0001144204-17-055784.txt : 20171102 0001144204-17-055784.hdr.sgml : 20171102 20171102151019 ACCESSION NUMBER: 0001144204-17-055784 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171102 DATE AS OF CHANGE: 20171102 EFFECTIVENESS DATE: 20171102 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARVEST MANAGEMENT LLC CENTRAL INDEX KEY: 0001140315 IRS NUMBER: 133863996 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: 171171889 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 primary_doc.xml 13F-HR LIVE false false false 0001140315 XXXXXXXX 09-30-2017 09-30-2017 false HARVEST MANAGEMENT LLC

527 Madison Ave 9th Fl New York NY 10022

13F HOLDINGS REPORT 028-06505 Y 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. Marjorie Gochberg Kellner 212-644-2202 /s/ Marjorie Gochberg Kellner New York NY 11-02-2017 2 70 158997 1 0001074026 028-07384 BOHRER NATHANIEL 2 0001080371 028-04407 KELLNER MARJORIE GOCHBERG INFORMATION TABLE 2 infotable.xml AT&T PUT 00206R952 3799 97000 SH Put OTR 1, 2 0 97000 0 AT&T CALL 00206R902 783 20000 SH Call OTR 1, 2 0 20000 0 Advisory Board Company COM 00762w107 858 16000 SH OTR 1, 2 0 16000 0 Alamos Gold Inc New COM CL A 011532108 270 40000 SH OTR 1, 2 0 40000 0 Alere Inc COM 01449j105 12493 245000 SH OTR 1, 2 0 245000 0 Alere Inc PUT 01449J955 3901 76500 SH Put OTR 1, 2 0 76500 0 Apple Inc COM 037833100 341 2210 SH OTR 1, 2 0 2210 0 Astoria Finl Corp COM 046265104 258 12000 SH OTR 1, 2 0 12000 0 Barnes & Noble Inc. COM 067774109 295 38839 SH OTR 1, 2 0 38839 0 Bristol Myers Squibb Co COM 110122108 637 10000 SH OTR 1, 2 0 10000 0 Bristol Myers Squibb Co PUT 110122958 637 10000 SH Put OTR 1, 2 0 10000 0 Bard C R Inc COM 067383109 12500 39000 SH OTR 1, 2 0 39000 0 Calgon Carbon Corp COM 129603106 1297 60598 SH OTR 1, 2 0 60598 0 CenturyLink Inc COM 156700106 237 12540 SH OTR 1, 2 0 12540 0 Charter Communications Inc CL A 16119p108 363 1000 SH OTR 1, 2 0 1000 0 Cintas Corp COM 172908105 216 1500 SH OTR 1, 2 0 1500 0 Community Helath CVR RIGHT 99/99/9999 203668116 2 160000 SH OTR 1, 2 0 160000 0 Corning Inc COM 219350105 299 10000 SH OTR 1, 2 0 10000 0 Corning Inc PUT 219350955 299 10000 SH Put OTR 1, 2 0 10000 0 Dell Technologies Inc COM CL V 24703L103 3976 51500 SH OTR 1, 2 0 51500 0 Discovery Communications C PUT 25470F952 405 20000 SH Put OTR 1, 2 0 20000 0 Discovery Communications C CALL 25470F902 1520 75000 SH Call OTR 1, 2 0 75000 0 Dominion Diamond Corp COM 257287102 1795 126592 SH OTR 1, 2 0 126592 0 Ensco International Inc SHS CLASS A G3157S106 119 20000 SH OTR 1, 2 0 20000 0 EQT Corp COM 26884L109 326 5000 SH OTR 1, 2 0 5000 0 Exa Corp COM 300614500 2660 110000 SH OTR 1, 2 0 110000 0 Exxon Mobil Corp COM 30231G102 419 5109 SH OTR 1, 2 0 5109 0 Flexion Therapeutics Inc COM 33938J106 605 25000 SH OTR 1, 