-----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, GrvJbQD5rUwIuLdlWXhp+6lUptXXWVrNBJ4DOHdnhrkirMToVEsnEW/E0yh3lrnJ UExVwpACTWzB70f6qpj00A== 0000919574-10-001000.txt : 20100212 0000919574-10-001000.hdr.sgml : 20100212 20100212170345 ACCESSION NUMBER: 0000919574-10-001000 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100212 DATE AS OF CHANGE: 20100212 EFFECTIVENESS DATE: 20100212 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: 10600704 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 d1071193_13-f.txt HARBERT MANAGEMENT CORPORATION 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, 2009 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. * NOTE: THE VALUES REPORTED HEREIN REFLECT THE DECEMBER 31, 2009 MARKET VALUES OF CERTAIN SECURITIES ONCE HELD AT LEHMAN BROTHERS INTERNATIONAL (EUROPE) ("LBIE"). LBIE'S ADMINISTRATORS HAVE INDICATED THAT SOME OF THESE SECURITIES HAVE BEEN REHYPOTHECATED, AND TO THE EXTENT SECURITIES WERE IN FACT REHYPOTHECATED, THEY WILL NOT BE RETURNED TO THE REPORTING PERSON. AS OF FEBRUARY 12, 2010, THE REPORTING PERSON IS UNABLE TO ASCERTAIN PRECISELY WHICH SECURITIES ONCE HELD AT LBIE WILL BE RETURNED AND WHICH WILL NOT, AND IS REPORTING ALL SECURITIES ONCE HELD AT LBIE, VALUED AT DECEMBER 31, 2009 MARKET VALUES, IN THIS REPORT. WHEN FURTHER INFORMATION BECOMES AVAILABLE FROM LBIE'S ADMINISTRATORS CONFIRMING WHICH SECURITIES WERE REHYPOTHECATED AND WHICH WERE NOT, THE REPORTING PERSON EXPECTS TO ADJUST THE SECURITIES REPORTED IN ITS SCHEDULE 13F ACCORDINGLY. Person Signing this Report on Behalf of Reporting Manager: Name: John W. McCullough Title: Senior Vice President and General Counsel Phone: 205-987-5576 Signature, Place, and Date of Signing /s/ John W. McCullough Birmingham, Alabama February 12, 2010 - ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] 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 managers(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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name - -------------------- -------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 96 Form 13F Information Table Value Total: $448,819 (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 - ---------------------------- --------------- --------- -------- ------------------ ---------- -------- -------------------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE - ---------------------------- --------------- --------- -------- -------- -------- ---------- -------- ------- ------ ---- AFFILIATED COMPUTER SERVICES CL A 008190100 5,969 100,000 SOLE NONE 100,000 0 0 ALEXANDER & BALDWIN INC COM 014482103 5,819 170,000 SOLE NONE 170,000 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 1,735 40,000 SOLE NONE 40,000 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 1,358 80,000 SOLE NONE 80,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 2,863 70,000 PUT SOLE NONE 70,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 12,270 300,000 CALL SOLE NONE 300,000 0 0 AMR CORP COM 001765106 4,638 600,000 CALL SOLE NONE 600,000 0 0 ASCENT MEDIA CORP COM SER A 043632108 3,191 125,000 SOLE NONE 125,000 0 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 