-----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, PyIUBpvC98kbEGw3WHqt6WVKmdzFGGZ2LLVJ62Wuqoy5aW+Xk8kU1C+A4eNpZ3m6 afKxVzRzVr8S1KPWCmmIrw== 0000938206-09-000025.txt : 20090820 0000938206-09-000025.hdr.sgml : 20090820 20090820155018 ACCESSION NUMBER: 0000938206-09-000025 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090820 DATE AS OF CHANGE: 20090820 EFFECTIVENESS DATE: 20090820 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DRIEHAUS CAPITAL MANAGEMENT LLC CENTRAL INDEX KEY: 0000938206 IRS NUMBER: 203634295 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-04207 FILM NUMBER: 091026659 BUSINESS ADDRESS: STREET 1: 25 EAST ERIE ST CITY: CHICAGO STATE: IL ZIP: 60611 BUSINESS PHONE: 3125873800 MAIL ADDRESS: STREET 1: 25 EAST ERIE ST CITY: CHICAGO STATE: IL ZIP: 60611 FORMER COMPANY: FORMER CONFORMED NAME: DRIEHAUS CAPITAL MANAGEMENT INC DATE OF NAME CHANGE: 19950216 13F-HR/A 1 q2200913famended.txt ---------------------------- OMB APPROVAL ---------------------------- OMB Number: Expires: Estimated average burden hours per response..... ---------------------------- SEC USE ONLY ---------------------------- ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13f Cover Page Report for the Calendar Year or Quarter Ended __________ If amended report check here: |X| Amendment Number: _1__ This Amendment (Check only one): |X| is a restatement |_| adds new holding entries. Driehaus Capital Management LLC - -------------------------------------------------------------------------------- Name of Institutional Investment Manager 25 East Erie Street Chicago Illinois 60611 - -------------------------------------------------------------------------------- Business Address (Street) (City) (State) (Zip) 13F File Number: 28-3580______ 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, and tables, are considered integral parts of this form. Person Signing this Report on Behalf of Reporting Manager: Mary H. Weiss Senior Vice President and Secretary 312-587-3800 - -------------------------------------------------------------------------------- Name (Title) (Phone) /s/ Mary H. Weiss ------------------------------------------ (Manual Signature of Person Duly Authorized to Submit This Report) ------------------------------------------ Chicago, Illinois, August , 2009 Report Type: [X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: None____ Form 13F Information Table Entry Total: ___388______ Form 13F Information Table Value Total: $__1,691,514___ (thousands) FORM 13F INFORMATION TABLE
- ------------------------------------------------------------------------------------------------------------------------------------ ITEM 1 ITEM 2 ITEM 3 ITEM 4 ITEM 5 ITEM 6 ITEM 7 ITEM 8 - ------ -------------- ------ ------ ------------------- ---------- -------- ----------------------- VALUE SHARES/ SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ 3Com Corp. .................Common 885535104 3236 684209 SH X 509567 0 174642 Aaron's, Inc. ..............Common 002535201 9553 320359 SH X 240422 0 79937 Abbott Laboratories ........Common 002824100 2487 52865 SH X 43687 0 9178 ABOVENET INC ...............Common 00374N107 3149 38883 SH X 28378 0 10505 Activision Blizzard, Inc. ..Common 00507V109 5259 416363 SH X 325943 0 90420 Advance Auto Parts .........Common 00751Y106 2660 64116 SH X 50492 0 13624 Aecom Technology Corp. .....Common 00766T100 518 16181 SH X 6295 0 9886 Aeropostale, Inc. ..........Common 007865108 1972 57531 SH X 42861 0 14670 Airmedia Group, Inc. - ADR .ADR 009411109 2749 426905 SH X 91511 0 335394 Alexion Pharmaceuticals, Inc. .............. Common 015351109 13906 338180 SH X 247648 0 90532 Allegheny Technologies, Inc. ............... Common 01741R102 907 25980 SH X 21474 0 4506 Allegheny Technologies, Inc. ............... CNV 01741RAD4 1100 1000000 PRN X 0 0 1000000 ALLIED NEVADA GOLD CORP ....Common 019344100 2759 342348 SH X 160809 0 181539 Allscripts-Misys Healthcare ............... Common 01988P108 8216 518043 SH X 395279 0 122764 Alpha Natural Resources, Inc. .............. Common 02076X102 2269 86376 SH X 67977 0 18399 AMAG Pharmaceuticals Inc ...Common 00163U106 