0000351262-13-000004.txt : 20130514 0000351262-13-000004.hdr.sgml : 20130514 20130514151402 ACCESSION NUMBER: 0000351262-13-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130331 FILED AS OF DATE: 20130514 DATE AS OF CHANGE: 20130514 EFFECTIVENESS DATE: 20130514 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CUMBERLAND ASSOCIATES LLC CENTRAL INDEX KEY: 0000351262 IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01010 FILM NUMBER: 13841170 BUSINESS ADDRESS: STREET 1: 767 THIRD AVENUE STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2125750900 MAIL ADDRESS: STREET 1: 767 THIRD AVENUE STREET 2: 39TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 cumberlandassociates033113.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: March 31, 2013 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 : CUMBERLAND ASSOCIATES Address : 767 Third Avenue, 39th floor New York, NY 10017 13F File Number : 28-1010 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 K. Lewis Title : Controller Phone : -------------------------- ---------------------- --------------------- [Signature] [City, State] [Date] Report Type (Check only one.) : [ X ] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of other Managers Reporting for this Manager : Form 13F File Number Name FORM 13F SUMMARY PAGE Report Summary : Number of Other Included Managers : 2 Form 13F Information Table Entry Total : 38 Form 13F Information Table Value Total : 73,905 (thousands) List of other Included Managers : No. Form 13F File Number Name 1 28-1010 CUMBERLAND ASSOCIATES2 FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- ------- --------- --------- -------- VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- ------- --------- --------- -------- ALCATEL-LUCENT SPONSORED ADR 013904305 266 200000 SH SOLE 1,2 200000 0 0 ALLOT COMMUNICATIONS LTD SHS M0854Q105 1254 105000 SH SOLE 1,2 105000 0 0 AMERICAN INTL GROUP INC COM NEW 026874784 3248 83677 SH SOLE 1,2 83677 0 0 APPLE INC COM 037833100 1648 3723 SH SOLE 1,2 3723 0 0 ASCENA RETAIL GROUP INC COM 04351G101 2539 136895 SH SOLE 1,2 136895 0 0 BANK OF AMERICA CORPORATION COM 060505104 609 50000 SH SOLE 1,2 50000 0 0 BED BATH & BEYOND INC COM 075896100 2540 39427 SH SOLE 1,2 39427 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2460 23610 SH SOLE 1,2 23610 0 0 BRAVO BRIO RESTAURANT GROUP COM 10567B109 2378 150195 SH SOLE 1,2 150195 0 0 CITIGROUP INC COM NEW 172967424 2654 60000 SH SOLE 1,2 60000 0 0 COMVERSE INC COM 20585P105 1420 50648 SH SOLE 1,2 50648 0 0 DICKS SPORTING GOODS INC COM 253393102 2365 50000 SH SOLE 1,2 50000 0 0 E M C CORP MASS COM 268648102 3225 135000 SH SOLE 1,2 135000 0 0 ECHOSTAR CORP CL A 278768106 1518 38952 SH SOLE 1,2 38952 0 0 FEDEX CORP COM 31428X106 491 5000 SH SOLE 1,2 5000 0 0 FINISH LINE INC CL A 317923100 2743 140000 SH SOLE 1,2 140000 0 0 GENERAL MTRS CO COM 37045V100 3452 124075 SH SOLE 1,2 124075 0 0 GORDMANS STORES INC COM 38269P100 1243 106161 SH SOLE 1,2 106161 0 0 HARVEST NATURAL RESOURCES IN COM 41754V103 1985 565566 SH SOLE 1,2 565566 0 0 HERBALIFE LTD COM USD SHS G4412G101 1423 38000 SH SOLE 1,2 38000 0 0 HERTZ GLOBAL HOLDINGS INC COM 42805T105 2632 118241 SH SOLE 1,2 118241 0 0 LEUCADIA NATL CORP COM 527288104 2057 75000 SH SOLE 1,2 75000 0 0 LIBERTY INTERACTIVE CORP INT COM SER A 53071M104 2754 128870 SH SOLE 1,2 128870 0 0 LIBERTY INTERACTIVE CORP LBT VENT COM A 53071M880 2251 29782 SH SOLE 1,2 29782 0 0 LIBERTY MEDIA CORP DELAWARE CL A 531229102 3321 29754 SH SOLE 1,2 29754 0 0 MEMC ELECTR MATLS INC COM 552715104 440 100000 SH SOLE 1,2 100000 0 0 MOVADO GROUP INC COM 624580106 670 20000 SH SOLE 1,2 20000 0 0 OMNIVISION TECHNOLOGIES INC COM 682128103 2078 150905 SH SOLE 1,2 150905 0 0 ON SEMICONDUCTOR CORP COM 682189105 2211 267239 SH SOLE 1,2 267239 0 0 RDA MICROELECTRONICS INC SPONSORED ADR 749394102 925 100000 SH SOLE 1,2 100000 0 0 SIGNET JEWELERS LIMITED SHS G81276100 1592 23766 SH SOLE 1,2 23766 0 0 SKYWORKS SOLUTIONS INC COM 83088M102 2423 110000 SH SOLE 1,2 110000 0 0 ULTA SALON COSMETCS & FRAG I COM 90384S303 2032 25000 SH SOLE 1,2 25000 0 0 UNITED RENTALS INC COM 911363109 1924 35000 SH SOLE 1,2 35000 0 0 VERINT SYS INC COM 92343X100 1471 40251 SH SOLE 1,2 40251 0 0 VISHAY INTERTECHNOLOGY INC COM 928298108 1758 129142 SH SOLE 1,2 129142 0 0 VISTEON CORP COM NEW 92839U206 2483 43034 SH SOLE 1,2 43034 0 0 WALGREEN CO COM 931422109 1422 29822 SH SOLE 1,2 29822 0 0