HAVENS ADVISORS
HAVENS ADVISORS LLC Legal Name
Adviser information for HAVENS ADVISORS last updated from Form ADV on February 22nd, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 0 |
|---|---|
| Investment Advisory/Research | 0 |
| 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 | No |
|---|
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 | 0 | $0 |
| 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 | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 0 |
Services
| Advisory Services | – |
|---|---|
| Compensation | – |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
60 EAST 42ND STREET40TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 8:00 AM - 6:00 PM
Tel: 212-355-0050, Fax: None
Websites
Chief Compliance Officer
MARLA GLENN
CHIEF FINANCIAL OFFICER
60 EAST 42ND STREET
40TH FLOOR
NEW YORK
NY
United States
Tel:
212-355-1987
M*****@*****************M
(Full email address available in API data)
Industry Affiliates
| HAVENS ASSOCIATES, L.L.C. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| HAVENS ENHANCED MASTER FUND, LTD. | Hedge Fund | $34.5M | $1.0M | 17 |
| HAVENS MASTER FUND, LTD. | Hedge Fund | $16.1M | $1.0M | 19 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| HAVENSHASTY, NANCY, ELIZABETH | Individual | – | MANAGING MEMBER | 10/1995 | > 75% |
| GLENN, MARLA, NMN | Individual | – | CHIEF FINANCIAL OFFICER AND CHIEF COMPLIANCE OFFICER | 02/2009 | < 5% |
| HAVENSHASTY, NANCY, ELIZABETH | Individual | – | MANAGING MEMBER OF HAVENS ASSOCIATES, L.L.C. | 10/1995 | > 75% |
No. Employees, Historic
Holdings
From latest 13F, filed January 25th, 2023 for period ending December 31st, 2022
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 1LIFE HEALTHCARE INC | COM | 836K | 50K | – |
| AEROJET ROCKETDYNE HLDGS INC | COM | 2M | 35K | – |
| ALTRA INDL MOTION CORP | COM | 2M | 27K | – |
| ARES ACQUISITION CORPORATION | UNIT 99/99/9999 | 203K | 20K | – |
| COUPA SOFTWARE INC | COM | 2M | 22K | – |
| COWEN INC | CL A NEW | 3M | 90K | – |
| EVO PMTS INC | CL A COM | 128K | 4K | – |
| FIRST HORIZON CORPORATION | COM | 3M | 106K | – |
| FORGEROCK INC | CL A | 228K | 10K | – |
| FOX CORP | CL B COM | 996K | 35K | – |
| HORIZON THERAPEUTICS PUB L | SHS | 2M | 21K | – |
| IAA INC | COM | 884K | 22K | – |
| KNOWBE4 INC | CL A | 694K | 28K | – |
| LEAD EDGE GROWTH OPRTUNTS LT | UNIT 04/01/2026 | 129K | 13K | – |
| MAXAR TECHNOLOGIES INC | COM | 776K | 15K | – |
| MERIDIAN BIOSCIENCE INC | COM | 890K | 27K | – |
| POSHMARK INC | COM CL A | 2M | 109K | – |
| RENTOKIL INITIAL PLC | SPONSORED ADR | 2M | 81K | – |
| ROGERS CORP | COM | 477K | 4K | – |
| SEASPINE HLDGS CORP | COM | 709K | 85K | – |
| SIERRA WIRELESS INC | COM | 2M | 73K | – |
| SIGNIFY HEALTH INC | CL A COM | 831K | 29K | – |
| SIRIUSPOINT LTD | COM | 966K | 164K | – |
| SOUTH JERSEY INDS INC | COM | 2M | 51K | – |
| SPIRIT AIRLS INC | COM | 343K | 18K | – |
| STORE CAP CORP | COM | 1M | 39K | – |
| SUSTAINABLE DEVELP ACQU I CO | UNIT 02/04/2026 | 201K | 20K | – |
| TOWER SEMICONDUCTOR LTD | SHS NEW | 3M | 60K | – |
| UMPQUA HLDGS CORP | COM | 3M | 151K | – |
| VMWARE INC | CL A COM | 1M | 10K | – |
| WARBURG PINCUS CAPITAL CORP I | UNIT 99/99/9999 | 141K | 14K | – |