0001193125-13-058985.txt : 20130214
0001193125-13-058985.hdr.sgml : 20130214
20130214125825
ACCESSION NUMBER: 0001193125-13-058985
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20121231
FILED AS OF DATE: 20130214
DATE AS OF CHANGE: 20130214
EFFECTIVENESS DATE: 20130214
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CLOUGH CAPITAL PARTNERS L P
CENTRAL INDEX KEY: 0001276144
IRS NUMBER: 043486480
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-10679
FILM NUMBER: 13609865
BUSINESS ADDRESS:
STREET 1: ONE POST OFFICE SQUARE
STREET 2: 40TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
BUSINESS PHONE: 6172043400
MAIL ADDRESS:
STREET 1: ONE POST OFFICE SQUARE
STREET 2: 40TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02109
13F-HR
1
d484995d13fhr.txt
FORM 13F-HR
================================================================================
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F Cover Page
Report for the Calendar Year or Quarter End: December 31, 2012
If amended report check here: [_]
This Amendment (check only one): [_] is a restatement
[_] adds new holding entries
Clough Capital Partners, L.P.
Name of Institutional Investment Manager
One Post Office Square, 40th Floor Boston MA 02109
---------------------------------- ---------- ---------- ----------- -----------
Business Address (Street) (City) (State) (Zip)
13F File Number: 028-10679
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 herein is true, correct and complete, and
that it is understood that all required items, statements, schedules, and
tables, are considered integral parts of this form.
Name, Title and Telephone Number of Person Submitting Report:
John Ritacco Chief Financial Officer 617.204.3433
---------------- ------------------------------- ----------------------
(Name) (Title) (Phone)
Signature, Place and Date of Signing:
/s/ John Ritacco
---------------------------------
One Post Office Square
Boston, MA 02109
2/14/2013
Report Type:
[X] 13F HOLDINGS REPORT.
[_] 13F NOTICE.
[_] 13F COMBINATION REPORT.
FORM 13F SUMMARY PAGE
Number of Other Included Managers: 3
List of Other Included Managers:
No. Form 13F File Number: Name:
--- --------------------- -----
1. 028-12502 Charles I. Clough, Jr.
2. 028-12503 James E. Canty
3. 028-12501 Eric A. Brock
Form 13F Information Table Entry Total: 181
Form 13F Information Table Value Total (in thousands): $3,129,628
================================================================================
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
INFORMATION TABLE
Clough Capital Partners, L.P.
FORM 13F INFORMATION TABLE
AS OF DATE: 12/31/2012
ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8
---------------------------- ---------------- --------- ---------- --------------------- ------- --------- ----------------------
