0001144204-17-007816.txt : 20170213 0001144204-17-007816.hdr.sgml : 20170213 20170213144746 ACCESSION NUMBER: 0001144204-17-007816 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170213 DATE AS OF CHANGE: 20170213 EFFECTIVENESS DATE: 20170213 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARVEST MANAGEMENT LLC CENTRAL INDEX KEY: 0001140315 IRS NUMBER: 133863996 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06505 FILM NUMBER: 17598380 BUSINESS ADDRESS: STREET 1: 527 MADISON AVE STREET 2: 9TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-634-3600 MAIL ADDRESS: STREET 1: 527 MADISON AVE STREET 2: 9TH FL CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001140315 XXXXXXXX 12-31-2016 12-31-2016 false HARVEST MANAGEMENT LLC

527 Madison Ave 9th Fl New York NY 10022

13F HOLDINGS REPORT 028-06505 Y Harvest Management, L.L.C., shares investment discretion with and is reporting on behalf of Mr. Bohrer and Ms. Gochberg Kellner with respect to the accounts holding the securities reported herein. With respect to the accounts holding the securities reported herein, Mr. Bohrer and Ms. Gochberg Kellner exercise investment discretion through an institutional investment manager, Harvest Management, L.L.C., which is filing a Form 13-F simultaneously herewith. Marjorie Gochberg Kellner 212-644-2202 /s/ Marjorie Gochberg Kellner New York NY 02-13-2017 2 67 172272 1 0001074026 028-07384 BOHRER NATHANIEL 2 0001080371 028-04407 KELLNER MARJORIE GOCHBERG INFORMATION TABLE 2 infotable.xml AEP Industries COM 001031103 2547 21939 SH OTR 1,2 0 21939 0 Alere Inc COM 01449j105 4598 118000 SH OTR 1,2 0 118000 0 Alere Inc PUT 01449J955 1169 30000 SH Put OTR 1,2 0 30000 0 Allied World Assurance SHS h01531104 4431 82500 SH OTR 1,2 0 82500 0 American Axle & Mfg COM 024061103 579 30000 SH OTR 1,2 0 30000 0 Apple COM 037833100 204 1759 SH OTR 1,2 0 1759 0 Astoria Financial Corp COM 046265104 746 40000 SH OTR 1,2 0 40000 0 AT&T Inc PUT 00206r952 213 5000 SH Put OTR 1,2 0 5000 0 B/E Aerospace Inc COM 073302101 436 7245 SH OTR 1,2 0 7245 0 B/E Aerospace Inc PUT 073302951 1204 20000 SH Put OTR 1,2 0 20000 0 Barnes & Noble Inc. COM 067774109 470 42177 SH OTR 1,2 0 42177 0 Broadcom Ltd SHS y09827109 354 2000 SH OTR 1,2 0 2000 0 Brocade Communications COM NEW 111621306 1624 130000 SH OTR 1,2 0 130000 0 Cabelas PUT 126804951 2635 45000 SH Put OTR 1,2 0 45000 0 CenturyLink Inc COM 156700106 298 12540 SH OTR 1,2 0 12540 0 Cintas Corp COM 172908105 289 2500 SH OTR 1,2 0 2500 0 Cintas Corp PUT 172908955 231 2000 SH Put OTR 1,2 0 2000 0 Clarcor Inc COM 179895107 6598 80000 SH OTR 1,2 0 80000 0 Columbia Pipeline Partners COM UT REPSTG 198281107 3602 210000 SH OTR 1,2 0 210000 0 Community Helath CVR RIGHT 99/99/9999 203668116 1 160000 SH OTR 1,2 0 160000 0 Datalink Corp COM 237934104 1576 139967 SH OTR 1,2 0 139967 0 Dell Technologies Inc COM CL V 24703L103 1099 20000 SH OTR 1,2 0 