-----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, ASFy0AM1AaRLbAlRBVHC6Yqa/4ep8uEhOgB80gjQV8ZqK7ywH0vv7WOkqhAj99nB hcpz4Pus0K+sql1DQ5FvHA== 0001095449-09-000254.txt : 20091110 0001095449-09-000254.hdr.sgml : 20091110 20091110145452 ACCESSION NUMBER: 0001095449-09-000254 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091110 DATE AS OF CHANGE: 20091110 EFFECTIVENESS DATE: 20091110 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Harvest Capital Strategies LLC CENTRAL INDEX KEY: 0001226355 IRS NUMBER: 943342119 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10826 FILM NUMBER: 091171623 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 835-3900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 1100 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: JMP ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 20030408 13F-HR 1 f13f2009-09.txt FORM 13F FOR SEPTEMBER 30, 2009 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, 2009 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 Capital Strategies LLC Address: 600 Montgomery Street, Suite 1100 San Francisco, CA 94111 13F File Number: 028-10826 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: Joseph A. Jolson Title: Chief Executive Officer Phone: 415-835-3900 Signature, Place, and Date of Signing: /s/ Joseph A. Jolson San Francisco, CA Date November 9, 2009 - ------------------------------------------------------------------------------ Report Type (Check only one.): |X| 13F HOLDINGS REPORT. |_| 13F NOTICE. |_| 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: Form 13F Information Table Entry Total: 111 Form 13F Information Table Value Total: $387,474,000 List of Other Included Managers: No. 13F File Number Name NONE
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- ------- 3PAR INC COM 88580F109 339 30700 SH Sole 30700 A.D.A.M., INC. CMN COM 00088U108 2321 666897 SH Sole 666897 ABERCROMBIE & FITCH CO. CLASS ACL A 002896207 493 15000 SH Sole 15000 ADVISORY BOARD CO COM 00762W107 5782 230000 SH Sole 230000 ALTISOURCE PORTFOLIO REG SHS L0175J104 2419 167500 SH Sole 167500 AMERICAN INTL GROUP INC COM NEW 026874784 11799 267500 SH Sole 267500 AMICAS INC COM 001712108 6686 1857240 SH Sole 1857240 APOLLO INVESTMENT CORPORATION COM 03761U106 5267 551500 SH Sole 551500 APPLE COMPUTER INC COM 037833100 855 4612 SH Sole 4612 APPLIED MATERIALS INC COM 038222105 361 27000 SH Sole 27000 ARES CAPITAL CORPORATION COM 04010L103 4862 441200 SH Sole 441200 ARM HOLDINGS PLC SPONSORED ADR 042068106 280 40000 SH Sole 40000 ARTIO GLOBAL INVESTORS INC COM 04315B107 601 23000 SH Sole 23000 AVON PRODUCTS INC. CMN COM 054303102 374 11000 SH Sole 11000 BROADCOM CORP CL A 111320107 653 21270 SH Sole 21270 BROCADE COMMUNICATIONS SYS INC COM NEW 111621306 517 65837 SH Sole 65837 BROOKFIELD HOMES CORP COM 112723101 2888 432395 SH Sole 432395 BURGER KING HOLDINGS, INC. CMN COM 121208201 