0001408324-11-000006.txt : 20110429 0001408324-11-000006.hdr.sgml : 20110429 20110429102313 ACCESSION NUMBER: 0001408324-11-000006 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110429 DATE AS OF CHANGE: 20110429 EFFECTIVENESS DATE: 20110429 FILER: COMPANY DATA: COMPANY CONFORMED NAME: FIRST NEW YORK SECURITIES LLC /NY CENTRAL INDEX KEY: 0001111629 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-11898 FILM NUMBER: 11791506 BUSINESS ADDRESS: STREET 1: 90 PARK AVENUE 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 BUSINESS PHONE: 212-848-0600 MAIL ADDRESS: STREET 1: 90 PARK AVENUE 5TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10016 13F-HR/A 1 firmamended.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: March 31, 2011 -------------- Check here if Amendment [ ]; Amendment Number: 22342234 This Amendment (Check only one.):[ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: FIRST NEW YORK SECURITIES LLC ----------------------------- Address: 90 PARK AVENUE, 5TH FLOOR ----------------------------- NEW YORK, NY 10016 ----------------------------- Form 13F File Number: 028-12541 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: HARRIS SUFIAN --------------- Title: MANAGING MEMBER --------------- Phone: (212) 331-6853 --------------- Signature, Place, and Date of Signing: HARRIS SUFIAN NEW YORK, NY April 28, 2011 ------------------------------ ---------------------- ------------------ 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 Include Managers: 0 Form 13F Information Tableentry Total: 526 Form 13F Information table Value Total: $677,253,000 List of Other Included Managers: NONE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- ABB LTD SPONSORED ADR 000375204 345 14250 SH Sole Sole ACACIA RESH CORP ACACIA TCH COM 003881307 536 15675 SH Sole Sole ACCENTURE PLC IRELAND SHS CLASS A G1151C101 330 6000 SH Sole Sole ACTUATE CORP COM 00508B102 130 25000 SH Sole Sole AEROPOSTALE COM 007865108 365 15000 SH Sole Sole AFFYMAX INC COM 00826A109 332 56500 SH Sole Sole AIRGAS INC COM 009363102 1495 22500 SH Sole Sole AIXTRON SE SPONSORED ADR 009606104 1031 23500 SH Sole Sole AK STL HLDG CORP COM 001547108 708 44850 SH Sole Sole AKAMAI TECHNOLOGIES INC COM 00971T101 285 7500 SH Sole Sole AKAMAI TECHNOLOGIES INC COM 00971T101 874 23000 SH C Sole Sole ALBERTO CULVER CO NEW COM 013078100 317 8500 SH Sole Sole ALCATEL-LUCENT SPONSORED ADR 013904305 229 39500 SH Sole Sole ALCOA INC COM 013817101 214 12100 SH C Sole Sole ALLIANT TECHSYSTEMS INC COM 018804104 378 5350 SH Sole Sole ALNYLAM PHARMACEUTICALS INC COM 02043Q107 202 21100 SH C Sole Sole ALUMINA LTD SPONSORED ADR 022205108 689 67500 SH Sole Sole AMARIN CORP PLC SPONS ADR NEW 023111206 81 11000 SH C Sole Sole AMARIN CORP PLC SPONS ADR NEW 023111206 99 13500 SH Sole Sole AMDOCS LTD ORD G02602103 433 15000 SH Sole Sole AMEDISYS INC COM 023436108 708 20218 SH Sole Sole AMERICAN CAPITAL AGENCY CORP COM 02503X105 204 7000 SH Sole Sole AMERICAN INTL GROUP INC COM NEW 026874784 1367 38900 SH P Sole Sole AMERISTAR CASINOS INC COM 03070Q101 355 20000 SH Sole Sole AMGEN INC COM 031162100 267 5000 SH Sole Sole AMR CORP COM 001765106 162 25000 SH C Sole Sole AMR CORP COM 001765106 1018 157500 SH