-----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, SAJVTFmfsOQlcWTtk9igSE54X6+lGgw95kKdllkTAP5SbCWghrPZ2UygbYBZmUfQ feBkm7j32BeH6UZXoqYsmg== 0000950144-04-010149.txt : 20041028 0000950144-04-010149.hdr.sgml : 20041028 20041028152335 ACCESSION NUMBER: 0000950144-04-010149 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040930 FILED AS OF DATE: 20041028 DATE AS OF CHANGE: 20041028 EFFECTIVENESS DATE: 20041028 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OTTER CREEK MANAGEMENT INC CENTRAL INDEX KEY: 0001226779 IRS NUMBER: 650273191 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10442 FILM NUMBER: 041102490 BUSINESS ADDRESS: STREET 1: 400 ROYAL PALM WAY STREET 2: #212 CITY: PALM BEACH STATE: FL ZIP: 33480 BUSINESS PHONE: 5618324110 13F-HR 1 g91416e13fvhr.txt OTTER CREEK MANAGEMENT, INC. UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 9-30-04 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: Otter Creek Management, Inc. Address: 400 Royal Palm Way Suite 212 Palm Beach, FL 33480 Form 13F File Number: 28- 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: Joseph W. O'Neill, Jr. Title: Chief Financial Officer Phone: 561-832-4110 Signature, Place and Date of Signing: /s/ Joseph W. O'Neill, Jr. Palm Beach, FL 10-25-04 - -------------------------- --------------------- --------------- [Signature] [City, State] [Date] Report Type (Check only one.): [X] 13F HOLDING 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)) List of Other Managers Reporting for this Manager: [If there are no entries in this list, omit this section] Form 13F File Number Name 28-___________________ _______________________________________ [Repeat as necessary FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 199 Form 13F Information Table Value Total: 330,048 ----------- (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.] No. 13F File Number Name ___ 28-_________________ _____________________________ [Repeat as necessary] Otter Creek Management PORTFOLIO APPRAISAL 30-Jun-04 FORM 13F SUMMARY PAGE Report Summary: Number of other Included Managers: - Form 13F Information Table Entry Total: 199 Form 13F Information Table Value Total: 330,048 FORM 13F INFORMATION TABLE
VOTING SHARES/ AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - -------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ 3COM CORP COM COMMON STOCK 885535104 1177 279,000 SH SOLE 279,000 3M COMPANY COMMON STOCK 88579y101 480 6,000 SH SOLE 6,000 ABERDEEN ASIA PACIFIC INCOME FUND INC MUTUAL FUNDS - LONG 003009107 2284 371,378 SH SOLE 371,378 AEROPOSTALE COMMON STOCK 007865108 262 10,000 SH SOLE 10,000 