-----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, SFd2NivhQdgVw0tAbiZU6QaC0fFTpalmk6rq9fvO+wGpMztIkPbYMsp/hlIuamoC Kows+VecoUag+ND1ebTz5g== 0001144204-10-027334.txt : 20100514 0001144204-10-027334.hdr.sgml : 20100514 20100514141722 ACCESSION NUMBER: 0001144204-10-027334 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100514 DATE AS OF CHANGE: 20100514 EFFECTIVENESS DATE: 20100514 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: 10832364 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 v185194_13f-hr.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: March 31, 2010 ------------------ 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 05/14/10 - ----------------------------------------------------------------- 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: 76 ------------- Form 13F Information Table Value Total: $85,605 ------------- (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 - ------------------------------------------------------------------------------------------------------------------------------------ 3 Com Corp COM 885535104 537 70,000 SH Other 1 2 3 70,000 99 Cents Only Stores COM 65440K106 815 50,000 SH Other 1 2 3 50,000 Air Products COM 009158106 887 12,000 SH Other 1 2 3 12,000 Airgas COM 009363102 1,591 25,000 SH Other 1 2 3 25,000 Airvana Inc COM 00950V101 192 25,000 SH Other 1 2 3 25,000 Alcon Inc COM SHS H01301102 872 5,400 SH Other 1 2 3 5,400 Allegheny Energy Inc COM 017361106 345 15,000 SH Other 1 2 3 15,000 Allied Capital Corp COM 01903q108 323 65,000 SH Other 1 2 3 65,000 Argon St Inc COM 040149106 1,131 42,500 SH Other 1 2 3 42,500 Atlas Energy Inc COM 049298102 78 2,500 SH Other 1 2 3 2,500 Bell Microproducts Inc COM 078137106 983 141,412 SH Other 1 2 3 141,412 Brinks Home Security Hldg COM 109699108 2,979 70,000 SH Other 1 2 3 70,000 Bruker Corp COM 116794108 513 35,000 SH Other 1 2 3 35,000 Bway Holding Co COM 12429T104 302 15,000 SH Other 1 2 3 15,000 Cheesecake Factory COM 163072101 1,353 50,000 SH Other 1 2 3 50,000 Children's Place COM 168905107 1,114 25,000 SH Other 1 2 3 25,000 Citigroup COM 172967101 101 25,000 SH Other 1 2 3 25,000 CNX Gas Corp COM 12618H309 2,093 55,000 SH Other 1 2 3 55,000 Columbia Labs Wrts COM 197990195 - 218,747 SH Other 1 2 3 218,747 COMSYS IT Partners Inc COM 20581e104 1,486 85,000 SH Other 1 2 3 85,000 Devon Energy COM 25179M103 161 2,500 SH Other 1 2 3 2,500 DG Fastchannel Inc COM 23326R109 639 20,000 SH Other 1 2 3 20,000 Diedrich Coffee Inc COM NEW 253675201 467 13,429 SH Other 1 2 3 13,429 General Growth Prop. COM 370021107 241 15,000 SH Other 1 2 3 15,000 Hanesbrands Inc COM 410345102 1,113 40,000 SH Other 1 2 3 40,000 InfoGroup COM 45670g108 441 56,500 SH Other 1 2 3 56,500 Integramed America COM 45810n302 283 32,000 SH Other 1 2 3 32,000 Interactive Data Corp COM 45840j107 560 17,500 SH Other 1 2 3 17,500 InVentiv Health Inc COM 46122E105 562 25,000 SH Other 1 2 3 25,000 InVentiv Health Inc COM 46122E955 562 25,000 SH Put Other 1 2 3 25,000 Ivanhoe Mines Ltd COM 46579N103 87 