-----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, BUGBHYPuE8FMiJHbTJZPiNX4Rd6B91H6wzZUslvfa1lCGSfcf0hCcklAsVU1stW7 oETe05XU/ThJFWalmnkiNw== 0000898432-09-001375.txt : 20091116 0000898432-09-001375.hdr.sgml : 20091116 20091116154754 ACCESSION NUMBER: 0000898432-09-001375 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBER ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001387921 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12251 FILM NUMBER: 091186556 BUSINESS ADDRESS: STREET 1: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 212-808-7370 MAIL ADDRESS: STREET 1: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 f13f-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: September 30, 2009 -------------------- Check here if Amendment |X|; Amendment Number: -------------- This Amendment (Check only one.): |X| is a restatement. | | adds new holdings entries. Institutional Investment Manager filing this Report: Name: Harber Asset Management, LLC ------------------------------ 666 Fifth Avenue ------------------------------ 37[th] Floor ------------------------------ New York, NY 10103 ------------------------------ Form 13F File Number: 28- 12251 ------- 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: Harold W. Berry III --------------------- Title: Managing Member --------------------- Phone: (212) 808-7430 --------------------- Signature, Place, and Date of Signing: /s/ Harold W. Berry III New York, NY November 16, 2009 - --------------------------- ---------------------- ------------------------ [Signature] [City, State] [Date] |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 manager(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).) 1 List of Other Managers Reporting for this Manager: Form 13F File Number Name 28- 06273 Graham Partners, L.P. --------------- ------------------------ FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 ------------- Form 13F Information Table Entry Total: 58 ------------- Form 13F Information Table Value Total: 56,361 ------------- (thousands) List of Other Included Managers: NONE 2 FORM 13F INFORMATION TABLE
Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Title Of Shares Voting Authority Name of Issuer Class CUSIP Value(x$1000) Helds SH/PRN Put/Call Investment Other Shared None Discretion Managers Cadence Design Sys Inc NOTE 127387AD0 460 500,000 SH Shared- 1 500,000 12/15/2011 1.375% Defined - ------------------------------------------------------------------------------------------------------------------------------------ Diodes Inc Diod @ 2.25% NOTE 254543AA9 1462 1,500,000 SH Shared- 1 1,500,000 10/01/2026 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Verisign Inc Vrsn 08/15/2037 NOTE 92343EAD4 962 1,100,000 SH Shared- 1 1,100,000 3.25% Defined - ------------------------------------------------------------------------------------------------------------------------------------ Advanced Analogic Technologi COM 00752J108 535 135,000 SH Shared- 1 135,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Actel Corp COM 004934105 1947 160,000 SH Shared- 1 160,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Check Point Software COM M22465104 2381 84,000 SH Shared- 1 84,000 Technologies Defined - ------------------------------------------------------------------------------------------------------------------------------------ Conexant Systems Inc COM 207142308 205 75,000 SH Shared- 1 75,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Cogo Group Inc COM 192448108 1346 220,000 SH Shared- 1 220,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Cowen Group Inc COM 223621103 1424 200,000 SH Shared- 1 200,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Cisco Systems Inc COM 17275R102 2648 112,500 SH Shared- 1 112,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Daktronics Inc COM 234264109 196 22,900 SH Shared- 1 22,900 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Domino's Pizza Inc COM 25754A201 486 55,000 SH Shared- 1 55,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ 8x8 Inc COM 282914100 308 350,000 SH Shared- 1 350,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Electronic Arts Inc COM 285512109 1571 82,500 SH Shared- 1 82,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Corning Inc COM 219350105 765 50,000 SH Shared- 1 50,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ GameStop Corp COM 36467W109 793 8,500 SH Shared- 1 8,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Hewlett-Packard Co COM 428236103 1298 27,500 SH Shared- 1 27,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ International Flavors & COM 459506101 1232 32,500 SH Shared- 1 32,500 Fragrances Inc Defined - ------------------------------------------------------------------------------------------------------------------------------------ Intuit Inc COM 461202103 783 27,500 SH Shared- 1 