0000947871-11-000521.txt : 20110523 0000947871-11-000521.hdr.sgml : 20110523 20110523113650 ACCESSION NUMBER: 0000947871-11-000521 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110523 DATE AS OF CHANGE: 20110523 EFFECTIVENESS DATE: 20110523 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Trellus Management Company, LLC CENTRAL INDEX KEY: 0001307877 IRS NUMBER: 133807183 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10974 FILM NUMBER: 11863952 BUSINESS ADDRESS: STREET 1: 350 MADISON AVENUE - 9TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-389-8799 MAIL ADDRESS: STREET 1: 350 MADISON AVENUE - 9TH FL CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 ss119572_13fhr.txt FORM 13F HOLDINGS REPORT 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: ______ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Trellus Management Company, LLC ----------------------------------- Address: 350 Madison Avenue, 9th Fl. ----------------------------------- New York, NY 10017 ----------------------------------- Form 13F File Number: 028-10974 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: Anthony G. Miller ---------------------------------- Title: Chief Financial Officer ---------------------------------- Phone: 212-389-8799 ---------------------------------- Signature, Place, and Date of Signing: /s/ Anthony G. Miller New York, NY May 20, 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 Included Managers: 0 ----------------- Form 13F Information Table Entry Total: 187 ----------------- Form 13F Information Table Value Total: 422299 ----------------- (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. NONE FORM 13F INFORMATION TABLE 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 ------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ ----- US ETF'S - AB SK EK AGR TTL US TR 870297603 542 47822 SH SOLE 47822 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ACACIA RESEARCH CORP COM STK COMMON STOCK 003881307 15684 456600 SH SOLE 456600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ACCURIDE CORP NEW COM STK COMMON STOCK 00439T206 833 60000 SH SOLE 60000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ACORDA THERAPEUTICS INC COM ST COMMON STOCK 00484M106 3379 145650 SH SOLE 145650 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ADVANCED MICRO DEVIC ES INC CO COMMON STOCK 007903107 4300 500000 SH SOLE 500000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ AERCAP HOLDINGS COM STK COMMON STOCK N00985106 482 38343 SH SOLE 38343 0 0 ------------------------------------------------------------------------------------------------------------------------------------ AIRMEDIA GROUP INC ADR ADRS STOCKS 009411109 214 41031 SH SOLE 41031 0 0 ------------------------------------------------------------------------------------------------------------------------------------ AKORN INC COM STK COMMON STOCK 009728106 577 100000 SH SOLE 100000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ALEXCO RESOURCE CORP COMMON STOCK 01535P106 3146 355500 SH SOLE 355500 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ALIGN TECHNOLOGY INC COM STK COMMON STOCK 016255101 1390 67877 SH SOLE 67877 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ALLOS THERAPEUTICS I NC COM ST COMMON STOCK 019777101 1172 370800 SH SOLE 370800 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ALTISOURCE PRTFL COMMON STOCK L0175J104 1668 54375 SH SOLE 54375 0 0 ------------------------------------------------------------------------------------------------------------------------------------ AMERICAN WATER WKS CO INC COMMON STOCK 030420103 2398 85499 SH SOLE 85499 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ANNALY CAPITAL MGMT INC REITS/RICS 035710409 1047 60000 SH SOLE 60000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ APPLE INC COM STK COMMON STOCK 037833100 3291 9444 SH SOLE 9444 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ARKANSAS BEST CORP DELAWARE CO COMMON STOCK 040790107 542 20900 SH SOLE 20900 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ASHFORD HOSPITALITY TRUST INC REITS/RICS 044103109 2755 250000 SH SOLE 250000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ATMEL CORP COM STK COMMON STOCK 049513104 1772 130000 SH SOLE 130000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ AVON PRODS INC COM STK COMMON STOCK 054303102 1352 50000 SH SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ AXCELIS TECHNOLOGIES INC COM COMMON STOCK 054540109 530 200000 SH SOLE 200000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ Anheuser-Busch Inbev SA Spons ADRS STOCKS 03524A108 694 12139 SH SOLE 12139 0 0 ------------------------------------------------------------------------------------------------------------------------------------ BE AEROSPACE INC COM STK COMMON STOCK 073302101 2132 60000 SH SOLE 60000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ BHP BILLITON PLC ADR ADRS STOCKS 05545E209 1087 13650 SH