Authorized Person

0001053906-20-000012.txt : 20201113 0001053906-20-000012.hdr.sgml : 20201113 20201113134448 ACCESSION NUMBER: 0001053906-20-000012 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201113 DATE AS OF CHANGE: 20201113 EFFECTIVENESS DATE: 20201113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Artal Group S.A. CENTRAL INDEX KEY: 0001053906 IRS NUMBER: 000000000 STATE OF INCORPORATION: N4 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15027 FILM NUMBER: 201310575 BUSINESS ADDRESS: STREET 1: VALLEY PARK STREET 2: 44, RUE DE LA VALLEE CITY: LUXEMBOURG STATE: N4 ZIP: L-2661 BUSINESS PHONE: (352) 22.42.59-1 MAIL ADDRESS: STREET 1: VALLEY PARK STREET 2: 44, RUE DE LA VALLEE CITY: LUXEMBOURG STATE: N4 ZIP: L-2661 FORMER COMPANY: FORMER CONFORMED NAME: ARTAL GROUP S A DATE OF NAME CHANGE: 19980128 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001053906 XXXXXXXX 09-30-2020 09-30-2020 false Artal Group S.A.

VALLEY PARK 44, RUE DE LA VALLEE LUXEMBOURG N4 L-2661

13F HOLDINGS REPORT 028-15027 Y The Reporting Manager does not have formal investment discretion with respect to all of the securities in the indicated rows in the Form 13F Information Table, but may be deemed to be part of a group exercising such investment discretion. Such group, if any, would include the managers identified in the column captioned "Other Managers" relating to a given issuer. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g), or 16(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for any other purpose, that the Reporting Manager or any Other Manager exercises investment discretion or is a member of such a group with respect to such securities. Reference is made to reports filed under Sections 13(d), 13(g), and 16(a) for additional information with respect to such beneficial ownership and/or pecuniary interest of the Reporting Manager, any Other Manager and related entities. Anne Goffard Authorized Person 352224259-1 /s/ Anne Goffard Luxembourg N4 11-13-2020 7 137 4119258 1 0001460840 028-15028 Stichting Administratiekantoor Westend 2 0001283968 028-15029 Westend S.A. 3 0001522131 028-15031 Artal International Management S.A. 4 0001218180 028-15033 Artal International S.C.A. 5 0001766952 028-19088 Artal Treasury Ltd 6 0001340096 028-11522 Invus Public Equities Advisors, LLC 7 0001053905 028-19506 Artal Luxembourg S. A. INFORMATION TABLE 2 infotable.xml 111 INC ADS 68247Q102 4030 650000 SH DFND 1,2,3,4,5,6 650000 0 0 ABBVIE INC COM 00287Y109 43795 500000 SH Call DFND 1,2,3,4,5,6 500000 0 0 AC IMMUNE SA SHS H00263105 4880 1000000 SH DFND 1,2,3,4,5,6 1000000 0 0 ACCELERATE DIAGNOSTICS INC COM 00430H102 4557 427500 SH DFND 1,2,3,4,5,6 427500 