-----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, RPzpkh5E2oFeUIUZDDbG3wqkLyBxbcUrdz1H0PSzb0kKhd5s3opX+7ZfXYL9OQTR rzoUUbSRQaFLYY10Jxr1QQ== 0001405086-08-000102.txt : 20080811 0001405086-08-000102.hdr.sgml : 20080811 20080811172122 ACCESSION NUMBER: 0001405086-08-000102 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080630 FILED AS OF DATE: 20080811 DATE AS OF CHANGE: 20080811 EFFECTIVENESS DATE: 20080811 FILER: COMPANY DATA: COMPANY CONFORMED NAME: J.H. Whitney Investment Management, LLC CENTRAL INDEX KEY: 0001426128 IRS NUMBER: 201025478 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12714 FILM NUMBER: 081007363 BUSINESS ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1307 CITY: NEW YORK STATE: NY ZIP: 10152 BUSINESS PHONE: 212-835-1974 MAIL ADDRESS: STREET 1: 375 PARK AVENUE STREET 2: SUITE 1307 CITY: NEW YORK STATE: NY ZIP: 10152 13F-HR 1 f00497498.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: June 30, 2008 Check here if an Amendment [ ]; Amendment Number: _________ This Amendment (Check only one.): [ ] is a restatement. [ ] adds new holdings entries. INSTITUTIONAL INVESTMENT MANAGER FILING THIS REPORT: Name: J.H. Whitney Investment Management, LLC Address: 375 Park Avenue, Suite 1307 New York, New York 10152 Form 13F File Number: 028-12714 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: John M.B. O'Connor, CEO Phone: (212) 835-1950 Signature, Place, and Date of Signing: /s/ John M.B. O'Connor New York, New York August 11, 2008 - ----------------------------------------------------------------------- [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 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).) List of Other Managers Reporting for this Manager: None FORM 13F SUMMARY PAGE REPORT SUMMARY: Number of Other Included Managers: Two (2) Form 13F Information Table Entry Total: 24 Form 13F Information Table Value Total: $89,218 (in thousands) LIST OF OTHER INCLUDED MANAGERS: - --------------------------------------------------------------- |NO.|FORM 13F FILE NO.| NAME | - --------------------------------------------------------------- | 1 | 028-12717 |Whitney Green River Management Co., LLC| - --------------------------------------------------------------- | 2 | 028-12716 |Whitney Green River GP, LLC | - --------------------------------------------------------------- FORM 13F INFORMATION TABLE
NAME OF ISSUER TITLE OF CLASS CUSIP VALUE SHARES/ SHR/ PUT/ INVSTMT OTHER VOTING AUTHORITY X(1000) PRN AMT PRN CALL DISCRETN MGRS SOLE SHARED NONE ALLIED HEALTHCARE INTL INC COM 01923A109 4,739 2,381,275 SH DEFINED 1,2 2,381,275 0 0 ALLSCRIPTS HEALTHCARE SOLUTION COM 01988P108 1,440 116,000 SH DEFINED 1,2 116,000 0 0 AMERICAN ORIENTAL BIOENGINEER COM 028731107 8,439 855,000 SH DEFINED 1,2 855,000 0 0 ARENA RESOURCES INC. COM 040049108 1,056 20,000 SH DEFINED 1,2 20,000 0 0 ARGAN INC COM 04010E109 2,091 151,088 SH DEFINED 1,2 151,088 0 0 ARRIS GROUP INC COM 04269Q100 3,169 375,000 SH DEFINED 1,2 375,000 0 0 CAMBREX CORP COM 132011107 2,521 429,500 SH DEFINED 1,2 429,500 0 0 CELANESE CORP COM SER A 150870103 4,556 99,790 SH DEFINED 1,2 99,790 0 0 CERADYNE INC. COM 156710105 483 14,088 SH DEFINED 1,2 14,088 0 0 DOLLAR FINL CORP COM 256664103 5,278 349,302 SH DEFINED 1,2 349,302 0 0 DOMINOS PIZZA INC. COM 25754A201 3,206 278,800 SH DEFINED 1,2 278,800 0 0 HEARTLAND PMT SYS INC COM 42235N108 3,108 131,700 SH DEFINED 1,2 131,700 0 0 HEIDRICK & STRUGGLES INTL INC COM 422819102 2,535 91,720 SH DEFINED 1,2 91,720 0 0 HERBALIFE LTD COM USD SHS G4412G101 7,420 191,480 SH DEFINED 1,2 191,480 0 0 INVERNESS MED INNOVATIONS INC COM 46126P106 5,032 151,700 SH DEFINED 1,2 151,700 0 0 M & F WORLDWIDE CORP COM 552541104 5,834 148,400 SH DEFINED 1,2 148,400 0 0 NMT MED INC COM 629294109 2,052 440,339 SH DEFINED 1,2 440,339 0 0 NUTRI SYS INC NEW COM 67069D108 2,503 177,000 SH DEFINED 1,2 177,000 0 0 POMEROY IT SOLUTIONS INC COM 731822102 2,596 564,343 SH DEFINED 1,2 564,343 0 0 PORTFOLIO RECOVERY ASSOCS INC COM 73640Q105 7,031 187,500 SH DEFINED 1,2 187,500 0 0 SUNOPTA INC COM 8676EP108 3,705 713,900 SH DEFINED 1,2 713,900 0 0 TENNECO INC COM 880349105 1,015 75,000 SH DEFINED 1,2 75,000 0 0 THINKORSWIM GROUP INC COM 88409C105 5,846 829,214 SH DEFINED 1,2 829,214 0 0 VERIFONE HLDGS INC COM 92342Y109 3,563 298,200 SH DEFINED 1,2 298,200 0 0
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