27,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Intersil Corp COM 46069S109 1148 75,000 SH Shared- 1 75,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Sun Microsystems Inc COM 866810104 909 100,000 SH Shared- 1 100,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Multi-Color Corp COM 625383104 587 38,099 SH Shared- 1 38,099 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Lockheed Martin Corp COM 539830109 1366 17,500 SH Shared- 1 17,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Lowe's Cos Inc COM 548661107 1151 55,000 SH Shared- 1 55,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Lender Processing Services COM 52602E102 572 15,000 SH Shared- 1 15,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ McDonald's Corp COM 580135101 1426 25,000 SH Shared- 1 25,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Micrel Inc COM 594793101 1752 195,000 SH Shared- 1 195,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ MKS Instruments Inc COM 55306N104 192 10,000 SH Shared- 1 10,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Microsoft Corp COM 594918104 1286 50,000 SH Shared- 1 50,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Netscout Systems Inc COM 64115T104 270 20,000 SH Shared- 1 20,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ ON Semiconductor Corp COM 682189105 330 40,000 SH Shared- 1 40,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Opentable Inc COM 68372A104 413 15,000 SH Shared- 1 15,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Opnet Technologies Inc COM 683757108 1202 110,000 SH Shared- 1 110,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Pc-Tel Inc COM 69325Q105 312 50,000 SH Shared- 1 50,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Pfizer Inc COM 717081103 1075 65,000 SH Shared- 1 65,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ PERCEPTRON INC COM 71361F100 84 19,425 SH Shared- 1 19,425 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Phoenix Technologies Ltd COM 719153108 639 175,100 SH Shared- 1 175,100 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Sport Supply Group Inc COM 84916A104 516 50,700 SH Shared- 1 50,700 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Research In Motion Ltd COM 760975102 507 7,500 SH Shared- 1 7,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Silicon Image Inc COM 82705T102 303 125,000 SH Shared- 1 125,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Selecti Ca Inc COM 816288104 183 555,188 SH Shared- 1 555,188 Defined - ------------------------------------------------------------------------------------------------------------------------------------ S1 Corp COM 78463B101 1359 220,000 SH Shared- 1 220,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Star Buffet Inc COM 855086104 264 74,853 SH Shared- 1 74,853 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Symantec Corp COM 871503108 1976 120,000 SH Shared- 1 120,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Synaptics Inc COM 87157D109 504 20,000 SH Shared- 1 20,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Taiwan Semiconductor ADR 874039100 800 73,050 SH Shared- 1 73,050 Manufacturing Co Lt Defined - ------------------------------------------------------------------------------------------------------------------------------------ Plato Learning Inc COM 72764Y100 484 112,250 SH Shared- 1 112,250 Defined - ------------------------------------------------------------------------------------------------------------------------------------ VeriSign Inc COM 92343E102 3103 131,000 SH Shared- 1 131,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Virtus Investment Partners COM 92828Q109 390 25,000 SH Shared- 1 25,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Verizon Communications Inc COM 92343V104 1513 50,000 SH Shared- 1 50,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Williams Controls Inc COM 969465608 102 11,399 SH Shared- 1 11,399 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Wal-Mart Stores Inc COM 931142103 1718 35,000 SH Shared- 1 35,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Wet Seal Inc -Cl A COM 961840105 567 150,000 SH Shared- 1 150,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ CGI GROUP INC - CL A COM 39945C109 3135 250,000 SH Shared- 1 250,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Mellanox Technologies Ltd COM IL0011017329 1270 77,500 SH Shared- 1 77,500 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Radvision Ltd COM M81869105 1063 120,000 SH Shared- 1 120,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Verigy Ltd COM SG9999002885 464 40,000 SH Shared- 1 40,000 Defined - ------------------------------------------------------------------------------------------------------------------------------------ Barclays Bank Plc COM 06740C527 624 12,500 SH Shared- 1 12,500 Defined 3
-----END PRIVACY-ENHANCED MESSAGE-----