SOLE 13650 0 0 ------------------------------------------------------------------------------------------------------------------------------------ BLACK DIAMOND INC COM STK COMMON STOCK 09202G101 3549 516114 SH SOLE 516114 0 0 ------------------------------------------------------------------------------------------------------------------------------------ BPZ RESOURCES INC COMMON STOCK 055639108 1643 310000 SH SOLE 310000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ BRIGUS GOLD CORP COM COMMON STOCK 109490102 1817 1183900 SH SOLE 1183900 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CALGON CARBON CORP COM STK COMMON STOCK 129603106 383 24100 SH SOLE 24100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CAPITALSOURCE INC COM STK COMMON STOCK 14055X102 7810 1109400 SH SOLE 1109400 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CARLISLE COS INC COM STK COMMON STOCK 142339100 1508 33850 SH SOLE 33850 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CARNIVAL CORP COMMON STOCK 143658300 1865 48614 SH SOLE 48614 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CDN PAC RLWAY COMMON STOCK 13645T100 1459 22676 SH SOLE 22676 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CHINA LIFE INSURANCE CO ADR ADRS STOCKS 16939P106 2074 37000 SH SOLE 37000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CHINA YUCHAI INTL LT D USD.10 COMMON STOCK G21082105 1147 39100 SH SOLE 39100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CHIQUITA BRANDS INTL INC COM COMMON STOCK 170032809 1227 80000 SH SOLE 80000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CINTAS CORP COM STK COMMON STOCK 172908105 2216 73200 SH SOLE 73200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CISCO SYSTEMS INC COM STK COMMON STOCK 17275R102 2358 137490 SH SOLE 137490 0 0 ------------------------------------------------------------------------------------------------------------------------------------
FORM 13F INFORMATION TABLE 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 ------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ ----- CISCO SYSTEMS INC OPTIONS - COM STK CALLS 99ALB4V68 11394 664400 SH CALL SOLE 664400 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CITIGROUP INC COM STK COMMON STOCK 172967101 4442 1005000 SH SOLE 1005000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CLOUD PEAK ENERGY IN C COM STK COMMON STOCK 18911Q102 1973 91404 SH SOLE 91404 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CNO FINANCIAL GROUP INC COM ST COMMON STOCK 12621E103 5090 677700 SH SOLE 677700 0 0 ------------------------------------------------------------------------------------------------------------------------------------ COLUMBIA LABORATORIES INC COM COMMON STOCK 197779101 2356 625000 SH SOLE 625000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CREE INC COM STK COMMON STOCK 225447101 1846 40000 SH SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CUBIST PHARMACEUTICA LS INC CO COMMON STOCK 229678107 10765 426500 SH SOLE 426500 0 0 ------------------------------------------------------------------------------------------------------------------------------------ CUMMINS INC COM STK COMMON STOCK 231021106 1761 16066 SH SOLE 16066 0 0 ------------------------------------------------------------------------------------------------------------------------------------ DANAHER CORP COM STK COMMON STOCK 235851102 2595 50000 SH SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ DELTA AIRLINES INC COMMON STOCK 247361702 2940 300000 SH SOLE 300000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ DG FAST CHANNEL INC COM COMMON STOCK 23326R109 2575 80000 SH SOLE 80000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ DIANA SHIPPING INC COM COMMON STOCK Y2066G104 973 82198 SH SOLE 82198 0 0 ------------------------------------------------------------------------------------------------------------------------------------ DIGITALGLOBE INC COM STK COMMON STOCK 25389M877 3884 138555 SH SOLE 138555 0 0 ------------------------------------------------------------------------------------------------------------------------------------ DYNEX CAPITAL INC COM REIT REITS/RICS 26817Q506 352 35000 SH SOLE 35000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ EMERSON ELECTRIC CO COM STK COMMON STOCK 291011104 1231 21066 SH SOLE 21066 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ENCORE CAP GROUP INC COM STK COMMON STOCK 292554102 668 28200 SH SOLE 28200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ F5 NETWORKS INC COM STK COMMON STOCK 315616102 1036 10100 SH SOLE 10100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FINANCIAL SELECT OPTIONS - SEC TOR SPDR PUTS 99OD0R264 16390 1000000 SH PUT SOLE 1000000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FINANCIAL SELECT OPTIONS - SEC TOR SPDR PUTS 99OD0R272 6123 373600 SH PUT SOLE 373600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FIRST SOLAR INC COMMON STOCK 336433107 2091 