13F-HR 1 a2212830z13f-hr.txt 13F-HR UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 13F FORM 13F COVER PAGE Report for the Calendar Year or Quarter Ended: December 31, 2012 ----------------------- 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: Three Zero Three Capital Partners, LLC -------------------------------------- Address: 318 W. Adams -------------------------------------- 10th Floor -------------------------------------- Chicago, IL 60606 -------------------------------------- Form 13F File Number: 28-13865 --------------------- 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: Peter Dorenbos ------------------------------- Title: Chief Compliance Officer ------------------------------- Phone: 312-432-6551 ------------------------------- Signature, Place, and Date of Signing: /S/ Peter Dorenbos Chicago, ILLinois February 12, 2013 ------------------------------- ----------------- ----------------- [Signature] [City, State] [Date] The following managers (KCM Management LLC, Equity Volatility Trading LLC, Moray Capital Management LLC, MMJ Capital Management LLC) currently included under Three Zero Three Capital Partner's filing no longer meet the 100 million threshold requirement, and therefore, are no longer required to file. Future filings by Three Zero Three Capital Partners will not include these other managers. 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: 316 -------------------- Form 13F Information Table Value Total: $24,515 -------------------- (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

Investment Other Voting Quarter Name Of Issuer Title Of Class Cusip Value Amount SH_PRN PUT_CALL Discretion Managers Authority ------- ----------------------------- ---------------- --------- ----- ------ ------ -------- ---------- -------- -------------------------- ~~2012q3~~2012q4 ~~ACI~~3M ~~WORLDWIDE~~CO ~~INC~~ COM ~~004498101~~88579Y101 84126 1,~~980~~357 SH OTHER 1,~~980~~357 ~~2012q3~~2012q4 ~~ADTRAN~~3M ~~INC~~CO ~~COM~~CALL ~~00738A106~~88579Y101 227 ~~128~~70 SH CALL OTHER ~~128~~70 ~~2012q3~~2012q4 ~~ALCOA~~AGNICO ~~INC~~EAGLE ~~COM~~MINES ~~013817101~~LTD 8CALL ~~885~~008474108 129 250 SH CALL OTHER ~~885~~250 ~~2012q3~~2012q4 ~~ALLIANT~~ALCOA ~~TECHSYSTEMS~~ INC COM ~~018804104~~013817101 60186 121,~~200~~464 SH OTHER 121,~~200~~464 ~~2012q3~~2012q4 ~~ALPHA~~ALCOA ~~NATURAL RESOURCES~~ INC ~~COM~~CALL ~~02076X102~~013817101 ~~140~~1 ~~21,293~~490 SH CALL OTHER ~~21,293~~490 ~~2012q3~~2012q4 ~~AMERICAN~~ALCOA ~~CAPITAL~~INC ~~AGENCY~~PUT ~~CORP~~013817101 ~~COM~~13 ~~02503X105~~100 ~~35 1,000~~ SH PUT OTHER ~~1,000~~100 ~~2012q3~~2012q4 ~~ANADARKO~~ALLSTATE ~~PETE~~ CORP ~~COM~~CALL ~~032511107~~020002101 ~~374~~327 ~~5,353~~990 SH CALL OTHER ~~5,353~~990 ~~2012q3~~2012q4 ~~ANNALY~~ALON ~~CAP~~USA ~~MGMT~~ENERGY INC COM ~~035710409~~020520102 ~~132~~25 71,~~860~~408 SH OTHER 71,~~860~~408 ~~2012q3~~2012q4 ~~APPLE~~ALPHA ~~INC~~NATURAL ~~COM~~RESOURCES ~~037833100 67 100 SH OTHER 100 2012q3 APPLE~~ INC COM ~~037833100~~02076X102 52 5,~~338~~351 ~~8,000~~ SH OTHER 85,~~000~~351 ~~2012q3~~2012q4 ~~AUDIENCE~~ALPHA ~~INC~~NATURAL ~~COM~~RESOURCES ~~05070J102 62 10,000 SH OTHER 10,000 2012q3 AVON PRODS~~ INC ~~COM~~CALL ~~054303102~~02076X102 35 ~~215~~100 SH CALL OTHER ~~215~~100 ~~2012q3~~2012q4 ~~BAIDU~~ALPHA ~~INC~~NATURAL ~~SPON~~RESOURCES ~~ADR~~INC ~~REP~~PUT A02076X102 ~~056752108~~3 ~~2,545~~100 ~~21,785~~ SH PUT OTHER ~~21,785~~100 ~~2012q3~~2012q4 ~~BAKER~~ALTRIA ~~HUGHES~~GROUP INC ~~COM~~CALL ~~057224107~~02209S103 ~~381~~1 ~~8,423~~120 SH ~~OTHER~~CALL ~~8,423 2012q3 BANK OF AMERICA CORPORATION COM 060505104 241 27,315 SH~~ OTHER ~~27,315~~120 ~~2012q3~~2012q4 ~~BOARDWALK~~AMERICAN ~~PIPELINE~~ELEC ~~PARTNERS~~PWR UTINC ~~LTD~~CALL ~~PARTNER~~025537101 ~~096627104~~13 ~~33 1,~~200 SH CALL OTHER 1,200 ~~2012q3~~2012q4 ~~BOEING~~AMERICAN EXPRESS CO ~~COM~~CALL ~~097023105~~025816109 ~~326~~9 ~~4,685~~300 SH ~~OTHER~~CALL ~~4,685 2012q3 BORGWARNER INC COM 099724106 7 96 SH~~ OTHER 96300 ~~2012q3~~2012q4 ~~BREITBURN~~AMERICAN ~~ENERGY~~INTL ~~PARTNERS~~GROUP LPINC COM UTNEW ~~LTD~~026874784 ~~PTN~~330 ~~106776107 22 1~~9,~~108~~336 SH OTHER 19,~~108~~336 ~~2012q3~~2012q4 ~~CADENCE~~AMERICAN ~~PHARMACEUTICALS~~WTR ~~INC~~WKS ~~COM~~CO ~~12738T100 46 11,700 SH OTHER 11,700 2012q3 CAPITAL TRUST~~ INC ~~MD CL A~~ NEW ~~14052H506~~COM 61030420103 1678 2,~~300~~106 SH OTHER 162,~~300~~106 ~~2012q3~~2012q4 ~~CATERPILLAR~~ANADARKO ~~INC~~PETE ~~DEL~~CORP COM ~~149123101~~032511107 36308 ~~415~~4,151 SH OTHER ~~415~~4,151 ~~2012q3~~2012q4 ~~CHESAPEAKE~~ANADARKO ~~ENERGY~~PETE CORP ~~COM~~CALL ~~165167107~~032511107 1815 ~~930~~223 SH ~~OTHER~~CALL ~~930 2012q3 CHIPOTLE MEXICAN GRILL INC COM 169656105 95 300 SH~~ OTHER ~~300~~223 ~~2012q3~~2012q4 ~~CIENA~~ANADARKO PETE CORP ~~COM~~PUT ~~NEW~~032511107 ~~171779309~~97 95100 ~~7,000~~ SH PUT OTHER ~~7,000~~100 ~~2012q3~~2012q4 ~~CISCO~~ANNALY ~~SYS~~CAP MGMT INC COM ~~17275R102~~035710409 ~~138~~63 74,~~235~~500 SH OTHER 74,~~235~~500 ~~2012q3~~2012q4 ~~CITIGROUP~~APACHE ~~INC~~CORP COM ~~NEW~~037411105 ~~172967424~~81 40 1,~~221~~029 SH OTHER 1,~~221~~029 ~~2012q3~~2012q4 ~~COBALT~~APACHE ~~INTL~~CORP ~~ENERGY~~CALL ~~INC~~037411105 ~~COM~~1 ~~19075F106~~89 ~~15 688~~ SH CALL OTHER ~~688~~89 ~~2012q3~~2012q4 ~~COLGATE~~APACHE ~~PALMOLIVE~~CORP COPUT ~~COM~~037411105 ~~194162103~~7 8520 ~~791~~ SH PUT OTHER ~~791~~20 ~~2012q3~~2012q4 ~~CONSOL~~APPLE ~~ENERGY~~ INC COM ~~20854P109~~037833100 1180 ~~378~~150 SH OTHER ~~378~~150 ~~2012q3~~2012q4 ~~CORRECTIONS~~AT&T ~~CORP~~INC ~~AMER~~CALL ~~NEW~~00206R102 ~~COM~~2 ~~NEW~~401 ~~22025Y407 21 627~~ SH ~~OTHER~~CALL ~~627 2012q3 COSTCO WHSL CORP NEW COM 22160K105 93 924 SH~~ OTHER ~~924~~401 ~~2012q3~~2012q4 ~~CSX~~BAIDU ~~CORP COM 126408103 308 14,824 SH OTHER 14,824 2012q3 CVR ENERGY~~ INC ~~COM~~SPON ~~12662P108~~ADR 77REP ~~2,100~~A SH056752108 ~~OTHER~~ 2,~~100~~363 ~~2012q3 CYS INVTS INC COM 12673A108 92 6~~23,~~500~~565 SH OTHER 623,~~500~~565 ~~2012q3~~2012q4 ~~DIANA~~BAIDU ~~SHIPPING~~ INC ~~COM~~PUT ~~Y2066G104~~056752108 3407 ~~535~~270 SH PUT OTHER ~~535~~270 ~~2012q3~~2012q4 ~~DISH~~BANK ~~NETWORK~~NEW ~~CORP~~YORK CLMELLON ~~A 25470M109 9 302 SH OTHER 302 2012q3 DUKE ENERGY~~ CORP ~~NEW~~CALL ~~COM~~064058100 ~~NEW~~21 ~~26441C204~~500 ~~61 945~~ SH CALL OTHER ~~945~~500 ~~2012q3~~2012q4 ~~ELECTRONIC~~BANK ~~ARTS~~NOVA ~~INC~~SCOTIA HALIFAX COM ~~285512109~~064149107 57387 46,~~500~~691 SH OTHER 46,~~500~~691 ~~2012q3~~2012q4 ~~EMERSON~~BANK ~~ELEC~~NOVA COSCOTIA ~~COM~~HALIFAX ~~291011104~~PUT 58064149107 ~~1,200~~33 205 SH PUT OTHER ~~1,200~~205 ~~2012q3~~2012q4 ~~EPL~~BANK ~~OIL~~OF &AMERICA ~~GAS~~CORPORATION ~~INC~~ COM ~~26883D108~~060505104 1986 ~~936~~7,440 SH OTHER ~~936~~7,440

2012q4 BANK OF AMERICA CORPORATION CALL 060505104 154 768 SH CALL OTHER 768 2012q4 BANK OF AMERICA CORPORATION PUT 060505104 189 491 SH PUT OTHER 491 2012q4 BB&T CORP CALL 054937107 65 471 SH CALL OTHER 471 2012q4 BCE INC CALL 05534B760 7 328 SH CALL OTHER 328 2012q4 BIOSPECIFICS TECHNOLOGIES CO COM 090931106 33 2,200 SH OTHER 2,200 2012q4 BLACKSTONE GROUP L P CALL 09253U108 5 250 SH CALL OTHER 250 2012q4 BOEING CO CALL 097023105 6 115 SH CALL OTHER 115 2012q4 BOEING CO PUT 097023105 1 100 SH PUT OTHER 100 2012q4 BON-TON STORES INC COM 09776J101 6 460 SH OTHER 460 2012q4 BRAVO BRIO RESTAURANT GROUP COM 10567B109 23 1,713 SH OTHER 1,713 2012q4 BREITBURN ENERGY PARTNERS LP COM UT LTD PTN 106776107 19 1,006 SH OTHER 1,006 2012q4 BREITBURN ENERGY PARTNERS LP PUT 106776107 1 39 SH PUT OTHER 39 2012q4 BROCADE COMMUNICATIONS SYS I CALL 111621306 1 200 SH CALL OTHER 200 2012q4 BUNGE LIMITED CALL G16962105 48 264 SH CALL OTHER 264 2012q4 CADENCE PHARMACEUTICALS INC CALL 12738T100 55 186 SH CALL OTHER 186 2012q4 CAPITAL TRUST INC MD CL A NEW 14052H506 63 30,000 SH OTHER 30,000 2012q4 CATERPILLAR INC DEL COM 149123101 18 200 SH OTHER 200 2012q4 CATERPILLAR INC DEL PUT 149123101 1 2 SH PUT OTHER 2 2012q4 CBOE HLDGS INC CALL 12503M108 20 137 SH CALL OTHER 137 2012q4 CENOVUS ENERGY INC CALL 15135U109 4 44 SH CALL OTHER 44 2012q4 CENTURYLINK INC CALL 156700106 3 400 SH CALL OTHER 400 2012q4 CHEMTURA CORP COM NEW 163893209 32 1,500 SH OTHER 1,500 2012q4 CHESAPEAKE ENERGY CORP PUT 165167107 13 100 SH PUT OTHER 100 2012q4 CHICAGO BRIDGE & IRON CO N V CALL 167250109 39 280 SH CALL OTHER 280 2012q4 CIENA CORP COM NEW 171779309 101 6,445 SH OTHER 6,445 2012q4 CISCO SYS INC CALL 17275R102 74 766 SH CALL OTHER 766 2012q4 CITIGROUP INC COM NEW 172967424 62 1,565 SH OTHER 1,565 2012q4 CLIFFS NATURAL RESOURCES INC CALL 18683K101 51 306 SH CALL OTHER 306 2012q4 CLOROX CO DEL COM 189054109 110 1,500 SH OTHER 1,500 2012q4 CLOROX CO DEL CALL 189054109 20 150 SH CALL OTHER 150 2012q4 COCA COLA CO COM 191216100 73 2,023 SH OTHER 2,023 2012q4 COCA COLA CO CALL 191216100 14 1,320 SH CALL OTHER 1,320

2012q4 COCA COLA CO PUT 191216100 1 5 SH PUT OTHER 5 2012q4 COLGATE PALMOLIVE CO COM 194162103 145 1,391 SH OTHER 1,391 2012q4 COLGATE PALMOLIVE CO CALL 194162103 79 105 SH CALL OTHER 105 2012q4 CONAGRA FOODS INC CALL 205887102 3 106 SH CALL OTHER 106 2012q4 COSTCO WHSL CORP NEW COM 22160K105 839 8,497 SH OTHER 8,497 2012q4 COSTCO WHSL CORP NEW CALL 22160K105 58 157 SH CALL OTHER 157 2012q4 CRAY INC COM NEW 225223304 249 15,642 SH OTHER 15,642 2012q4 CSX CORP COM 126408103 197 10,000 SH OTHER 10,000 2012q4 CSX CORP PUT 126408103 1 150 SH PUT OTHER 