-----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, ITLsn+2Bsq7HB0XUebgSU8ItRIHxI+mlEUns3RsEkgfxLl/9Y341cR3Bdk/1GUHi ouP+kxFKuefY/Lon6q408Q== 0000905718-09-000551.txt : 20091116 0000905718-09-000551.hdr.sgml : 20091116 20091116122504 ACCESSION NUMBER: 0000905718-09-000551 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090930 FILED AS OF DATE: 20091116 DATE AS OF CHANGE: 20091116 EFFECTIVENESS DATE: 20091116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Harvey Partners, LLC CENTRAL INDEX KEY: 0001406484 IRS NUMBER: 203760303 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12901 FILM NUMBER: 091184963 BUSINESS ADDRESS: STREET 1: 350 MADISON AVENUE, 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: (212) 389-8760 MAIL ADDRESS: STREET 1: 350 MADISON AVENUE, 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 form13fsept09.txt FORM 13F FORM 13F UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended: September 30, 2009 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: Harvey Partners, LLC Address: 900 Third Avenue, 2nd Floor, New York, NY 10022 ------------------------------------------------------------- Form 13F File Number: 28-12901 ---------------------------------- 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: Jeffrey C. Moskowitz ----------------------- Title: Managing Member ----------------------- Phone: (212) 389-8760 ----------------------- Signature, Place, and Date of Signing: /s/ Jeffrey C. Moskowitz New York, NY November 16, 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 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: None - -------------------------------------------------------------------------------- Form 13F Information Table Entry Total: 60 - -------------------------------------------------------------------------------- Form 13F Information Table Value Total: $ 122,101 (thousands) - -------------------------------------------------------------------------------- List of Other Included Managers: None FORM 13F INFORMATION TABLE Harvey Partners, LLC FORM 13F September 30, 2009
- ------------------------------------------------------------------------------------------------------------------------------------ Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 Title of Value Shares or SH/ Put/ Investment Other Voting Authority Name of Issuer Class CUSIP (x$1000) Prin. Amt. PRN Call Discretion Managers Sole Shared None - ------------------------------------------------------------------------------------------------------------------------------------ AIR METHODS CORP COM PAR $.06 009128307 4,072 125,000 SH Sole 125,000 AMERIGON INC COM 03070L300 106 14,300 SH Sole 14,300 ANADIGICS INC COM 032515108 3,297 700,000 SH Sole 700,000 ARBITRON INC COM 03875Q108 2,003 96,470 SH Sole 96,470 ASHLAND INC. NEW COM 044209104 1,895 43,850 SH Sole 43,850 ASTEC INDS INC COM 046224101 3,183 125,000 SH Sole 125,000 C & D TECHNOLOGIES INC COM 124661109 512 238,000 SH Sole 238,000 CALIFORNIA MICRO DEVICES COR COM 130439102 2,576 800,000 SH Sole 800,000 CHART INDS INC COM PAR $.01 16115Q308 616 28,525 SH Sole 28,525 CHART INDS INC COM PAR $.01 16115Q308 6 30 SH CALL Sole 30 CLIFFS NATURAL RESOURCES INC COM 18683K101 3,721 115,000 