HAVENS ADVISORS LLC

HTTP://WWW.HAVENSPARTNERS.COM NEW YORK, NY Investment Advisor Hedge Fund How do I update this listing?

Havens Advisors is based out of New York. Havens Advisors is a large advisory firm with 7 clients and discretionary assets under management (AUM) of $150,022,768 (Form ADV from 2019-04-25). Their last reported 13F filing for Q3 2019 included $109,892,000 in managed 13F securities and a top 10 holdings concentration of 72.64%. Havens Advisors's largest holding is Celgene Corp. with shares held of 146,600. Havens Advisors has met the qualifications for inclusion in our WhaleScore system. Whalewisdom has at least 69 13F filings, and 1 13G filings

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09/30/2019

13F Sector Allocation Over Time

09/30/2019

13F Activity

  • Market Value $109.892 Million
  • Prior Market Value $142.152 Million
  • New Purchases10 stocks
  • Additional Purchases8 stocks
  • Sold out of13 stocks
  • Reduced holdings in5 stocks
  • Top 10 Holdings % 72.65 %
  • Turnover % [1]:85.19%
  • Turnover Alt % [2]: 69.25 %
  • Time Held Top20:0.90 quarters
  • Time Held Top10:0.60 quarters
  • Time Held All:1.07 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-08-14

Performance for Q2 2019: -2.32%
Performance Last 4 Quarters: -4.51%
Performance Metrics
Stdev (5-yrs): Subscription required BETA (5-yrs): Subscription required ALPHA (3-yrs): Subscription required
Max Drawdown (all-years): Subscription required Annualized Perf (3-yrs): Subscription required Batting Avg vs S&P. (3-yrs): Subscription required
Sortino (3-yrs): Subscription required Stutzer (3-yrs): Subscription required Treynor (3-yrs): Subscription required
Sterling (3-yrs): Subscription required Calmar (3-yrs): Subscription required Information Ratio (3-yrs): Subscription required
Tracking Error (3 yrs): Subscription required Stdev Down (3-yrs): Subscription required Winning Months %: Subscription required
Losing Months %: Subscription required Best 12 Months: Subscription required Worst 12 Months: Subscription required
Efficiency Ratio (3-yrs): Subscription required Sharpe: Subscription required Stdev Sectors: Subscription required
Skewness (3-yrs): Subscription required Kurtosis (3-yrs): Subscription required Upside Potential (3-yrs): Subscription required

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13F Filings Available:
  • 2019-09-30 - 13F-HR (Subscription required)
  • 2019-06-30 - 13F-HR (Subscription required)
  • 2019-03-31 - 13F-HR (Subscription required)
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
  • 2017-09-30 - 13F-HR (Subscription required)
  • 2017-06-30 - 13F-HR (Subscription required)
  • 2017-03-31 - 13F-HR (Subscription required)
  • 2016-12-31 - 13F-HR (Subscription required)
  • 2016-09-30 - 13F-HR (Subscription required)
  • 2016-06-30 - 13F-HR (Subscription required)
  • 2016-03-31 - 13F-HR (Subscription required)
  • 2015-12-31 - 13F-HR (Subscription required)
  • 2015-09-30 - 13F-HR (Subscription required)
  • 2015-06-30 - 13F-HR (Subscription required)
  • 2015-03-31 - 13F-HR (Subscription required)
  • 2014-12-31 - 13F-HR (Subscription required)
  • 2014-09-30 - 13F-HR (Subscription required)
  • 2014-06-30 - 13F-HR (Subscription required)
  • 2014-03-31 - 13F-HR (Subscription required)
  • 2013-12-31 - 13F-HR (Subscription required)
  • 2013-09-30 - 13F-HR (Subscription required)
  • 2013-06-30 - 13F-HR (Subscription required)
  • 2013-03-31 - 13F-HR/A (Subscription required)
  • 2013-03-31 - 13F-HR (Subscription required)
  • 2012-12-31 - 13F-HR (Subscription required)
  • 2012-09-30 - 13F-HR (Subscription required)
  • 2012-06-30 - 13F-HR (Subscription required)
  • 2012-03-31 - 13F-HR (Subscription required)
  • 2011-12-31 - 13F-HR (Subscription required)
  • 2011-09-30 - 13F-HR (Subscription required)
  • 2011-06-30 - 13F-HR (Subscription required)
  • 2011-03-31 - 13F-HR (Subscription required)
  • 2010-12-31 - 13F-HR (Subscription required)
  • 2010-09-30 - 13F-HR (Subscription required)
  • 2010-06-30 - 13F-HR (Subscription required)
  • 2010-03-31 - 13F-HR (Subscription required)
  • 2009-12-31 - 13F-HR (Subscription required)
  • 2009-09-30 - 13F-HR (Subscription required)
  • 2009-06-30 - 13F-HR (Subscription required)
  • 2009-03-31 - 13F-HR (Subscription required)
  • 2008-12-31 - 13F-HR (Subscription required)
  • 2008-09-30 - 13F-HR (Subscription required)
  • 2008-06-30 - 13F-HR (Subscription required)
  • 2008-03-31 - 13F-HR (Subscription required)
  • 2007-12-31 - 13F-HR/A (Subscription required)
  • 2007-12-31 - 13F-HR (Subscription required)
  • 2007-09-30 - 13F-HR (Subscription required)
  • 2007-06-30 - 13F-HR (Subscription required)
  • 2007-03-31 - 13F-HR (Subscription required)
  • 2006-12-31 - 13F-HR/A (Subscription required)
  • 2006-12-31 - 13F-HR (Subscription required)
  • 2006-09-30 - 13F-HR (Subscription required)
  • 2006-06-30 - 13F-HR (Subscription required)
  • 2006-03-31 - 13F-HR (Subscription required)
  • 2005-12-31 - 13F-HR (Subscription required)
  • 2005-09-30 - 13F-HR (Subscription required)
  • 2005-06-30 - 13F-HR (Subscription required)
  • 2005-03-31 - 13F-HR (Subscription required)
  • 2004-12-31 - 13F-HR (Subscription required)
  • 2004-09-30 - 13F-HR (Subscription required)
  • 2004-06-30 - 13F-HR/A (Subscription required)
  • 2004-06-30 - 13F-HR (Subscription required)
  • 2004-03-31 - 13F-HR (Subscription required)
  • 2003-12-31 - 13F-HR/A (Subscription required)
  • 2003-12-31 - 13F-HR (Subscription required)