0 0 ACCELERON PHARMA INC COM 00434H108 157542 1400000 SH DFND 1,2,3,4,5,6 1400000 0 0 ADAPTIVE BIOTECHNOLOGIES COR COM 00650F109 4863 100000 SH DFND 1,2,3,4,5,6 100000 0 0 ADC THERAPEUTICS SA SHS H0036K147 3134 95000 SH DFND 1,2,3,4,5,6 95000 0 0 ADICET BIO INC COM 007002108 1538 129335 SH DFND 1,2,3,4,5,6 129335 0 0 ADURO BIOTECH INC COM 00739L101 2193 902500 SH DFND 1,2,3,4,5,6 902500 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 18540 1800000 SH DFND 1,2,3,4,5,6 1800000 0 0 AEGLEA BIOTHERAPEUTICS INC COM 00773J103 7409 1045000 SH DFND 1,2,3,4,5,6 1045000 0 0 AGENUS INC COM NEW 00847G705 27600 6900000 SH DFND 1,2,3,4,5,6 6900000 0 0 ALBIREO PHARMA INC COM 01345P106 28411 851405 SH DFND 1,2,3,4,5,6 851405 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 124942 425000 SH DFND 1,2,3,4,5,6 425000 0 0 ALLOVIR INC COM 019818103 63893 2323371 SH DFND 1,2,3,4,5,6 2323371 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 116480 800000 SH DFND 1,2,3,4,5,6 800000 0 0 ALPINE IMMUNE SCIENCES INC COM 02083G100 5213 593030 SH DFND 1,2,3,4,5,6 593030 0 0 ALX ONCOLOGY HLDGS INC COM 00166B105 3774 100000 SH DFND 1,2,3,4,5,6 100000 0 0 AMERICAN AIRLS GROUP INC COM 02376R102 6145 500000 SH Call DFND 1,2,3,4,5,6 500000 0 0 AMICUS THERAPEUTICS INC COM 03152W109 42360 3000000 SH DFND 1,2,3,4,5,6 3000000 0 0 AMICUS THERAPEUTICS INC COM 03152W109 14120 1000000 SH Call DFND 1,2,3,4,5,6 1000000 0 0 APPLE INC COM 037833100 23162 200000 SH Call DFND 1,2,3,4,5,6 200000 0 0 APPLIED THERAPEUTICS INC COM 03828A101 7889 380000 SH DFND 1,2,3,4,5,6 380000 0 0 APTINYX INC COM 03836N103 5077 1502035 SH DFND 1,2,3,4,5,6 1502035 0 0 ARAVIVE INC COM 03890D108 6163 1311291 SH DFND 1,2,3,4,5,6 1311291 0 0 ARGENX SE SPONSORED ADR 04016X101 85109 324200 SH DFND 1,2,3,4,5,6 324200 0 0 ATARA BIOTHERAPEUTICS INC COM 046513107 29160 2250000 SH DFND 1,2,3,4,5,6 2250000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 14730 1000000 SH DFND 1,2,3,4,5,6 1000000 0 0 AUTOLUS THERAPEUTICS PLC SPONSORED ADS 05280R100 3317 285000 SH DFND 1,2,3,4,5,6 285000 0 0 AVIDITY BIOSCIENCES INC COM 05370A108 4011 142500 SH DFND 1,2,3,4,5,6 142500 0 0 AXCELLA HEALTH INC COM 05454B105 3292 712500 SH DFND 1,2,3,4,5,6 712500 0 0 BEIGENE LTD SPONSORED ADR 07725L102 257796 900000 SH DFND 1,2,3,4,5,6 900000 0 0 BELLUS HEALTH INC NEW COM NEW 07987C204 1078 475000 SH DFND 1,2,3,4,5,6 475000 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 11412 150000 SH Call DFND 1,2,3,4,5,6 150000 0 0 BIONTECH SE SPONSORED ADS 09075V102 17308 250000 SH DFND 1,2,3,4,5,6 250000 0 0 BIONTECH SE SPONSORED ADS 09075V102 102544 1481214 SH DFND 1,2,3,4 1481214 0 0 BIO-TECHNE CORP COM 09073M104 14864 60000 SH DFND 1,2,3,4,5,6 