Sole Sole ANADARKO PETE CORP COM 032511107 2621 32000 SH P Sole Sole ANADARKO PETE CORP COM 032511107 2662 32500 SH C Sole Sole ANADIGICS INC COM 032515108 105 23500 SH Sole Sole ANGLOGOLD ASHANTI LTD SPONSORED ADR 035128206 470 9800 SH Sole Sole APACHE CORP COM 037411105 1309 10000 SH P Sole Sole APACHE CORP COM 037411105 1964 15000 SH C Sole Sole APOLLO GROUP INC CL A 037604105 626 15000 SH Sole Sole APPLE INC COM 037833100 1568 4500 SH C Sole Sole APPLE INC COM 037833100 1742 5000 SH Sole Sole APPLE INC COM 037833100 5227 15000 SH P Sole Sole ARCELORMITTAL SA LUXEMBOURG NY REGISTRY SH 03938L104 5676 157000 SH Sole Sole ARES CAP CORP COM 04010L103 1437 85000 SH Sole Sole ASML HOLDING N V NY REG SHS N07059186 1335 30000 SH Sole Sole ATHEROS COMMUNICATIONS INC COM 04743P108 658 14736 SH Sole Sole ATMEL CORP COM 049513104 239 17500 SH Sole Sole AUTOBYTEL INC COM 05275N106 307 213264 SH Sole Sole AVON PRODS INC COM 054303102 1081 40000 SH C Sole Sole BAIDU INC SPON ADR REP A 056752108 951 6900 SH P Sole Sole BAKER HUGHES INC COM 057224107 683 9300 SH Sole Sole BANCO BILBAO VIZCAYA ARGENTA SPONSORED ADR 05946K101 1092 91016 SH Sole Sole BANK OF AMERICA CORPORATION COM 060505104 267 20000 SH P Sole Sole BANK OF AMERICA CORPORATION COM 060505104 1433 107500 SH Sole Sole BANKUNITED INC COM 06652K103 634 22100 SH Sole Sole BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 532 18100 SH P Sole Sole BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 1579 53750 SH Sole Sole BARNES & NOBLE INC COM 067774109 772 84000 SH Sole Sole BARNES & NOBLE INC COM 067774109 1008 109800 SH C Sole Sole BB&T CORP COM 054937107 242 8800 SH Sole Sole BED BATH & BEYOND INC COM 075896100 332 6888 SH Sole Sole BEST BUY INC COM 086516101 1429 49750 SH Sole Sole BEST BUY INC COM 086516101 1436 50000 SH C Sole Sole BHP BILLITON LTD SPONSORED ADR 088606108 21487 224100 SH Sole Sole BHP BILLITON PLC SPONSORED ADR 05545e209 10802 135700 SH Sole Sole BIG LOTS INC COM 089302103 434 10000 SH C Sole Sole BLACKBOARD INC COM 091935502 725 20000 SH Sole Sole BLACKROCK INC COM 09247X101 2814 14000 SH Sole Sole BMC SOFTWARE INC COM 055921100 746 15000 SH Sole Sole BOISE INC *W EXP 06/18/201 09746Y113 789 464150 SH Sole Sole BOSTON PRIVATE FINL HLDGS IN *W EXP 11/21/201 101119113 116 43600 SH Sole Sole BOYD GAMING CORP COM 103304101 436 46500 SH Sole Sole BP PLC SPONSORED ADR 055622104 618 14000 SH Sole Sole BPZ RESOURCES INC COM 055639108 632 119000 SH Sole Sole BPZ RESOURCES INC COM 055639108 658 124000 SH Sole Sole BRISTOL MYERS SQUIBB CO COM 110122108 264 10000 SH Sole Sole BROCADE COMMUNICATIONS SYS I COM NEW 111621306 492 80000 SH Sole Sole BROOKFIELD HOMES CORP COM 112723101 235 25000 SH Sole Sole BUCYRUS INTL INC NEW COM 118759109 549 6000 SH Sole Sole CALIPER LIFE SCIENCES INC *W EXP 08/10/201 130872112 26 53162 SH Sole Sole CAMECO CORP COM 13321L108 512 17000 SH Sole Sole CAMECO CORP COM 13321L108 1785 59300 SH C Sole Sole CAMERON INTERNATIONAL CORP COM 13342B105 234 4100 SH Sole Sole CAMPBELL SOUP CO COM 134429109 596 18000 SH Sole Sole CANON INC ADR 138006309 854 19700 SH Sole Sole CAPITAL GOLD CORP COM NEW 14018Y205 6794 1056685 SH Sole Sole CARNIVAL CORP PAIRED CTF 143658300 384 10000 SH