0001140361-11-053267.txt : 20111114
0001140361-11-053267.hdr.sgml : 20111111
20111114145708
ACCESSION NUMBER: 0001140361-11-053267
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110930
FILED AS OF DATE: 20111114
DATE AS OF CHANGE: 20111114
EFFECTIVENESS DATE: 20111114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Palo Alto Investors, LLC
CENTRAL INDEX KEY: 0001306923
IRS NUMBER: 770558164
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11013
FILM NUMBER: 111201393
BUSINESS ADDRESS:
STREET 1: 470 UNIVERSITY AVE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
BUSINESS PHONE: 650-325-0772
MAIL ADDRESS:
STREET 1: 470 UNIVERSITY AVE
CITY: PALO ALTO
STATE: CA
ZIP: 94301
13F-HR
1
form13fhr.txt
NONE
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Form 13F
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: 9/30/2011
Check here if Amendment []; Amendment Number:
-------
This Amendment (Check only one.): [] is a restatement.
[] adds new holdings entries.
Institutional Investment Manager Filing this Report:
Name: Palo Alto Investors, LLC
Address: 470 University Avenue
Palo Alto, CA 94301
Form 13F File Number: 28-10266
The institutional investment manager filing this report and the person by whom
it is signed hereby represent that the person signing the report is authorized
to submit it, that all information contained herein is true, correct and
complete, and that it is understood that all required items, statements,
schedules, lists, and tables, are considered integral parts of this submission.
Persons Signing this Report on Behalf of Reporting Manager:
Name: Mark Shamia
Title: Chief Operating Officer
Phone: (650) 325-0772
Signature, Place, and Date of Signing:
/s/ Mark Shamia Palo Alto, CA 11/10/2011
--------------------------------- --------------------------------- ----------
[Signature] [City, State] [Date]
Report Type (Check only one):
[X] 13F HOLDINGS REPORT. (Check here if all holdings of this reporting
manager are reported in this report.)
[ ] 13F NOTICE. (Check here if no holdings reported are in this report,
and all holdings are reported by other reporting manager(s).)
[ ] 13F COMBINATION REPORT. (Check here if a portion of the holdings for
this reporting manager are reported in this report and a portion are
reported by other reporting manager(s).)
List of Other Managers Reporting for this Manager:
Form 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 0
Form 13F Information Table Entry Total: 41
Form 13F Information Table Value Total: $ 774,290
--------------
(In Thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and 13F file number(s) of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
NONE
FORM 13F INFORMATION TABLE
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
----------------------------------- -------------- --------- -------- ------------------- ---------- -------- ----------------------
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGERS SOLE SHARED NONE
----------------------------------- -------------- --------- -------- ---------- --- ---- ---------- -------- ---------- ------ ----
AMAG Pharmaceuticals, Inc. COM 00163U106 32,035 2,170,420 2,170,420 0 0
Abiomed Inc. COM 003654100 16,840 1,526,715 1,526,715 0 0
Aegerion Pharmaceuticals Inc. COM 00767E102 2,433 192,040 192,040 0 0
Alimera Sciences, Inc. COM 016259103 23,728 2,966,003 2,966,003 0 0
Amicus Therapeutics, Inc. COM 03152W109 22,549 5,872,133 5,872,133 0 0
ArthroCare Corp. COM 043136100 30,971 1,076,508 1,076,508 0 0
Auxilium Pharmaceuticals, Inc. COM 05334D107 40,982 2,733,946 2,733,946 0 0
Biomarin Pharmaceuticals, Inc COM 09061G101 39,611 1,242,887 1,242,887 0 0
BroadVision, Inc. COM 111412706 2,472 283,761 283,761 0 0
Celgene Corp. COM 151020104 105 1,690 1,690 0 0
Contango Oil & Gas Company COM 21075n204 7,386 135,000 135,000 0 0
Cubist Pharmaceuticals, Inc. COM 229678107 37,858 1,071,871 1,071,871 0 0
Cyberonics, Inc. COM 23251P102 81,436 2,877,581 2,877,581 0 0
Cytokinetics Inc. COM 23282W100 835 714,011 714,011 0 0
EnerNoc, Inc. COM 292764107 7,156 795,100 795,100 0 0
Energy Recovery Inc. COM 29270J100 5,544 1,847,908 1,847,908 0 0
First Solar Inc. COM 336433107 1,264 20,000 20,000 0 0
Insmed, Inc. COM 457669307 1,353 266,299 266,299 0 0
Intermune Inc. COM 45884X103 10,663 527,885 527,885 0 0
Medicis Pharmaceutical Corp. COM 584690309 46,384 1,271,500 1,271,500 0 0
Medivation, Inc. COM 58501N101 9,689 570,641 570,641 0 0
Momenta Pharmaceuticals, Inc. COM 60877T100 30,105 2,617,788 2,617,788 0 0
Northern Oil and Gas Inc. COM 665531109 13,767 710,000 710,000 0 0
NuVasive Inc. COM 670704105 2,774 162,585 162,585 0 0
NxStage Medical, Inc. COM 67072V103 3,826 183,429 183,429 0 0
Onyx Pharmaceuticals, Inc. COM 683399109 41,505 1,383,045 1,383,045 0 0
Protalix Biotherapeutics Inc. COM 74365A101 655 142,393 142,393 0 0
QLT Inc. COM 2713599 10,420 1,425,410 1,425,410 0 0
Questcor Pharmaceuticals, Inc. COM 74835Y101 45,310 1,662,149 1,662,149 0 0
Rigel Pharmaceuticals Inc. COM 766559603 6,219 844,947 844,947 0 0
STAAR Surgical Company COM 852312305 26,748 3,429,215 3,429,215 0 0
Savient Pharmaceuticals, Inc. COM 80517Q100 35,694 8,705,802 8,705,802 0 0
Sequenom Inc. COM 817337405 12,274 2,406,610 2,406,610 0 0
Sonde Resources Corp. COM 835426107 5,082 2,214,920 2,214,920 0 0
Theratechnologies Inc. COM 88338H100 3,156 1,062,314 1,062,314 0 0
United Therapeutics Corp COM 91307C102 19,258 513,676 513,676 0 0
Vanda Pharmaceutical Inc. COM 921659108 6,077 1,227,678 1,227,678 0 0
ViroPharma Incorporated COM 928241108 81,801 4,526,876 4,526,876 0 0
pSivida Corporation COM 74440J101 3,504 820,555 820,555 0 0
Evergreen Solar, Inc. 4% Due NOTE 30033RAC2 606 32,294,000 32,294,000 0 0
7/15/2013
Savient Pharmaceuticals, Inc. NOTE 80517QAA8 4,215 6,000,000 6,000,000 0 0
4.75% Due 2/1/2018