-----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, NG3hzA6QQ7ZGOW+zkyWBzM7p+hbP5dF3QkA30ysUx/tuLNR85I7O8H1g2xq12ML2 7g6rN5IMSHYBYqyLevZvlw== 0001007024-06-000004.txt : 20061115 0001007024-06-000004.hdr.sgml : 20061115 20061114211510 ACCESSION NUMBER: 0001007024-06-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20060930 FILED AS OF DATE: 20061115 DATE AS OF CHANGE: 20061114 EFFECTIVENESS DATE: 20061115 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HALCYON ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001007024 IRS NUMBER: 133093794 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06072 FILM NUMBER: 061217800 BUSINESS ADDRESS: STREET 1: 477 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123039400 MAIL ADDRESS: STREET 1: 477 MADISON AVE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: HALCYON MANAGEMENT CO LLC DATE OF NAME CHANGE: 20040707 FORMER COMPANY: FORMER CONFORMED NAME: HALCYON SLIFKA ALAN B MANAGEMENT CO LLC DATE OF NAME CHANGE: 19960201 13F-HR 1 ham0906.txt 13F-HR Form 13F Holdings Report Initial Filing UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: 09/30/06 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: Halcyon Asset Management LLC Address: 477 Madison Avenue 8th Floor New York, NY 10022 13F File Number: 028-06072 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: Aaron Goldberg Title: Cheif Financial Officer Phone: 212-303-9475 Signature, Place, and Date of Signing: Aaron Goldberg New York, NY November 14, 2006 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. List of Other Managers Reporting for this Manager: I AM SIGNING THIS REPORT AS REQUIRED BY THE THE SECURITIES EXCHANGE ACT OF 1934. FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form13F Information Table Entry Total: 61 Form13F Information Table Value Total: 349901 List of Other Included Managers: List of Other Managers Reporting for this Manager: 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 filled, other than the manager filing this report. NONE FORM 13F INFORMATION TABLE TITLE OF VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE - ------------------------------------------------------------------------------------------------------------------------------------ Bellsouth Jan 30 Call OPTION 079860102 10857 8449 X SOLE 8449 Freescale Jan 35 Call OPTION 35687M107 206 515 X SOLE 515 HCA Inc Nov 47.5 Call OPTION 404119109 9 30 X SOLE 30 Advo Inc COMMON 007585102 7298 260820 X SOLE 260820 Allied Defense Group COMMON 019118108 1345 81839 X SOLE 81839 Andrx Corp COMMON 034553107 3163 129479 X SOLE 129479 Aventine Renewable Energy COMMON 05356X403 3693 172673 X SOLE 172673 Aventine Renewable Energy COMMON 05356X403 607 28380 X SOLE 28380 Aventine Renewable Energy COMMON 05356X403 450 21030 X SOLE 21030 Amerus Group COMMON 03072M108 7149 105121 X SOLE 105121 Anormed Inc COMMON 035910108 1664 131572 X SOLE 131572 ATI Technologies Inc COMMON 001941103 23511 1095582 X SOLE 1095582 Comcast A COMMON 20030N101 15940 431977 X SOLE 431977 Courtside Acq. Common COMMON 22274N102 2650 500000 X SOLE 500000 Crystal River Cap Inc COMMON 229393301 1291 57409 X SOLE 57409 Crystal River Cap Inc COMMON 229393301 534 23723 X SOLE 23723 Trump Entertainment Resorts COMMON 89816T103 1219 71882 X SOLE 71882 Eurozinc Mining Corp. COMMON 298804105 1734 728944 X SOLE 728944 Winthrop Realty Trust COMMON 976391102 749 116158 X SOLE 116158 Grubb & Ellis Realty Comm COMMON 400096103 920 164658 X SOLE 164658 Gold Kist Inc COMMON 380614107 11504 552002 X SOLE 552002 Glamis Gold Ltd COMMON 376775102 10202 259546 X SOLE 259546 WR Grace & Co. COMMON 38388F108 3957 298399 X SOLE 298399 HCA Inc COMMON 404119109 28771 576683 X SOLE 576683 Heritage Property InvestmentCOMMON 42725M107 5043 138324 X SOLE 138324 Intrawest Corp COMMON 460915200 9491 274792 X SOLE 274792 Internet Security Systems COMMON 46060X107 5343 192454 X SOLE 192454 Leap Wireless Intl COMMON 521863308 5329 109895 X SOLE 109895 Cheniere Energy Inc COMMON 16411R208 1321 44459 X SOLE 44459 McData Corp. Class B COMMON 580031102 630 127801 X SOLE 127801 McData Corp Class A COMMON 580031201 7860 1562650 X SOLE 1562650 Macdermid Inc COMMON 554273102 2109 64653 X SOLE 64653 Maverick Tube corp COMMON 577914104 28678 442358 X SOLE 442358 Inco Limited COMMON 453258402 75412 988747 X SOLE 988747 NS Group COMMON 628916108 16896 261758 X SOLE 261758 Petco Animal Supplies COMMON 716016209 4037 141002 X SOLE 141002 Ram Energy Resources COMMON 75130P109 1079 224830 X SOLE 224830 Resource America Inc COMMON 761195205 1998 96042 X SOLE 96042 Riviera Holdings COMMON 769627100 668 32685 X SOLE 32685 Aramark Corp COMMON 038521100 9276 282295 X SOLE 282295 Resource Capital Corp COMMON 76120W302 1739 112563 X SOLE 112563 Resource Capital Corp COMMON 76120W302 550 35570 X SOLE 35570 Resource Capital Corp COMMON 76120W302 2095 135592 X SOLE 135592 Tripath Imaging Inc COMMON 896942109 3584 396874 X SOLE 396874 Trizec Properties Inc COMMON 89687P107 14374 497201 X SOLE 497201 Veritas DGC Inc COMMON 92343P107 4356 66179 X SOLE 66179 General Finance Corp-Unit COMMON 369822200 1624 202946 X SOLE 202946 Global Logistics - Units COMMON 379414204 3276 400000 X SOLE 400000 HD Partners Acq. - Units COMMON 40415K209 832 108724 X SOLE 108724 Marathon Acq. Corp COMMON 565756202 1800 224977 X SOLE 224977 General Mtrs 4.5% 3/6/32 PREFERRED 370442741 2 96 X SOLE 96 Apria Hlthcare Grp Dec 20 OPTION 037933108 42 334 X SOLE 334 Apria Hlthcare Grp Dec 22. OPTION 037933108 46 152 X SOLE 152 Starwood Htls & Rsrt Nov 5 OPTION 85590A401 3 75 X SOLE 75 Oil Service Trst Nov 115 PutOPTION 678002106 29 164 X SOLE 164 S&P Depositry Rcpts Dec 11 OPTION 78462F103 11 381 X SOLE 381 WCI Commun Oct 15 Put OPTION 92923C104 16 627 X SOLE 627 WCI Commun Oct 17.5 Put OPTION 92923C104 87 827 X SOLE 827 Courtside Acq. Warrants WARRANTS 22274N110 370 1000000 X SOLE 1000000 Grubb & Ellis Realty Wnt WARRANTS 400096111 166 435576 X SOLE 435576 Ram Energy Resources WARRANTS 75130P117 306 315000 X SOLE 315000
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