13000 SH SOLE 13000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FORD MOTOR COMPANY COM STK COMMON STOCK 345370860 1808 121292 SH SOLE 121292 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FORESTAR GROUP INC COM STK COMMON STOCK 346233109 1678 88223 SH SOLE 88223 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FREEPORT MCMORAN COP PER & GOL COMMON STOCK 35671D857 1667 30000 SH SOLE 30000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FRESH MARKET INC COMMON STOCK 35804H106 966 25600 SH SOLE 25600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FRONTLINE LIMITED USD2.5 COMMON STOCK G3682E127 4211 170000 SH SOLE 170000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ FXCM INC COMMON STOCK 302693106 334 25636 SH SOLE 25636 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GENCO SHIPPING & TRA DING LTD COMMON STOCK Y2685T107 1093 101500 SH SOLE 101500 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GENERAL ELECTRIC CO OPTIONS - COM STK CALLS 99OCXSZQ8 4475 223200 SH CALL SOLE 223200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GENON ENERGY INC COM STK COMMON STOCK 37244E107 658 172800 SH SOLE 172800 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GENPACT LTD COM STK COMMON STOCK G3922B107 1738 120000 SH SOLE 120000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GENTEX CORP COM COMMON STOCK 371901109 9680 320000 SH SOLE 320000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GEO GROUP INC COMMON STOCK 36159R103 2026 79000 SH SOLE 79000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GERDAU SA COSG ADR ADRS STOCKS 373737105 1513 121000 SH SOLE 121000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GOLAR LNG LIMITED COM COMMON STOCK G9456A100 1500 58643 SH SOLE 58643 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GOLDEN MINERALS CO COMMON STOCK 381119106 1726 78615 SH SOLE 78615 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GOODYEAR TIRE & RUBR CO COM S COMMON STOCK 382550101 5065 338127 SH SOLE 338127 0 0 ------------------------------------------------------------------------------------------------------------------------------------
FORM 13F INFORMATION TABLE 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 ------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ ----- GRAFTECH INTERNATIONAL LTD COMMON STOCK 384313102 831 40300 SH SOLE 40300 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GREAT BASIN GOLD LTD COM STK COMMON STOCK 390124105 1539 583000 SH SOLE 583000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ GREEN MOUNTAIN COFFE E ROASTER COMMON STOCK 393122106 5815 90000 SH SOLE 90000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ HEADWATERS INC COM STK COMMON STOCK 42210P102 3177 538470 SH SOLE 538470 0 0 ------------------------------------------------------------------------------------------------------------------------------------ HEALTH NET INC COM STK COMMON STOCK 42222G108 785 24000 SH SOLE 24000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ HEALTHWAYS INC COMMON STOCK 422245100 922 60000 SH SOLE 60000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ HECLA MNG CO COM STK COMMON STOCK 422704106 1064 117200 SH SOLE 117200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ HUANENG POWER INTERNATIONAL I ADRS STOCKS 443304100 379 16131 SH SOLE 16131 0 0 ------------------------------------------------------------------------------------------------------------------------------------ II VI INCORPORATED COM STK COMMON STOCK 902104108 1328 26695 SH SOLE 26695 0 0 ------------------------------------------------------------------------------------------------------------------------------------ INSIGHT ENTERPRISES INC COM ST COMMON STOCK 45765U103 511 30000 SH SOLE 30000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ INTEGRATED ELEC COMMON STOCK 45811E301 375 110000 SH SOLE 110000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ INTERLINE BRANDS INC COM STK COMMON STOCK 458743101 495 24284 SH SOLE 24284 0 0 ------------------------------------------------------------------------------------------------------------------------------------ INTERNATIONAL PAPER CO COM STK COMMON STOCK 460146103 1298 43000 SH SOLE 43000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ IPATH DOW JONES-UBS US ETF'S - COPPER SUB US TR 06739F101 569 10000 SH SOLE 10000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ISHARES BARCLAYS US ETF'S - 20+ YEAR TREA US TR 464287432 1090 11830 SH SOLE 11830 0 0 ------------------------------------------------------------------------------------------------------------------------------------ OPTIONS - ISHARES RUSSELL 2000 PUTS 99AN1FWS1 16834 200000 SH PUT SOLE 200000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ISHARES S&P 500 US ETF'S - INDEX FUND US TR 464287200 302 2272 SH SOLE 2272 0 0 ------------------------------------------------------------------------------------------------------------------------------------ JPMORGAN