150 2012q4 CSX CORP CALL 126408103 1 493 SH CALL OTHER 493 2012q4 CSX CORP PUT 126408103 36 100 SH PUT OTHER 100 2012q4 CUMMINS INC PUT 231021106 1 37 SH PUT OTHER 37 2012q4 CYS INVTS INC COM 12673A108 150 12,700 SH OTHER 12,700 2012q4 CYS INVTS INC CALL 12673A108 2 50 SH CALL OTHER 50 2012q4 DAKTRONICS INC COM 234264109 7 645 SH OTHER 645 2012q4 DAKTRONICS INC PUT 234264109 1 105 SH PUT OTHER 105 2012q4 DARDEN RESTAURANTS INC CALL 237194105 20 344 SH CALL OTHER 344 2012q4 DCP MIDSTREAM PARTNERS LP CALL 23311P100 1 3 SH CALL OTHER 3 2012q4 DECKERS OUTDOOR CORP COM 243537107 209 5,200 SH OTHER 5,200 2012q4 DECKERS OUTDOOR CORP PUT 243537107 1 56 SH PUT OTHER 56 2012q4 DEERE & CO CALL 244199105 40 42 SH CALL OTHER 42 2012q4 DIAMOND OFFSHORE DRILLING IN CALL 25271C102 6 171 SH CALL OTHER 171 2012q4 DIGITAL GENERATION INC COM 25400B108 7 653 SH OTHER 653 2012q4 DISH NETWORK CORP CL A 25470M109 27 740 SH OTHER 740 2012q4 DOLLAR TREE INC COM 256746108 629 15,500 SH OTHER 15,500 2012q4 DOLLAR TREE INC PUT 256746108 69 155 SH PUT OTHER 155 2012q4 DOMINOS PIZZA INC CALL 25754A201 20 45 SH CALL OTHER 45 2012q4 DU PONT E I DE NEMOURS & CO CALL 263534109 43 517 SH CALL OTHER 517 2012q4 DUKE ENERGY CORP NEW CALL 26441C204 17 537 SH CALL OTHER 537 2012q4 DUNKIN BRANDS GROUP INC COM 265504100 60 1,800 SH OTHER 1,800 2012q4 DUNKIN BRANDS GROUP INC PUT 265504100 7 212 SH PUT OTHER 212 2012q4 EBAY INC COM 278642103 28 542 SH OTHER 542

2012q4 EBAY INC CALL 278642103 18 160 SH CALL OTHER 160 2012q4 ELECTRONIC ARTS INC COM 285512109 29 2,000 SH OTHER 2,000 2012q4 EXPRESS SCRIPTS HLDG CO COM 30219G108 81 1,500 SH OTHER 1,500 2012q4 EXXON MOBIL CORP CALL 30231G102 45 182 SH CALL OTHER 182 2012q4 EZCHIP SEMICONDUCTOR LIMITED ORD M4146Y108 108 3,264 SH OTHER 3,264 2012q4 F5 NETWORKS INC COM 315616102 826 8,500 SH OTHER 8,500 2012q4 FACEBOOK INC CALL 30303M102 9 322 SH CALL OTHER 322 2012q4 FELCOR LODGING TR INC PFD CV A $1.95 31430F200 155 6,400 SH OTHER 6,400 2012q4 FIRST NIAGARA FINL GP INC COM 33582V108 2 200 SH OTHER 200 2012q4 FIRST NIAGARA FINL GP INC PUT 33582V108 23 100 SH PUT OTHER 100 2012q4 FIRSTENERGY CORP CALL 337932107 40 215 SH CALL OTHER 215 2012q4 FISERV INC CALL 337738108 17 226 SH CALL OTHER 226 2012q4 FORD MTR CO DEL COM PAR $0.01 345370860 209 16,119 SH OTHER 16,119 2012q4 FREEPORT-MCMORAN COPPER & GO COM 35671D857 62 1,801 SH OTHER 1,801 2012q4 FREEPORT-MCMORAN COPPER & GO PUT 35671D857 6 100 SH PUT OTHER 100 2012q4 GARMIN LTD CALL H2906T109 78 283 SH CALL OTHER 283 2012q4 GENERAC HLDGS INC COM 368736104 69 2,000 SH OTHER 2,000 2012q4 GENERAL ELECTRIC CO COM 369604103 10 500 SH OTHER 500 2012q4 GENERAL ELECTRIC CO CALL 369604103 21 93 SH CALL OTHER 93 2012q4 GENERAL ELECTRIC CO PUT 369604103 23 535 SH PUT OTHER 535 2012q4 GENERAL MLS INC CALL 370334104 1 225 SH CALL OTHER 225 2012q4 GENTEX CORP COM 371901109 19 1,000 SH OTHER 1,000 2012q4 GEO GROUP INC COM 36159R103 42 1,504 SH OTHER 1,504 2012q4 GLOBAL CASH ACCESS HLDGS INC COM 378967103 43 5,536 SH OTHER 5,536 2012q4 GOLDMAN SACHS GROUP INC PUT 38141G104 2 166 SH PUT OTHER 166 2012q4 GOOGLE INC CALL 38259P508 2 2 SH CALL OTHER 2 2012q4 GOOGLE INC PUT 38259P508 8 1 SH PUT OTHER 1 2012q4 GREEN MTN COFFEE ROASTERS IN COM 393122106 308 7,446 SH OTHER 7,446 2012q4 HARTFORD FINL SVCS GROUP INC COM 416515104 34 1,500 SH OTHER 1,500 2012q4 HATTERAS FINL CORP COM 41902R103 30 1,200 SH OTHER 1,200 2012q4 HERTZ GLOBAL HOLDINGS INC COM 42805T105 106 6,529 SH OTHER 6,529 2012q4 HERTZ GLOBAL HOLDINGS INC CALL 42805T105 42 300 SH CALL OTHER 300