TITLE OF VALUE SHARES/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT SH/PRN CALL DSCRETN MANAGERS* SOLE SHARED NONE
---------------------------- ---------------- --------- ---------- --------- ------ ---- ------- --------- --------- ------ -----
51JOB INC SP ADR REP COM 316827104 295 6,300 SH DEFINED 1,2,3 6,300
ACME PACKET INC COM 004764106 3,732 168,700 SH DEFINED 1,2,3 168,700
AETNA INC NEW COM 00817Y108 19,951 430,863 SH DEFINED 1,2,3 430,863
AIRMEDIA GROUP INC SPONSORED ADR 009411109 2,344 1,220,700 SH DEFINED 1,2,3 1,220,700
AKORN INC COM 009728106 3,373 252,500 SH DEFINED 1,2,3 252,500
ALLERGAN INC COM 018490102 19,034 207,500 SH DEFINED 1,2,3 207,500
ALLISON TRANSMISSION HLDGS I COM 01973R101 24,666 1,207,912 SH DEFINED 1,2,3 1,207,912
ALPHA NATURAL RESOURCES INC COM 02076X102 308 31,577 SH DEFINED 1,2,3 31,577
ALTERA CORP COM 021441100 5,561 161,700 SH DEFINED 1,2,3 161,700
AMARIN CORP PLC SPONS ADR NEW 023111206 4,585 566,700 SH DEFINED 1,2,3 566,700
AMEREN CORP COM 023608102 11,841 385,458 SH DEFINED 1,2,3 385,458
AMERICAN CAP MTG INVT CORP COM 02504A104 3,267 138,600 SH DEFINED 1,2,3 138,600
AMERICAN INTL GROUP INC COM NEW 026874784 68,397 1,937,600 SH DEFINED 1,2,3 1,937,600
AMERIPRISE FINL INC COM 03076C106 3,420 54,600 SH DEFINED 1,2,3 54,600
ANADARKO PETE CORP COM 032511107 10,219 137,525 SH DEFINED 1,2,3 137,525
ANHEUSER BUSCH INBEV SA/NV SPONSORED ADR 03524A108 9,297 106,362 SH DEFINED 1,2,3 106,362
ARCOS DORADOS HOLDINGS INC SHS CLASS -A - G0457F107 4,895 409,300 SH DEFINED 1,2,3 409,300
ARES CAP CORP COM 04010L103 37,563 2,146,478 SH DEFINED 1,2,3 2,146,478
ARIAD PHARMACEUTICALS INC COM 04033A100 5,085 265,100 SH DEFINED 1,2,3 265,100
ASCENA RETAIL GROUP INC COM 04351G101 8,383 453,600 SH DEFINED 1,2,3 453,600
BANK OF AMERICA CORPORATION COM 060505104 98,411 8,480,370 SH DEFINED 1,2,3 8,480,370
BLOCK H & R INC COM 093671105 56,623 3,049,181 SH DEFINED 1,2,3 3,049,181
BONA FILM GROUP LTD SPONSORED ADS 09777B107 133 27,000 SH DEFINED 1,2,3 27,000
BORGWARNER INC COM 099724106 20,476 285,900 SH DEFINED 1,2,3 285,900
BP PLC SPONSORED ADR 055622104 970 23,300 SH DEFINED 1,2,3 23,300
BROADCOM CORP CL A 111320107 6,048 182,100 SH DEFINED 1,2,3 182,100
CABOT OIL & GAS CORP COM 127097103 6,705 134,800 SH DEFINED 1,2,3 134,800
CALPINE CORP COM NEW 131347304 6,478 357,333 SH DEFINED 1,2,3 357,333
CAMERON INTERNATIONAL CORP COM 13342B105 11,128 197,100 CALL DEFINED 1,2,3 197,100
CAMERON INTERNATIONAL CORP COM 13342B105 25,275 447,659 SH DEFINED 1,2,3 447,659
CATAMARAN CORP COM 148887102 8,229 174,700 SH DEFINED 1,2,3 174,700
CENOVUS ENERGY INC COM 15135U109 614 18,300 SH DEFINED 1,2,3 18,300
CHART INDS INC COM PAR $0.01 16115Q308 8,909 133,600 SH DEFINED 1,2,3 133,600
