-----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, NSUCbFZd/LiiJ583WYBbPgsblQpQqxStIj3SbiZBSYfyU4J3DgTvzTY1hIXoWN2z SJGC/H870JgVHRRVgSgltQ== 0001144204-10-008010.txt : 20100216 0001144204-10-008010.hdr.sgml : 20100215 20100216141951 ACCESSION NUMBER: 0001144204-10-008010 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KEANE CAPITAL MANGEMENT INC CENTRAL INDEX KEY: 0001169347 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10739 FILM NUMBER: 10606301 BUSINESS ADDRESS: STREET 1: 6302 FAIRVIEW ROAD SUITE 450 CITY: CHARLOTTE STATE: NC ZIP: 28210 BUSINESS PHONE: 7043643250 13F-HR 1 v174641_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F FORM 13F COVER PAGE Report for Calendar Year or Quarter Ended: December 31, 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: Keane Capital Management, Inc. Address; 3440 Torringdon Way, Suite 308 Charlotte, North Carolina 28277 Form 13F File Number: 28-10739 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: Ted Slack Title: Controller & Chief Compliance Officer Phone: (704) 973-4022 Signature, Place, and Date of Signing: /s/ Ted Slack Charlotte, North Carolina February 16, 2010 - ----------------------- ------------------------- ----------------- 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 manager(s).) [ ] 13F COMINATION 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).) Report Summary: Number of Other Included Managers: None Form 13F Information Table Entry Total: 129 Form 13F Information Table Value Total: $ 377,408 ----------- (thousands) List of Other Included Managers: None 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 Keane Capital Management, Inc. Form 13F Information Table 31-Dec-09
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ------------------------------------------------------------------------------------------------------------------------------------ Title of Value SHS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY Name of Issuer Class Cusip (X1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE 8X8 INC COM 282914100 638 425,000 SHS Sole 425,000 8X8 INC COM 282914100 638 425,000 SHS Sole 425,000 ACCO BRANDS CORP COM 00081T108 1,383 190,000 SHS Sole 190,000 ACCO BRANDS CORP COM 00081T108 1,383 190,000 SHS Sole 190,000 AIR METHODS COM 009128307 781 23,243 SHS Sole 23,243 AIR METHODS COM 009128307 786 23,374 SHS Sole 23,374 AIR METHODS COM 009128307 1,567 46,617 SHS Sole 46,617 ALDILA COM 014384200 444 127,980 SHS Sole 127,980 ALDILA COM 014384200 444 127,980 SHS Sole 127,980 ALLIANCE HEALTHCAR COM 018606202 744 130,383 SHS Sole 130,383 ALLIANCE HEALTHCAR COM 018606202 749 131,124 SHS Sole 131,124 ALLIANCE HEALTHCAR COM 018606202 1,493 261,507 SHS Sole 261,507 ALLIANCE ONE INTL COM 018772103 1,462 299,522 SHS Sole 299,522 ALLIANCE ONE INTL COM 018772103 1,561 319,897 SHS Sole 319,897 ALLIANCE ONE INTL COM 