-----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, JblKVV1n1TfrGjPQHQFy4kbew0IN3A0dntRvcAQq8onSP5HUbAQGTgSLdbVNtBxn FTOWHa87930e7uSBkTXL1Q== 0001447387-10-000021.txt : 20100216 0001447387-10-000021.hdr.sgml : 20100215 20100216170936 ACCESSION NUMBER: 0001447387-10-000021 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: CANNELL J CARLO CENTRAL INDEX KEY: 0001287649 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11809 FILM NUMBER: 10609473 MAIL ADDRESS: STREET 1: 240 E. DELONEY AVENUE STREET 2: P.O. BOX 3459 CITY: JACKSON STATE: WY ZIP: 83001 13F-HR 1 sched13f-094q.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: 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: J. Carlo Cannell -------------------------------------- Address: 1315 S. Hwy 89, Suite 203 -------------------------------------- Jackson, WY 83001 -------------------------------------- -------------------------------------- Form 13F File Number: 28- 6453 ----- 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: J. Carlo Cannell ------------------------------ Title: Managing Member ------------------------------ Phone: 415-835-8300 ------------------------------ Signature, Place, and Date of Signing: /s/ J. Carlo Cannell Jackson, WY 02/16/2010 ------------------------ --------------- -------------- [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 COMBINATION 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).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 -------------- Form 13F Information Table Entry Total: 84 -------------- Form 13F Information Table Value Total: $ 152,141 -------------- (thousands) List of Other Included Managers: 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. [If there are no entries in this list, state "NONE" and omit the column headings and list entries.] NONE
- ---------------------------------------------------------------------------------------------------------------------------------- COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 - ---------------------------------------------------------------------------------------------------------------------------------- TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ---------------------------------------------------------------------------------------------------------------------------------- A.O. SMITH CORP (DEL) CMN COM 831865209 226 5,200 SH SOLE 5,200 - - ALTRA HOLDINGS, INC. CMN COM 02208r106 5,221 422,721 SH SOLE 422,721 - - AMERICAN STATES WATER CO CMN COM 029899101 1,753 49,500 SH SOLE 49,500 - - AMERICAN WATER WORKS CO, INC. COM 030420103 2,108 94,050 SH SOLE 94,050 - - AMERON INTERNATIONAL CORP CMN COM 030710107 393 6,200 SH SOLE 6,200 - - ANIMAL HEALTH INTERNATIONAL IN COM 03525n109 1,738 724,303 SH SOLE 724,303 - - AQUA AMERICA INC CMN COM 03836w103 1,907 108,900 SH SOLE 108,900 - - ASHLAND INC. CMN COM 044209104 345 8,700 SH SOLE 8,700 - - AVATAR HLDGS INC. CMN COM 053494100 6,725 395,380 SH SOLE 395,380 - - AXT INC CMN COM 00246w103 2,112 649,800 SH SOLE 649,800 - - BAKER (MICHAEL) CORP CMN COM 057149106 696 16,800 SH SOLE 16,800 - - BLOUNT INTERNATIONAL INC CMN COM 095180105 1,430 141,608 SH SOLE 141,608 - - CALGON CARBON CORPORATION CMN COM 129603106 1,026 73,800 SH SOLE 73,800 - - CALIFORNIA WATER SERVICE GROUP COM 130788102 637 17,300 SH SOLE 17,300 - - CALLIDUS SOFTWARE INC CMN COM 13123e500 344 114,000 SH SOLE 114,000 - - CAMBIUM LEARNING GROUP, INC. C COM 13201a107 233 59,355 SH SOLE 59,355 - - CLEAN HARBORS INC CMN COM 184496107 447 7,500 SH SOLE 7,500 - - CORE MARK HLDG CO INC CMN COM 218681104 1,469 44,569 SH SOLE 44,569 - - DARLING INTERNATIONAL INC CMN COM 237266101 3,245 387,208 SH SOLE 387,208 - - DIAMOND MGMT & TECH CONSULTANT COM 25269l106 1,196 162,228 SH SOLE 162,228 - - DOT HILL SYSTEMS CORP CMN COM 25848t109 525 276,200 SH SOLE 276,200 - - DRUGSTORE.COM INC CMN COM 262241102 1,770 572,847 SH SOLE 572,847 - - ECHO GLOBAL LOGISTICS INC. CMN COM 27875t101 1,865 146,974 SH SOLE 146,974 - - GLU MOBILE INC. CMN COM 379890106 430 373,900 SH SOLE 373,900 - - GREENHUNTER ENERGY INC CMN COM 39530a104 19 16,524 SH SOLE 16,524 - - GS FINANCIAL CORP CMN COM 362274102 189 12,636 SH SOLE 12,636 - - HERCULES TECH GR CAP INC. CMN COM 427096508 291 28,000 SH