0001144204-13-029432.txt : 20130515
0001144204-13-029432.hdr.sgml : 20130515
20130515155951
ACCESSION NUMBER: 0001144204-13-029432
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130331
FILED AS OF DATE: 20130515
DATE AS OF CHANGE: 20130515
EFFECTIVENESS DATE: 20130515
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: HARVEST MANAGEMENT LLC
CENTRAL INDEX KEY: 0001140315
IRS NUMBER: 133863996
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-06505
FILM NUMBER: 13846825
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
v345338_13f-hr.txt
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, 2013
-----------------
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: Harvest Management, L.L.C.
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527 Madison Avenue, 9th Floor
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New York, New York 10022
--------------------------------------------------
Form 13F File Number: 28-06505
----------
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: Marjorie Gochberg Kellner
--------------------------------------------------
Title: Managing Member
--------------------------------------------------
Phone: 212-644-2202
--------------------------------------------------
Signature, Place, and Date of Signing:
/s/ Marjorie Gochberg Kellner New York, New York 5/15/13
----------------------------- ------------------ -------
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: 2
-------------
Form 13F Information Table Entry Total: 80
-------------
Form 13F Information Table Value Total: $63,579
-------------
(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 28-7384 Nathaniel Bohrer
--- -------------------- ----------------------------
2 28-7750 Marjorie Gochberg Kellner
--- -------------------- ----------------------------
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.
Voting
Authority
Value Shares/ Sh/ Put/ Invstmt Other
Security Title of class CUSIP (x$1000) Prn Amt Prn Call Dscretn Managers Sole Shared None
----------------------------- -------------- --------- -------- -------- --- ---- ------- -------- ---- ------ ----
Acme Packet Inc COM 004764106 1,608 55,000 SH Other 1 2 3 55,000
Ameristar Casinos Inc COM 03070Q101 1,201 45,800 SH Other 1 2 3 45,800
Anheuser Busch SPONSORED ADR 03524a108 2,439 24,500 SH Other 1 2 3 24,500
AO Smith Corp COM 831865209 257 3,500 SH Other 1 2 3 3,500
Apple Inc COM 037833100 221 500 SH Other 1 2 3 500
Arbitron Inc COM 03875q108 586 12,500 SH Other 1 2 3 12,500
Aurizon Mines Ltd(can) COM 003866220 701 160,000 SH Other 1 2 3 160,000
Barnes & Noble Inc. COM 067774109 362 22,000 SH Other 1 2 3 22,000
CenturyLink Inc COM 156700106 441 12,540 SH Other 1 2 3 12,540
Chicago Bridge and Iron N Y REGISTRY SH 167250109 248 4,000 SH Other 1 2 3 4,000
Chico's Fas COM 168615102 353 21,000 SH Other 1 2 3 21,000
Clearwire Corp New CL A 18538q105 518 160,000 SH Other 1 2 3 160,000
Common Wealth Reit COM SH BEN INT 203233101 1,234 55,000 SH Other 1 2 3 55,000
Constellation Brands CL A 21036p108 2,906 61,000 SH Other 1 2 3 61,000
Constellation Brands PUT 21036P958 238 5,000 SH PUT Other 1 2 3 5,000
Constellation Brands CALL 21036P908 762 16,000 SH CALL Other 1 2 3 16,000
Coventry Health Care Inc COM 222862104 2,069 44,000 SH Other 1 2 3 44,000
Crexus Investment Corp COM 226553105 352 27,000 SH Other 1 2 3 27,000
Cymer Inc COM 232572107 1,779 18,500 SH Other 1 2 3 18,500
Dell COM 24702R101 717 50,000 SH Other 1 2 3 50,000
Dell PUT 24702R951 430 30,000 SH PUT Other 1 2 3 30,000
Digitalglobe Inc COM NEW 25389M877 456 15,771 SH Other 1 2 3 15,771
Duff & Phelps Corp New CL A 26433b107 2,299 148,237 SH Other 1 2 3 148,237
Ebay Inc COM 278642103 271 5,000 SH Other 1 2 3 5,000
