-----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, M+QwQ+ecAw1R1eJBqfxEE7USB3aj51FW71Mph5jFRGUf3unQH0W+bJkV2dfWZFoB QKonalTJDZqPjMS5U6JnoQ== 0001144204-09-058442.txt : 20091112 0001144204-09-058442.hdr.sgml : 20091111 20091112160738 ACCESSION NUMBER: 0001144204-09-058442 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 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: 091177149 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 v165937_13fhr.txt FORM 13F-HR 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, 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: 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 11/12/09 - -------------------------------------------------------------------------------- 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: 57 ------------- Form 13F Information Table Value Total: $95,695 ------------- (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 - ---------------------------------------------------------------------------------------------------------------------------------- ADOBE SYS INC COM 00724F101 661 20,000 SH OTHER 1 2 20,000 AFFILIATED COMPUTER SERVICES CL A 008190100 542 10,000 SH OTHER 1 2 10,000 AFFILIATED COMPUTER SERVICES CL A 008190100 542 10,000 SH PUT OTHER 1 2 10,000 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 1,349 80,000 SH OTHER 1 2 80,000 AMTRUST FINANCIAL SERVICES I COM 032359309 253 22,143 SH OTHER 1 2 22,143 ARMSTRONG WORLD INDS INC NEW COM 04247X102 872 25,300 SH OTHER 1 2 25,300 BIOGEN IDEC INC COM 09062X103 505 10,000 SH CALL OTHER 1 2 10,000 BJ SVCS CO COM 055482103 3,595 185,000 SH OTHER 1 2 185,000 BON-TON STORES INC COM 09776J101 423 58,100 SH OTHER 1 2 58,100 BORDER'S GROUP INC COM 099709107 313 100,800 SH OTHER 1 2 100,800 BRUKER CORP COM 116794108 213 20,000 SH OTHER 1 2 20,000 CARTER INC COM 146229109 935 35,000 SH OTHER 1 2 35,000 CELL THERAPEUTICS INC WARRANTS 150990596 0 200,295 SH OTHER 1 2 200,295 CFS BANCORP INC COM 125269100 3,234 37,500 SH OTHER 1 2 37,500 COLDWATER CREEK INC COM 193068103 1,640 200,000 SH OTHER 1 2 200,000 COLLECTIVE BRANDS INC COM 19421W100 2,383 137,500 SH OTHER 1 2 137,500 COLLECTIVE BRANDS INC COM 19421W100 867 50,000 SH CALL OTHER 1 2 50,000 COLUMBIA LABS INC WARRANTS 197990195 0 218,747 SH OTHER 1 2 218,747 DISNEY WALT CO COM DISNEY 254687106 824 30,000 SH PUT OTHER 1 2 30,000 DSW INC CL A 23334L102 1,597 100,000 SH OTHER 1 2 100,000 ENTEGRIS INC COM 29362U104 990 200,000 SH OTHER 1 2 200,000 FACET BIOTECH CORP SHS 30303Q103 3,145 181,900 SH OTHER 1 2 181,900 FOSSIL INC COM 349882100 1,423 50,000 SH OTHER 1 2 50,000 HERSHEY CO COM 427866108 1,934 50,000 SH CALL OTHER 1 2 50,000 HHGREGG INC COM 42833L108 508 30,000 SH OTHER 1 2 30,000 KRAFT FOODS INC CL A 50075N104 919 35,000 SH OTHER 1 2 35,000 KRAFT FOODS INC CL A 50075N104 525 20,000 SH PUT OTHER 1 2 20,000 LIGAND PHARMACEUTICALS INC CL B 53220K207 98 42,288 SH OTHER 1 2 42,288 LUMBER LIQUIDATORS INC COM 55003Q103 1,282 59,100 SH OTHER 1 2 59,100 MADDEN STEVEN LTD COM 556269108 810 22,000 SH OTHER 1 2 22,000 MAJESCO ENTERTAINMENT CO COM NEW 560690208 48 34,800 SH OTHER 1 2 34,800 MARVEL ENTERTAINMENT INC COM 57383T103 2,034 41,000 SH OTHER 1 2 41,000 NABI BIOPHARMACEUTICALS COM 629519109 142 39,590 SH OTHER 1 2 39,590 NATCO GROUP INC CL A 63227W203 4,096 92,500 SH OTHER 1 2 92,500 NETAPP INC COM 64110D104 267 10,000 SH OTHER 1 2 10,000 NORDSTROM INC COM 655664100 764 25,000 SH OTHER 1 2 25,000 ODYSSEY RE HLDGS CORP COM 67612W108 1,620 25,000 SH OTHER 1 2 25,000 OMNITURE INC COM 68212S109 1,930 90,000 SH OTHER 1 2 90,000 PANTRY INC COM 698657103 627 40,000 SH OTHER 1 2 40,000 PEPSI BOTTLING GROUP INC COM 713409100 6,377 175,000 SH OTHER 1 2 175,000 PERKINELMER INC COM 714046109 289 15,000 SH OTHER 1 2 15,000 PEROT SYS CORP CL A 714265105 3,119 105,000 SH OTHER 1 2 105,000 QWEST COMMUNICATIONS INTL IN COM 749121109 287 75,362 SH OTHER 1 2 75,362 SCHERING PLOUGH CORP COM 806605101 7,769 275,000 SH OTHER 1 2 275,000 SEPRACOR INC COM 817315104 4,809 210,000 SH OTHER 1 2 210,000 SPDR GOLD TRUST GOLD SHS 78463V107 741 7,500 SH OTHER 1 2 7,500 SPDR TR UNIT SER 1 78462F103 528 5,000 SH OTHER 1 2 5,000 SPSS INC COM 78462K102 4,496 90,000 SH OTHER 1 2 90,000 SUN MICROSYSTEMS INC COM NEW 866810203 3,857 424,300 SH OTHER 1 2 424,300 SUN MICROSYSTEMS INC COM NEW 866810203 455 50,000 SH PUT OTHER 1 2 50,000 TARGET CORP COM 87612W106 1,867 40,000 SH CALL OTHER 1 2 40,000 TERRA INDS INC COM 880915103 1,040 30,000 SH OTHER 1 2 30,000 TERRA INDS INC COM 880915103 867 25,000 SH PUT OTHER 1 2 25,000 TERRA INDS INC COM 880915103 347 10,000 SH CALL OTHER 1 2 10,000 VARIAN MED SYS INC COM 922206107 1,277 25,000 SH OTHER 1 2 25,000 WYETH COM 983024100 13,255 272,842 SH OTHER 1 2 272,842 ZUMIEZ INC COM 989817101 410 25,000 SH OTHER 1 2 25,000
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