-----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, ETRTIgJpQ0RaBLgeaIaGybiguvauSond+Xz60u08VEIxkQQJbqqIegUIKQiiH2OA qcdE+0vsm+f3ywatRALagA== 0001085146-10-000044.txt : 20100127 0001085146-10-000044.hdr.sgml : 20100127 20100127083748 ACCESSION NUMBER: 0001085146-10-000044 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100127 DATE AS OF CHANGE: 20100127 EFFECTIVENESS DATE: 20100127 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: 10549100 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 havn4q2009.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, 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: 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 26, 2010 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: 49 Form13F Information Table Value Total: $266,289 (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 - ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 3COM CORP COM 885535104 14250 1900000 SH SOLE 0 1900000 0 AFFILIATED COMPUTER SERVICES CL A 008190100 20892 350000 SH SOLE 0 350000 0 ALCON INC COM SHS H01301102 4930 30000 SH CALL SOLE 0 30000 0 ALLIED CAP CORP NEW COM 01903Q108 10661 2953300 SH SOLE 0 2953300 0 AMGEN INC COM 031162100 638 11276 SH SOLE 0 11276 0 AMICAS INC COM NEW 001712108 1137 209000 SH SOLE 0 209000 0 BANK OF AMERICA CORPORATION UNIT 99/99/9999 060505419 5297 355000 SH SOLE 0 355000 0 BJ SVCS CO COM 055482103 13020 700000 SH SOLE 0 700000 0 BLACK & DECKER CORP COM 091797100 4992 77000 SH SOLE 0 77000 0 BPW ACQUISITON CORP COM 055637102 5433 516000 SH SOLE 0 516000 0 BURLINGTON NORTHERN SANTA FE C COM 12189T104 14152 143500 SH SOLE 0 143500 0 CHARLES RIV LABS INTL INC COM 159864107 86 2560 SH SOLE 0 2560 0 CHATTEM INC COM 162456107 1400 15000 SH SOLE 0 15000 0 COMCAST CORP NEW CL A 20030N101 1009 63000 SH SOLE 0 15000 0 DENBURY RES INC COM NEW 247916208 6228 420800 SH PUT SOLE 0 420800 0 DONNELLEY R R & SONS CO COM 257867101 5283 237222 SH SOLE 0 237222 0 EMC CORP MASS COM 268648102 2052 117447 SH SOLE 0 117447 0 ENCORE ACQUISITON CORP COM 29255W100 13851 288451 SH SOLE 0 288451 0 FACET BIOTECH CORP SHS 30303Q103 9995 569510 SH SOLE 0 569510 0 FGX INTERNATIONAL HLDGS LTD ORD SHS G3396L102 1803 92054 SH SOLE 0 92054 0 FORD MTR CO CAP TR II PFD TR CV6.5% 345395206 3748 93880 SH SOLE 0 93880 0 GENESIS LEASE LTD ADR 37183T107 856 95900 SH SOLE 0 95900 0 GENZYME CORP COM 372917104 4817 98287 SH SOLE 0 98287 0 HSBC HLDGS PLC SPON ADR NEW 404280406 2703 47353 SH SOLE 0 47353 0 I2 TECHNOLOGIES INC COM NEW 465754208 1497 78300 SH SOLE 0 78300 0 IMS HEALTH INC COM 449934108 7582 360000 SH SOLE 0 360000 0 JUNIPER NETWORKS INC COM 48203R104 2245 84190 SH SOLE 0 84190 0 LEUCADIA NATL CORP COM 527288104 2896 121734 SH SOLE 0 121734 0 LIBERTY MEDIA CORP NEW LIB STAR COM A 53071M708 1014 21979 SH SOLE 0 21979 0 LIFEPOINT HOSPITALS INC COM 53219L109 100 3070 SH SOLE 0 3070 0 MEAD JOHNSON NUTRITION CO COM CL A 582839106 3275 74933 SH SOLE 0 74933 0 MPS GROUP INC COM 553409103 2113 153800 SH SOLE 0 153800 0 NATIONAL OILWELL VARCO INC COM 637071101 160 3619 SH SOLE 0 3619 0 OFFICEMAX INC DEL COM 67622P101 480 37822 SH SOLE 0 37822 0 PEPSI BOTTLING GROUP INC COM 713409100 18075 482000 SH SOLE 0 482000 0 PEPSIAMERICAS INC COM 71343P200 14522 496292 SH SOLE 0 496292 0 PFIZER INC COM 717081103 1216 66842 SH SOLE 0 66842 0 PIONEER NAT RES CO COM 723787107 1682 34920 SH SOLE 0 3492 0 SAUER-DANFOSS INC COM 804137107 251 20936 SH SOLE 0 20936 0 SUN MICROSYSTEMS INC COM NEW 866810203 25422 2713100 SH SOLE 0 2713100 0 SWITCH & DATA FACILITIES COM COM 871043105 3240 160300 SH SOLE 0 160300 0 TELLABS INC COM 879664100 233 40966 SH SOLE 0 40966 0 TERRA INDS INC COM 880915103 3219 100000 SH SOLE 0 100000 0 VARIAN INC COM 922206107 14359 278600 SH SOLE 0 278600 0 WASTE SERVICES INC DEL COM NEW 941075202 456 50000 SH SOLE 0 50000 0 WESTERN UN CO COM 959802109 2976 157883 SH SOLE 0 157883 0 XTO ENERGY INC COM 98385X106 9390 201813 SH SOLE 0 201813 0 YAHOO INC COM 984332106 546 32520 SH SOLE 0 32520 0 ZORAN CORP COM 98975F101 107 9700 SH SOLE 0 9700 0
-----END PRIVACY-ENHANCED MESSAGE-----