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Disclosery

HAVENS ADVISORS LLC

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13F filer, CIK 1280200, NEW YORK, NY

HAVENS ADVISORS LLC reported $83,281,000 across 44 holdings for the quarter ended 2021-09-30, in a 13F-HR filed 2021-10-07. Its ten largest share positions make up 67.4% of the portfolio.

Filed (acceptance time not in the bulk data set), ingested 13F-HR 0001085146-21-002666

Period
2021-09-30
Reported value
$83.3M
Holdings
44
Top 10 weight
67.4%
New
19
Sold out
21

Largest buys vs the previous quarter

SecurityShares changeApprox. value
HILL ROM HLDGS INCnew+24,000$3.6M
CLOUDERA INCnew+185,000$2.95M
INTERSECT ENT INCnew+91,103$2.48M
ACCELERON PHARMA INCnew+14,000$2.41M
VEONEER INCnew+62,000$2.11M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Largest sells vs the previous quarter

SecurityShares changeApprox. value
MAXIM INTEGRATED PRODS INCexited-95,000-$10M
ALEXION PHARMACEUTICALS INCexited-54,000-$9.92M
PROOFPOINT INCexited-50,000-$8.69M
SLACK TECHNOLOGIES INCexited-183,790-$8.14M
AEROJET ROCKETDYNE HLDGS IN…reduced-113,100-$4.93M

Ranked by the share change valued at this quarter's implied price (value over shares in the 13F). A position sold out is valued at the previous quarter's price, its last report.

Holdings, Q3 2021

Share positions as resolved from 13F-HR 0001085146-21-002666, largest first. % of portfolio is the value over $82,410,000, the sum of the share positions whose value is usable for ratios (method).

SecurityHistorySharesValue% of portfolioChangeLatest eventTimeline
COHERENT INCCOHERENT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 35,000 shares; 2021Q2: 35,000 shares; 2021Q3: 33,000 shares 33,000$8.25M10.01%-2,000
XILINX INCXILINX INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 64,000 shares; 2021Q2: 70,500 shares; 2021Q3: 50,612 shares 50,612$7.64M9.27%-19,888
NUANCE COMMUNICATIONS INCNUANCE COMMUNICATIONS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 138,000 shares; 2021Q3: 134,000 shares 134,000$7.38M8.95%-4,000
WTWWILLIS TOWERS WATSON PLC LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 35,374 shares; 2021Q2: 40,000 shares; 2021Q3: 26,000 shares 26,000$6.04M7.33%-14,000Timeline
KANSAS CITY SOUTHERNKANSAS CITY SOUTHERNQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 1,004 shares; 2021Q2: 22,000 shares; 2021Q3: 21,500 shares 21,500$5.82M7.06%-500
IHS MARKIT LTDIHS MARKIT LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 14,053 shares; 2021Q2: 32,000 shares; 2021Q3: 47,000 shares 47,000$5.48M6.65%+15,000
PPD INCPPD INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 61,000 shares; 2021Q3: 95,000 shares 95,000$4.45M5.39%+34,000
WELBILT INCWELBILT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 146,000 shares; 2021Q3: 169,000 shares 169,000$3.93M4.77%+23,000
HILL ROM HLDGS INCHILL ROM HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 24,000 shares 24,000$3.6M4.37%new
CLOUDERA INCCLOUDERA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 185,000 shares 185,000$2.95M3.58%new
INTERSECT ENT INCINTERSECT ENT INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 91,103 shares 91,103$2.48M3.01%new
ACCELERON PHARMA INCACCELERON PHARMA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 14,000 shares 14,000$2.41M2.92%new
SPNTSIRIUSPOINT LTDQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 263,764 shares; 2021Q2: 263,764 shares; 2021Q3: 253,021 shares 253,021$2.34M2.84%-10,743Timeline
VEONEER INCVEONEER INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 62,000 shares 62,000$2.11M2.56%new
TRILLIUM THERAPEUTICS INC C…TRILLIUM THERAPEUTICS INC COM NEWQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 109,000 shares 109,000$1.91M2.32%new
AEROJET ROCKETDYNE HLDGS IN…AEROJET ROCKETDYNE HLDGS INC CQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 115,000 shares; 2021Q2: 156,100 shares; 2021Q3: 43,000 shares 43,000$1.87M2.27%-113,100
JTKWYJUST EAT TAKEAWAY COM N VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 171,000 shares; 2021Q3: 100,000 shares 100,000$1.45M1.76%-71,000Timeline
VERSO CORPVERSO CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 64,906 shares 64,906$1.35M1.63%new
SANDERSON FARMSSANDERSON FARMSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 7,000 shares 7,000$1.32M1.6%new
TRIPLE-S MGMT CORPTRIPLE-S MGMT CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 29,000 shares 29,000$1.03M1.24%new
SPX FLOW INC COMSPX FLOW INC COMQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 14,000 shares 14,000$1.02M1.24%new
TROXTRONOX HOLDINGS PLCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 38,000 shares 38,000$937K1.14%newTimeline
KADMON HLDGS INCKADMON HLDGS INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 97,830 shares 97,830$852K1.03%new
TGNATEGNA INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 42,000 shares 42,000$828K1%newTimeline
SCIPLAY CORPORATIONSCIPLAY CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 34,978 shares 34,978$724K0.88%new
KRATON CORPORATIONKRATON CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 12,206 shares 12,206$557K0.68%new
VINE ENERGY INC CL AVINE ENERGY INC CL AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 30,000 shares 30,000$494K0.6%new
CHANGE HEALTHCARE INCCHANGE HEALTHCARE INCQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 221,000 shares; 2021Q2: 190,000 shares; 2021Q3: 20,900 shares 20,900$438K0.53%-169,100
OMNICHANNEL ACQUISITION CORPOMNICHANNEL ACQUISITION CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 22,000 shares; 2021Q2: 22,000 shares; 2021Q3: 22,000 shares 22,000$218K0.26%0
HENNESSY CAPITAL INVS CORP VHENNESSY CAPITAL INVS CORP VQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$204K0.25%0
SUSTAINABLE DEVELP ACQU I COSUSTAINABLE DEVELP ACQU I COQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$202K0.25%0
ROMAN DBDR TECH ACQ CORP; T…ROMAN DBDR TECH ACQ CORP; TNT ACQ…Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$202K0.25%0
OTR ACQUISITION CORPOTR ACQUISITION CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$201K0.24%0
CLSCLSQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$198K0.24%0
MSP RECOVERY INC COM CL AMSP RECOVERY INC COM CL AQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$198K0.24%0
ARES ACQUISITION CORPORATIONARES ACQUISITION CORPORATIONQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$198K0.24%0
COLICITY INC UNIT EX 022426COLICITY INC UNIT EX 022426Quarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$198K0.24%0
TAILWIND ACQUISITION CORPTAILWIND ACQUISITION CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$196K0.24%0
GO ACQUISITION CORPGO ACQUISITION CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 20,000 shares; 2021Q2: 20,000 shares; 2021Q3: 20,000 shares 20,000$196K0.24%0
PPCPILGRIMS PRIDE CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 4,788 shares 4,788$139K0.17%newTimeline
WARBURG PINCUS CAPTAL CORP IWARBURG PINCUS CAPTAL CORP IQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: 13,000 shares; 2021Q2: 14,000 shares; 2021Q3: 14,000 shares 14,000$139K0.17%0
BULL HORN HLDGS CORPBULL HORN HLDGS CORPQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: not reported; 2021Q3: 12,900 shares 12,900$128K0.16%new
LEAD EDGE GROWTH OPRTUNTS LTLEAD EDGE GROWTH OPRTUNTS LTQuarterly shares; oldest to newest; scale is this security's eight-quarter maximum; 2019Q4: restricted; 2020Q1: restricted; 2020Q2: restricted; 2020Q3: restricted; 2020Q4: restricted; 2021Q1: not reported; 2021Q2: 12,700 shares; 2021Q3: 12,700 shares 12,700$127K0.15%0

