0000919574-12-006007.txt : 20121113 0000919574-12-006007.hdr.sgml : 20121112 20121113112411 ACCESSION NUMBER: 0000919574-12-006007 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121113 DATE AS OF CHANGE: 20121113 EFFECTIVENESS DATE: 20121113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: STRAUS CAPITAL MANAGEMENT, L.L.C. CENTRAL INDEX KEY: 0001086160 IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04115 FILM NUMBER: 121196923 BUSINESS ADDRESS: STREET 1: 767 THIRD AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-676-5640 MAIL ADDRESS: STREET 1: 767 THIRD AVENUE STREET 2: 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: STRAUS CAPITAL MANAGEMENT LLC/ DATE OF NAME CHANGE: 19990510 13F-HR 1 d1333395_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: September 30, 2012 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Straus Capital Management, L.L.C. Address: 767 Third Avenue, 21st Floor New York, New York 10017 13F File Number: 028-04115 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: Melville Straus Title: Managing Member Phone: 212-676-5640 Signature, Place and Date of Signing: /s/ Melville Straus New York, New York November 13, 2012 ----------------------- ------------------------ --------------------- [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 managers(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: 119 Form 13F Information Table Value Total: $248,722 (thousands) List of Other Included Managers: NONE FORM 13F INFORMATION TABLE STRAUS CAPITAL MANAGEMENT, LLC September 30, 2012
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VALUE SHS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHRD NONE ---------------------------- ---------------- --------- -------- --------- --- ---- -------------- ---- --------- ---- ---- APPLE INC COM 037833100 6,671 10,000 SH Shared-Defined NONE 10,000 APPLE INC COM 037833100 7,969 12,000 CALL Shared-Defined NONE 12,000 AVAGO TECHNOLOGIES LTD SHS Y0486S104 30 300 SH Shared-Defined NONE 300 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 1,231 384,600 SH Shared-Defined NONE 384,600 BOTTOMLINE TECH DEL INC COM 101388106 1,728 70,000 SH Shared-Defined NONE 70,000 CAPSTONE TURBINE CORP COM 14067D102 475 475,000 SH Shared-Defined NONE 475,000 CARDIOME PHARMA CORP COM NEW 14159U202 221 667,632 SH Shared-Defined NONE 667,632 CARMAX INC COM 143130102 2,123 75,000 SH Shared-Defined NONE 75,000 CHART INDS INC COM PAR $0.01 16115Q308 1,292 17,500 SH Shared-Defined NONE 17,500 CHINA CERAMICS CO LTD SHS G2113X100 1,731 935,758 SH Shared-Defined NONE 935,758 CHINA INFORMATION TECHNOLOGY COM NEW 16950L208 1,052 898,845 SH Shared-Defined NONE 898,845 CHINA JO-JO DRUGSTORES INC COM NEW 16949A206 163 240,000 SH Shared-Defined NONE 240,000 CHINA MARINE FOOD GROUP LTD COM 16943R106 812 752,121 SH Shared-Defined NONE 752,121 CHINA PHARMA HLDGS INC COM 16941T104 603 1,652,582 SH Shared-Defined NONE 1,652,582 CHINA SHENGDA PACKAGING GROU COM 16950V107 340 410,000 SH Shared-Defined NONE 410,000 CHINA VALVES TECHNOLOGY INC COM NEW 169476207 48 100,000 SH Shared-Defined NONE 100,000 CHINA XD PLASTICS CO LTD COM 16948F107 2,447 640,000 SH Shared-Defined NONE 640,000 CHINACACHE INTL HLDG LTD SPON ADR 16950M107 602 120,000 SH Shared-Defined NONE 120,000 CIRRUS LOGIC INC COM 172755100 1,536 40,000 SH Shared-Defined NONE 40,000 CIRRUS LOGIC INC COM 172755100 576 15,000 CALL Shared-Defined NONE 15,000 COACH INC COM 189754104 562 10,000 SH Shared-Defined NONE 10,000 COINSTAR INC COM 19259P300 3,374 75,000 PUT Shared-Defined NONE 75,000 COSI INC COM 22122P101 541 702,922 SH Shared-Defined NONE 702,922 CRAY INC COM NEW 225223304 1,207 95,000 SH Shared-Defined NONE 95,000 CYTORI THERAPEUTICS INC COM 23283K105 912 206,768 