13F-HR 1 d995721_13f-hr.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 March 31, 2009 Check here if Amendment: |_|; Amendment Number: ____ This Amendment (Check only one): |_| is a restatement |_| adds new holding entries. Institutional Manager Filing this Report: Name: Harbert Management Corporation* Address: 2100 Third Avenue North, Suite 600 Birmingham, Alabama 35203 13F File Number: 028-12611 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. * NOTE: THE VALUES REPORTED HEREIN REFLECT THE MARKET VALUES OF CERTAIN SECURITIES HELD AT LEHMAN BROTHERS INTERNATIONAL (EUROPE) ("LBIE") AS OF MARCH 31, 2009. THE REPORTING PERSON BELIEVES THAT ALL OR A PORTION OF SUCH SECURITIES WILL HAVE GREATER VALUES FOR PURPOSES OF OFFSETTING AMOUNTS OWED BY THE REPORTING PERSON TO LBIE AND IS NOT WAIVING ANY RIGHTS TO CLAIM HIGHER VALUES IN CONNECTION WITH THE ADMINISTRATION OF LBIE OR ANY SIMILAR PROCEEDING AFFECTING LEHMAN BROTHERS HOLDINGS, INC. OR ITS AFFILIATES OR SUBSIDIARIES. Person Signing this Report on Behalf of Reporting Manager: Name: John W. McCullough Title: Senior Vice President and General Counsel Phone: 205-987-5576 Signature, Place, and Date of Signing /s/ John W. McCullough Birmingham, Alabama May 15, 2009 ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] Report Type: (Check only one): [ ] 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 managers(s).) [X] 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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name 1. 028-12359 Harbinger Capital Partners Special Situations Fund, LP* * On March 4, 2009, the Reporting Person ceased its beneficial ownership of the securities held by Harbinger Capital Partners Special Situations Fund, LP. Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 79 Form 13F Information Table Value Total: $189,387 (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 ---- ------------------- ------------------------------ FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 TITLE VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE -------------- -------- ----- -------- ------- --- ---- ---------- -------- ---- ------ ---- ALEXANDER & BALDWIN INC COM 014482103 3,140 165,000 SH SOLE NONE 165,000 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 1,836 150,000 SH SOLE NONE 150,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 866 50,000 SH SOLE NONE 50,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 866 50,000 SH CALL SOLE NONE 50,000 0 0 APPLE INC COM 037833100 1,051 10,000 SH CALL SOLE NONE 10,000 0 0 ASCENT MEDIA CORP COM SER A 043632108 1,550 62,000 SH SOLE NONE 62,000 0 0 BANKS COM INC COM 066470105 20 97,500 SH SOLE NONE 97,500 0 0 BRINKS HOME SEC HLDGS INC COM 109699108 5,876 260,000 SH SOLE NONE 260,000 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 2,047 110,000 SH SOLE NONE 110,000 0 0 BRISTOW GROUP INC PFD CNV 5.50% 110394400 10,449 341,400 SH SOLE NONE 341,400 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 647 50,000 SH SOLE NONE 50,000 0 0 CARDINAL HEALTH INC COM 14149Y108 2,361 75,000 SH SOLE NONE 75,000 0 0 CBS CORP NEW CL B 124857202 134 35,000 SH SOLE NONE 35,000 0 0 CELANESE CORP DEL PFD 4.25% CONV 150870202 1,281 62,800 SH SOLE NONE 62,800 0 0 CENTENNIAL COMMUNCTNS CORP N CL A NEW 15133V208 1,652 200,000 SH SOLE NONE 200,000 0 0 CF INDS HLDGS INC COM 125269100 3,201 45,000 SH SOLE NONE 45,000 0 0 CF INDS HLDGS INC COM 125269100 3,557 50,000 SH PUT SOLE NONE 50,000 0 0 CF INDS HLDGS INC COM 125269100 356 5,000 SH CALL SOLE NONE 5,000 0 0 CISCO SYS INC COM 17275R102 1,962 117,000 SH SOLE NONE 117,000 0 0 CLEARWATER PAPER CORP COM 18538R103 99 12,286 SH SOLE NONE 12,286 0 0 COMCAST CORP NEW CL A SPL 20030N200 1,287 100,000 SH SOLE NONE 100,000 0 0 CV THERAPEUTICS INC COM 126667104 1,473 74,100 SH SOLE NONE 74,100 0 0 DELL INC COM 24702R101 948 100,000 SH SOLE NONE 100,000 0 0 DOW CHEM CO COM 260543103 856 101,500 SH SOLE NONE 101,500 0 0 DOW CHEM CO COM 260543103 2,529 300,000 SH CALL