5,000 SH Other 1 2 3 5,000 JDS Uniphase Corp COM 46612J507 122 9,747 SH Other 1 2 3 9,747 Kraft Foods Inc CL A 50075N104 216 7,139 SH Other 1 2 3 7,139 Krispy Kreme Doughnuts COM 501014104 241 60,000 SH Other 1 2 3 60,000 K-Tron Int'l COM 482730108 450 3,000 SH Other 1 2 3 3,000 Liberty Acquisition Hldg COM 53015y107 958 97,000 SH Other 1 2 3 97,000 Lodgenet COM 540211109 1,150 165,000 SH Other 1 2 3 165,000 Manpower COM 56415H950 286 5,000 SH Put Other 1 2 3 5,000 Masco Co COM 574599106 1,086 70,000 SH Other 1 2 3 70,000 Mattel Inc COM 577081102 1,137 50,000 SH Other 1 2 3 50,000 Maxim Integrated Prods Inc COM 57772k101 115 5,924 SH Other 1 2 3 5,924 Millipore COM 601073109 5,016 47,500 SH Other 1 2 3 47,500 Moduslink Global Solutions Inc COM 60786L107 48 5,750 SH Other 1 2 3 5,750 Netapp Inc COM 64110D104 407 12,500 SH Other 1 2 3 12,500 Netlogic Microsystems COM 64118B100 1,030 35,000 SH Other 1 2 3 35,000 Novell COM 670006105 180 30,000 SH Other 1 2 3 30,000 Office Max COM 67622P101 657 40,000 SH Other 1 2 3 40,000 OSI Pharmaceuticals COM 671040103 5,360 90,000 SH Other 1 2 3 90,000 OSI Pharmaceuticals COM 671040953 1191 20,000 SH Put Other 1 2 3 20,000 Perkinelmer COM 714046109 239 10,000 SH Other 1 2 3 10,000 Plato Learning COM 72764y100 417 75,000 SH Other 1 2 3 75,000 Polycom Inc COM 73172K104 535 17,500 SH Other 1 2 3 17,500 Portfolio Recovery Assoc. COM 73640q105 1,097 20,000 SH Other 1 2 3 20,000 Psychiatric Solutions Inc COM 74439h108 224 7,500 SH Other 1 2 3 7,500 Qwest Communications Intl In COM 749121109 393 75,362 SH Other 1 2 3 75,362 RCN Corp COM NEW 749361200 1,357 90,000 SH Other 1 2 3 90,000 Riskmetrics Grp COM 767735103 1,470 65,000 SH Other 1 2 3 65,000 S&P Dep. Receipts UNIT SER 1 S&P 78462F103 585 5,000 SH Other 1 2 3 5,000 Sapient Corp COM 803062108 1,371 150,000 SH Other 1 2 3 150,000 Silicon Storage Technology COM 827057100 122 40,000 SH Other 1 2 3 40,000 Skillsoft PLC - ADR SPONSORED ADR 830928107 155 15,000 SH Other 1 2 3 15,000 Skillsoft PLC COM 830928957 15,000 SH Put Other 1 2 3 15,000 Smith International Inc COM 832110100 2,141 50,000 SH Other 1 2 3 50,000 Switch & Data Facilities Co COM 871043105 742 41,800 SH Other 1 2 3 41,800 Techwell Inc COM 87874d101 1,870 100,000 SH Other 1 2 3 100,000 Telmex Internacional- ADR SPONS ADR SR L 879690105 1,639 85,000 SH Other 1 2 3 85,000 Terra Industries COM 880915103 11,783 257,500 SH Other 1 2 3 257,500 Tessco Technologies Inc COM 872386107 118 5,000 SH Other 1 2 3 5,000 Tibco Software COM 88632Q103 728 67,400 SH Other 1 2 3 67,400 Varian Inc COM 922206107 4,142 80,000 SH Other 1 2 3 80,000 Volcom Inc COM 92864N101 644 33,000 SH Other 1 2 3 33,000 White Electronic Designs COM 963801105 47 6,700 SH Other 1 2 3 6,700 Williams Sonoma Inc COM 969904901 263 10,000 SH Call Other 1 2 3 10,000 Xerox Corp COM 984121103 243 24,899 SH Other 1 2 3 24,899 XTO Energy Inc COM 98385X106 9,672 205,000 SH Other 1 2 3 205,000 Zenith National Insurance COM 989390109 1,150 30,000 SH Other 1 2 3 30,000
-----END PRIVACY-ENHANCED MESSAGE-----