HARVEST MANAGEMENT, L.L.C.

Advisory Business

Type of Organization	Limited Liability Company
Fiscal Year End	DECEMBER
Legal Location	Delaware, United States

Employees

Total Number of Employees	7
Investment Advisory/Research	5
Registered Broker-Dealer Representatives	0
Registered State Investment Advisers	0
Licensed Agents of an Insurance Company	0
No. of Firms/People that Solicit Clients	0

RAUM

Provides Management of Securities Portfolios	Yes

Type	Accounts	RAUM
Discretionary	4	$396.2M
Non-Discretionary	0	$0
Total	4	$396.2M

Clients

Type	Number	RAUM
Individuals	0	$0
HNW Individuals	0	$0
Banking or thrift institutions	0	$0
Investment companies	0	$0
Business development companies	0	$0
Pooled investment vehicles	2	$74.6M
Pension and profit sharing plans	0	$0
Charitable organizations	0	$0
State or municipal gov entities	0	$0
Other investment advisers	0	$0
Insurance companies	0	$0
Sovereign wealth funds and foreign official institutions	0	$0
Corporations or other businesses	0	$0
Other	2	$321.6M

Type	Number
No. of Non-RAUM Clients	0
No. of Non-U.S. Clients	81
No. of Financial Planning Clients	0

Services

Advisory Services	Portfolio management for pooled investment vehicles
Compensation	% of AUMFixed feesPerformance-based fees
Other Business Activities	Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number	801-61814
SEC ERA File Number	801-61814
SEC CIK Numbers	1140315
SEC CRD Numbers	124477
Legal Entity Identifier	549300F888NMXNH3YC16

Principal Office

515 MADISON AVENUE
#9121
NEW YORK
NY
United States

Chief Compliance Officer

No. Employees, Historic

RAUM, Historic

No. Clients, Historic