13F-HR filed by Forty4 Asset Management LLC
Forty4 Asset Management LLC filed this 13F-HR for the quarter ended 2013-12-31, filed 2014-02-11, with 180 holding rows worth $166,528,000.
- Accession
- 0001085146-14-000395
- Filer
- CIK 1561322
- Filed
- 2014-02-11
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2013
A holdings report, 180 entries on the cover page, a total value of $166,528,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $166,528,000 with VALUE read as thousands by filing date, 13F file number 028-15463. A later restatement replaced it, so the quarter does not use it. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 290,100 | $29,550,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 70,620 | $13,042,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 128,000 | $11,329,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 1,165,556 | $10,665,000 | thousands by filing date | |
| PENNEY J C INC | 708160106 | COM | 2,821,500 | $6,516,000 | thousands by filing date | put |
| Salesforce.com, Inc | 79466L302 | COM | 117,600 | $6,490,000 | thousands by filing date | |
| D.R. HORTON INC | 23331ABB4 | NOTE | 3,500,000 | $6,040,000 | thousands by filing date | principal |
| EQUINIX INC | 29444UAH9 | CNV | 2,500,000 | $5,459,000 | thousands by filing date | principal |
| iShares Russell 2000 ETF | 464287655 | SHS | 41,500 | $4,787,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 8,475 | $4,755,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 87,514 | $4,718,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 79,500 | $4,143,000 | thousands by filing date | |
| SALESFORCE COM INC | 79466LAB0 | BOND | 1,500,000 | $3,868,000 | thousands by filing date | principal |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 510,312 | $3,644,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 4,676,000 | $3,157,000 | thousands by filing date | put |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 134,715 | $2,847,000 | thousands by filing date | |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 15,800 | $2,801,000 | thousands by filing date | |
| SPDR SERIES TRUST | 78464A730 | S&P OILGAS EXP | 36,200 | $2,481,000 | thousands by filing date | |
| ALCOA INC | 013817101 | COM | 818,100 | $2,169,000 | thousands by filing date | call |
| COACH INC | 189754104 | COM | 37,851 | $2,124,000 | thousands by filing date | |
| ALPHA NATURAL RESOURCES INC | 02076X102 | COM | 1,297,300 | $1,780,000 | thousands by filing date | call |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 125,098 | $1,724,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 25,300 | $1,315,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 300,000 | $1,290,000 | thousands by filing date | call |
| TWITTER INC | 90184L102 | COM | 18,100 | $1,152,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 53,226 | $1,027,000 | thousands by filing date | |
| DRYSHIPS INC. | 262498AB4 | NOTE 5.000%12/0 | 1,005,000 | $1,016,000 | thousands by filing date | principal |
| Philip Morris International Inc. | 718172109 | COM | 11,500 | $1,002,000 | thousands by filing date | |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 235,900 | $963,000 | thousands by filing date | put |
| SPY | 78462F103 | SHS | 454,000 | $943,000 | thousands by filing date | call |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 605,900 | $933,000 | thousands by filing date | put |
| CHESEPEAKE ENERGY CORP | 165167107 | COM | 29,600 | $803,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 18,500 | $803,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 14,400 | $787,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 245,200 | $776,000 | thousands by filing date | put |
| Eaton Corp. Plc | G29183103 | COM | 9,800 | $746,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 560,900 | $664,000 | thousands by filing date | put |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 1,559,300 | $663,000 | thousands by filing date | put |
| Cisco Systems,Inc. | 17275R102 | COM | 221,000 | $611,000 | thousands by filing date | call |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 26,100 | $571,000 | thousands by filing date | |
| BB & T CORP | 054937107 | COM | 14,500 | $541,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 500,000 | $539,000 | thousands by filing date | principal |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 526,900 | $528,000 | thousands by filing date | put |