SOLE 28,000 - - IKANOS COMMUNICATIONS, INC. CM COM 45173e105 1,169 625,201 SH SOLE 625,201 - - INTERSECTIONS INC. CMN COM 460981301 172 35,143 SH SOLE 35,143 - - ITRON INC CMN COM 465741106 473 7,000 SH SOLE 7,000 - - KADANT INCORPORATED CMN COM 48282t104 750 47,000 SH SOLE 47,000 - - KEYNOTE SYSTEMS INC CMN COM 493308100 6,250 572,914 SH SOLE 572,914 - - LAYNE CHRISTENSEN COMPANY (NAM COM 521050104 663 23,100 SH SOLE 23,100 - - LINDSAY CORPORATION CMN COM 535555106 255 6,400 SH SOLE 6,400 - - LITHIA MOTORS INC CL-A CMN CLA COM 536797103 4,231 514,700 SH SOLE 514,700 - - LOEWS CORPORATION CMN COM 540424108 393 10,800 SH SOLE 10,800 - - LOOPNET INC CMN COM 543524300 4,004 403,262 SH SOLE 403,262 - - MAGMA DESIGN AUTOMATION INC CM COM 559181102 1,262 546,413 SH SOLE 546,413 - - MAGNUM HUNTER RESOURCES CORP C COM 55973b102 5,737 3,701,070 SH SOLE 3,701,070 - - MERCER INS GROUP INC CMN COM 587902107 523 28,783 SH SOLE 28,783 - - METHANEX CORPORATION CMN COM 59151k108 2,588 132,800 SH SOLE 132,800 - - MIDDLESEX WATER CO CMN COM 596680108 479 27,205 SH SOLE 27,205 - - MOCON INC CMN COM 607494101 1,229 133,393 SH SOLE 133,393 - - MVC CAPITAL INC CLOSED END FUN COM 553829102 8,074 684,252 SH SOLE 684,252 - - NALCO HOLDING COMPANY CMN COM 62985q101 500 19,600 SH SOLE 19,600 - - NATIONAL DENTEX CORP CMN COM 63563h109 566 56,050 SH SOLE 56,050 - - NATUS MEDICAL INC DEL CMN COM 639050103 4,320 292,100 SH SOLE 292,100 - - NORTH AMERICAN ENERGY PARTNERS COM 656844107 3,276 451,202 SH SOLE 451,202 - - NORTHWEST PIPE COMPANY CMN COM 667746101 4,724 175,862 SH SOLE 175,862 - - PERVASIVE SOFTWARE INC CMN COM 715710109 659 136,700 SH SOLE 136,700 - - QUADRAMED CORPORATION CMN COM 74730w507 3,302 393,569 SH SOLE 393,569 - - REX ENERGY CORPORATION CMN COM 761565100 797 66,400 SH SOLE 66,400 - - SALARY.COM, INC. CMN COM 794006106 445 190,000 SH SOLE 190,000 - - SCHMITT INDS INC ORE CMN COM 806870200 177 50,572 SH SOLE 50,572 - - SEABRIGHT INSURANCE HLDG INC C COM 811656107 2,153 187,421 SH SOLE 187,421 - - SPARK NETWORKS, INC. CMN COM 84651p100 1,235 411,844 SH SOLE 411,844 - - STANDARD REGISTER CO CMN COM 853887107 4,619 905,772 SH SOLE 905,772 - - STND MOTOR PROD INC CL-A CMN COM 853666105 2,057 241,400 SH SOLE 241,400 - - SUPER MICRO COMPUTER, INC. CMN COM 86800u104 667 60,000 SH SOLE 60,000 - - SYMMETRICOM INC CMN COM 871543104 780 150,000 SH SOLE 150,000 - - UNITED ONLINE INC CMN COM 911268100 3,914 544,300 SH SOLE 544,300 - - VAALCO ENERGY, INC. CMN COM 91851c201 66 14,500 SH SOLE 14,500 - - VIRTUS INVESTMENT PARTNERS, IN COM 92828q109 971 61,100 SH SOLE 61,100 - - BERKSHIRE HATHAWAY INC CL-A (D CL A 084670108 1,686 17 SH SOLE 17 - - INSITUFORM TECHNOLOGIES INC CM CL A 457667103 227 10,000 SH SOLE 10,000 - - CONTANGO OIL & GAS COMPANY CMN COM NEW 21075n204 4,332 92,161 SH SOLE 92,161 - - DXP ENTERPRISES INC CMN COM NEW 233377407 625 47,800 SH SOLE 47,800 - - HANGER ORTHOPEDIC GROUP CMN COM NEW 41043f208 7,375 533,249 SH SOLE 533,249 - - IMPERIAL OIL LIMITED CMN COM NEW 453038408 323 8,350 SH SOLE 8,350 - - INSWEB CORPORATION CMN COM NEW 45809k202 713 219,435 SH SOLE 219,435 - - PICO HOLDINGS INC CMN COM NEW 693366205 272 8,300 SH SOLE 8,300 - - PURECYCLE CORP CMN COM NEW 746228303 339 119,000 SH SOLE 119,000 - - ENCORE ENERGY PARTNERS LP CMN COM 29257a106 279 14,100 SH SOLE 14,100 - - SPDR GOLD TRUST ETF GOLDSHS 78463v107 268 2,500 SH SOLE 2,500 - - LINN ENERGY, LLC CMN UNITS REP Int ltd 536020100 296 10,600 SH SOLE 10,600 - - MARKET VECTORS ETF TRUST JR GO JRGold 57060u589 116 4,500 SH SOLE 4,500 - - FUNDTECH LTD CMN ORD m47095100 11,102 904,809 SH SOLE 904,809 - - PROSHARES ULTRASHORT RUSSELL20 RUS2000 74347r834 463 18,400 SH SOLE 18,400 - - POWERSHARES DB COMMODITY INDEX Unt In 73935s105 286 11,600 SH SOLE 11,600 - - WTS/BARZEL INDUSTRIES INC 5.50 *W EXP 069744118 7 999,700 SH SOLE 999,700 - - MAGMA DESIGN AUTOMATION, INC. NT 2.0 559181ac6 6,985 7,100,000 PRN SOLE 7,100,000 - - PLAYBOY ENTERPRISES 3% 03/15/2 NT 3.0 728117ab8 1,488 1,750,000 PRN SOLE 1,750,000 - - LECROY CORPORATION 4% 10/15/20 NT 4.0 52324wab5 1,532 1,800,000 PRN SOLE 1,800,000 - - PIXELWORKS, INC. 1.75% 05/15/2 SDC 7.75 72581mab3 1,607 2,000,000 PRN SOLE 2,000,000 - -
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