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