0001085146-12-000061.txt : 20120124 0001085146-12-000061.hdr.sgml : 20120124 20120124074247 ACCESSION NUMBER: 0001085146-12-000061 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20111231 FILED AS OF DATE: 20120124 DATE AS OF CHANGE: 20120124 EFFECTIVENESS DATE: 20120124 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HAVENS ADVISORS LLC CENTRAL INDEX KEY: 0001280200 IRS NUMBER: 133855354 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10727 FILM NUMBER: 12540864 BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-355-0050 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVE STREET 2: 29TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 havens4q2011.txt HAVENS ADVISORS 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 31,2011 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 Avenue, 29th Floor New York, New York 10022 13F File Number: 028-10727 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 23, 2012 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 Form 13F Information Table Entry Total: 47 Form 13F Information Table Value Total: $253,666 (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 ------------------------------ ---------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------- 99 CENTS ONLY STORES COM 65440K106 4290 195424 SH SOLE 0 195424 0 AMGEN INC COM 031162100 724 11276 SH SOLE 0 11276 0 COMPLETE PRODUCTION SERVICES COM 20453E109 14565 434000 SH SOLE 0 434000 0 DELPHI FINL GROUP INC CL A 247131105 1994 45000 SH SOLE 0 45000 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 3162 45000 SH PUT SOLE 0 45000 0 DOLLAR THRIFTY AUTOMOTIVE GP COM 256743105 12496 177847 SH SOLE 0 177847 0 DONNELLEY R R & SONS CO COM 257867101 3423 237222 SH SOLE 0 237222 0 EL PASO CORP COM 28336L109 8635 325000 SH SOLE 0 325000 0 GENERAL MOTORS CO JR PFD CNV SRB 37045V209 1713 50000 SH SOLE 0 50000 0 GLOBAL POWER EQUIPMENT GROUP I COM PAR $.01 37941P306 279 11759 SH SOLE 0 11759 0 GOODRICH CORP COM 382388106 13360 108000 SH SOLE 0 108000 0 GOODRICH CORP COM 382388106 6185 50000 SH CALL SOLE 0 50000 0 GOODRICH CORP COM 382388106 6185 50000 SH CALL SOLE 0 50000 0 HARLEYSVILLE GROUP INC COM 412824104 1103 19500 SH SOLE 0 19500 0 HSBC HLDGS PLC SPON ADR NEW 404280406 1804 47353 SH SOLE 0 47353 0 ISTA PHARMACEUTICALS INC COM 45031X204 92 13000 SH SOLE 0 13000 0 JOHNSON & JOHNSON COM 478160104 1640 25000 SH PUT SOLE 0 25000 0 JUNIPER NETWORKS INC COM 48203R104 1718 84190 SH SOLE 0 84190 0 LEUCADIA NATL CORP COM 527288104 2768 121734 SH SOLE 0 121734 0 LIFEPOINT HOSPITALS INC COM 53219L109 114 3070 SH SOLE 0 3070 0 LOOPNET INC COM 543524300 7440 407000 SH SOLE 0 407000 0 MEDCO HEALTH SOLUTIONS INC COM 58405U102 19118 342000 SH SOLE 0 342000 0 MOTOROLA MOBILITY HLDGS INC COM 620097105 20370 525000 SH SOLE 0 525000 0 NETLOGIC MICROSYSTEMS INC COM 64118B100 14227 287000 SH SOLE 0 287000 0 NORTEK INC COM NEW 656559309 1962 75000 SH SOLE 0 75000 0 OFFICEMAX INC DEL COM 67622P101 172 37822 SH SOLE 0 37822 0 PFIZER INC COM 717081103 1446 66842 SH SOLE 0 66842 0 PHARMASSET INC COM 71715N106 14743 115000 SH SOLE 0 115000 0 PHARMASSET INC COM 71715N106 3205 25000 SH SOLE 0 25000 0 PHARMASSET INC COM 71715N106 2564 20000 SH SOLE 0 20000 0 PHARMERICA CORPORATION COM 71714F104 1518 100000 SH PUT SOLE 0 100000 0 PHARMERICA CORPORATION COM 71714F104 10161 669344 SH SOLE 0 669344 0 PILGRIMS PRIDE CORP NEW COM 72147K108 806 140000 SH SOLE 0 140000 0 RIGHTNOW TECHNOLOGIES INC COM 76657R106 4487 105000 SH SOLE 0 105000 0 RSC HOLDINGS INC COM 74972L102 8325 450000 SH SOLE 0 450000 0 S1 CORPORATION COM 78463B101 4418 461700 SH SOLE 0 461700 0 SANOFI RIGHT 12/31/2020 80105N113 1926 1605400 SH SOLE 0 1605400 0 SOUTHERN UN CO NEW COM 844030106 24159 573723 SH SOLE 0 573723 0 SUCCESSFACTORS INC COM 864596101 4984 125000 SH SOLE 0 125000 0 TEKELEC COM 879101103 1873 171400 SH SOLE 0 171400 0 TELLABS INC COM 879664100 166 40966 SH SOLE 0 40966 0 TEMPLE INLAND INC COM 879868107 8086 255000 SH SOLE 0 255000 0 TRANSATLANTIC HLDGS INC COM 893521104 5794 105869 SH SOLE 0 105869 0 US CONCRETE INC COM NEW 90333L201 1074 370280 SH SOLE 0 370280 0 VULCAN MATLS CO COM 929160109 984 25000 SH SOLE 0 25000 0 WESTERN UN CO COM 959802109 2883 157883 SH SOLE 0 157883 0 YAHOO INC COM 984332106 525 32520 SH SOLE 0 32520 0