| Dow Chemical Company | 260543103 | COM | 11,800 | $524,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 12,500 | $522,000 | thousands by filing date | |
| COMSTOCK RESOURCES INC | 205768203 | COM | 26,633 | $487,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 974,900 | $483,000 | thousands by filing date | put |
| FRANCO NEV CORP COM | 351858105 | Stock | 11,100 | $452,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 100,100 | $447,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 8,533 | $434,000 | thousands by filing date | |
| Walter Energy Inc | 93317Q105 | COM | 24,676 | $410,000 | thousands by filing date | |
| Mondelez International,Inc. Class A | 609207105 | COM | 11,100 | $392,000 | thousands by filing date | |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 12,700 | $391,000 | thousands by filing date | |
| OREXIGEN THERAPEUTICS INC | 686164104 | COMMON STOCK | 66,225 | $373,000 | thousands by filing date | |
| UNITED STATES OIL FUND LP | 91232N108 | UNITS | 864,800 | $370,000 | thousands by filing date | call |
| BARCLAYS PLC ADR | 06738E204 | ADR | 19,785 | $359,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 54,500 | $353,000 | thousands by filing date | call |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 250,000 | $346,000 | thousands by filing date | principal |
| OCCIDENTAL PETE CORP | 674599105 | COM | 3,500 | $333,000 | thousands by filing date | |
| ENERPLUS CORP | 292766102 | COM | 17,700 | $322,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 32,700 | $311,000 | thousands by filing date | put |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 4,600 | $309,000 | thousands by filing date | |
| DENBURY RES INC | 247916208 | COM NEW | 18,796 | $309,000 | thousands by filing date | |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 9,900 | $290,000 | thousands by filing date | |
| Wells Fargo & Company | 949746101 | COM | 100,000 | $270,000 | thousands by filing date | call |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 9,900 | $261,000 | thousands by filing date | |
| Bank of America Corp | 060505104 | COM | 233,300 | $260,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 6,700 | $244,000 | thousands by filing date | |
| KRAFT FOODS GROUP INC | 50076Q106 | COM | 278,600 | $202,000 | thousands by filing date | put |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 275,500 | $200,000 | thousands by filing date | call |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 35,700 | $186,000 | thousands by filing date | call |
| Morgan Stanley | 617446448 | COM | 52,700 | $185,000 | thousands by filing date | call |
| PENNEY J C INC | 708160106 | COM | 577,800 | $175,000 | thousands by filing date | call |
| VALE S A | 91912E105 | SPONSORED ADS | 480,000 | $161,000 | thousands by filing date | call |
| US STEEL CORP | 912909AE8 | NOTE | 149,000 | $159,000 | thousands by filing date | principal |
| AVON PRODS INC | 054303102 | COM | 8,900 | $153,000 | thousands by filing date | |
| GENCO SHIPPING + TRADING LTD | Y2685T107 | SHS | 58,900 | $147,000 | thousands by filing date | |
| JAMES RIVER COAL CO | 470355207 | COM | 101,900 | $140,000 | thousands by filing date | put |
| PETROLEO BRASILEIRO S A | 71654V408 | SPONSORED ADR | 432,300 | $135,000 | thousands by filing date | call |
| KOHLS CORP | 500255104 | COM | 26,500 | $134,000 | thousands by filing date | call |
| Micron Technology,Inc. | 595112103 | COM | 6,050 | $132,000 | thousands by filing date | |
| RYLAND GROUP INC | 783764103 | COM | 65,200 | $130,000 | thousands by filing date | put |
| YAMANA GOLD INC | 98462Y100 | COM | 14,000 | $121,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 350,000 | $119,000 | thousands by filing date | put |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 56,800 | $119,000 | thousands by filing date | put |
| ALON USA ENERGY INC | 020520102 | COM | 7,000 | $116,000 | thousands by filing date | |
| JOY GLOBAL INC | 481165108 | COM | 1,800 | $105,000 | thousands by filing date | |
| ALBERTSONS CO SHS CL A CLASS CLASS A | 039380100 | COM | 22,601 | $101,000 | thousands by filing date | |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 80,800 | $100,000 | thousands by filing date | put |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 13,700 | $93,000 | thousands by filing date | |
