-----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, D2/vC9M+H+z7FXJDoci5vw8dj6Lgcw9DZnj1ZpcKZAx3/fwThXHuXnwmqpAY2+m+ ncUpWS3sfJJaXeJLlfBrfg== 0001317346-10-000003.txt : 20100208 0001317346-10-000003.hdr.sgml : 20100208 20100208134438 ACCESSION NUMBER: 0001317346-10-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100208 DATE AS OF CHANGE: 20100208 EFFECTIVENESS DATE: 20100208 FILER: COMPANY DATA: COMPANY CONFORMED NAME: OTA Financial Group L.P. CENTRAL INDEX KEY: 0001317346 IRS NUMBER: 134078069 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11283 FILM NUMBER: 10580366 BUSINESS ADDRESS: STREET 1: 1 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 BUSINESS PHONE: 914-694-5800 MAIL ADDRESS: STREET 1: 1 MANHATTANVILLE ROAD CITY: PURCHASE STATE: NY ZIP: 10577 13F-HR 1 form13f49.txt 13F-HR OTA FINANCIAL GROUP LP 4TH QUARTER 2009 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2009 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: OTA Financial Group LP Address: 1 Manhattanville Road Purchase, NY 10577 Form 13F File Number: 28-11283 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: John Hanratty Title: Chief Compliance Officer Phone: 914-460-4099 Signature, Place, and Date of Signing: /s/ John Hanratty Purchase, NY February 8, 2009 - ---------------------------- ----------------------------- ------------------- [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 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: 2 Form 13F Information Table Entry Total: 326 Form 13F Information Table Value Total: 262,879 (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. No. Form 13F File Number Name 1 28-11280 OTA LLC 2 28-12833 OTA SWAPS LLC NAME OF ISSUER TITLE OF CLASS CUSIP VALUE AMOUNT TYPE INVSTMT OTHER VOTE DISCRETION MANAGERS AUTHORITY SOLE BofA Pfd UNIT 99/99/9999 060505419 313 21617 SH DEFINED 1 313 Accenture PLC CALL G1151C901 841 20000 CALL DEFINED 2 841 Accenture PLC PUT G1151C951 210 5000 PUT DEFINED 2 210 ACE GLOBAL CALL H0023R905 492 10000 CALL DEFINED 2 492 Adams Express Co COM 006212104 552 54721 SH DEFINED 1 552 ADTRAN INC CALL 00738A906 1135 50000 CALL DEFINED 2 1135 AECOM TECHNOLOGY CORP CALL 00766T900 281 10000 CALL DEFINED 2 281 AEROPOSTALE CALL 007865908 688 20000 CALL DEFINED 2 688 AFFIRMATIVE INS HLDGS INC COM 008272106 210 51500 SH DEFINED 1 210 AFLAC INC CALL 001055902 347 7300 CALL DEFINED 2 347 AGNICO EAGLE MINES LTD COM 008474108 348 6452 SH DEFINED 2 348 AGRIUM INC COM 008916108 209 3410 SH DEFINED 2 209 Airgas Inc CALL 009363902 483 10000 CALL DEFINED 2 483 ALBEMARLE CORP CALL 012653901 380 10000 CALL DEFINED 2 380 ALLEGHENY ENERGY INC PUT 017361956 235 10000 