UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 2013
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Check here if Amendment [ ]; Amendment Number: ______
This Amendment (Check only one.): [ ] is a restatement.
[ ] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Trellus Management Company, LLC
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Address: 350 Madison Avenue, 9th Floor
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New York, NY 10017
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Form 13F File Number: 028-10974
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this form.
Person Signing this Report on Behalf of Reporting Manager:
Name: James Scaplen
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Title: Chief Financial Officer
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Phone: 212-389-8805
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Signature, Place, and Date of Signing:
/s/ James Scaplen New York, NY May 15, 2013
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[Signature] [City, State] [Date]
Report Type (Check only one.):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager
are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report, and
all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this
reporting manager are reported in this report and a portion are reported by
other reporting manager(s).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
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Form 13F Information Table Entry Total: 102
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Form 13F Information Table Value Total: 76835
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(thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
-------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ -----
ACACIA TCH
ACACIA RESH CORP COM 003881307 5,515 182,800 SH SOLE 182,800 0 0
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ACADIA
PHARMACEUTICALS INC COM 004225108 109 13,700 SH SOLE 13,700 0 0
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ACTIVE POWER INC COM NEW 00504W308 172 37,428 SH SOLE 37,428 0 0
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AG MTG INVT TR INC COM 001228105 313 12,280 SH SOLE 12,280 0 0
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SPONSORED
ALCATEL-LUCENT ADR 013904305 299 225,000 SH SOLE 225,000 0 0
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ALLEGHENY
TECHNOLOGIES INC COM 01741R102 519 16,355 SH SOLE 16,355 0 0
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ALTERA CORP COM 021441100 1,064 30,000 SH SOLE 30,000 0 0
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ALTISOURCE
RESIDENTIAL CORP CL B 02153W100 585 29,238 SH SOLE 29,238 0 0
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AMERICAN WTR WKS
CO INC NEW COM 030420103 2,138 51,600 SH SOLE 51,600 0 0
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ANTARES PHARMA INC COM 036642106 122 34,181 SH SOLE 34,181 0 0
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APOLLO COML REAL
EST FIN INC COM 03762U105 829 47,123 SH SOLE 47,123 0 0
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APPLE INC COM 037833100 664 1,500 SH SOLE 1,500 0 0
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ARCELORMITTAL SA NY
LUXEMBOURG REGISTRY SH 03938L104 489 37,565 SH SOLE 37,565 0 0
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BLACK DIAMOND INC COM 09202G101 1,621 177,900 SH SOLE 177,900 0 0
------------------------------------------------------------------------------------------------------------------------------------
BLACKSTONE GROUP L P COM UNIT LTD 09253U108 457 23,100 SH SOLE 23,100 0 0
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BOARDWALK PIPELINE UT LTD
PARTNERS PARTNER 096627104 481 16,400 SH SOLE 16,400 0 0
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BOULDER BRANDS INC COM 101405108 2,167 241,000 SH SOLE 241,000 0 0
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SPONSORED
BP PLC ADR 055622104 1,779 42,000 SH SOLE 42,000 0 0
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CALLIDUS
SOFTWARE INC COM 13123E500 274 60,000 SH SOLE 60,000 0 0
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CANADIAN NATL RY CO COM 136375102 421 4,200 SH SOLE 4,200 0 0
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CASEYS GEN
STORES INC COM 147528103 583 10,000 SH SOLE 10,000 0 0
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CATERPILLAR INC DEL COM 149123101 987 11,349 SH SOLE 11,349 0 0
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CF INDS HLDGS INC COM 125269100 677 3,554 SH SOLE 3,554 0 0
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CLEAN HARBORS INC COM 184496107 871 15,000 SH SOLE 15,000 0 0
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COBALT INTL
ENERGY INC COM 19075F106 1,176 41,700 SH SOLE 41,700 0 0
