-----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, H3AnMF79jmbIagmCqlkDJG1iWuI7WlcAOiG5Nq4u7RRkepNj3o0kNTz6MinHlqc4 ByQA6AaOxRNMce/KfS3m6Q== 0001144204-08-063311.txt : 20081113 0001144204-08-063311.hdr.sgml : 20081113 20081113145453 ACCESSION NUMBER: 0001144204-08-063311 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081113 DATE AS OF CHANGE: 20081113 EFFECTIVENESS DATE: 20081113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARVEST MANAGEMENT LLC CENTRAL INDEX KEY: 0001140315 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06505 FILM NUMBER: 081184614 BUSINESS ADDRESS: STREET 1: 600 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 600 MADISON AVE CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 v131974_13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2008 ------------------ 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: Harvest Management, L.L.C. -------------------------------------------------- 600 Madison Avenue, 11th Floor -------------------------------------------------- New York, New York 10022 -------------------------------------------------- Form 13F File Number: 28-06505 ----------- 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: Marjorie Gochberg Kellner ------------------------- Title: Managing Member ------------------------- Phone: 212-644-2202 ------------------------- Signature, Place, and Date of Signing: /s/ Marjorie Gochberg Kellner New York, New York 11/13/08 - -------------------------------------------------------------------------------- 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: 2 ------------- Form 13F Information Table Entry Total: 56 ------------- Form 13F Information Table Value Total: $168,205 ------------- (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. No. Form 13F File Number Name --- ----------- ---------------------------- 1 28-7384 Nathaniel Bohrer --- ----------- ---------------------------- 2 28-7750 Marjorie Gochberg Kellner --- ----------- ---------------------------- Harvest Management, L.L.C., shares investment discretion with and is reporting on behalf of Mr. Bohrer and Ms. Gochberg Kellner with respect to the accounts holding the securities reported herein. With respect to the accounts holding the securities reported herein, Mr. Bohrer and Ms. Gochberg Kellner exercise investment discretion through an institutional investment manager, Harvest Management, L.L.C., which is filing a Form 13-F simultaneously herewith. FORM 13F INFORMATION TABLE
VALUE SHARES/ SH/ PUT/ INVSTMT OTHER SECURITY TITLE OF CLASS CUSIP X (1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE ALPHA NATURAL RESOURCES INC COM 02076X102 746 14500 SH OTHER 1 2 3 14500 ALPHARMA INC CL A 020813101 1,457 39500 SH PUT OTHER 1 2 3 39500 ALPHARMA INC CL A 020813101 4,799 130100 SH OTHER 1 2 3 130100 AMTRUST FINANCIAL SERVICES I COM 032359309 1,019 75000 SH OTHER 1 2 3 75000 ANHEUSER BUSCH COS INC COM 035229103 19,140 295000 SH OTHER 1 2 3 295000 APPLIED BIOSYSTEMS INC DEL COM 038149100 2,593 75700 SH OTHER 1 2 3 75700 BARR PHARMACEUTICALS INC COM 068306109 6,589 100900 SH OTHER 1 2 3 100900 BLACKROCK INC COM 09247X101 486 2500 SH OTHER 1 2 3 2500 CELL THERAPEUTICS INC WARRANTS 150990596 