PUT DEFINED 2 235 ALLIANT TECHSYSTEMS INC CALL 018804904 269 3000 CALL DEFINED 2 269 ALLIED WRLD ASSURANCE COM LTD SHS G0219G203 487 10587 SH DEFINED 2 487 ALMOST FAMILY INC CALL 020409908 323 8000 CALL DEFINED 2 323 AMDOCS LIMITED ORD G02602103 370 13000 SH DEFINED 2 370 AMERICA MOVIL S A DE C V SHS 02364W204 1830 38934 SH DEFINED 1 1830 AMERICAN SUPERCONDUCTOR CORP CALL 030111908 632 15000 CALL DEFINED 2 632 AMERICAN SUPERCONDUCTOR CORP PUT 030111958 421 10000 PUT DEFINED 2 421 AMERICAN TOWER CORP CALL 029912901 434 10000 CALL DEFINED 2 434 AMERON INTL INC COM 030710107 463 7300 SH DEFINED 2 463 ANGLOGOLD ASHANTI LTD CALL 035128906 421 10000 CALL DEFINED 2 421 ANSYS INC CALL 03662Q905 236 5300 CALL DEFINED 2 236 ANWORTH MORTGAGE ASSET CORP CALL 037347901 193 27500 CALL DEFINED 2 193 APOGEE ENTERPRISES INC COM 037598109 148 1200 SH DEFINED 2 148 ARCH CAP GROUP LTD CALL G0450A905 935 13000 CALL DEFINED 2 935 ARCHER DANIELS MIDLAND CO COM 039483102 6629 211732 SH DEFINED 1 6629 ARENA RESOURCES INC CALL 040049908 1103 24500 CALL DEFINED 2 1103 ARKANSAS BEST CORP COM 040790107 200 6800 SH DEFINED 2 200 ARROW ELECTRONICS CALL 042735900 213 7200 CALL DEFINED 2 213 AUTOCHINA INTERNATIONAL LTD *W EXP 1/27/201 G06750114 192 11624 SH DEFINED 1 192 BANK HAWAII CORP COM 062540109 912 19400 SH DEFINED 2 912 BARCLAYS BANK PLC PLC ADS7.75%PFD S4 06739H511 215 9034 SH DEFINED 1 215 BAXTER INTERNTL INC COM 071813109 2047 34900 SH DEFINED 2 2047 BECTON DICKINSON & CO CALL 075887909 786 10000 CALL DEFINED 2 786 BERRY PETE CO CL A 085789105 214 7350 SH DEFINED 2 214 BHP BILLITON LTD ADR ADR 088606108 2483 32431 SH DEFINED 1 2483 BIG LOTS INC CALL 089302903 321 11100 CALL DEFINED 2 321 BLDRS Emerging Markets 50 ADR ADR 09348R300 429 9735 SH DEFINED 1 429 BOEING CO COM 097023105 1962 36263 SH DEFINED 2 1962 BOSTON SCIENTIFIC CORP CALL 101137907 360 40000 CALL DEFINED 2 360 BUCYRUS INTL INC NEW COM 118759109 473 8400 SH DEFINED 2 473 BURLINGTON NORTHERN SANTA FE COM 12189T104 424 4300 SH DEFINED 2 424 C H ROBINSON WORLDWIDE INC CALL 12541W909 1394 23500 CALL DEFINED 2 1394 CABOT OIL & GAS CORP COM 127097103 261 6000 SH DEFINED 2 261 CAL MAINE FOODS INC CALL 128030902 342 10000 CALL DEFINED 2 342 CALIPER LIFE SCIENCES INC *W EXP 08/10/201 130872112 2 25000 SH DEFINED 1 2 CANADIAN NATIONAL RAILWAY CO CALL 136375902 334 6100 CALL DEFINED 2 334 CATERPILLAR INC DEL COM 149123101 461 8100 SH DEFINED 2 461 CCE SPINCO INC CALL 538034909 165 18100 CALL DEFINED 2 165 CELANESE CORP PFD 4.25% CONV 150870202 7311 179117 SH DEFINED 1 7311 Central Fund of Canada Ltd CL A 153501101 597 43378 SH DEFINED 1 597 Central Garden and Pet Co CL A NON-VTG 153527205 181 