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CORRECTIONS CORP
AMER NEW COM NEW 22025Y407 1,172 30,000 SH SOLE 30,000 0 0
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CYTORI
THERAPEUTICS INC COM 23283K105 101 40,140 SH SOLE 40,140 0 0
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D R HORTON INC COM 23331A109 751 30,913 SH SOLE 30,913 0 0
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DEMANDWARE INC COM 24802Y105 887 35,000 SH SOLE 35,000 0 0
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DERMA SCIENCES INC COM PAR $.01 249827502 127 10,500 SH SOLE 10,500 0 0
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DIANA SHIPPING INC COM Y2066G104 1,119 105,000 SH PUT SOLE 105,000 0 0
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DOCUMENT SEC SYS INC COM 25614T101 23 10,000 SH SOLE 10,000 0 0
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DYAX CORP COM 26746E103 71 16,200 SH SOLE 16,200 0 0
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ENERGY XXI
(BERMUDA) LTD USD UNRS SHS G10082140 1,026 37,700 SH SOLE 37,700 0 0
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EV ENERGY
PARTNERS LP COM UNITS 26926V107 1,019 18,678 SH SOLE 18,678 0 0
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EXELON CORP COM 30161N101 690 20,000 SH SOLE 20,000 0 0
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FLUOR CORP NEW COM 343412102 498 7,509 SH SOLE 7,509 0 0
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GENOMIC HEALTH INC COM 37244C101 636 22,502 SH SOLE 22,502 0 0
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GENWORTH FINL INC COM CL A 37247D106 429 42,900 SH SOLE 42,900 0 0
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GOLAR LNG LTD
BERMUDA SHS G9456A100 1,535 41,500 SH SOLE 41,500 0 0
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GRAFTECH INTL LTD COM 384313102 461 60,000 SH SOLE 60,000 0 0
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HANSEN MEDICAL INC COM 411307101 875 435,481 SH SOLE 435,481 0 0
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INTEGRATED DEVICE
TECHNOLOGY COM 458118106 598 80,000 SH SOLE 80,000 0 0
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INTERMOLECULAR INC COM 45882D109 168 16,500 SH SOLE 16,500 0 0
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INTL PAPER CO COM 460146103 410 8,800 SH SOLE 8,800 0 0
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ISHARES SILVER TRUST ISHARES 46428Q109 886 32,300 SH SOLE 32,300 0 0
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
-------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ -----
BARCLYS
ISHARES TR 20+ YR 464287432 412 3,500 SH SOLE 3,500 0 0
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DJ HOME
ISHARES TR CONSTN 464288752 277 11,600 SH SOLE 11,600 0 0
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DJ US
ISHARES TR REAL EST 464287739 174 2,500 SH PUT SOLE 2,500 0 0
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MSCI
ISHARES TR EAFE INDEX 464287465 436 7,400 SH SOLE 7,400 0 0
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MSCI
ISHARES TR EMERG MKT 464287234 1,480 34,600 SH SOLE 34,600 0 0
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JOES JEANS INC COM 47777N101 375 220,400 SH SOLE 220,400 0 0
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JPMORGAN CHASE & CO COM 46625H100 551 11,600 SH SOLE 11,600 0 0
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JUNIPER NETWORKS INC COM 48203R104 649 35,000 SH SOLE 35,000 0 0
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KINDER MORGAN UT LTD
ENERGY PARTNER PARTNER 494550106 511 5,688 SH SOLE 5,688 0 0
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KINDER MORGAN
INC DEL COM 49456B101 1,563 40,400 SH SOLE 40,400 0 0
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KKR FINL HLDGS LLC COM 48248A306 1,115 100,750 SH SOLE 100,750 0 0
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LAS VEGAS SANDS CORP COM 517834107 1,127 20,000 SH PUT SOLE 20,000 0 0
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LEXINGTON
REALTY TRUST COM 529043101 825 69,950 SH SOLE 69,950 0 0
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LOGMEIN INC COM 54142L109 408 21,226 SH SOLE 21,226 0 0
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MACQUARIE INFRASTR MEMBERSHIP
CO LLC INT 55608B105 981 18,150 SH SOLE 18,150 0 0
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MARKWEST ENERGY UNIT LTD
PARTNERS L P PARTN 570759100 334 5,500 SH SOLE 5,500 0 0
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MERCK & CO INC NEW COM 58933Y105 442 10,000 SH SOLE 10,000 0 0
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MERITAGE HOMES CORP COM 59001A102 296 6,314 SH SOLE 6,314 0 0
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MERRIMACK
PHARMACEUTICALS IN COM 590328100 67 11,000 SH SOLE 11,000 0 0
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MICROSTRATEGY INC CL A NEW 594972408 1,377 13,623 SH SOLE 13,623 0 0