CHASE & CO COM COMMON STOCK 46625H100 1769 38365 SH SOLE 38365 0 0 ------------------------------------------------------------------------------------------------------------------------------------ KAISER ALUM CORP COM STK COMMON STOCK 483007704 1014 20581 SH SOLE 20581 0 0 ------------------------------------------------------------------------------------------------------------------------------------ KAISER ALUM CORP OPTIONS - COM STK CALLS 99OD41XF3 2896 58800 SH CALL SOLE 58800 0 0 ------------------------------------------------------------------------------------------------------------------------------------ KINDRED HEALTHCARE INC COM ST COMMON STOCK 494580103 2866 120000 SH SOLE 120000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ KIT DIGITAL INC COM STK COMMON STOCK 482470200 2173 180490 SH SOLE 180490 0 0 ------------------------------------------------------------------------------------------------------------------------------------ LEGACY RESERVES LP COMMON STOCK 524707304 509 16250 SH SOLE 16250 0 0 ------------------------------------------------------------------------------------------------------------------------------------ LIMELIGHT NETWORKS INC COM STK COMMON STOCK 53261M104 2936 410000 SH SOLE 410000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ LOGMEIN INC COMMON STOCK 54142L109 1016 24100 SH SOLE 24100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ LOOPNET INC COM STK COMMON STOCK 543524300 256 18100 SH SOLE 18100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ LOUISIANA-PAC CORP COM STK COMMON STOCK 546347105 525 50000 SH SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ LTX-CREDENCE CORP COM STK COMMON STOCK 502403207 662 72500 SH SOLE 72500 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MACQUARIE INFRASTRUCTURE COMP COMMON STOCK 55608B105 449 18800 SH SOLE 18800 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MAGNA INTL INC COMMON STOCK 559222401 1944 40576 SH SOLE 40576 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MAGNUM HUNTER RESOURCES CORP COMMON STOCK 55973B102 1285 150000 SH SOLE 150000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MAKO SURGICAL CORP COM STK COMMON STOCK 560879108 4974 206218 SH SOLE 206218 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MAP PHARMACEUTICALS INC COMMON STOCK 56509R108 1303 94501 SH SOLE 94501 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MARKWEST ENERGY PARTNERS LP COMMON STOCK 570759100 417 8600 SH SOLE 8600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MASIMO CORP COM STK COMMON STOCK 574795100 5966 180248 SH SOLE 180248 0 0 ------------------------------------------------------------------------------------------------------------------------------------ METALS USA HOLDINGS CORP COMMON STOCK 59132A104 232 14175 SH SOLE 14175 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MFA FINANCIAL INC COM STK REITS/RICS 55272X102 1261 153737 SH SOLE 153737 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MIPS TECHNOLOGIES OPTIONS - IN C CL A CO CALLS 99OD6RX31 210 20000 SH CALL SOLE 20000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ MIZUHO FINCL GRP ADRS STOCKS 60687Y109 122 36675 SH SOLE 36675 0 0 ------------------------------------------------------------------------------------------------------------------------------------
FORM 13F INFORMATION TABLE 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 ------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ ----- MOLYCORP INC COM STK COMMON STOCK 608753109 3315 55228 SH SOLE 55228 0 0 ------------------------------------------------------------------------------------------------------------------------------------ NETWORK EQUIP TECHNOLOGIES CO COMMON STOCK 641208103 806 213668 SH SOLE 213668 0 0 ------------------------------------------------------------------------------------------------------------------------------------ NEUTRAL TANDEM INC COMMON STOCK 64128B108 590 40000 SH SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ NORANDA ALUMINIUM HOLDING COMMON STOCK 65542W107 728 45372 SH SOLE 45372 0 0 ------------------------------------------------------------------------------------------------------------------------------------ NOVATEL WIRELESS INC COM STK COMMON STOCK 66987M604 901 165000 SH SOLE 165000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ OCZ TECHNOLOGY GROUP INC COM COMMON STOCK 67086E303 810 100000 SH SOLE 100000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ OMNOVA SOLUTIONS INC COM STK COMMON STOCK 682129101 787 100000 SH SOLE 100000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ON TRACK INNOVATIONS LTD COM COMMON STOCK M8791A109 1073 501200 SH SOLE 501200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ONEOK PARTNERS LP UN IT COMMON STOCK 68268N103 785 9532 SH SOLE 9532 0 0 ------------------------------------------------------------------------------------------------------------------------------------ OPTIONS - OPENTABLE INC PUTS 99OCSCBT9 5318 50000 SH PUT SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PACCAR INC COM STK COMMON STOCK 693718108 1571 30000 SH SOLE 30000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PARTNER COMMUNICATI O NS COMPAN ADRS STOCKS 70211M109 570 30000 SH SOLE 30000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PENFORD CORP COM STK COMMON STOCK 707051108 436 70000 SH SOLE 70000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PENN VA RESOURCE PARTNERS L P COMMON STOCK 707884102 543 19600 SH SOLE 19600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PHILLIPS-VAN HEUSEN CORP COM S COMMON STOCK 718592108 1307 20100 SH SOLE 20100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PILGRIMS PRIDE COMMON STOCK 72147K108 1002 130000 SH SOLE 130000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ POPULAR INC COM STK COMMON STOCK 733174106 2825 967600 SH SOLE 967600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ POSCO SPONS ADR ADRS STOCKS 693483109 2286 20000 SH SOLE 20000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ POWERWAVE TECHNOLOGIES INC COMMON STOCK 739363109 541 120000 SH SOLE 120000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PROGENICS PHARMACEUTICALS INC COMMON STOCK 743187106 3353 542630 SH SOLE 542630 0 0 ------------------------------------------------------------------------------------------------------------------------------------ PUDA COAL INC COM STK COMMON STOCK 744674300 4045 330200 SH SOLE 330200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ QUALCOMM INC COM STK COMMON STOCK 747525103 2193 40000 SH SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ RAPTOR PHARMACEUTICALS INC COMMON STOCK 75382F106 1553 450000 SH SOLE 450000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ REALD INC COMMON STOCK 75604L105 2462 90000 SH SOLE 90000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ RICKS CABARET INTL INC COM ST COMMON STOCK 765641303 1799 165000 SH SOLE 165000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ RIVER VALLEY BANCORP COM STK COMMON STOCK 768475105 429 30000 SH SOLE 30000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ROBERT HALF INTERNATIONAL INC COMMON STOCK 770323103 3519 115000 SH SOLE 115000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ROVI CORPORATION COM STK COMMON STOCK 779376102 687 12800 SH SOLE 12800 0 0 ------------------------------------------------------------------------------------------------------------------------------------ RUBICON TECHNOLOGY INC COMMON STOCK 78112T107 277 10000 SH SOLE 10000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SANMINA-SCI CORP COM STK COMMON STOCK 800907206 2270 202500 SH SOLE 202500 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SATCON TECHNOLOGY CO RP COM ST COMMON STOCK 803893106 2193 568200 SH SOLE 568200 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SCHULMAN A INC COM STK COMMON STOCK 808194104 2214 89559 SH SOLE 89559 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SEI INVESTMENTS COMPANY COM S COMMON STOCK 784117103 3343 140000 SH SOLE 140000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SIMS METAL MANAGEMENT LTD ADR ADRS STOCKS 829160100 569 31412 SH SOLE 31412 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SKILLED HEALTHCARE GROUP INC C COMMON STOCK 83066R107 1174 81600 SH SOLE 81600 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SMART MODULAR TECHNO LOGIES (W COMMON STOCK G82245104 776 100000 SH SOLE 100000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SMITHFIELD FOODS INC COM STK COMMON STOCK 832248108 1444 60000 SH SOLE 60000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SNAP ON INC COM STK COMMON STOCK 833034101 1201 20000 SH SOLE 20000 0 0 ------------------------------------------------------------------------------------------------------------------------------------
FORM 13F INFORMATION TABLE 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 ------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ ----- SOUTHERN PERU COPPER COMMON STOCK 84265V105 1997 49591 SH SOLE 49591 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SOUTHWEST AIRLINES C O COM STK COMMON STOCK 844741108 3288 260300 SH SOLE 260300 0 0 ------------------------------------------------------------------------------------------------------------------------------------ US ETF'S - SPDR GOLD TRUST US TR 78463V107 1109 7930 SH SOLE 7930 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SPROTT PHYSICAL GOLD TRUST COMMON STOCK 85207H104 1224 96831 SH SOLE 96831 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SPROTT PHYSICAL US ETF'S - SILVER TRUST US TR 85207K107 2190 124480 SH SOLE 124480 0 0 ------------------------------------------------------------------------------------------------------------------------------------ STANLEY BLACK & DECK ER INC CO COMMON STOCK 854502101 3064 40000 SH SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ SYNOVUS FINL