Options

Puts and calls, as filed. The amount and value describe the underlying shares, not the option premium, so they stay out of % of portfolio (H5).

SecurityTypeAmountValueChange
AEROJET ROCKETDYNE HLDGS IN…AEROJET ROCKETDYNE HLDGS INC C COMcall20,000$871Knew

Sold out in Q3 2021

Positions in the previous quarter's report that this quarter's report no longer lists.

SecurityShares beforeValue beforeType
MAXIM INTEGRATED PRODS INCMAXIM INTEGRATED PRODS INC95,000$10Mshares
ALEXION PHARMACEUTICALS INCALEXION PHARMACEUTICALS INC54,000$9.92Mshares
PROOFPOINT INCPROOFPOINT INC50,000$8.69Mshares
SLACK TECHNOLOGIES INCSLACK TECHNOLOGIES INC183,790$8.14Mshares
PRA HEALTH SCIENCES INCPRA HEALTH SCIENCES INC19,081$3.15Mshares
CONSTELLATION PHARMACEUTICA…CONSTELLATION PHARMACEUTICALS INC.67,963$2.3Mshares
AT HOME GROUP INCAT HOME GROUP INC55,000$2.03Mshares
ORBCOMM INCORBCOMM INC143,000$1.61Mshares
WATFORD HOLDINGS LTDWATFORD HOLDINGS LTD45,000$1.57Mshares
SPWHSPORTSMANS WHSE HLDGS INC70,000$1.24Mshares
SOGOU INC ADR REPSTG ASOGOU INC ADR REPSTG A126,000$1.07Mshares
GRACE W R & CO DEL NEW COMGRACE W R & CO DEL NEW COM11,000$760Kshares
TALEND S ATALEND S A9,000$590Kshares
RAVEN INDS INC COMRAVEN INDS INC COM10,000$579Kshares
NAVISTAR INTERNATIONALNAVISTAR INTERNATIONAL10,000$445Kshares
STERLING BANCORP DELSTERLING BANCORP DEL15,000$372Kshares
HIGHARTFORD INSURANCE GROUP INC4,000$248Kshares
LANDCADIA HOLDINGS III INCLANDCADIA HOLDINGS III INC20,000$248Kshares
GENESIS PK ACQUISITION CORPGENESIS PK ACQUISITION CORP20,000$206Kshares
LOCUST WALK ACQUISITION CORPLOCUST WALK ACQUISITION CORP20,000$204Kshares
BROOKFIELD PROPERTY PARTRS LBROOKFIELD PROPERTY PARTRS L10,050$190Kshares

How Q3 2021 was built

Available 13F filings of this filer for the quarter and their roles: the base report is the latest original or restatement, NEW HOLDINGS amendments filed after it are added (method).

FilingRoleAmendmentFiledAcceptedIngested
13F-HR 0001085146-21-002666 base2021-10-07acceptance time not in the bulk data set