18211 SH DEFINED 1 181 CF INDS HLDGS INC CALL 125269900 3012 32800 CALL DEFINED 2 3012 CHARLES SCHWAB CORP-NEW CALL 808513905 197 10000 CALL DEFINED 2 197 CHEMED CORP CALL 16359R903 641 13000 CALL DEFINED 2 641 CHESAPEAKE ENERGY CORP COM 165167107 526 20336 SH DEFINED 2 526 CHICAGO BRDG &IRON CO NV N V N Y REGISTRY SH 167250109 351 17400 SH DEFINED 2 351 CHILDRENS PL RETAIL STORES INC COM 168905107 201 6100 SH DEFINED 2 201 CHURCH & DWIGHT INC CALL 171340902 318 5200 CALL DEFINED 2 318 CHURCH & DWIGHT INC COM 171340102 272 4500 SH DEFINED 2 272 CITIGROUP INC COM 172967101 2207 666950 SH DEFINED 1 2 2207 CLAYMORE/ALPHASH CHINA ALL-C FD ALPH SHS CHINA 18385P101 288 11452 SH DEFINED 1 288 CLEARING BANCORPORAT COM 174420109 172 250000 SH DEFINED 1 172 Clearwire Corp CL A 18538Q105 79 11800 SH DEFINED 1 2 79 COACH INC COM 189754104 295 8100 SH DEFINED 2 295 COCA COLA CO COM 191216100 495 8700 SH DEFINED 2 495 COHEN & STEERS REIT & COM 19247Y108 1204 113401 SH DEFINED 1 1204 COLGATE PALMOLIVE COM 194162103 747 9100 SH DEFINED 2 747 COLUMBIA SPORTSWEAR CO CALL 198516906 427 10900 CALL DEFINED 2 427 COLUMBIA SPORTSWEAR CO PUT 198516956 325 8300 PUT DEFINED 2 325 Comcast Corp NEW CL A SPL 20030N200 346 21633 SH DEFINED 2 346 COMCAST CORP NEW PUT 20030N950 339 20000 PUT DEFINED 2 339 COMCAST CORP NEW PUT 20030N951 339 20000 PUT DEFINED 2 339 CONSOL ENERGY INC COM 20854P109 1015 20400 SH DEFINED 2 1015 CON-WAY INC CALL 205944901 767 22800 CALL DEFINED 2 767 COOPER CAMERON CORP CALL 13342B905 651 15000 CALL DEFINED 2 651 COPART INC PUT 217204956 364 10000 PUT DEFINED 2 364 CORE LABORATORIES N V CALL N22717907 1221 10000 CALL DEFINED 2 1221 COSTCO WHOLESALE CORP COM 22160K105 267 4513 SH DEFINED 2 267 CP HOLDRS CP 12616K106 203 1842 SH DEFINED 1 203 CREDIT SUISSE GROUP-SPON ADR CALL 225401908 259 5000 CALL DEFINED 2 259 CROWN CASTLE INTL CORP CALL 228227904 21 5100 CALL DEFINED 2 21 CROWN CORK & SEAL INC COM 228368106 21 7900 SH DEFINED 2 21 CROWN CORK & SEAL INC PUT 228368956 263 10000 PUT DEFINED 2 263 CTC MEDIA INC PUT 12642X956 182 12000 PUT DEFINED 2 182 CVS CORP COM 126650100 257 8000 SH DEFINED 2 257 CYBERSOURCE CORP CALL 23251J906 198 10000 CALL DEFINED 2 198 D R HORTON INC CALL 23331A909 171 15400 CALL DEFINED 2 171 DESARROLLADORA HOMEX ADR ADR 25030W100 1254 37300 SH DEFINED 2 1254 DEVRY INC CALL 251893903 1124 20000 CALL DEFINED 2 1124 Discovery Communications Inc NEW COM SER C 25470F302 251 9473 SH DEFINED 1 251 DISCOVERY HOLDING CO NEW COM SER B 25470F203 312 10117 SH DEFINED 1 312 DOLBY LABORATORIES INC CALL 25659T907 487 10000 CALL DEFINED 2 487 DONALDSON INC CALL 257651909 900 21000 CALL DEFINED 2 900 Dow 30 Enhanced