13F-HR 1 srz726479v21.txt HARVEST/GENERAL/13F-HR 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, 2003 ------------------ 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: James Morgan Rutman -------------------------------------------------- Address: c/o Harvest Management, L.L.C. -------------------------------------------------- 600 Madison Avenue, 11th Floor -------------------------------------------------- New York, New York 10022 -------------------------------------------------- Form 13F File Number: 28-2854 ------------------ 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: James Morgan Rutman -------------------------------------------------- Title: -------------------------------------------------- Phone: 212-644-2202 -------------------------------------------------- Signature, Place, and Date of Signing: /s/ James Morgan Rutman New York, New York 05/14/03 ----------------------------------------------------------------- Report Type (Check only one.): [ X ] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting manager are reported in this report.) [ ] 13F NOTICE. (Check here if no holdings reported are in this report, and all holdings are reported by other reporting manager(s).) [ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).) Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 4 ------------- Form 13F Information Table Entry Total: 96 ------------- Form 13F Information Table Value Total: $228,955 ------------- (thousands) List of Other Included Managers: Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report. No. Form 13F File Number Name 1 28-6362 Laurence D. Belfer --- ----------- ---------------------------- 2 28-7384 Nathaniel Bohrer --- ----------- ---------------------------- 3 28-7750 Marjorie Gochberg Kellner --- ----------- ---------------------------- 4 28-06505 Harvest Management, L.L.C. --- ----------- ---------------------------- Mr. Rutman shares investment discretion with and is reporting on behalf of Mr. Belfer, 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. Rutman, Mr. Belfer, 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.
FORM 13F INFORMATION TABLE VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP x($1000) PRN AMT PRN CALL DISCRETN MANAGERS SOLE SHARED NONE -------------------------------- ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- ------- ADVANTA CORP CL B 007942204 251 33150 SH OTHER 01 02 03 04 33150 ALLEN TELECOM INC COMMON STOCK 018091108 682 70000 SH OTHER 01 02 03 04 70000 AMERICAN INTL GROUP INC COMMON STOCK 026874107 1446 29237 SH OTHER 01 02 03 04 29237 AOL TIME WARNER INC COMMON STOCK 00184A105 2188 201500 SH OTHER 01 02 03 04 201500 APRIA HEALTHCARE GROUP INC COMMON STOCK 037933108 467 20000 SH PUT OTHER 01 02 03 04 20000 ASML HLDG NV N Y SHS N07059111 144 21944 SH OTHER 01 02 03 04 21944 AT&T WIRELESS SVCS INC COMMON STOCK 00209A106 639 96891 SH OTHER 01 02 03 04 96891 AUTOZONE INC COMMON STOCK 053332102 1374 20000 SH PUT OTHER 01 02 03 04 20000 BANK UTD CORP LITIGATN CONT RIGHT 99/99/9999 065416117 70 584731 SH OTHER 01 02 03 04 584731 BAXTER INTL INC RIGHTS 071813125 0 452865 SH OTHER 01 02 03 04 452865 BRISTOL MYERS SQUIBB CO COMMON STOCK 110122108 211 10000 SH OTHER 01 02 03 04 10000 CANADA LIFE FINL CORP COMMON STOCK 135113108 15830 531100 SH