-----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, NglynA6nY+uI/imfWtKoXPBWQdcDkwkN3sUHdsSqcbytLiI13lvUnS+M9J54wjov eFVMEhRvXB8UdvJldrlLRQ== 0001251109-09-000089.txt : 20091112 0001251109-09-000089.hdr.sgml : 20091111 20091112145849 ACCESSION NUMBER: 0001251109-09-000089 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091112 DATE AS OF CHANGE: 20091112 EFFECTIVENESS DATE: 20091112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: ATHENA CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0001037798 IRS NUMBER: 232520198 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12902 FILM NUMBER: 091176625 BUSINESS ADDRESS: STREET 1: 50 MONUMENT ROAD STREET 2: SUITE 201 CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: (484) 434-2258 MAIL ADDRESS: STREET 1: 50 MONUMENT ROAD STREET 2: SUITE 201 CITY: BALA CYNWYD STATE: PA ZIP: 19004 13F-HR 1 athena13fhr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F COVER PAGE REPORT FOR THE CALENDAR QUARTER ENDED SEPTEMBER 30, 2009 Check here if Amendment [ ] This Amendment (check only one) [ ] is a restatement [ ] adds new holdings entries Institutional Investment Manager Filing this Report: Name: Athena Capital Management Inc. Address: 50 Monument Rd., Suite 201, Bala Cynwyd, PA 19004 Form 13F File Number: 28-12902 =============================================================================== 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: Danielle D. Giovannone Title: Attorney-In-Fact for David P. Cohen, President of Athena Capital Management Inc. Phone: (914) 220-1930 for Danielle D. Giovannone or (484)434-2258 for David P. Cohen Signature, Place, and Date of Signing: Athena Capital Management Inc. By: Mr. David P. Cohen, President By: /s/ Danielle D. Giovannone Danielle D. Giovannone White Plains, New York November 12, 2009 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 Managers: 1 Form 13F Information Table Entry Total: 136 Form 13F Information Table Value Total: 81,086,000 List of Other Included Managers: No. Name Form 13F File Number - ------------------------------------------------------------------------------------------------------------------------------------ FORM 13F INFORMATION TABLE
COLUMN: 1 2 3 4 5 6 7 8 - ---------------------- --------- ---------- -------- --------- ---- ---- ------------- ---------- ----------------------- TITLE OF VALUE SHARES OR S H/ PUT/ INVSTMT OTHER VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x1000) PRN AMT PRN CALL DSCRTN MANAGERS SOLE SHARED NONE - ---------------------- --------- ---------- -------- --------- ---- ---- -------------- ---------- ------- ------- ----- AEHR TEST SYSTEMS COM 00760J108 24 18100 SH SHARED-OTHER N/A 18100 AEHR TEST SYSTEMS COM 00706J108 53 40602 SH SOLE N/A 40602 AEROSONIC CORP DEL COM PAR 008015307 577 115600 SH SHARED-OTHER N/A 115600 $0.40 AEROSONIC CORP DEL COM PAR 008015307 843 168948 SH SOLE N/A 168948 $0.40 AH BELO CORP COM CL A 001282102 650 201162 SH SHARED-OTHER N/A 201162 AH BELO CORP COM CL A 001282102 709 219500 SH SOLE N/A 219500 ALLIANCE FIBER OPTIC COM 018680108 259 206800 SH SHARED-OTHER N/A 206800 ALLIANCE FIBER OPTIC COM 018680108 33 26500 SH SOLE N/A 26500 AMERISERV FINANC INC COM 03074A102 74 41000 SH SHARED-OTHER N/A 41000 AMERISERV FINANC INC COM 03074A102 20 