2012q4 HESS CORP COM 42809H107 77 1,456 SH OTHER 1,456 2012q4 HESS CORP PUT 42809H107 8 146 SH PUT OTHER 146 2012q4 HEWLETT PACKARD CO CALL 428236103 17 105 SH CALL OTHER 105 2012q4 HOME DEPOT INC COM 437076102 381 6,154 SH OTHER 6,154 2012q4 HOME DEPOT INC CALL 437076102 185 300 SH CALL OTHER 300 2012q4 HONEYWELL INTL INC COM 438516106 609 9,600 SH OTHER 9,600 2012q4 HONEYWELL INTL INC PUT 438516106 1 50 SH PUT OTHER 50 2012q4 INGREDION INC COM 457187102 129 2,000 SH OTHER 2,000 2012q4 INTEL CORP COM 458140100 224 10,867 SH OTHER 10,867 2012q4 INTEL CORP CALL 458140100 29 684 SH CALL OTHER 684 2012q4 INTEL CORP PUT 458140100 63 162 SH PUT OTHER 162 2012q4 INTERDIGITAL INC CALL 45867G101 25 77 SH CALL OTHER 77 2012q4 INTERNATIONAL BUSINESS MACHS COM 459200101 165 861 SH OTHER 861 2012q4 INTERNATIONAL BUSINESS MACHS CALL 459200101 1 150 SH CALL OTHER 150 2012q4 INTEROIL CORP COM 460951106 39 700 SH OTHER 700 2012q4 INTEROIL CORP PUT 460951106 118 49 SH PUT OTHER 49 2012q4 INTERPUBLIC GROUP COS INC COM 460690100 21 1,867 SH OTHER 1,867 2012q4 INTL PAPER CO CALL 460146103 17 50 SH CALL OTHER 50 2012q4 INVESCO LTD CALL G491BT108 29 344 SH CALL OTHER 344 2012q4 ISHARES SILVER TRUST PUT 46428Q109 3 100 SH PUT OTHER 100 2012q4 ISHARES TR RUSSELL 2000 464287655 2 23 SH OTHER 23 2012q4 ISHARES TR PUT 464287655 1 50 SH PUT OTHER 50 2012q4 JAMBA INC COM 47023A101 63 28,000 SH OTHER 28,000 2012q4 JEFFERIES GROUP INC NEW CALL 472319102 60 215 SH CALL OTHER 215 2012q4 JOHNSON CTLS INC CALL 478366107 59 302 SH CALL OTHER 302 2012q4 JPMORGAN CHASE & CO COM 46625H100 53 1,200 SH OTHER 1,200 2012q4 JPMORGAN CHASE & CO CALL 46625H100 4 93 SH CALL OTHER 93 2012q4 KAPSTONE PAPER & PACKAGING C COM 48562P103 33 1,500 SH OTHER 1,500 2012q4 KIMBERLY CLARK CORP CALL 494368103 10 347 SH CALL OTHER 347 2012q4 KLA-TENCOR CORP CALL 482480100 7 53 SH CALL OTHER 53 2012q4 KODIAK OIL & GAS CORP COM 50015Q100 120 13,570 SH OTHER 13,570 2012q4 KOHLS CORP CALL 500255104 3 1,365 SH CALL OTHER 1,365

2012q4 KRAFT FOODS GROUP INC CALL 50076Q106 26 493 SH CALL OTHER 493 2012q4 LAS VEGAS SANDS CORP CALL 517834107 38 335 SH CALL OTHER 335 2012q4 LAZARD LTD SHS A G54050102 79 2,649 SH OTHER 2,649 2012q4 LEE ENTERPRISES INC COM 523768109 43 38,000 SH OTHER 38,000 2012q4 LINCOLN NATL CORP IND COM 534187109 111 4,300 SH OTHER 4,300 2012q4 LINCOLN NATL CORP IND PUT 534187109 10 273 SH PUT OTHER 273 2012q4 LINEAR TECHNOLOGY CORP COM 535678106 49 1,423 SH OTHER 1,423 2012q4 LOWES COS INC CALL 548661107 272 532 SH CALL OTHER 532 2012q4 LOWES COS INC PUT 548661107 1 247 SH PUT OTHER 247 2012q4 MACYS INC COM 55616P104 1 23 SH OTHER 23 2012q4 MARATHON OIL CORP CALL 565849106 14 162 SH CALL OTHER 162 2012q4 MARATHON OIL CORP CALL 565849106 