-----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, FXECKXmOJqpOI/1Fqye9ZXwvYy//saGzNUA+0WbYSBgzsHizsMgVRYC4gxWorSFI gaSQdvioTPex4avthEaR2A== 0000905718-09-000356.txt : 20090515 0000905718-09-000356.hdr.sgml : 20090515 20090515093628 ACCESSION NUMBER: 0000905718-09-000356 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090331 FILED AS OF DATE: 20090515 DATE AS OF CHANGE: 20090515 EFFECTIVENESS DATE: 20090515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: GALLEN JONATHAN CENTRAL INDEX KEY: 0001069726 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13032 FILM NUMBER: 09829240 MAIL ADDRESS: STREET 1: 450 PARK AVENUE STREET 2: 28TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 form13fmar09.txt FORM 13F FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: March 31, 2009 Check here if Amendment [ ]; Amendment Number: [ ] This Amendment (Check only one.): [ ] is a restatement [ ] adds new holdings entries. Institutional Investment Manager Filing this Report: Name: Jonathan Gallen Address: c/o Ahab Capital Management, Inc. 299 Park Avenue, 17th Floor New York, NY 10171 ------------------------------------------------------------- Form 13F File Number: --------------------------------- 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: Jonathan Gallen ----------------------- Title: Investment Manager ----------------------- Phone: (212) 653-1000 ----------------------- Signature, Place, and Date of Signing: /s/ Jonathan Gallen New York, NY May 15, 2009 - --------------------------- ----------------------- -------------------- [Signature] [City, State] [Date] Report Type (Check only one): [X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported 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: 7 - -------------------------------------------------------------------------------- Form 13F Information Table Value Total: $ 24,296 (thousands) - -------------------------------------------------------------------------------- List of Other Included Managers: 0 FORM 13F INFORMATION TABLE FORM 13F March 31, 2009
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Title of Value Shares or SH/ Put/ Investment Other Voting Authority Name of Issuer Class CUSIP (x$1000) Prin. Amt. PRN Call Discretion Managers Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ BAUER EDDIE HLDGS INC COM 071625107 $ 420 1,000,000 SH SOLE N/A 1,000,000 COSI INC COM 22122P101 $ 1,695 4,986,400 SH SOLE N/A 4,986,400 GENERAL FINANCE CORP COM 369822101 $ 1,578 1,578,000 SH SOLE N/A 1,578,000 RAM HOLDINGS LTD SHS G7368R104 $ 125 500,000 SH SOLE N/A 500,000 SEATTLE GENETICS INC COM 812578102 $19,276 1,955,000 SH SOLE N/A 1,955,000 SEATTLE GENETICS INC COM 812578102 $ 111 11,250 SH OTHER N/A 11,250 PROSHARES TR PSHS ULTSH 74347R297 $ 1,091 25,000 SH SOLE N/A 25,000 20YRS
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