-----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, DHcbVt0Ot5BmbL6DIkPBpkb6LM+uEN+12IGF6ApmHvoj7+/dXFNtn9M+BTQBGMuB zVs22frF61/bnkFD4C8duw== 0001095449-10-000159.txt : 20101110 0001095449-10-000159.hdr.sgml : 20101110 20101109191903 ACCESSION NUMBER: 0001095449-10-000159 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101110 DATE AS OF CHANGE: 20101109 EFFECTIVENESS DATE: 20101110 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: 101177812 BUSINESS ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 2000 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 BUSINESS PHONE: (415) 835-3900 MAIL ADDRESS: STREET 1: 600 MONTGOMERY STREET STREET 2: SUITE 2000 CITY: SAN FRANCISCO STATE: CA ZIP: 94111 FORMER COMPANY: FORMER CONFORMED NAME: JMP ASSET MANAGEMENT LLC DATE OF NAME CHANGE: 20030408 13F-HR 1 f13f2010-09.txt FORM 13F FOR SEPTEMBER 30, 2010 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 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 8, 2010 - ------------------------------------------------------------------------------ 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: 101 Form 13F Information Table Value Total: $355,516,000 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- ------- APPLE COMPUTER INC COM 037833100 2362 8324 SH Sole 8324 ANDERSONS INC COM 034164103 644 17000 SH Sole 17000 AMERICAN APPAREL INC COM 023850100 271 220000 SH Sole 220000 ARROW ELECTRONICS INC COM 042735100 2581 96541 SH Sole 96541 ALTISOURCE PORTFOLIO REG SHS L0175J104 5012 160944 SH Sole 160944 BROOKFIELD HOMES CORP COM 112723101 1305 159291 SH Sole 159291 POPULAR INC COM 733174106 5655 1950000 SH Sole 1950000 BROADCOM CORP CL A 111320107 1502 42443 SH Sole 42443 CALIX INC COM 13100M509 4651 323914 SH Sole 323914 CATHAY BANCORP INC COM 149150104 119 10000 SH Sole 10000 CAVIUM NETWORKS INC COM 14965A101 807 28068 SH Sole 28068 CADENCE DESIGN SYSTEMS INC COM 127387108 8403 1101250 SH Sole 1101250 CEVA INC COM 157210105 1168 81696 SH Sole 81696 CIENA CORPORATION COM NEW 171779309 10339 664016 SH Sole 664016 CENTER FINANCIAL CORPORATION COM 15146E102 4729 929032 SH Sole 929032 COMERICA INC COM 200340107 724 19500 SH Sole 19500 COMPELLENT TECHNOLOGIES INC COM 20452A108 591 32511 SH Sole 32511 COGO GROUP INC COM 192448108 556 89887 SH Sole 89887 Barclays ipath dow jnes aig lv ETN DJUBSLVSTK37 06739H743 8764 290485 SH Sole 290485 CARTER INC COM 146229109 540 20500 SH Sole 20500 CERAGON NETWORKS LTD ORD M22013102 19817 2003700 SH Sole 2003700 CITI TRENDS INC COM 17306X102 448 18500 SH Sole 18500 CITRIX SYS INC COM 177376100 1209 17714 SH Sole 17714 CHINA VALVES TECHNOLOGY INC COM NEW 169476207 397 51101 SH Sole 51101 DRESS BARN INC COM 261570105 713 30000 SH Sole 30000 DEERE & CO COM 244199105 907 13000 SH Sole 13000 DEERFIELD CAPITAL CORP COM 244331302 4068 595618 SH Sole 595618 DISCOVER FINANCIAL SERVICES COM 254709108 4930 295583 SH Sole 295583 DIVX INC COM 255413106 6110 641145 SH Sole 641145 DICKS SPORTING GOODS INC COM 253393102 10633 379200 SH Sole 379200 EMC CORP-MASS COM 268648102 1461 71941 SH Sole 71941 ENTROPIC COMMUNICATIONS INC COM 29384R105 15982 1664837 SH Sole 1664837 EZCHIP SEMICONDUCTOR LTD ORD M4146Y108 970 38407 SH Sole 38407 F5 NETWORKS INC COM 315616102 1494 14394 SH Sole 14394 FOSSIL INC COM 349882100 538 10000 SH Sole 10000 FSI INTERNATIONAL INC COM 302633102 1756 660255 SH Sole 660255 FUEL SYSTEMS SOLUTIONS INC COM 35952W103 10564 270109 SH Sole 270109 GRUBB & ELLIS CO PREF 400095303 5175 60170 SH Sole 60170 GENWORTH FINANCIAL INC CL A COM CL A 37247D106 440 36000 SH Sole 36000 GYMBOREE CORP COM 403777105 1242 29900 SH Sole 29900 HEWLETT PACKARD CO COM 428236103 1644 39072 SH Sole 39072 HERCULES TECHNOLOGY GROWTH