Edac Technologies Corp COM 279285100 278 15,000 SH Other 1 2 3 15,000
Elan ADR 284131208 1,003 85,000 SH Other 1 2 3 85,000
Elan PUT 284131958 236 20,000 SH Other 1 2 3 20,000
Endo Health Solutions COM 29264F205 308 10,000 SH Other 1 2 3 10,000
Endo Health Solutions PUT 29264F955 308 10,000 SH Other 1 2 3 10,000
Energysolutions Inc COM 292756202 150 40,000 SH Other 1 2 3 40,000
Equal Energy Ltd COM 29390q109 95 25,000 SH Other 1 2 3 25,000
Ferro Corp COM 315405100 101 15,000 SH Other 1 2 3 15,000
Foot Locker Inc COM 344849104 822 24,000 SH Other 1 2 3 24,000
Gap Stores COM 364760108 354 10,000 SH Other 1 2 3 10,000
Gardner Denver Inc COM 365558105 939 12,500 SH Other 1 2 3 12,500
General Growth Prop. COM 370023103 262 13,200 SH Other 1 2 3 13,200
Halcon Resources Corp COM NEW 40537Q209 86 11,000 SH Other 1 2 3 11,000
Harris Teeter Supermarkets COM 414585109 2,089 48,900 SH Other 1 2 3 48,900
Heinz COM 423074103 2,024 28,000 SH Other 1 2 3 28,000
Hertz Global Holdings Inc COM 42805T105 280 12,600 SH Other 1 2 3 12,600
HESS Corp COM 42809H107 358 5,000 SH Other 1 2 3 5,000
Kayak Software Corp CL A 486577109 1,399 35,000 SH Other 1 2 3 35,000
Knight Cap Group Inc CL A COM 499005106 37 10,000 SH Other 1 2 3 10,000
K-Swiss Inc CL A 482686102 190 40,000 SH Other 1 2 3 40,000
Life Technologies Corp COM 53217V109 905 14,000 SH Other 1 2 3 14,000
Life Technologies Corp PUT 53217V959 646 10,000 SH Other 1 2 3 10,000
Mcmoran Exploration COM 582411104 731 44,725 SH Other 1 2 3 44,725
Merge Healthcare Inc COM 589499102 239 82,800 SH Other 1 2 3 82,800
Metals USA Holdings COM 59132A104 620 30,000 SH Other 1 2 3 30,000
MetroPCS Communications Inc COM 591708102 877 80,500 SH Other 1 2 3 80,500
Netspend Holdings COM 64118v106 874 55,000 SH Other 1 2 3 55,000
NYSE Euronext COM 629491101 3,999 103,500 SH Other 1 2 3 103,500
Obagi Medical Products COM 67423R108 593 30,000 SH Other 1 2 3 30,000
Office Depot COM 676220106 197 50,000 SH Other 1 2 3 50,000
Officemax Ind Del COM 6vn7622P101 755 65,000 SH Other 1 2 3 65,000
Pepsico Inc COM 713448108 791 10,000 SH Other 1 2 3 10,000
Pervasive Software Inc COM 715710109 138 15,100 SH Other 1 2 3 15,100
Plains Exploration & Production COM 726505100 1,695 35,706 SH Other 1 2 3 35,706
Polyone Corp COM 73179p106 373 15,300 SH Other 1 2 3 15,300
Protalix Biotherapeutics COM 74365A101 82 15,000 SH Other 1 2 3 15,000
Ryland Group COM 783764103 832 20,000 SH Other 1 2 3 20,000
SPDR S&P 500 ETF TR TR UNIT 78462F103 627 4,000 SH Other 1 2 3 4,000
SPDR S&P 500 ETF TR PUT 78462F953 1,958 12,500 SH Other 1 2 3 12,500
S&W Seed Co COM 785135104 381 36,247 SH Other 1 2 3 36,247
Sandridge Energy Inc COM 80007P307 53 10,000 SH Other 1 2 3 10,000
Sauer-Danfoss Inc COM 804137107 578 9,900 SH Other 1 2 3 9,900
Seacube Container Leasing SHS g79978105 212 9,223 SH Other 1 2 3 9,223
Spdr Gold Trust GOLD SHS 78463V107 309 2,000 SH Other 1 2 3 2,000
Sprint Nextel Corp COM SER 1 852061100 435 70,000 SH Other 1 2 3 70,000
Sprint Nextel Corp PUTS 852061950 404 65,000 SH Other 1 2 3 65,000
Stage Stores Inc COM NEW 85254C305 634 24,500 SH Other 1 2 3 24,500
Susser Holdings Corp COM 869233106 716 14,000 SH Other 1 2 3 14,000
Target corp COM 87612E106 1,301 19,000 SH Other 1 2 3 19,000
The Bancorp COM 05969a105 1,287 92,900 SH Other 1 2 3 92,900
Tile Shop Hldgs Inc COM 88677q109 368 17,500 SH Other 1 2 3 17,500
Tractor Supply Company COM 892356106 521 5,000 SH Other 1 2 3 5,000
Tumi Holding Inc COM 89969q104 366 17,500 SH Other 1 2 3 17,500
Virgin Media Inc COM 92769l101 4,353 88,900 SH Other 1 2 3 88,900
Wal Mart Stores Inc COM 931142103 524 7,000 SH Other 1 2 3 7,000
WMS Industries COM 929297109 441 17,500 SH Other 1 2 3 17,500