Sole Sole CELERA CORP COM 1.51E+110 162 20000 SH Sole Sole CEMEX SAB DE CV SPON ADR NEW 151290889 781 87500 SH Sole Sole CENTRAL GARDEN & PET CO COM 153527106 594 67442 SH Sole Sole CEPHALON INC COM 156708109 1597 21080 SH Sole Sole CF INDS HLDGS INC COM 125269100 342 2500 SH P Sole Sole CHECK POINT SOFTWARE TECH LT ORD M22465104 296 5800 SH Sole Sole CHECK POINT SOFTWARE TECH LT ORD M22465104 1532 30000 SH P Sole Sole CHEESECAKE FACTORY INC COM 163072101 1505 50000 SH Sole Sole CHESAPEAKE LODGING TR SH BEN INT 165240102 308 17700 SH Sole Sole CHEVRON CORP NEW COM 166764100 362 3371 SH Sole Sole CHEVRON CORP NEW COM 166764100 3225 30000 SH C Sole Sole CHEVRON CORP NEW COM 166764100 3225 30000 SH P Sole Sole CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 203 5000 SH P Sole Sole CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 203 5000 SH C Sole Sole CHICAGO BRIDGE & IRON CO N V N Y REGISTRY SH 167250109 203 5000 SH Sole Sole CHICOS FAS INC COM 168615102 958 64300 SH C Sole Sole CHINA FIN ONLINE CO LTD SPONSORED ADR 169379104 304 66800 SH Sole Sole CHINA GERUI ADV MAT GR LTD SHS G21101103 146 31000 SH Sole Sole CHINA LIFE INS CO LTD SPON ADR REP H 16939P106 3136 55943 SH Sole Sole CHIPOTLE MEXICAN GRILL INC COM 169656105 409 1500 SH P Sole Sole CHUBB CORP COM 171232101 307 5000 SH Sole Sole CIENA CORP COM NEW 171779309 2222 128000 SH C Sole Sole CISCO SYS INC COM 17275R102 3327 194000 SH Sole Sole CITIGROUP INC COM 172967101 420 95000 SH C Sole Sole CITIGROUP INC COM 172967101 6887 1558500 SH Sole Sole CITRIX SYS INC COM 177376100 367 5000 SH P Sole Sole CLOUD PEAK ENERGY INC COM 18911Q102 484 22400 SH Sole Sole CNA SURETY CORP COM 12612L108 268 10600 SH Sole Sole COACH INC COM 189754104 651 12500 SH Sole Sole COLGATE PALMOLIVE CO COM 194162103 2584 32000 SH Sole Sole COLGATE PALMOLIVE CO COM 194162103 5249 65000 SH P Sole Sole COLUMBIA LABS INC COM 197779101 57 15000 SH Sole Sole COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 326 11500 SH Sole Sole COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 442 30000 SH Sole Sole COMPLETE PRODUCTION SERVICES COM 20453e109 382 12000 SH Sole Sole COMPUWARE CORP COM 205638109 208 18000 SH Sole Sole CONEXANT SYSTEMS INC COM NEW 207142308 1365 573669 SH Sole Sole CONSOL ENERGY INC COM 20854P109 364 6780 SH Sole Sole CONSOL ENERGY INC COM 20854P109 2279 42500 SH C Sole Sole COOPER INDUSTRIES PLC SHS G24140108 1612 24842 SH Sole Sole COSAN LTD SHS A G25343107 290 22500 SH Sole Sole CREXUS INVT CORP COM 226553105 3573 312858 SH Sole Sole CTI INDUSTRIES CORP COM NEW 125961300 137 27565 SH Sole Sole CURRENCYSHS JAPANESE YEN TR JAPANESE YEN 23130A102 1425 12000 SH P Sole Sole CVR ENERGY INC COM 12662P108 472 20400 SH Sole Sole CVS CAREMARK CORPORATION COM 126650100 703 20500 SH Sole Sole CVS CAREMARK CORPORATION COM 126650100 1373 40000 SH C Sole Sole DEERE & CO COM 244199105 388 4000 SH Sole Sole DELL INC COM 24702R101 145 10000 SH Sole Sole DELTA AIR LINES INC DEL COM NEW 247361702 245 25000 SH P Sole Sole DELTA AIR LINES INC DEL COM NEW 247361702 2511 256200 SH Sole Sole DELTA AIR LINES INC DEL COM NEW 247361702 2756 281200 SH Sole Sole DELTA PETE CORP COM NEW 247907207 27 30000 SH Sole Sole DENDREON CORP COM 