SH Shared-Defined NONE 206,768 CYTORI THERAPEUTICS INC *W EXP 09/13/201 23283K113 231 98,855 SH Shared-Defined NONE 98,855 DICKS SPORTING GOODS INC COM 253393102 1,036 20,000 SH Shared-Defined NONE 20,000 EBIX INC COM NEW 278715206 590 25,000 PUT Shared-Defined NONE 25,000 ELLIE MAE INC COM 28849P100 1,362 50,000 SH Shared-Defined NONE 50,000 EXAMWORKS GROUP INC COM 30066A105 1,492 100,000 SH Shared-Defined NONE 100,000 EXFO INC SUB VTG SHS 302046107 1,200 244,992 SH Shared-Defined NONE 244,992 F5 NETWORKS INC COM 315616102 1,570 15,000 CALL Shared-Defined NONE 15,000 FACEBOOK INC CL A 30303M102 2,285 105,500 SH Shared-Defined NONE 105,500 FLOTEK INDS INC DEL COM 343389102 443 35,000 SH Shared-Defined NONE 35,000 FOCUS MEDIA HLDG LTD SPONSORED ADR 34415V109 4,914 210,000 PUT Shared-Defined NONE 210,000 FUSHI COPPERWELD INC COM 36113E107 5,659 622,500 SH Shared-Defined NONE 622,500 FUSION-IO INC COM 36112J107 2,876 95,000 SH Shared-Defined NONE 95,000 FUSION-IO INC COM 36112J107 2,119 70,000 CALL Shared-Defined NONE 70,000 GOLAR LNG LTD BERMUDA SHS G9456A100 1,351 35,000 SH Shared-Defined NONE 35,000 GOOGLE INC CL A 38259P508 4,904 6,500 PUT Shared-Defined NONE 6,500 GREEN MTN COFFEE ROASTERS IN COM 393122106 2,789 117,500 SH Shared-Defined NONE 117,500 GULF RESOURCES INC COM PAR $0.0005 40251W309 433 386,203 SH Shared-Defined NONE 386,203 HACKETT GROUP INC COM 404609109 878 210,000 SH Shared-Defined NONE 210,000 HALOZYME THERAPEUTICS INC COM 40637H109 7,746 1,027,320 SH Shared-Defined NONE 1,027,320 HARLEY DAVIDSON INC COM 412822108 2,966 70,000 PUT Shared-Defined NONE 70,000 HARRIS & HARRIS GROUP INC COM 413833104 152 40,000 SH Shared-Defined NONE 40,000 IMAX CORP COM 45245E109 1,095 55,000 SH Shared-Defined NONE 55,000 IMMUNOCELLULAR THERAPEUTICS COM 452536105 2,069 736,302 SH Shared-Defined NONE 736,302 INOVIO PHARMACEUTICALS INC COM 45773H102 1,414 2,417,696 SH Shared-Defined NONE 2,417,696 INTELLIPHARMACEUTICS INTL IN COM 458173101 2,336 800,000 SH Shared-Defined NONE 800,000 INTEROIL CORP COM 460951106 3,477 45,000 SH Shared-Defined NONE 45,000 ISHARES TR RUSSELL 2000 464287655 4,589 55,000 PUT Shared-Defined NONE 55,000 ISHARES TR RUSL 2000 GROW 464287648 4,302 45,000 PUT Shared-Defined NONE 45,000 JETBLUE AIRWAYS CORP COM 477143101 1,199 250,000 SH Shared-Defined NONE 250,000 KAYAK SOFTWARE COR CL A 486577109 530 15,000 SH Shared-Defined NONE 15,000 LEXICON PHARMACEUTICALS INC COM 528872104 116 50,000 SH Shared-Defined NONE 50,000 LIHUA INTL INC COM 532352101 2,207 620,000 SH Shared-Defined NONE 620,000 LULULEMON ATHLETICA IN COM 550021109 3,423 46,300 SH Shared-Defined NONE 46,300 LULULEMON ATHLETICA IN COM 550021109 3,327 45,000 PUT Shared-Defined NONE 45,000 MAKO SURGICAL CORP COM 560879108 4,417 253,685 SH Shared-Defined NONE 253,685 MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 1,879 35,000 SH Shared-Defined NONE 35,000 MEDIVATION INC COM 58501N101 4,508 80,000 SH Shared-Defined NONE 80,000 NATURAL GROCERS BY VITAMIN C COM 63888U108 223 10,000 SH Shared-Defined NONE 10,000 NEKTAR THERAPEUTICS COM 640268108 5,816 544,822 SH Shared-Defined NONE 544,822 NOVADAQ TECHNOLOGIES INC COM 66987G102 10,241 990,437 SH Shared-Defined NONE 990,437 NQ MOBILE INC ADR REPSTG CL A 64118U108 320 40,000 SH Shared-Defined NONE 40,000 OCZ TECHNOLOGY GROUP INC COM 67086E303 1,735 500,100 PUT Shared-Defined NONE 500,100 ONCOTHYREON INC COM 682324108 1,796 350,000 SH Shared-Defined NONE 350,000 PANDORA MEDIA INC COM 698354107 2,415 220,514 SH Shared-Defined NONE 220,514 PEREGRINE SEMICONDUCTOR CORP COM 71366R703 593 35,000 SH Shared-Defined NONE 35,000 PETSMART INC COM 716768106 5,174 75,000 SH Shared-Defined NONE 75,000 PROCERA NETWORKS INC COM NEW 74269U203 3,572 152,000 SH Shared-Defined