60000 0 0 BK OF AMERICA CORP COM 060505104 48180 2000000 SH Call DFND 1,2,3,4,5,6 2000000 0 0 BLACK DIAMOND THERAPEUTICS I COM 09203E105 45995 1521517 SH DFND 1,2,3,4,5,6 1521517 0 0 BRIDGEBIO PHARMA INC COM 10806X102 15008 400000 SH DFND 1,2,3,4,5,6 400000 0 0 BRUKER CORP COM 116794108 6967 175275 SH DFND 1,2,3,4,5,6 175275 0 0 CARDIFF ONCOLOGY INC COM 14147L108 12771 900000 SH DFND 1,2,3,4,5,6 900000 0 0 CHIASMA INC COM 16706W102 1634 380000 SH DFND 1,2,3,4,5,6 380000 0 0 CIDARA THERAPEUTICS INC COM 171757107 640 224675 SH DFND 1,2,3,4,5,6 224675 0 0 CITIGROUP INC COM NEW 172967424 21555 500000 SH Call DFND 1,2,3,4,5,6 500000 0 0 CURIS INC COM NEW 231269200 1644 1404729 SH DFND 1,2,3,4,5,6 1404729 0 0 CYCLERION THERAPEUTICS INC COM 23255M105 67 11053 SH DFND 1,2,3,4 11053 0 0 CYCLERION THERAPEUTICS INC COM 23255M105 10984 1806531 SH DFND 1,2,3,4,5,6 1806531 0 0 CYTOMX THERAPEUTICS INC COM 23284F105 1188 178600 SH DFND 1,2,3,4,5,6 178600 0 0 DANAHER CORPORATION COM 235851102 16150 75000 SH DFND 1,2,3,4,5,6 75000 0 0 DECIPHERA PHARMACEUTICALS IN COM 24344T101 30780 600000 SH DFND 1,2,3,4,5,6 600000 0 0 DENALI THERAPEUTICS INC COM 24823R105 14332 400000 SH DFND 1,2,3,4,5,6 400000 0 0 DYNE THERAPEUTICS INC COM 26818M108 7470 370000 SH DFND 1,2,3,4,5,6 370000 0 0 EPIZYME INC COM 29428V104 11930 1000000 SH DFND 1,2,3,4,5,6 1000000 0 0 ESPERION THERAPEUTICS INC NE COM 29664W105 9293 250000 SH DFND 1,2,3,4,5,6 250000 0 0 EVELO BIOSCIENCES INC COM 299734103 2503 475000 SH DFND 1,2,3,4,5,6 475000 0 0 FATE THERAPEUTICS INC COM 31189P102 59955 1500000 SH DFND 1,2,3,4,5,6 1500000 0 0 FIBROGEN INC COM 31572Q808 15626 380000 SH DFND 1,2,3,4,5,6 380000 0 0 GDS HLDGS LTD SPONSORED ADS 36165L108 81830 1000000 SH DFND 1,2,3,4,5,6 1000000 0 0 GENERAL MTRS CO COM 37045V100 14795 500000 SH Call DFND 1,2,3,4,5,6 500000 0 0 GENERATION BIO CO COM 37148K100 86987 2814191 SH DFND 1,2,3,4,5,6 2814191 0 0 GOLDMAN SACHS GROUP INC COM 38141G104 175849 875000 SH Call DFND 1,2,3,4,5,6 875000 0 0 GOSSAMER BIO INC COM 38341P102 29275 2358968 SH DFND 1,2,3,4,5,6 2358968 0 0 HARPOON THERAPEUTICS INC COM 41358P106 13592 800000 SH DFND 1,2,3,4,5,6 800000 0 0 HOOKIPA PHARMA INC COM 43906K100 5678 599616 SH DFND 1,2,3,4,5,6 599616 0 0 IDEAYA BIOSCIENCES INC COM 45166A102 0 8 SH DFND 1,2,3,4,5,6 8 0 0 IGM BIOSCIENCES INC COM 449585108 50848 688910 SH DFND 1,2,3,4,5,6 688910 0 0 I MAB SPONSORED ADS 44975P103 34097 725000 SH DFND 1,2,3,4,5,6 725000 0 0 IMMUNIC INC COM 4525EP101 14856 800000 SH DFND 1,2,3,4,5,6 800000 0 0 INTELLIA THERAPEUTICS INC COM 45826J105 3777 190000 SH DFND 1,2,3,4,5,6 190000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 571795 2058000 SH Put DFND 1,2,3,4,5,6 