24823Q107 374 10000 SH C Sole Sole DEUTSCHE BANK AG NAMEN AKT D18190898 1181 20000 SH Sole Sole DEVON ENERGY CORP NEW COM 25179M103 2294 25000 SH C Sole Sole DIGIRAD CORP COM 253827109 973 389398 SH Sole Sole DIONEX CORP COM 254546104 1048 8880 SH Sole Sole DIREXION SHS ETF TR DLY SCOND 3XBR 25459W128 291 5000 SH Sole Sole DIREXION SHS ETF TR DLY SMCAP BEAR3X 25459W110 281 8000 SH Sole Sole DRUGSTORE COM INC COM 262241102 231 60000 SH Sole Sole DRYSHIPS INC SHS Y2109Q101 526 106200 SH C Sole Sole DRYSHIPS INC SHS Y2109Q101 1016 205000 SH Sole Sole EASTMAN KODAK CO COM 277461109 456 141250 SH Sole Sole EASTMAN KODAK CO COM 277461109 859 265500 SH C Sole Sole E-COMMERCE CHINA DANGDANG IN SPN ADS COM A 26833A105 351 17000 SH Sole Sole EDGAR ONLINE INC COM 279765101 193 147350 SH Sole Sole ELECTRONIC ARTS INC COM 285512109 781 40000 SH C Sole Sole EMERGENCY MEDICAL SVCS CORP CL A 29100P102 2067 32500 SH C Sole Sole EMPRESAS ICA S A DE CV SPONS ADR NEW 292448206 103 11331 SH Sole Sole ENERNOC INC COM 292764107 764 40000 SH P Sole Sole ENTROPIC COMMUNICATIONS INC COM 29384R105 634 75000 SH C Sole Sole ENTROPIC COMMUNICATIONS INC COM 29384R105 2792 330404 SH Sole Sole EOG RES INC COM 26875P101 474 4000 SH Sole Sole EOG RES INC COM 26875P101 1185 10000 SH P Sole Sole EOG RES INC COM 26875P101 1185 10000 SH C Sole Sole ERICSSON L M TEL CO ADR B SEK 10 294821608 674 52400 SH Sole Sole EVERGREEN ENERGY INC NEW COM NEW 30024B203 83 26700 SH Sole Sole EXPEDIA INC DEL COM 30212P105 283 12500 SH Sole Sole EXTERRAN HLDGS INC COM 30225X103 380 16000 SH Sole Sole EXXON MOBIL CORP COM 30231G102 3115 37030 SH Sole Sole EXXON MOBIL CORP COM 30231G102 4417 52500 SH C Sole Sole EXXON MOBIL CORP COM 30231G102 12620 150000 SH P Sole Sole F5 NETWORKS INC COM 315616102 256 2500 SH Sole Sole F5 NETWORKS INC COM 315616102 308 3000 SH C Sole Sole FEDEX CORP COM 31428X106 879 9400 SH Sole Sole FELCOR LODGING TR INC COM 31430F101 386 63000 SH Sole Sole FIBRIA CELULOSE S A SP ADR REP COM 31573A109 887 54000 SH Sole Sole FIFTH STREET FINANCE CORP COM 31678A103 401 30000 SH Sole Sole FORD MTR CO DEL COM PAR $0.01 345370860 157 10500 SH C Sole Sole FORD MTR CO DEL COM PAR $0.01 345370860 2893 194000 SH Sole Sole FORTRESS INVESTMENT GROUP LL CL A 34958B106 133 23500 SH Sole Sole FREEPORT-MCMORAN COPPER & GO COM 35671D857 289 5200 SH Sole Sole FRONTLINE LTD SHS G3682E127 1697 68500 SH Sole Sole G WILLI FOOD INTL LTD ORD M52523103 459 58500 SH Sole Sole GAMESTOP CORP NEW CL A 36467W109 898 39900 SH C Sole Sole GAMESTOP CORP NEW CL A 36467W109 1577 70000 SH Sole Sole GANNETT INC COM 364730101 777 51000 SH Sole Sole GAP INC DEL COM 364760108 227 10000 SH C Sole Sole GASTAR EXPL LTD COM NEW 367299203 126 25995 SH Sole Sole GENERAL ELECTRIC CO COM 369604103 241 12000 SH Sole Sole GENERAL MARITIME CORP NEW SHS Y2693R101 62 30000 SH Sole Sole GENERAL MOLY INC COM 370373102 83 15500 SH Sole Sole GENERAL MTRS CO COM 37045V100 499 16100 SH C Sole Sole GENERAL MTRS CO COM 37045V100 2006 64620 SH Sole Sole GENON ENERGY INC COM 37244e107 800 210000 SH Sole Sole GENWORTH FINL INC COM CL A 37247D106 135 10000 SH Sole Sole GENZYME CORP COM 372917104 12946 170000 SH Sole Sole GERDAU S A SPONSORED ADR 373737105 363 29000 