OTHER 01 02 03 04 531100 CELLEGY PHARMACEUTICALS INC COMMON STOCK 15115L103 123 30000 SH OTHER 01 02 03 04 30000 CENDANT CORP COMMON STOCK 151313103 1836 144572 SH OTHER 01 02 03 04 144572 CMGI INC COMMON STOCK 125750109 59 75511 SH OTHER 01 02 03 04 75511 COGNIZANT TECHNOLOGY SOLUTIO CL A 192446102 2269 33715 SH OTHER 01 02 03 04 33715 COMCAST CORP NEW CL A SPL 20030N200 687 25000 SH OTHER 01 02 03 04 25000 CORNING INC COMMON STOCK 219350105 376 64467 SH OTHER 01 02 03 04 64467 COX COMMUNICATIONS INC NEW CL A 224044107 1556 50000 SH PUT OTHER 01 02 03 04 50000 DANAHER CORP DEL COMMON STOCK 235851102 1973 30000 SH PUT OTHER 01 02 03 04 30000 DELTA & PINE LD CO COMMON STOCK 247357106 5031 222500 SH OTHER 01 02 03 04 222500 DEUTSCHE TELEKOM AG SPONSORED ADR 251566105 5928 537948 SH OTHER 01 02 03 04 537948 DOW CHEM CO COMMON STOCK 260543103 10872 393766 SH OTHER 01 02 03 04 393766 DREYERS GRAND ICE CREAM INC COMMON STOCK 261878102 13171 190000 SH PUT OTHER 01 02 03 04 190000 DREYERS GRAND ICE CREAM INC COMMON STOCK 261878102 12284 177200 SH OTHER 01 02 03 04 177200 DREYERS GRAND ICE CREAM INC WHEN ISSUED 261877104 1918 25000 SH OTHER 01 02 03 04 25000 EL PASO CORP COMMON STOCK 28336L109 1857 306963 SH OTHER 01 02 03 04 306963 ELAN PLC RIGHTS G29539148 0 1078575 SH OTHER 01 02 03 04 1078575 ENZON PHARMACEUTICALS INC COMMON STOCK 293904108 2213 195000 SH OTHER 01 02 03 04 195000 FIRST VA BANKS INC COMMON STOCK 337477103 2354 60000 SH OTHER 01 02 03 04 60000 GAP INC DEL COMMON STOCK 364760108 652 45000 SH OTHER 01 02 03 04 45000 GENERAL MTRS CORP CL H NEW 370442832 4480 400000 SH OTHER 01 02 03 04 400000 GUCCI GROUP N V COM NY REG 401566104 1430 15000 SH OTHER 01 02 03 04 15000 GUCCI GROUP N V ORD N3784D102 477 5000 SH OTHER 01 02 03 04 5000 HARMONIC INC COMMON STOCK 413160102 112 33514 SH OTHER 01 02 03 04 33514 HASBRO INC COMMON STOCK 418056107 213 15350 SH OTHER 01 02 03 04 15350 HILFIGER TOMMY CORP ORD G8915Z102 72 10000 SH OTHER 01 02 03 04 10000 HOUSEHOLD INTL INC COMMON STOCK 441815107 0 50000 SH PUT OTHER 01 02 03 04 50000 HOUSEHOLD INTL INC COMMON STOCK 441815107 13129 465241 SH OTHER 01 02 03 04 465241 I2 TECHNOLOGIES INC COMMON STOCK 465754109 77 97456 SH OTHER 01 02 03 04 97456 IGEN INC COMMON STOCK 449536101 2477 70000 SH OTHER 01 02 03 04 70000 IGEN INC COMMON STOCK 449536101 2956 30000 SH CALL OTHER 01 02 03 04 30000 IMAX CORP COMMON STOCK 45245E109 929 190000 SH OTHER 01 02 03 04 190000 INCO LTD W EXP 08/21/200 453258139 92 17985 SH OTHER 01 02 03 04 17985 INTERGRAPH CORP COMMON STOCK 458683109 3974 229200 SH OTHER 01 02 03 04 229200 JDS UNIPHASE CORP COMMON STOCK 46612J101 833 292267 SH OTHER 01 02 03 04 292267 JOHN HANCOCK BK & THIRFT OPP SH BEN INT 409735107 770 110000 SH OTHER 01 02 03 04 110000 JOHNSON & JOHNSON COMMON STOCK 478160104 2387 41255 SH OTHER 01 02 03 04 41255 JP MORGAN CHASE & CO COMMON STOCK 46625H100 3188 134449 SH OTHER 01 02 03 04 134449 K2 INC COMMON STOCK 482732104 309 39993 SH OTHER 01 02 03 04 39993 KOHLS CORP COMMON STOCK 500255104 1697 30000 SH PUT OTHER 01 02 03 04 30000 KROGER CO COMMON STOCK 501044101 1331 101200 SH OTHER 01 02 03 04 101200 LINCARE HLDGS INC COMMON STOCK 532791100 307 10000 SH PUT OTHER 01 02 03 04 10000 MAD CATZ INTERACTIVE INC COMMON STOCK 556162105 73 116050 SH OTHER 01 02 03 04 116050 MATTEL INC