-----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, TAl5rWPRvjmZ7jjZFvhzOSc0QVpuWEWAnHeDioaIEvs4IZqzZw1r2k8/aXWpndms IOd7ftDQylbWetySikbCEQ== 0000898432-10-000167.txt : 20100216 0000898432-10-000167.hdr.sgml : 20100215 20100216170901 ACCESSION NUMBER: 0000898432-10-000167 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 FILER: COMPANY DATA: COMPANY CONFORMED NAME: HARBER ASSET MANAGEMENT LLC CENTRAL INDEX KEY: 0001387921 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12251 FILM NUMBER: 10609455 BUSINESS ADDRESS: STREET 1: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 BUSINESS PHONE: 212-808-7370 MAIL ADDRESS: STREET 1: 200 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10166 13F-HR 1 habar.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: December 31, 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: Harber Asset Management, LLC ------------------------------- 666 Fifth Avenue ------------------------------- 37th Floor ------------------------------- New York, NY 10103 ------------------------------- Form 13F File Number: 28- 12251 -------- 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: Harold W. Berry III ---------------------- Title: Managing Member ---------------------- Phone: (212) 808-7430 ---------------------- Signature, Place, and Date of Signing: /s/ Harold W. Berry III New York, NY February 15, 2010 - --------------------------- -------------------- ---------------------- [Signature] [City, State] [Date] /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).) 1 FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 -------------- Form 13F Information Table Entry Total: 68 -------------- Form 13F Information Table Value Total: 76,080 -------------- (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 1 28-06273 Graham Partners, L.P. 2
FORM 13F INFORMATION TABLE COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHARES SH/PRN PUT/CALL INVESTMENT OTHER SHARED NONE CLASS (X1000) HELD DISCRETION MANAGERS Actel Corp COM 004934105 1,485 125,000 SH Shared-Defined 1 125,000 ATMI Inc COM 00207R101 1,257 67,500 SH Shared-Defined 1 67,500 Baker Hughes Inc COM 057224107 405 10,000 SH Shared-Defined 1 10,000 BigBand Networks Inc COM 089750509 258 75,000 SH Shared-Defined 1 75,000 Brocade Communications COM NEW 111621306 458 60,000 SH Shared-Defined 1 60,000 Systems I Cadence Design System Inc NOTE 1.375% 127387AD0 463 500,000 SH Shared-Defined 1 500,000 12/1 Callidus Software Inc COM 13123E500 467 154,500 SH Shared-Defined 1 154,500 Capital One Finl Corp COM 14040H105 575 15,000 SH Shared-Defined 1 15,000 Check Point Software Tech Lt ORD M22465104 847 25,000 SH Shared-Defined 1 25,000 Cirrus Logic Inc COM 172755100 460 67,500 SH Shared-Defined 1 67,500 Cisco Sys Inc COM 17275R102 3,232 135,000 SH Shared-Defined 1 135,000 Cogent Comm Group Inc COM NEW 19239V302 1,085 110,000 SH Shared-Defined 1 110,000 Cogo Group Inc COM 192448108 1,106 150,000 SH Shared-Defined 1 150,000 Comcast Corp New CL A SPL 20030N200 1,161 72,500 SH Shared-Defined 1 72,500 Conexant Systems Inc NOTE 2.500% 207142AH3 557 600,000 SH Shared-Defined 1 600,000 11/1 Coventry Health Care Inc COM 222862104 304 12,500 SH Shared-Defined 1 12,500 Cowen Group Inc New CL A 223622101 544 91,900 SH Shared-Defined 1 91,900 Cybersource Corp COM 23251J106 402 20,000 SH Shared-Defined 1 20,000 Dominos Pizza Inc COM 25754A201 796 95,000 SH Shared-Defined 1 95,000 Electronic Arts Inc COM 285512109 533 30,000 SH Shared-Defined 1 30,000 Extreme Networks Inc COM 30226D106 258 90,000 SH Shared-Defined 1 90,000 Fidelity National Financial CL A 31620R105 606 45,000 SH Shared-Defined 1 45,000 GameStop Corp New CL A 36467W109 932 42,500 SH Shared-Defined 1 