SH Sole Sole GIGAMEDIA LTD ORD Y2711Y104 174 129800 SH Sole Sole GLOBAL INDS LTD COM 379336100 257 26300 SH Sole Sole GLU MOBILE INC COM 379890106 342 78900 SH Sole Sole GMX RES INC COM 38011M108 77 12500 SH Sole Sole GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 485 27800 SH Sole Sole GOLDMAN SACHS GROUP INC COM 38141G104 1031 6500 SH C Sole Sole GOODYEAR TIRE & RUBR CO COM 382550101 801 53500 SH Sole Sole GOOGLE INC CL A 38259P508 234 400 SH Sole Sole GOOGLE INC CL A 38259P508 586 1000 SH C Sole Sole GREAT WOLF RESORTS INC COM 391523107 221 104900 SH Sole Sole GREENBRIER COS INC COM 393657101 216 7600 SH Sole Sole GUGGENHEIM BLD AMR BDS MNG D COM 401664107 617 33364 SH Sole Sole GULF RESOURCES INC COM PAR $0.0005 40251W309 120 19306 SH Sole Sole HALLIBURTON CO COM 406216101 937 18800 SH Sole Sole HARMONY GOLD MNG LTD SPONSORED ADR 413216300 3178 213700 SH Sole Sole HARTFORD FINL SVCS GROUP INC COM 416515104 202 7500 SH C Sole Sole HECKMANN CORP *W EXP 11/09/201 422680116 703 740524 SH Sole Sole HELIX ENERGY SOLUTIONS GRP I COM 42330P107 344 20000 SH Sole Sole HERSHEY CO COM 427866108 272 5000 SH P Sole Sole HERSHEY CO COM 427866108 13588 250000 SH C Sole Sole HESS CORP COM 42809H107 307 3600 SH Sole Sole HORIZON TECHNOLOGY FIN CORP COM 44045A102 1769 110000 SH Sole Sole HOT TOPIC INC COM 441339108 442 77535 SH Sole Sole HSBC HLDGS PLC SPON ADR NEW 404280406 2072 40000 SH Sole Sole HUNTINGTON BANCSHARES INC COM 446150104 76 11500 SH Sole Sole HUNTSMAN CORP COM 447011107 191 11000 SH Sole Sole HUTCHINSON TECHNOLOGY INC COM 448407106 35 12500 SH Sole Sole HYPERDYNAMICS CORP COM 448954107 46 10000 SH C Sole Sole HYPERDYNAMICS CORP COM 448954107 1593 344600 SH Sole Sole ICAGEN INC COM NEW 45104P500 183 72000 SH Sole Sole IMERGENT INC COM 45247Q100 122 18200 SH Sole Sole INTEL CORP COM 458140100 1878 93100 SH Sole Sole INTEL CORP COM 458140100 3030 150200 SH P Sole Sole INTERNATIONAL COAL GRP INC N COM 45928H106 395 35000 SH C Sole Sole INTERNATIONAL GAME TECHNOLOG COM 459902102 893 55000 SH Sole Sole INTL PAPER CO COM 460146103 302 10000 SH Sole Sole IRIDIUM COMMUNICATIONS INC COM 46269C102 156 19564 SH Sole Sole ISHARES SILVER TRUST ISHARES 46428Q109 2942 80000 SH C Sole Sole ISHARES SILVER TRUST ISHARES 46428Q109 7355 200000 SH P Sole Sole ISHARES TR RUSSELL 2000 464287655 8207 97500 SH P Sole Sole ITRON INC NOTE 2.500% 8/0 465741AJ5 1029 1000000 SH Sole Sole ITT CORP NEW COM 450911102 889 14800 SH Sole Sole IVANHOE MINES LTD COM 46579N103 549 20000 SH C Sole Sole JA SOLAR HOLDINGS CO LTD SPON ADR 466090107 420 60000 SH P Sole Sole JACKSON HEWITT TAX SVCS INC COM 468202106 33 54700 SH C Sole Sole JAMES RIVER COAL CO COM NEW 470355207 1118 46250 SH Sole Sole JAPAN SMALLER CAPTLZTN FD IN COM 47109U104 134 14699 SH Sole Sole JDS UNIPHASE CORP COM PAR $0.001 46612J507 396 19000 SH Sole Sole JDS UNIPHASE CORP COM PAR $0.001 46612J507 1042 50000 SH C Sole Sole JETBLUE AIRWAYS CORP COM 477143101 110 17500 SH Sole Sole JPMORGAN CHASE & CO COM 46625H100 1383 30000 SH C Sole Sole JPMORGAN CHASE & CO COM 46625H100 1383 30000 SH P Sole Sole JPMORGAN CHASE & CO COM 46625H100 2605 56500 SH Sole Sole JUNIPER NETWORKS INC COM 48203R104 631 15000 SH Sole Sole K V PHARMACEUTICAL