AMAZON COM INC CONV SUB NTS CONVERTIBLE BONDS - LONG 023135AF3 8182 8,244,000 PRN SOLE 8,244,000 APACHE CORP COMMON STOCK 037411105 401 8,000 SH SOLE 8,000 APPLIED FILMS CORP COM COMMON STOCK 038197109 461 25,603 SH SOLE 25,603 APPLIED MATERIALS INC COMMON STOCK 038222105 165 10,000 SH SOLE 10,000 APPLIED MICRO CIRCUITS CORP COMMON STOCK 03822w109 47 15,000 SH SOLE 15,000 ARCHER DANIELS MIDLAND CO COMMON STOCK 039483102 681 40,100 SH SOLE 40,100 ARTESYN TECHNOLOGIES INC COMMON STOCK 043127109 236 23,609 SH SOLE 23,609 ASHLAND INC COMMON STOCK 044204105 393 7,000 SH SOLE 7,000 ATARI INC COMMON STOCK 04651M105 587 373,591 SH SOLE 373,591 ATMEL CORP SUB DEB CONV 0% 05-23-21 CONVERTIBLE BONDS - LONG 049513ae4 436 1,000,000 PRN SOLE 1,000,000 ATMOS ENERGY CORP COMMON STOCK 049560105 252 10,000 SH SOLE 10,000 AUTOMATIC DATA PROCESSING INC COMMON STOCK 053015103 1240 30,000 SH SOLE 30,000 AXONYX INC COMMON STOCK 05461r101 325 57,578 SH SOLE 57,578 BANK MUTUAL CORPORATION COMMON STOCK 063750103 1234 102,874 SH SOLE 102,874 BAXTER INTERNATIONAL INC 7.00% PFD DUE 2/1 CONVERTIBLE PREFERRED 071813406 215 4,000 PRN SOLE 4,000 BEA SYSTEMS INC SUB NT CV CONVERTIBLE BONDS - LONG 073325AD4 5479 5,500,000 PRN SOLE 5,500,000 BENTON OIL & GAS CO SR NOTE CORPORATE BONDS 083288AE0 9874 9,680,000 PRN SOLE 9,680,000 BLACKROCK INCOME OPPORTUNITY TRUST INC MUTUAL FUNDS - LONG 092475102 113 10,000 SH SOLE 10,000 BLACKROCK INSURED MUNICIPAL 2008 TERM TRUS MUTUAL FUNDS - LONG 09247k109 281 17,000 SH SOLE 17,000 BOISE CASCADE CORP COMMON STOCK 097383103 343 10,300 SH SOLE 10,300 BOK FINANCIAL CORP NEW COMMON STOCK 05561Q201 2380 53,346 SH SOLE 53,346 BORLAND SOFTWARE CORP COMMON STOCK 099849101 309 37,000 SH SOLE 37,000 BOWATER INC DEBS -REG- CORPORATE BONDS 102183ac4 551 500,000 PRN SOLE 500,000 BRILLIAN CORPORATION COMMON STOCK 10949P107 156 35,127 SH SOLE 35,127 BROCADE COMMUNICATIONS SYSTEM INC CONV SUB NOTE CONVERTIBLE BONDS - LONG 111621AB4 12295 13,150,000 PRN SOLE 13,150,000 BURLINGTON RESOURCES INC COMMON STOCK 122014103 16271 398,800 SH SOLE 398,800 CABLE & WIRELESS PLC SPONSORED ADR AMERICAN DEPOSITORY RECEIPTS 126830207 456 86,700 SH SOLE 86,700 CENTILLIUM COMMUNICATIONS INC COMMON STOCK 152319109 24 10,100 SH SOLE 10,100 CHRISTOPHER & BANKS CORP COMMON STOCK 171046105 320 20,000 SH SOLE 20,000 CITADEL BROADCASTING CORP CONV SUB NOTE 144A CONVERTIBLE BONDS - LONG 17285taa4 417 500,000 PRN SOLE 500,000 CITADEL BROADCASTING CORP CONV SUB NT CONVERTIBLE BONDS - LONG 17285tab2 167 200,000 PRN SOLE 200,000 CLARENT CORP COMMON STOCK 180461105 21 600,000 SH SOLE 600,000 CNA FINANCIAL CORP NOTES CORPORATE