COMMON STOCK 577081102 1994 88640 SH OTHER 01 02 03 04 88640 MAXIM INTEGRATED PRODS INC COMMON STOCK 57772K101 701 19404 SH OTHER 01 02 03 04 19404 MCLEOD USA INC WARRANT 582266110 10 60689 SH OTHER 01 02 03 04 60689 MEDIMMUNE INC COMMON STOCK 584699102 901 27438 SH OTHER 01 02 03 04 27438 NEXT LEVEL COMM INC COMMON STOCK 65333U104 204 174100 SH OTHER 01 02 03 04 174100 NORTEL NETWORKS CORP NEW COMMON STOCK 656568102 355 170904 SH OTHER 01 02 03 04 170904 NORTHROP GRUMMAN CORP COMMON STOCK 666807102 1955 22781 SH OTHER 01 02 03 04 22781 NTL INC DEL ESCROW 62940N9M6 0 2000000 SH OTHER 01 02 03 04 2000000 OCEAN ENERGY INC DEL COMMON STOCK 67481E106 5164 258200 SH OTHER 01 02 03 04 258200 P&O PRINCESS CRUISES PLC ADR 693070104 344 12900 SH OTHER 01 02 03 04 12900 PANAMERICAN BEVERAGES INC CL A P74823108 3902 180000 SH OTHER 01 02 03 04 180000 PATHMARK STORES INC NEW COMMON STOCK 70322A101 468 70100 SH OTHER 01 02 03 04 70100 PEREGRINE PHARMACEUTICALS IN CONV 71366QAC5 573 1000000 PRN OTHER 01 02 03 04 1000000 PG & E CORP COMMON STOCK 69331C108 269 20000 SH OTHER 01 02 03 04 20000 PHARMACEUTICAL PROD DEV INC COMMON STOCK 717124101 470 17500 SH OTHER 01 02 03 04 17500 PHARMACIA CORP COMMON STOCK 71713U102 46348 1070400 SH OTHER 01 02 03 04 1070400 PRICE COMMUNICATIONS CORP COMMON STOCK NEW 741437305 1196 100000 SH OTHER 01 02 03 04 100000 PROBUSINESS SERVICES INC COMMON STOCK 742674104 1732 130000 SH OTHER 01 02 03 04 130000 PROGRESS ENERGY INC CONTINGENT VALUE 743263AA3 18 138038 SH OTHER 01 02 03 04 138038 QUINTILES TRANSNATIONAL CORP COMMON STOCK 748767100 5776 475000 SH OTHER 01 02 03 04 475000 QWEST COMMUNICAIONS INTL IN COMMON STOCK 749121109 435 124535 SH OTHER 01 02 03 04 124535 REGISTER COM INC COMMON STOCK 75914G101 93 16800 SH OTHER 01 02 03 04 16800 SANMINA SCI CORP COMMON STOCK 800907107 618 153094 SH OTHER 01 02 03 04 153094 SCHWAB CHARLES CORP NEW COMMON STOCK 808513105 1233 170809 SH OTHER 01 02 03 04 170809 SCIOS INC COMMON STOCK 808905103 5926 134500 SH OTHER 01 02 03 04 134500 SPX CORP COMMON STOCK 784635104 458 13400 SH OTHER 01 02 03 04 13400 TARGET CORP COMMON STOCK 87612E106 293 10000 SH PUT OTHER 01 02 03 04 10000 TAUBMAN CTRS INC COMMON STOCK 876664103 511 30000 SH OTHER 01 02 03 04 30000 TELEFONICA S A SPONSORED ADR 879382208 1205 42956 SH OTHER 01 02 03 04 42956 TERADYNE INC COMMON STOCK 880770102 1553 133398 SH OTHER 01 02 03 04 133398 TEXAS INSTRS INC COMMON STOCK 882508104 456 27837 SH OTHER 01 02 03 04 27837 TOYS R US INC COMMON STOCK 892335100 193 23000 SH OTHER 01 02 03 04 23000 TYCO INTL LTD NEW COMMON STOCK 902124106 129 10000 SH OTHER 01 02 03 04 10000 V F CORP COMMON STOCK 918204108 564 15000 SH PUT OTHER 01 02 03 04 15000 VERISIGN INC COMMON STOCK 92343E102 592 67781 SH OTHER 01 02 03 04 67781 VERITAS SOFTWARE CO COMMON STOCK 923436109 1082 61491 SH OTHER 01 02 03 04 61491 VIACOM INC CL B 925524308 2507 68640 SH OTHER 01 02 03 04 68640 VIVENDI UNIVERSAL SPON ADR NEW 92851S204 688 51367 SH OTHER 01 02 03 04 51367 WALLACE COMPUTER SERVICES IN COMMON STOCK 932270101 4671 187500 SH OTHER 01 02 03 04 187500 WARNACO GROUP INC CL A NEW 934390402 1663 166924 SH OTHER 01 02 03 04 166924 WASHINGTON MUT INC COMMON STOCK 939322103 994 28189 SH OTHER 01 02 03 04 28189 YAHOO INC COMMON STOCK 984332106 937 39022 SH OTHER 01 02 03 04 39022