SH Sole 115,000 CLIFFS NATURAL RESOURCES INC COM 18683K101 404 1,370 SH CALL Sole 1,370 DANA HOLDING CORP COM 235825205 1,873 275,000 SH Sole 275,000 DIVX INC COM 255413106 253 46,321 SH Sole 46,321 DOMTAR CORP COM NEW 257559203 2,323 65,950 SH Sole 65,950 ENPRO INDS INC COM 29355X107 3,466 151,600 SH Sole 151,600 ENTEGRIS INC COM 29362U104 5,940 1,200,000 SH Sole 1,200,000 GLOBALOPTIONS GROUP INC COM NEW 37946D209 1,235 690,000 SH Sole 690,000 HOME BANCSHARES INC COM 436893200 965 44,000 SH Sole 44,000 ICO INC NEW COM 449293109 4,764 1,020,000 SH Sole 1,020,000 ISHARES TR INDEX RUSSELL 2000 464287655 312 2,000 SH PUT Sole 2,000 ITERIS INC COM 46564T107 1,476 1,011,000 SH Sole 1,011,000 KHD HUMBOLDT WEDAG INTL LTD COM 482462108 805 77,500 SH Sole 77,500 KHD HUMBOLDT WEDAG INTL LTD COM 482462108 171 1,200 SH CALL Sole 1,200 LATTICE SEMICONDUCTOR CORP COM 518415104 3,532 1,570,000 SH Sole 1,570,000 LIMELIGHT NETWORKS INC COM 53261M104 36 697 SH CALL Sole 697 LSI CORPORATION COM 502161102 2,402 437,500 SH Sole 437,500 MAGMA DESIGN AUTOMATION COM 559181102 528 252,500 SH Sole 252,500 MATTSON TECHNOLOGY INC COM 577223100 1,692 600,000 SH Sole 600,000 MEMC ELECTR MATLS INC COM 552715104 2,952 177,500 SH Sole 177,500 MGIC INVT CORP WIS COM 552848103 1,890 255,000 SH Sole 255,000 MGIC INVT CORP WIS COM 552848103 37 3,000 SH CALL Sole 3,000 MICROCHIP TECHNOLOGY INC COM 595017104 3,975 150,000 SH Sole 150,000 MICROSOFT CORP COM 594918104 2,831 110,080 SH Sole 110,080 MINDSPEED TECHNOLOGIES INC COM NEW 602682205 2,909 1,010,000 SH Sole 1,010,000 OIL DRI CORP AMER COM 677864100 2,755 190,000 SH Sole 190,000 ORCHIDS PAPER PRODS CO DEL COM 68572N104 1,660 83,000 SH Sole 83,000 POWERSHARES QQQ TRUST UNIT SER 1 73935A104 73 1,000 SH PUT Sole 1,000 PROSHARES TR PSHS ULTSHT 74347R628 609 24,328 SH Sole 24,328 FINL QUANTUM CORP COM DSSG 747906204 1,197 950,000 SH Sole 950,000 RADIAN GROUP INC COM 750236101 1,856 175,400 SH Sole 175,400 ROGERS CORP COM 775133101 4,439 148,100 SH Sole 148,100 SANMINA SCI CORP COM NEW 800907206 2,007 233,333 SH Sole 233,333 SCHIFF NUTRITION INTL INC COM 806693107 2,866 550,000 SH Sole 550,000 SCHULMAN A INC COM 808194104 295 14,800 SH Sole 14,800 SEAGATE TECHNOLOGY SHS G7945J104 7,606 500,106 SH Sole 500,106 SEAGATE TECHNOLOGY SHS G7945J104 100 4,000 SH CALL Sole 4,000 SILICON IMAGE INC COM 82705T102 2,435 1,002,155 SH Sole 1,002,155 SOLUTIA INC COM NEW 834376501 3,910 337,700 SH Sole 337,700 SONOCO PRODS CO COM 835495102 3,030 110,000 SH Sole 110,000 SUNCOR ENERGY INC NEW COM 867224107 2,765 80,000 SH Sole 80,000 SUPERIOR INDS INTL INC COM 868168105 621 43,762 SH Sole 43,762 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 2,567 229,000 SH Sole 229,000 TAKE-TWO INTERACTIVE SOFTWAR COM 874054109 113 1,500 SH CALL Sole 1,500 TRIDENT MICROSYSTEMS INC COM 895919108 674 260,000 SH Sole 260,000 ULTRA CLEAN HLDGS INC COM 90385V107 2,219 430,000 SH Sole 430,000 URBAN OUTFITTERS INC COM 917047102 2,315 76,738 SH Sole 76,738 WOODWARD GOVERNOR CO COM 980745103 1,701 70,100 SH Sole 70,100 WORLD WRESTLING ENTMT INC CL A 98156Q108 1,828 130,500 SH Sole 130,500 ZILOG INC COM PAR $0.01 989524301 3,702 1,429,385 SH Sole 1,429,385
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