BONDS 126117aj9 548 538,000 PRN SOLE 538,000 COMCAST CORP NEW CL A COMMON STOCK 20030n101 198 7,000 SH SOLE 7,000 COMPASS BANCSHARES INC COMMON STOCK 20449h109 657 15,000 SH SOLE 15,000 COMVERSE TECHNOLOGY INC CON SR DEB CONVERTIBLE BONDS - LONG 205862AJ4 5078 5,235,000 PRN SOLE 5,235,000 CONAGRA FOODS INC COMMON STOCK 205887102 514 20,000 SH SOLE 20,000 CORILLIAN CORP COMMON STOCK 218725109 215 46,643 SH SOLE 46,643 CORNING INC CONV DEBS CONVERTIBLE BONDS - LONG 219350aj4 68 87,000 PRN SOLE 87,000 CUMULUS MEDIA INC-CL A COMMON STOCK 231082108 288 20,000 SH SOLE 20,000 CYMER INC CONV SENIOR SUB NOTE CONVERTIBLE BONDS - LONG 232572AE7 3106 3,141,000 PRN SOLE 3,141,000 CYPRESS SEMICONDUCTOR CORP COMMON STOCK 232806109 150 17,001 SH SOLE 17,001 DAVITA INC COMMON STOCK 23918k108 467 15,000 SH SOLE 15,000 DEAN FOODS CO NEW COMMON STOCK 242370104 2146 71,500 SH SOLE 71,500 DELPHI CORP COMMON STOCK 247126105 465 50,000 SH SOLE 50,000 DEVON ENERGY CORP NEW SR DEB CONVERTIBLE BONDS - LONG 25179MAA1 3468 3,200,000 PRN SOLE 3,200,000 DEVON ENERGY CORPORATION NEW COMMON STOCK 25179M103 3951 55,636 SH SOLE 55,636 DEVON ENERGY CORPORATION NEW SR DEB CONV ZERO CPN CONVERTIBLE BONDS - LONG 5179MAD5 8808 15,799,000 PRN SOLE 15,799,000 DIEBOLD INC COMMON STOCK 253651103 1354 29,000 SH SOLE 29,000 ENDO PHARMACEUTICALS HLDGS INC COMMON STOCK 29264f205 312 17,000 SH SOLE 17,000 ENTEGRIS INC COMMON STOCK 29362U104 512 61,400 SH SOLE 61,400 EXPRESS SCRIPTS INC COMMON COMMON STOCK 302182100 653 10,000 SH SOLE 10,000 EXTREME NETWORKS INC CONV NOTE CONVERTIBLE BONDS - LONG 30226dab2 48 50,000 PRN SOLE 50,000 EXTREME NETWORKS INC CONV NTS 144A CONVERTIBLE BONDS - LONG 30226DAA4 627 650,000 PRN SOLE 650,000
VOTING SHARES/ AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - -------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ EXULT INC CONV SENIOR NOTE 144A CONVERTIBLE BONDS - LONG 302284aa2 563 600,000 PRN SOLE 600,000 FIDELITY NATIONAL FINANCIAL INC COMMON STOCK 316326107 495 13,000 SH SOLE 13,000 FINANCIAL INDUSTRIES CORP COMMON STOCK 317574101 3567 419,681 SH SOLE 419,681 FIRST HORIZON NATL CORP COMMON STOCK 320517105 607 14,000 SH SOLE 14,000 FLEXTRONICS INTERNATIONAL LTD COMMON STOCK y2573f102 265 20,000 SH SOLE 20,000 FLOW INTERNATIONAL CORP COMMON STOCK 343468104 1450 453,022 SH SOLE 453,022 FSI INTL INC COMMON STOCK 302633102 1115 266,657 SH SOLE 266,657 GABELLI DIVIDEND & INCOME FUND MUTUAL FUNDS - LONG 36242h104 274 15,000 SH SOLE 15,000 GANNETT CO INC COMMON STOCK 364730101 1215 14,500 SH SOLE 14,500 GAYLORD ENTERTAINMENT CO NEW COMMON STOCK 367905106 564 18,200 SH SOLE 18,200 GLOBALSTAR CAP