-----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, ELdfCS+RHUNJc4qOGREZParn3CWl/KTtVtqBURlAi11ndq9LLXkWt1/75t6NuSnT 4MNeklIRW50EmNrww9NHDQ== 0001007024-07-000001.txt : 20070214 0001007024-07-000001.hdr.sgml : 20070214 20070214172945 ACCESSION NUMBER: 0001007024-07-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061231 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 EFFECTIVENESS DATE: 20070214 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: 07622917 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 ham1206.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: 12/31/06 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 February 14, 2007 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: 50 Form13F Information Table Value Total: 244858 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 - ------------------------------------------------------------------------------------------------------------------------------------ Qualcomm Inc April 40 Call OPTION 747525903 741 3530 X SOLE 3530 Advo Inc COMMON 007585102 4469 137085 X SOLE 137085 Allied Defense Group Inc COMMON 019118108 1265 59965 X SOLE 59965 Armstrong World Industries COMMON 04247X102 500 11789 X SOLE 11789 Bellsouth COMMON 079860102 41968 885957 X SOLE 885957 Continental AirlinesCls B COMMON 210795308 2023 49054 X SOLE 49054 Clear Channel Communicatns COMMON 184502102 17158 482770 X SOLE 482770 Comcast Corp-CL A COMMON 20030N101 35786 845403 X SOLE 845403 Courtside Acquisition Corp COMMON 22274N102 2715 500000 X SOLE 500000 Crystal River Capital Inc COMMON 229393103 1466 57409 X SOLE 57409 Crystal River Capital Inc COMMON 229393202 455 17834 X SOLE 17834 Digital Insight Corp COMMON 25385P106 4744 123254 X SOLE 123254 Trump Entertainment Resorts COMMON 89816T103 1563 85683 X SOLE 85683 Duke Energy Corp COMMON 26441C105 1282 38588 X SOLE 38588 Elkcorp COMMON 287456107 16632 404775 X SOLE 404775 Winthrop Realty Trust COMMON 976391102 796 116158 X SOLE 116158 Grubb & Ellis Realty Advisr COMMON 400096103 930 164658 X SOLE 164658 WR Grace & Co. COMMON 38388F108 4339 219117 X SOLE 219117 Harrah's Entertainment Inc COMMON 413619107 29181 352763 X SOLE 352763 Kanbay International Inc COMMON 48369P207 7711 268014 X SOLE 268014 Leap Wireless Intl Inc COMMON 521863308 7917 133124 X SOLE 133124 Cheniere Energy Inc COMMON 16411R208 1204 41711 X SOLE 41711 LSI Logic Corp COMMON 502161102 8657 961943 X SOLE 961943 Midwest Air Group Inc COMMON 597911106 705 61318 X SOLE 61318 Portland General Electric COMMON 736508847 12 443 X SOLE 443 Ram Energy Resources Inc COMMON 75130P109 1239 224830 X SOLE 224830 Redback Networks Inc COMMON 757209507 14074 564297 X SOLE 564297 Resource America Inc-CL A COMMON 761195205 3983 150863 X SOLE 150863 Rinker Group Ltd-ADR COMMON 76687M101 276 3891 X SOLE 3891 Rotech Medical Corp COMMON 778901108 66 20308 X SOLE 20308 Resource Capital Corp COMMON 76120W302 5228 308440 X SOLE 308440 Southern Union Co COMMON 844030106 3325 118969 X SOLE 118969 Swift Transportation Co Inc COMMON 870756103 3578 136194 X SOLE 136194 Telus Corporation -Non Vote COMMON 87971M202 2210 49478 X SOLE 49478 Tanox Inc COMMON 87588Q109 5131 257825 X SOLE 257825 General Finance Corp COMMON 369822200 1735 202946 X SOLE 202946 Global Logistics Acquisitn COMMON 379414204 3320 400000 X SOLE 400000 General Motors 4.5% 3/06/32 PREFERRED 370442741 6 231 X SOLE 231 Advo Inc Jan 25 Put OPTION 007585102 4 423 X SOLE 423 Bausch & Lomb April 50 Put OPTION 071707103 293 1247 X SOLE 1247 Icos Corp Jan 30 Put OPTION 449295104 0 43 X SOLE 43 NYSE Group Inc. Jan 100 Put OPTION 62949W103 32 54 X SOLE 54 NYSE Group March 105 Put OPTION 62949W103 146 105 X SOLE 105 NYSE Group March 110 Put OPTION 62949W103 5073 2899 X SOLE 2899 NYSE Group March 95 Put OPTION 62949W103 63 80 X SOLE 80 NYSE Group March 100 Put OPTION 62949W103 118 110 X SOLE 110 Swift Transprtn Jan 25 Put OPTION 870756103 0 2 X SOLE 2 Courtside Acquisition Corp WARRANT 22274N110 350 1000000 X SOLE 1000000 Grubb & Ellis Realty Advisr WARRANT 400096111 118 435576 X SOLE 435576 Ram Energy Resources Inc WARRANT 75130P117 271 315000 X SOLE 315000
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