CHARTER COMMUNICATIONS INC D CL A NEW 16117M305 4,848 63,593 SH DEFINED 1,2,3 63,593
CHECK POINT SOFTWARE TECH LT ORD M22465104 4,226 88,708 SH DEFINED 1,2,3 88,708
CHEVRON CORP NEW COM 166764100 454 4,200 SH DEFINED 1,2,3 4,200
CINEMARK HOLDINGS INC COM 17243V102 12,514 481,684 SH DEFINED 1,2,3 481,684
CITIGROUP INC COM NEW 172967424 70,024 1,770,063 SH DEFINED 1,2,3 1,770,063
CLEAN ENERGY FUELS CORP COM 184499101 291 23,400 SH DEFINED 1,2,3 23,400
CMS ENERGY CORP COM 125896100 8,148 334,200 SH DEFINED 1,2,3 334,200
CNOOC LTD SPONSORED ADR 126132109 274 1,244 SH DEFINED 1,2,3 1,244
COMMUNITY HEALTH SYS INC NEW COM 203668108 34,146 1,110,800 SH DEFINED 1,2,3 1,110,800
COMPANHIA DE BEBIDAS DAS AME SPON ADR PFD 20441W203 9,863 234,900 SH DEFINED 1,2,3 234,900
CONSOL ENERGY INC COM 20854P109 390 12,145 SH DEFINED 1,2,3 12,145
COVANTA HLDG CORP COM 22282E102 9,457 513,400 SH DEFINED 1,2,3 513,400
CYPRESS SEMICONDUCTOR CORP COM 232806109 4,611 425,411 SH DEFINED 1,2,3 425,411
DEERE & CO COM 244199105 709 8,200 SH DEFINED 1,2,3 8,200
DELTA AIR LINES INC DEL COM NEW 247361702 25,078 2,112,717 SH DEFINED 1,2,3 2,112,717
DENBURY RES INC COM NEW 247916208 405 25,000 SH DEFINED 1,2,3 25,000
DIAMOND OFFSHORE DRILLING IN COM 25271C102 510 7,500 SH DEFINED 1,2,3 7,500
DRESSER-RAND GROUP INC COM 261608103 10,626 189,272 SH DEFINED 1,2,3 189,272
DYNEX CAP INC COM NEW 26817Q506 3,267 346,059 SH DEFINED 1,2,3 346,059
E M C CORP MASS COM 268648102 28,242 1,116,298 SH DEFINED 1,2,4 1,116,298
EBAY INC COM 278642103 9,911 194,300 SH DEFINED 1,2,3 194,300
EDWARDS GROUP LTD SPONSORED ADR 281736108 3,631 597,281 SH DEFINED 1,2,3 597,281
ENSCO PLC SHS CLASS A G3157S106 11,684 197,100 CALL DEFINED 1,2,3 197,100
EOG RES INC COM 26875P101 4,347 35,988 SH DEFINED 1,2,3 35,988
EQT CORP COM 26884L109 18,119 307,200 SH DEFINED 1,2,3 307,200
EQUINIX INC COM NEW 29444U502 16,830 81,622 SH DEFINED 1,2,3 81,622
EXACTTARGET INC COM 30064K105 4,446 222,299 SH DEFINED 1,2,3 222,299
EXCO RESOURCES INC COM 269279402 9,368 1,383,800 SH DEFINED 1,2,3 1,383,800
EXELON CORP COM 30161N101 17,392 584,800 SH DEFINED 1,2,3 584,800
EXXON MOBIL CORP COM 30231G102 3,453 39,900 SH DEFINED 1,2,3 39,900
FACEBOOK INC CL A 30303M102 5,593 210,100 SH DEFINED 1,2,3 210,100
FAIRCHILD SEMICONDUCTOR INTL COM 303726103 4,781 332,000 SH DEFINED 1,2,3 332,000
FIRSTENERGY CORP COM 337932107 7,881 188,725 SH DEFINED 1,2,3 188,725
FLEETCOR TECHNOLOGIES INC COM 339041105 10,792 201,148 SH DEFINED 1,2,3 201,148
FORD MTR CO DEL COM PAR $0.01 345370860 42,855 3,309,301 SH DEFINED 1,2,3 3,309,301
FOREST LABS INC COM 345838106 18,419 521,500 SH DEFINED 1,2,3 521,500
FORTINET INC COM 34959E109 2,218 105,500 SH DEFINED 1,2,3 105,500
FOSTER WHEELER AG COM H27178104 4,689 192,800 SH DEFINED 1,2,3 192,800
