13F-HR 1 cumberlandassociates.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 28, 2012 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 18, 2012 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: 2 Form 13F Information Table Entry Total: 37 Form 13F Information Table Value Total: 81420 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 AMERICAN INTERNATION AL GROUP COMMON STOCK 026874784 3279 100000 SH SOLE 0102 94421 5579 0 D ANADARKO PETE CORP COM STK COMMON STOCK 032511107 3846 55000 SH SOLE 0102 51961 3039 0 D APPLE INC COM STK COMMON STOCK 037833100 1985 2976 SH SOLE 0102 2806 170 0 D ASCENA RETAIL GROUP INC COM COMMON STOCK 04351G101 3290 153364 SH SOLE 0102 142532 10832 0 D BERKSHIRE HATHAWAY INC CLASS B COMMON STOCK 084670702 2727 30919 SH SOLE 0102 29152 1767 0 D BRAVO BRIO RESTAURAN T GROUP COMMON STOCK 10567B109 2183 150000 SH SOLE 0102 141721 8279 0 D CAMECO CORP CAD COM COMMON STOCK 13321L108 584 30000 SH SOLE 0102 28333 1667 0 D COMVERSE TECHNOLOGY INC COM ST COMMON STOCK 205862402 3779 614455 SH SOLE 0102 579977 34478 0 D ECHOSTAR CORPORATION COMMON STOCK 278768106 2348 81914 SH SOLE 0102 77237 4677 0 D EMULEX CORP COM NEW COMMON STOCK 292475209 901 125000 SH SOLE 0102 118070 6930 0 D GAYLORD ENTMT CO NEW COM STK COMMON STOCK 367905106 2767 70000 SH SOLE 0102 66133 3867 0 D GENERAL MOTORS COMMON STOCK 37045V100 1642 72163 SH SOLE 0102 68065 4098 0 D GEOPETRO COMPANY COM STK COMMON STOCK 37248H304 66 650761 SH SOLE 0102 595736 55025 0 D HARVEST NATURAL RESO URCES INC COMMON STOCK 41754V103 7139 800385 SH SOLE 0102 755642 44743 0 D HARVEST NATURAL RESO URCES INC OPTIONS - CALLS 41754V103 135 150000 SH CALL SOLE 0102 1417 83 0 D HERTZ GLOBAL HOLDING COMMON STOCK 42805T105 4084 297446 SH SOLE 0102 280622 16824 0 D HIMAX TECHNOLOGIES I NC ADR ADRS STOCKS 43289P106 118 60000 SH SOLE 0102 56993 3007 0 D INVENSENSE INC CL A COM STK COMMON STOCK 46123D205 1434 120000 SH SOLE 0102 113320 6680 0 D IPATH S&P 500 VIX S/ T FU ETN ETN'S 06740C261 1156 128455 SH SOLE 0102 121362 7093 0 D LAS VEGAS SANDS CORP COM STK COMMON STOCK 517834107 2541 54808 SH SOLE 0102 51741 3067 0 D LIBERTY MEDIA CORP C INTER A COMMON STOCK 53071M104 2119 114555 SH SOLE 0102 108203 6352 0 D LIBERTY MEDIA CORP N EW COM ST COMMON STOCK 530322106 4342 41717 SH SOLE 0102 39403 2314 0 D LIBERTY VENTURES SER IES A COMMON STOCK 53071M880 2890 58226 SH SOLE 0102 55014 3212 0 D MURPHY OIL CORP COM STK COMMON STOCK 626717102 1323 24639 SH SOLE 0102 23150 1489 0 D OCCIDENTAL PETE CORP COMMON STOCK 674599105 4279 49725 SH SOLE 0102 47003 2722 0 D OMNIVISION TECHNOLOG IES INC C COMMON STOCK 682128103 698 50000 SH SOLE 0102 47242 2758 0 D ON SEMICONDUCTOR COR P / SEMI COMMON STOCK 682189105 2496 404277 SH SOLE 0102 381390 22887 0 D ROBERT HALF INTERNAT IONAL INC COMMON STOCK 770323103 799 30000 SH SOLE 0102 28332 1668 0 D SIGNET JEWELERS LTD COM STK COMMON STOCK G81276100 2869 58830 SH SOLE 0102 55399 3431 0 D SOLAR CAPITAL LTD COMMON STOCK 83413U100 470 20525 SH SOLE 0102 19509 1016 0 D SYNAPTICS INC COM STK COMMON STOCK 87157D109 1922 80000 SH SOLE 0102 75552 4448 0 D TELEPHONE AND DATA SYSTEMS INC COMMON STOCK 879433829 1793 70000 SH SOLE 0102 66125 3875 0 D TRIANGLE PETE CORP COM STK COMMON STOCK 89600B201 593 82760 SH SOLE 0102 82760 0 0 D VERINT SYS INC COM STK COMMON STOCK 92343X100 242 8834 SH SOLE 0102 8345 489 0 D VISHAY INTERTECHNLGY INC COMMON STOCK 928298108 2558 260177 SH SOLE 0102 245419 14758 0 D Visteon Corporation COMMON STO COMMON STOCK 92839U206 2190 49254 SH SOLE 0102 45973 3281 0 D WALGREEN CO COM STK COMMON STOCK 931422109 2630 72187 SH SOLE 0102 68059 4128 0 S REPORT SUMMARY 37 DATA RECORDS 81420 2 OTHER MANAGERS ON WHOSE BEHALF REPORT IS FILED