-----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, LrShtog2t1HG1w2PmKtNF2k1ubyj/drAu56G9eSLn0rLZb78gtXEr0ECRBft1f/6 G6hkqGg85K0EhV8nDSTYjA== 0001144204-10-059461.txt : 20101112 0001144204-10-059461.hdr.sgml : 20101111 20101112100137 ACCESSION NUMBER: 0001144204-10-059461 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101112 DATE AS OF CHANGE: 20101112 EFFECTIVENESS DATE: 20101112 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: 101183562 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 v202039_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, 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 11/11/10 - -------------------------------------------------------------------------------- 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: 72 ------------- Form 13F Information Table Value Total: $90,657 ------------- (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.
Voting Authority Value Shares/ Sh/ Put/ Invstmt Other Security Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ 3Par Inc COM 88580F109 330 10,000 SH Other 1 2 3 10,000 Abraxis Bioscience Inc COM 00383Y102 1740 22,500 SH Other 1 2 3 22,500 ADC Telecommunications COM NEW 000886309 443 35,000 SH Other 1 2 3 35,000 Air Products COM 009158106 373 4,500 SH Other 1 2 3 4,500 Airgas Inc COM 009363102 8,460 124,500 SH Other 1 2 3 124,500 Airtran Holdings Inc COM 00949P108 1,103 150,000 SH Other 1 2 3 150,000 Alberto- Culver Co COM 013078100 941 25,000 SH Other 1 2 3 25,000 Alcon Inc COM SHS H01301102 7,005 42,000 SH Other 1 2 3 42,000 American Oil & Gas COM 028723104 341 42,100 SH Other 1 2 3 42,100 Arcsight Inc COM 039666102 762 17,500 SH Other 1 2 3 17,500 Avis Budget Group Inc COM 053774105 117 10,000 SH Other 1 2 3 10,000 Brocade Communications COM NEW 111621306 264 45,000 SH Other 1 2 3 45,000 Bruker Corp COM 116794108 1,543 110,000 SH Other 1 2 3 110,000 Capital Gold Corp COM NEW 14018Y205 531 110,000 SH Other 1 2 3 110,000 Casey's General Store Inc COM 147528103 313 7,500 SH Other 1 2 3 7,500 Charles River Labs COM 159864107 238 7,192 SH Other 1 2 3 7,192 Cheesecake Factory COM 163072101 1,588 60,000 SH Other 1 2 3 60,000 Children's Place COM 168905107 1,463 30,000 SH Other 1 2 3 30,000 Cinemark Holdings Inc COM 17243V102 322 20,000 SH Other 1 2 3 20,000 Citigroup Inc COM 172967101 156 40,000 SH Other 1 2 3 40,000 Coca-Cola Enterprises COM 191219104 310 10,000 SH Other 1 2 3 10,000 Coca-Cola Enterprises COM 191219904 1,860 60,000 SH Call Other 1 2 3 60,000 Cogent Inc COM 19239Y108 479 45,000 SH Other 1 2 3 45,000 Crucell ADR SPONSORED ADR 228769105 259 7,800 SH Other 1 2 3 7,800 Cypress Bioscience COM PAR $.02 232674507 404 105,000 SH Other 1 2 3 105,000 Diamond Management and Tech. COM 25269l106 500 40,000 SH Other 1 2 3 40,000 Dynegy COM 26817G300 49 10,000 SH Other 1 2 3 10,000 Dynegy COM 26817G900 122 25,000 SH Call Other 1 2 3 25,000 Fossil Inc