108 250 SH CALL OTHER 250 2012q4 MARATHON OIL CORP PUT 565849106 1 110 SH PUT OTHER 110 2012q4 MARATHON PETE CORP CALL 56585A102 81 45 SH CALL OTHER 45 2012q4 MARKWEST ENERGY PARTNERS L P UNIT LTD PARTN 570759100 38 750 SH OTHER 750 2012q4 MARSH & MCLENNAN COS INC CALL 571748102 26 191 SH CALL OTHER 191 2012q4 MARVELL TECHNOLOGY GROUP LTD CALL G5876H105 8 60 SH CALL OTHER 60 2012q4 MCDONALDS CORP CALL 580135101 35 313 SH CALL OTHER 313 2012q4 MFA FINANCIAL INC COM 55272X102 49 6,000 SH OTHER 6,000 2012q4 MICROSOFT CORP CALL 594918104 14 465 SH CALL OTHER 465 2012q4 MIPS TECHNOLOGIES INC COM 604567107 30 3,896 SH OTHER 3,896 2012q4 MODUSLINK GLOBAL SOLUTIONS I COM 60786L107 116 40,000 SH OTHER 40,000 2012q4 MONDELEZ INTL INC CL A 609207105 44 1,719 SH OTHER 1,719 2012q4 MORGAN STANLEY CALL 617446448 64 250 SH CALL OTHER 250 2012q4 MORGAN STANLEY PUT 617446448 5 310 SH PUT OTHER 310 2012q4 MURPHY OIL CORP COM 626717102 60 1,000 SH OTHER 1,000 2012q4 NATIONAL GRID PLC CALL 636274300 25 430 SH CALL OTHER 430 2012q4 NAVIOS MARITIME PARTNERS L P UNIT LPI Y62267102 7 600 SH OTHER 600 2012q4 NAVIOS MARITIME PARTNERS L P PUT Y62267102 1 12 SH PUT OTHER 12 2012q4 NAVISTAR INTL CORP NEW CALL 63934E108 2 164 SH CALL OTHER 164 2012q4 NIKE INC CALL 654106103 13 200 SH CALL OTHER 200 2012q4 NISKA GAS STORAGE PARTNERS L UNIT LTD LIABI 654678101 1 91 SH OTHER 91

2012q4 NORFOLK SOUTHERN CORP COM 655844108 167 2,708 SH OTHER 2,708 2012q4 NORFOLK SOUTHERN CORP CALL 655844108 20 196 SH CALL OTHER 196 2012q4 NORTH AMERN PALLADIUM LTD COM 656912102 42 32,000 SH OTHER 32,000 2012q4 NORTH AMERN PALLADIUM LTD PUT 656912102 186 320 SH PUT OTHER 320 2012q4 NORTHROP GRUMMAN CORP CALL 666807102 4 31 SH CALL OTHER 31 2012q4 NRG ENERGY INC CALL 629377508 6 11 SH CALL OTHER 11 2012q4 NYSE EURONEXT CALL 629491101 27 40 SH CALL OTHER 40 2012q4 OCCIDENTAL PETE CORP DEL CALL 674599105 3 177 SH CALL OTHER 177 2012q4 ORACLE CORP CALL 68389X105 71 705 SH CALL OTHER 705 2012q4 OSI SYSTEMS INC CALL 671044105 19 20 SH CALL OTHER 20 2012q4 PARKER DRILLING CO COM 701081101 10 2,070 SH OTHER 2,070 2012q4 PEABODY ENERGY CORP COM 704549104 19 700 SH OTHER 700 2012q4 PEABODY ENERGY CORP PUT 704549104 2 30 SH PUT OTHER 30 2012q4 PEABODY ENERGY CORP CALL 704549104 14 100 SH CALL OTHER 100 2012q4 PEERLESS SYS CORP COM 705536100 66 18,399 SH OTHER 18,399 2012q4 PEPSICO INC COM 713448108 27 400 SH OTHER 400 2012q4 PG&E CORP CALL 69331C108 11 168 SH CALL OTHER 168 2012q4 PHILIP MORRIS INTL INC CALL 718172109 4 263 SH CALL OTHER 263 2012q4 PITNEY BOWES INC PUT 724479100 560 390 SH PUT OTHER 390 2012q4 PNC FINL SVCS GROUP INC CALL 693475105 12 50 SH CALL OTHER 50 2012q4 POWERSECURE INTL INC COM 73936N105 3 346 SH OTHER 346 2012q4 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 65 1,000 SH OTHER 1,000 2012q4 PPL CORP CALL 69351T106 18 730 SH CALL OTHER 730 2012q4 PROCTER & GAMBLE CO CALL 742718109 65 208 SH CALL OTHER 208 2012q4 PROCTER & GAMBLE CO PUT 742718109 2 221 SH PUT OTHER 221 2012q4 PRUDENTIAL FINL INC PUT 744320102 2 66 SH PUT OTHER 66 2012q4 PULTE GROUP INC COM 745867101 52 2,851 SH OTHER 2,851 2012q4 PULTE GROUP INC CALL 745867101 92 199 SH CALL OTHER 199 2012q4 PULTE GROUP INC CALL 745867101 114 200 SH CALL OTHER 200 2012q4 PVR PARTNERS L P CALL 693665101 5 41 SH CALL OTHER 41 2012q4 QUALCOMM INC COM 747525103 118 1,900 SH OTHER 1,900 2012q4 QUALCOMM INC CALL 747525103 18 1,117 SH CALL OTHER 1,117