405 23000 SH Sole 23000 CADENCE DESIGN SYSTEMS INC COM 127387108 294 40000 SH Sole 40000 CARTER INC COM 146229109 20345 762000 SH Sole 762000 CDC SOFTWARE CORPORATION SPN ADR LV III 12507Y108 4055 438332 SH Sole 438332 CHICO'S FAS INC CMN COM 168615102 286 22000 SH Sole 22000 CHINA FINANCE ONLINE CO SPONSORED ADR 169379104 10080 1115000 SH Sole 1115000 CITRIX SYS INC COM 177376100 451 11491 SH Sole 11491 COGO GROUP INC COM 192448108 282 46111 SH Sole 46111 COLLECTIVE BRANDS, INC. CMN COM 19421W100 537 31000 SH Sole 31000 COLLECTORS UNIVERSE INC COM NEW 19421R200 44 7882 SH Sole 7882 CYBERSOURCE CORP DEL COM 23251J106 7638 458181 SH Sole 458181 DATALINK CORP COM 237934104 296 82361 SH Sole 82361 DEERFIELD CAPITAL CORP COM 244331302 4392 631949 SH Sole 631949 DICKS SPORTING GOODS INC CMN COM 253393102 336 15000 SH Sole 15000 DIEDRICH COFFEE INC COM NEW 253675201 837 34795 SH Sole 34795 DOMINO'S PIZZA, INC. CMN COM 25754A201 265 30000 SH Sole 30000 DRESS BARN INC CMN COM 261570105 269 15000 SH Sole 15000 EBAY INC COM 278642103 260 11000 SH Sole 11000 EMC CORP-MASS COM 268648102 703 41252 SH Sole 41252 ENERGYSOLUTIONS INC COM 292756202 4197 455200 SH Sole 455200 EQUINIX INC COM NEW 29444U502 407 4423 SH Sole 4423 EZCORP INC-CL A CL A NON VTG 302301106 6489 475000 SH Sole 475000 F5 NETWORKS INC COM 315616102 8598 216951 SH Sole 216951 FIRST AMERICAN FINANCIAL CORP COM 318522307 324 10000 SH Sole 10000 FLEXTRONICS INTERNATIONAL LTD ORD Y2573F102 754 100994 SH Sole 100994 FOOT LOCKER, INC. CMN COM 344849104 299 25000 SH Sole 25000 FUEL SYSTEMS SOLUTIONS INC COM 35952W103 9316 258838 SH Sole 258838 GAMESTOP CORP CMN CLASS A CL A 36467W109 310 11700 SH Sole 11700 GENESCO INC. CMN COM 371532102 241 10000 SH Sole 10000 GSI TECHNOLOGY COM 36241U106 74 18577 SH Sole 18577 GUESS ?, INC. CMN COM 401617105 370 10000 SH Sole 10000 GYMBOREE CORP COM 403777105 8439 174438 SH Sole 174438 H & R BLOCK INC COM 093671105 9773 531700 SH Sole 531700 HERCULES TECHNOLOGY GROWTH COM 427096508 4519 460192 SH Sole 460192 HEWLETT PACKARD CO COM 428236103 1101 23322 SH Sole 23322 INFINEON TECHNOLGIES AG ADR SPONSORED ADR 45662N103 312 54832 SH Sole 54832 INTERLINK ELECTRONICS COM 458751104 381 746484 SH Sole 746484 INTL RECTIFIER CORP. CMN COM 460254105 6660 341700 SH Sole 341700 J P MORGAN CHASE & CO COM 46625H100 876 20000 SH Sole 20000 JACKSON HEWITT TAX SERVICE INC COM 468202106 3060 600000 SH Sole 600000 JO-ANN STORES, INC CMN COM 47758P307 362 13500 SH Sole 13500 KOHL'S CORP (WISCONSIN) CMN COM 500255104 268 4700 SH Sole 4700 LAM RESEARCH CORP COM 512807108 137 4000 SH Sole 4000 MAJESCO ENTERTAINMENT COMPANY COM NEW 560690208 57 41600 SH Sole 41600 MATTSON TECHNOLOGY INC COM 577223100 318 112615 SH Sole 112615 MEMC ELECTR MATLS INC COM 552715104 43 25000 SH CALL Sole 25000 MERIX CORP COM 590049102 14 4541 SH Sole 4541 MONRO MUFFLER BRAKE, INC. CMN COM 610236101 324 10200 SH Sole 