FRANKLIN RES INC COM 354613101 3,369 26,800 SH DEFINED 1,2,3 26,800
GLOBAL X FDS CHINA CONS ETF 37950E408 1,822 122,500 SH DEFINED 1,2,3 122,500
GOLAR LNG LTD BERMUDA SHS G9456A100 50,299 1,367,864 SH DEFINED 1,2,3 1,367,864
GOLAR LNG PARTNERS LP COM UNIT LPI Y2745C102 6,217 208,278 SH DEFINED 1,2,3 208,278
GOLUB CAP BDC INC COM 38173M102 9,436 590,518 SH DEFINED 1,2,3 590,518
GOODYEAR TIRE & RUBR CO PFD CONV 382550309 9,264 196,500 SH DEFINED 1,2,3 196,500
GOOGLE INC CL A 38259P508 42,443 60,000 CALL DEFINED 1,2,3 60,000
GOOGLE INC CL A 38259P508 94,842 133,865 SH DEFINED 1,2,3 133,865
GRACE W R & CO DEL NEW COM 38388F108 25,836 384,300 SH DEFINED 1,2,3 384,300
GRAPHIC PACKAGING HLDG CO COM 388689101 12,205 1,829,245 SH DEFINED 1,2,3 1,829,245
GREEN MTN COFFEE ROASTERS IN COM 393122106 21,840 528,200 SH DEFINED 1,2,3 528,200
GRUPO FINANCIERO SANTANDER M SPON ADR SHS B 40053C105 6,500 401,700 SH DEFINED 1,2,3 401,700
GULFPORT ENERGY CORP COM NEW 402635304 20,448 535,000 SH DEFINED 1,2,3 535,000
HALLIBURTON CO COM 406216101 371 10,700 SH DEFINED 1,2,3 10,700
HCA HOLDINGS INC COM 40412C101 28,741 952,622 SH DEFINED 1,2,3 952,622
HEALTH MGMT ASSOC INC NEW CL A 421933102 34,561 3,708,310 SH DEFINED 1,2,3 3,708,310
HELMERICH & PAYNE INC COM 423452101 580 10,351 SH DEFINED 1,2,3 10,351
HERCULES OFFSHORE INC COM 427093109 2,384 386,301 SH DEFINED 1,2,3 386,301
HESS CORP COM 42809H107 646 12,200 SH DEFINED 1,2,3 12,200
IMAX CORP COM 45245E109 8,996 400,200 SH DEFINED 1,2,3 400,200
IMPERVA INC COM 45321L100 2,472 78,400 SH DEFINED 1,2,3 78,400
INTEROIL CORP COM 460951106 17,744 319,546 SH DEFINED 1,2,2 319,546
ISHARES TR CORE S&P500 ETF 464287200 696,409 488,300 PUT DEFINED 1,2,3 488,300
JAZZ PHARMACEUTICALS PLC SHS USD G50871105 13,888 260,900 SH DEFINED 1,2,3 260,900
JIVE SOFTWARE INC COM 47760A108 8,361 575,400 SH DEFINED 1,2,3 575,400
KODIAK OIL & GAS CORP COM 50015Q100 9,901 1,118,739 SH DEFINED 1,2,3 1,118,739
LAMAR ADVERTISING CO CL A 512815101 14,436 372,533 SH DEFINED 1,2,3 372,533
LIBERTY GLOBAL INC COM SER A 530555101 26,235 416,600 SH DEFINED 1,2,3 416,600
LIBERTY INTERACTIVE CORP LBT VENT COM A 53071M880 34,339 506,774 SH DEFINED 1,2,3 506,774
LIBERTY INTERACTIVE CORP INT COM SER A 53071M104 36,174 1,838,086 SH DEFINED 1,2,3 1,838,086
LIBERTY MEDIA CORPORATION LIB CAP COM A 530322106 30,486 262,787 SH DEFINED 1,2,3 262,787
LIFEPOINT HOSPITALS INC COM 53219L109 18,892 500,446 SH DEFINED 1,2,3 500,446
MARKET VECTORS ETF TR JR GOLD MINERS E 57060U589 210 10,600 SH DEFINED 1,2,3 10,600
MARKET VECTORS ETF TR GOLD MINER ETF 57060U100 3,897 84,000 SH DEFINED 1,2,3 84,000
MARKET VECTORS ETF TR OIL SVCS ETF 57060U191 27,721 717,600 CALL DEFINED 1,2,3 717,600