2012q4 QUANTA SVCS INC CALL 74762E102 4 150 SH CALL OTHER 150 2012q4 RAYMOND JAMES FINANCIAL INC CALL 754730109 7 250 SH CALL OTHER 250 2012q4 RED HAT INC COM 756577102 48 900 SH OTHER 900 2012q4 RED HAT INC PUT 756577102 5 136 SH PUT OTHER 136 2012q4 REGIONS FINL CORP NEW COM 7591EP100 543 76,300 SH OTHER 76,300 2012q4 REGIONS FINL CORP NEW PUT 7591EP100 219 763 SH PUT OTHER 763 2012q4 REYNOLDS AMERICAN INC COM 761713106 232 5,600 SH OTHER 5,600 2012q4 REYNOLDS AMERICAN INC PUT 761713106 15 56 SH PUT OTHER 56 2012q4 RIVERBED TECHNOLOGY INC COM 768573107 82 4,166 SH OTHER 4,166 2012q4 ROUNDYS INC COM 779268101 44 9,900 SH OTHER 9,900 2012q4 ROUNDYS INC PUT 779268101 34 100 SH PUT OTHER 100 2012q4 ROYAL BK CDA MONTREAL QUE COM 780087102 404 6,700 SH OTHER 6,700 2012q4 ROYAL BK CDA MONTREAL QUE PUT 780087102 61 188 SH PUT OTHER 188 2012q4 ROYAL GOLD INC CALL 780287108 2 50 SH CALL OTHER 50 2012q4 SANDISK CORP CALL 80004C101 10 281 SH CALL OTHER 281 2012q4 SANDISK CORP PUT 80004C101 13 166 SH PUT OTHER 166 2012q4 SANDRIDGE ENERGY INC COM 80007P307 29 4,555 SH OTHER 4,555 2012q4 SANDRIDGE ENERGY INC PUT 80007P307 12 142 SH PUT OTHER 142 2012q4 SCHLUMBERGER LTD COM 806857108 11 158 SH OTHER 158 2012q4 SCHLUMBERGER LTD CALL 806857108 2 104 SH CALL OTHER 104 2012q4 SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 7 100 SH OTHER 100 2012q4 SENIOR HSG PPTYS TR SH BEN INT 81721M109 86 3,648 SH OTHER 3,648 2012q4 SHFL ENTMT INC COM 78423R105 7 481 SH OTHER 481 2012q4 SIMS METAL MANAGEMENT LTD SPONS ADR 829160100 11 1,115 SH OTHER 1,115 2012q4 SINA CORP ORD G81477104 8 163 SH OTHER 163 2012q4 SMUCKER J M CO CALL 832696405 6 396 SH CALL OTHER 396 2012q4 SOUTHERN CO CALL 842587107 1 500 SH CALL OTHER 500 2012q4 SOUTHWESTERN ENERGY CO CALL 845467109 10 75 SH CALL OTHER 75 2012q4 SPDR GOLD TRUST GOLD SHS 78463V107 146 900 SH OTHER 900 2012q4 SPDR GOLD TRUST CALL 78463V107 5 100 SH CALL OTHER 100 2012q4 SPDR S&P 500 ETF TR TR UNIT 78462F103 990 6,948 SH OTHER 6,948 2012q4 SPDR S&P 500 ETF TR CALL 78462F103 7 50 SH CALL OTHER 50

2012q4 SPDR S&P 500 ETF TR PUT 78462F103 7 75 SH PUT OTHER 75 2012q4 SPDR S&P 500 ETF TR PUT 78462F103 47 1,306 SH PUT OTHER 1,306 2012q4 SPDR SERIES TRUST S&P HOMEBUILD 78464A888 37 1,400 SH OTHER 1,400 2012q4 SPECTRA ENERGY PARTNERS LP CALL 84756N109 13 105 SH CALL OTHER 105 2012q4 ST JOE CO CALL 790148100 10 171 SH CALL OTHER 171 2012q4 STAPLES INC COM 855030102 10 905 SH OTHER 905 2012q4 STARBUCKS CORP CALL 855244109 135 200 SH CALL OTHER 200 2012q4 SUNCOR ENERGY INC NEW CALL 867224107 15 197 SH CALL OTHER 197 2012q4 SYSCO CORP CALL 871829107 34 200 SH CALL OTHER 200 2012q4 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 146 13,235 SH OTHER 13,235 2012q4 TELEPHONE & DATA SYS INC COM NEW 879433829 89 4,000 SH OTHER 4,000 2012q4 TEXAS INSTRS INC CALL 882508104 36 300 SH CALL OTHER 300 