-----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, Rgrca3p/FAQ36H8YxqMzXVnwPsPdkhMRkj2HkU6UYnREHVrl2VJiZuBHargAn8/b hk9eBe1DGftl1YHmnKnKQw== 0000351262-08-000004.txt : 20081105 0000351262-08-000004.hdr.sgml : 20081105 20081105143705 ACCESSION NUMBER: 0000351262-08-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081105 DATE AS OF CHANGE: 20081105 EFFECTIVENESS DATE: 20081105 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CUMBERLAND ASSOCIATES LLC CENTRAL INDEX KEY: 0000351262 IRS NUMBER: 000000000 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-01010 FILM NUMBER: 081163399 BUSINESS ADDRESS: STREET 1: 1114 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 BUSINESS PHONE: 2125750900 13F-HR 1 cumberlandassociates0908.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: September 30, 2008 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: Cumberland Associates Address: 1114 Avenue Of the Americas New York, NY 10036 13 File Number: 28-1010 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 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: Gary Tynes Title: CFO Phone: Signature, Place and Date of Signing: Gary Tynes October 16, 2008 Report Type (Check only one.): [ X] 13F HOLDINGS REPORT. [ ] 13F NOTICE. [ ] 13F COMBINATION REPORT. I AM SIGNING THIS REPORT AS REQUIRED BY THE SECURITIES EXCHANGE ACT OF 1934 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 0 Form 13F Information Table Entry Total: 61 Form 13F Information Table Value Total: 528374 List of Other Included Managers: No. 13F File Number Name 01 28-1010 CUMBERLAND ASSOCIATES2 02 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 ------------------------------ ---------------- --------- -------- -------- --- ---- -------- --------- -------- -------- -------- D ADVANCED MEDICAL OPT ICS INC C COMMON STOCK 00763M108 18580 1045000 SH SOLE 0102 953946 91054 0 D AGFEED INDUSTRIES INC COM COMMON STOCK 00846L101 5586 707100 SH SOLE 0102 645051 62049 0 D ANN TAYLOR STORES CO RP COM ST COMMON STOCK 036115103 516 25000 SH SOLE 0102 22821 2179 0 D ARCH CAPITAL GROUP L TD BERMU COMMON STOCK G0450A105 2426 33220 SH SOLE 0102 30324 2896 0 D ARRIS GROUP INC COM STK COMMON STOCK 04269Q100 8845 1144240 SH SOLE 0102 1044514 99726 0 D BANK OF AMERICA CORP COM STK COMMON STOCK 060505104 12882 368056 SH SOLE 0102 335975 32081 0 D BWAY HOLDING COMPANY COMMON STOCK 12429T104 18709 1595000 SH SOLE 0102 1456061 138939 0 D CARDIONET INC COMMON STOCK 14159L103 8861 355000 SH SOLE 0102 324062 30938 0 D CASTLEPOINT HOLDINGS LTD COM COMMON STOCK G19522112 974 87552 SH SOLE 0102 79964 7588 0 D CENTRAL EUROPEAN MED IA ENTERP COMMON STOCK G20045202 9948 152106 SH SOLE 0102 138840 13266 0 D CHORDIANT SFTWR COM STK COMMON STOCK 170404305 9357 1824064 SH SOLE 0102 1666058 158006 0 D CIT GROUP INC NEW COM STK COMMON STOCK 125581108 20845 2995000 SH SOLE 0102 2733978 261022 0 D COPA HOLDINGS SA COM STK COMMON STOCK P31076105 2113 65000 SH SOLE 0102 59335 5665 0 D Continental Airlines Inc CL B COMMON STOCK 210795308 4420 265000 SH SOLE 0102 241904 23096 0 D DEARBORN BANCORP COM STK COMMON STOCK 24242R108 472 94686 SH SOLE 0102 86425 8261 0 D DISCOVERY LABORATORI ES INC NE COMMON STOCK 254668106 850 454292 SH SOLE 0102 414699 39593 0 D DYNEGY INC DEL CL A COM STK COMMON STOCK 26817G102 16289 4550000 SH SOLE 0102 4153792 396208 0 D Dana Corporation Dan a Corpora COMMON STOCK 235825205 290 60000 SH SOLE 0102 54771 5229 0 D E TRADE FINL CORP COM STK COMMON STOCK 269246104 14560 5200000 SH SOLE 0102 4747155 452845 0 D EMCOR GROUP INC COM STK COMMON STOCK 29084Q100 6246 237301 SH SOLE 0102 216561 20740 0 D ENERGY XXI LTD COM STK COMMON STOCK G10082108 11856 3900000 SH SOLE 0102 3560085 339915 0 D ENSTAR GROUP LIMITED COM STK COMMON STOCK G3075P101 1095 11246 SH SOLE 0102 10251 995 0 D FINANCIAL SELECT SEC TOR SPDR US ETF'S - US TR 81369Y605 398 20000 SH SOLE 0102 18205 1795 0 D FOOT LOCKER INC COM STK COMMON STOCK 344849104 3001 185700 SH SOLE 0102 169408 16292 0 D HARVEST NATURAL RESO URCES INC COMMON STOCK 41754V103 35192 3477500 SH SOLE 0102 3174408 303092 0 D HEARTLAND EXPRESS IN C COM STK COMMON STOCK 422347104 3104 200000 SH SOLE 0102 182571 17429 0 D HSN INC COMMON STOCK 404303109 10093 916700 SH SOLE 0102 836837 79863 0 D HUNT J B TRANS SVCS INC COM ST COMMON STOCK 445658107 1669 50000 SH SOLE 0102 45644 4356 0 D IMPAC MORTGAGE HOLDI NGS INC C REITS/RICS 45254P102 649 2596600 SH SOLE 0102 2367148 229452 0 D ISHARES RUSSELL 2000 US ETF'S - US TR 464287655 1360 20000 SH SOLE 0102 18205 1795 0 D ISIS PHARMACEUTICALS CALIF CO COMMON STOCK 464330109 19074 1129300 SH SOLE 0102 1030885 98415 0 D J CREW GROUP INC COMMON STOCK 46612H402 1000 35000 SH SOLE 0102 31860 3140 0 D KNIGHT TRANSPORTATION INC COMMON STOCK 499064103 1697 100000 SH SOLE 0102 91159 8841 0 D LBRTY MD SR A COMMON STOCK 53071M500 64293 2574815 SH SOLE 0102 2350446 224369 0 D LIBERTY GLOBAL INC SR-C COM ST COMMON STOCK 530555309 6883 245048 SH SOLE 0102 223341 21707 0 D LIBERTY MEDIA HLDG C ORP COM S COMMON STOCK 53071M302 24825 1855386 SH SOLE 0102 1693720 161666 0 D MAIDEN HLDGS LTD COMMON STOCK G5753U112 6964 1601000 SH SOLE 0102 1461977 139023 0 D MILLICOM INTL CELLULAR SA COMMON STOCK L6388F110 12965 188800 SH SOLE 0102 172098 16702 0 D NATIONAL CITY CORP COM STK COMMON STOCK 635405103 2625 1500000 SH SOLE 0102 1369268 130732 0 D NAVISTAR INTL CORP COM STK COMMON STOCK 63934E108 1355 25000 SH SOLE 0102 22822 2178 0 D NET 1 UEPS TECHNOLOG IES INC C COMMON STOCK 64107N206 12858 575816 SH SOLE 0102 525643 50173 0 D NOKIA CORP ADR ADRS STOCKS 654902204 19116 1025000 SH SOLE 0102 935604 89396 0 D NORFOLK SOUTHN CORP COM STK COMMON STOCK 655844108 4966 75000 SH SOLE 0102 68464 6536 0 D NVIDIA CORP COM STK COMMON STOCK 67066G104 536 50000 SH SOLE 0102 45577 4423 0 D O REILLY AUTOMOTIVE INC COM ST COMMON STOCK 686091109 15529 580107 SH SOLE 0102 528786 51321 0 D PHH CORP COM STK COMMON STOCK 693320202 1329 100000 SH SOLE 0102 91278 8722 0 D PLAINS EXPLORATION & PRODUCTI COMMON STOCK 726505100 33050 940000 SH SOLE 0102 858074 81926 0 D RAMBUS INC DEL COM STK COMMON STOCK 750917106 3213 250000 SH SOLE 0102 228196 21804 0 D SEAGATE TECHNOLOGY COM STK COMMON STOCK G7945J104 5454 450000 SH SOLE 0102 410790 39210 0 D SEAGATE TECHNOLOGY COM STK OPTIONS - CALLS 99O9ZGXG3 2800 231000 SH CALL SOLE 0102 212400 18600 0 D SIMPLETECH INC (EX S IMPLE TEC COMMON STOCK 784774101 2888 375000 SH SOLE 0102 342281 32719 0 D SLM CORP COM STK COMMON STOCK 78442P106 2633 213401 SH SOLE 0102 194522 18879 0 D SOVEREIGN BANCORP IN C COM STK COMMON STOCK 845905108 8295 2100000 SH SOLE 0102 1916975 183025 0 D SPDR S&P OIL & GAS E XPLORATI US ETF'S - US TR 78464A730 1451 32366 SH SOLE 0102 29553 2813 0 D THE RYLAND GROUP INC COM STK COMMON STOCK 783764103 15614 588758 SH SOLE 0102 537374 51384 0 D THQ INC COM STK COMMON STOCK 872443403 602 50000 SH SOLE 0102 45642 4358 0 D UNITED STATES OIL FU ND LP US ETF'S - US TR 91232N108 4101 50000 SH SOLE 0102 45512 4488 0 D URS CORP NEW COM STK COMMON STOCK 903236107 1248 34029 SH SOLE 0102 31017 3012 0 D USA TRUCK INC COM STK COMMON STOCK 902925106 479 30000 SH SOLE 0102 27385 2615 0 D VISHAY INTERTECHNLGY INC COMMON STOCK 928298108 13165 1988606 SH SOLE 0102 1812757 175849 0 D ZUMIEZ INC COM COMMON STOCK 989817101 6180 375000 SH SOLE 0102 342307 32693 0 S REPORT SUMMARY 61 DATA RECORDS 528374 0 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED
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