View Last Form Adv Compilation Report on Record

HAVENS ADVISORS
Classified as Hedge Fund
600 LEXINGTON AVENUE 25TH FLOOR
NEW YORK NY    10022
Country: United States

Business Phone: 212-355-0050
Fax: 212-355-0599
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 6
Other Business Activities: commodity pool operator or commodity trading advisor
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 128,022,000
Total Number of Clients: 7
Amount of client funds and securities by related persons: 0
Total Number of clients from related persons: 0
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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HAVENS ADVISORS LLC

ownership team - last updated 2019-04-25
Name Title Start Date Direct/Indirect % Ownership
GLENN, MARLA CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2009-02-01
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER OF REGISTRANT direct 2009-02-01
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER OF REGISTRANT direct 2009-02-01
HAVENSHASTY, NANCY, ELIZABETH MANAGING MEMBER 10/01/1995 Direct 75% or more
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC MANAGING MEMBER OF REGISTRANT direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER OF RELYING ADVISER direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER direct 1995-10-01 2011-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HAVENS ENHANCED MASTER FUND, LTD. Cayman Islands 805-5020762913 Hedge Fund 85,631,740 1,000,000 Master Fund
HAVENS MASTER FUND, LTD. Cayman Islands 805-1674248359 Hedge Fund 42,389,990 500,000 Master Fund

HAVENS ADVISORS LLC

ownership team - last updated 2019-03-25
Name Title Start Date Direct/Indirect % Ownership
HAVENSHASTY, NANCY, ELIZABETH MANAGING MEMBER 10/01/1995 Direct 75% or more
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC MANAGING MEMBER OF REGISTRANT direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER OF RELYING ADVISER direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER direct 1995-10-01 2011-03-31
GLENN, MARLA CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2009-02-01
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER OF REGISTRANT direct 2009-02-01
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER OF REGISTRANT direct 2009-02-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HAVENS ENHANCED MASTER FUND, LTD. Cayman Islands 805-5020762913 Hedge Fund 85,631,740 1,000,000 Master Fund
HAVENS MASTER FUND, LTD. Cayman Islands 805-1674248359 Hedge Fund 42,389,990 500,000 Master Fund

HAVENS ADVISORS LLC

ownership team - last updated 2017-03-22
Name Title Start Date Direct/Indirect % Ownership
HAVENSHASTY, NANCY, ELIZABETH MANAGING MEMBER OF REGISTRANT 10/01/1995 Direct 75% or more
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC MANAGING MEMBER OF REGISTRANT direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER OF RELYING ADVISER direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER direct 1995-10-01 2011-03-31
GLENN, MARLA CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER OF REGISTRANT 02/01/2009 Direct less than 5%
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER direct 2009-02-01
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER OF REGISTRANT direct 2009-02-01
HAVENS ADVISORS LLC CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER OF REGISTRANT direct 2009-02-01
HAVENSHASTY, NANCY, ELIZABETH MANAGING MEMBER OF RELYING ADVISER 10/01/1995 Direct 75% or more
Fund Name Position direct/indirect start date end date
HAVENS ADVISORS LLC MANAGING MEMBER OF REGISTRANT direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER OF RELYING ADVISER direct 1995-10-01
HAVENS ADVISORS LLC MANAGING MEMBER direct 1995-10-01 2011-03-31

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
HAVENS ENHANCED MASTER FUND, LTD. Cayman Islands 805-5020762913 Hedge Fund 97,034,956 1,000,000 Master Fund
HAVENS MASTER FUND, LTD. Cayman Islands 805-1674248359 Hedge Fund 49,050,855 500,000 Master Fund

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