CORP SR NOTE 11.25% 6/15/04 DEFAULTED CORPORATE BONDS 379363al8 44 8,850,000 PRN SOLE 8,850,000 GLOBALSTAR L P / GLOBALSTAR CAP CORP SR NOTE DEFAULTED CORPORATE BONDS 379363ar5 3 640,000 PRN SOLE 640,000 GLOBALSTAR L P CAP CORP SR NOTE ORIG MTY 02/15/2004 DEFAULTED CORPORATE BONDS 379363ak0 15 3,000,000 PRN SOLE 3,000,000 GLOBALSTAR LP /GLOBALSTAR CAP CORP SR NOTE 10.75% 11/01/2004 DEFAULTED CORPORATE BONDS 379363ap9 13 2,550,000 PRN SOLE 2,550,000 GOREMOTE INTERNET COMMUNICATIONS INCCOMMON STOCK 382859106 786 591,270 SH SOLE 591,270 GREAT LAKES CHEMICAL CORP COMMON STOCK 390568103 883 34,500 SH SOLE 34,500 GREAT PLAINS ENERGY INC COM COMMON STOCK 391164100 3373 115,700 SH SOLE 115,700 GULF ISLAND FABRICATION INC COMMON STOCK 402307102 1768 79,267 SH SOLE 79,267 HANOVER COMPRESSOR CO CONV ST NT CONVERTIBLE BONDS - LONG 410768ac9 380 400,000 PRN SOLE 400,000 HARBOR GLOBAL COMPANY LTD LIMITED PARTNERSHIP - LONG g4285w100 576 58,800 SH SOLE 58,800 HENRY SCHEIN INC COMMON STOCK 806407102 436 7,000 SH SOLE 7,000 HOLLYWOOD MEDIA CORP COMMON STOCK 436233100 258 76,000 SH SOLE 76,000 HOME DEPOT INC COMMON STOCK 437076102 470 12,000 SH SOLE 12,000 HUMAN GENOME SCIENCES INC SUB NOTE CONV CONVERTIBLE BONDS - LONG 444903ab4 418 500,000 PRN SOLE 500,000 HYPERION 2005 INVESTMENT GRADE OPPORTUNITY MUTUAL FUNDS - LONG 448918102 212 22,000 SH SOLE 22,000 IKON OFFICE SOLUTIONS CORPORATE BONDS 451713ab7 2506 2,500,000 PRN SOLE 2,500,000 INFOCUS CORP COM COMMON STOCK 45665B106 5278 576,168 SH SOLE 576,168 INGERSOLL RAND CO LTD CL A COMMON STOCK g4776g101 884 13,000 SH SOLE 13,000 INTEGRATED CIRCUIT SYS INC COMMON STOCK 45811k208 172 8,000 SH SOLE 8,000 INTEGRATED DEVICE TECH INC COMMON STOCK 458118106 667 70,000 SH SOLE 70,000 INTEL CORP COMMON STOCK 458140100 191 9,500 SH SOLE 9,500 INTERNAP NETWORK SVCS CORP COMMON STOCK 45885A102 274 408,850 SH SOLE 408,850 INTERNATIONAL RECTIFIER CORP SUB NT CONV CONVERTIBLE BONDS - LONG 460254AE5 11426 11,600,000 PRN SOLE 11,600,000 ISHARES TRUST 1-3 YR TREASURY INDEX FUND MUTUAL FUNDS - LONG 464287457 984 12,000 SH SOLE 12,000 IXYS CORP DEL COMMON STOCK 46600W106 950 132,285 SH SOLE 132,285 LAFAYETTE CMNTY BANCORP COMMON STOCK 506080100 120 7,500 SH SOLE 7,500 LIBERTY MEDIA CORP SER A NEW COMMON STOCK 530718105 438 50,200 SH SOLE 50,200 LIMITED BRANDS INC COMMON STOCK 532716107 323 14,500 SH SOLE 14,500 LONE STAR TECHNOLOGIES INC SR SUB NT SER-B CORPORATE BONDS 542312AB9 16510 15,430,000 PRN SOLE 15,430,000 MAGNETEK INC COMMON STOCK 559424106 165 22,100 SH SOLE 22,100 MASCO CORP COMMON STOCK 574599106 311 9,000 SH SOLE 9,000 MAVERICK TUBE CORP COM COMMON STOCK 