CO CL A 482740206 215 35900 SH C Sole Sole KBR INC COM 48242W106 302 8000 SH Sole Sole KENNAMETAL INC COM 489170100 772 19800 SH Sole Sole KEYCORP NEW COM 493267108 289 32500 SH Sole Sole KODIAK OIL & GAS CORP COM 50015Q100 67 10000 SH Sole Sole KOHLS CORP COM 500255104 530 10000 SH Sole Sole KRONOS WORLDWIDE INC COM 50105F105 502 8584 SH Sole Sole KYOCERA CORP ADR 501556203 1352 13400 SH Sole Sole L-1 IDENTITY SOLUTIONS INC COM 50212A106 1183 100462 SH Sole Sole LAS VEGAS SANDS CORP COM 517834107 211 5000 SH C Sole Sole LEAPFROG ENTERPRISES INC CL A 52186N106 43 10000 SH Sole Sole LENNOX INTL INC COM 526107107 263 5000 SH Sole Sole LINCOLN NATL CORP IND COM 534187109 210 7000 SH Sole Sole LINCOLN NATL CORP IND COM 534187109 450 15000 SH C Sole Sole LIVE NATION ENTERTAINMENT IN COM 538034109 600 60000 SH Sole Sole LMP CAP & INCOME FD INC COM 50208A102 145 10874 SH Sole Sole LMP CORPORATE LN FD INC COM 50208B100 158 12706 SH Sole Sole LORILLARD INC COM 544147101 950 10000 SH P Sole Sole LRAD CORP COM 50213V109 96 34575 SH Sole Sole LTX-CREDENCE CORP COM NEW 502403207 113 12400 SH Sole Sole LUBRIZOL CORP COM 549271104 13744 102600 SH C Sole Sole LUCAS ENERGY INC COM NEW 549333201 529 147400 SH Sole Sole MACYS INC COM 55616P104 2489 102600 SH C Sole Sole MACYS INC COM 55616P104 5156 212500 SH Sole Sole MAGNUM HUNTER RES CORP DEL COM 55973B102 86 10000 SH Sole Sole MAIN STREET CAPITAL CORP COM 56035L104 185 10000 SH Sole Sole MARATHON OIL CORP COM 565849106 544 10200 SH Sole Sole MARINEMAX INC COM 567908108 144 14600 SH Sole Sole MARRIOTT INTL INC NEW CL A 571903202 267 7500 SH Sole Sole MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 176 11300 SH Sole Sole MARVELL TECHNOLOGY GROUP LTD ORD G5876H105 1063 68300 SH C Sole Sole MATRIX SVC CO COM 576853105 586 42179 SH Sole Sole MCG CAPITAL CORP COM 58047P107 81 12400 SH Sole Sole MEADWESTVACO CORP COM 583334107 425 14000 SH Sole Sole MEDICINOVA INC COM NEW 58468P206 111 43000 SH Sole Sole MEDQUIST INC COM 584949101 1001 97275 SH Sole Sole MELA SCIENCES INC COM 55277R100 106 30000 SH C Sole Sole MELCO CROWN ENTMT LTD ADR 585464100 1543 203085 SH Sole Sole METLIFE INC UNIT 99/99/9999 59156R116 4243 50000 SH Sole Sole MGIC INVT CORP WIS COM 552848103 756 85000 SH Sole Sole MGM RESORTS INTERNATIONAL COM 552953101 2916 221750 SH Sole Sole MGT CAPITAL INVTS INC COM 55302P103 6 20000 SH Sole Sole MICRON TECHNOLOGY INC COM 595112103 573 50000 SH C Sole Sole MICROSOFT CORP COM 594918104 710 28000 SH Sole Sole MIDWAY GOLD CORP COM 598153104 108 60000 SH Sole Sole MINDSPEED TECHNOLOGIES INC COM NEW 602682205 139 16400 SH Sole Sole MITSUBISHI UFJ FINL GROUP IN SPONSORED ADR 606822104 1028 223480 SH Sole Sole MOLYCORP INC DEL COM 608753109 300 5000 SH P Sole Sole MOLYCORP INC DEL COM 608753109 300 5000 SH Sole Sole MOLYCORP INC DEL COM 608753109 1644 27400 SH C Sole Sole MONSTER WORLDWIDE INC COM 611742107 509 32000 SH Sole Sole MOODYS CORP COM 615369105 254 7500 SH P Sole Sole MOSAIC CO COM 61945A107 394 5000 SH C Sole Sole MOTRICITY INC COM 620107102 526 35000 SH C Sole Sole NALCO HOLDING COMPANY COM 62985Q101 765 28000 SH Sole Sole NETWORK ENGINES INC COM 64121A107 61 30000 SH Sole Sole NEUBERGER BERMAN RE ES SEC F COM 