Premium & Inco COM 260537105 192 17633 SH DEFINED 1 192 DU PONT E I DE NEMOURS COM 263534109 340 10100 SH DEFINED 2 340 DUN & BRADSTREET CORP DEL NEW PUT 26483E950 416 5000 PUT DEFINED 2 416 Eaton Vance Senior Floating-Ra COM 27828Q105 684 46935 SH DEFINED 1 684 Eaton Vance Tax Managed Global COM 27829C105 710 51207 SH DEFINED 1 710 Eaton Vance Tax-Managed Divers COM 27828N102 379 28924 SH DEFINED 1 379 Eaton Vance Tax-Managed Global COM 27829F108 333 27076 SH DEFINED 1 333 EBIX COM INC COM 278715206 283 5800 SH DEFINED 2 283 EDWARDS LIFESCIENCES CORP COM 28176E108 766 8822 SH DEFINED 2 766 Eletrobras SA ADR 15234Q207 950 45058 SH DEFINED 1 2 950 Enbridge Energy Management LLC SHS UNITS LLI 29250X103 699 13159 SH DEFINED 1 699 ENCORE ACQUISITION CO COM 29255W100 479 9992 SH DEFINED 1 2 479 ENCORE ACQUISITION CO PUT 29255W950 351 7200 PUT DEFINED 2 351 ENTERPRISE PRODS PARTNERS L P PUT 293792957 231 7100 PUT DEFINED 2 231 EQUINIX INC CALL 29444U902 1314 12000 CALL DEFINED 2 1314 ESTERLINE TECHNLOGIES CP COM 297425100 513 12600 SH DEFINED 2 513 EURONET WORLDWIDE INC CALL 298736909 225 10000 CALL DEFINED 2 225 EV3 INC COM 26928A200 237 17800 SH DEFINED 2 237 EVERGREEN INC ADV FUND SHS 30023Y105 184 19404 SH DEFINED 1 184 Exeter Resource Corporation COM 301835104 272 38415 SH DEFINED 2 272 F5 NETWORKS INC PUT 315616952 950 17600 PUT DEFINED 2 950 FEDERATED INVESTORS INC CALL 314211903 420 15000 CALL DEFINED 2 420 FEDEX CORP CALL 31428X906 867 10400 CALL DEFINED 2 867 FID NATL TITLE GROUP INC CALL 31620R905 231 17000 CALL DEFINED 2 231 FIDELITY NATL INFORMATION SVCS COM 31620M106 325 13870 SH DEFINED 2 325 FIRST ACCEPTANCE CORP COM 318457108 42 21845 SH DEFINED 1 42 FIRST HORIZON NATL CORP CALL 320517905 134 10000 CALL DEFINED 2 134 FLOWSERVE CORP COM 34354P105 746 7900 SH DEFINED 2 746 FOMENTO ECONOMICO MEXICANO CALL 344419906 598 12000 CALL DEFINED 2 598 FOREST CITY ENTERPRISES INC CL B CONV 345550305 171 14427 SH DEFINED 1 171 FORTUNE BRANDS INC COM 349631101 1568 36300 SH DEFINED 2 1568 FREEPORT-MCMORAN C & G PFD CONV 35671D782 11650 101133 SH DEFINED 1 11650 Fresenius Medical Care AG & Co CALL 358029906 218 4000 CALL DEFINED 2 218 FRESH DEL MONTE PRODUCE INC CALL G36738905 452 20000 CALL DEFINED 2 452 FTI CONSULTING INC PUT 302941959 473 10000 PUT DEFINED 2 473 GABELLI DIVIDEND & INCOME COM 36242H104 171 13078 SH DEFINED 1 171 GAP INC DEL CALL 364760908 410 20000 CALL DEFINED 2 410 GARDNER DENVER INC CALL 365558905 427 10000 CALL DEFINED 2 427 GENERAL DYNAMICS CORP CALL 369550908 691 10000 CALL DEFINED 2 691 GENERAL MILLS COM 370334104 658 9300 SH DEFINED 2 658 GENTIVA HEALTH SERVICES INC CALL 37247A902 275 10000 CALL