0000898432-11-001210.txt : 20111114 0000898432-11-001210.hdr.sgml : 20111111 20111114151940 ACCESSION NUMBER: 0000898432-11-001210 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110930 FILED AS OF DATE: 20111114 DATE AS OF CHANGE: 20111114 EFFECTIVENESS DATE: 20111114 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: 111201755 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 a13f-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: September 30, 2011 ------------------------- 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 --------------------------------------------- 237 Park Avenue --------------------------------------------- Suite 900 --------------------------------------------- New York, NY 10017 --------------------------------------------- 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 November 15, 2011 -------------------------- ------------------- ---------------------- [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: 49 ------------------ Form 13F Information Table Value Total: 64,246 ------------------ (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 Title of Market SH/ Investment Other Name Class CUSIP Value Quantity PRN Discretion Manager Shared Nii Holdings Inc Nihd 3.125% 06/15/2012 Note 62913FAJ1 505 500,000 SH Shared-Defined 1 500,000 PULSE ELECTRONICS CORP 7.000% 12/15/14 C Note 74586WAA4 817 1,000,000 SH Shared-Defined 1 1,000,000 SIRIUS SATELLITE SIRI 3.25% 10/15/11 Note 82966UAD5 269 269,000 SH Shared-Defined 1 269,000 VITESSE SEMICONDUCTOR 8.000% 10/30/14 CV Note 928497AE6 3,650 3,650,000 SH Shared-Defined 1 3,650,000 Avnet Inc COM 053807103 2,689 103,100 SH Shared-Defined 1 103,100 CCA INDUSTRIES INC COM 124867102 243 47,400 SH Shared-Defined 1 47,400 Convio Inc COM 21257W105 2,350 279,400 SH Shared-Defined 1 279,400 Cisco Systems Inc COM 17275R102 3,791 244,574 SH Shared-Defined 1 244,574 Citizens & Northern Corp COM 172922106 400 26,925 SH Shared-Defined 1 26,925 Dell Inc COM 24702R101 682 48,200 SH Shared-Defined 1 48,200 Emulex Corp COM 292475209 2,264 353,700 SH Shared-Defined 1 353,700 Entegris Inc COM 29362U104 751 117,782 SH Shared-Defined 1 117,782 Fiserv Inc COM 337738108 611 12,033 SH Shared-Defined 1 12,033 Flextronics International Ltd COM Y2573F102 1,548 275,000 SH Shared-Defined 1 275,000 HB Fuller Co COM 359694106 3,189 175,000 SH Shared-Defined 1 175,000 Corning Inc COM 219350105 1,063 86,000 SH Shared-Defined 1 86,000 Hewlett-Packard Co COM 428236103 741 33,000 SH Shared-Defined 1 33,000 Hapc, Inc COM 45685K102 154 162,508 SH Shared-Defined 1 162,508 INPHI CORP COM 45772F107 3,524 401,800 SH Shared-Defined 1 401,800 KMG CHEMICALS INC COM 482564101 1,764 143,200 SH Shared-Defined 1 143,200 Lionbridge Technologies COM 536252109 173 70,465 SH Shared-Defined 1 70,465 Lowe's Cos Inc COM 548661107 824 42,600 SH Shared-Defined 1 42,600 Lam Research Corp COM 512807108 3,156 83,100 SH Shared-Defined 1 83,100 Meru Networks Inc COM 59047Q103 15 1,900 SH Shared-Defined 1 1,900 MIPS Technologies Inc COM 604567107 2,285 472,200 SH Shared-Defined 1 472,200 MOTOROLA MOBILITY HOLDINGS I COM 620097105 3,011 79,700 SH Shared-Defined 1 79,700 Monolithic Power Systems Inc COM 609839105 2,639 259,233 SH Shared-Defined 1 259,233 Marvell Technology Group Ltd COM G5876H105 1,103 76,000 SH Shared-Defined 1 76,000 Msci Inc-A COM 55354G100 158 5,200 SH Shared-Defined 1 5,200 Microsoft Corp COM 594918104 1,145 46,000 SH Shared-Defined 1 46,000 NII Holdings Inc COM 62913F201 1,458 54,100 SH Shared-Defined 1 54,100 NetApp Inc COM 64120L104 753 22,200 SH Shared-Defined 1 22,200 PMC - Sierra Inc COM 69344F106 897 150,000 SH Shared-Defined 1 150,000 Penn Millers Holding Corp COM 707561106 890 44,307 SH Shared-Defined 1 44,307 COMSCORE INC COM 20564W105 1,140 67,600 SH Shared-Defined 1 67,600 Shoretel Inc COM 825211105 747 150,000 SH Shared-Defined 1 150,000 Tekelec COM 879101103 896 148,270 SH Shared-Defined 1 148,270 Neutral Tandem Inc COM 64128B108 479 49,500 SH Shared-Defined 1 49,500 TriQuint Semiconductor Inc COM 89674K103 629 125,300 SH Shared-Defined 1 125,300 TRW Automotive Holdings Corp COM 87264S106 949 29,000 SH Shared-Defined 1 29,000 Tyson Foods Inc COM 902494103 879 50,626 SH Shared-Defined 1 50,626 Mac-gray Corp COM 554153106 1,873 145,072 SH Shared-Defined 1 145,072 Viacom Inc COM 92553P201 1,784 46,042 SH Shared-Defined 1 46,042 Vitesse Semiconductor Corp COM 928497304 1,010 37,225 SH Shared-Defined 1 37,225 Westell Technologies Inc COM 957541105 594 275,011 SH Shared-Defined 1 275,011 EXCEED CO LTD ADR 90212G109 222 54,353 SH Shared-Defined 1 54,353 CGI GROUP INC - CL A ADR 39945C109 1,637 83,037 SH Shared-Defined 1 83,037 INTERXION HOLDING NV ADR NL0009693779 1,138 96,350 SH Shared-Defined 1 96,350 Vistaprint Ltd ADR NL0009272269 757 28,000 SH Shared-Defined 1 28,000