0 200295 SH OTHER 1 2 3 200295 COLLECTIVE BRANDS INC COM 19421W100 1,099 60000 SH OTHER 1 2 3 60000 COLUMBIA LABS INC WARRANTS 197990195 0 203129 SH OTHER 1 2 3 203129 CORN PRODS INTL INC COM 219023108 862 26700 SH OTHER 1 2 3 26700 DG FASTCHANNEL INC COM 23326R109 767 35000 SH OTHER 1 2 3 35000 DIEBOLD INC COM 253651103 331 10000 SH OTHER 1 2 3 10000 DIEBOLD INC COM 253651103 331 10000 SH PUT OTHER 1 2 3 10000 DOW CHEM CO COM 260543103 1,589 50000 SH PUT OTHER 1 2 3 50000 FORDING CDN COAL TR TR UNIT 345425102 5,077 62000 SH OTHER 1 2 3 62000 FOUNDRY NETWORKS INC COM 35063R100 1,275 70000 SH PUT OTHER 1 2 3 70000 FOUNDRY NETWORKS INC COM 35063R100 1,411 77500 SH OTHER 1 2 3 77500 FREEPORT-MCMORAN COPPER & GO COM 35671D857 853 15000 SH CALL OTHER 1 2 3 15000 GENENTECH INC COM NEW 368710406 15,297 172500 SH OTHER 1 2 3 172500 GREY WOLF INC COM 397888108 1,693 217611 SH OTHER 1 2 3 217611 GSE SYSTEMS INC COM 36227K106 140 20000 SH OTHER 1 2 3 20000 GYMBOREE CORP COM 403777105 710 20000 SH OTHER 1 2 3 20000 HERCULES INC COM 427056106 544 27500 SH OTHER 1 2 3 27500 HERCULES INC COM 427056106 594 30000 SH PUT OTHER 1 2 3 30000 HILB ROGAL & HOBBS CO COM 431294107 7,104 152000 SH OTHER 1 2 3 152000 I-MANY INC WARRANTS 449993054 0 49673 SH OTHER 1 2 3 49673 IMCLONE SYS INC COM 45245W109 1,248 20000 SH PUT OTHER 1 2 3 20000 IMCLONE SYS INC COM 45245W109 10,296 165000 SH OTHER 1 2 3 165000 INPLAY TECHNOLOGIES INC WARRANTS 45773L103 0 25485 SH OTHER 1 2 3 25485 INTERNATIONAL RECTIFIER CORP COM 460254105 190 10000 SH OTHER 1 2 3 10000 LIGAND PHARMACEUTICALS INC CL B 53220K207 786 266425 SH OTHER 1 2 3 266425 MEDIFAST INC COM 58470H101 817 120000 SH OTHER 1 2 3 120000 MERRILL LYNCH & CO INC COM 590188108 506 20000 SH OTHER 1 2 3 20000 MERRILL LYNCH & CO INC COM 590188108 506 20000 SH PUT OTHER 1 2 3 20000 NABI BIOPHARMACEUTICALS COM 629519109 812 174355 SH OTHER 1 2 3 174355 NATIONWIDE FINL SVCS INC CL A 638612101 395 8000 SH OTHER 1 2 3 8000 O REILLY AUTOMOTIVE INC COM 686091109 1,071 40000 SH OTHER 1 2 3 40000 PENNY J C INC COM 708160106 834 25000 SH CALL OTHER 1 2 3 25000 QWEST COMMUNICATIONS INTL IN COM 749121109 243 75362 SH OTHER 1 2 3 75362 REPUBLIC SVCS INC COM 760759100 300 10000 SH PUT OTHER 1 2 3 10000 RIO TINTO PLC SPONSORED ADR 767204100 604 2421 SH OTHER 1 2 3 2421 ROHM & HAAS CO COM 775371107 8,400 120000 SH OTHER 1 2 3 120000 ROSS STORES INC COM 778296103 2,025 55000 SH OTHER 1 2 3 55000 SPDR TR UNIT SER 1 78462F103 32,477 280000 SH PUT OTHER 1 2 3 280000 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 648 39500 SH OTHER 1 2 3 39500 TEVA PHARMACEUTICAL INDS LTD ADR 881624209 229 5000 SH PUT OTHER 1 2 3 5000 TJX COS INC NEW COM 872540109 1,221 40000 SH OTHER 1 2 3 40000 TRACTOR SUPPLY CO COM 892356106 841 20000 SH OTHER 1 2 3 20000 TWEEN BRANDS INC COM 901166108 392 40000 SH OTHER 1 2 3 40000 URBAN OUTFITTERS INC COM 917047102 952 29859 SH OTHER 1 2 3 29859 UST INC COM 902911106 5,849 87900 SH OTHER 1 2 3 87900 WAL MART STORES INC COM 931142103 1,797 30000 SH OTHER 1 2 3 30000 WRIGLEY WM JR CO COM 982526105 3,970 50000 SH PUT OTHER 1 2 3 50000 WRIGLEY WM JR CO COM 982526105 14,292 180000 SH OTHER 1 2 3 180000
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