2 0 25000 0 Flexion Therapeutics Inc PUT 33938J956 484 20000 SH Put OTR 1, 2 0 20000 0 Gigamon Inc COM 37518B102 211 5000 SH OTR 1, 2 0 5000 0 Hain Celestial Grp COM 405217100 247 6000 SH OTR 1, 2 0 6000 0 Hain Celestial Grp PUT 405217950 82 2000 SH Put OTR 1, 2 0 2000 0 HSN Inc COM 404303109 3807 97500 SH OTR 1, 2 0 97500 0 Humana Inc. COM 444859102 292 1200 SH OTR 1, 2 0 1200 0 Ixys Corporation COM 46600W106 2394 101000 SH OTR 1, 2 0 101000 0 Kite Pharma Inc COM 49803L109 6545 36400 SH OTR 1, 2 0 36400 0 Knight-Swift Trans Hldgs CL A 499049104 208 4999 SH OTR 1, 2 0 4999 0 Knight-Swift Trans Hldgs PUT 499049954 291 7000 SH Put OTR 1, 2 0 7000 0 Landauer Inc COM 51476k103 844 12545 SH OTR 1, 2 0 12545 0 Level 3 Communications Inc COM NEW 52729N308 7503 140800 SH OTR 1, 2 0 140800 0 Maxim Integrated Prods Inc COM 57772k101 283 5924 SH OTR 1, 2 0 5924 0 Microsemi Corp COM 595137100 257 5000 SH OTR 1, 2 0 5000 0 Monsanto Co New COM 61166W101 4673 39000 SH OTR 1, 2 0 39000 0 Neff Corporation COM CL A 640094207 1000 40000 SH OTR 1, 2 0 40000 0 NXP Semiconductors NV COM n6596x109 14249 126000 SH OTR 1, 2 0 126000 0 NXP Semiconductors NV CALL N6596X909 6785 60000 SH Call OTR 1, 2 0 60000 0 Och-Ziff Cap Mgmt Group CL A 67551u105 32 10000 SH OTR 1, 2 0 10000 0 Orbital ATK Inc COM 68557N103 1997 15000 SH OTR 1, 2 0 15000 0 Packaging Corp Amer COM 695156109 803 7000 SH OTR 1, 2 0 7000 0 Pandora Media Inc COM 698354107 77 10000 SH OTR 1, 2 0 10000 0 Paratek Pharm COM 699374302 377 15000 SH OTR 1, 2 0 15000 0 Parexel Intl Corp COM 699462107 1762 20000 SH OTR 1, 2 0 20000 0 Perkinelmer Inc COM 714046109 239 3462 SH OTR 1, 2 0 3462 0 Quidel Corp COM 74838j101 702 16000 SH OTR 1, 2 0 16000 0 Rambus Inc COM 750917106 200 15000 SH OTR 1, 2 0 15000 0 Rambus Inc PUT 750917956 200 15000 SH Put OTR 1, 2 0 15000 0 Richmont Mines COM 76547t106 280 30000 SH OTR 1, 2 0 30000 0 Rockwell Collins COM 774341101 3725 28500 SH OTR 1, 2 0 28500 0 SPDR S&P 500 ETF Tr TR UNIT 78462F103 1507 6000 SH OTR 1, 2 0 6000 0 SPDR S&P 500 ETF Tr PUT 78462F953 5025 20000 SH Put OTR 1, 2 0 20000 0 Scripps Networks Interactive CL A COM 811065101 8245 96000 SH OTR 1, 2 0 96000 0 Sherwin Williams Co COM 824348106 788 2200 SH OTR 1, 2 0 2200 0 Silver Spring Networks COM 82817q103 3638 225000 SH OTR 1, 2 0 225000 0 Sprouts Farmers Market, Inc COM 85208M102 188 10000 SH OTR 1, 2 0 10000 0 Straight Path Communications I CL B 862578101 7703 42635 SH OTR 1, 2 0 42635 0 Thermo Fisher Scientific Inc COM 883556102 341 1800 SH OTR 1, 2 0 1800 0 Time Warner Inc COM NEW 887317303 15880 155000 SH OTR 1, 2 0 155000 0 Time Warner Inc CALL 887317903 1025 10000 SH Call OTR 1, 2 0 10000 0 T-Mobile US Inc COM 872590104 1572 25500 SH OTR 1, 2 0 25500 0 Tribune Media Inc CL A 896047503 1226 30000 SH OTR 1, 2 0 30000 0