018772103 3,023 619,419 SHS Sole 619,419 ALLIED HLTHCARE COM 01923A109 1,164 400,000 SHS Sole 400,000 ALLIED HLTHCARE COM 01923A109 2,029 697,182 SHS Sole 697,182 ALLIED HLTHCARE COM 01923A109 2,117 727,482 SHS Sole 727,482 ALLIED HLTHCARE COM 01923A109 2,316 795,847 SHS Sole 795,847 ALLIED HLTHCARE COM 01923A109 7,626 2,620,511 SHS Sole 2,620,511 ALMOST FMLY INC COM 020409108 664 16,805 SHS Sole 16,805 ALMOST FMLY INC COM 020409108 787 19,921 SHS Sole 19,921 ALMOST FMLY INC COM 020409108 1,286 32,540 SHS Sole 32,540 ALMOST FMLY INC COM 020409108 2,738 69,266 SHS Sole 69,266 AMER CAR MART COM 03062T105 329 12,500 SHS Sole 12,500 AMER CAR MART COM 03062T105 329 12,500 SHS Sole 12,500 AMER CL'A' COM 03070L300 427 53,810 SHS Sole 53,810 AMER CL'A' COM 03070L300 427 53,810 SHS Sole 53,810 AMICAS COM 001712108 982 180,505 SHS Sole 180,505 AMICAS COM 001712108 982 180,505 SHS Sole 180,505 AMRCN EQTY INVT LF COM 025676206 742 99,780 SHS Sole 99,780 AMRCN EQTY INVT LF COM 025676206 916 123,085 SHS Sole 123,085 AMRCN EQTY INVT LF COM 025676206 1,031 138,514 SHS Sole 138,514 AMRCN EQTY INVT LF COM 025676206 2,689 361,379 SHS Sole 361,379 ANN TAYLOR $0.0068 COM 036115103 173 12,666 SHS Sole 12,666 ANN TAYLOR $0.0068 COM 036115103 301 22,085 SHS Sole 22,085 ANN TAYLOR $0.0068 COM 036115103 474 34,751 SHS Sole 34,751 ANWORTH MORT ASSET COM 037347101 562 80,259 SHS Sole 80,259 ANWORTH MORT ASSET COM 037347101 585 83,522 SHS Sole 83,522 ANWORTH MORT ASSET COM 037347101 833 119,006 SHS Sole 119,006 ANWORTH MORT ASSET COM 037347101 1,980 282,787 SHS Sole 282,787 APOLLO IN COM 03761U106 579 60,736 SHS Sole 60,736 APOLLO IN COM 03761U106 580 60,796 SHS Sole 60,796 APOLLO IN COM 03761U106 603 63,190 SHS Sole 63,190 APOLLO IN COM 03761U106 790 82,778 SHS Sole 82,778 APOLLO IN COM 03761U106 2,552 267,500 SHS Sole 267,500 ARES CAPITAL CORP COM 04010L103 934 75,000 SHS Sole 75,000 ARES CAPITAL CORP COM 04010L103 934 75,000 SHS Sole 75,000 ASHFRD HSPY COM 044103109 209 45,000 SHS Sole 45,000 ASHFRD HSPY COM 044103109 341 73,400 SHS Sole 73,400 ASHFRD HSPY COM 044103109 549 118,400 SHS Sole 118,400 ASSURED G COM G0585R106 870 40,000 SHS Sole 40,000 ASSURED G COM G0585R106 881 40,466 SHS Sole 40,466 ASSURED G COM G0585R106 969 44,534 SHS Sole 44,534 ASSURED G COM G0585R106 2,720 125,000 SHS Sole 125,000 ATLAS AIR COM 049164205 869 23,316 SHS Sole 23,316 ATLAS AIR COM 049164205 869 23,316 SHS Sole 23,316 AXCELS TECH COM 054540109 174 123,300 SHS Sole 123,300 AXCELS TECH COM 054540109 179 126,900 SHS Sole 126,900 AXCELS TECH COM 054540109 228 161,544 SHS Sole 161,544 AXCELS TECH COM 054540109 581 411,744 SHS Sole 411,744 AXT INC COM 00246W103 72 22,100 SHS Sole 22,100 AXT INC COM 00246W103 72 22,100 SHS Sole 22,100 BELL MICROPRD COM 078137106 1,402 395,008 SHS Sole 395,008 BELL MICROPRD COM 078137106 1,402 395,008 SHS Sole 395,008 BENIHANA COM 082047101 