4,912 193,000 SOLE NONE 193,000 0 0 AUDIOVOX CORP CL A 050757103 768 108,300 SOLE NONE 108,300 0 0 AUTOLIV INC UNIT 99/99/9999 052800208 7,406 124,200 SOLE NONE 124,200 0 0 BAKER HUGHES INC COM 057224107 806 19,900 SOLE NONE 19,900 0 0 BANKS COM INC COM 066470105 23 97,500 SOLE NONE 97,500 0 0 BRINKS HOME SEC HLDGS INC COM 109699108 5,777 177,000 SOLE NONE 177,000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 7,575 300,000 CALL SOLE NONE 300,000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 2,525 100,000 PUT SOLE NONE 100,000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 1,263 50,000 SOLE NONE 50,000 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 6,768 300,000 SOLE NONE 300,000 0 0 BUNGE LIMITED COM G16962105 1,915 30,000 PUT SOLE NONE 30,000 0 0 BURLINGTON NORTHN SANTA FE C COM 12189T104 14,793 150,000 SOLE NONE 150,000 0 0 BURLINGTON NORTHN SANTA FE C COM 12189T104 14,793 150,000 PUT SOLE NONE 150,000 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 2,582 100,000 CALL SOLE NONE 100,000 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 581 22,500 SOLE NONE 22,500 0 0 CAMERON INTERNATIONAL CORP COM 13342B105 493 11,800 CALL SOLE NONE 11,800 0 0 CBS CORP NEW CL B 124857202 492 35,000 SOLE NONE 35,000 0 0 CELANESE CORP DEL PFD 4.25% CONV 150870202 3,964 97,100 SOLE NONE 97,100 0 0 CENTERSTATE BANKS INC COM 15201P109 525 52,000 SOLE NONE 52,000 0 0 CLEARWATER PAPER CORP COM 18538R103 675 12,286 SOLE NONE 12,286 0 0 COMCAST CORP NEW CL A SPL 20030N200 2,471 154,348 SOLE NONE 154,348 0 0 CONTANGO OIL & GAS COMPANY COM NEW 21075N204 5,054 107,500 SOLE NONE 107,500 0 0 CONTINENTAL AIRLS INC NOTE 4.500% 1/1 210795PU8 1,499 1,350,000 SOLE NONE 1,350,000 0 0 COSAN LTD SHS A G25343107 870 100,000 SOLE NONE 100,000 0 0 DOLE FOOD CO INC NEW COM 256603101 496 40,000 PUT SOLE NONE 40,000 0 0 DONNELLEY R R & SONS CO COM 257867101 445 20,000 SOLE NONE 20,000 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,698 60,000 SOLE NONE 60,000 0 0 DRYSHIPS INC. NOTE 5.000%12/0 262498AB4 2,047 2,000,000 SOLE NONE 2,000,000 0 0 EARTHLINK INC COM 270321102 1,039 125,000 SOLE NONE 125,000 0 0 ECHOSTAR CORP CL A 278768106 765 38,000 SOLE NONE 38,000 0 0 EMULEX CORP COM NEW 292475209 2,180 200,000 CALL SOLE NONE 200,000 0 0 FACET BIOTECH CORP SHS 30303Q103 2,373 135,000 SOLE NONE 135,000 0 0 FIDELITY NATIONAL FINANCIAL CL A 31620R105 2,154 160,000 SOLE NONE 160,000 0 0 FIRST AMERN CORP CALIF COM 318522307 2,649 80,000 SOLE NONE 80,000 0 0 FPL GROUP INC COM 302571104 317 6,000 PUT SOLE NONE 6,000 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 3,094 5,000,000 SOLE NONE 5,000,000 0 0 GLOBAL INDS LTD COM 379336100 3,315 465,000 SOLE NONE 465,000 0 0 HERSHEY CO COM 427866108 3,579 100,000 CALL SOLE NONE 100,000 0 0 HILLTOP HOLDINGS INC COM 432748101 2,328 200,000 SOLE NONE 200,000 0 0 HSN INC COM 404303109 5,855 290,000 SOLE NONE 290,000 0 0 HUBBELL INC CL B 443510201 4,224 89,300 SOLE NONE 89,300 0 0 HUDSON CITY BANCORP COM 443683107 2,290 166,800 CALL SOLE NONE 166,800 0 0 ISHARES TR INDEX FTSE XNHUA IDX 464287184 15,636 370,000 PUT SOLE NONE 370,000 0 0 ISHARES TR INDEX MSCI EMERG