CORP COM COMMON STOCK 87161C105 1680 700000 SH SOLE 700000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ Safeway Inc (formerly Safeway COMMON STOCK 786514208 4237 180000 SH SOLE 180000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TATA MOTORS LTD ADR ADRS STOCKS 876568502 1112 40000 SH SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TECHE HLDG CO COM STK COMMON STOCK 878330109 546 15000 SH SOLE 15000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TECK RESOURCES LTD COMMON STOCK 878742204 1480 27907 SH SOLE 27907 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TENET HEALTHCARE COR P COM STK COMMON STOCK 88033G100 5588 750000 SH SOLE 750000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TERNIUM SA ADR ADRS STOCKS 880890108 935 26021 SH SOLE 26021 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TEVA PHARM ADRS STOCKS 881624209 3517 70100 SH SOLE 70100 0 0 ------------------------------------------------------------------------------------------------------------------------------------ THORATEC CORP COM STK COMMON STOCK 885175307 10891 420000 SH SOLE 420000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TITANIUM METALS CORP COM STK COMMON STOCK 888339207 929 50000 SH SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ OPTIONS - TIVO INC COM STK CALLS 99OCVFTX0 350 40000 SH CALL SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TNS COMMON STOCK 872960109 2392 153603 SH SOLE 153603 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TRANSITION THERAPEUTICS INC C COMMON STOCK 893716209 651 150000 SH SOLE 150000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TRUNKBOW INTERNATIO N AL HOLDIN COMMON STOCK 89818A102 1628 400000 SH SOLE 400000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TUPPERWARE BRANDS CORPORATION COMMON STOCK 899896104 1493 25000 SH SOLE 25000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ TWO HARBORS INVESTME NT CORP REITS/RICS 90187B101 524 50000 SH SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ UNION PACIFIC CORP COM STK COMMON STOCK 907818108 482 4900 SH SOLE 4900 0 0 ------------------------------------------------------------------------------------------------------------------------------------ UNITED STS STL CORP COM STK COMMON STOCK 912909108 8531 158163 SH SOLE 158163 0 0 ------------------------------------------------------------------------------------------------------------------------------------ UNITED STS STL CORP OPTIONS - COM STK CALLS 99OCSVJQ5 2697 50000 SH CALL SOLE 50000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ UTSTARCOM INC COM STK COMMON STOCK 918076100 59 25000 SH SOLE 25000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ VALE S.A ADR ADRS STOCKS 91912E105 2835 85000 SH SOLE 85000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ VERIGY LTD COM STK COMMON STOCK Y93691106 1727 122538 SH SOLE 122538 0 0 ------------------------------------------------------------------------------------------------------------------------------------ VERISK ANALYTICS INC -CL A COMMON STOCK 92345Y106 1800 54941 SH SOLE 54941 0 0 ------------------------------------------------------------------------------------------------------------------------------------ VIRNETX HOLDING CORP COM STK COMMON STOCK 92823T108 1043 52400 SH SOLE 52400 0 0 ------------------------------------------------------------------------------------------------------------------------------------ VISHAY PRECISION GRO UP INC COMMON STOCK 92835K103 1025 65391 SH SOLE 65391 0 0 ------------------------------------------------------------------------------------------------------------------------------------ VISTAPRINT NV ORD COMMON STOCK N93540107 2311 44536 SH SOLE 44536 0 0 ------------------------------------------------------------------------------------------------------------------------------------ Visteon Corporation COMMON STO COMMON STOCK 92839U206 1562 25000 SH SOLE 25000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ WABASH NATL CORP COM STK COMMON STOCK 929566107 2663 230000 SH SOLE 230000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ WABTEC COM STK COMMON STOCK 929740108 2045 30150 SH SOLE 30150 0 0 ------------------------------------------------------------------------------------------------------------------------------------ WEBMD HEALTH CORP COM STK COMMON STOCK 94770V102 1177 22038 SH SOLE 22038 0 0 ------------------------------------------------------------------------------------------------------------------------------------ WORLD ACCEPTANCE OPTIONS - COR P (S.C.) PUTS 99OCSV911 6520 100000 SH PUT SOLE 100000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ ZOLTEK COS INC COM STK COMMON STOCK 98975W104 537 40000 SH SOLE 40000 0 0 ------------------------------------------------------------------------------------------------------------------------------------ REPORT SUMMARY 187 DATA RECORDS 422299 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED