-----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, FvXV+pCfeGetJEI4CJGJJ4/ZwuEoLdpTkEcw9/ulrbEg2T8OvhFQd9u7YV/jyjbe 8YUdFZp0uU2TNhHYY6VZzQ== 0000919574-09-014542.txt : 20090814 0000919574-09-014542.hdr.sgml : 20090814 20090813174504 ACCESSION NUMBER: 0000919574-09-014542 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090630 FILED AS OF DATE: 20090814 DATE AS OF CHANGE: 20090813 EFFECTIVENESS DATE: 20090814 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBERT MANAGEMENT CORP CENTRAL INDEX KEY: 0001259933 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12611 FILM NUMBER: 091011573 BUSINESS ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 BUSINESS PHONE: 205-987-5500 MAIL ADDRESS: STREET 1: 2100 THIRD AVENUE NORTH STREET 2: SUITE 600 CITY: BIRMINGHAM STATE: AL ZIP: 35203 13F-HR 1 d1019587_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 June 30, 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 JUNE 30, 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 August 14, 2009 - ----------------------- -------------------------- ---------------------- [Signature] [City, State] [Date] 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 managers(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).) List of Other Managers Reporting for this Manager: Form 13F File Number Name - ----------------------- -------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 101 Form 13F Information Table Value Total: $376,441 (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 VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY NAME OF ISSUER TITLE OF CLASS CUSIP (X$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE ALEXANDER & BALDWIN INC COM 014482103 3,750 160,000 SH SOLE NONE 160,000 0 0 ALEXION PHARMACEUTICALS INC COM 015351109 6,208 151,000 SH CALL SOLE NONE 151,000 0 0 ALPHA NATURAL RESOURCES INC COM 02076X102 788 30,000 SH SOLE NONE 30,000 0 0 AMERICAN EAGLE OUTFITTERS NE COM 02553E106 1,134 80,000 SH SOLE NONE 80,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 656 25,000 SH SOLE NONE 25,000 0 0 AMERICAN SUPERCONDUCTOR CORP COM 030111108 10,500 400,000 SH CALL SOLE NONE 400,000 0 0 ASCENT MEDIA CORP COM SER A 043632108 1,994 75,000 SH SOLE NONE 75,000 0 0 ASPEN INSURANCE HOLDINGS LTD SHS G05384105 3,798 170,000 SH SOLE NONE 170,000 0 0 AUDIOVOX CORP CL A 050757103 440 75,000 SH SOLE NONE 75,000 0 0 AUTOMATIC DATA PROCESSING IN COM 053015103 1,418 40,000 SH SOLE NONE 40,000 0 0 BANKS COM INC COM 066470105 12 97,500 SH SOLE NONE 97,500 0 0 BRINKS HOME SEC HLDGS INC COM 109699108 7,177 253,500 SH SOLE NONE 253,500 0 0 BRINKS HOME SEC HLDGS INC COM 109699108 708 25,000 SH CALL SOLE NONE 25,000 0 0 BROADRIDGE FINL SOLUTIONS IN COM 11133T103 3,233 195,000 SH SOLE NONE 195,000 0 0 BRISTOW GROUP INC PFD CNV 5.50% 110394400 14,162 347,100 SH SOLE NONE 347,100 0 0 CABLEVISION SYS CORP CL A NY CABLVS 12686C109 2,426 125,000 SH SOLE NONE 125,000 0 0 CABOT OIL & GAS CORP COM 127097103 301 9,838 SH SOLE NONE 9,838 0 0 CBS CORP NEW CL B 124857202 242 35,000 SH SOLE NONE 35,000 0 0 CELANESE CORP DEL PFD 4.25% CONV 150870202 9,886 312,744 SH SOLE NONE 312,744 0 0 CERNER CORP COM 156782104 1,557 25,000 SH PUT SOLE NONE 25,000 0 0 CF INDS HLDGS INC COM 125269100 9,268 125,000 SH SOLE NONE 125,000 0 0 CF INDS HLDGS INC COM 125269100 5,190 70,000 SH PUT SOLE NONE 70,000 0 0 CF INDS HLDGS INC COM 125269100 1,854 25,000 SH CALL SOLE NONE 25,000 0 0 CISCO SYS INC COM 17275R102 2,237 120,000 SH SOLE NONE 120,000 0 0 CLEARWATER PAPER CORP COM 18538R103 311 12,286 SH SOLE NONE 12,286 0 0 COMCAST CORP NEW CL A SPL 20030N200 719 51,000 SH SOLE NONE 51,000 0 0 CONTANGO OIL & GAS COMPANY COM NEW 21075N204 2,324 54,700 SH SOLE NONE 54,700 0 0 COUGAR BIOTECHNOLOGY INC COM 222083107 4,296 100,000 SH SOLE NONE 100,000 0 0 CRESUD S A C I F Y A SPONSORED ADR 226406106 236 25,000 SH SOLE NONE 25,000 0 0 DATA DOMAIN INC COM 23767P109 3,335 100,000 SH SOLE NONE 100,000 0 0 DR PEPPER SNAPPLE GROUP INC COM 26138E109 1,271 60,000 SH SOLE NONE 60,000 0 0 EARTHLINK INC COM 270321102 926 125,000 SH SOLE NONE 125,000 0 0 ECHOSTAR CORP CL A 278768106 606 38,000 SH SOLE NONE 38,000 0 0 EMULEX CORP COM NEW 292475209 3,327 340,150 SH SOLE NONE 340,150 0 0 EMULEX CORP COM NEW 292475209 978 100,000 SH CALL SOLE NONE 100,000 0 0 EXXON MOBIL CORP COM 30231G102 503 7,200 SH SOLE NONE 7,200 0 0 FACET BIOTECH CORP SHS 30303Q103 1,903 204,794 SH SOLE NONE 204,794 0 0 FAIR ISAAC CORP COM 303250104 1,778 115,000 SH SOLE NONE 115,000 0 0 FREEPORT-MCMORAN COPPER & GO PFD CONV 35671D782 4,758 59,900 SH SOLE NONE 59,900 0 0 FORD MTR CO CAP TR II PFD TR CV6.5% 345395206 3,670 166,610 SH SOLE NONE 166,610 0 0 GAFISA S A SPONS ADR 362607301 417 50,000 SH SOLE NONE 50,000 0 0 GENTEK INC COM NEW 37245X203 1,620 72,562 SH SOLE NONE 72,562 0 0 GLOBAL INDS LTD DBCV 2.750% 8/0 379336AE0 3,019 7,000,000 PRN SOLE NONE 7,000,000 0 0 GLOBAL INDS LTD COM 379336100 1,783 315,000 SH SOLE NONE 315,000 0 0 GOLD FIELDS LTD NEW SPONSORED ADR 38059T106 2,236 185,000 SH SOLE NONE 185,000 0 0 GREAT PLAINS ENERGY INC UNIT 06/15/2042 391164803 4,284 74,500 SH SOLE NONE 74,500 0 0 HILLTOP HOLDINGS INC COM 432748101 2,678 225,600 SH SOLE NONE 225,600 0 0 HUBBELL INC CL B 443510201 2,639 82,300 SH SOLE NONE 82,300 0 0 ISHARES TR FTSE XNHUA IDX 464287184 11,511 300,000 SH PUT SOLE NONE 300,000 0 0 JOHN BEAN TECHNOLOGIES CORP COM 477839104 292 23,300 SH SOLE NONE 23,300 0 0 JOHNSON CTLS INC UNIT 99/99/9999 478366602 13,241 122,000 SH SOLE NONE 122,000 0 0 LIBERTY MEDIA CORP NEW CAP COM SER A 53071M302 3,892 287,000 SH SOLE NONE 287,000 0 0 LIBERTY MEDIA CORP NEW INT COM SER A 53071M104 601 120,000 SH SOLE NONE 120,000 0 0 LIMCO PIEDMONT INC COM 53261T109 169 55,700 SH SOLE NONE 55,700 0 0 LOEWS CORP COM 540424108 822 30,000 SH SOLE NONE 30,000 0 0 LOUISIANA PAC CORP COM 546347105 450 131,500 SH SOLE NONE 131,500 0 0 MERCURY COMPUTER SYS COM 589378108 1,166 126,000 SH SOLE NONE 126,000 0 0 MGM MIRAGE COM 552953101 1,278 200,000 SH SOLE NONE 200,000 0 0 MICROSOFT CORP COM 594918104 2,793 117,500 SH SOLE NONE 117,500 0 0 MCMORAN EXPLORATION CO PFD MAND CNV 582411500 2,475 46,700 SH SOLE NONE 46,700 0 0 MOLSON COORS BREWING CO CL B 60871R209 1,816 42,900 SH SOLE NONE 42,900 0 0 MUELLER WTR PRODS INC COM SER A 624758108 183 49,000 SH SOLE NONE 49,000 0 0 MYLAN INC PFD CONV 628530206 8,306 9,642 SH SOLE NONE 9,642 0 0 MYR GROUP INC DEL COM 55405W104 1,820 90,000 SH SOLE NONE 90,000 0 0 NABORS INDUSTRIES LTD SHS G6359F103 3,194 205,000 SH SOLE NONE 205,000 0 0 NETAPP INC COM 64110D104 690 35,000 SH SOLE NONE 35,000 0 0 NETAPP INC COM 64110D104 493 25,000 SH CALL SOLE NONE 25,000 0 0 NEWS CORP CL A 65248E104 1,578 173,200 SH SOLE NONE 173,200 0 0 NRG ENERGY INC COM NEW 629377508 1,947 75,000 SH SOLE NONE 75,000 0 0 OMNICARE CAP TR II PFD B TR 4.00% 68214Q200 4,848 135,545 SH SOLE NONE 135,545 0 0 OSI PHARMACEUTICALS INC COM 671040103 565 20,000 SH SOLE NONE 20,000 0 0 OSI PHARMACEUTICALS INC COM 671040103 706 25,000 SH CALL SOLE NONE 25,000 0 0 PICO HLDGS INC COM NEW 693366205 2,727 95,000 SH SOLE NONE 95,000 0 0 PLATINUM UNDERWRITER HLDGS L COM G7127P100 1,572 55,000 SH SOLE NONE 55,000 0 0 POTLATCH CORP NEW COM 737630103 1,044 43,000 SH SOLE NONE 43,000 0 0 PULTE HOMES INC COM 745867101 430 48,750 SH SOLE NONE 48,750 0 0 QLOGIC CORP COM 747277101 634 50,000 SH CALL SOLE NONE 50,000 0 0 QUANTA SVCS INC COM 74762E102 1,735 75,000 SH SOLE NONE 75,000 0 0 QUANTA SVCS INC COM 74762E102 2,544 110,000 SH CALL SOLE NONE 110,000 0 0 RADIOSHACK CORP COM 750438103 1,256 90,000 SH SOLE NONE 90,000 0 0 RIVIERA HLDGS CORP COM 769627100 37 73,000 SH SOLE NONE 73,000 0 0 DONNELLEY R R & SONS CO COM 257867101 232 20,000 SH SOLE NONE 20,000 0 0 SAFETY INS GROUP INC COM 78648T100 4,347 142,250 SH SOLE NONE 142,250 0 0 SCHERING PLOUGH CORP COM 806605101 5,024 200,000 SH SOLE NONE 200,000 0 0 SEQUENOM INC COM NEW 817337405 391 100,000 SH SOLE NONE 100,000 0 0 SPDR TR UNIT SER 1 78462F103 89,651 975,000 SH PUT SOLE NONE 975,000 0 0 SPDR TR UNIT SER 1 78462F103 9,195 100,000 SH CALL SOLE NONE 100,000 0 0 ST MARY LD & EXPL CO NOTE 3.500% 4/0 792228AD0 1,554 1,850,000 PRN SOLE NONE 1,850,000 0 0 SUN MICROSYSTEMS INC COM NEW 866810203 3,227 350,000 SH SOLE NONE 350,000 0 0 SUN MICROSYSTEMS INC COM NEW 866810203 11,565 1,254,300 SH ALL SOLE NONE 1,254,300 0 0 TERADATA CORP DEL COM 88076W103 1,523 65,000 SH SOLE NONE 65,000 0 0 TESSERA TECHNOLOGIES INC COM 88164L100 1,265 50,000 SH CALL SOLE NONE 50,000 0 0 WALTER ENERGY INC COM 93317Q105 362 10,000 SH SOLE NONE 10,000 0 0 WALTER INVT MGMT CORP COM 93317W102 797 60,000 SH SOLE NONE 60,000 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 1,664 90,000 SH SOLE NONE 90,000 0 0 WELLCARE HEALTH PLANS INC COM 94946T106 2,912 157,500 SH CALL SOLE NONE 157,500 0 0 WESTERN DIGITAL CORP COM 958102105 1,458 55,000 SH SOLE NONE 55,000 0 0 WYETH COM 983024100 11,348 250,000 SH SOLE NONE 250,000 0 0 WYETH COM 983024100 9,078 200,000 SH PUT SOLE NONE 200,000 0 0 YAHOO INC COM 984332106 1,566 100,000 SH SOLE NONE 100,000 0 0 YAHOO INC COM 984332106 3,915 250,000 SH CALL SOLE NONE 250,000 0 0
SK 03773 0001 1019587 -----END PRIVACY-ENHANCED MESSAGE-----