64190A103 793 192431 SH Sole Sole NEW ORIENTAL ENERGY & CHEM C COM 64758A107 52 114783 SH Sole Sole NEWFIELD EXPL CO COM 651290108 453 5964 SH Sole Sole NEWMONT MINING CORP COM 651639106 1092 20000 SH C Sole Sole NEWMONT MINING CORP COM 651639106 1174 21500 SH Sole Sole NEWPARK RES INC COM PAR $.01NEW 651718504 90 11500 SH Sole Sole NEWS CORP CL A 65248e104 186 10618 SH Sole Sole NOKIA CORP SPONSORED ADR 654902204 128 15000 SH C Sole Sole NOKIA CORP SPONSORED ADR 654902204 618 72584 SH Sole Sole NOMURA HLDGS INC SPONSORED ADR 65535H208 52 10000 SH Sole Sole NORFOLK SOUTHERN CORP COM 655844108 246 3550 SH Sole Sole NORTHERN OIL & GAS INC NEV COM 665531109 267 10000 SH Sole Sole NOVATEL WIRELESS INC COM NEW 66987M604 137 25000 SH Sole Sole NOVATEL WIRELESS INC COM NEW 66987M604 202 37000 SH Sole Sole NOVATEL WIRELESS INC COM NEW 66987M604 339 62000 SH Sole Sole NOVELL INC COM 670006105 154 26000 SH C Sole Sole NUCOR CORP COM 670346105 2301 50000 SH C Sole Sole NUTRI SYS INC NEW COM 67069D108 290 20000 SH C Sole Sole NVIDIA CORP COM 67066G104 184 10000 SH C Sole Sole NVIDIA CORP COM 67066G104 1485 80500 SH Sole Sole NXP SEMICONDUCTORS N V COM N6596X109 230 7650 SH Sole Sole NYSE EURONEXT COM 629491101 211 6000 SH Sole Sole NYSE EURONEXT COM 629491101 826 23500 SH C Sole Sole OFFICE DEPOT INC COM 676220106 416 89750 SH Sole Sole OIL STS INTL INC COM 678026105 1066 14000 SH Sole Sole OIL SVC HOLDRS TR DEPOSTRY RCPT 678002106 822 5000 SH C Sole Sole OLIN CORP COM PAR $1 680665205 390 17000 SH Sole Sole OLIN CORP COM PAR $1 680665205 502 21900 SH Sole Sole OMNICARE INC NOTE 3.750%12/1 681904AN8 2578 2000000 SH Sole Sole ON SEMICONDUCTOR CORP COM 682189105 740 75000 SH Sole Sole ON TRACK INNOVATION LTD SHS M8791A109 147 68480 SH Sole Sole OPENTABLE INC COM 68372A104 1170 11000 SH P Sole Sole OPKO HEALTH INC COM 68375N103 47 12500 SH Sole Sole OPNEXT INC COM 68375V105 24 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PRUDENTIAL FINL INC COM 744320102 246 4000 SH Sole Sole PULTE GROUP INC COM 745867101 241 32500 SH Sole Sole QEP RES INC COM 74733V100 223 5500 SH Sole Sole QIAGEN N V ORD N72482107 301 15000 SH Sole Sole QLIK TECHNOLOGIES INC COM 74733T105 260 10000 SH P Sole Sole QLIK TECHNOLOGIES INC COM 74733T105 520 20000 SH Sole Sole QUALCOMM INC COM 747525103 1717 31300 SH Sole Sole QUALCOMM INC COM 747525103 2742 50000 SH P Sole Sole QUEPASA CORP COM NEW 74833W206 60 10020 SH Sole Sole QWEST COMMUNICATIONS INTL IN COM 749121109 19073 2792504 SH Sole Sole RADIAN GROUP INC COM 750236101 136 20000 SH Sole Sole RADIOSHACK CORP COM 750438103 765 51000 SH Sole Sole RAE SYS INC COM 75061P102 323 183320 SH Sole Sole RANDGOLD RES LTD ADR 752344309 1109 13600 SH C Sole Sole RANDGOLD RES LTD ADR 752344309 1305 16000 SH Sole Sole RANGE RES CORP COM 75281A109 351 6000 SH P Sole Sole RANGE RES CORP COM 75281A109 4442 76000 SH C Sole Sole RARE ELEMENT RES LTD COM 75381M102 132 10000 SH Sole Sole REGAL ENTMT 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MUSICAL INSTRS INC COM 858495104 433 19481 SH Sole Sole STREAM GLOBAL SVCS INC *W EXP 10/17/201 86323M118 1 52487 SH Sole Sole SUMITOMO MITSUI FINL GROUP I SPONSORED ADR 86562M209 372 59513 SH Sole Sole SUNPOWER CORP COM CL