DEFINED 2 275 GLOBAL LOGISTICS ACQUISITION COM 18145M109 3 10300 SH DEFINED 1 3 GMX RES INC CALL 38011M908 243 17000 CALL DEFINED 2 243 GREATBATCH INC CALL 39153L906 293 15000 CALL DEFINED 2 293 GREENHILL & CO INC CALL 395259904 316 4000 CALL DEFINED 2 316 GREIF BROS CORP CALL 397624907 3745 67200 CALL DEFINED 2 3745 H J HEINZ CO CALL 423074903 214 5000 CALL DEFINED 2 214 HEADWATERS INC COM 42210P102 136 20900 SH DEFINED 2 136 HERSHEY COMPANY PUT 427866958 996 27500 PUT DEFINED 2 996 HEWLETT PACKARD CO COM 428236103 1038 20152 SH DEFINED 2 1038 HHGregg, Inc. COM 42833L108 601 27300 SH DEFINED 2 601 HITACHI LTD 10 NEW ADR CALL 433578907 219 7000 CALL DEFINED 2 219 HOME DEPOT INC CALL 437076902 860 30000 CALL DEFINED 2 860 HUNT J B TRANS SVCS INC COM 445658107 216 6700 SH DEFINED 2 216 IBERIABANK CORP PUT 450828958 1314 24000 PUT DEFINED 2 1314 II VI INC COM 902104108 270 8500 SH DEFINED 2 270 INDEPENDENCE HLDG CO NEW COM 453440307 400 69000 SH DEFINED 1 400 INFOSYS TECHNOLOGIES CALL 456788908 3377 59500 CALL DEFINED 2 3377 INFOSYS TECHNOLOGIES PUT 456788958 238 4200 PUT DEFINED 2 238 INTEGRATED ELECTRICAL SVC COM 45811E301 163 28001 SH DEFINED 1 163 INTL PAPER CO CALL 460146903 543 20000 CALL DEFINED 2 543 iShares Barclays TIPS Bond Fun BARCLYS TIPS BD 464287176 658 6334 SH DEFINED 1 658 iShares FTSE EPRA/NAREIT Devel EPRA/NAR DEV R/E 464288489 283 9803 SH DEFINED 1 283 ISHARES FTSE XINHUA CHINA TR INDEX FTSE XNHUA IDX 464287184 1489 35227 SH DEFINED 1 1489 iShares MSCI ACWI Index Fund MSCI ACWI INDX 464288257 366 8662 SH DEFINED 1 366 iShares MSCI Australia Index F MSCI AUSTRALIA 464286103 4159 182126 SH DEFINED 1 4159 iShares MSCI Emerging Markets MSCI EMERG MKT 464287234 1951 47030 SH DEFINED 1 1951 iShares MSCI Hong Kong Index F MSCI HONG KONG 464286871 1870 119421 SH DEFINED 1 1870 iShares MSCI Malaysia Index Fu MSCI MALAYSIA 464286830 390 36736 SH DEFINED 1 390 ISHARES MSCI SINGAPORE FREE MSCI SINGAPORE 464286673 1214 105777 SH DEFINED 1 1214 ISHARES MSCI SOUTH KOREA MSCI S KOREA 464286772 759 15934 SH DEFINED 1 759 ISHARES S&P EUROPE 350 TR INDEX S&P EURO PLUS 464287861 888 22794 SH DEFINED 1 888 ISHARES S&P LATIN AMERICA 40 TR INDEX S&P LTN AM 40 464287390 1349 28234 SH DEFINED 1 1349 iShares S&P National Municipal NTL AMTFREE 464288414 1589 15466 SH DEFINED 1 1589 ITT INDS INC IND CALL 450911902 396 8000 CALL DEFINED 2 396 JARDEN CORP PUT 471109958 327 10400 PUT DEFINED 2 327 JOY GLOBAL INC CALL 481165908 671 12000 CALL DEFINED 2 671 KINDER MORGAN ENERGY PARTNER LTD PARTNER 494550106 4083 66961 SH DEFINED 1 4083 KINETIC CONCEPTS INC CALL 49460W908 385 10000 CALL DEFINED 2 385 KIRBY CORP CALL 497266906 216 6200 CALL