11200 SH SOLE N/A 11200 AMPCO PITTSBURGH CORP COM 032037103 997 37500 SH SHARED-OTHER N/A 37500 AMPCO PITTSBURGH CORP COM 032037103 625 23500 SH SOLE N/A 23500 ARISTOTLE CORP COM NEW 040448201 39 7200 SH SHARED-OTHER N/A 7200 ARISTOTLE CORP COM NEW 040448201 19 3600 SH SOLE N/A 3600 ASML HOLDINGS NY REG SHS N07059186 729 24675 SH SHARED-OTHER N/A 24675 ASTRONICS CORP COM 046433108 776 82570 SH SHARED-OTHER N/A 82570 ASTRONICS CORP COM 046433108 819 87145 SH SOLE N/A 87145 ATRION CORP COM 049904105 289 2000 SH SHARED-OTHER N/A 2000 ATRION CORP COM 049904105 1069 7400 SH SOLE N/A 7400 BCSB BANKCORP INC COM 055367106 63 7341 SH SHARED-OTHER N/A 7341 BCSB BANKCORP INC COM 055367106 75 8765 SH SOLE N/A 8765 BELO CORP COM SER A 080555105 1174 217000 SH SHARED-OTHER N/A 217000 BELO CORP COM SER A 080555105 1488 275000 SH SOLE N/A 275000 BENEFICIAL MUTUAL COM 08173R104 227 24916 SH SOLE N/A 24916 BANCORP BREEZE EASTERN CORP COM 106764103 85 13000 SH SHARED-OTHER N/A 13000 CAMDEN NATIONAL CORP COM 133034108 2692 81480 SH SHARED-OTHER N/A 81480 CAMDEN NATIONAL CORP COM 133034108 1238 37456 SH SOLE N/A 37456 CAPITAL SENIOR LIVING COM 140475104 219 35894 SH SHARED-OTHER N/A 35894 CAPITAL SENIOR LIVING COM 140475104 303 49695 SH SOLE N/A 49695 CENTURY BANCORP INC CL A 156432106 574 26450 SH SHARED-OTHER N/A 26450 NON VTG CENTURY BANCORP INC CL A 156432106 210 9663 SH SOLE N/A 9663 NON VTG CFS BANCORP INC COM 12525D102 84 17900 SH SHARED-OTHER N/A 17900 CFS BANCORP INC COM 12525D102 26 5500 SH SOLE N/A 5500 CHASE CORP COM 16150R104 3057 261300 SH SHARED-OTHER N/A 261300 CHASE CORP COM 16150R104 1745 149130 SH SOLE N/A 149130 CIMATRON LTD ORD M23798107 25 26700 SH SHARED-OTHER N/A 26700 CIMATRON LTD ORD M23798107 71 77315 SH SOLE N/A 77315 CMS BANCORP INC COM 12600U102 43 6000 SH SHARED-OTHER N/A 6000 CMS BANCORP INC COM 12600U102 56 7870 SH SOLE N/A 7870 CMNTY BANK SYSTM INC COM 203607106 362 19838 SH SHARED-OTHER N/A 19838 DANVERS BANKCORP COM 236442109 272 20000 SH SOLE N/A 20000 DAWSON GEOPHYSICAL CO COM 239359102 974 35571 SH SHARED-OTHER N/A 35571 DAWSON GEOPHYSICAL CO COM 239359102 744 27187 SH SOLE N/A 27187 DELUXE CORP COM 248019101 648 37900 SH SHARED-OTHER N/A 37900 DELUXE CORP COM 248019101 118 6900 SH SOLE N/A 6900 DONEGAL GROUP INC CL B 257701300 209 11940 SH SHARED-OTHER N/A 11940 DONEGAL GROUP INC CL B 257701300 184 10487 SH SOLE N/A 10487 DONEGAL GROUP INC CL A 257701201 369 23882 SH SHARED-OTHER N/A 23882 DONEGAL GROUP INC CL A 257701201 19 1261 SH SOLE N/A 1261 DORMAN PRODUCTS INC COM 258278100 2646 176150 SH SHARED-OTHER N/A 176150 DORMAN PRODUCTS INC COM 258278100 857 57050 SH SOLE N/A 57050 EASTERN CORPORATION COM 276317104 1091 68600 SH SHARED-OTHER N/A 68600 EASTERN CORPORATION COM 276317104 880 55375 SH SOLE N/A 55375 ECOLOGY & ENVRNMT INC CL A 278878103 520 32391 SH SHARED-OTHER N/A 32391 ECOLOGY & ENVRNMT INC CL A 278878103 617 38456 SH SOLE N/A 38456 EDAC TECHNOLOGIES CORP COM 279285100 249 54196 SH SHARED-OTHER N/A 54196 EDAC TECHNOLOGIES CORP COM 279285100 647 141011 SH SOLE N/A 141011 ESCALADE INC COM 296056104 500 198606 SH SHARED-OTHER N/A 198606 ESCALADE INC COM 296056104 238 94465 SH SOLE N/A 94465 EW SCRIPPS CO OHIO EX 811054113 944 125833 SH SHARED-OTHER N/A 125833 DISTRIB EW SCRIPPS CO OHIO EX 811054113 1163 155031 SH SOLE