-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, RZet9KKAr/75JWheGDAf/C9EdYi60AEvM5WvjgMRSJ23OacyKxupt/SSq2919tjy L744IpTrDA/esqEso8M/0g== 0000898432-08-001157.txt : 20081113 0000898432-08-001157.hdr.sgml : 20081113 20081113140535 ACCESSION NUMBER: 0000898432-08-001157 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080930 FILED AS OF DATE: 20081113 DATE AS OF CHANGE: 20081113 EFFECTIVENESS DATE: 20081113 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Knoll Capital Management, LP CENTRAL INDEX KEY: 0001325083 IRS NUMBER: 133476926 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11424 FILM NUMBER: 081184337 BUSINESS ADDRESS: STREET 1: 666 FIFTH AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10103 BUSINESS PHONE: 212-808-7474 MAIL ADDRESS: STREET 1: 666 FIFTH AVENUE STREET 2: 37TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10103 13F-HR 1 knoll_13f.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Form 13F Form 13F COVER PAGE Report for the Calendar Year or Quarter Ended September 30, 2008. 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: Knoll Capital Management, L.P. KOM Capital Management, LLC Address: 666 Fifth Avenue 37th Floor New York, New York 10103 Form 13F File Numbers: 1) Knoll Capital Management, L.P.: 028-11424 2) KOM Capital Management, LLC: 028-11425 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 form. Person Signing this Report on Behalf of Reporting Manager: Name: Patrick G. O'Neill Title: Chief Operating Officer Phone: (212) 808-7474 Signature, Place, and Date of Signing: /s/ Patrick G. O'Neill, New York, New York, November 13, 2008. 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 is reported in this report and a portion is reported by other reporting manager(s).) List of Other Managers Reporting for this Manager: NONE FORM 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 23 Data Records Form 13F Information Table Value Total: $195,679 -------- (x1000) List of Other Included Managers: Form 13F File Number Name 028-11425 KOM Capital Management, LLC - ----------------------------------------------------------------------- Column 1 Column 2 Column 3 Column 4 Column 5 Column 6 Column 7 Column 8 - ---------------------------------------------------------------------------------------------------------------------------------- Name of Issuer Title of Class CUSIP Value SHRs SH/PR PUT/ Inv. Other Voting (x1000) or PRN CALL Discr. Mngrs. Authority Amt. Sole Shared None - ---------------------------------------------------------------------------------------------------------------------------------- Alfacell Corp. COM 0154041106 2475 3694355 SH SOLE 3694355 - ---------------------------------------------------------------------------------------------------------------------------------- A-Power Energy Generation Sys COM G04136100 1817 202833 SH SOLE 202833 - ---------------------------------------------------------------------------------------------------------------------------------- ATP Oil & Gas Corporation COM 00208J108 21588 1212115 SH SOLE 1212115 - ---------------------------------------------------------------------------------------------------------------------------------- Cano Petroleum Inc COM 137801106 1737 751828 SH SOLE 751828 - ---------------------------------------------------------------------------------------------------------------------------------- Combimatrix Corp. COM 20009T105 1149 77000 SH SOLE 77000 - ---------------------------------------------------------------------------------------------------------------------------------- Delta Petroleum Corp. New COM 247907207 7807 574882 SH SOLE 574882 - ---------------------------------------------------------------------------------------------------------------------------------- First Marblehead Corp. COM 320771108 1170 470000 SH SOLE 470000 - ---------------------------------------------------------------------------------------------------------------------------------- Flamel Technologies SA SPON ADR 338488109 17555 2398278 SH SOLE 2398278 - ---------------------------------------------------------------------------------------------------------------------------------- Fortress Intl GRP Inc. *W Exp 07/12/2009 34958D110 4 200000 SH SOLE 200000 - ---------------------------------------------------------------------------------------------------------------------------------- Hercules Offshore Inc COM 427093109 2069 136460 SH SOLE 136460 - ---------------------------------------------------------------------------------------------------------------------------------- Hythiam Inc COM 44919F104 5594 4336056 SH SOLE 4336056 - ---------------------------------------------------------------------------------------------------------------------------------- Medivation Inc. COM 58501N101 80524 3043241 SH SOLE 3043241 - ---------------------------------------------------------------------------------------------------------------------------------- Minrad International Inc. COM 60443P103 220 200000 SH SOLE 200000 - ---------------------------------------------------------------------------------------------------------------------------------- New Gold Inc. COM 644535106 1857 400000 SH SOLE 400000 - ---------------------------------------------------------------------------------------------------------------------------------- Novelos Therapeutics Inc.(1) COM 6700M100 6270 1725412 SH SOLE 1725412 - ---------------------------------------------------------------------------------------------------------------------------------- Parkervision Inc. COM 701354102 18364 1836399 SH SOLE 1836399 - ---------------------------------------------------------------------------------------------------------------------------------- Rodman & Renshaw Cap GP Inc. COM 77487R100 1455 447756 SH SOLE 447756 - ---------------------------------------------------------------------------------------------------------------------------------- Silver Wheaton Corp. COM 828336107 245 30000 SH SOLE 30000 - ---------------------------------------------------------------------------------------------------------------------------------- Star Scientific Inc. COM 85517P101 6437 1808127 SH SOLE 1808127 - ---------------------------------------------------------------------------------------------------------------------------------- Sulphco Inc. COM 865378103 9194 4574340 SH SOLE 4574340 - ---------------------------------------------------------------------------------------------------------------------------------- Trina Solar LTD Sponsored ADR SPON ADR 89628E104 5728 249575 SH SOLE 249575 - ---------------------------------------------------------------------------------------------------------------------------------- Wellcare Health Plans Inc COM 94946T106 1384 38450 SH SOLE 38450 - ---------------------------------------------------------------------------------------------------------------------------------- XCorporeal Inc. COM 98400P104 1036 142858 SH SOLE 142858 - ----------------------------------------------------------------------------------------------------------------------------------
- ----------------------------------------------- (1) Securities of Novelos Therapeutics Inc. are not listed on the U.S. Securities and Exchange Commission's "Official List of Section 13F Securities" as a 13(f) Security as defined in Section 13(f) of the Securities Exchange Act of 1934. However, Knoll Capital Management, L.P. and KOM Capital Management, LLC have chosen to include these securities for informational purposes. -----END PRIVACY-ENHANCED MESSAGE-----