| STATE STREET SPDR ETF S&P RETAIL | 78464A714 | ETF | 1,000 | $88,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 51,400 | $81,000 | thousands by filing date | put |
| NEWMONT CORP | 651639106 | COM | 34,700 | $79,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 2,718 | $78,000 | thousands by filing date | |
| FRONTLINE LTD | G3682E127 | COM | 100,000 | $78,000 | thousands by filing date | call |
| FRANCO NEV CORP COM | 351858105 | Stock | 25,200 | $77,000 | thousands by filing date | put |
| COMSTOCK RESOURCES INC | 205768203 | COM | 89,300 | $75,000 | thousands by filing date | put |
| COACH INC | 189754104 | COM | 75,000 | $71,000 | thousands by filing date | put |
| NORTHSTAR RLTY FIN CORP | 66704R100 | COM | 50,000 | $71,000 | thousands by filing date | call |
| UNITED STATES STL CORP NEW | 912909108 | COM | 11,100 | $67,000 | thousands by filing date | call |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 9,350 | $57,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 260,700 | $55,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 5,500 | $55,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 84,000 | $54,000 | thousands by filing date | put |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 45,700 | $53,000 | thousands by filing date | put |
| Philip Morris International Inc. | 718172109 | COM | 26,400 | $52,000 | thousands by filing date | put |
| HEWLETT PACKARD CO | 428236103 | COM | 26,000 | $52,000 | thousands by filing date | call |
| Intel Corp | 458140100 | COM | 35,000 | $50,000 | thousands by filing date | call |
| DENBURY RES INC | 247916208 | COM NEW | 25,900 | $50,000 | thousands by filing date | put |
| ENERPLUS CORP | 292766102 | COM | 45,600 | $49,000 | thousands by filing date | put |
| Micron Technology,Inc. | 595112103 | COM | 10,000 | $48,000 | thousands by filing date | call |
| TATA MTRS LTD | 876568502 | SPONSORED ADR | 20,000 | $48,000 | thousands by filing date | call |
| Wells Fargo & Company | 949746101 | COM | 100,000 | $45,000 | thousands by filing date | put |
| JINKOSOLAR HOLDING COMPANY,LIM | 47759T100 | SPONSORED ADR | 31,800 | $41,000 | thousands by filing date | put |
| AVON PRODS INC | 054303102 | COM | 30,000 | $41,000 | thousands by filing date | put |
| Applied Materials,Inc. | 038222105 | COM | 75,000 | $40,000 | thousands by filing date | put |
| VALE S A | 91912E105 | SPONSORED ADS | 50,000 | $39,000 | thousands by filing date | put |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 40,000 | $39,000 | thousands by filing date | call |
| Cisco Systems,Inc. | 17275R102 | COM | 216,100 | $38,000 | thousands by filing date | put |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 31,300 | $34,000 | thousands by filing date | call |
| BB & T CORP | 054937107 | COM | 40,000 | $32,000 | thousands by filing date | put |
| ALCOA INC | 013817101 | COM | 1,208,900 | $31,000 | thousands by filing date | put |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 29,000 | $30,000 | thousands by filing date | put |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 9,600 | $30,000 | thousands by filing date | call |
| AMERICAN RAILCAR INDUSTRIES | 02916P103 | COMMON STOCK | 600 | $27,000 | thousands by filing date | |
| HEWLETT PACKARD CO | 428236103 | COM | 25,900 | $26,000 | thousands by filing date | put |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 20,000 | $25,000 | thousands by filing date | call |
| INVESCO LTD SHS | G491BT108 | Stock | 19,500 | $24,000 | thousands by filing date | put |
| MARKET VECTORS ETF TR | 57060U506 | RUSSIA ETF | 914,500 | $24,000 | thousands by filing date | put |
| Morgan Stanley | 617446448 | COM | 870,600 | $22,000 | thousands by filing date | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 278,000 | $21,000 | thousands by filing date | call |
| YAMANA GOLD INC | 98462Y100 | COM | 40,200 | $21,000 | thousands by filing date | put |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 14,200 | $19,000 | thousands by filing date | call |
| ARIAD PHARMACEUTICALS INC | 04033A100 | COM | 56,500 | $19,000 | thousands by filing date | call |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 102,800 | $17,000 | thousands by filing date | put |
| OCCIDENTAL PETE CORP | 674599105 | COM | 20,000 | $17,000 | thousands by filing date | put |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 122,800 | $17,000 | thousands by filing date | put |
