-----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, Dv0jH5r0VhudoybzK15isl5zyb0CBeUhd41hcJs9ykFI8SB0KhL6U0u6GSLatSui qBNNpsrAF13dpuZSF0W7Jg== 0001140361-10-045518.txt : 20101115 0001140361-10-045518.hdr.sgml : 20101115 20101115125146 ACCESSION NUMBER: 0001140361-10-045518 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100930 FILED AS OF DATE: 20101115 DATE AS OF CHANGE: 20101115 EFFECTIVENESS DATE: 20101115 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: 101190620 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 form13fhr.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: 9/30/2010 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: BAM Capital, LLC Address: 1 Liberty Plaza, 27th Floor New York, NY 10006 Form 13F File Number: 28-11852 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. Persons 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 New York, NY 11/15/2010 - --------------------------------- --------------------------------- ---------- [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: 3 Form 13F Information Table Entry Total: 236 Form 13F Information Table Value Total: $ 1,843,934 -------------- (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. No. Form 13F File Number Name 1 028-13503 Ross Berman - ---- -------------------- ---------------------------------------------------- 2 028-13502 Hal Mintz - ---- -------------------- ---------------------------------------------------- 3 028-13504 BAM Management, LLC - ---- -------------------- ---------------------------------------------------- Notes on Information Table: (1) Information provided in Column 2 refers in each case to the underlying instrument. (2) The value of shares provided in Column 4 refers, in the case of options, to the value of shares underlying the options. (3) Number of shares provided in Column 5 refers, in the case of options, to the number of shares underlying the options. (4) Voting authority in Column 8 refers, in the case of options, to the number of shares underlying the options. It should be noted that unexercised options, and exercised put options, confer no voting authority.
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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- ACORDA THERAPEUTICS INC COM 00484M106 2,028 61,432 SH DEFINED 1,2,3 0 61,432 0 ACORDA THERAPEUTICS INC COM 00484M106 5,263 159,400 PUT DEFINED 1,2,3 0 159,400 0 ADOBE SYS INC COM 00724F101 1,375 52,600 SH DEFINED 1,2,3 0 52,600 0 AGNICO EAGLE MINES LTD COM 008474108 8,325 117,200 CALL DEFINED 1,2,3 0 117,200 0 ALCOA INC COM 013817101 8 628 SH DEFINED 1,2,3 0 628 0 ALCOA INC COM 013817101 5,581 460,900 CALL DEFINED 1,2,3 0 460,900 0 ALCOA INC COM 013817101 5,482 452,700 PUT DEFINED 1,2,3 0 452,700 0 ALCON INC COM SHS H01301102 1,920 11,510 SH DEFINED 1,2,3 0 11,510 0 ALCON INC COM SHS H01301102 45,767 274,400 CALL DEFINED 1,2,3 