0 0 0 IOVANCE BIOTHERAPEUTICS INC COM 462260100 13168 400000 SH DFND 1,2,3,4,5,6 400000 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 994 110532 SH DFND 1,2,3,4 110532 0 0 ITEOS THERAPEUTICS INC COM 46565G104 26990 1094047 SH DFND 1,2,3,4,5,6 1094047 0 0 JPMORGAN CHASE & CO COM 46625H100 96270 1000000 SH Call DFND 1,2,3,4,5,6 1000000 0 0 KALEIDO BIOSCIENCES INC COM 483347100 5541 500500 SH DFND 1,2,3,4,5,6 500500 0 0 KE HLDGS INC SPONSORED ADS 482497104 53331 870000 SH DFND 1,2,3,4,5,6 870000 0 0 KRYSTAL BIOTECH INC COM 501147102 10224 237500 SH DFND 1,2,3,4,5,6 237500 0 0 KURA ONCOLOGY INC COM 50127T109 16824 549100 SH DFND 1,2,3,4,5,6 549100 0 0 KYMERA THERAPEUTICS INC COM 501575104 8078 250000 SH DFND 1,2,3,4,5,6 250000 0 0 LEAP THERAPEUTICS INC COM 52187K101 5594 2825300 SH DFND 1,2,3,4,5,6 2825300 0 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 5063 3516214 SH DFND 1,2,3,4,5,6 3516214 0 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 81683 56724650 SH DFND 1,2,3,4 56724650 0 0 MEI PHARMA INC COM NEW 55279B202 2371 760000 SH DFND 1,2,3,4,5,6 760000 0 0 MERSANA THERAPEUTICS INC COM 59045L106 18620 1000000 SH DFND 1,2,3,4,5,6 1000000 0 0 MERUS N V COM N5749R100 3000 250000 SH DFND 1,2,3,4,5,6 250000 0 0 METACRINE INC COM 59101E103 13370 1309513 SH DFND 1,2,3,4,5,6 1309513 0 0 MINERVA NEUROSCIENCES INC COM 603380106 2417 760000 SH DFND 1,2,3,4,5,6 760000 0 0 MIRATI THERAPEUTICS INC COM 60468T105 83025 500000 SH DFND 1,2,3,4,5,6 500000 0 0 MODERNA INC COM 60770K107 21225 300000 SH DFND 1,2,3,4,5,6 300000 0 0 MORGAN STANLEY COM NEW 617446448 24175 500000 SH Call DFND 1,2,3,4,5,6 500000 0 0 MORPHIC HLDG INC COM 61775R105 45157 1651686 SH DFND 1,2,3,4,5,6 1651686 0 0 NOVAGOLD RES INC COM NEW 66987E206 30914 2600000 SH DFND 1,2,3,4,5,6 2600000 0 0 OCCIDENTAL PETE CORP COM 674599105 3754 375000 SH DFND 1,2,3,4,5,6 375000 0 0 ORCHARD THERAPEUTICS PLC ADS 68570P101 1445 351500 SH DFND 1,2,3,4,5,6 351500 0 0 ORIC PHARMACEUTICALS INC COM 68622P109 3564 142500 SH DFND 1,2,3,4,5,6 142500 0 0 OVID THERAPEUTICS INC COM 690469101 14350 2500000 SH DFND 1,2,3,4,5,6 2500000 0 0 PANDION THERAPEUTICS INC COM 698340106 1662 145000 SH DFND 1,2,3,4,5,6 145000 0 0 PASSAGE BIO INC COM 702712100 205 15648 SH DFND 1,2,3,4,5,6 15648 0 0 PMV PHARMACEUTICALS INC COM 69353Y103 7100 200000 SH DFND 1,2,3,4,5,6 200000 0 0 PREVAIL THERAPEUTICS INC COM 74140Y101 3082 302750 SH DFND 1,2,3,4,5,6 302750 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 5730 1196218 SH DFND 1,2,3,4,5,6 1196218 0 0 PROTAGONIST THERAPEUTICS INC COM 74366E102 2600 133000 SH DFND 1,2,3,4,5,6 133000 0 0 PROTHENA CORP PLC SHS G72800108 3511 351500 SH DFND 1,2,3,4,5,6 351500 0 0 