42,500 Group CG1 Inc CL A SUB VTG 39945C109 2,852 200,250 SH Shared-Defined 1 200,250 Harmonic Inc COM 413160102 853 135,000 SH Shared-Defined 1 135,000 Hewlett Packard Co COM 428236103 1,417 27,500 SH Shared-Defined 1 27,500 Ingles Mkts Inc CL A 457030104 605 40,000 SH Shared-Defined 1 40,000 Intel Corp COM 458140100 1,3156 64,500 SH Shared-Defined 1 64,500 International Business Machs COM 459200101 818 6,250 SH Shared-Defined 1 6,250 International Flavors&Fraga COM 459506101 1,337 32,500 SH Shared-Defined 1 32,500 Intersil Corp CL A 46069S109 1,273 83,000 SH Shared-Defined 1 83,000 Intuit COM 461202103 2,074 67,500 SH Shared-Defined 1 67,500
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHARES SH/PRN PUT/CALL INVESTMENT OTHER SHARED NONE CLASS (X1000) HELD DISCRETION MANAGERS Lionbridge Technologies Inc COM 536252109 724 314,655 SH Shared-Defined 1 314,655 Lockheed Martin Corp COM 539830109 1,997 26,500 SH Shared-Defined 1 26,500 Lowes Cos Inc COM 548661107 865 37,000 SH Shared-Defined 1 37,000 Mac Gray Corp COM 554153106 562 54,517 SH Shared-Defined 1 54,517 Maxim Integrated Prods Inc COM 57772K101 508 25,000 SH Shared-Defined 1 25,000 McDonalds Corp COM 580135101 781 12,500 SH Shared-Defined 1 12,500 Metropcs Communications Inc COM 591708102 382 50,000 SH Shared-Defined 1 50,000 Micrel Inc COM 594793101 1,927 235,000 SH Shared-Defined 1 235,000 Microsoft Corp COM 594918104 1,615 53,000 SH Shared-Defined 1 53,000 MKS Instrument Inc COM 55306N104 827 47,500 SH Shared-Defined 1 47,500 Multi Color Corp COM 625383104 588 48,047 SH Shared-Defined 1 48,047 Opnet Technologies Inc COM 683757108 1,657 135,900 SH Shared-Defined 1 135,900 P C Connection COM 69318J100 507 75,100 SH Shared-Defined 1 75,100 Pc-Tel Inc COM 69325Q105 101 17,000 SH Shared-Defined 1 17,000 Pfizer Inc COM 717081103 910 50,000 SH Shared-Defined 1 50,000 Phoenix Technology Ltd COM 719153108 240 87,135 SH Shared-Defined 1 87,135 Plato Learning Inc COM 72764Y100 567 130,000 SH Shared-Defined 1 130,000 Radvision Ltd ORD M81869105 543 90,000 SH Shared-Defined 1 90,000 S1 Corporation COM 78463B101 1,956 300,000 SH Shared-Defined 1 300,000 Select Sector Spdr TR SBI INT- 81369Y886 776 25,000 SH Shared-Defined 1 25,000 UTILS Silicon Image Inc COM 82705T102 1,084 420,000 SH Shared-Defined 1 420,000 Sport Supply Group Inc Del COM 84916A104 1,253 99,500 SH Shared-Defined 1 99,500 Star Buffet Inc COM 855086104 211 69,826 SH Shared-Defined 1 69,826 Symantec Corp COM 871503108 2,684 150,000 SH Shared-Defined 1 150,000 Taiwan Semiconductor Mfg Ltd SPONSORED 874039100 807 70,550 SH Shared-Defined 1 70,550 ADR Tellabs Inc COM 879664100 994 175,000 SH Shared-Defined 1 175,000 Tessera Technologies COM 88164L100 291 12,500 SH Shared-Defined 1 12,500 Verigy Ltd SHS Y93691146 1,029 80,000 SH Shared-Defined 1 80,000 VeriSign Inc COM 92343E102 1,939 80,000 SH Shared-Defined 1 80,000 Verisign Inc SDCV 3.25% 92343EAD4 980 1,100,000 SH Shared-Defined 1 1,100,000 8/1 Viacom Inc New CL B 92553P201 1,665 56,000 SH Shared-Defined 1 56,000 Virgin Media Inc COM 92769L101 168 10,000 SH Shared-Defined 1 10,000 Virtus Invt Partners Inc COM 92828Q109 318 20,000 SH Shared-Defined 1 20,000 Vodafone Group PLC New SPONS ADR 92857W209 612 26,500 SH Shared-Defined 1 26,500 NEW
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COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8 VOTING AUTHORITY NAME OF ISSUER TITLE OF CUSIP VALUE SHARES SH/PRN PUT/CALL INVESTMENT OTHER SHARED NONE CLASS (X1000) HELD DISCRETION MANAGERS Wal Mart Stores Inc COM 931142103 1,069 20,000 SH Shared-Defined 1 20,000 Williams Ctls Inc Del COM NEW 969465608 367 46,518 SH Shared-Defined 1 46,518
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