577914104 6482 210,400 SH SOLE 210,400 MB FINANCIAL INC NEW COMMON STOCK 55264u108 851 21,460 SH SOLE 21,460 MCI INC CORPORATE BONDS 552691AA5 4956 5,000,000 PRN SOLE 5,000,000 MERCK & CO INC COMMON STOCK 589331107 264 8,000 SH SOLE 8,000 MERCURY INTERACTIVE CORP SUB NT CONV CONVERTIBLE BONDS - LONG 589405AB5 5703 5,790,000 PRN SOLE 5,790,000 MFS GOVERNMENT MARKETS INCOME TRUST-SBI MUTUAL FUNDS - LONG 552939100 67 10,000 SH SOLE 10,000 MICROCHIP TECHNOLOGY INC COMMON STOCK 595017104 295 11,000 SH SOLE 11,000 MICROSOFT CORP COMMON STOCK 594918104 277 10,000 SH SOLE 10,000 MISSION RESOURCES CORP SR NOTE CORPORATE BONDS 605109AE7 3210 3,000,000 PRN SOLE 3,000,000 MONROE BANCORP-IND COMMON STOCK 610313108 687 40,400 SH SOLE 40,400 MORGAN STANLEY GOVT INCOME TR MUTUAL FUNDS - LONG 61745P106 219 24,400 SH SOLE 24,400 NATIONAL SEMICONDUCTOR CORP COMMON STOCK 637640103 387 25,000 SH SOLE 25,000 NATIONAL-OILWELL INC COMMON STOCK 637071101 2793 85,000 SH SOLE 85,000 NATURAL MICROSYSTEMS CORP CONV SUB NOTES CONVERTIBLE BONDS - LONG 638882aa8 994 1,000,000 PRN SOLE 1,000,000 NEW YORK TIMES CO-CL A COMMON STOCK 650111107 743 19,000 SH SOLE 19,000 NOKIA CORP-SPONSORED ADR REPSTG 1 SER A FM AMERICAN DEPOSITORY RECEIPT 654902204 1674 122,000 SH SOLE 122,000 NORFOLK SOUTHERN CORP COMMON STOCK 655844108 387 13,000 SH SOLE 13,000 OAK INDUSTRIES INC SUB CONV NTS CONVERTIBLE BONDS - LONG 671400AL3 1392 1,353,000 PRN SOLE 1,353,000 OBJECT FX PREFERRED STOCK 0 50,000 SH SOLE 50,000 OFFICE DEPOT INC COMMON STOCK 676220106 150 10,000 SH SOLE 10,000 PANAMSAT CORP NEW NOTES CORPORATE BONDS 697933al3 1015 1,000,000 PRN SOLE 1,000,000 PARKER HANNIFIN CORP COMMON STOCK 701094104 594 10,100 SH SOLE 10,100 PC-TEL INC COM COMMON STOCK 69325Q105 878 106,300 SH SOLE 106,300 PERKINELMER INC COMMON STOCK 714046109 222 12,900 SH SOLE 12,900 PFIZER INC COMMON STOCK 717081103 459 15,000 SH SOLE 15,000 Progress Energy-CONT. VALUE OBLIG. COMMON STOCK 743263aa3 115 337,000 SH SOLE 337,000 PUT ALLIED CAP FEB 020 **** PUTS - LONG 01903q9n0 9 230 PUT SOLE 230 PUT APPLIED MAT JAN 025 **** PUTS - LONG 0382229m9 425 500 PUT SOLE 500
VOTING SHARES/ AUTHORITY VALUE PRN SH/ PUT/ INVSTMT OTHER ------------- NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) AMT PRN CALL DSCRETN MANAGERS SOLE SHARED - -------------- -------------- ----- -------- ------- --- ---- ------- -------- ---- ------ PUT BANK OF NY OCT 030 **** PUTS - LONG 0640579v6 11 100 PUT SOLE 100 PUT CENTEX CORP OCT57.50CBOE ADJ 2 FOR 1 PUTS - LONG 1523129v8 436 650 PUT SOLE 650 PUT COLONIAL BAN DEC 020 **** PUTS - LONG 1954939x1 25 450 PUT SOLE 450 PUT COLONIAL BAN MAR 