218 51,862 SHS Sole 51,862 BENIHANA COM 082047101 218 51,862 SHS Sole 51,862 BENIHANA'A' COM 082047200 499 131,757 SHS Sole 131,757 BENIHANA'A' COM 082047200 1,021 269,343 SHS Sole 269,343 BENIHANA'A' COM 082047200 1,520 401,100 SHS Sole 401,100 BLACKROCK CREDIT A COM STK USD0.10 COM 09255H105 316 33,678 SHS Sole 33,678 BLACKROCK CREDIT A COM STK USD0.10 COM 09255H105 358 38,143 SHS Sole 38,143 BLACKROCK CREDIT A COM STK USD0.10 COM 09255H105 364 38,764 SHS Sole 38,764 BLACKROCK CREDIT A COM STK USD0.10 COM 09255H105 1,037 110,585 SHS Sole 110,585 BPZ RESOURCES COM 055639108 1,772 186,501 SHS Sole 186,501 BPZ RESOURCES COM 055639108 1,772 186,501 SHS Sole 186,501 BRINGHAM COM 109178103 471 34,768 SHS Sole 34,768 BRINGHAM COM 109178103 812 59,932 SHS Sole 59,932 BRINGHAM COM 109178103 1,283 94,700 SHS Sole 94,700 CACHE INC COM 127150308 328 71,846 SHS Sole 71,846 CACHE INC COM 127150308 328 71,846 SHS Sole 71,846 CAPLEASE COM 140288101 684 156,102 SHS Sole 156,102 CAPLEASE COM 140288101 1,015 231,665 SHS Sole 231,665 CAPLEASE COM 140288101 1,525 348,197 SHS Sole 348,197 CAPLEASE COM 140288101 3,224 735,964 SHS Sole 735,964 CARMIKE CINEMAS COM 143436400 120 15,914 SHS Sole 15,914 CARMIKE CINEMAS COM 143436400 872 115,400 SHS Sole 115,400 CARMIKE CINEMAS COM 143436400 993 131,314 SHS Sole 131,314 CARRIAGE SERV COM 143905107 482 122,760 SHS Sole 122,760 CARRIAGE SERV COM 143905107 1,175 299,018 SHS Sole 299,018 CARRIAGE SERV COM 143905107 1,658 421,778 SHS Sole 421,778 CASUL MALE RTL COM 148711302 450 193,000 SHS Sole 193,000 CASUL MALE RTL COM 148711302 450 193,000 SHS Sole 193,000 CEC ENT COM 125137109 1,106 34,652 SHS Sole 34,652 CEC ENT COM 125137109 1,128 35,348 SHS Sole 35,348 CEC ENT COM 125137109 2,234 70,000 SHS Sole 70,000 CENVEO INC COM 15670S105 722 82,554 SHS Sole 82,554 CENVEO INC COM 15670S105 1,010 115,479 SHS Sole 115,479 CENVEO INC COM 15670S105 1,688 192,935 SHS Sole 192,935 CENVEO INC COM 15670S105 3,421 390,968 SHS Sole 390,968 CHARM SHO COM 161133103 1,074 166,000 SHS Sole 166,000 CHARM SHO COM 161133103 1,074 166,000 SHS Sole 166,000 CHINA EDUC ALL COM 16938Y207 1,233 201,400 SHS Sole 201,400 CHINA EDUC ALL COM 16938Y207 1,233 201,400 SHS Sole 201,400 CHINA INFO SEC COM 16944F101 431 70,000 SHS Sole 70,000 CHINA INFO SEC COM 16944F101 877 142,400 SHS Sole 142,400 CHINA INFO SEC COM 16944F101 1,308 212,400 SHS Sole 212,400 CHINA PHARMA HLDGS COM 16941T104 92 23,800 SHS Sole 23,800 CHINA PHARMA HLDGS COM 16941T104 166 43,165 SHS Sole 43,165 CHINA PHARMA HLDGS COM 16941T104 258 66,965 SHS Sole 66,965 CHINA SECURITY & SURVEILLANCE TECHNOLOGY INC COM 16942J105 591 77,400 SHS Sole 77,400 CHINA SECURITY & SURVEILLANCE TECHNOLOGY INC COM 16942J105 591 77,400 SHS Sole 77,400 CIRRUS LOGIC COM N COM 172755100 1,296 190,000 SHS Sole 190,000 CIRRUS LOGIC COM N COM 172755100 1,501 220,124 SHS Sole 220,124 CIRRUS LOGIC COM