-----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, T4uoDy++uWxjV+ibY7e6O2DqQuU8suVaedN5Ko0IKwr67TNNOexSuBy/vwd3p0Sd RzLd5+wCy0bar9+XxuyvxA== 0001166134-09-000033.txt : 20091109 0001166134-09-000033.hdr.sgml : 20091109 20091109151123 ACCESSION NUMBER: 0001166134-09-000033 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091109 DATE AS OF CHANGE: 20091109 EFFECTIVENESS DATE: 20091109 FILER: COMPANY DATA: COMPANY CONFORMED NAME: POPE ASSET MANAGEMENT, LLC CENTRAL INDEX KEY: 0001166134 IRS NUMBER: 621871308 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10004 FILM NUMBER: 091168037 BUSINESS ADDRESS: STREET 1: 5100 POPLAR AVE STREET 2: STE 805 CITY: MEMPHIS STATE: TN ZIP: 38137 BUSINESS PHONE: 901 763 4001 MAIL ADDRESS: STREET 1: 5100 POPLAR AVE STREET 2: STE 805 CITY: MEMPHIS STATE: TN ZIP: 38137 FORMER COMPANY: FORMER CONFORMED NAME: POPE ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 20020128 13F-HR 1 form13fsept2009.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: September 30, 2009 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: Pope Asset Management, LLC Address: 5100 Poplar Avenue, Suite 805 Memphis, TN 38137 Form 13F File Number: 28-10004 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: Casey McCandless Title: Chief Compliance OFficer Phone: 901-763-4001 Signature, Place, Date of Signing: Casey McCandless Memphis, Tennessee 11/06/2009 Report Type(Check only one): [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total:75 Form 13F Information Table Value Total: 395375 List of Other Included Managers: No. 13F File Number Name 01 28-06557 Capital Strategies Advisors, Inc. FORM 13F INFORMATION TABLE VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP VALUE (x$1000) SHARES/PRN AMT SH/PRN PUT/CALL INVSTMT DSCRETN OTHER MNGRS SOLE SHARED NONE Annuity & Life Re Hldgs Ltd Common G03910109 10937 24533809 SH Sole 24533809 0 Benda Pharmaceuticals Inc Common 08165P108 782 22337998 SH Sole 22337998 0 China Biotics Inc Com Common 16937B109 27316 1707224 SH Sole 1707224 0 China Biotics Inc Com Common 16937B109 3011 188200 SH Other 01 0 188200 China Farm Equipment Ltd Common Y1489R101 517 2800000 SH Sole 2800000 0 China Farm Equipment Ltd Common Y1489R101 242 1313000 SH Other 01 0 1313000 China Housing and Land Develop Common 16939V103 1266 328726 SH Sole 328726 0 China Pharma Hldgs Inc Com Common 16941T104 7701 2265050 SH Sole 2265050 0 China Ritar Power Corp Common 169423100 19886 3410991 SH Sole 3410991 0 China Ritar Power Corp Common 169423100 2596 445300 SH Other 01 0 445300 China Shoto Plc Common G2158V100 136 50000 SH Sole 50000 0 China Sky One Med Inc Com Common 16941P102 14300 1084179 SH Sole 1084179 0 China Yida Hldg Co Com New Common 16945D204 14868 2453681 SH Sole 2453681 0 China Yida Hldg Co Com New Common 16945D204 230 28800 SH Other 01 0 28800 China Zenith Chemical Group Lt Common G215A1103 11434 506357326 SH Sole 506357326 0 China Zenith Chemical Group Lt Common G215A1103 2213 97990000 SH Other 01 0 97990000 Conocophillips Nfs Llc Is Common 20825C104 3349 74153 SH Sole 74153 0 Conocophillips Nfs Llc Is Common 20825C104 766 16955 SH Other 01 0 16955 Cornerstone Inds Intl Inc C Common 21924X106 0 61235 SH Sole 61235 0 Dnb Nor Asa Ord Shs Common R1812S105 31016 2690080 SH Sole 2690080 0 Dnb Nor Asa Ord Shs Common R1812S105 8140 706000 SH Other 01 0 706000 Eiker Sparebank Asa Primary Ca Common R1984E108 478 87023 SH Sole 87023 0 Enerchina Holdings Limited Hk Common G30392131 6709 456101186 SH Sole 456101186 0 Enerchina Holdings Limited Hk Common G30392131 2387 162298263 SH Other 01 0 162298263 Exxon Mobil Corporation Common 30231G102 240 3500 SH Sole 3500 0 Far Eastone Telecommunication Common Y7540C108 3692 3156408 SH Sole 3156408 0 