32 6,200 SHR sole no 6,200 PREFERRED BANK common 740367107 207.37 63,611 SHR sole no 63,611 ARENA PHARMA common 040047102 201.15 45,000 SHR sole no 45,000 ECHOSTAR CORP common 278768106 184.60 10,000 SHR sole no 10,000 INTERNET HOLDERS TRUST common 46059W102 177.45 3,500 SHR sole no 3,500 CTRIP.COM INTL LTD -AD common 22943F100 176.37 3,000 SHR sole no 3,000 WISDOMTREE INVTS INC common 97717P104 171.00 114,000 SHR sole no 114,000 BAM INVESTMENTS common 05936R108 160.98 16,580 SHR sole no 16,580 SAPIENT CORP common 803062108 160.80 20,000 SHR sole no 20,000 IRON MOUNTAIN INC common 462846106 159.96 6,000 SHR sole no 6,000 FIRST BANK OF DELAWARE common 319307104 153.29 102,195 SHR sole no 102,195 CURAGEN CORP common 23126R101 141.12 96,000 SHR sole no 96,000 L-1 IDENTITY SOLUTION common 50212A106 139.80 20,000 SHR sole no 20,000 AECOM TECHNOLOGY CORP common 00766T100 135.70 5,000 SHR sole no 5,000 APOLLO GROUP INC -CL A CL. A 037604105 129.68 2,000 SHR sole no 2,000 INTERNET CAPITAL common 46059C205 125.40 15,000 SHR sole no 15,000 AETERNA ZENTARIS INC common 007975204 125.05 102,500 SHR sole no 102,500 IMMUNOGEN INC common 45253H101 120.68 14,000 SHR sole no 14,000 YANZHOU COAL common 984846105 108.15 7,500 SHR sole no 7,500
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