COM 349882100 807 15,000 SH Other 1 2 3 15,000 Genzyme COM 372917104 6,569 92,800 SH Other 1 2 3 92,800 Genzyme COM 372917954 2,124 30,000 SH Put Other 1 2 3 30,000 Hanesbrands Inc COM 410345102 1,073 41,500 SH Other 1 2 3 41,500 Harvest Natural Resources COM 41754V103 521 50,000 SH Other 1 2 3 50,000 Hertz Global Holdings COM 42805T105 397 37,500 SH Other 1 2 3 37,500 Hewitt Assocs Inc COM 42822Q100 7,262 144,000 SH Other 1 2 3 144,000 Hewlett-Packard Co COM 428236953 421 10,000 SH Put Other 1 2 3 10,000 Hypercom Corp COM 44913M105 130 20,000 SH Other 1 2 3 20,000 Iron Mtn Inc PA COM 462846106 1,564 70,000 SH Other 1 2 3 70,000 Keithley Instruments Inc COM 487584104 645 30,000 SH Other 1 2 3 30,000 Kenneth Cole Prdts CL A 193294105 583 35,000 SH Other 1 2 3 35,000 Kinross Gold Corp COM NO PAR 496902404 782 41,669 SH Other 1 2 3 41,669 Krispy Kreme Doughnuts COM 501014104 396 86,500 SH Other 1 2 3 86,500 Lattice Semiconductor COM 518415104 225 47,400 SH Other 1 2 3 47,400 Liberty Acquisition Hldg COM 53015Y107 2,133 207,300 SH Other 1 2 3 207,300 Mariner Energy COM 56845T305 1,151 47,500 SH Other 1 2 3 47,500 Mcafee Inc COM 579064106 4,584 97,000 SH Other 1 2 3 97,000 Microtune COM 59514P109 203 70,000 SH Other 1 2 3 70,000 NBTY Inc COM 628782104 643 11,700 SH Other 1 2 3 11,700 Netapp Inc COM 64110D104 498 10,000 SH Other 1 2 3 10,000 Netezza Corp COM 64111N101 1,482 55,000 SH Other 1 2 3 55,000 Novell Inc COM 670006105 1,463 245,000 SH Other 1 2 3 245,000 NU Horizons Elec Corp COM 669908105 348 50,000 SH Other 1 2 3 50,000 Occam Networks Inc COM NEW 67457P309 274 35,000 SH Other 1 2 3 35,000 OSI Systems COM 671044105 545 15,000 SH Other 1 2 3 15,000 Pactiv Corp COM 695257105 2,803 85,000 SH Other 1 2 3 85,000 Phillips Van Heusen COM 718592108 1,053 17,500 SH Other 1 2 3 17,500 Phoenix Tech COM 719153108 293 75,000 SH Other 1 2 3 75,000 Polycom Inc COM 73172K104 255 9,350 SH Other 1 2 3 9,350 Potash Corp COM 73755L107 7,461 51,800 SH Other 1 2 3 51,800 Psychiatric Solutions Inc COM 74439H108 2,281 68,000 SH Other 1 2 3 68,000 Qwest Communications Intl In COM 749121109 473 75,362 SH Other 1 2 3 75,362 Regis Co COM 758932107 765 40,000 SH Other 1 2 3 40,000 Regis Co COM 758932957 383 20,000 SH Put Other 1 2 3 20,000 Ross Stores Inc COM 778296103 547 10,000 SH Other 1 2 3 10,000 Sapient Corp COM 803062108 1,676 140,000 SH Other 1 2 3 140,000 Skechers USA Inc CL A CL A 830566105 235 10,000 SH Other 1 2 3 10,000 Stein Mart Ltd COM 858375108 177 20,000 SH Other 1 2 3 20,000 TPC Group COM 89236Y104 1,310 55,000 SH Other 1 2 3 55,000 Talecris Biotherapeutics COM 874227951 229 10,000 SH Put Other 1 2 3 10,000 Unica Corp COM 904583101 1,364 65,000 SH Other 1 2 3 65,000 Wuxi AppTec Inc ADR SPONS ADR SHS 929352102 172 10,019 SH Other 1 2 3 10,019 Zymogenetics Inc COM 98985T109 341 35,000 SH Other 1 2 3 35,000
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