020 **** PUTS - LONG 1954939o1 33 350 PUT SOLE 350 PUT COLONIAL BAN MAR22.50**** PUTS - LONG 1954939o1 240 980 PUT SOLE 980 PUT CORNING INC JAN 015 **** PUTS - LONG 2193509m9 390 1,000 PUT SOLE 1,000 PUT COUNTRYWIDE JA63.375**** ADJ 3 FOR 2 PUTS - LONG 2k499w9m5 30 400 PUT SOLE 400 PUT DANAHER CORP JAN42.50**** PUTS - LONG 2358519m6 20 400 PUT SOLE 400 PUT DANAHER CORP JAN47.50**** PUTS - LONG 2358519m6 38 300 PUT SOLE 300 PUT HARMAN INTL APR 095 AMEX PUTS - LONG 4130869p6wi 39 100 PUT SOLE 100 PUT HARMAN INTL JAN 095 AMEX PUTS - LONG 4130869m3wi 28 130 PUT SOLE 130 PUT JUNIPER NTWK JAN 020 **** PUTS - LONG 51199w9m7 88 800 PUT SOLE 800 PUT JUNIPER NTWK JAN 025 **** PUTS - LONG 51199w9m7 368 1,150 PUT SOLE 1,150 PUT LONE STAR TE NOV 015 **** PUTS - LONG 5423129w5 3 100 PUT SOLE 100 PUT MAF BANCORP FEB 045 AMEX PUTS - LONG 55261r9n0 55 200 PUT SOLE 200 PUT MAF BANCORP NOV 045 AMEX PUTS - LONG 55261r9w0 39 200 PUT SOLE 200 PUT MBIA INC NOV 060 **** PUTS - LONG 55262c9w2wi 60 200 PUT SOLE 200 PUT NATL SEMICON JAN 025 **** PUTS - LONG 6376409m7 423 450 PUT SOLE 450 PUT POLARIS INDS DEC 045 AMEX PUTS - LONG 7310689x2 12 770 PUT SOLE 770 PUT POLARIS INDS DEC 050 AMEX PUTS - LONG 7310689x2wi 29 340 PUT SOLE 340 PUT POLARIS INDS MAR 050 AMEX PUTS - LONG 7310689o2wi 33 200 PUT SOLE 200 PUT POLARIS INDS MAR 055 AMEX PUTS - LONG 7310689o2wi 119 350 PUT SOLE 350 PUT S&P 500 INDX JUN 1150CBOE PUTS - LONG 12486t9r7wi 1067 150 PUT SOLE 150 PUT SCIENTIFIC A JAN 030 **** LONG TERM O PUTS - LONG 80865p9m4 26 50 PUT SOLE 50 PUT STERICYCLE FEB 055 **** PUTS - LONG 8589129n0wi 135 150 PUT SOLE 150 PUT TIFFANY & CO JAN 045 **** PUTS - LONG 8865479m2 190 135 PUT SOLE 135 PUT WACHOVIA CRP JAN 045 **** PUTS - LONG 9299039m6 157 1,571 PUT SOLE 1,571 PUT WACHOVIA CRP JAN 050 **** PUTS - LONG 9299039m6wi 375 1,014 PUT SOLE 1,014 QUIET TIGER INC COMMON STOCK 74839r102 8 84,894 SH SOLE 84,894 REGIONAL BK HOLDRS TR DEPOSITARY RCPT COMMON STOCK 75902e100 1337 10,000 SH SOLE 10,000 RIO TINTO PLC SPONSORED ADR AMERICAN DEPOSITORY RECEIPT 767204100 3140 28,900 SH SOLE 28,900 S&P 500 PROTECTED EQUITY FD INC MUTUAL FUNDS - LONG 78379P103 1898 207,843 SH SOLE 207,843 SCUDDER INTER GOVT TR SHS MUTUAL FUNDS - LONG 811163104 9298 1,394,071 SH SOLE 1,394,071 SEABULK INTERNATIONAL INC SENIOR NOTE CORPORATE BONDS 81169PAD3 5213 5,000,000 PRN SOLE 5,000,000 SEABULK INTL INC COM COMMON STOCK 81169P101 8213 793,563 SH SOLE 793,563 SELECT SECTOR SPDR AMEX UTILITIES SELECT I COMMON STOCK 81369y886 426 17,000 SH SOLE 17,000 SELECTICA INC DEL COMMON STOCK 816288104 643 169,700 SH SOLE 169,700 SIMPLETECH INC COMMON STOCK 828823104 253 