0001144204-11-029166.txt : 20110513 0001144204-11-029166.hdr.sgml : 20110513 20110513165044 ACCESSION NUMBER: 0001144204-11-029166 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110331 FILED AS OF DATE: 20110513 DATE AS OF CHANGE: 20110513 EFFECTIVENESS DATE: 20110513 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARVEST MANAGEMENT LLC CENTRAL INDEX KEY: 0001140315 IRS NUMBER: 133863996 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06505 FILM NUMBER: 11841794 BUSINESS ADDRESS: STREET 1: 527 MADISON AVE STREET 2: 9TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-634-3600 MAIL ADDRESS: STREET 1: 527 MADISON AVE STREET 2: 9TH FL CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 v222614_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: March 31, 2011 ------------------ 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 05/13/11 -------------------------------------------------------------------------------- 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: 84 ------------- Form 13F Information Table Value Total: $124,923 ------------- (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 ------------------------------------------------------------------------------------------------------------------------------------ 99 Cents Only Stores COM 65440K106 784 40,000 SH Other 1 2 3 40,000 Active Power Inc COM 00504w100 440 150,000 SH Other 1 2 3 150,000 Air Products & Chems COM 009158106 1,127 12,500 SH Other 1 2 3 12,500 Airgas Inc COM 009363102 863 13,000 SH Other 1 2 3 13,000 Airtran Holdings Inc COM 00949P108 708 95,000 SH Other 1 2 3 95,000 Alberto- Culver Co COM 013078100 2,609 70,000 SH Other 1 2 3 70,000 Alcon Inc COM SHS H01301102 7,448 45,000 SH Other 1 2 3 45,000 Alpha Natural Resources CALL 02076x902 1,187 20,000 SH Call Other 1 2 3 20,000 Amerigon Inc COM 03070L300 305 20,000 SH Other 1 2 3 20,000 Atheros Communications COM 04743P108 4,689 105,000 SH Other 1 2 3 105,000 BJS Wholesale Club COM 05548J106 561 11,500 SH Other 1 2 3 11,500 Beckman Coulter Inc COM 075811109 8,955 107,800 SH Other 1 2 3 107,800 Big Lots Inc Ohio COM 89302103 2,940 67,700 SH Other 1 2 3 67,700 Brocade Communications COM NEW 111621306 185 30,000 SH Other 1 2 3 30,000 Bucyrus Intl Inc COM 118759109 3,658 40,000 SH Other 1 2 3 40,000 Capital Gold Corp COM NEW 14018y205 2,493 387,700 SH Other 1 2 3 387,700 Celera Corp COM 15100e106 649 80,000 SH Other 1 2 3 80,000 Cephalon Inc COM 156708109 2,663 35,000 SH Other 1 2 3 35,000 Chipotle Mexican Grille COM 169656105 1,089 4,000 SH Other 1 2 3 4,000 Citigroup Inc COM 172967101 130 29,500 SH Other 1 2 3 29,500 Clinical Data Inc COM 18725u109 839 27,690 SH Other 1 2 3 27,690 Columbia Labs Inc COM 197779101 509 135,000 SH Other 1 2 3 135,000 Costco Wholesale Corp COM 22160K105 733 10,000 SH Other 1 2 3 10,000 Dionex Corp COM 254546104 3,187 27,000 SH Other 1 2 3 27,000 Drugstore Inc COM 262241102 193 50,000 SH Other 1 2 3 50,000 Emergency Medical Services CL A 29100p102 1,145 18,000 SH Other 1 2 3 18,000 Emergent Group Inc COM NEW 29089V203 444 52,500 SH Other 1 2 3 52,500 Exco Resources Inc COM 269279402 1,911 92,500 SH Other 1 2 3 92,500 Fronteer Gold Inc COM 359032109 1,511 100,000 SH Other 1 2 3 100,000 GSI Commerce Inc COM 36238G102 3,805 130,000 SH Other 1 2 3 130,000 Genzyme COM 372917104 15,613 205,000 SH Other 1 2 3 205,000 Gigamedia Ltd ORD y2711y104 67 50,000 SH Other 1 2 3 50,000 Global Defense Technology COM 