MARTIN MARIETTA MATLS INC COM 573284106 22,241 235,900 SH DEFINED 1,2,3 235,900
MASTERCARD INC CL A 57636Q104 17,145 34,899 SH DEFINED 1,2,3 34,899
MAXIM INTEGRATED PRODS INC COM 57772K101 4,457 151,600 SH DEFINED 1,2,3 151,600
MEDLEY CAP CORP COM 58503F106 9,554 656,184 SH DEFINED 1,2,3 656,184
MICHAEL KORS HLDGS LTD SHS G60754101 9,160 179,500 SH DEFINED 1,2,3 179,500
MICROCHIP TECHNOLOGY INC COM 595017104 5,482 168,200 SH DEFINED 1,2,3 168,200
MICRON TECHNOLOGY INC COM 595112103 212 33,500 PUT DEFINED 1,2,3 33,500
MICRON TECHNOLOGY INC COM 595112103 40,925 6,451,006 SH DEFINED 1,2,3 6,451,006
MICROSOFT CORP COM 594918104 10,094 377,900 CALL DEFINED 1,2,3 377,900
MOLSON COORS BREWING CO CL B 60871R209 17,096 399,541 SH DEFINED 1,2,3 399,541
MORGAN STANLEY CHINA A SH FD COM 617468103 9,994 415,570 SH DEFINED 1,2,3 415,570
MOTOROLA SOLUTIONS INC COM NEW 620076307 19,604 352,081 SH DEFINED 1,2,3 352,081
NATIONAL CINEMEDIA INC COM 635309107 5,131 363,100 SH DEFINED 1,2,3 363,100
NATIONAL FUEL GAS CO N J COM 636180101 13,463 265,600 SH DEFINED 1,2,3 265,600
NATIONAL GRID PLC SPON ADR NEW 636274300 25,115 437,245 SH DEFINED 1,2,3 437,245
NATIONAL OILWELL VARCO INC COM 637071101 25,968 379,926 SH DEFINED 1,2,3 379,926
NETAPP INC COM 64110D104 11,595 345,600 SH DEFINED 1,2,3 345,600
NEWS CORP CL A 65248E104 13,970 547,411 SH DEFINED 1,2,3 547,411
NISOURCE INC COM 65473P105 6,783 272,513 SH DEFINED 1,2,3 272,513
NOAH HLDGS LTD SPONSORED ADS 65487X102 173 29,600 SH DEFINED 1,2,3 29,600
NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 6,863 197,100 CALL DEFINED 1,2,3 197,100
NOBLE CORPORATION BAAR NAMEN -AKT H5833N103 12,556 360,600 SH DEFINED 1,2,3 360,600
NOBLE ENERGY INC COM 655044105 11,171 109,800 SH DEFINED 1,2,3 109,800
NXSTAGE MEDICAL INC COM 67072V103 6,424 571,000 SH DEFINED 1,2,3 571,000
OCCIDENTAL PETE CORP DEL COM 674599105 699 9,126 SH DEFINED 1,2,3 9,126
OGE ENERGY CORP COM 670837103 19,239 341,655 SH DEFINED 1,2,3 341,655
OIL STS INTL INC COM 678026105 11,070 154,736 SH DEFINED 1,2,3 154,736
ORIENT-EXPRESS HOTELS LTD CL A G67743107 20,923 1,789,798 SH DEFINED 1,2,3 1,789,798
OWENS CORNING NEW COM 690742101 27,576 745,500 SH DEFINED 1,2,3 745,500
PEABODY ENERGY CORP COM 704549104 375 14,085 SH DEFINED 1,2,3 14,085
PENNANTPARK INVT CORP COM 708062104 17,517 1,593,171 SH DEFINED 1,2,3 1,593,171
PETROCHINA CO LTD SPONSORED ADR 71646E100 518 3,600 SH DEFINED 1,2,3 3,600
PIONEER NAT RES CO COM 723787107 3,982 37,359 SH DEFINED 1,2,3 37,359
POWERSHS DB US DOLLAR INDEX DOLL INDX BULL 73936D107 1,496 68,600 SH DEFINED 1,2,3 68,600
PRICE T ROWE GROUP INC COM 74144T108 3,158 48,500 SH DEFINED 1,2,3 48,500
PROOFPOINT INC COM 743424103 3,018 245,204 SH DEFINED 1,2,3 245,204
QUALCOMM INC COM 747525103 9,718 156,914 SH DEFINED 1,2,3 156,914