| ALON USA ENERGY INC | 020520102 | COM | 23,000 | $17,000 | thousands by filing date | put |
| Applied Materials,Inc. | 038222105 | COM | 77,500 | $16,000 | thousands by filing date | call |
| AT&T Inc | 00206R102 | COM | 41,700 | $15,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 25,000 | $14,000 | thousands by filing date | call |
| RADIOSHACK CORP | 750438103 | COMMON STOCK | 50,000 | $14,000 | thousands by filing date | call |
| JAMES RIVER COAL CO | 470355207 | COM | 10,000 | $14,000 | thousands by filing date | |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 61,200 | $13,000 | thousands by filing date | put |
| BARCLAYS PLC ADR | 06738E204 | ADR | 111,100 | $13,000 | thousands by filing date | put |
| Intel Corp | 458140100 | COM | 35,000 | $12,000 | thousands by filing date | put |
| URBAN OUTFITTERS INC | 917047102 | COM | 11,600 | $12,000 | thousands by filing date | call |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 11,200 | $11,000 | thousands by filing date | call |
| BAXTER INTL INC | 071813109 | COM | 19,100 | $11,000 | thousands by filing date | call |
| META PLATFORMS INC CL A | 30303M102 | COM | 40,000 | $10,000 | thousands by filing date | put |
| KOHLS CORP | 500255104 | COM | 39,100 | $10,000 | thousands by filing date | put |
| ENERPLUS CORP | 292766102 | COM | 20,200 | $10,000 | thousands by filing date | call |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 41,000 | $10,000 | thousands by filing date | put |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 150,000 | $9,000 | thousands by filing date | put |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 2,200 | $9,000 | thousands by filing date | call |
| WISDOMTREE TR | 97717W851 | JAPN HEDGE EQT | 163,900 | $9,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 85,400 | $7,000 | thousands by filing date | put |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 10,900 | $7,000 | thousands by filing date | call |
| COOPER TIRE & RUBR CO | 216831107 | COM | 35,200 | $7,000 | thousands by filing date | put |
| ARCELORMITTAL FUNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 03938L104 | COM | 108,500 | $6,000 | thousands by filing date | put |
| RYLAND GROUP INC | 783764103 | COM | 900 | $6,000 | thousands by filing date | call |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 16,100 | $4,000 | thousands by filing date | put |
| SANDRIDGE ENERGY INC | 80007P307 | COM | 256,900 | $4,000 | thousands by filing date | put |
| Bank of America Corp | 060505104 | COM | 633,300 | $3,000 | thousands by filing date | put |
| D R HORTON INC COM | 23331A109 | Stock | 75,000 | $3,000 | thousands by filing date | put |
| JOY GLOBAL INC | 481165108 | COM | 25,000 | $3,000 | thousands by filing date | put |
| MARKET VECTORS - COAL ETF | 57060U837 | COM | 20,000 | $3,000 | thousands by filing date | call |
| EXXON MOBIL CORP | 30231G102 | COM | 15,000 | $2,000 | thousands by filing date | put |
| BAXTER INTL INC | 071813109 | COM | 25,100 | $2,000 | thousands by filing date | put |
| Dow Chemical Company | 260543103 | COM | 36,600 | $2,000 | thousands by filing date | put |
| Eaton Corp. Plc | G29183103 | COM | 11,600 | $1,000 | thousands by filing date | put |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 30,600 | $1,000 | thousands by filing date | call |
| NASDAQ INC COM | 631103108 | Stock | 43,200 | $1,000 | thousands by filing date | put |
| MOTOROLA SOLUTIONS INC COM NEW | 620076307 | Stock | 16,200 | $1,000 | thousands by filing date | put |
| AUXILIUM PHARMACEUTICALS | 05334D107 | COMMON STOCK | 10,000 | $1,000 | thousands by filing date | call |
| PANDORA MEDIA INC | 698354107 | COM | 50,000 | $1,000 | thousands by filing date | put |
| MGM RESORTS INTERNATIONAL | 552953101 | COM | 44,400 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| URBAN OUTFITTERS INC | 917047102 | COM | 100 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
| Vaneck Vectors Gold Miners ETF | 57060u100 | COM | 53,800 | $0 | thousands by filing date | callValue filed as zero, left out of ratios. |
| L-3 COMMUNICATIONS HLDGS INC | 502424104 | COM | 12,500 | $0 | thousands by filing date | putValue filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-14-000395 | this filing | 2014-02-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001085146-14-000778 | base | 2014-03-18 | acceptance time not in the bulk data set |