N COM 172755100 2,797 410,124 SHS Sole 410,124 CMMNTY HLTH SYS COM 203668108 961 27,000 SHS Sole 27,000 CMMNTY HLTH SYS COM 203668108 961 27,000 SHS Sole 27,000 CN VAL TECH COM 169476207 693 75,000 SHS Sole 75,000 CN VAL TECH COM 169476207 721 78,000 SHS Sole 78,000 CN VAL TECH COM 169476207 1,414 153,000 SHS Sole 153,000 COGO GROUP INC COM 192448108 392 53,247 SHS Sole 53,247 COGO GROUP INC COM 192448108 583 79,153 SHS Sole 79,153 COGO GROUP INC COM 192448108 939 127,410 SHS Sole 127,410 COGO GROUP INC COM 192448108 1,915 259,810 SHS Sole 259,810 CONRAD IND USD0.01 COM 208305102 622 82,407 SHS Sole 82,407 CONRAD IND USD0.01 COM 208305102 622 82,407 SHS Sole 82,407 CPSTD MTG CRP COM 14067E506 165 12,072 SHS Sole 12,072 CPSTD MTG CRP COM 14067E506 171 12,539 SHS Sole 12,539 CPSTD MTG CRP COM 14067E506 202 14,801 SHS Sole 14,801 CPSTD MTG CRP COM 14067E506 538 39,412 SHS Sole 39,412 CRYPTOLOGIC COM G3159C109 358 97,691 SHS Sole 97,691 CRYPTOLOGIC COM G3159C109 358 97,691 SHS Sole 97,691 CUTERA COM 232109108 517 60,704 SHS Sole 60,704 CUTERA COM 232109108 657 77,158 SHS Sole 77,158 CUTERA COM 232109108 1,173 137,862 SHS Sole 137,862 DARLING INTL COM 237266101 261 31,179 SHS Sole 31,179 DARLING INTL COM 237266101 261 31,179 SHS Sole 31,179 DOLLAR FINL COM 256664103 596 25,208 SHS Sole 25,208 DOLLAR FINL COM 256664103 671 28,367 SHS Sole 28,367 DOLLAR FINL COM 256664103 1,003 42,425 SHS Sole 42,425 DOLLAR FINL COM 256664103 1,169 49,450 SHS Sole 49,450 DOLLAR FINL COM 256664103 3,438 145,450 SHS Sole 145,450 EDGEWATER TECH INC COM 280358102 438 147,378 SHS Sole 147,378 EDGEWATER TECH INC COM 280358102 458 154,086 SHS Sole 154,086 EDGEWATER TECH INC COM 280358102 1,143 384,740 SHS Sole 384,740 EDGEWATER TECH INC COM 280358102 2,038 686,204 SHS Sole 686,204 ENCR CPTL GRP INC COM 292554102 776 44,600 SHS Sole 44,600 ENCR CPTL GRP INC COM 292554102 776 44,600 SHS Sole 44,600 ENPRO IND COM 29355X107 1,075 40,700 SHS Sole 40,700 ENPRO IND COM 29355X107 1,371 51,900 SHS Sole 51,900 ENPRO IND COM 29355X107 2,446 92,600 SHS Sole 92,600 EPICOR SOFTWARE CORP COM 29426L108 470 61,724 SHS Sole 61,724 EPICOR SOFTWARE CORP COM 29426L108 470 61,724 SHS Sole 61,724 EVOLV SYS USD0.001 COM 30049R209 436 69,800 SHS Sole 69,800 EVOLV SYS USD0.001 COM 30049R209 436 69,800 SHS Sole 69,800 FSI INT COM 302633102 809 275,000 SHS Sole 275,000 FSI INT COM 302633102 809 275,000 SHS Sole 275,000 FUQI INTE COM 36102A207 180 10,000 SHS Sole 10,000 FUQI INTE COM 36102A207 309 17,209 SHS Sole 17,209 FUQI INTE COM 36102A207 482 26,851 SHS Sole 26,851 FUQI INTE COM 36102A207 622 34,640 SHS Sole 34,640 FUQI INTE COM 36102A207 1,592 88,700 SHS Sole 88,700 GEOKINETC COM 372910307 1,185 123,220 SHS Sole 123,220 GEOKINETC COM 372910307 1,185 123,220 SHS Sole 123,220 HERCULES OFFSHORE COM 427093109 478 100,000 SHS Sole 100,000 HERCULES OFFSHORE COM 427093109 478 100,000 SHS Sole 100,000 HOT TOPIC COM 441339108 857 135,000 SHS Sole 135,000 HOT TOPIC COM 441339108 2,626 413,500 SHS Sole 413,500 HOT TOPIC COM 441339108 3,483 548,500 SHS Sole 548,500 HUDSON HIGHLAND GP COM 443792106 1,658 348,952 SHS Sole 348,952 HUDSON HIGHLAND GP COM 443792106 1,658 348,952 SHS Sole 348,952 INTEROIL COM NPV COM 460951106 1,536 20,000 SHS Sole 20,000 INTEROIL COM NPV COM 460951106 1,536 20,000 SHS Sole 20,000 KEYNOTE SYS COM 493308100 954 87,440 SHS Sole 87,440 KEYNOTE SYS COM 493308100 954 87,440 SHS Sole 87,440 KKR FINANKKR FIN COM 48248A306 464 80,000 SHS Sole 80,000 KKR FINANKKR FIN COM 48248A306 464 80,000 SHS Sole 80,000 KKR FINANKKR FIN COM 48248A306 1,102 190,000 SHS Sole 190,000 KKR FINANKKR FIN COM 48248A306 2,030 350,000 SHS Sole 350,000 KODIAK OIL & GAS COM 50015Q100 32 14,500 SHS Sole 14,500 KODIAK OIL & GAS COM 50015Q100 445 200,500 SHS Sole 200,500 KODIAK OIL & GAS COM 50015Q100 505 227,400 SHS Sole 227,400 KODIAK OIL & GAS COM 50015Q100 982 442,400 SHS Sole 442,400 KRATOS DEFENSE COM 50077B207 459 43,500 SHS Sole 43,500 KRATOS DEFENSE COM 50077B207 577 54,700 SHS Sole 54,700 KRATOS DEFENSE COM 50077B207 1,036 98,200 SHS Sole 98,200 LDGNET INTACT COM 540211109 740 133,736 SHS Sole 133,736 LDGNET INTACT COM 540211109 1,078 195,000 SHS Sole 195,000 LDGNET INTACT COM 540211109 1,818 328,736 SHS Sole 328,736 LOJACK COM 539451104 423 104,651 SHS Sole 104,651 LOJACK COM 539451104 970 240,152 SHS Sole 240,152 LOJACK COM 539451104 1,393 344,803 SHS Sole 344,803 MANITEX INTL INC COM 563420108 570 297,100 SHS Sole 297,100 MANITEX INTL INC COM 563420108 570 297,100 SHS Sole 297,100 MATTSON TCH NPV COM 577223100 511 143,000 SHS Sole 143,000 MATTSON TCH NPV COM 577223100 755 211,495 SHS Sole 211,495 MATTSON TCH NPV COM 577223100 1,266 354,495 SHS Sole 354,495 MAX CAP COM G6052F103 541 24,249 SHS Sole 24,249 MAX CAP COM G6052F103 825 37,000 SHS Sole 37,000 MAX CAP COM G6052F103 1,114 49,945 SHS Sole 49,945 MAX CAP COM G6052F103 2,480 111,194 SHS Sole 111,194 MCG CAP COM 58047P107 885 204,943 SHS Sole 204,943 MCG CAP COM 58047P107 885 204,943 SHS Sole 204,943 MEDCATH CRP COM 58404W109 616 77,878 SHS Sole 77,878 MEDCATH CRP COM 58404W109 616 77,878 SHS Sole 77,878 MFA FIN COM 55272X102 481 65,500 SHS Sole 65,500 MFA FIN COM 55272X102 606 82,457 SHS Sole 82,457 MFA FIN COM 55272X102 654 88,973 SHS Sole 88,973 MFA FIN COM 55272X102 893 121,459 SHS Sole 121,459 MFA FIN COM 55272X102 2,634 358,389 SHS Sole 358,389 MGIC INV COM 552848103 1,054 182,426 SHS Sole 182,426 MGIC INV COM 552848103 1,054 182,426 SHS Sole 182,426 MIDWAY GO COM 598153104 1,120 1,287,634 SHS Sole 1,287,634 MIDWAY GO COM 598153104 1,120 1,287,634 SHS Sole 1,287,634 MIPS TECHNOLOGIES COM 604567107 1,130 258,615 SHS Sole 258,615 MIPS TECHNOLOGIES COM 604567107 1,130 258,615 SHS Sole 258,615 MORG HTL COM COM 61748W108 457 100,000 SHS Sole 100,000 