-----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, GsDGv4KwZHfkAYtz5+oUCh1UxgFooEcLUh2viRBAfVEPNf81Z2uPEXa3bb5QitlD 925ZJxRRWaWx8pGVFQ+InQ== 0000919574-09-002897.txt : 20090217 0000919574-09-002897.hdr.sgml : 20090216 20090213180622 ACCESSION NUMBER: 0000919574-09-002897 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090217 DATE AS OF CHANGE: 20090213 EFFECTIVENESS DATE: 20090217 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBERT MANAGEMENT CORP CENTRAL INDEX KEY: 0001259933 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12611 FILM NUMBER: 09605923 BUSINESS ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5500 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 13F-HR 1 d963069_13f-hr.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, 2008 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Harbert Management Corporation Address: 2100 Third Avenue North, Suite 600 Birmingham, Alabama 35203 13F File Number: 028-12611 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: By: Joel B. Piassick Title: Executive Vice-President and General Counsel Phone: (205) 987-5596 Signature, Place and Date of Signing: /s/ Joel B. Piassick Birmingham, AL February 17, 2009 - ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] Report Type: (Check only one): [ ] 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 managers(s).) [X] 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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 1. 028-12359 Harbinger Capital Partners Special Situations Fund, LP ------------ ------------------------------------------------------ Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 81 Form 13F Information Table Value Total: $218,222 (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 - ---- ------------------- ------------------------------ FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE - -------------- -------- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- AMERICAN EAGLE OUTFITTERS NE COM 02553E106 1,868 185,000 SH SOLE NONE 185,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 489 30,000 SH SOLE NONE 30,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 816 50,000 SH CALL SOLE NONE 50,000 0 0 ARCHER DANIELS MIDLAND CO UNIT 99/99/9999 039483201 5,724 152,200 PRN SOLE NONE 152,200 0 0 BANCO SANTANDER SA ADR 05964H105 832 87,700 SH SOLE NONE 87,700 0 0 BANKS COM INC COM 066470105 10 97,500 SH SOLE NONE 97,500 0 0 BCE INC COM NEW 05534B760 205 10,000 SH SOLE NONE 10,000 0 0 BRINKS CO COM 109696104 2,137 79,500 SH SOLE NONE 79,500 0 0 BRINKS HOME SEC HLDGS INC COM 109699108 6,203 283,000 SH SOLE NONE 283,000 0 0 BRISTOW GROUP INC PFD CNV 5.50% 110394400 11,800 322,500 PRN SOLE NONE 322,500 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 2,310 184,500 SH SOLE NONE 184,500 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 421 25,000 SH SOLE NONE 25,000 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 2,797 166,100 SH CALL SOLE NONE 166,100 0 0 CARDINAL HEALTH INC COM 14149Y108 1,792 52,000 SH SOLE NONE 52,000 0 0 CBS CORP NEW CL B 124857202 287 35,000 SH SOLE NONE 35,000 0 0 CELANESE CORP DEL PFD 4.25% CONV 150870202 1,907 112,400 PRN SOLE NONE 112,400 0 0 CENTENNIAL COMMUNCTNS CORP N CL A NEW 15133V208 1,612 200,000 SH SOLE NONE 200,000 0 0 CHINA NEPSTAR CHAIN DRUGSTOR SPONSORED ADR 16943C109 610 120,800 SH SOLE NONE 120,800 0 0 CLEARWATER PAPER CORP COM 18538R103 460 54,828 SH SOLE NONE 54,828 0 0 COMPANHIA VALE DO RIO DOCE SPONSORED ADR 204412209 484 40,000 SH SOLE NONE 40,000 0 0 CORN PRODS INTL INC COM 219023108 2,885 100,000 SH CALL SOLE NONE 2,885 0 0 CRESUD S A C I F Y A SPONSORED ADR 226406106 201 22,500 SH SOLE NONE 22,500 0 0 DELL INC COM 24702R101 1,249 122,000 SH SOLE NONE 122,000 0 0 DONNELLEY R R & SONS CO COM 257867101 330 20,000 SH SOLE NONE 20,000 0 0 DOW CHEM CO COM 260543103 1,509 100,000 SH CALL SOLE NONE 100,000 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,289 60,000 SH SOLE NONE 60,000 0 0 EAGLE MATERIALS INC COM 26969P108 460 