The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete. |
| UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
| | OMB APPROVAL | | OMB Number: | 3235-0006 | | Expires: | Oct 31, 2018 | | Estimated average burden | | hours per response: | 23.8 |
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| Report for the Calendar Year or Quarter Ended: | 09-30-2013 |
| 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: | HARBERT MANAGEMENT CORP |
| Address: | 2100 Third Avenue North |
| Suite 600 |
| Birmingham, AL 35203 |
| Form 13F File Number: | 028-12611 |
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: | John W. McCullough |
| Title: | Senior Vice President and General Counsel |
| Phone: | 205-987-5576 |
| Signature, Place, and Date of Signing: |
| /s/ John W. McCullough | Birmingham, AL | 11-13-2013 |
| [Signature] | [City, State] | [Date] |
| * NOTE: THE JOINT ADMINISTRATORS' TENTH PROGRESS REPORT DATED OCTOBER 11, 2013 HAS CONFIRMED THAT THE AGGREGATE MIX OF SECURITIES RECEIVED BY LEHMAN BROTHERS INTERNATIONAL (EUROPE) ("LBIE") FROM LEHMAN BROTHERS, INC. PURSUANT TO LBIE'S OMNIBUS CUSTOMER CLAIM (WHICH INCLUDED CLAIMS TO RECOVER THE SECURITIES PREVIOUSLY HELD BY THE REPORTING PERSON) HAS NOW BEEN SUBSTANTIALLY LIQUIDATED. AS REFERENCED IN PREVIOUS 13F FILINGS, THE REPORTING PERSON EXPECTED THIS LIQUIDATION TO OCCUR BASED ON A PRIOR PROGRESS REPORT FROM THE JOINT ADMINISTRATORS, AND ACCORDINGLY FOLLOWING THAT COMMUNICATION THE SECURITIES PREVIOUSLY HELD BY THE REPORTING PERSON AT LBIE HAVE NOT BEEN REPORTED AS OWNED ON ITS 13F FILINGS, AND THOSE SECURITIES ARE NOT REPORTED ON THIS 13F. BASED ON THE LIQUIDATION OF THESE SECURITIES AND THE SUBSEQUENT CASH DISTRIBUTION RECEIVED FROM LBIE, THE REPORTING PERSON WILL NOT BE INCLUDING A NOTE REGARDING THE ASSETS PREVIOUSLY HELD AT LBIE IN ANY FUTURE 13F FILINGS. |
| 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: | 2 | | |
| Form 13F Information Table Entry Total: | 27 |
| Form 13F Information Table Value Total: | 183,482 |
| (thousands) |
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| 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. |
| [If there are no entries in this list, state “NONE” and omit the column headings and list entries.] |
| No. | Form 13F File Number | Name |
| 1 | 028-14261 | HARBERT VALUE FUND GP, LLC |
| 2 | 028-14262 | HARBERT VALUE MASTER FUND, LTD. |