0 274,400 0 ALCON INC COM SHS H01301102 13,343 80,000 PUT DEFINED 1,2,3 0 80,000 0 ALEXION PHARMACEUTICALS INC COM 015351109 5,696 88,500 CALL DEFINED 1,2,3 0 88,500 0 ALEXION PHARMACEUTICALS INC COM 015351109 8,669 134,700 PUT DEFINED 1,2,3 0 134,700 0 ALEXZA PHARMACEUTICALS INC COM 015384100 609 192,200 CALL DEFINED 1,2,3 0 192,200 0 ALEXZA PHARMACEUTICALS INC COM 015384100 231 72,900 PUT DEFINED 1,2,3 0 72,900 0 ALKERMES INC COM 01642T108 2,410 164,500 CALL DEFINED 1,2,3 0 164,500 0 ALKERMES INC COM 01642T108 993 67,800 PUT DEFINED 1,2,3 0 67,800 0 ALLOS THERAPEUTICS INC COM 019777101 81 17,100 CALL DEFINED 1,2,3 0 17,100 0 AMAG PHARMACEUTICALS INC COM 00163U106 3,750 217,900 PUT DEFINED 1,2,3 0 217,900 0 AMAG PHARMACEUTICALS INC COM 00163U106 1,847 107,338 SH DEFINED 1,2,3 0 107,338 0 AMAG PHARMACEUTICALS INC COM 00163U106 568 33,000 CALL DEFINED 1,2,3 0 33,000 0 AMGEN INC COM 031162100 67,631 1,227,200 CALL DEFINED 1,2,3 0 1,227,200 0 AMYLIN PHARMACEUTICALS INC COM 032346108 19,334 927,300 CALL DEFINED 1,2,3 0 927,300 0 AMYLIN PHARMACEUTICALS INC COM 032346108 17,614 844,800 PUT DEFINED 1,2,3 0 844,800 0 ARCHER DANIELS MIDLAND CO COM 039483102 6,256 196,000 CALL DEFINED 1,2,3 0 196,000 0 ARCHER DANIELS MIDLAND CO COM 039483102 6,384 200,000 PUT DEFINED 1,2,3 0 200,000 0 ARENA PHARMACEUTICALS INC COM 040047102 61 39,000 SH DEFINED 1,2,3 0 39,000 0 ARENA PHARMACEUTICALS INC COM 040047102 3,888 2,476,600 CALL DEFINED 1,2,3 0 2,476,600 0 ARENA PHARMACEUTICALS INC COM 040047102 770 490,500 PUT DEFINED 1,2,3 0 490,500 0 ARIAD PHARMACEUTICALS INC COM 04033A100 4,312 1,128,800 CALL DEFINED 1,2,3 0 1,128,800 0 ARQULE INC COM 04269E107 346 67,225 SH DEFINED 1,2,3 0 67,225 0 ASSURED GUARANTY LTD COM G0585R106 364 21,272 SH DEFINED 1,2,3 0 21,272 0 ASSURED GUARANTY LTD COM G0585R106 1,059 61,900 CALL DEFINED 1,2,3 0 61,900 0 ASSURED GUARANTY LTD COM G0585R106 878 51,300 PUT DEFINED 1,2,3 0 51,300 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 3,339 1,046,700 CALL DEFINED 1,2,3 0 1,046,700 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 3,030 949,900 PUT DEFINED 1,2,3 0 949,900 0 BAIDU INC SPON ADR REP A 056752108 70,921 691,100 CALL DEFINED 1,2,3 0 691,100 0 BANK OF AMERICA CORPORATION COM 060505104 4,227 322,428 SH DEFINED 1,2,3 0 322,428 0 BANK OF AMERICA CORPORATION COM 060505104 2,057 156,900 CALL DEFINED 1,2,3 0 156,900 0 BANK OF AMERICA CORPORATION COM 060505104 4,919 375,200 PUT DEFINED 1,2,3 0 375,200 0 BARRICK GOLD CORP COM 067901108 4 79 SH DEFINED 1,2,3 0 79 0 BHP BILLITON LTD SPONSORED ADR 088606108 25,181 330,000 CALL DEFINED 1,2,3 0 330,000 0 BIOCRYST PHARMACEUTICALS COM 09058V103 1,772 358,647 SH DEFINED 1,2,3 0 358,647 0 BIOCRYST PHARMACEUTICALS COM 09058V103 2,132 431,600 PUT DEFINED 1,2,3 0 431,600 0 BIODEL INC COM 09064M105 2,252 425,000 CALL DEFINED 1,2,3 0 425,000 0 BIODEL INC COM 09064M105 1,590 300,000 PUT DEFINED 