37950b107 484 20,000 SH Other 1 2 3 20,000 Harvest Natural Resources COM 41754v103 302 19,800 SH Other 1 2 3 19,800 Hertz Global Holdings COM 42805T105 247 15,800 SH Other 1 2 3 15,800 Hibbett Sporting Goods COM 428567101 1,343 37,500 SH Other 1 2 3 37,500 Intl Flavors & Fragrances COM 459506101 623 10,000 SH Other 1 2 3 10,000 JDS Uniphase Corp COM PAR $0.001 46612J507 203 9,747 SH Other 1 2 3 9,747 Krispy Kreme Doughnuts COM 501014104 845 120,000 SH Other 1 2 3 120,000 Kronos Worldwide Inc COM 50105f105 321 5,500 SH Other 1 2 3 5,500 LTX-Credence Corp COM NEW 502403207 183 20,000 SH Other 1 2 3 20,000 Ladish Co Inc COM NEW 505754200 3,252 59,500 SH Other 1 2 3 59,500 Lawson Software Inc COM 52078P102 847 70,000 SH Other 1 2 3 70,000 Lubrizol Corp COM 549271104 1,675 12,500 SH Other 1 2 3 12,500 Macy's Inc COM 55616P104 728 30,000 SH Other 1 2 3 30,000 Massey Energy COM 576206106 2,905 42,500 SH Other 1 2 3 42,500 Massey Energy PUT 576206956 1,367 20,000 SH Put Other 1 2 3 20,000 Microstrategy Inc -CL A CL A NEW 594972408 282 2,100 SH Other 1 2 3 2,100 NYSE Euronext COM 629491101 246 7,000 SH Other 1 2 3 7,000 Nationwide Helath Properties COM 638620104 425 10,000 SH Other 1 2 3 10,000 Navisite Inc COM NEW 63935M208 401 73,000 SH Other 1 2 3 73,000 Netapp Inc COM 64110D104 289 6,000 SH Other 1 2 3 6,000 Novamed Inc COM NEW 66986W207 343 26,000 SH Other 1 2 3 26,000 Novartis A G SPONSORED ADR 66987V109 804 14,800 SH Other 1 2 3 14,800 Novartis A G PUT 66987V959 2,071 38,100 SH Put Other 1 2 3 38,100 Novell COM 670006105 178 30,000 SH Other 1 2 3 30,000 Optionsxpress Holdings COM 684010101 274 15,000 SH Other 1 2 3 15,000 Pool Corp COM 73278L105 1,145 47,500 SH Other 1 2 3 47,500 Pride Intl COM 74153Q102 8,805 205,000 SH Other 1 2 3 205,000 Pulse Electronics Corp COM 74586W106 91 15,000 SH Other 1 2 3 15,000 Qwest Communications Intl In COM 749121109 515 75,362 SH Other 1 2 3 75,362 Rehabcare Group Inc COM 759148109 1,023 27,750 SH Other 1 2 3 27,750 Retail Ventures COM 76128Y102 216 12,500 SH Other 1 2 3 12,500 Ross Stores Inc COM 778296103 1,494 21,000 SH Other 1 2 3 21,000 Sara Lee COM 803111103 353 20,000 SH Other 1 2 3 20,000 Signet Jewelers SHS G81276100 230 5,000 SH Other 1 2 3 5,000 Silicon Graphics COM 82706L108 235 11,000 SH Other 1 2 3 11,000 Smurfit Stone Container Corp COM 83272a104 3,865 100,000 SH Other 1 2 3 100,000 Spectrum Control Inc COM 847615101 394 20,000 SH Other 1 2 3 20,000 Sprint Nextel Corp COM SER 1 852061100 104 22,400 SH Other 1 2 3 22,400 Starbucks Corp COM 855244109 739 20,000 SH Other 1 2 3 20,000 Synergetics USA Inc COM 87160G107 681 115,700 SH Other 1 2 3 115,700 Tempur-Pedic Int'l COM 88023U101 1,013 20,000 SH Other 1 2 3 20,000 Tenet Healthcare Corp COM 88033g100 466 62,500 SH Other 1 2 3 62,500 Terremark Worldwide COM NEW 881448203 2,660 140,000 SH Other 1 2 3 140,000 Titan Machinery Inc COM 88830R101 669 26,500 SH Other 1 2 3 26,500 Tomotherapy Inc COM 890088107 274 60,000 SH Other 1 2 3 60,000 United States Oil Fund UNITS 91232n108 746 17,500 SH Other 1 2 3 17,500 Universal American Corp COM 913377107 417 18,200 SH Other 1 2 3 18,200 Valuevision Media Inc CL A 92047k107 318 50,000 SH Other 1 2 3 50,000 Verigy LTD SHS y93691106 1,195 84,800 SH Other 1 2 3 84,800 Wolverine World Wide COM 978097103 1,491 40,000 SH Other 1 2 3 40,000 Yum! Brands Inc COM 988498101 771 15,000 SH Other 1 2 3 15,000 Zoran Corp COM 98975F101 935 90,000 SH Other 1 2 3 90,000