Far Eastone Telecommunication Common Y7540C108 793 678240 SH Other 01 0 678240 Full Apex Holdings Ltd Shs Common G3687W106 3678 37016105 SH Sole 37016105 0 Full Apex Holdings Ltd Shs Common G3687W106 1053 10599494 SH Other 01 0 10599494 Fushi Intl Inc Com Common 36113C101 26572 3140912 SH Sole 3140912 0 Fushi Intl Inc Com Common 36113C101 3488 412343 SH Other 01 0 412343 Guangdong Nan Yue Logistics Common Y2930Z106 4601 20262000 SH Sole 20262000 0 Guangdong Nan Yue Logistics Common Y2930Z106 1108 4878731 SH Other 01 0 4878731 Heng Tai Consumablesgroup Ltd Common G44035106 6696 110413681 SH Sole 110413681 0 Heng Tai Consumablesgroup Ltd Common G44035106 2210 36449321 SH Other 01 0 36449321 Jiangbo Pharmaceuticals Inc Common 47737R101 969 82500 SH Sole 82500 0 Kingboard Copper Foil Hldgs Or Common G52567107 9856 53415028 SH Sole 53415028 0 Kingboard Copper Foil Hldgs Or Common G52567107 3000 16260000 SH Other 01 0 16260000 Luye Pharma Group Ltd Common G5722Z101 6255 14449000 SH Sole 14449000 0 Luye Pharma Group Ltd Common G5722Z101 947 2188000 SH Other 01 0 2188000 Mobileone Ltd Common Y8838Q122 9895 7876790 SH Sole 7876790 0 Mobileone Ltd Common Y8838Q122 3090 2460000 SH Other 01 0 2460000 Murphy Oil Corp Common 626717102 461 8000 SH Sole 8000 0 People S Food Holdings Ltd Common G7000R108 3867 7169260 SH Sole 7169260 0 People S Food Holdings Ltd Common G7000R108 1656 3071000 SH Other 01 0 3071000 Proview International Hldgs Common G7283A103 867 27867094 SH Sole 27867094 0 Proview International Hldgs Common G7283A103 293 9420000 SH Other 01 0 9420000 Qiao Xing Mobile Communicat Common G73031109 1270 439540 SH Sole 439540 0 Qiao Xing Mobile Communicat Common G73031109 223 77150 SH Other 01 0 77150 RCG Holdings Ltd HK Common ZZZ99V928 1079 845037 SH Sole 845037 0 Regal Petroleum Plc Shs Common G7476L106 28535 16558201 SH Sole 16558201 0 Regal Petroleum Plc Shs Common G7476L106 8027 4658000 SH Other 01 0 4658000 Shengtai Pharmaceutical Common 823214101 2493 2652200 SH Sole 2652200 0 Singapore Reinsurance Npv Common Y7996A101 3710 16864967 SH Sole 16864967 0 Singapore Reinsurance Npv Common Y7996A101 984 4471300 SH Other 01 0 4471300 Sinolink Worldwide Hldgs Ltd Common G8165B102 12698 50468750 SH Sole 50468750 0 Sinolink Worldwide Hldgs Ltd Common G8165B102 4898 19468167 SH Other 01 0 19468167 Sparebanken Midt Norge Common R82401101 1357 162360 SH Sole 162360 0 Sparebanken Midt Norge Common R82401101 367 43920 SH Other 01 0 43920 Sparebanken Nord Norge Prim Common R8288N106 2153 121854 SH Sole 121854 0 Sparebanken Nord Norge Prim Common R8288N106 311 17600 SH Other 01 0 17600 Sparebanken Vest As Primary Ca Common R8323C107 412 25700 SH Sole 25700 0 Taiwan Mobile Co Ltdshs Common Y84153215 8801 4755140 SH Sole 4755140 0 Taiwan Mobile Co Ltdshs Common Y84153215 1495 807955 SH Other 01 0 807955 Tethys Petroleum Limited Usd O Common G87636109 9904 16353100 SH Sole 16353100 0 Tethys Petroleum Limited Usd O Common G87636109 2966 4896800 SH Other 01 0 4896800 Tianyin Pharmaceutical Co Inc Common 88630M104 5764 1520969 SH Sole 1520969 0 Totens Sparebank As Primary Ca Common R92151100 992 84627 SH Sole 84627 0 Totens Sparebank As Primary Ca Common R92151100 138 11780 SH Other 01 0 11780 Truly Intl Hldgs Hkd0.10 Common G91019102 6287 5863000 SH Sole 5863000 0 Truly Intl Hldgs Hkd0.10 Common G91019102 1648 1537000 SH Other 01 0 1537000 United Food Holdingsltd Common G9232V105 2814 49560900 SH Sole 49560900 0 United Food Holdingsltd Common G9232V105 1027 18086488 SH Other 01 0 18086488 Wuyi International Pharmaceut Common G98089108 18366 192895000 SH Sole 192895000 0 Wuyi International Pharmaceut Common G98089108 1444 15762500 SH Other 01 0 15762500
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