RANGE RES CORP COM 75281A109 21,482 341,900 SH DEFINED 1,2,3 341,900
ROYAL DUTCH SHELL PLC SPONS ADR A 780259206 648 9,400 SH DEFINED 1,2,3 9,400
SALLY BEAUTY HLDGS INC COM 79546E104 15,462 656,000 SH DEFINED 1,2,3 656,000
SANOFI SPONSORED ADR 80105N105 6,821 143,969 SH DEFINED 1,2,3 143,969
SCHLUMBERGER LTD COM 806857108 7,810 112,703 SH DEFINED 1,2,3 112,703
SEADRILL LIMITED SHS G7945E105 6,545 177,864 SH DEFINED 1,2,3 177,864
SELECT INCOME REIT COM SH BEN INT 81618T100 3,096 125,000 SH DEFINED 1,2,3 125,000
SENSATA TECHNOLOGIES HLDG BV SHS N7902X106 21,828 672,051 SH DEFINED 1,2,3 672,051
SIGNET JEWELERS LIMITED SHS G81276100 8,928 167,200 SH DEFINED 1,2,3 167,200
SOLAR CAP LTD COM 83413U100 36,360 1,520,706 SH DEFINED 1,2,3 1,520,706
SOLAR SR CAP LTD COM 83416M105 6,066 325,093 SH DEFINED 1,2,3 325,093
SOUTHWESTERN ENERGY CO COM 845467109 31,658 947,546 SH DEFINED 1,2,3 947,546
SPDR GOLD TRUST GOLD SHS 78463V107 18,761 115,800 SH DEFINED 1,2,3 115,800
SPREADTRUM COMMUNICATIONS IN ADR 849415203 234 13,300 SH DEFINED 1,2,3 13,300
STRATEGIC HOTELS & RESORTS I COM 86272T106 3,393 530,200 SH DEFINED 1,2,3 530,200
SUNCOR ENERGY INC NEW COM 867224107 425 12,900 SH DEFINED 1,2,3 12,900
TEAM HEALTH HOLDINGS INC COM 87817A107 3,941 137,000 SH DEFINED 1,2,3 137,000
TEMPUR PEDIC INTL INC COM 88023U101 6,663 211,600 SH DEFINED 1,2,3 211,600
THL CR INC COM 872438106 4,835 326,938 SH DEFINED 1,2,3 326,938
TIDEWATER INC COM 886423102 360 8,050 SH DEFINED 1,2,3 8,050
TIME WARNER INC COM NEW 887317303 12,274 256,607 SH DEFINED 1,2,3 256,607
TOTAL S A SPONSORED ADR 89151E109 13,959 268,400 SH DEFINED 1,2,3 268,400
TRANSDIGM GROUP INC COM 893641100 40,209 294,872 SH DEFINED 1,2,3 294,872
TRANSOCEAN LTD REG SHS H8817H100 8,802 197,100 CALL DEFINED 1,2,3 197,100
U S AIRWAYS GROUP INC COM 90341W108 20,150 1,492,596 SH DEFINED 1,2,3 1,492,596
UNITED CONTL HLDGS INC COM 910047109 22,962 982,102 SH DEFINED 1,2,3 982,102
VIACOM INC NEW CL B 92553P201 27,273 517,120 SH DEFINED 1,2,3 517,120
VIASAT INC COM 92552V100 17,316 445,152 SH DEFINED 1,2,3 445,152
VISA INC COM CL A 92826C839 5,864 38,686 SH DEFINED 1,2,3 38,686
VMWARE INC CL A COM 928563402 4,549 48,323 SH DEFINED 1,2,3 48,323
WABCO HLDGS INC COM 92927K102 23,631 362,493 SH DEFINED 1,2,3 362,493
WEATHERFORD INTERNATIONAL LT REG SHS H27013103 8,685 776,100 SH DEFINED 1,2,3 776,100
WELLPOINT INC COM 94973V107 10,087 165,573 SH DEFINED 1,2,3 165,573
WELLS FARGO & CO NEW COM 949746101 4,245 124,200 CALL DEFINED 1,2,3 124,200
WELLS FARGO & CO NEW COM 949746101 30,742 899,408 SH DEFINED 1,2,3 899,408
WESTAR ENERGY INC COM 95709T100 627 21,900 SH DEFINED 1,2,3 21,900
WHITEWAVE FOODS CO COM CL A 966244105 155 10,000 SH DEFINED 1,2,3 10,000
ZHONGPIN INC COM 98952K107 5,646 439,700 SH DEFINED 1,2,3 439,700