MORG HTL COM COM 61748W108 927 202,738 SHS Sole 202,738 MORG HTL COM COM 61748W108 1,384 302,738 SHS Sole 302,738 MORTON'S RESTAURAN COM 619430101 152 52,112 SHS Sole 52,112 MORTON'S RESTAURAN COM 619430101 152 52,112 SHS Sole 52,112 MOTORCAR PARTS COM 620071100 640 126,000 SHS Sole 126,000 MOTORCAR PARTS COM 620071100 787 155,000 SHS Sole 155,000 MOTORCAR PARTS COM 620071100 1,428 281,000 SHS Sole 281,000 MYERS IND NPV COM 628464109 644 70,800 SHS Sole 70,800 MYERS IND NPV COM 628464109 644 70,800 SHS Sole 70,800 NBTY COM 628782104 584 13,406 SHS Sole 13,406 NBTY COM 628782104 747 17,167 SHS Sole 17,167 NBTY COM 628782104 1,804 41,440 SHS Sole 41,440 NBTY COM 628782104 3,135 72,013 SHS Sole 72,013 NCR CORP COM 62886E108 557 50,000 SHS Sole 50,000 NCR CORP COM 62886E108 1,456 130,800 SHS Sole 130,800 NCR CORP COM 62886E108 2,012 180,800 SHS Sole 180,800 NORTH AMERICA ENE COM 656844107 752 103,610 SHS Sole 103,610 NORTH AMERICA ENE COM 656844107 908 125,000 SHS Sole 125,000 NORTH AMERICA ENE COM 656844107 1,102 151,850 SHS Sole 151,850 NORTH AMERICA ENE COM 656844107 1,115 153,575 SHS Sole 153,575 NORTH AMERICA ENE COM 656844107 3,877 534,035 SHS Sole 534,035 NTELOS HOLDINGS CO COM 67020Q107 613 34,409 SHS Sole 34,409 NTELOS HOLDINGS CO COM 67020Q107 613 34,409 SHS Sole 34,409 OLD REPUBLIC COM 680223104 502 50,000 SHS Sole 50,000 OLD REPUBLIC COM 680223104 595 59,252 SHS Sole 59,252 OLD REPUBLIC COM 680223104 1,097 109,252 SHS Sole 109,252 OPLINK COMM COM 68375Q403 676 41,215 SHS Sole 41,215 OPLINK COMM COM 68375Q403 901 54,970 SHS Sole 54,970 OPLINK COMM COM 68375Q403 1,057 64,518 SHS Sole 64,518 OPLINK COMM COM 68375Q403 2,634 160,703 SHS Sole 160,703 PARKER DRILL USD COM 701081101 652 131,642 SHS Sole 131,642 PARKER DRILL USD COM 701081101 1,609 324,959 SHS Sole 324,959 PARKER DRILL USD COM 701081101 2,260 456,601 SHS Sole 456,601 PC-TEL USD0.001 COM 69325Q105 1,060 179,100 SHS Sole 179,100 PC-TEL USD0.001 COM 69325Q105 1,060 179,100 SHS Sole 179,100 PENFORD CORP COM 707051108 599 68,900 SHS Sole 68,900 PENFORD CORP COM 707051108 705 81,100 SHS Sole 81,100 PENFORD CORP COM 707051108 1,304 150,000 SHS Sole 150,000 PENNANTPA COM 708062104 489 54,818 SHS Sole 54,818 PENNANTPA COM 708062104 714 80,067 SHS Sole 80,067 PENNANTPA COM 708062104 1,214 136,062 SHS Sole 136,062 PENNANTPA COM 708062104 2,417 270,947 SHS Sole 270,947 PIER 1 IMP!1 COM 720279108 1,286 252,642 SHS Sole 252,642 PIER 1 IMP!1 COM 720279108 1,286 252,642 SHS Sole 252,642 PINER DRLNG CO COM 723655106 736 93,113 SHS Sole 93,113 PINER DRLNG CO COM 723655106 1,213 153,488 SHS Sole 153,488 PINER DRLNG CO COM 723655106 1,948 246,601 SHS Sole 246,601 PORTFOLIOPRTFLIO R COM 73640Q105 524 11,679 SHS Sole 11,679 PORTFOLIOPRTFLIO R COM 73640Q105 524 11,679 SHS Sole 11,679 PROV SERV CORP COM 743815102 1,065 67,391 SHS Sole 67,391 PROV SERV CORP COM 743815102 1,065 67,391 