DEFINED 2 216 KOHLS CORP CALL 500255904 539 10000 CALL DEFINED 2 539 KOREA ELEC POWER SPN ADR CALL 500631906 1952 130700 CALL DEFINED 2 1952 KORN FERRY INTL CALL 500643900 170 10000 CALL DEFINED 2 170 LABORATORY CORP AMER HLDGS COM 50540R409 875 11700 SH DEFINED 2 875 LAS VEGAS SANDS CORP COM 517834107 421 28200 SH DEFINED 2 421 LEUCADIA NATL CORP PUT 527288954 371 15000 PUT DEFINED 2 371 LIBERTY ALL STAR EQUITY FUND FD SH BEN INT 530158104 348 80430 SH DEFINED 1 348 LINN ENERGY LLC PUT 536020950 284 10000 PUT DEFINED 2 284 Loews Corporation COM 540424108 3757 103380 SH DEFINED 1 3757 LOWE'S COMPANIES INC PUT 548661957 347 15000 PUT DEFINED 2 347 MAGELLAN HEALTH SERVICES INC CALL 559079907 316 7600 CALL DEFINED 2 316 Market Vectors - Gold Miners E ETF 57060U100 575 12452 SH DEFINED 1 575 MARKET VECTORS-BRAZIL SM-CAP ETF 57060U613 211 4279 SH DEFINED 1 211 MARTIN MARIETTA MATERIALS IN COM 573284106 849 9500 SH DEFINED 2 849 MARTIN MARIETTA MATERIALS IN PUT 573284956 458 5000 PUT DEFINED 2 458 MARVEL ENTERPRISES INC COM 57383T103 1400 25891 SH DEFINED 1 1400 MASCO CORP COM 574599106 138 10000 SH DEFINED 2 138 MBIA INC CALL 55262C900 42 10000 CALL DEFINED 2 42 Mednax Inc COM 58502B106 896 14914 SH DEFINED 2 896 METLIFE INC COM 59156R108 120 30000 SH DEFINED 2 120 METTLER TOLEDO INTERNATIONAL COM 592688105 388 3700 SH DEFINED 2 388 MICROSOFT CORP CALL 594918904 1238 40000 CALL DEFINED 2 1238 MICROSOFT CORP PUT 594918954 619 20000 PUT DEFINED 2 619 MIDDLEBY CORP PUT 596278951 549 11000 PUT DEFINED 2 549 MIRANT CORP *W EXP 01/03/201 60467R118 47 99045 SH DEFINED 2 47 MIRANT CORP NEW PUT 60467R950 308 20000 PUT DEFINED 2 308 MOHAWK INDS INC PUT 608190954 483 10000 PUT DEFINED 2 483 MORNINGSTAR INC CALL 617700909 21 4200 CALL DEFINED 2 21 MYLAN INC PFD CONV 628530206 5988 5233 SH DEFINED 1 5988 NALCO HLDG CO CALL 62985Q901 366 14000 CALL DEFINED 2 366 NATIONAL FINL PARTNERS CALL 63607P908 169 20000 CALL DEFINED 2 169 Neutral Tandem, Inc. PUT 64128B958 230 10000 PUT DEFINED 2 230 News Corp CL B 65248E203 570 35843 SH DEFINED 1 570 NIKE INC CL B 654106103 1816 27500 SH DEFINED 2 1816 NORTHROP GRUMMAN CORP PUT 666807952 568 10000 PUT DEFINED 2 568 NUVEEN QUAL INC MUNI COM 670977107 258 18984 SH DEFINED 1 258 OFFICEMAX INC DEL COM 67622P101 233 18400 SH DEFINED 2 233 OSHKOSH TRUCK CORP COM 688239201 248 6700 SH DEFINED 2 248 OWENS CORNING *W EXP 10/30/201 690742127 91 52000 SH DEFINED 1 91 PALL CORP CALL 696429907 333 9100 CALL DEFINED 2 333 PANERA BREAD CO CALL 69840W908 332 5000 CALL DEFINED 2 332 PARKER HANNIFIN CORP CALL 701094904 354 6500 CALL DEFINED 2 354 PATTERSON UTI ENERGY INC PUT 703481951 189 11700 PUT DEFINED 2 189 PAYLESS