25,000 SH SOLE NONE 25,000 0 0 EAGLE MATERIALS INC COM 26969P108 921 50,000 SH CALL SOLE NONE 50,000 0 0 EARTHLINK INC COM 270321102 2,757 400,000 SH SOLE NONE 400,000 0 0 ECHOSTAR CORP CL A 278768106 824 38,000 SH SOLE NONE 38,000 0 0 ENTERGY CORP NEW EQUITY UNIT 29364G202 1,537 30,605 PRN SOLE NONE 30,605 0 0 FREEPORT-MCMORAN COPPER & GO COM 35671D857 1,833 75,000 SH SOLE NONE 75,000 0 0 GENENTECH INC COM NEW 368710406 11,607 140,000 SH SOLE NONE 140,000 0 0 GENENTECH INC COM NEW 368710406 16,582 200,000 SH CALL SOLE NONE 200,000 0 0 GENENTECH INC COM NEW 368710406 13,266 160,000 SH PUT SOLE NONE 160,000 0 0 GENTEK INC COM NEW 37245X203 1,076 62,062 SH SOLE NONE 62,062 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 439 1,250,000 PRN SOLE NONE 1,250,000 0 0 GLOBAL INDS LTD COM 379336100 2,821 738,000 SH SOLE NONE 738,000 0 0 HUBBELL INC CL B 443510201 2,239 68,300 SH SOLE NONE 68,300 0 0 HUNTSMAN CORP COM 447011107 516 150,000 SH SOLE NONE 150,000 0 0 JOHN BEAN TECHNOLOGIES CORP COM 477839104 255 26,500 SH SOLE NONE 26,500 0 0 LAS VEGAS SANDS CORP COM 517834107 623 105,000 SH SOLE NONE 105,000 0 0 LEGG MASON INC UNIT 99/99/9999 524901303 4,758 211,400 PRN SOLE NONE 211,400 0 0 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 821 120,000 SH SOLE NONE 120,000 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 1,398 292,000 SH SOLE NONE 292,000 0 0 LIMCO PIEDMONT INC COM 53261T109 214 55,700 SH SOLE NONE 55,700 0 0 LOUISIANA PAC CORP COM 546347105 522 131,500 SH SOLE NONE 131,500 0 0 MCMORAN EXPLORATION CO PFD MAND CNV 582411500 1,494 20,000 PRN SOLE NONE 20,000 0 0 MENTOR CORP MINN COM 587188103 2,706 87,500 SH SOLE NONE 87,500 0 0 MENTOR GRAPHICS CORP COM 587200106 530 102,600 SH CALL SOLE NONE 102,600 0 0 MERCURY COMPUTER SYS COM 589378108 804 126,000 SH SOLE NONE 126,000 0 0 METLIFE INC UNIT 02/15/2010 59156R702 5,953 603,400 PRN SOLE NONE 603,400 0 0 MGM MIRAGE COM 552953101 138 10,000 SH SOLE NONE 10,000 0 0 MICROSOFT CORP COM 594918104 3,499 180,000 SH SOLE NONE 180,000 0 0 MUELLER WTR PRODS INC COM SER B 624758207 1,325 173,582 SH SOLE NONE 173,582 0 0 MYR GROUP INC DEL COM 55405W104 268 26,801 SH SOLE NONE 26,801 0 0 NABORS INDUSTRIES LTD SHS G6359F103 2,729 223,000 SH SOLE NONE 223,000 0 0 NEWMONT MINING CORP COM 651639106 20,350 500,000 SH PUT SOLE NONE 500,000 0 0 NRG ENERGY INC PFD CONV MAND 629377870 4,633 21,400 PRN SOLE NONE 21,400 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 5,549 152,645 PRN SOLE NONE 152,645 0 0 PFIZER INC COM 717081103 4,410 249,000 SH SOLE NONE 249,000 0 0 PICO HLDGS INC COM NEW 693366205 3,828 144,000 SH SOLE NONE 144,000 0 0 PLATINUM UNDERWRITER HLDGS L PFD CONV SER A G7127P142 3,836 125,900 PRN SOLE NONE 125,900 0 0 POTLATCH CORP NEW COM 737630103 3,340 128,400 SH SOLE NONE 128,400 0 0 QUANTA SVCS INC COM 74762E102 990 50,000 SH CALL SOLE NONE 50,000 0 0 RADIOSHACK CORP COM 750438103 1,270 90,000 SH SOLE NONE 90,000 0 0 RIVIERA HLDGS CORP COM 769627100 219 73,000 SH SOLE NONE 73,000 0 0 ROHM & HAAS CO COM 775371107 618 10,000 SH PUT SOLE NONE 10,000 0 0 SAFETY INS GROUP INC COM 78648T100 2,816 74,000 SH SOLE NONE 74,000 0 0 SATYAM COMPUTER SERVICES LTD ADR 804098101 452 50,000 SH SOLE NONE 50,000 0 0 SEAGATE TECHNOLOGY SHS G7945J104 1,497 338,000 SH SOLE NONE 338,000 0 0 TEXAS INDS INC COM 882491103 1,380 40,000 SH SOLE NONE 40,000 0 0 UST INC COM 902911106 3,816 55,000 SH SOLE NONE 55,000 0 0 UST INC COM 902911106 2,782 40,100 SH PUT SOLE NONE 40,100 0 0 UST INC COM 902911106 6,938 100,000 SH CALL SOLE NONE 100,000 0 0 VULCAN MATLS CO COM 929160109 5,385 77,400 SH CALL SOLE NONE 77,400 0 0 WALTER INDS INC COM 93317Q105 2,318 121,000 SH SOLE NONE 121,000 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 945 73,500 SH SOLE NONE 73,500 0 0 WESTERN DIGITAL CORP COM 958102105 1,179 103,000 SH SOLE NONE 103,000 0 0 WEYERHAEUSER CO COM 962166104 2,088 68,200 SH SOLE NONE 68,200 0 0 YAHOO INC COM 984332106 2,440 200,000 SH SOLE NONE 200,000 0 0
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