1,2,3 0 300,000 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 3,321 148,600 CALL DEFINED 1,2,3 0 148,600 0 BIOMIMETIC THERAPEUTICS INC COM 09064X101 543 47,660 SH DEFINED 1,2,3 0 47,660 0 BIOMIMETIC THERAPEUTICS INC COM 09064X101 1,790 157,000 PUT DEFINED 1,2,3 0 157,000 0 BOISE INC *W EXP 06/18/201 09746Y113 38,144 5,877,368 DEFINED 1,2,3 0 5,877,368 0 BP PLC SPONSORED ADR 055622104 11,386 276,500 PUT DEFINED 1,2,3 0 276,500 0 BRISTOL MYERS SQUIBB CO COM 110122108 45,466 1,677,100 CALL DEFINED 1,2,3 0 1,677,100 0 BRISTOL MYERS SQUIBB CO COM 110122108 16,475 607,700 PUT DEFINED 1,2,3 0 607,700 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 18,130 3,093,905 SH DEFINED 1,2,3 0 3,093,905 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 16,494 2,814,700 CALL DEFINED 1,2,3 0 2,814,700 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 30,449 5,196,000 PUT DEFINED 1,2,3 0 5,196,000 0 BUNGE LIMITED COM G16962105 30,982 523,700 CALL DEFINED 1,2,3 0 523,700 0 CELL THERAPEUTICS INC COM NO PAR 150934503 272 703,112 SH DEFINED 1,2,3 0 703,112 0 CELL THERAPEUTICS INC COM NO PAR 150934503 353 911,000 PUT DEFINED 1,2,3 0 911,000 0 CHELSEA THERAPEUTICS INTL LT COM 163428105 2,187 427,100 CALL DEFINED 1,2,3 0 427,100 0 CHELSEA THERAPEUTICS INTL LT COM 163428105 133 26,000 PUT DEFINED 1,2,3 0 26,000 0
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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- CHESAPEAKE ENERGY CORP COM 165167107 2,549 112,537 SH DEFINED 1,2,3 0 112,537 0 CHESAPEAKE ENERGY CORP COM 165167107 1,230 54,300 CALL DEFINED 1,2,3 0 54,300 0 CHESAPEAKE ENERGY CORP COM 165167107 7,112 314,000 PUT DEFINED 1,2,3 0 314,000 0 CITIGROUP INC COM 172967101 3,772 967,108 SH DEFINED 1,2,3 0 967,108 0 CITIGROUP INC COM 172967101 3,888 997,000 CALL DEFINED 1,2,3 0 997,000 0 CITIGROUP INC COM 172967101 8,092 2,074,900 PUT DEFINED 1,2,3 0 2,074,900 0 CREE INC COM 225447101 4,950 91,170 SH DEFINED 1,2,3 0 91,170 0 CREE INC COM 225447101 13,844 255,000 CALL DEFINED 1,2,3 0 255,000 0 CREE INC COM 225447101 36,173 666,300 PUT DEFINED 1,2,3 0 666,300 0 CUBIST PHARMACEUTICALS INC COM 229678107 554 23,700 CALL DEFINED 1,2,3 0 23,700 0 CUBIST PHARMACEUTICALS INC COM 229678107 580 24,800 PUT DEFINED 1,2,3 0 24,800 0 DELCATH SYS INC COM 24661P104 616 85,562 SH DEFINED 1,2,3 0 85,562 0 DELCATH SYS INC COM 24661P104 2,020 280,600 PUT DEFINED 1,2,3 0 280,600 0 DELL INC COM 24702R101 188 14,500 SH DEFINED 1,2,3 0 14,500 0 DELL INC COM 24702R101 160 12,300 CALL DEFINED 1,2,3 0 12,300 0 DELL INC COM 24702R101 804 62,000 PUT DEFINED 1,2,3 0 62,000 0 DENDREON CORP COM 24823Q107 60,724 1,474,600 CALL DEFINED 1,2,3 0 1,474,600 0 DENDREON CORP COM 24823Q107 79,288 1,925,400 PUT DEFINED 1,2,3 0 1,925,400 0 DIGITAL RIV INC COM 25388B104 4,256 125,032 SH DEFINED 1,2,3 0 125,032 0 DIGITAL RIV INC COM 25388B104 4,262 125,200 CALL DEFINED 1,2,3 0 125,200 