2012q4 TIFFANY & CO NEW CALL 886547108 6 146 SH CALL OTHER 146 2012q4 TIME WARNER INC CALL 887317303 41 157 SH CALL OTHER 157 2012q4 TIVO INC COM 888706108 61 4,952 SH OTHER 4,952 2012q4 TORONTO DOMINION BK ONT CALL 891160509 11 150 SH CALL OTHER 150 2012q4 TRANSOCEAN LTD CALL H8817H100 15 50 SH CALL OTHER 50 2012q4 TRIMBLE NAVIGATION LTD CALL 896239100 21 280 SH CALL OTHER 280 2012q4 TRIPADVISOR INC CALL 896945201 96 100 SH CALL OTHER 100 2012q4 TUMI HLDGS INC COM 89969Q104 67 3,191 SH OTHER 3,191 2012q4 ULTA SALON COSMETCS & FRAG I CALL 90384S303 13 180 SH CALL OTHER 180 2012q4 UNION PAC CORP COM 907818108 264 2,100 SH OTHER 2,100 2012q4 UNION PAC CORP CALL 907818108 7 106 SH CALL OTHER 106 2012q4 UNITED CONTL HLDGS INC CALL 910047109 122 704 SH CALL OTHER 704 2012q4 UNITED PARCEL SERVICE INC CALL 911312106 12 439 SH CALL OTHER 439 2012q4 UNITED STATES OIL FUND LP PUT 91232N108 1 100 SH PUT OTHER 100 2012q4 US BANCORP DEL CALL 902973304 4 45 SH CALL OTHER 45 2012q4 VALE S A ADR 91912E105 45 2,168 SH OTHER 2,168 2012q4 VALE S A PUT 91912E105 16 125 SH PUT OTHER 125 2012q4 VALERO ENERGY CORP NEW COM 91913Y100 319 9,336 SH OTHER 9,336 2012q4 VENTAS INC CALL 92276F100 35 247 SH CALL OTHER 247 2012q4 VERIZON COMMUNICATIONS INC COM 92343V104 36 826 SH OTHER 826

2012q4 VERIZON COMMUNICATIONS INC CALL 92343V104 17 640 SH CALL OTHER 640 2012q4 VISTEON CORP CALL 92839U206 14 159 SH CALL OTHER 159 2012q4 VODAFONE GROUP PLC NEW CALL 92857W209 1 200 SH CALL OTHER 200 2012q4 VORNADO RLTY TR CALL 929042109 6 34 SH CALL OTHER 34 2012q4 VRINGO INC COM 92911N104 9 3,000 SH OTHER 3,000 2012q4 VRINGO INC CALL 92911N104 4 211 SH CALL OTHER 211 2012q4 VRINGO INC PUT 92911N104 2 78 SH PUT OTHER 78 2012q4 VULCAN MATLS CO COM 929160109 104 2,000 SH OTHER 2,000 2012q4 WALGREEN CO COM 931422109 207 5,580 SH OTHER 5,580 2012q4 WALGREEN CO CALL 931422109 52 266 SH CALL OTHER 266 2012q4 WAL-MART STORES INC COM 931142103 14 200 SH OTHER 200 2012q4 WAL-MART STORES INC CALL 931142103 7 380 SH CALL OTHER 380 2012q4 WAL-MART STORES INC PUT 931142103 1 2 SH PUT OTHER 2 2012q4 WASTE MGMT INC DEL COM 94106L109 155 4,594 SH OTHER 4,594 2012q4 WASTE MGMT INC DEL CALL 94106L109 33 311 SH CALL OTHER 311 2012q4 WATSON PHARMACEUTICALS INC COM 942683103 336 3,903 SH OTHER 3,903 2012q4 WEIGHT WATCHERS INTL INC NEW CALL 948626106 5 10 SH CALL OTHER 10 2012q4 WELLS FARGO & CO NEW COM 949746101 223 6,535 SH OTHER 6,535 2012q4 WELLS FARGO & CO NEW CALL 949746101 1 250 SH CALL OTHER 250 2012q4 WELLS FARGO & CO NEW PUT 949746101 1 470 SH PUT OTHER 470 2012q4 WESTERN DIGITAL CORP CALL 958102105 77 177 SH CALL OTHER 177 2012q4 WESTERN REFNG INC CALL 959319104 21 330 SH CALL OTHER 330 2012q4 WESTERN UN CO CALL 959802109 5 241 SH CALL OTHER 241 2012q4 WINDSTREAM CORP COM 97381W104 1 103 SH OTHER 103 2012q4 YAHOO INC COM 984332106 287 14,446 SH OTHER 14,446 2012q4 YPF SOCIEDAD ANONIMA CALL 984245100 1 5 SH CALL OTHER 5 2012q4 ZILLOW INC CL A 98954A107 278 10,000 SH OTHER 10,000 2012q4 ZILLOW INC PUT 98954A107 41 100 SH PUT OTHER 100 2012q4 ZUMIEZ INC COM 989817101 19 1,000 SH OTHER 1,000

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