0000919574-11-006235.txt : 20111114
0000919574-11-006235.hdr.sgml : 20111111
20111114133905
ACCESSION NUMBER: 0000919574-11-006235
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: BAM Capital, LLC
CENTRAL INDEX KEY: 0001355197
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-11852
FILM NUMBER: 111200559
BUSINESS ADDRESS:
STREET 1: 237 PARK AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
BUSINESS PHONE: 212-692-6340
MAIL ADDRESS:
STREET 1: 237 PARK AVENUE, 9TH FLOOR
CITY: NEW YORK
STATE: NY
ZIP: 10017
13F-HR
1
d1241306_13f-hr.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, 2011
Check here if Amendment: |_|; Amendment Number: ____
This Amendment (Check only one): |_| is a restatement
|_| adds new holding entries.
Institutional Manager Filing this Report:
Name: BAM Capital, LLC(1)
Address: 10 Mountainview Road
Suite 205
Upper Saddle River, NJ 07458
13F File Number: 028-11852
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: Hal Mintz
Title: Managing Member
Phone: (646) 307-4500
Signature, Place and Date of Signing:
/s/ Hal Mintz Upper Saddle River, NJ November 14, 2011
----------------------- ------------------------- --------------------
[Signature] [City, State] [Date]
--------
(1) On October 13, 2011, BAM Capital, LLC ("BAM Capital") filed its
Certificate of Cancellation with the Delaware Department of State
(Division of Corporations). Accordingly, BAM Capital no longer has
investment discretion of over $100 million in "Section 13(f) securities",
as defined by Rule 13f-1(c) of the Securities Exchange Act of 1934, as
amended. BAM Capital will therefore not make any subsequent 13F filings.
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 managers(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: 2
Form 13F Information Table Entry Total: 47
Form 13F Information Table Value Total: $97,380
(In Thousands)
List of Other Included Managers:
No. Form 13F File Number Name
1 028-13502 Hal Mintz
2 028-13504 BAM Management, LLC
--- -------------------- -------------------
FORM 13F INFORMATION TABLE
September 30, 2011
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8
VALUE SHS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE
ACADIA PHARMACEUTICALS INC COM 004225108 164 152,180 SH DEFINED 1,2 152,180
ACORDA THERAPEUTICS INC COM 00484M106 60 3,000 SH DEFINED 1,2 3,000
ACORDA THERAPEUTICS INC COM 00484M106 1,128 56,500 CALL DEFINED 1,2 56,500
AFFYMAX, INC COM 00826A109 268 59,857 SH DEFINED 1,2 59,857
AGENUS INC COM 00847G101 129 273,492 SH DEFINED 1,2 273,492
BARCLAYS BK PLC IPTH S&P VIX NEW 06740C261 4,286 80,300 PUT DEFINED 1,2 80,300
BIOGEN IDEC INC COM 09062X103 8,663 93,000 DEFINED 1,2 93,000
BIOSANTE PHARMACEUTICALS INC COM 09065V203 34 15,000 SH DEFINED 1,2 15,000
BIOSANTE PHARMACEUTICALS INC COM 09065V203 34 15,000 PUT DEFINED 1,2 15,000
DELCATH SYS INC COM 24661P104 97 28,900 CALL DEFINED 1,2 28,900
DELCATH SYS INC COM 24661P105 1,839 550,500 PUT DEFINED 1,2 550,500
DELCATH SYS INC COM 24661P106 1,710 511,901 SH DEFINED 1,2 511,901
DENDREON CORP COM 24823Q107 386 42,900 CALL DEFINED 1,2 42,900
ELAN PLC ADR 284131208 2,429 230,700 CALL DEFINED 1,2 230,700
LILLY ELI & CO COM 532457108 285 7,700 CALL DEFINED 1,2 7,700
GENVEC INC COM NEW 37246C307 100 35,000 SH DEFINED 1,2 35,000
GTX INC DEL COM 40052B108 52 15,415 SH DEFINED 1,2 15,415
INHIBITEX INC COM 45719T103 198 80,329 SH DEFINED 1,2 80,329
INTERDIGITAL INC COM 45867G101 521 11,200 CALL DEFINED 1,2 11,200
ISHARES TR RUSSELL 2000 464287655 1,285 20,000 SH DEFINED 1,2 20,000
ISHARES TR RUSSELL 2000 464287655 7,710 120,000 PUT DEFINED 1,2 120,000
KERYX BIOPHARMACEUTICALS INC COM 492515101 1,489 496,200 CALL DEFINED 1,2 496,200
KERYX BIOPHARMACEUTICALS INC COM 492515101 2,378 792,600 PUT DEFINED 1,2 792,600
KERYX BIOPHARMACEUTICALS INC COM 492515101 1,160 386,611 SH DEFINED 1,2 386,611
MEDIVATION INC COM 58501N101 526 31,000 CALL DEFINED 1,2 31,000
MEDIVATION INC COM 58501N101 2,545 149,900 PUT DEFINED 1,2 149,900
MEDIVATION INC COM 58501N101 2,240 131,913 SH DEFINED 1,2 131,913
NETFLIX INC COM 64110L106 5,664 50,000 CALL DEFINED 1,2 50,000
NPS PHARMACEUTICALS INC COM 62936P103 235 36,169 SH DEFINED 1,2 36,169
PHARMASSET INC COM 71715N106 10,642 129,200 CALL DEFINED 1,2 129,200
PHARMASSET INC COM 71715N106 758 9,200 PUT DEFINED 1,2 9,200
RESEARCH IN MOTION LTD COM 760975102 1,456 71,700 CALL DEFINED 1,2 71,700
RESEARCH IN MOTION LTD COM 760975102 609 30,000 SH DEFINED 1,2 30,000
SPDR S&P 500 ETF TR TR UNIT 78462F103 19,805 175,000 PUT DEFINED 1,2 175,000
SPDR S&P 500 ETF TR TR UNIT 78462F103 3,961 35,000 SH DEFINED 1,2 35,000
TARGACEPT INC COM 87611R306 3,852 256,800 CALL DEFINED 1,2 256,800
TARGACEPT INC COM 87611R306 1,541 102,700 PUT DEFINED 1,2 102,700
TARGACEPT INC COM 87611R306 804 53,594 SH DEFINED 1,2 53,594
UNITED THERAPEUTICS CORP DEL COM 91307C102 367 9,800 PUT DEFINED 1,2 9,800
UNITED THERAPEUTICS CORP DEL COM 91307C102 416 11,103 SH DEFINED 1,2 11,103
VENTRUS BIOSCIENCES INC COM 922822101 236 26,164 SH DEFINED 1,2 26,164
VIVUS INC COM 928551100 391 48,500 CALL DEFINED 1,2 48,500
VIVUS INC COM 928551100 3,021 374,300 PUT DEFINED 1,2 374,300
VIVUS INC COM 928551100 962 119,187 SH DEFINED 1,2 119,187
XENOPORT INC COM 98411C100 58 9,900 PUT DEFINED 1,2 9,900
XENOPORT INC COM 98411C100 61 10,271 SH DEFINED 1,2 10,271
XENOPORT INC COM 98411C100 828 140,400 CALL DEFINED 1,2 140,400
SK 27527 0001 1241306