SHOESOURCE INC CALL 19421W900 346 15100 CALL DEFINED 2 346 PEETS COFFEE & TEA INC CALL 705560900 410 12000 CALL DEFINED 2 410 PEOPLES BK BRIDGEPORT CONN COM 712704105 178 1264 SH DEFINED 1 178 PEPSI BOTTLING GROUP INC COM 713409100 1299 34647 SH DEFINED 1 1299 PERFECT WORLD CO-SPON ADR CALL 71372U904 1043 24700 CALL DEFINED 2 1043 PETROBRAS ENERGIA PARTCPTNS SA PUT 71646J959 164 10000 PUT DEFINED 2 164 PETROLEO BRASILEIRO S.A.-ADR ADR 71654V408 4450 93343 SH DEFINED 1 4450 Pfizer Inc COM 717081103 3638 200000 SH DEFINED 2 3638 PINNACLE WEST CAP CORP CALL 723484901 634 17200 CALL DEFINED 2 634 PLEXUS CORP CALL 729132900 294 10000 CALL DEFINED 2 294 POWER INTEGRATIONS INC COM 739276103 287 7900 SH DEFINED 2 287 PRIVATEBANCORP INC PUT 742962953 156 17200 PUT DEFINED 2 156 QUALCOMM INC CALL 747525903 469 10000 CALL DEFINED 2 469 RANDGOLD RESOURCES ADR PUT 752344959 411 5000 PUT DEFINED 2 411 RANGE RES CORP CALL 75281A909 1683 32000 CALL DEFINED 2 1683 RAYTHEON COMPANY *W EXP 2/16/201 755111119 12295 847990 SH DEFINED 2 12295 RED ROBIN GOURMET BURGERS INC PUT 75689M951 177 10000 PUT DEFINED 2 177 ROCK TENN CO CL A CL A 772739207 418 8300 SH DEFINED 2 418 ROCKWOOD HLDGS INC CALL 774415903 613 25000 CALL DEFINED 2 613 ROFIN SINAR TECHNOLOGIES INC COM 775043102 427 18100 SH DEFINED 2 427 Rovi Corp COM 779376102 490 15400 SH DEFINED 2 490 ROYAL BK OF SCOTLAND GRP PLC PLC SP ADR PREF M 780097796 183 17522 SH DEFINED 1 183 ROYAL BK SCOTLND GRP PLC ADR PREF SHS Q 780097754 379 34400 SH DEFINED 1 379 RUTHS CHRIS STEAK HSE CALL 783332909 48 20000 CALL DEFINED 2 48 SAFEWAY INC CALL 786514908 214 10000 CALL DEFINED 2 214 SALESFORCE COM INC COM 79466L302 486 6600 SH DEFINED 2 486 SCANSOURCE INC CALL 806037907 682 25000 CALL DEFINED 2 682 SCHEIN (HENRY) INC COM CALL 806407902 1335 25000 CALL DEFINED 2 1335 SCHWEITZER-MAUDUIT INTL INC CALL 808541906 1893 26500 CALL DEFINED 2 1893 SCIENTIFIC GAMES CORP CL A 80874P109 254 17500 SH DEFINED 2 254 SHANDA GAMES LTD-SPONS ADR SP ADR REPTG A 81941U105 316 31076 SH DEFINED 1 316 SILICON LABORATORIES INC COM 826919102 884 18300 SH DEFINED 2 884 SILVER STD RES INC CALL 82823L906 637 28000 CALL DEFINED 2 637 SK TELECOM LTD CALL 78440P908 239 14500 CALL DEFINED 2 239 SK TELECOM LTD PUT 78440P958 440 26700 PUT DEFINED 2 440 SOHU COM INC CALL 83408W903 592 10000 CALL DEFINED 2 592 SONY CORP ADR 835699307 234 8100 SH DEFINED 2 234 SPDR Barclays Capital High Yie ETF 78464A417 807 20797 SH DEFINED 1 807 STANLEY WKS COM 854616109 280 5452 SH DEFINED 1 280 STAPLES INC PUT 855030952 245 10000 PUT DEFINED 2 245 STARWOOD HOTELS&RESORTS WRLDWD CALL 85590A901 1100 30000 CALL DEFINED 2 1100 STATE STR CORP CALL 