10200 Move Inc COM 62458M108 1922 711700 SH Sole 711700 NETAPP INC COM 64110D104 517 19367 SH Sole 19367 NETLIST INC COM 64118P109 162 235313 SH Sole 235313 NEW YORK MORTGAGE TRUST INC COM PAR $0.02 649604501 83 10952 SH Sole 10952 NICE SYSTEMS LTD ADR SPONSORED ADR 653656108 10497 344842 SH Sole 344842 NUTRISYSTEM INC COM 67069D108 11369 745000 SH Sole 745000 O2MICRO INTERNATIONAL SPONSORED ADR 67107W100 394 75100 SH Sole 75100 OCWEN FINANCIAL CORP COM NEW 675746309 4528 400000 SH Sole 400000 ORION MARINE GROUP INC COM 68628V308 8150 396793 SH Sole 396793 PATRIOT CAPITAL FUNDING INC COM 70335Y104 1868 457809 SH Sole 457809 PENNYMAC MORTGAGE INVESTMENT COM 70931T103 7761 389800 SH Sole 389800 PETSMART, INC. CMN COM 716768106 392 18000 SH Sole 18000 PHASE FORWARD INC COM 71721R406 11232 800000 SH Sole 800000 PMC-SIERRA INC COM 69344F106 681 71257 SH Sole 71257 PORTFOLIO RECOVERY ASSOCS INC COM 73640Q105 907 20000 SH Sole 20000 PROSHARES TR PSHS ULTSH 20YRS 74347R297 17604 400000 SH Sole 400000 QLOGIC CORP COM 747277101 369 21465 SH Sole 21465 RACKSPACE HOSTING INC COM 750086100 522 30624 SH Sole 30624 RADIOSHACK CORP COM 750438103 622 37555 SH Sole 37555 RELIANCE STEEL & ALUMINUM CO COM 759509102 7963 187104 SH Sole 187104 RENTECH INC COM 760112102 3316 2046700 SH Sole 2046700 RODMAN & RENSHAW CAP GP INC DE COM 77487R100 1204 200000 SH Sole 200000 RSC HOLDINGS INC COM 74972L102 5687 782300 SH Sole 782300 SANDISK CORP COM 80004C101 86 35000 SH CALL Sole 35000 SEAGATE TECHNOLOGY HOLDINGS SHS G7945J104 13081 860000 SH Sole 860000 SILICON GRAPHICS INTERNATIONAL COM 82706L108 376 56012 SH Sole 56012 SOLERA HOLDINGS INC COM 83421A104 8615 276935 SH Sole 276935 SONIC SOLUTIONS COM 835460106 11764 1983762 SH Sole 1983762 STARBUCKS CORP. CMN COM 855244109 310 15000 SH Sole 15000 STATE STREET CORP COM 857477103 618 11750 SH Sole 11750 STEC INC COM 784774101 8817 300000 SH Sole 300000 SWITCH & DATA INC COM 871043105 425 31234 SH Sole 31234 SYNAPTICS INC COM 87157D109 9858 391200 SH Sole 391200 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 25975 2082996 SH Sole 2082996 Technology Investment Capital COM 87244T109 2458 487783 SH Sole 487783 TEXAS CAPITAL BANCSHARES INC COM 88224Q107 581 34500 SH Sole 34500 THE BANCORP INC COM 05969A105 1373 240000 SH Sole 240000 THE MOSAIC COMPANY CMN COM 61945A107 264 5500 SH Sole 5500 THESTREET.COM, INC. CMN COM 88368Q103 7659 2641000 SH Sole 2641000 TITAN MACHY INC COM 88830R101 5101 407389 SH Sole 407389 TNS INC COM 872960109 1381 50400 SH Sole 50400 UNITED STATES OIL FUND LO UNITS 91232N108 2895 80000 SH Sole 80000 WALGREEN CO. CMN COM 931422109 562 15000 SH Sole 15000 WILLIAMS SONOMA INC COM 969904101 9407 465000 SH Sole 465000 YINGLI GREEN ENEGY HLDG CO COM 98584B103 19 10000 SH CALL Sole 10000 ZENITH NATIONAL INSURANCE CORP COM 989390109 11804 382000 SH Sole 382000
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