SHS Sole 67,391 QUAT RES INC NPV COM 747952109 382 200,000 SHS Sole 200,000 QUAT RES INC NPV COM 747952109 992 519,492 SHS Sole 519,492 QUAT RES INC NPV COM 747952109 1,011 529,195 SHS Sole 529,195 QUAT RES INC NPV COM 747952109 1,741 911,555 SHS Sole 911,555 QUAT RES INC NPV COM 747952109 4,126 2,160,242 SHS Sole 2,160,242 RESOURCE CAPITAL C COM 76120W302 689 140,000 SHS Sole 140,000 RESOURCE CAPITAL C COM 76120W302 787 160,000 SHS Sole 160,000 RESOURCE CAPITAL C COM 76120W302 1,476 300,000 SHS Sole 300,000 RICKS CBRET INT COM 765641303 169 19,785 SHS Sole 19,785 RICKS CBRET INT COM 765641303 169 19,785 SHS Sole 19,785 RUBIO REST INC COM 78116B102 241 33,400 SHS Sole 33,400 RUBIO REST INC COM 78116B102 241 33,400 SHS Sole 33,400 RUTH'S HOSPTLY COM 783332109 157 75,000 SHS Sole 75,000 RUTH'S HOSPTLY COM 783332109 157 75,000 SHS Sole 75,000 SILICON IMAGE COM 82705T102 959 371,700 SHS Sole 371,700 SILICON IMAGE COM 82705T102 959 371,700 SHS Sole 371,700 SILVERLEAF COM 828395103 269 325,868 SHS Sole 325,868 SILVERLEAF COM 828395103 496 600,000 SHS Sole 600,000 SILVERLEAF COM 828395103 766 925,868 SHS Sole 925,868 SINOHUB INC COM 82935L101 150 37,500 SHS Sole 37,500 SINOHUB INC COM 82935L101 1,061 265,300 SHS Sole 265,300 SINOHUB INC COM 82935L101 1,211 302,800 SHS Sole 302,800 SONIC AUT USD.01'A COM 83545G102 831 80,000 SHS Sole 80,000 SONIC AUT USD.01'A COM 83545G102 831 80,000 SHS Sole 80,000 SORL AUTO PARTS COM 78461U101 1,168 135,624 SHS Sole 135,624 SORL AUTO PARTS COM 78461U101 1,168 135,624 SHS Sole 135,624 STAMPS.CO COM 852857200 547 60,767 SHS Sole 60,767 STAMPS.CO COM 852857200 547 60,767 SHS Sole 60,767 STANDARD COM 853790103 100 6,297 SHS Sole 6,297 STANDARD COM 853790103 100 6,297 SHS Sole 6,297 STONERIDGE NPV COM 86183P102 703 78,000 SHS Sole 78,000 STONERIDGE NPV COM 86183P102 755 83,833 SHS Sole 83,833 STONERIDGE NPV COM 86183P102 1,458 161,833 SHS Sole 161,833 SUNOPTA COM 8676EP108 1,804 536,800 SHS Sole 536,800 SUNOPTA COM 8676EP108 1,804 536,800 SHS Sole 536,800 SUPER ENGY SRV COM 868157108 495 20,368 SHS Sole 20,368 SUPER ENGY SRV COM 868157108 569 23,410 SHS Sole 23,410 SUPER ENGY SRV COM 868157108 790 32,522 SHS Sole 32,522 SUPER ENGY SRV COM 868157108 1,853 76,300 SHS Sole 76,300 T-3 ENERGY SERVICE COM 87306E107 1,658 65,000 SHS Sole 65,000 T-3 ENERGY SERVICE COM 87306E107 1,658 65,000 SHS Sole 65,000 TECUMSEH PRODS'A'! COM 878895200 1,722 147,318 SHS Sole 147,318 TECUMSEH PRODS'A'! COM 878895200 1,722 147,318 SHS Sole 147,318 TENET HLTH COM 88033G100 619 114,822 SHS Sole 114,822 TENET HLTH COM 88033G100 713 132,316 SHS Sole 132,316 TENET HLTH COM 88033G100 1,047 194,213 SHS Sole 194,213 TENET HLTH COM 88033G100 2,379 441,351 SHS Sole 441,351 TEREX COM 880779103 516 26,068 SHS Sole 26,068 TEREX COM 880779103 870 43,932 SHS Sole 43,932 TEREX COM 880779103 1,387 70,000 SHS Sole 70,000 TESCO CP NPV COM 