B 867652307 2672 160307 SH Sole Sole SUNTRUST BKS INC COM 867914103 1298 45000 SH Sole Sole SUPERVALU INC COM 868536103 145 16250 SH Sole Sole SWIFT TRANSN CO CL A 87074U101 221 15000 SH Sole Sole SYMANTEC CORP COM 871503108 330 17804 SH Sole Sole TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 691 45000 SH Sole Sole TARGET CORP COM 87612e106 1750 35000 SH C Sole Sole TARGET CORP COM 87612e106 2150 43000 SH Sole Sole TECHNOLOGY RESH CORP COM NEW 878727304 82 11500 SH Sole Sole TECHTARGET INC COM 87874R100 107 12000 SH Sole Sole TECK RESOURCES LTD CL B 878742204 1326 25000 SH C Sole Sole TEGAL CORP COM NEW 879008209 27 45100 SH Sole Sole TEMPLE INLAND INC COM 879868107 515 22000 SH Sole Sole TENARIS S A SPONSORED ADR 88031M109 429 8675 SH Sole Sole TENET HEALTHCARE CORP 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COM 917047102 746 25000 SH P Sole Sole URBAN OUTFITTERS INC COM 917047102 746 25000 SH C Sole Sole UROPLASTY INC COM NEW 917277204 2242 339183 SH Sole Sole USA MOBILITY INC COM 90341G103 145 10000 SH Sole Sole USA TECHNOLOGIES INC *W EXP 12/31/201 90328S195 149 107250 SH Sole Sole USA TECHNOLOGIES INC *W EXP 12/31/201 90328S179 173 339513 SH Sole Sole UTSTARCOM INC COM 918076100 129 55000 SH Sole Sole VALE S A ADR 91912e105 634 19000 SH Sole Sole VALIDUS HOLDINGS LTD COM SHS G9319H102 200 6000 SH Sole Sole VALUEVISION MEDIA INC CL A 92047K107 474 74500 SH Sole Sole VERIFONE SYS INC COM 92342Y109 247 4500 SH Sole Sole VERIFONE SYS INC COM 92342Y109 577 10500 SH C Sole Sole VERIGY LTD SHS Y93691106 423 30000 SH Sole Sole VERINT SYS INC COM 92343X100 430 12000 SH Sole Sole VIACOM INC NEW CL B 92553P201 395 8500 SH Sole Sole VISA INC COM CL A 92826C839 2577 35000 SH P Sole Sole VISA INC COM CL A 92826C839 4270 58000 SH C Sole Sole VMWARE INC CL A COM 928563402 746 9150 SH Sole Sole VONAGE HLDGS CORP COM 92886T201 46 10000 SH Sole Sole WABASH NATL CORP COM 929566107 123 10600 SH Sole Sole WAL MART STORES INC COM 931142103 479 9200 SH Sole Sole WALTER ENERGY INC COM 93317Q105 3386 25000 SH C Sole Sole WARNER CHILCOTT PLC IRELAND SHS A G94368100 466 20000 SH Sole Sole WARNER MUSIC GROUP CORP COM 934550104 68 10000 SH Sole Sole WEATHERFORD INTERNATIONAL LT REG SHS H27013103 226 10000 SH P Sole Sole WEATHERFORD INTERNATIONAL LT REG SHS H27013103 671 29700 SH Sole Sole WEATHERFORD INTERNATIONAL LT REG SHS H27013103 2825 125000 SH C Sole Sole WELLS FARGO & CO NEW COM 949746101 1243 39200 SH Sole Sole WELLS FARGO & CO NEW COM 949746101 1586 50000 SH P Sole Sole WENDYS ARBYS GROUP INC COM 950587105 101 20000 SH Sole Sole WESTPAC BKG CORP SPONSORED ADR 961214301 1378 11014 SH Sole Sole WET SEAL INC CL A 961840105 184 43000 SH Sole Sole WILLIAMS COS INC DEL COM 969457100 577 18500 SH Sole Sole WILLIAMS COS INC DEL COM 969457100 898 28800 SH C Sole Sole WIMM BILL DANN FOODS OJSC SPONSORED ADR 97263M109 669 20001 SH Sole Sole XEROX CORP COM 984121103 149 14000 SH Sole Sole XETA TECHNOLOGIES INC COM 983909102 190 34692 SH Sole Sole YAHOO INC COM 984332106 1249 75000 SH Sole Sole YAHOO INC COM 984332106 3830 230000 SH C Sole Sole YINGLI GREEN ENERGY HLDG CO ADR 98584B103 361 28000 SH P Sole Sole YPF SOCIEDAD ANONIMA SPON ADR CL D 984245100 695 15600 SH Sole Sole