-----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, Ukcpnb9H2W8KwhXwsbmRCFYGq4baslH0ofLiIHPdX+O8EVPib0+3W3CJOYi9R5mR H9rGeSjNUitjfIsmo/xg4A== 0001144204-09-007939.txt : 20090213 0001144204-09-007939.hdr.sgml : 20090213 20090213141158 ACCESSION NUMBER: 0001144204-09-007939 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090213 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: 09601596 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 v140100_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: December 31, 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. -------------------------------------------------- 527 Madison Avenue, 9th 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 02/13/09 - -------------------------------------------------------------------------------- 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: 32 ------------- Form 13F Information Table Value Total: $49,866 ------------- (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 AEROPOSTALE COM 007865108 572 35,500 SH OTHER 1 2 3 35,500 AMTRUST FINANCIAL SERVICES I COM 032359309 1,151 99,215 SH OTHER 1 2 3 99,215 CELL THERAPEUTICS INC WARRANTS 150990596 0 200,295 SH OTHER 1 2 3 200,295 COACH INC COM 189754104 4,154 200,000 SH OTHER 1 2 3 200,000 COLUMBIA LABS INC WARRANTS 197990195 0 218,747 SH OTHER 1 2 3 218,747 CONSTELLATION ENERGY GROUP I COM 210371100 1,192 47,500 SH OTHER 1 2 3 47,500 CROWN HOLDINGS INC COM 228368106 768 40,000 SH OTHER 1 2 3 40,000 DATASCOPE CORP COM 238113104 2,612 50,000 SH OTHER 1 2 3 50,000 DOLLAR TREE INC COM 256746108 3,060 73,400 SH OTHER 1 2 3 73,400 DOW CHEM CO COM 260543103 1,509 100,000 SH PUT OTHER 1 2 3 100,000 GAP INC DEL COM 364760108 1,004 75,000 SH OTHER 1 2 3 75,000 GENENTECH INC COM NEW 368710406 2,744 33,100 SH OTHER 1 2 3 33,100 I-MANY INC WARRANTS 449993054 0 49,673 SH OTHER 1 2 3 49,673 INPLAY TECHNOLOGIES INC WARRANTS 45773L103 0 29,583 SH OTHER 1 2 3 29,583 INTEGRAL SYS INC MD COM 45810H107 727 60,300 SH OTHER 1 2 3 60,300 LIGAND PHARMACEUTICALS INC CL B 53220K207 632 230,688 SH OTHER 1 2 3 230,688 LOWES COS INC COM 548661107 1,965 91,300 SH OTHER 1 2 3 91,300 MEDIFAST INC COM 58470H101 393 71,177 SH OTHER 1 2 3 71,177 MENTOR CORP MINN COM 587188103 1,547 50,000 SH OTHER 1 2 3 50,000 MYRIAD GENETICS INC COM 62855J104 2,937 44,325 SH OTHER 1 2 3 44,325 NABI BIOPHARMACEUTICALS COM 629519109 344 102,706 SH OTHER 1 2 3 102,706 PACTIV CORP COM 695257105 622 25,000 SH OTHER 1 2 3 25,000 PETSMART INC COM 716768106 3,229 175,000 SH OTHER 1 2 3 175,000 QWEST COMMUNICATIONS INTL IN COM 749121109 274 75,362 SH OTHER 1 2 3 75,362 ROHM & HAAS CO COM 775371107 2,855 46,205 SH OTHER 1 2 3 46,205 ROHM & HAAS CO COM 775371107 2,472 40,000 SH PUT OTHER 1 2 3 40,000 ROHM & HAAS CO COM 775371107 1,236 20,000 SH CALL OTHER 1 2 3 20,000 ROYAL BK CDA MONTREAL QUE COM 780087102 742 25,000 SH PUT OTHER 1 2 3 25,000 SEMICONDUCTOR HLDRS TR DEP RCPT 816636203 352 20,000 SH OTHER 1 2 3 20,000 STARBUCKS CORP COM 855244109 946 100,000 SH OTHER 1 2 3 100,000 ULTA SALON COSMETICS & FRAG I COM 90384S303 320 38,605 SH OTHER 1 2 3 38,605 UST INC COM 902911106 9,509 137,050 SH OTHER 1 2 3 137,050
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