0 DIGITAL RIV INC COM 25388B104 11,356 333,600 PUT DEFINED 1,2,3 0 333,600 0 EASTMAN KODAK CO COM 277461109 457 108,800 SH DEFINED 1,2,3 0 108,800 0 EASTMAN KODAK CO COM 277461109 2,362 562,400 CALL DEFINED 1,2,3 0 562,400 0 EASTMAN KODAK CO COM 277461109 457 108,800 PUT DEFINED 1,2,3 0 108,800 0 EDWARDS LIFESCIENCES CORP COM 28176E108 14,566 217,240 SH DEFINED 1,2,3 0 217,240 0 EDWARDS LIFESCIENCES CORP COM 28176E108 51,199 763,600 PUT DEFINED 1,2,3 0 763,600 0 ELAN PLC ADR 284131208 2,256 392,056 SH DEFINED 1,2,3 0 392,056 0 ELAN PLC ADR 284131208 5,755 1,000,000 CALL DEFINED 1,2,3 0 1,000,000 0 ELAN PLC ADR 284131208 1,735 301,400 PUT DEFINED 1,2,3 0 301,400 0 ELDORADO GOLD CORP NEW COM 284902103 5,199 281,200 CALL DEFINED 1,2,3 0 281,200 0 EXACT SCIENCES CORP COM 30063P105 117 16,200 SH DEFINED 1,2,3 0 16,200 0 EXACT SCIENCES CORP COM 30063P105 226 31,200 PUT DEFINED 1,2,3 0 31,200 0 FIRST SOLAR INC COM 336433107 15,357 104,219 SH DEFINED 1,2,3 0 104,219 0 FIRST SOLAR INC COM 336433107 3,551 24,100 CALL DEFINED 1,2,3 0 24,100 0 FIRST SOLAR INC COM 336433107 199,527 1,354,100 PUT DEFINED 1,2,3 0 1,354,100 0 FORD MTR CO DEL COM PAR $0.01 345370860 14,017 1,145,200 CALL DEFINED 1,2,3 0 1,145,200 0 FOREST LABS INC COM 345838106 1,197 38,700 CALL DEFINED 1,2,3 0 38,700 0 FOREST LABS INC COM 345838106 436 14,100 PUT DEFINED 1,2,3 0 14,100 0 GENWORTH FINL INC COM CL A 37247D106 3,393 277,668 SH DEFINED 1,2,3 0 277,668 0 GENWORTH FINL INC COM CL A 37247D106 677 55,400 CALL DEFINED 1,2,3 0 55,400 0 GENWORTH FINL INC COM CL A 37247D106 8,648 707,700 PUT DEFINED 1,2,3 0 707,700 0 GENZYME CORP COM 372917104 5,635 79,600 CALL DEFINED 1,2,3 0 79,600 0 GENZYME CORP COM 372917104 92 1,300 PUT DEFINED 1,2,3 0 1,300 0 GERON CORP COM 374163103 285 51,500 SH DEFINED 1,2,3 0 51,500 0 GERON CORP COM 374163103 166 30,000 CALL DEFINED 1,2,3 0 30,000 0 GERON CORP COM 374163103 194 35,000 PUT DEFINED 1,2,3 0 35,000 0 GTX INC DEL COM 40052B108 516 149,876 SH DEFINED 1,2,3 0 149,876 0 GTX INC DEL COM 40052B108 886 257,500 PUT DEFINED 1,2,3 0 257,500 0 HOLOGIC INC COM 436440101 5,086 317,700 CALL DEFINED 1,2,3 0 317,700 0 HUMAN GENOME SCIENCES INC COM 444903108 34,232 1,149,100 CALL DEFINED 1,2,3 0 1,149,100 0 HUMAN GENOME SCIENCES INC COM 444903108 38,501 1,292,400 PUT DEFINED 1,2,3 0 1,292,400 0 IMMUCOR INC COM 452526106 2,536 127,900 CALL DEFINED 1,2,3 0 127,900 0 IMMUNOMEDICS INC COM 452907108 1,464 455,944 SH DEFINED 1,2,3 0 455,944 0 INCYTE CORP COM 45337C102 113 7,056 SH DEFINED 1,2,3 0 7,056 0 INCYTE CORP COM 45337C102 505 31,600 CALL DEFINED 1,2,3 0 31,600 0 INCYTE CORP COM 45337C102 4,005 250,500 PUT DEFINED 1,2,3 0 250,500 0 INSPIRE PHARMACEUTICALS INC COM 457733103 480 80,700 CALL DEFINED 1,2,3 0 80,700 0 INSPIRE PHARMACEUTICALS INC COM 457733103 74 12,400 PUT DEFINED 1,2,3 0 12,400 0 INTERMUNE INC COM 45884X103 3,094 227,182 SH DEFINED 1,2,3 0 227,182 0 INTERMUNE INC COM 45884X103 15,713 1,153,700 CALL DEFINED 1,2,3 0 1,153,700 0