88157K101 763 59,100 SHS Sole 59,100 TESCO CP NPV COM 88157K101 1,279 99,092 SHS Sole 99,092 TESCO CP NPV COM 88157K101 2,042 158,192 SHS Sole 158,192 TETRA TECH COM 88162F105 674 60,822 SHS Sole 60,822 TETRA TECH COM 88162F105 674 60,822 SHS Sole 60,822 TIANYIN PHARMACEUT COM 88630M104 1,243 295,950 SHS Sole 295,950 TIANYIN PHARMACEUT COM 88630M104 1,243 295,950 SHS Sole 295,950 TIER TECHN 'B' COM 88650Q100 638 79,788 SHS Sole 79,788 TIER TECHN 'B' COM 88650Q100 770 96,190 SHS Sole 96,190 TIER TECHN 'B' COM 88650Q100 1,408 175,978 SHS Sole 175,978 TLCMMTNS SYS INC COM 87929J103 993 102,534 SHS Sole 102,534 TLCMMTNS SYS INC COM 87929J103 993 102,534 SHS Sole 102,534 TNS INC COM 872960109 837 32,600 SHS Sole 32,600 TNS INC COM 872960109 1,830 71,239 SHS Sole 71,239 TNS INC COM 872960109 2,668 103,839 SHS Sole 103,839 TONGXIN INTL LTD COM G8918T103 320 35,606 SHS Sole 35,606 TONGXIN INTL LTD COM G8918T103 320 35,606 SHS Sole 35,606 TRIMAS CORP COM 896215209 784 115,800 SHS Sole 115,800 TRIMAS CORP COM 896215209 1,294 191,149 SHS Sole 191,149 TRIMAS CORP COM 896215209 2,078 306,949 SHS Sole 306,949 UTD ONLNE COM 911268100 485 67,513 SHS Sole 67,513 UTD ONLNE COM 911268100 577 80,300 SHS Sole 80,300 UTD ONLNE COM 911268100 3,011 418,787 SHS Sole 418,787 UTD ONLNE COM 911268100 4,074 566,600 SHS Sole 566,600 VCG HLDG CORP COM 91821K101 312 149,050 SHS Sole 149,050 VCG HLDG CORP COM 91821K101 312 149,050 SHS Sole 149,050 WALTER INVESTMENT COM 93317W102 840 58,592 SHS Sole 58,592 WALTER INVESTMENT COM 93317W102 876 61,096 SHS Sole 61,096 WALTER INVESTMENT COM 93317W102 1,505 105,000 SHS Sole 105,000 WALTER INVESTMENT COM 93317W102 1,638 114,318 SHS Sole 114,318 WALTER INVESTMENT COM 93317W102 4,858 339,006 SHS Sole 339,006 WET SEAL INC'A' COM 961840105 658 190,700 SHS Sole 190,700 WET SEAL INC'A' COM 961840105 1,156 335,180 SHS Sole 335,180 WET SEAL INC'A' COM 961840105 1,814 525,880 SHS Sole 525,880 WSP HOLDINGS LTD COM 92934F104 228 73,300 SHS Sole 73,300 WSP HOLDINGS LTD COM 92934F104 239 76,700 SHS Sole 76,700 WSP HOLDINGS LTD COM 92934F104 467 150,000 SHS Sole 150,000 WTS ZOOM TECH INC SER A 10/15/2014 @$6 RSTD WAR 8023000XX 5 27,309 CALL Sole 27,309 WTS ZOOM TECH INC SER A 10/15/2014 @$6 RSTD WAR 8023000XX 8 47,170 CALL Sole 47,170 WTS ZOOM TECH INC SER C $6. 10/15/2014 RSTD WAR 8R80997XX 5 27,692 CALL Sole 27,692 WTS ZOOM TECH INC SER C $6. 10/15/2014 RSTD WAR 8R80997XX 8 47,831 CALL Sole 47,831 YONGYE COM 98607B106 732 90,000 SHS Sole 90,000 YONGYE COM 98607B106 813 100,000 SHS Sole 100,000 YONGYE COM 98607B106 1,214 149,351 SHS Sole 149,351 YONGYE COM 98607B106 2,759 339,351 SHS Sole 339,351 ZOOM TECHNOLOGIES COM 98976E301 680 110,000 SHS Sole 110,000 ZOOM TECHNOLOGIES COM 98976E301 1,027 166,215 SHS Sole 166,215 ZOOM TECHNOLOGIES COM 98976E301 1,707 276,215 SHS Sole 276,215
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