NONE 152,000 PROLOR BIOTECH INC COM 74344F106 3,761 775,532 SH Shared-Defined NONE 775,532 QIAGEN NV REG SHS N72482107 4,344 234,700 SH Shared-Defined NONE 234,700 QKL STORES INC COM NEW 74732Y204 459 612,508 SH Shared-Defined NONE 612,508 RACKSPACE HOSTING INC COM 750086100 1,652 25,000 SH Shared-Defined NONE 25,000 RAINMAKER SYSTEMS COM NEW 750875304 1,318 1,107,195 SH Shared-Defined NONE 1,107,195 RAPTOR PHARMACEUTICAL CORP COM 75382F106 2,641 475,000 SH Shared-Defined NONE 475,000 REIS INC COM 75936P105 858 75,000 SH Shared-Defined NONE 75,000 RF MICRODEVICES INC COM 749941100 493 125,000 SH Shared-Defined NONE 125,000 RF MICRODEVICES INC COM 749941100 1,185 300,000 CALL Shared-Defined NONE 300,000 RIO TINTO PLC SPONSORED ADR 767204100 4,676 100,000 PUT Shared-Defined NONE 100,000 ROYAL CARIBBEAN CRUISES LTD COM V7780T103 4,247 140,000 SH Shared-Defined NONE 140,000 RYANAIR HLDGS PLC SPONSORED ADR 783513104 323 10,000 SH Shared-Defined NONE 10,000 SEAGATE TECHNOLOGY PLC SHS G7945M107 5,667 185,000 PUT Shared-Defined NONE 185,000 SENOMYX INC COM 81724Q107 790 416,000 SH Shared-Defined NONE 416,000 SHUTTERFLY INC COM 82568P304 622 20,000 SH Shared-Defined NONE 20,000 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 1,995 135,000 SH Shared-Defined NONE 135,000 SODASTREAM INTERNATIONAL LTD USD SHS M9068E105 685 17,500 SH Shared-Defined NONE 17,500 SPDR GOLD TRUST GOLD SHS 78463V107 2,149 12,500 SH Shared-Defined NONE 12,500 SPDR SERIES TRUST S&P RETAIL ETF 78464A714 1,883 30,000 PUT Shared-Defined NONE 30,000 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 3,106 125,000 SH Shared-Defined NONE 125,000 SPIRIT AIRLS INC COM 848577102 854 50,000 SH Shared-Defined NONE 50,000 SPLUNK INC COM 848637104 367 10,000 SH Shared-Defined NONE 10,000 STAMPS COM INC COM NEW 852857200 2,198 95,000 SH Shared-Defined NONE 95,000 SUNSHINE HEART INC COM 86782U106 3,700 443,704 SH Shared-Defined NONE 443,704 SWISHER HYGIENE INC COM 870808102 74 53,333 SH Shared-Defined NONE 53,333 TESLA MTRS INC COM 88160R101 1,165 39,800 SH Shared-Defined NONE 39,800 TESLA MTRS INC COM 88160R101 3,221 110,000 CALL Shared-Defined NONE 110,000 THRESHOLD PHARMACEUTICAL INC COM NEW 885807206 3,710 512,406 SH Shared-Defined NONE 512,406 TITAN MACHY INC COM 88830R101 507 25,000 SH Shared-Defined NONE 25,000 TRANSCEPT PHARMACEUTICALS IN COM 89354M106 2,794 526,166 SH Shared-Defined NONE 526,166 TRANSWITCH CORP COM NEW 894065309 131 120,000 SH Shared-Defined NONE 120,000 U S AIRWAYS GROUP INC COM 90341W108 1,674 160,000 SH Shared-Defined NONE 160,000 ULTRATECH INC COM 904034105 3,653 116,400 SH Shared-Defined NONE 116,400 UNILIFE CORP NEW COM 90478E103 1,470 471,225 SH Shared-Defined NONE 471,225 UNITED CONTL HLDGS INC COM 910047109 2,828 145,000 SH Shared-Defined NONE 145,000 UNITED STATES STL CORP NEW COM 912909108 1,331 70,000 PUT Shared-Defined NONE 70,000 UNIVERSAL DISPLAY CORP COM 91347P105 3,244 94,500 SH Shared-Defined NONE 94,500 UNIVERSAL DISPLAY CORP COM 91347P105 687 20,000 CALL Shared-Defined NONE 20,000 VEECO INSTRS INC DEL COM 922417100 1,050 35,000 SH Shared-Defined NONE 35,000 VEECO INSTRS INC DEL COM 922417100 450 15,000 CALL Shared-Defined NONE 15,000 VERIFONE SYS INC COM 92342Y109 2,646 95,000 PUT Shared-Defined NONE 95,000 VITAMIN SHOPPE INC COM 92849E101 875 15,000 SH Shared-Defined NONE 15,000 YONGYE INTL INC COM 98607B106 5,170 1,128,907 SH Shared-Defined NONE 1,128,907 ZAGG INC COM 98884U108 1,280 150,000 PUT Shared-Defined NONE 150,000 ZHONGPIN INC COM 98952K107 330 30,000 SH Shared-Defined NONE 30,000 ZILLOW INC CL A 98954A107 1,898 45,000 SH Shared-Defined NONE 45,000 ZIOPHARM ONCOLOGY INC COM 98973P101 545 100,000 SH Shared-Defined NONE 100,000
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