69,112 SH SOLE 69,112 SMITHFIELD FOODS INC COMMON STOCK 832248108 500 20,000 SH SOLE 20,000 SONICWALL INC COMMON STOCK 835470105 318 47,000 SH SOLE 47,000 SOUTHWEST GAS CORP COM COMMON STOCK 844895102 4531 189,200 SH SOLE 189,200 SPINNAKER EXPL CO COMMON STOCK 84855w109 473 13,500 SH SOLE 13,500 ST JOSEPH CAPITAL CORP COMMON STOCK 790595102 461 19,400 SH SOLE 19,400 STANDARD & POORS DEPOSITARY RECEIPTS (SPDR COMMON STOCK 78462f103 883 7,900 SH SOLE 7,900 STEWART W.P. & CO LTD COMMON STOCK g84922106 580 29,000 SH SOLE 29,000 STMICROELECTRONICS N V NY REGISTRY SHS COMMON STOCK 861012102 311 18,000 SH SOLE 18,000 SUN MICROSYSTEMS INC COM COMMON STOCK 866810104 360 89,000 SH SOLE 89,000 SUN MICROSYSTEMS INC SR NOTE CORPORATE BONDS 866810ae4 181 170,000 PRN SOLE 170,000 SUNNCOMM INTERNATIONAL INC COMMON STOCK 86744m101 95 1,516,000 SH SOLE 1,516,000 SYMANTEC CORP COMMON STOCK 871503108 274 5,000 SH SOLE 5,000 SYPRIS SOLUTIONS INC COMMON STOCK 871655106 1204 88,209 SH SOLE 88,209 TEXAS INSTRUMENTS INC COMMON STOCK 882508104 192 9,000 SH SOLE 9,000 THREE-FIVE SYS INC COMMON STOCK 88554L108 1561 569,600 SH SOLE 569,600 TIBCO SOFTWARE INC COMMON STOCK 88632q103 255 30,000 SH SOLE 30,000 TIME WARNER INC NEW COMMON STOCK 887317105 452 28,000 SH SOLE 28,000 TIVO INC COMMON STOCK 888706108 1206 182,246 SH SOLE 182,246 TRIBUNE CO NEW COMMON STOCK 896047107 844 20,500 SH SOLE 20,500 TRIMBLE NAV LTD COMMON STOCK 896239100 5298 167,650 SH SOLE 167,650 TRIQUINT SEMICONDUCTOR INC CONV SUB NOTE REGD CONVERTIBLE BONDS - LONG 89674kab9 1862 1,935,000 PRN SOLE 1,935,000 TRUST CORPORATION COMMON STOCK 115 5,000 SH SOLE 5,000 TTM TECHNOLOGIES INC COMMON STOCK 87305r109 827 93,000 SH SOLE 93,000 TUMBLEWEED COMMUNICATIONS CORP COMMON STOCK 899690101 245 97,000 SH SOLE 97,000 TYSON FOODS INC CL A COMMON STOCK 902494103 1602 100,000 SH SOLE 100,000 TYSON FOODS INC MEDIUM TERM NOTE CORPORATE BONDS 90247GAD0 3096 3,000,000 PRN SOLE 3,000,000 ULTRA CLEAN HOLDINGS INC COMMON STOCK 90385v107 899 210,071 SH SOLE 210,071 UNITED STATES TREASURY NOTE GOVERNMENT BONDS - LONG 912828BJ8 23964 24,000,000 PRN SOLE 24,000,000 UNITED STATES TREASURY NOTE 4.75% 05-15-2014 GOVERNMENT BONDS - LONG 912828cj7 41778 39,800,000 PRN SOLE 39,800,000 VESTA INSURANCE GROUP INC COMMON STOCK 925391104 393 87,500 SH SOLE 87,500 VIACOM INC-CL A COMMON STOCK 925524100 1278 37,600 SH SOLE 37,600 WATCHGUARD TECHNOLOGIES INC COMMON STOCK 941105108 303 64,700 SH SOLE 64,700 WESTAIM CORP COM COMMON STOCK 956909105 71 28,800 SH SOLE 28,800 WYETH COM COMMON STOCK 983024100 393 10,500 SH SOLE 10,500
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