MKT 464287234 17,638 425,000 CALL SOLE NONE 425,000 0 0 JACKSON HEWITT TAX SVCS INC COM 468202106 91 20,700 PUT SOLE NONE 20,700 0 0 JACKSON HEWITT TAX SVCS INC COM 468202106 176 40,000 CALL SOLE NONE 40,000 0 0 JOHN BEAN TECHNOLOGIES CORP COM 477839104 396 23,300 SOLE NONE 23,300 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 4,107 172,000 SOLE NONE 172,000 0 0 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 1,661 120,000 SOLE NONE 120,000 0 0 LOEWS CORP COM 540424108 5,198 143,000 SOLE NONE 143,000 0 0 LOUISIANA PAC CORP COM 546347105 918 131,500 SOLE NONE 131,500 0 0 MARKET VECTORS ETF TR RUSSIA ETF 57060U506 12,476 400,000 PUT SOLE NONE 400,000 0 0 MCMORAN EXPLORATION CO PFD MAND CNV 582411500 7,584 111,300 SOLE NONE 111,300 0 0 MERCURY COMPUTER SYS COM 589378108 1,387 126,000 SOLE NONE 126,000 0 0 MGM MIRAGE COM 552953101 3,853 422,500 CALL SOLE NONE 422,500 0 0 MICROSOFT CORP COM 594918104 3,278 107,500 SOLE NONE 107,500 0 0 MUELLER WTR PRODS INC COM SER A 624758108 255 49,000 SOLE NONE 49,000 0 0 MYLAN INC PFD CONV 628530206 15,079 13,142 SOLE NONE 13,142 0 0 MYLAN INC COM 628530107 922 50,000 PUT SOLE NONE 50,000 0 0 MYR GROUP INC DEL COM 55405W104 2,350 130,000 SOLE NONE 130,000 0 0 NABORS INDUSTRIES LTD SHS G6359F103 438 20,000 SOLE NONE 20,000 0 0 NEWS CORP CL A 65248E104 979 71,500 SOLE NONE 71,500 0 0 OIL STS INTL INC COM 678026105 2,750 70,000 SOLE NONE 70,000 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 4,276 115,995 SOLE NONE 115,995 0 0 PEPSI BOTTLING GROUP INC COM 713409100 3,750 100,000 SOLE NONE 100,000 0 0 PFIZER INC COM 717081103 5,093 280,000 SOLE NONE 280,000 0 0 PICO HLDGS INC COM NEW 693366205 3,698 113,000 SOLE NONE 113,000 0 0 PLATINUM UNDERWRITER HLDGS L COM G7127P100 4,595 120,000 SOLE NONE 120,000 0 0 POTLATCH CORP NEW COM 737630103 1,371 43,000 SOLE NONE 43,000 0 0 QUANTA SVCS INC COM 74762E102 729 35,000 SOLE NONE 35,000 0 0 QUANTA SVCS INC COM 74762E102 1,771 85,000 CALL SOLE NONE 85,000 0 0 RADIOSHACK CORP COM 750438103 3,705 190,000 SOLE NONE 190,000 0 0 SAFETY INS GROUP INC COM 78648T100 7,916 218,500 SOLE NONE 218,500 0 0 SPDR TR UNIT SER 1 78462F103 100,296 900,000 PUT SOLE NONE 900,000 0 0 TERRA INDS INC COM 880915103 483 15,000 PUT SOLE NONE 15,000 0 0 TERRA INDS INC COM 880915103 6,438 200,000 CALL SOLE NONE 200,000 0 0 VALE CAP II GTD CV 6.75%12 91912F201 2,856 34,100 SOLE NONE 34,100 0 0 VALE S A ADR 91912E105 10,161 350,000 PUT SOLE NONE 350,000 0 0 VOLT INFORMATION SCIENCES IN COM 928703107 1,050 105,000 SOLE NONE 105,000 0 0 WALTER ENERGY INC COM 93317Q105 753 10,000 SOLE NONE 10,000 0 0 WALTER INVT MGMT CORP COM 93317W102 3,706 258,652 SOLE NONE 258,652 0 0 WASHINGTON FED INC COM 938824109 677 35,000 SOLE NONE 35,000 0 0 WASHINGTON FED INC COM 938824109 580 30,000 PUT SOLE NONE 30,000 0 0 XEROX CORP COM 984121103 5,949 703,200 SOLE NONE 703,200 0 0 XEROX CORP COM 984121103 8,037 950,000 PUT SOLE NONE 950,000 0 0 XTO ENERGY INC COM 98385X106 2,327 50,000 SOLE NONE 50,000 0 0 YAHOO INC COM 984332106 2,104 125,400 PUT SOLE NONE 125,400 0 0 YAHOO INC COM 984332106 2,104 125,400 SOLE NONE 125,400 0 0
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