SOLE NONE 300,000 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,015 60,000 SH SOLE NONE 60,000 0 0 EARTHLINK INC COM 270321102 2,300 350,000 SH SOLE NONE 350,000 0 0 ECHOSTAR CORP CL A 278768106 564 38,000 SH SOLE NONE 38,000 0 0 FACET BIOTECH CORP SHS 30303Q103 238 25,000 SH SOLE NONE 25,000 0 0 FAIR ISAAC CORP COM 303250104 1,899 135,000 SH SOLE NONE 135,000 0 0 FREEPORT-MCMORAN COPPER & GO PFD CONV 35671D782 11,442 177,200 SH SOLE NONE 177,200 0 0 GENENTECH INC COM NEW 368710406 9,497 100,000 SH PUT SOLE NONE 100,000 0 0 GENTEK INC COM NEW 37245X203 1,085 62,062 SH SOLE NONE 62,062 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 1,995 6,000,000 PRN SOLE NONE 6,000,000 0 0 GLOBAL INDS LTD COM 379336100 1,824 475,000 SH SOLE NONE 475,000 0 0 HILLTOP HOLDINGS INC COM 432748101 2,280 200,000 SH SOLE NONE 200,000 0 0 HEINZ H J CO COM 423074103 1,157 35,000 SH SOLE NONE 35,000 0 0 HUBBELL INC CL B 443510201 2,219 82,300 SH SOLE NONE 82,300 0 0 JOHN BEAN TECHNOLOGIES CORP COM 477839104 244 23,300 SH SOLE NONE 23,300 0 0 KOREA ELECTRIC PWR SPONSORED ADR 500631106 1,556 170,000 SH SOLE NONE 170,000 0 0 LAS VEGAS SANDS CORP COM 517834107 151 50,000 SH SOLE NONE 50,000 0 0 LG DISPLAY CO LTD SPONS ADR REP 50186V102 409 40,000 SH SOLE NONE 40,000 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 2,492 357,000 SH SOLE NONE 357,000 0 0 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 348 120,000 SH SOLE NONE 120,000 0 0 LIMCO PIEDMONT INC COM 53261T109 128 55,700 SH SOLE NONE 55,700 0 0 LOUISIANA PAC CORP COM 546347105 293 131,500 SH SOLE NONE 131,500 0 0 MAGELLAN MIDSTREAM HLDGS LP COM LP INTS 55907R108 865 49,416 SH SOLE NONE 49,416 0 0 MERCURY COMPUTER SYS COM 589378108 697 126,000 SH SOLE NONE 126,000 0 0 MGM MIRAGE COM 552953101 23 10,000 SH SOLE NONE 10,000 0 0 MICROSOFT CORP COM 594918104 2,388 130,000 SH SOLE NONE 130,000 0 0 MCMORAN EXPLORATION CO PFD MAND CNV 582411500 1,374 31,600 SH SOLE NONE 31,600 0 0 MYLAN INC PFD CONV 628530206 15,865 18,250 SH SOLE NONE 18,250 0 0 MYR GROUP INC DEL COM 55405W104 1,525 100,000 SH SOLE NONE 100,000 0 0 NABORS INDUSTRIES LTD SHS G6359F103 2,797 280,000 SH SOLE NONE 280,000 0 0 NEWS CORP CL A 65248E104 659 99,525 SH SOLE NONE 99,525 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 5,571 165,145 SH SOLE NONE 165,145 0 0 PICO HLDGS INC COM NEW 693366205 3,157 105,000 SH SOLE NONE 105,000 0 0 POTLATCH CORP NEW COM 737630103 997 43,000 SH SOLE NONE 43,000 0 0 QUANTA SVCS INC COM 74762E102 1,931 90,000 SH SOLE NONE 90,000 0 0 RADIOSHACK CORP COM 750438103 771 90,000 SH SOLE NONE 90,000 0 0 RAYONIER INC COM 754907103 1,964 65,000 SH SOLE NONE 65,000 0 0 RIVIERA HLDGS CORP COM 769627100 74 73,000 SH SOLE NONE 73,000 0 0 ROHM & HAAS CO COM 775371107 7,884 100,000 SH SOLE NONE 100,000 0 0 ROHM & HAAS CO COM 775371107 11,826 150,000 SH PUT SOLE NONE 150,000 0 0 DONNELLEY R R & SONS CO COM 257867101 147 20,000 SH SOLE NONE 20,000 0 0 SAFETY INS GROUP INC COM 78648T100 4,016 129,204 SH SOLE NONE 129,024 0 0 SCHERING PLOUGH CORP COM 806605101 2,355 100,000 SH SOLE NONE 100,000 0 0 ST MARY LD & EXPL CO NOTE 3.500% 4/0 792228AD0 1,311 1,850,000 PRN SOLE NONE 1,850,000 0 0 SUN MICROSYSTEMS INC COM NEW 866810203 1,464 200,000 SH SOLE NONE 200,000 0 0 SUN MICROSYSTEMS INC COM NEW 866810203 366 50,000 SH CALL SOLE NONE 50,000 0 0 TELEPHONE & DATA SYS INC SPL COM 879433860 324 13,700 SH SOLE NONE 13,700 0 0 TERADATA CORP DEL COM 88076W103 2,384 147,000 SH SOLE NONE 147,000 0 0 BRINKS CO COM 109696104 132 5,000 SH SOLE NONE 5,000 0 0 WALTER INDS INC COM 93317Q105 1,601 70,000 SH SOLE NONE 70,000 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 827 73,500 SH SOLE NONE 73,500 0 0 WESTERN DIGITAL CORP COM 958102105 2,418 125,000 SH SOLE NONE 125,000 0 0 WYETH COM 983024100 8,608 200,000 SH SOLE NONE 200,000 0 0 WYETH COM 983024100 8,608 200,000 SH PUT SOLE NONE 200,000 0 0 YAHOO INC COM 984332106 1,281 100,000 SH SOLE NONE 100,000 0 0
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