0001144204-12-008363.txt : 20120214 0001144204-12-008363.hdr.sgml : 20120214 20120214115631 ACCESSION NUMBER: 0001144204-12-008363 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 EFFECTIVENESS DATE: 20120214 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: 12605049 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 v302454_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, 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 2/13/12 ---------------------------------------------------------- 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: 54 ------------- Form 13F Information Table Value Total: $71,444 ------------- (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 TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER SECURITY CLASS CUSIP (X$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE ------------------------------------------------------------------------------------------------------------------------- Acco Brands Corp COM 00081T108 483 50,000 SH Other 1 2 3 50,000 Airgas COM 009363102 390 5,000 SH Other 1 2 3 5,000 American Eagle Outfitters COM 02553E106 1,300 85,000 SH Other 1 2 3 85,000 Barnes & Noble Inc. COM 067774109 507 35,000 SH Other 1 2 3 35,000 Beam Inc COM 073730103 630 12,300 SH Other 1 2 3 12,300 Big Lots Inc Ohio COM 089302103 1,020 27,000 SH Other 1 2 3 27,000 CenturyLink Inc COM 156700106 466 12,540 SH Other 1 2 3 12,540 Commercial Metals Co. COM 201723103 277 20,000 SH Other 1 2 3 20,000 Complete Production COM 20453E109 3,473 103,500 SH Other 1 2 3 103,500 Comverse Technology Inc COM PAR $0.10 205862402 103 15,000 SH Other 1 2 3 15,000 Delphi Financial Grp CL A 247131105 886 20,000 SH Other 1 2 3 20,000 Demandtec Inc COM NEW 24802R506 395 30,000 SH Other 1 2 3 30,000 Dollar General Corp COM 256677105 823 20,000 SH Other 1 2 3 20,000 Dollar Thrifty Auto COM 256743105 1,265 18,000 SH Other 1 2 3 18,000 Ecolab Inc COM 278865100 1,376 23,801 SH Other 1 2 3 23,801 GNC Holdings COM CL A 36191G107 405 14,000 SH Other 1 2 3 14,000 Goodrich COM 382388106 7,546 61,000 SH Other 1 2 3 61,000 Harvest Natural Resources COM 41754V103 74 10,000 SH Other 1 2 3 10,000 Healthspring Inc COM 42224N101 4,500 82,500 SH Other 1 2 3 82,500 Hibbett Sports Inc COM 428567101 226 5,000 SH Other 1 2 3 5,000 Home Depot COM 437076102 1,513 36,000 SH Other 1 2 3 36,000 Ista Pharmaceuticals COM NEW 45031X204 106 15,000 SH Other 1 2 3 15,000 Krispy Kreme Doughnuts COM 501014104 458 70,000 SH Other 1 2 3 70,000 Lam Research Corp COM 512807108 370 10,000 SH Other 1 2 3 10,000 Leapfrog Enterprises Inc CL A 52186N106 112 20,000 SH Other 1 2 3 20,000 Mc Donalds Corp COM 580135101 953 9,500 SH Other 1 2 3 9,500 Meadwestvaco COM 583334107 300 10,000 SH Other 1 2 3 10,000 Mens Warehouse Inc COM 587118100 324 10,000 SH Other 1 2 3 10,000 Motorola Mobility Holdings Inc COM 620097105 582 15,000 SH Other 1 2 3 15,000 Netlogic Microsystems COM 64118B100 967 19,500 SH Other 1 2 3 19,500 Netlogic Microsystems PUT 64118B9500 1,983 40,000 SH PUT Other 1 2 3 40,000 PetSmart Inc COM 716768106 359 7,000 SH Other 1 2 3 7,000 Pharmasset Inc COM 71715N106 5,128 40,000 SH Other 1 2 3 40,000 Pharmasset Inc PUT 71715N956 5,128 40,000 SH PUT Other 1 2 3 40,000 Pharmerica Corp COM 71714F104 1,306 86,048 SH Other 1 2 3 86,048 Pharmerica Corp PUT 71714F954 835 55,000 SH PUT Other 1 2 3 55,000 Pier 1 Imports COM 720279108 599 43,000 SH Other 1 2 3 43,000 Rightnow Technologies COM 76657R106 1,175 27,500 SH Other 1 2 3 27,500 RSC Holdings Inc COM 74972L102 944 51,000 SH Other 1 2 3 51,000 RSC Holdings Inc PUT 74972L952 185 10,000 SH PUT Other 1 2 3 10,000 SPDR S&P 500 ETF TR TR UNIT 78462F103 2,259 18,000 SH Other 1 2 3 18,000 S1 Corporation COM 78463B101 981 102,500 SH Other 1 2 3 102,500 Sanofi Aventis CVR RIGHT 12/31/2020 80105N113 102 85,000 SH Other 1 2 3 85,000 Sherwin Williams Co COM 824348106 2,232 25,000 SH Other 1 2 3 25,000 Southern Union Co COM 844030106 6,203 147,300 SH Other 1 2 3 147,300 Starbucks Corp COM 855244109 1,169 25,400 SH Other 1 2 3 25,400 Successfactors Inc COM 864596101 1,196 30,000 SH Other 1 2 3 30,000 Synovis Life Technolgies COM 87162G105 1,252 45,000 SH Other 1 2 3 45,000 Tekelec COM 879101103 219 20,000 SH Other 1 2 3 20,000 Temple Inland Inc COM 879868107 3,536 111,500 SH Other 1 2 3 111,500 Transatlantic Holdings COM 893521104 1,894 34,600 SH Other 1 2 3 34,600 Wendy's/Arby's Group Inc - A COM 95058W100 107 20,000 SH Other 1 2 3 20,000 WW Grainger Inc COM 384802104 580 3,100 SH Other 1 2 3 3,100 Yahoo Inc COM 984332106 242 15,000 SH Other 1 2 3 15,000