N/A 155031 DISTRIB FOSTER LB CO CL A COM 350060109 2732 89343 SH SHARED-OTHER N/A 89343 FOSTER LB CO CL A COM 350060109 587 19189 SH SOLE N/A 19189 FOX CHASE BANCORP INC COM 35137P106 100 10000 SH SOLE N/A 10000 GETTY REALTY CORP NEW COM 374297109 185 7525 SH SHARED-OTHER N/A 7525 GETTY REALTY CORP NEW COM 374297109 54 2200 SH SOLE N/A 2200 GIGA TRONICS INC COM 375175106 24 13295 SH SOLE N/A 13295 GLOBECOMM SYSTEMS INC COM 37956X103 1639 225500 SH SHARED-OTHER N/A 225500 GLOBECOMM SYSTEMS INC COM 37956X103 1273 175098 SH SOLE N/A 175098 GREAT LAKES DREDGE COM 390607109 999 143100 SH SHARED-OTHER N/A 143100 & DOCK CO GREAT LAKES DREDGE COM 390607109 640 91675 SH SOLE N/A 91675 & DOCK CO GTSI CORP COM 36238K103 1554 195490 SH SHARED-OTHER N/A 195490 GTSI CORP COM 36238K103 652 82072 SH SOLE N/A 82072 IDEATION ACQ CORP COM 451665103 755 95900 SH SHARED-OTHER N/A 95900 IDEATION ACQ CORP COM 451665103 673 85500 SH SOLE N/A 85500 IDEATION ACQ CORP *W EXP 455166111 86 51000 SH SHARED-OTHER N/A 51000 11/19/201 INTER ATLANTIC FINL INC COM 45810H100 64 8100 SH SHARED-OTHER N/A 8100 INTER ATLANTIC FINL INC COM 45810H100 72 9200 SH SOLE N/A 9200 INVESTORS BANCORP INC COM 46146P102 127 12000 SH SOLE N/A 12000 JOURNAL COMMUNIC INC CL A 481130102 612 166340 SH SHARED-OTHER N/A 166340 JOURNAL COMMUNIC INC CL A 481130102 791 215000 SH SOLE N/A 215000 K-TRON INT'L INC COM 482730108 805 8454 SH SHARED-OTHER N/A 8454 K-TRON INT'L INC COM 482730108 286 3000 SH SOLE N/A 3000 KAPSTONE PAPER COM 48562P103 2642 324614 SH SHARED-OTHER N/A 324614 & PACKAGING CORP KAPSTONE PAPER COM 48562P103 3813 468427 SH SOLE N/A 468427 & PACKAGING CORP KIMCO RELATY CORP COM 49446R109 293 22500 SH SHARED-OTHER N/A 22500 KOSS CORP COM 500692108 117 10000 SH SHARED-OTHER N/A 10000 MER TELEMANAGEMENT ORD M69676100 92 83701 SH SHARED-OTHER N/A 83701 SOLUTIONS MER TELEMANAGEMENT ORD M69676100 40 36000 SH SOLE N/A 36000 SOLUTIONS MERCER INSUR GRP INC COM 587902107 232 12843 SH SHARED-OTHER N/A 12843 MERCER INSUR GRP INC COM 587902107 500 27655 SH SOLE N/A 27655 MOD-PAC CORP COM 607495108 73 26978 SH SHARED-OTHER N/A 26978 MOD-PAC CORP COM 607495108 29 10787 SH SOLE N/A 10787 MONTEREY GRMET FDS INC COM 612570101 70 35000 SH SHARED-OTHER N/A 35000 MONTEREY GRMET FDS INC COM 612570101 218 108426 SH SOLE N/A 108426 MUTUALFIRST FINL CORP COM 62845B104 199 28260 SH SHARED-OTHER N/A 28260 MUTUALFIRST FINL CORP COM 62845B104 40 5666 SH SOLE N/A 5666 NAVIOS MARITIME COM Y62196103 7 1364 SH SHARED-OTHER N/A 1364 NAVIOS MARITIME COM Y62196103 167 34000 SH SOLE N/A 34000 NORTHWEST BANCORP COM 667328108 457 20000 SH SHARED-OTHER N/A 20000 NORTHWEST BANCORP COM 667328108 240 10500 SH SOLE N/A 10500 OVERTURE ACQ CORP UNIT 99/ G6830P209 175 17400 SH SOLE N/A 17400 99/9999 OVERTURE ACQ CORP SHS G6830P100 109 11000 SH SHARED-OTHER N/A 11000 OVERTURE ACQ CORP *W EXP G6830P118 3 13600 SH SHARED-OTHER N/A 13600 01/30/201 PATHFINDER BANKCORP INC COM 70320A103 235 30815 SH SHARED-OTHER N/A 30815 PATHFINDER BANKCORP INC COM 70320A103 405 53058 SH SOLE N/A 53058 PMFG INC COM 69345P103 4301 334464 SH SHARED-OTHER N/A 334464 PMFG INC COM 69345P103 3997 310770 SH SOLE N/A 310770 PROASSURANCE CORP COM 74267C106 557 10679 SH SHARED-OTHER N/A 10679 PROASSURANCE CORP COM 74267C106 183 3500 SH SOLE N/A 3500 PROSHARES TR