857477903 635 14300 CALL DEFINED 2 635 Steak N Shake Co/The PUT 857873953 1696 5400 PUT DEFINED 2 1696 STRATEGIC HOTEL CAP INC PUT 83421A954 551 15000 PUT DEFINED 2 551 STRYKER CORP COM 863667101 216 4300 SH DEFINED 2 216 SunPower Corp CL B 867652307 867 41415 SH DEFINED 2 867 SUNTRUST BKS INC COM 867914103 263 13000 SH DEFINED 2 263 SUPERVALU INC COM 868536103 250 19680 SH DEFINED 2 250 TAIWAN FUND INC COM 874036106 155 10858 SH DEFINED 1 155 TARGET CORP COM 87612E106 334 6922 SH DEFINED 2 334 TARGET CORP PUT 87612E956 971 20000 PUT DEFINED 2 971 TECH DATA CORP CALL 878237906 234 5000 CALL DEFINED 2 234 TECH DATA CORP PUT 878237956 469 10000 PUT DEFINED 2 469 TEL AND DATA SYS INC COM 879433860 499 16548 SH DEFINED 1 499 TELECOM ITALIA SPA-SPON ADR NEW SPON ADR SVGS 87927Y201 262 23898 SH DEFINED 1 262 TELEFONOS DE MEXICO-SP ADR A SHS 879403707 581 35135 SH DEFINED 1 581 TELMEX INTERNACIONAL-ADR SPON ADR SR A 879690204 631 3571 SH DEFINED 1 631 TESORO CORP CALL 881609901 177 12000 CALL DEFINED 2 177 THERMO ELECTRON CORP CALL 883556902 237 5000 CALL DEFINED 2 237 THOUSAND TRAILS INC CALL 89417E909 2017 40500 CALL DEFINED 2 2017 TIM HORTONS INC COM 88706M103 247 8100 SH DEFINED 2 247 TOLL BROS INC COM COM 889478103 291 15500 SH DEFINED 2 291 TORCHMARK CORP CALL 891027904 837 18700 CALL DEFINED 2 837 TORO CO PUT 891092958 212 5000 PUT DEFINED 2 212 TORONTO DOMINION BANK COM 891160509 395 6300 SH DEFINED 2 395 TRACTOR SUPPLY CO CALL 892356906 480 9000 CALL DEFINED 2 480 TRI CONTL CORP COM 895436103 319 27759 SH DEFINED 1 319 TUPPERWARE CORP COM 899896104 582 12498 SH DEFINED 2 582 TUPPERWARE CORP PUT 899896954 311 6500 PUT DEFINED 2 311 UAL CORP COM 902549807 31 23400 SH DEFINED 2 31 UNILEVER N V SHS 904784709 2609 80721 SH DEFINED 1 2609 UNION PAC CORP COM 907818108 2043 31980 SH DEFINED 2 2043 UNION PAC CORP PUT 907818958 653 10000 PUT DEFINED 2 653 Unisys Corp COM NEW 909214306 354 9200 SH DEFINED 2 354 UNITED PARCEL SERVICE INC CL B 911312106 897 15650 SH DEFINED 2 897 UNITED TECHNOLOGIES CORP CALL 913017909 1074 15000 CALL DEFINED 2 1074 UNITEDHEALTH GROUP INC PUT 91324P952 252 8000 PUT DEFINED 2 252 UNIVERSAL CORP VA PUT 913456959 238 5000 PUT DEFINED 2 238 UNIVERSAL TECHNICAL INST COM 913915104 216 10700 SH DEFINED 2 216 V F CORP COM 918204108 521 7124 SH DEFINED 2 521 VALE SA-SP PREF ADR ADR REPSTG PFD 91912E204 7415 298764 SH DEFINED 1 7415 VAN KAMPEN AMERICAN CAPITAL COM 920961109 334 79359 SH DEFINED 1 334 Vanguard European ETF ETF 922042874 1148 23689 SH DEFINED 1 1148 Vanguard Pacific ETF ETF 922042866 2741 53413 SH DEFINED 1 2741 VARIAN SEMICONDUCTOR EQUIPMNT COM 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