REGENXBIO INC COM 75901B107 6118 222300 SH DFND 1,2,3,4,5,6 222300 0 0 RELAY THERAPEUTICS INC COM 75943R102 17036 400000 SH DFND 1,2,3,4,5,6 400000 0 0 REPARE THERAPEUTICS INC COM 760273102 17539 570000 SH DFND 1,2,3,4,5,6 570000 0 0 REPLIMUNE GROUP INC COM 76029N106 16114 700000 SH DFND 1,2,3,4,5,6 700000 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 771 321100 SH DFND 1,2,3,4,5,6 321100 0 0 ROYALTY PHARMA PLC SHS CLASS A G7709Q104 10518 250000 SH DFND 1,2,3,4,5,6 250000 0 0 RUBIUS THERAPEUTICS INC COM 78116T103 18932 3778913 SH DFND 1,2,3,4,5,6 3778913 0 0 SAGE THERAPEUTICS INC COM 78667J108 13587 222300 SH DFND 1,2,3,4,5,6 222300 0 0 SCHOLAR ROCK HLDG CORP COM 80706P103 44139 2495140 SH DFND 1,2,3,4,5,6 2495140 0 0 SCHRODINGER INC COM 80810D103 42638 897445 SH DFND 1,2,3,4,5,6 897445 0 0 SELECTA BIOSCIENCES INC COM 816212104 11160 4500000 SH DFND 1,2,3,4,5,6 4500000 0 0 SELECT SECTOR SPDR TR ENERGY 81369Y506 1498 50000 SH Call DFND 1,2,3,4,5,6 50000 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 38490 500000 SH Call DFND 1,2,3,4,5,6 500000 0 0 SERES THERAPEUTICS INC COM 81750R102 8493 300000 SH DFND 1,2,3,4,5,6 300000 0 0 SOLID BIOSCIENCES INC COM 83422E105 3471 1710000 SH DFND 1,2,3,4,5,6 1710000 0 0 SPERO THERAPEUTICS INC COM 84833T103 6696 600000 SH DFND 1,2,3,4,5,6 600000 0 0 SPRINGWORKS THERAPEUTICS INC COM 85205L107 13586 285000 SH DFND 1,2,3,4,5,6 285000 0 0 STOKE THERAPEUTICS INC COM 86150R107 9067 270750 SH DFND 1,2,3,4,5,6 270750 0 0 STONECO LTD COM CL A G85158106 21156 400000 SH DFND 1,2,3,4,5,6 400000 0 0 SYROS PHARMACEUTICALS INC COM 87184Q107 4115 465500 SH DFND 1,2,3,4,5,6 465500 0 0 TAYSHA GENE THERAPIES INC COM SHS 877619106 25556 1140882 SH DFND 1,2,3,4,5,6 1140882 0 0 TCR2 THERAPEUTICS INC COM 87808K106 10160 500000 SH DFND 1,2,3,4,5,6 500000 0 0 TG THERAPEUTICS INC COM 88322Q108 40140 1500000 SH DFND 1,2,3,4,5,6 1500000 0 0 TRANSLATE BIO INC COM 89374L104 19054 1400000 SH DFND 1,2,3,4,5,6 1400000 0 0 TRILLIUM THERAPEUTICS INC COM NEW 89620X506 21315 1500000 SH DFND 1,2,3,4,5,6 1500000 0 0 TRIP COM GROUP LTD ADS 89677Q107 17750 570000 SH DFND 1,2,3,4,5,6 570000 0 0 TURNING POINT THERAPEUTICS I COM 90041T108 28392 325000 SH DFND 1,2,3,4,5,6 325000 0 0 UNIQURE NV SHS N90064101 27623 750000 SH DFND 1,2,3,4,5,6 750000 0 0 VAXART INC COM NEW 92243A200 4988 750000 SH DFND 1,2,3,4,5,6 750000 0 0 WW INTL INC COM 98262P101 279621 14818300 SH DFND 1,2,3,4,7 14818300 0 0 Y-MABS THERAPEUTICS INC COM 984241109 10942 285028 SH DFND 1,2,3,4,5,6 285028 0 0 ZENTALIS PHARMACEUTICALS INC COM 98943L107 2857 87400 SH DFND 1,2,3,4,5,6 87400 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 20318 200000 SH DFND 1,2,3,4,5,6 200000 0 0