COM 427096508 2556 252842 SH Sole 252842 ISHARES TR INDEX RUSSELL 2000 464287655 75 10000 SH PUT Sole 10000 ISHARES TR INDEX RUSSELL 2000 464287655 873 9000 SH PUT Sole 9000 JO-ANN STORES INC COM 47758P307 846 19000 SH Sole 19000 WTS JPMORGAN CHASE & COMPANY *W EXP 10/28/201 46634E114 3640 311950 SH Sole 311950 CHINA FINANCE ONLINE CO SPONSORED ADR 169379104 7266 1023400 SH Sole 1023400 KELLY SERVICES INC CL A CL A 488152208 8812 751220 SH Sole 751220 KENEXA CORPORATION COM 488879107 6404 365500 SH Sole 365500 LITHIA MOTORS INC-CL A CL A 536797103 1151 120000 SH Sole 120000 LOGMEIN INC COM 54142L109 6413 178239 SH Sole 178239 LAM RESEARCH CORP COM 512807108 1012 24181 SH Sole 24181 CAPITAL LEASING FUNDING INC COM 140288101 404 72267 SH Sole 72267 LIMITED INC COM 532716107 536 20000 SH Sole 20000 LUBYS CAFETERIAS INC COM 549282101 964 200000 SH Sole 200000 LSB INDUSTRIES INC COM 502160104 7057 380000 SH Sole 380000 MANHATTAN ASSOCIATES INC COM 562750109 12621 430000 SH Sole 430000 MF GLOBAL HOLDINGS LTD COM 55277J108 172 23900 SH Sole 23900 MARSHALL & ILSLEY CORPORATION COM 571837103 704 100000 SH Sole 100000 Move Inc COM 62458M108 2781 1246917 SH Sole 1246917 MARVELL TECHNOLOGIES GROUP ORD G5876H105 556 31748 SH Sole 31748 NARA BANCORP INC COM 63080P105 197 28000 SH Sole 28000 NASDAQ STOCK MARKET INC COM 631103108 1488 76607 SH Sole 76607 NATIONAL FINL PARTNERS CORP COM 63607P208 13088 1033000 SH Sole 1033000 NETFLIX INC COM 64110L106 693 1100 SH PUT Sole 1100 NICE SYSTEMS LTD ADR SPONSORED ADR 653656108 9275 296432 SH Sole 296432 NELNET INC CL A 64031N108 6823 298203 SH Sole 298203 NETAPP INC COM 64110D104 1600 32138 SH Sole 32138 NEW YORK MORTGAGE TRUST INC COM PAR $0.02 649604501 516 82500 SH Sole 82500 ON SEMICONDUCTOR COM 682189105 761 105513 SH Sole 105513 ONLINE RES & COMMUNICATIONS COM 68273G101 205 46100 SH Sole 46100 OSI SYSTEMS INC COM 671044105 2571 70797 SH Sole 70797 OMNIVISION TECHNOLOGIES INC COM 682128103 762 33071 SH Sole 33071 PACWEST BANCORP COM 695263103 600 31500 SH Sole 31500 PHH CORP COM NEW 693320202 90 4250 SH Sole 4250 DOUGLAS DYNAMICS INC COM 25960R105 741 60000 SH Sole 60000 PENNANTPARK INVT CORP COM 708062104 75 7094 SH Sole 7094 RENT A CENTER INC COM 76009N100 2679 119700 SH Sole 119700 RARE ELEMENT RESOURCES LTD COM 75381M102 1555 180000 SH Sole 180000 RIGHTNOW TECHNOLOGIES INC COM 76657R106 4083 207283 SH Sole 207283 ROFIN SINAR TECHNOLOGIES INC COM 775043102 5457 215000 SH Sole 215000 STARBUCKS CORP COM 855244109 483 18906 SH Sole 18906 SMITHFIELD FOODS INC COM 832248108 589 35000 SH Sole 35000 SPHERION CORP COM 784153108 3491 580800 SH Sole 580800 SALARY.COM INC COM 794006106 4065 1000000 SH Sole 1000000 SMART TECHNOLOGIES INC CL A SUB VTG S 83172R108 5962 440000 SH Sole 440000 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 26979 1514830 SH Sole 1514830 SYNNEX CORP COM 87162W100 1021 36287 SH Sole 36287 TECH DATA CORP COM 878237106 4030 100000 SH Sole 100000 THESTREET.COM, INC. CMN COM 88368Q103 5371 1911331 SH Sole 1911331 TNS INC COM 872960109 1491 87957 SH Sole 87957 TRACTOR SUPPLY CO COM 892356106 1110 28000 SH Sole 28000 TYSON FOODS INC-CL A CL A 902494103 721 45000 SH Sole 45000 TITAN INTERNATIONAL INC-ILL COM 88830M102 20745 1528723 SH Sole 1528723 TEXAS INSTRUMENTS INC COM 882508104 1422 52409 SH Sole 52409 US BANCORP DEL COM NEW 902973304 995 46000 SH Sole 46000 VISA INC COM CL A 92826C839 1114 15000 SH Sole 15000 VEECO INSTRUMENTS INC-DEL COM 922417100 3800 108980 SH Sole 108980 Volterra Semiconductor Corp COM 928708106 1167 54235 SH Sole 54235 WESTERN DIGITAL CORP COM 958102105 844 29721 SH Sole 29721 WILLIAMS SONOMA INC COM 969904101 793 25000 SH Sole 25000
-----END PRIVACY-ENHANCED MESSAGE-----