-----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, I0W7JeqYy6PegRlKOctATWY4hNvk7lAKy2+7VASSQYUq9x3UZTij7MzAdGTTUTOI u7aSe7ojhvosuM+0yo2DAw== 0001007024-07-000004.txt : 20071113 0001007024-07-000004.hdr.sgml : 20071112 20071113161939 ACCESSION NUMBER: 0001007024-07-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20070930 FILED AS OF DATE: 20071113 DATE AS OF CHANGE: 20071113 EFFECTIVENESS DATE: 20071113 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: 071238472 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 ham0907.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: 09/30/07 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: Chief Financial Officer Phone: 212-303-9475 Signature, Place, and Date of Signing: Aaron Goldberg New York, NY November 13, 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: 70 Form13F Information Table Value Total: 519866 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 - ------------------------------------------------------------------------------------------------------------------------------------ ABN Amro Holdings NV COMMON 000937102 2070 39435 X SOLE 39435 ABN Amro Holdings NV COMMON 000937102 3906 74332 X SOLE 74332 Albemarle Corp Dec 35 Put OPTION 012653951 10 172 X SOLE 172 Alcan Inc COMMON 013716105 65270 652182 X SOLE 652182 Alcan Oct 90 Call OPTION 013716105 73 70 X SOLE 70 Alcoa Jan 35 Call OPTION 013817901 1092 1850 X SOLE 1850 Alcoa Jan 37.5 Call OPTION 013817901 454 1032 X SOLE 1032 Aldabra 2 Acquisition Corp COMMON 01408A103 1726 187847 X SOLE 187847 Aldabra 2 Acquisition Corp WARRANT 01408A111 310 206363 X SOLE 206363 Alliance Data Systems Corp COMMON 018581108 6740 87031 X SOLE 87031 Allied Defense Group Inc COMMON 019118108 52 6825 X SOLE 6825 Alltel Corp COMMON 020039103 982 14099 X SOLE 14099 Alltel Jan 65 call OPTION 020039903 4 7 X SOLE 7 Annaly Capital Management COMMON 035710409 1992 125062 X SOLE 125062 Archstone-Smith Trust COMMON 039583109 17770 295485 X SOLE 295485 BCE Inc. COMMON 05534B760 28815 725582 X SOLE 725582 Ceridian Corp COMMON 156779100 6367 183274 X SOLE 183274 Churchill Ventures Ltd WARRANT 17157P117 174 232355 X SOLE 232355 Churchuill Ventures LTD COMMON 17157P109 1546 201795 X SOLE 201795 Citigroup Oct 45 Put OPTION 172967951 36 717 X SOLE 717 Clear Channel CommunicationsCOMMON 184502102 37198 993524 X SOLE 993524 Clear Channel Jan 35 OPTION 184502902 345 986 X SOLE 986 Comcast Corp - Class A COMMON 20030N101 4569 188956 X SOLE 188956 Courtside Acquisition Corp WARRANT 22274N110 333 980826 X SOLE 980826 Dade Behring Holdings Inc COMMON 23342J206 5133 67235 X SOLE 67235 Dobson Communications Corp COMMON 256069105 6941 542711 X SOLE 542711 Dow Jones & Co Inc. COMMON 260561105 14020 234835 X SOLE 234835 Edwards AG Inc COMMON 281760108 5591 66758 X SOLE 66758 EMC Corp COMMON 268648102 915 44002 X SOLE 44002 Endesa S A COMMON 29258N107 8596 150753 X SOLE 150753 Freedom Acquisition HoldingsWARRANT 35645F111 574 188109 X SOLE 188109 General Finance Corp COMMON 369822101 1678 209694 X SOLE 209694 General Finance Corp WarrantWARRANT 369822119 437 198692 X SOLE 198692 Grubb & Ellis Realty WARRANT 400096111 111 397294 X SOLE 397294 Harrah's Entertainment Inc COMMON 413619107 76732 882687 X SOLE 882687 Harrah's Entertainment Inc OPTION 413619957 0 6 X SOLE 6 Harrah's Entertainment Inc OPTION 413619907 4778 5492 X SOLE 5492 Harrah's Entertainment Inc OPTION 413619907 12 29 X SOLE 29 Hilton Hotels Corp. COMMON 432848109 54682 1176215 X SOLE 1176215 Huntsman Corp COMMON 447011107 25932 978954 X SOLE 978954 International Securities COMMON 46031W204 4962 74652 X SOLE 74652 Kraft Dec 30 Call OPTION 50075N904 460 902 X SOLE 902 Kraft Dec 32.5 Call OPTION 50075N904 531 1799 X SOLE 1799 Kraft Foods Inc COMMON 50075N104 3113 90206 X SOLE 90206 Lehman Brothers Jan 50 OPTION 524908950 8 63 X SOLE 63 Lehman Brothers Oct 50 OPTION 524908950 4 291 X SOLE 291 Lehman Brothers Oct 55 OPTION 524908950 10 336 X SOLE 336 Lyondell Chemical Company COMMON 552078107 25919 559212 X SOLE 559212 MBIA Inc Jan 50 Put OPTION 55262C950 64 298 X SOLE 298 MBIA Inc Nov 50 Put OPTION 55262C950 30 373 X SOLE 373 Northwestern Corp. COMMON 668074305 865 31830 X SOLE 31830 Osage Bancshares Inc COMMON 68764U106 27 3051 X SOLE 3051 Ram Energy Resources Inc WARRANT 75130P117 172 307945 X SOLE 307945 Rare Hospitality INTL COMMON 753820109 6511 170854 X SOLE 170854 Resource Capital Corp COMMON 76120W302 936 83107 X SOLE 83107 Resource Capital Corp COMMON 76120W302 252 22350 X SOLE 22350 Resource Capital Corp COMMON 76120W302 1267 112563 X SOLE 112563 Southern Union Co COMMON 844030106 1996 64151 X SOLE 64151 Spectra Energy Partners LP COMMON 84756N109 319 12151 X SOLE 12151 Sterlite Industries India COMMON 859737207 5997 324159 X SOLE 324159 Targa Resources Partners LP COMMON 87611X105 180 6204 X SOLE 6204 Transforma Acquisition GroupCOMMON 89366E100 1307 172826 X SOLE 172826 Transforma Aquisition Group WARRANT 89366E118 208 205803 X SOLE 205803 TXU Corp COMMON 873168108 70509 1029779 X SOLE 1029779 Union Street Acquisition COMMON 908536105 900 117934 X SOLE 117934 Union Street Acquisition WARRANT 908536113 96 137366 X SOLE 137366 United Financial Bancorp IncCOMMON 91030R103 17 1369 X SOLE 1369 Williams Partners LP COMMON 96950F104 459 11101 X SOLE 11101 Winthrop Realty Trust COMMON 976391102 208 30890 X SOLE 30890 WR Grace & Co. COMMON 38388F108 4573 170268 X SOLE 170268
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