3295 60276 SH X 44005 0 16271 America Movil - L - ADR ....ADR 02364W105 5086 131360 SH X 116857 0 14503 AMERICAN DAIRY INC .........Common 025334103 3774 95164 SH X 70927 0 24237 American Tower Corp. - A ...Common 029912201 3984 126341 SH X 104377 0 21964 Americas Car-Mart Inc. .....Common 03062T105 2777 135472 SH X 64036 0 71436 Analog Devices .............Common 032654105 4205 169675 SH X 133637 0 36038 Annaly Capital Management Inc .............. Common 035710409 1163 76826 SH X 67409 0 9417 Anworth Mortgage Asset Corp. ............... Common 037347101 5427 752676 SH X 448860 0 303816 Apollo Group Inc. - Cl. A ..Common 037604105 711 10000 SH X 8767 0 1233 Apple, Inc. ................Common 037833100 10462 73456 SH X 52698 0 20758 Arcelormittal ..............CNV 03938LAK0 1263 1000000 PRN X 0 0 1000000 Arcsight Inc ...............Common 039666102 7419 417507 SH X 210521 0 206986 Arena Resources Inc ........Common 040049108 6828 214365 SH X 150113 0 64252 Argan Inc ..................Common 04010E109 764 54063 SH X 25582 0 28481 Arris Group, Inc. ..........Common 04269Q100 415 34092 SH X 1018 0 33074 Aruba Networks Inc .........Common 043176106 6219 711542 SH X 491268 0 220274 ARYX THERAPEUTICS INC ......Common 043387109 76 18424 SH X 6449 0 11975 Asbury Automotive Corp .....Common 043436104 2909 284044 SH X 134259 0 149785 AsiaInfo Holdings Inc ......ADR 04518A104 11589 673363 SH X 425413 0 247950 Athenahealth Inc ...........Common 04685W103 7977 215536 SH X 135506 0 80030 Ats Medical Inc. ...........Common 002083103 2662 806632 SH X 328593 0 478039 AutoZone, Inc. .............Common 053332102 2249 14881 SH X 12293 0 2588 Auxilium Pharmaceuticals Inc ............... Common 05334D107 8760 279170 SH X 191543 0 87627 Avon Products, Inc. ........Common 054303102 2480 96205 SH X 79533 0 16672 Baidu, Inc. - SP ADR .......ADR 056752108 14571 48241 SH X 34704 0 13537 Bank of America Corp. ......Common 060505104 1717 130047 SH X 79807 0 50240 BARE ESCENTUALS INC ........Common 067511105 4657 522679 SH X 338681 0 183998 BE Aerospace, Inc. .........Common 073302101 6180 430366 SH X 337829 0 92537 Bed Bath & Beyond, Inc. ....Common 075896100 2178 70837 SH X 55850 0 14987 Berry Petroleum - Cl. A ....Common 085789105 1613 86786 SH X 50516 0 36270 Best Buy Company, Inc. .....Common 086516101 2869 85682 SH X 70801 0 14881 Big 5 Sporting Goods Corp ..Common 08915P101 2674 241798 SH X 114466 0 127332 Blackrock, Inc. ............Common 09247X101 2922 16657 SH X 12333 0 4324 Blackstone Group LP/The ....Common 09253U108 4854 460549 SH X 312463 0 148086 Boeing Co. .................Common 097023105 1523 35845 SH X 28703 0 7142 Borg Warner, Inc ...........Common 099724106 495 14497 SH X 11975 0 2522 Brigham Exploration Co .....Common 109178103 1920 548429 SH X 256137 0 292292 Broadcom Corp. - A ........Common 111320107 644 25975 SH X 10125 0 15850 BROADPOINT GLEACHER SECURITIES ............. Common 11134A103 1046 187536 SH X 86622 0 100914 Brocade Communicatons Systems .............. Common 111621306 5563 709534 SH X 528675 0 180859 Bucyrus International, Inc. ................ Common 118759109 9570 335076 SH X 247230 0 87846 Capstead Mortgage Corp. ....Common 14067E506 5247 412823 SH X 245634 0 167189 Carmike Cinemas Inc ........Common 143436400 2624 313152 SH X 131504 0 181648 Carrizo Oil & Gas, Inc. ....Common 144577103 6162 359301 SH X 232831 0 126470 Carters, Inc. ..............Common 146229109 4664 189506 SH X 141167 0 48339 Cavium Networks Inc ........Common 14965A101 4288 255099 SH X 118950 0 136149 Cb Richard Ellis Group Inc. - A ............ Common 12497T101 593 63321 SH X 7917 0 55404 Celanese Corp - Series A ...Common 150870103 1185 49879 SH X 38895 0 10984 Celgene Corp. ..............Common 151020104 724 15138 SH X 5871 0 9267 Central European Distribution Corp. ........ Common 153435102 300 11285 SH X 337 0 10948 Cephalon, Inc. .............CNV 156708AR0 998 1000000 PRN X 0 0 1000000 Ceva Inc ...................Common 157210105 847 97588 SH X 44128 0 53460 Challenger Energy Corp .....ADR 15758N101 252 814812 SH X 277205 0 537607 Chico's FAS, Inc. ..........Common 168615102 314 32306 SH X 965 0 31341 Childrens Place Retail .....Common 168905107 550 20791 SH X 8074 0 12717 Chindex International Inc ..Common 169467107 2102 169937 SH X 80099 0 89838 Citigroup Inc ..............Common 172967101 5 1600 SH CALL X 0 0 1600 CITI TRENDS INC ............Common 17306X102 1089 42074 SH X 16870 0 25204 Clarient Inc ...............Common 180489106 1760 473173 SH X 215787 0 257386 CLAYMORE/MAC GLBL SOLAR ENRG ............... Common 18383M621 429 45000 SH X 45000 0 0 Clean Energy Fuels Corp ....Common 184499101 1468 170552 SH X 73044 0 97508 Cliffs Natural Resources, Inc. ............. Common 18683K101 7476 305498 SH X 248767 0 56731 Coca-Cola Co. /The .........Common 191216100 2639 54990 SH X 45442 0 9548 Coldwater Creek Inc. .......Common 193068103 839 137500 SH X 102403 0 35097 Comverge Inc ...............Common 205859101 3750 309908 SH X 145919 0 163989 Concho Resources, Inc. .....Common 20605P101 8995 313518 SH X 221631 0 91887 Conseco Inc ................CNV 208464BH9 5382 10350000 PRN X 0 0 10350000 Conseco Inc ................Common 208464883 822 2718 SH PUT X 0 0 2718 Conseco Inc ................Common 208464883 93 979 SH PUT X 0 0 979 Constant Contact Inc .......Common 210313102 1238 62413 SH X 26546 0 35867 Continental Resources, Inc. ................ Common 212015101 9987 359880 SH X 251070 0 108810 Cooper Tire & Rubber .......Common 216831107 7046 710311 SH X 449637 0 260674 Copa Holdings SA - A .......ADR P31076105 17300 423808 SH X 294088 0 129720 Core Laboratories NV .......ADR N22717107 3378 38759 SH X 23784 0 14975 Corinthian Colleges Inc ....Common 218868107 3172 187333 SH X 121245 0 66088 CORNERSTONE THERAPEUTICS INC ............... Common 21924P103 1580 143727 SH X 49696 0 94031 Corning, Inc. ..............Common 219350105 6873 427982 SH X 327945 0 100037 Cott Corporation ...........ADR 22163N106 321 56897 SH X 1698 0 55199 Cree, Inc. .................Common 225447101 4638 157806 SH X 99322 0 58484 Cresud S.A. - Spons. ADR ...ADR 226406106 1116 118382 SH X 14789 0 103593 Crown Holdings Inc .........Common 228368106 1499 62076 SH X 54439 0 7637 CTC Media Inc. .............ADR 12642X106 3754 317289 SH X 48049 0 269240 Ctrip.com International - ADR .............. ADR 22943F100 13168 284400 SH X 205633 0 78767 Cubic Corp. ................Common 229669106 7858 219565 SH X 142222 0 77343 Cummins, Inc. ..............Common 231021106 1321 37527 SH X 31005 0 6522 Cybersource Corp ...........Common 23251J106 9036 590581 SH X 382829 0 207752 Cypress Bioscience Inc. ....Common 232674507 10661 1131705 SH X 681767 0 449938 Darling International Inc. .Common 237266101 992 150233 SH X 111776 0 38457 Deidrich Coffee Inc. .......Common 253675201 5961 250675 SH X 101762 0 148913 Dendreon Corp ..............Common 24823Q107 1720 68805 SH X 51197 0 17608 Denison Mines Corp .........ADR 248356107 901 556280 SH X 263128 0 293152 Desarrolladora Homex - ADR .ADR 25030W100 1574 56437 SH X 6496 0 49941 DG FastChannel Inc .........Common 23326R109 540 29497 SH X 7087 0 22410 Diana Shipping, Inc. .......ADR Y2066G104 5411 406217 SH X 262187 0 144030 Digital Realty Trust Inc ...Common 253868103 2653 74000 SH X 0 0 74000 Dodge & Cox Intl Stock Fund ................ Common 256206103 1045 41125 SH X 0 0 41125 Dollar Thrifty Automotve Group ............. Common 256743105 4343 311337 SH X 146251 0 165086 Dollar Tree, Inc. ..........Common 256746108 3123 74191 SH X 63105 0 11086 DUOYUAN GLOBAL WATER INC-ADR ............... ADR 266043108 1335 55000 SH X 21249 0 33751 E-House China Holdings - ADS ............... ADR 26852W103 21245 1375983 SH X 755465 0 620518 Ebay, Inc. .................Common 278642103 2166 126438 SH X 104459 0 21979 EMC Corp. ..................Common 268648102 445 33936 SH X 13192 0 20744 Energy Conversion Devices Inc .............. Common 292659109 72 480 SH CALL X 0 0 480 Energy Conversion Devices Inc .............. Common 292659109 122 480 SH PUT X 0 0 480 ENERNOC INC ................Common 292764107 13178 608115 SH X 300816 0 307299 ENTROPIC COMMUNICATIONS INC ................ Common 29384R105 1047 465336 SH X 217402 0 247934 Equinix, Inc. ..............Common 29444U502 12324 169420 SH X 134344 0 35076 EV3 INC ....................Common 26928A200 12874 1197573 SH X 816433 0 381140 Evercore Partners Inc ......Common 29977A105 2022 102947 SH X 48735 0 54212 Exco Resources Inc .........Common 269279402 4402 340729 SH X 268427 0 72302 Express Scripts, Inc. - A ..Common 302182100 4640 67497 SH X 55788 0 11709 Family Dollar Stores .......Common 307000109 4141 146336 SH X 120052 0 26284 Fidelity National ..........Common 31620R105 544 40209 SH X 15596 0 24613 FIRSTBANK CORP/ALMA MICH - fractional shares... Common DDH61G100 0 55125 SH X 55125 0 0 Force Protection Inc .......Common 345203202 2898 327871 SH X 208383 0 119488 Ford Motor Co. .............Common 345370860 3784 623313 SH X 514986 0 108327 Ford Motor Co. .............PFD 345395206 3523 159916 SH X 0 0 159916 FPL Group, Inc. ............Common 302571104 3442 60541 SH X 50014 0 10527 Freeport-McMoran Copper & Gold ............. PFD 35671D78 19162 241250 SH X 0 0 241250 FTI Consulting, Inc. .......Common 302941109 2240 44164 SH X 34798 0 9366 Fushi Copperweld Inc .......ADR 36113E107 600 72508 SH X 2164 0 70344 Gasco Energy Inc ...........Common 367220100 204 727226 SH X 457548 0 269678 Genco Shipping & Trading Ltd ............... Common Y2685T107 3979 183182 SH X 122191 0 60991 GENERAL MOLY INC ...........Common 370373102 133 59787 SH X 1784 0 58003 Gentex Corp. ...............Common 371901109 6120 527605 SH X 415060 0 112545 Gerdau SA - ADR ............ADR 373737105 5076 484823 SH X 431355 0 53468 Giant Interactive Group - ADR .............. ADR 374511103 1920 236513 SH X 182653 0 53860 Gilead Sciences, Inc. ......Common 375558103 3708 79172 SH X 58609 0 20563 Global Industries ..........Common 379336100 1930 341073 SH X 221063 0 120010 Gmx Resources Inc ..........Common 38011M108 2544 239121 SH X 136724 0 102397 Goldcorp, Inc. .............ADR 380956409 4032 116024 SH X 95874 0 20150 Goldman Sachs Group, Inc. ..Common 38141G104 1858 12605 SH X 8818 0 3787 Goodrich (B.F.) Co. ........Common 382388106 1228 24565 SH X 19127 0 5438 Goodrich Petroleum Corp ....Common 382410405 696 28300 SH X 6902 0 21398 Google, Inc. - A ...........Common 38259P508 4698 11144 SH X 8703 0 2441 Graftech International, Ltd. ............... Common 384313102 5049 446388 SH X 322152 0 124236 Gran Tierra Energy Inc .....ADR 38500T101 821 237968 SH X 112639 0 125329 Green Mountain Coffee ......Common 393122106 44293 749203 SH X 445441 0 303762 Group 1Automotive inc. .....Common 398905109 5274 202688 SH X 138827 0 63861 Halozyme Therapeutics Inc ..Common 40637H109 1036 148465 SH X 68026 0 80439 Hansen Medical Inc .........Common 411307101 84 17085 SH X 510 0 16575 Health Mgmt. Associates, Inc. - A .......... Common 421933102 9531 1929291 SH X 1363125 0 566166 Helix Energy Solutions Group I ............. Common 42330P107 7108 653883 SH X 404773 0 249110 Hertz Global Holdings, Inc. ................ Common 42805T105 3112 389470 SH X 316960 0 72510 Hertz Global Holdings, Inc. ................ CNV 42805TAA3 866 750000 PRN X 0 0 750000 Hess Corp. .................Common 42809H107 2290 42603 SH X 35201 0 7402 Himax Tecnologies Inc-ADR ..ADR 43289P106 2953 787397 SH X 358194 0 429203 HMS Holdings Corp ..........Common 40425J101 14380 353152 SH X 203485 0 149667 Home Inns & Hotels Manag. - ADR ............ ADR 43713W107 9701 610534 SH X 473568 0 136966 Horsehead Holding Corp .....Common 440694305 1001 134328 SH X 62390 0 71938 ICF INTERNATIONAL INC ......Common 44925C103 1127 40846 SH X 19334 0 21512 ICICI Bank, Ltd. - SP ADR ..ADR 45104G104 8215 276781 SH X 204501 0 72280 ICON PLC - SP ADR ..........ADR 45103T107 4501 206663 SH X 188995 0 17668 Icu Medical Inc. ...........Common 44930G107 2147 52181 SH X 24614 0 27567 Illumina ...................Common 452327109 24606 631897 SH X 457684 0 174213 Imax Corp ..................ADR 45245E109 3739 460503 SH X 150118 0 310385 Immunogen Inc. .............Common 45253H101 1100 127591 SH X 60312 0 67279 Infosys Tech Ltd-Sp ADR ....ADR 456788108 1445 39283 SH X 15031 0 24252 Intercontinental Exchange, Inc. ............ Common 45865V100 6057 53018 SH X 43781 0 9237 Intermune Inc ..............Common 45884X103 1273 83763 SH X 38387 0 45376 INTERNATIONAL ROYALTY CORP .Common 460277106 817 249889 SH X 118083 0 131806 Intersil Holdings Co. ......Common 46069S109 502 39928 SH X 15376 0 24552 Intl. Game Technology ......Common 459902102 4959 311881 SH X 256106 0 55775 Intrepid Potash, Inc. ......Common 46121Y102 7090 252488 SH X 185773 0 66715 Intuitive Surgical, Inc. ...Common 46120E602 9603 58675 SH X 46856 0 11819 Invitrogen Corp ............CNV 46185RAM2 12779 12214000 PRN X 0 0 12214000 Ipath Msci India Index Etn .Common 06739F291 2012 41100 SH X 0 0 41100 Ipc The Hospitalist Co .....Common 44984A105 3732 139809 SH X 66150 0 73659 Ishares Ftse/Xinhua China 25 ............... Common 464287184 2364 61600 SH X 0 0 61600 Ishares MSCI Emerging Markets Index Fund ... Common 464287234 100 100000 SH PUT X 0 0 100000 Ishares MSCI Emerging Markets Index Fund ... Common 464287234 119 118500 SH PUT X 0 0 118500 Ishares MSCI Taiwan Index Fund ............. Common 464286731 18655 1848835 SH X 1602456 0 246379 ISHARES RUSSELL 1000 GROWTH ................ Common 464287614 1228 29930 SH X 29930 0 0 Ishares Russell Midcap Grwth ............... Common 464287481 3180 87230 SH X 86840 0 390 ISTAR Financial Inc ........CNV 45031UBF7 3449 9000000 PRN X 0 0 9000000 Itau Unibanco Banco Multiplo - ADR ......... ADR 465562106 12615 794319 SH X 713012 0 81307 Itron, Inc. ................Common 465741106 5180 94065 SH X 73459 0 20606 ITT Educational Services, Inc. ............. Common 45068B109 1258 12500 SH X 9827 0 2673 JAGUAR MINING INC ..........Common 47009M103 1421 187506 SH X 26931 0 160575 Jefferies Group, Inc. ......Common 472319102 1416 66386 SH X 51795 0 14591 JetBlue Airways Corp. ......Common 477143101 676 158235 SH X 61716 0 96519 Jinpan International Ltd ...ADR G5138L100 1005 35156 SH X 16653 0 18503 Johnson Controls, Inc. .....CNV 478366602 595 5500 PRN X 0 0 5500 Johnson Controls, Inc. .....PFD 478366602 5897 54500 SH X 0 0 54500 KBW INC ....................Common 482423100 2129 74022 SH X 55143 0 18879 Kendle International Inc. ..CNV 48880LAA5 739 1000000 PRN X 0 0 1000000 King Pharmaceuticals, Inc. .CNV 495582AJ7 12778 16200000 PRN X 0 0 16200000 Kinross Gold Corp. .........ADR 496902404 851 46906 SH X 30007 0 16899 Kirkland inc ...............Common 497498105 4336 361071 SH X 170443 0 190628 Knight Capital Group Inc - A ............... Common 499005106 4930 289129 SH X 187289 0 101840 LDK Solar Co., Ltd. ........CNV 50183LAB3 1352 1960000 PRN X 0 0 1960000 LDK Solar Co., Ltd. ........Common 50183L107 373 5975 SH PUT X 0 0 5975 Leap Wireless Intl Inc. ....Common 521863308 3965 120393 SH X 78005 0 42388 LEGG MASON INC. ............CNV 524901303 756 30000 PRN X 0 0 30000 LEGG MASON INC. ............PFD 524901303 2142 85000 SH X 0 0 85000 LongTop Financial Techno-Ads ............... ADR 54318P108 10755 437925 SH X 221364 0 216561 MARKET VECTORS AGRIBUSINESS .............. Common 57060U605 1612 46800 SH X 0 0 46800 MARKET VECTORS GOLD MINERS .Common 57060U100 2796 73950 SH X 73950 0 0 Market Vectors Russia Etf ..Common 57060U506 11455 548600 SH X 0 0 548600 Marten Transport Ltd. ......Common 573075108 1049 50542 SH X 23945 0 26597 Marvell Technologies .......ADR G5876H105 6843 584523 SH X 503068 0 81455 McAfee, Inc. ...............Common 579064106 14438 342220 SH X 251490 0 90730 McDermott Intl. Inc. .......Common 580037109 2249 110715 SH X 97070 0 13645 McDonald's Corp. ...........Common 580135101 4295 74706 SH X 57525 0 17181 Medarex Inc. ...............Common 583916101 4195 502419 SH X 352486 0 149933 MEDASSETS INC ..............Common 584045108 6189 318204 SH X 237084 0 81120 Medco Health Solutions, Inc. ............... Common 58405U102 3011 66022 SH X 49417 0 16605 Medifast Inc ...............Common 58470H101 1765 154015 SH X 72782 0 81233 Melco Crown Entertainment - ADR ........ADR 585464100 17369 3847783 SH X 3236520 0 611263 MELLANOX TECHNOLOGIES LTD ..ADR M51363113 3255 270565 SH X 118216 0 152349 MercadoLibre, Inc. .........ADR 58733R102 7931 293388 SH X 240254 0 53134 Metalico Inc ...............Common 591176102 1032 221410 SH X 104440 0 116970 MetroPCS Communications, Inc. .............. Common 591708102 1702 127874 SH X 112169 0 15705 MFA Financial Inc ..........Common 55272X102 685 99010 SH X 86821 0 12189 Microsoft Corp. ............Common 594918104 3346 140747 SH X 116352 0 24395 Mobile Telesystems - SP ADR ................ ADR 607409109 6186 165934 SH X 153632 0 12302 Monro Muffler Brake Inc. ...Common 610236101 549 21366 SH X 10036 0 11330 MORGAN STANLEY CHINA A SHARE ............... Common 617468103 5312 167779 SH X 0 0 167779 Mosaic Co. .................Common 61945A107 4470 100908 SH X 78672 0 22236 MSCI Inc-A .................Common 55354G100 3940 161195 SH X 141312 0 19883 MYR GROUP INC/DELAWARE .....Common 55405W104 2569 127045 SH X 60140 0 66905 Myriad Genetics ............Common 62855J104 16329 458032 SH X 333013 0 125019 Myriad Pharmaceuticals .....Common 62856H107 449 96549 SH X 72063 0 24486 Nabors Industries, Ltd. ....ADR G6359F103 1516 97302 SH X 56444 0 40858 National City Corp .........CNV 635405AW3 10270 10400000 PRN X 0 0 10400000 National Retail Properties I .............. CNV 637417AA4 465 500000 PRN X 0 0 500000 Nektar Therapeutics ........Common 640268108 15275 2357242 SH X 1446488 0 910754 NetApp, Inc. ...............Common 64110D104 872 44235 SH X 34834 0 9401 Netease.com, Inc. - ADR ....ADR 64110W102 1629 46293 SH X 38338 0 7955 Netflix, Inc. ..............Common 64110L106 8168 197577 SH X 131389 0 66188 Netlogic Microsystems Inc ..Common 64118B100 8196 224796 SH X 155828 0 68968 Neutral Tandem Inc .........Common 64128B108 4057 137422 SH X 80660 0 56762 Ninety-nine Cts Only Str ...Common 65440K106 10118 745034 SH X 483338 0 261696 Nuvasive, Inc. .............Common 670704105 18258 409381 SH X 289744 0 119637 O Reilly Automotive, Inc. ..Common 686091109 4133 108523 SH X 85473 0 23050 Occidental Petroleum Corp. .Common 674599105 3739 56819 SH X 46950 0 9869 Ocwen Financial Corp .......Common 675746309 13478 1039175 SH X 655920 0 383255 Oil Services Holdrs Trust ..Common 678002106 2491 25500 SH X 25500 0 0 Olympic Steel Inc ..........Common 68162K106 1224 50007 SH X 23561 0 26446 Omnicare, Inc. .............Common 681904108 5956 231230 SH X 164232 0 66998 ON Semiconductor Corp ......CNV 682189AG0 17142 19100000 PRN X 0 0 19100000 OncoGenex Pharmaceutical Inc ............... Common 68230A106 2246 102664 SH X 48142 0 54522 OPTIMER PHARMACEUTICALS INC ................ Common 68401H104 1084 72379 SH X 34236 0 38143 Optionsxpress Holdings Inc .Common 684010101 1199 77203 SH X 49847 0 27356 Oracle Corp. ...............Common 68389X105 2403 112176 SH X 92682 0 19494 Orion Marine Group Inc .....Common 68628V308 6365 335008 SH X 201604 0 133404 Ormat Technologies, Inc. ...Common 686688102 4370 108417 SH X 72118 0 36299 Orthofix International N.V..ADR N6748L102 3317 132632 SH X 62730 0 69902 Orthovita Inc ..............Common 68750U102 2934 567420 SH X 265115 0 302305 PACIFIC RUBIALES ENERGY CORP ............... ADR 69480U206 3411 418460 SH X 81101 0 337359 Packaging Corp. of America .Common 695156109 1122 69282 SH X 54597 0 14685 Paladin Energy, Ltd. .......ADR Q7264T104 11504 2906287 SH X 1863128 0 1043159 Palm, Inc. .................Common 696643105 12941 781014 SH X 546815 0 234199 Pan Amer Silver Corp. ......ADR 697900108 6023 328602 SH X 212082 0 116520 Peabody Energy Corporation .Common 704549104 311 10325 SH X 0 0 10325 Penn National Gaming, Inc. .Common 707569109 5126 176094 SH X 140029 0 36065 Perfect World Co., Ltd. - ADR .............. ADR 71372U104 14776 516641 SH X 322409 0 194232 Petrohawk Energy Corp. .....Common 716495106 5931 265976 SH X 188956 0 77020 Petroleo Brasileiro SA .....ADR 71654V408 20355 494800 SH X 445424 0 49376 Pinnacle Entertainment Inc .Common 723456109 2684 288915 SH X 179068 0 109847 Piper Jaffray Companies Inc. ............... Common 724078100 3150 72124 SH X 53718 0 18406 PMC - Sierra Inc. ..........Common 69344F106 4812 604570 SH X 450367 0 154203 Potash Corp. of Saskatchewan ...............ADR 73755L107 3998 42963 SH X 35506 0 7457 Powershares DB Agriculture Fund ............ Common 73936B408 1575 61876 SH X 56700 0 5176 Priceline.com, Inc. ........Common 741503403 28257 253311 SH X 182407 0 70904 PrivateBancorp, Inc. .......Common 742962103 691 31055 SH X 12085 0 18970 ProShares Ultra Oil ........Common 74347R719 2056 77500 SH X 0 0 77500 Qualcomm, Inc. .............Common 747525103 5711 126347 SH X 104449 0 21898 Quality Systems, Inc. ......Common 747582104 5320 93396 SH X 67029 0 26367 Quanta Services, Inc. ......Common 74762E102 3954 170955 SH X 134564 0 36391 Quicksilver Resources Inc ..Common 74837R104 2420 260491 SH X 228385 0 32106 RACKSPACE HOSTING INC ......Common 750086100 8965 646845 SH X 390985 0 255860 Randgold Resources, Ltd. - ADR ............. ADR 752344309 4657 72172 SH X 57586 0 14586 Range Resources Corp .......Common 75281A109 1692 40863 SH X 35846 0 5017 Red Back Mining, Inc. ......ADR 756297107 2118 242978 SH X 169668 0 73310 RehabCare Group Inc. .......Common 759148109 3606 150691 SH X 71319 0 79372 Research in Motion, Inc. ...ADR 760975102 3480 48986 SH X 30255 0 18731 Rex Energy Corp ............Common 761565100 1410 247283 SH X 114515 0 132768 RF Micro Devices Inc .......Common 749941100 12003 3192294 SH X 2071449 0 1120845 Rigel Pharmaceuticals Inc ..Common 766559603 1014 83644 SH X 39452 0 44192 Riverbed Technology Inc ....Common 768573107 14269 615321 SH X 388522 0 226799 Rovi Corp ..................Common 779376102 869 39864 SH X 9733 0 30131 RTI International Metals ...Common 74973W107 6652 376451 SH X 226633 0 149818 Ryanair Holdings PLC - SP ADR .............. ADR 783513104 3699 128911 SH X 128911 0 0 Sandisk Corp ...............CNV 80004CAC5 5421 8570000 PRN X 0 0 8570000 Sandisk Corp ...............Common 80004C101 12 2379 SH PUT X 0 0 2379 SAVVIS Inc .................Common 805423308 4964 433129 SH X 262743 0 170386 SBA Communications .........Common 78388J106 2163 88142 SH X 77348 0 10794 Schnitzer Steel Inds A .....Common 806882106 6535 123629 SH X 85119 0 38510 School Specialty Inc .......CNV 807863AE5 2037 2150000 PRN X 0 0 2150000 Sequenom, Inc. .............Common 817337405 112 28579 SH X 12485 0 16094 Shanda Interactive - ADR ...ADR 81941Q203 6343 120757 SH X 96184 0 24573 Shutterfly Inc .............Common 82568P304 4467 320203 SH X 222439 0 97764 SIGA TECHNOLOGIES INC ......Common 826917106 3975 470979 SH X 219917 0 251062 Silicon Laboratories Inc ...Common 826919102 7736 203697 SH X 149734 0 53963 Siliconware Precision Temp. - SP ADR ...... ADR 827084864 7531 1208661 SH X 1096586 0 112075 Silver Wheaton Corp. .......ADR 828336107 4962 602124 SH X 360347 0 241777 Smart Balance Inc ..........Common 83169Y108 990 145391 SH X 33351 0 112040 Smith Micro Software Inc. ..Common 832154108 1862 189954 SH X 87932 0 102022 SOLARWINDS INC .............Common 83416B109 1743 105697 SH X 78684 0 27013 SOURCEFIRE INC .............Common 83616T108 1946 157076 SH X 71522 0 85554 Southern Copper Corp. ......Common 84265V105 2161 105748 SH X 87364 0 18384 Southwestern Energy Co. ....Common 845467109 1632 42012 SH X 36845 0 5167 Spartan Motors Inc. ........Common 846819100 2063 182112 SH X 86261 0 95851 SPDR METALS & MINING ETF ...Common 78464A755 2235 60400 SH X 60400 0 0 Spdr S&P China Etf .........Common 78463X40 2552 42000 SH X 0 0 42000 SPECTRUM PHARMACEUTICALS INC ............... Common 84763A108 2013 263137 SH X 124543 0 138594 St. Jude Medical, Inc. .....Common 790849103 2098 51055 SH X 41363 0 9692 Starbucks Corp. ............Common 855244109 5670 408232 SH X 325732 0 82500 Starent Networks Corp. .....Common 85528P108 9209 377263 SH X 288495 0 88768 STEC, Inc. .................Common 784774101 33450 1442417 SH X 841290 0 601127 Stein Mart Inc. ............Common 858375108 1682 189823 SH X 89817 0 100006 Steven Madden Limited ......Common 556269108 2409 95190 SH X 70938 0 24252 Sunpower Corp ..............CNV 867652AB5 11373 12430000 PRN X 0 0 12430000 Switch & Data Facilities Co ................ Common 871043105 1552 132294 SH X 61576 0 70718 SXC Health Solutions Corp ..ADR 78505P100 5239 206099 SH X 113851 0 92248 Synaptics Inc ..............Common 87157D109 3269 84591 SH X 63046 0 21545 Synchronoss Technologies Inc ............... Common 87157B103 2677 218187 SH X 102203 0 115984 Tenet Healthcare Corp. .....Common 88033G100 6167 2186958 SH X 1421166 0 765792 Textron Inc. ...............Common 883203101 384 39800 SH X 0 0 39800 The Pep Boys-Manny Moe & Jack .............. Common 713278109 8386 827031 SH X 475376 0 351655 Thompson Creek Metals Co Inc ............... ADR 884768102 3088 302148 SH X 184240 0 117908 Thor Industries Inc. .......Common 885160101 1363 74170 SH X 55216 0 18954 THQ Inc ....................Common 872443403 6925 967246 SH X 570317 0 396929 Time Warner Telecom ........CNV 887319AC5 925 1100000 PRN X 0 0 1100000 Titanium Metals Corp. ......Common 888339207 4325 470582 SH X 369443 0 101139 Transocean, Ltd. ...........Common H8817H100 2208 29726 SH X 24552 0 5174 TREX COMPANY INC ...........CNV 89531PAA3 3499 4300000 PRN X 0 0 4300000 Trina Solar Ltd - ADR ......ADR 89628E104 2834 110560 SH X 51553 0 59007 Trina Solar Ltd - ADR ......ADR 89628E104 83 1666 SH PUT X 0 0 1666 Trina Solar Ltd - ADR ......CNV 89628EAA2 1663 2000000 PRN X 0 0 2000000 Trina Solar Ltd - ADR ......ADR 89628E104 167 3334 SH PUT X 0 0 3334 Trina Solar Ltd - ADR ......ADR 89628E104 0 5000 SH PUT X 0 0 5000 Triquint Semiconductor .....Common 89674K103 451 84900 SH X 2433 0 82467 True Religion Apparel Inc ..Common 89784N104 7215 323537 SH X 157937 0 165600 Tyson Foods Inc ............CNV 902494AP8 4663 4600000 PRN X 0 0 4600000 UAL Corporation ............Common 902549807 11 3425 SH X 0 0 3425 UAL Corporation ............CNV 902549AE4 956 2250000 PRN X 0 0 2250000 UAL Corporation ............Common 902549807 790 6075 SH PUT X 0 0 6075 ULTRASHORT RUSSELL2000 PROSH ............... Common 74347R834 1573 37000 SH X 0 0 37000 United Therapeutics ........Common 91307C102 2783 33396 SH X 29279 0 4117 UNIVERSAL TRAVEL GROUP .....ADR 91388Q202 1536 137243 SH X 64722 0 72521 Vale SA - SP ADR ...........ADR 91912E105 11746 663541 SH X 602108 0 61433 ValueClick, Inc. ...........Common 92046N102 3598 342013 SH X 221465 0 120548 Veeco Instruments Inc ......Common 922417100 4847 418229 SH X 251770 0 166459 VIRGIN MOBILE USA INC-A ....Common 92769R108 2780 691612 SH X 324876 0 366736 Visa, Inc. - A ............Common 92826C839 6238 100191 SH X 85698 0 14493 Visionchina Media, Inc. - ADR .............. ADR 92833U103 696 113958 SH X 33658 0 80300 VISTAPRINT LTD .............ADR G93762204 7777 182344 SH X 90391 0 91953 Volterra Semiconductor Corp ................ Common 928708106 2442 185828 SH X 80608 0 105220 Wal-Mart Stores, Inc. ......Common 931142103 3633 74996 SH X 56727 0 18269 Weatherford International, Ltd. ............ Common H27013103 1758 89880 SH X 74249 0 15631 Wells Fargo & Co. ..........Common 949746101 125 125000 SH PUT X 0 0 125000 Wells Fargo & Co. ..........Common 949746101 3 100 SH PUT X 0 0 100 Wells Fargo & Co. ..........Common 949746101 20 1971 SH PUT X 0 0 1971 Wells Fargo & Co. ..........CNV 949746804 785 1000 PRN X 0 0 1000 Wesco International Inc ....CNV 95082PAE5 5190 5500000 PRN X 0 0 5500000 Westport Innovations Inc ...ADR 960908309 3999 494363 SH X 214252 0 280111 Wimm-Bill-Dann Foods OJSC ..ADR 97263M109 8323 150518 SH X 134024 0 16494 WMS Industries, Inc. .......Common 929297109 2544 80736 SH X 50029 0 30707 WONDER AUTO TECHNOLOGY INC .ADR 978166106 3373 332925 SH X 155422 0 177503 Wyndham Worldwide Corp. ....Common 98310W108 30 320 SH CALL X 0 0 320 Wyndham Worldwide Corp. ....Common 98310W108 13 320 SH PUT X 0 0 320 Wynn Resorts, Ltd. .........Common 983134107 503 14241 SH X 5529 0 8712 XYRATEX LTD ................ADR G98268108 399 79800 SH X 2326 0 77474 Yamana Gold Inc ............ADR 98462Y100 2112 238866 SH X 209537 0 29329 Yingli Green Energy Holdings - ADR ......... ADR 98584B103 9804 723530 SH X 561129 0 162401 YRC Worldwide Inc. .........CNV 985577AA3 716 2700000 PRN X 0 0 2700000 YRC Worldwide Inc. .........Common 984249102 164 1285 SH PUT X 0 0 1285 YRC Worldwide Inc. .........Common 984249102 856 5035 SH PUT X 0 0 5035 ZAGG INC ...................Common 98884U10 945 137015 SH X 64550 0 72465 Zix Corp ...................Common 98974P100 1052 701000 SH X 322342 0 378658 Zoran Corp. ................Common 98975F101 4642 425882 SH X 311948 0 113934
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