20000 0 Earthlink Hldgs Corp COM 27033x101 451 80000 SH OTR 1,2 0 80000 0 Endurance Specialty Hldgs SHS g30397106 10164 110000 SH OTR 1,2 0 110000 0 Freds Inc PUT 356108950 371 20000 SH Put OTR 1,2 0 20000 0 G & K Services Inc CL A 361268105 9645 100000 SH OTR 1,2 0 100000 0 Harman International COM 413086109 5558 50000 SH OTR 1,2 0 50000 0 Headwaters Inc COM 42210p102 3528 150000 SH OTR 1,2 0 150000 0 Inteliquent Inc COM 45825n107 3196 139441 SH OTR 1,2 0 139441 0 Interoil Corp COM 460951106 3773 79300 SH OTR 1,2 0 79300 0 Intralinks Hldg COM 46118h104 946 70000 SH OTR 1,2 0 70000 0 Ixia COM 45071r109 161 10000 SH OTR 1,2 0 10000 0 Ixia CALL 45071r909 16 1000 SH Call OTR 1,2 0 1000 0 Joy Global Inc COM 481165108 3640 130000 SH OTR 1,2 0 130000 0 Kate Spade & Co PUT 485865959 187 10000 SH Put OTR 1,2 0 10000 0 Lamar Advertising Co. CL A 512816109 276 4100 SH OTR 1,2 0 4100 0 Linear Tech Corp COM 535678106 3741 60000 SH OTR 1,2 0 60000 0 Lionbridge Tech COM 536252109 290 50000 SH OTR 1,2 0 50000 0 Maxim Integrated Prods Inc COM 57772k101 228 5924 SH OTR 1,2 0 5924 0 Media General COM 58441k100 3465 184000 SH OTR 1,2 0 184000 0 Mentor Graphics Corp COM 587200106 3689 100000 SH OTR 1,2 0 100000 0 Microsemi Corp COM 595137100 270 5000 SH OTR 1,2 0 5000 0 Monsanto Co COM 61166W101 3367 32000 SH OTR 1,2 0 32000 0 New York Community Bank PUT 649445953 796 50000 SH Put OTR 1,2 0 50000 0 Northstar Realty Corp COM 66706l101 126 10000 SH OTR 1,2 0 10000 0 NXP Semiconductors NV COM n6596x109 10291 105000 SH OTR 1,2 0 105000 0 Och-Ziff Cap Mgmt CL A 67551u105 132 40000 SH OTR 1,2 0 40000 0 Packaging Corp of America COM 695156109 594 7000 SH OTR 1,2 0 7000 0 Pandora Media Inc COM 698354107 391 30000 SH OTR 1,2 0 30000 0 Praxair Inc COM 74005p104 586 5000 SH OTR 1,2 0 5000 0 Privatebancorp COM 742962103 2168 40000 SH OTR 1,2 0 40000 0 Reynolds American Inc COM 761713106 10928 195000 SH OTR 1,2 0 195000 0 Rite Aid COM 767754104 2596 315000 SH OTR 1,2 0 315000 0 Rite Aid PUT 767754954 2554 310000 SH Put OTR 1,2 0 310000 0 Rockwell Collins COM 774341101 1948 21000 SH OTR 1,2 0 21000 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 3353 15000 SH OTR 1,2 0 15000 0 Sherwin Williams COM 824348106 269 1000 SH OTR 1,2 0 1000 0 St. Jude Med Inc COM 790849103 13588 169449 SH OTR 1,2 0 169449 0 Stillwater Mining COM 86074q102 1385 86000 SH OTR 1,2 0 86000 0 Syngenta Ag-Adr SPONSORED ADR 87160A100 1976 25000 SH OTR 1,2 0 25000 0 Team Health Holdings COM 87817a107 1086 25000 SH OTR 1,2 0 25000 0 Time Warner COM NEW 887317303 4489 46500 SH OTR 1,2 0 46500 0 Universal American Corp COM 91338e101 2836 285000 SH OTR 1,2 0 285000 0 Valspar Corp COM 920355104 2590 25000 SH OTR 1,2 0 25000 0 Vascular Solutions COM 92231m109 561 10000 SH OTR 1,2 0 10000 0 Western Refining Inc COM 959319104 4599 121500 SH OTR 1,2 0 121500 0 Whitewave Foods Inc COM 966244105 10564 190000 SH OTR 1,2 0 190000 0