PSHS 74347R834 402 14000 SH SHARED-OTHER N/A 14000 ULSHRUS2000 PROV & WOR RAILRD CO COM 743737108 261 25500 SH SHARED-OTHER N/A 25500 PROV & WOR RAILRD CO COM 743737108 15 1500 SH SOLE N/A 1500 STERLING FINL CORP WASH COM 859319105 34 17151 SH SHARED-OTHER N/A 17151 SUPERIOR UNIF GRP INC COM 868358102 113 14500 SH SHARED-OTHER N/A 14500 SUPERIOR UNIF GRP INC COM 868358102 8 1000 SH SOLE N/A 1000 20/20 CHINA CAP COM 90212G109 141 17700 SH SHARED-OTHER N/A 17700 ACQUIRCO INC 20/20 CHINA CAP COM 90212G109 176 22125 SH SOLE N/A 22125 ACQUIRCO INC 20/20 CHINACAP *W EXP 90212G117 69 54000 SH SHARED-OTHER N/A 54000 ACQUIRCO INC 11/08/201 20/20 CHINACAP *W EXP 90212G117 59 46000 SH SOLE N/A 46000 ACQUIRCO INC 11/08/201 TECHE HOLDING CO COM 878330109 457 13800 SH SHARED-OTHER N/A 13800 TECHE HOLDING CO COM 878330109 281 8500 SH SOLE N/A 8500 TF FINANCIAL CORP COM 872391107 649 34600 SH SHARED-OTHER N/A 34600 TF FINANCIAL CORP COM 872391107 184 9821 SH SOLE N/A 9821 TRANSWITCH CORP COM 894065101 94 134905 SH SHARED-OTHER N/A 134905 TRANSWITCH CORP COM 894065101 25 35000 SH SOLE N/A 35000 UNITED BANCSHARES INC COM 909907107 360 18432 SH SHARED-OTHER N/A 18432 WEST V UNITED ONLINE INC COM 911268100 174 21700 SH SHARED-OTHER N/A 21700 UNITED ONLINE INC COM 911268100 228 28300 SH SOLE N/A 28300 UNIVERSAL STAINLESS COM 913837100 542 29700 SH SHARED-OTHER N/A 29700 & ALLOY US LIME & MINERAL COM 911922102 2252 62701 SH SHARED-OTHER N/A 62701 US LIME & MINERAL COM 911922102 1809 38929 SH SOLE N/A 38929 VIRCO MANUFACTURING CO COM 927651109 1154 384756 SH SHARED-OTHER N/A 384756 VIRCO MANUFACTURING CO COM 927651109 1337 445755 SH SOLE N/A 445755 YADKIN VLLY FNCL CORP COM 984314104 24 5064 SH SHARED-OTHER N/A 5064 YADKIN VLLY FNCL CORP COM 984314104 24 5160 SH SOLE N/A 5160 Shares reported as "Sole" under Column 6 "Investment Discretion" and Column 8 "Voting Authority" are held by Minerva Group, LP, an affiliate of Athena Capital Management Inc.
============================================================================== POWER OF ATTORNEY The undersigned does hereby constitute and appoint Stephen J. Nelson, Mary Anne Mayo, Beth N. Lowson Danielle D'Angelo, Daniel Zinn and Steven McNamara, each of The Nelson Law Firm, LLC, One North Broadway, Suite 712, White Plains, NY 10601, signing singly, with full power of substitution, as the true and lawful attorney of the undersigned, and authorizes and designates each of them to sign on behalf of the undersigned, and to file filings and any amendments thereto made by or on behalf of the undersigned in respect of the beneficial ownership of equity securities held by the undersigned, directly, indirectly or beneficially, pursuant to Sections 13(d), 13(g) and 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules and regulations thereunder. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, are not assuming any of the undersigned's responsibilities to comply with Sections 13(d), 13(g) or 16 of the Exchange Act. This Power of Attorney shall remain in full force and effect until withdrawn by the undersigned in a signed writing delivered to the foregoing attorneys-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 21st day of September 2007. By: /s/ David P. Cohen David P. Cohen -----END PRIVACY-ENHANCED MESSAGE-----