-----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, EC8doKIPbzf6pdTfaANsUPVdF39UFjwCY1a2WHBwHauXW2mwEDkaU7bzyJFo/0J7 6GjN1rMlRLKJjHhGaw0NnQ== 0001085146-09-000539.txt : 20090129 0001085146-09-000539.hdr.sgml : 20090129 20090128201405 ACCESSION NUMBER: 0001085146-09-000539 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20081231 FILED AS OF DATE: 20090129 DATE AS OF CHANGE: 20090128 EFFECTIVENESS DATE: 20090129 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HAVENS ADVISORS LLC CENTRAL INDEX KEY: 0001280200 IRS NUMBER: 133855354 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10727 FILM NUMBER: 09552651 BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123551918 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 havn4q2008.txt HAVENS ADVISORS LLC 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 holdings entries. Institutional Investment Manager Filing this Report: Name: Havens Advisors Address: 600 Lexington Av. 29th Floor New York, NY 10022 13F File Number: 28-10727 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: Nancy Havens-Hasty Title: President Phone: 212-355-0050 Signature, Place, and Date of Signing: Nancy Havens-Hasty New York, NY January 28, 2009 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 29 Form13F Information Table Value Total: $101,728 (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional managers with respect to which this report is filed, other than the manager filing this report. 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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- AMGEN INC COM 031162100 651 11276 SH SOLE 0 11276 0 CENTENNIAL COMMUNICATIONS CORP CL A NEW 15133V208 5494 681600 SH SOLE 0 40380 0 DONNELLEY RR & SONS CO COM 257867101 3221 237222 SH SOLE 0 117315 0 EATON VANCE FLTING RATE INC COM 278279104 339 42328 SH SOLE 0 214300 0 EMC CORP MASS COM 268648102 1230 117447 SH SOLE 0 11276 0 FOUNDRY NETWORKS INC COM 35063R950 0 10000 SH PUT SOLE 0 28440 0 GENENTECH INC COM NEW 368710406 9178 110700 SH SOLE 0 50000 0 GENZYME CORP COM 372917104 6523 98287 SH SOLE 0 732433 0 HEARST-ARGYLE TELEVISION INC COM 422317107 176 29000 SH SOLE 0 214000 0 HSBC HOLDINGS PLC SPON ADR NEW 404280406 2305 47353 SH SOLE 0 130000 0 JUNIPER NETWORKS INC COM 48203R104 1474 84190 SH SOLE 0 2560 0 LEUCADIA NATL CORP COM 527288104 2410 121734 SH SOLE 0 8690 0 MENTOR CORP MINN COM 587188103 11444 370000 SH SOLE 0 113760 0 MERRILL LYNCH & CO INC COM 590188108 7878 651000 SH SOLE 0 6838 0 NATIONWIDE FINL SVCS INC CL A 638612101 8360 160000 SH SOLE 0 138852 0 OFFICEMAX INC DEL COM 67622P101 289 37822 SH SOLE 0 117447 0 PFIZER INC COM 717081103 2459 138852 SH SOLE 0 288185 0 PIONEER NAT RES CO COM 723787107 565 34920 SH SOLE 0 237222 0 PUGET ENERGY INC NEW COM 745310102 2314 84869 SH SOLE 0 28440 0 REPUBLIC SVCS INC COM 760759100 989 39897 SH SOLE 0 110000 0 ROHM & HAAS CO COM 775371107 7662 124000 SH SOLE 0 124000 0 ROHM & HAAS CO COM 775371907 927 15000 SH CALL SOLE 0 101805 0 SOVEREIGN BANCORP INC COM 845905108 7599 2550000 SH SOLE 0 35004 0 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 234 31000 SH SOLE 0 202236 0 TELLABS INC COM 879664100 169 40966 SH SOLE 0 47353 0 UST INC COM 902911106 12280 177000 SH SOLE 0 34920 0 WELLPOINT INC COM 94973V107 2897 68772 SH SOLE 0 113000 0 WESTERN UN CO COM 959802109 2264 157883 SH SOLE 0 84190 0 YAHOO INC COM 984332106 397 32520 SH SOLE 0 3070 0
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