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MONDELEZ INTL INC CL A 609207105 918 30,000 SH SOLE 30,000 0 0
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MULTIBAND CORP COM NEW 62544X209 2,231 910,500 SH SOLE 910,500 0 0
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NATIONAL OILWELL
VARCO INC COM 637071101 540 7,632 SH SOLE 7,632 0 0
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NEWMONT MINING CORP COM 651639106 276 6,600 SH SOLE 6,600 0 0
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NORANDA ALUM
HLDG CORP COM 65542W107 501 111,584 SH SOLE 111,584 0 0
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NOVADAQ
TECHNOLOGIES INC COM 66987G102 247 24,900 SH SOLE 24,900 0 0
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NRG ENERGY INC COM NEW 629377508 530 20,000 SH SOLE 20,000 0 0
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ORMAT
TECHNOLOGIES INC COM 686688102 237 11,500 SH SOLE 11,500 0 0
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PERKINELMER INC COM 714046109 471 13,995 SH SOLE 13,995 0 0
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POINTS INTL LTD COM NEW 730843208 1,600 100,445 SH SOLE 100,445 0 0
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PRECISION
CASTPARTS CORP COM 740189105 497 2,619 SH SOLE 2,619 0 0
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QUIDEL CORP COM 74838J101 1,412 59,436 SH SOLE 59,436 0 0
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RENTECH NITROGEN
PARTNERS L COM UNIT 760113100 538 15,000 SH SOLE 15,000 0 0
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RIVER VY BANCORP COM 768475105 617 28,680 SH SOLE 28,680 0 0
------------------------------------------------------------------------------------------------------------------------------------
SELECT SECTOR SBI
SPDR TR INT-ENERGY 81369Y506 214 2,700 SH SOLE 2,700 0 0
------------------------------------------------------------------------------------------------------------------------------------
SELECT SECTOR
SPDR TR SBI INT-INDS 81369Y704 835 20,000 SH SOLE 20,000 0 0
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SHUTTERFLY INC COM 82568P304 243 5,500 SH SOLE 5,500 0 0
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SILVER STD RES INC COM 82823L106 1,108 105,000 SH SOLE 105,000 0 0
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SIMPSON
MANUFACTURING CO INC COM 829073105 784 25,616 SH SOLE 25,616 0 0
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SMITHFIELD FOODS INC COM 832248108 1,059 40,000 SH SOLE 40,000 0 0
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SPDR GOLD TRUST GOLD SHS 78463V107 587 3,800 SH SOLE 3,800 0 0
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SPDR GOLD TRUST GOLD SHS 78463V107 1,159 7,500 SH CALL SOLE 7,500 0 0
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S&P
SPDR SERIES TRUST HOMEBUILD 78464A888 301 10,000 SH PUT SOLE 10,000 0 0
------------------------------------------------------------------------------------------------------------------------------------
SPONSORED
STATOIL ASA ADR 85771P102 675 27,400 SH SOLE 27,400 0 0
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TECHE HLDG CO COM 878330109 592 14,341 SH SOLE 14,341 0 0
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THOR INDS INC COM 885160101 1,104 30,000 SH SOLE 30,000 0 0
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TOWERSTREAM CORP COM 892000100 335 150,000 SH SOLE 150,000 0 0
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TRANSOCEAN LTD REG SHS H8817H100 1,039 20,000 SH SOLE 20,000 0 0
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
TITLE OF VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
-------------------- ------------ ---------- ----------- ------------ ------ ----- ------------ ----------- ----------- ------ -----
TURQUOISE HILL
RES LTD COM 900435108 717 112,686 SH SOLE 112,686 0 0
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UNWIRED PLANET
INC NEW COM 91531F103 705 317,700 SH SOLE 317,700 0 0
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USA TECHNOLOGIES INC COM NO PAR 90328S500 105 40,000 SH SOLE 40,000 0 0
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VALERO ENERGY
CORP NEW COM 91913Y100 469 10,300 SH SOLE 10,300 0 0
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VIRNETX HLDG CORP COM 92823T108 96 5,000 SH CALL SOLE 5,000 0 0
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WILLIAMS COS INC DEL COM 969457100 937 25,000 SH SOLE 25,000 0 0
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WYNN RESORTS LTD COM 983134107 1,877 15,000 SH PUT SOLE 15,000 0 0
------------------------------------------------------------------------------------------------------------------------------------
XOMA CORP DEL COM 98419J107 90 25,800 SH SOLE 25,800 0 0
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