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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- INTERMUNE INC COM 45884X103 30,114 2,211,000 PUT DEFINED 1,2,3 0 2,211,000 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 786 77,246 SH DEFINED 1,2,3 0 77,246 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 810 79,600 CALL DEFINED 1,2,3 0 79,600 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 1,650 162,100 PUT DEFINED 1,2,3 0 162,100 0 ISHARES TR DJ US REAL EST 464287739 5,288 100,000 PUT DEFINED 1,2,3 0 100,000 0 ISHARES TR MSCI EMERG MKT 464287234 14,752 329,500 SH DEFINED 1,2,3 0 329,500 0 ISHARES TR MSCI EMERG MKT 464287234 49,247 1,100,000 PUT DEFINED 1,2,3 0 1,100,000 0 ISIS PHARMACEUTICALS INC COM 464330109 1,804 214,771 SH DEFINED 1,2,3 0 214,771 0 ISIS PHARMACEUTICALS INC COM 464330109 2,461 293,000 PUT DEFINED 1,2,3 0 293,000 0 ISTA PHARMACEUTICALS INC COM NEW 45031X204 106 25,773 SH DEFINED 1,2,3 0 25,773 0 JPMORGAN CHASE & CO COM 46625H100 6,910 181,503 SH DEFINED 1,2,3 0 181,503 0 JPMORGAN CHASE & CO COM 46625H100 1,485 39,000 CALL DEFINED 1,2,3 0 39,000 0 JPMORGAN CHASE & CO COM 46625H100 7,595 199,500 PUT DEFINED 1,2,3 0 199,500 0 KENDLE INTERNATIONAL INC COM 48880L107 210 22,500 CALL DEFINED 1,2,3 0 22,500 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 2,332 484,910 SH DEFINED 1,2,3 0 484,910 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 3,848 800,000 CALL DEFINED 1,2,3 0 800,000 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 8,988 1,868,600 PUT DEFINED 1,2,3 0 1,868,600 0 LAWSON SOFTWARE INC NEW COM 52078P102 2,477 292,500 CALL DEFINED 1,2,3 0 292,500 0 MANNKIND CORP COM 56400P201 5,016 741,970 SH DEFINED 1,2,3 0 741,970 0 MANNKIND CORP COM 56400P201 9,408 1,391,700 CALL DEFINED 1,2,3 0 1,391,700 0 MANNKIND CORP COM 56400P201 9,856 1,458,000 PUT DEFINED 1,2,3 0 1,458,000 0 MEDICINES CO COM 584688105 2,290 161,300 CALL DEFINED 1,2,3 0 161,300 0 MEDIVATION INC COM 58501N101 309 23,754 SH DEFINED 1,2,3 0 23,754 0 MEDIVATION INC COM 58501N101 1,407 108,200 CALL DEFINED 1,2,3 0 108,200 0 MEDIVATION INC COM 58501N101 296 22,800 PUT DEFINED 1,2,3 0 22,800 0 MEDTRONIC INC COM 585055106 6,481 193,000 CALL DEFINED 1,2,3 0 193,000 0 MELA SCIENCES INC COM 55277R100 8,092 1,241,100 CALL DEFINED 1,2,3 0 1,241,100 0 MELA SCIENCES INC COM 55277R100 3,930 602,800 PUT DEFINED 1,2,3 0 602,800 0 MEMC ELECTR MATLS INC COM 552715104 356 29,900 SH DEFINED 1,2,3 0 29,900 0 MEMC ELECTR MATLS INC COM 552715104 1,067 89,500 PUT DEFINED 1,2,3 0 89,500 0 MERCADOLIBRE INC COM 58733R102 13,476 186,701 SH DEFINED 1,2,3 0 186,701 0 MERCADOLIBRE INC COM 58733R102 1,638 22,700 CALL DEFINED 1,2,3 0 22,700 0 MERCADOLIBRE INC COM 58733R102 13,252 183,600 PUT DEFINED 1,2,3 0 183,600 0 MGIC INVT CORP WIS COM 552848103 1,043 113,000 CALL DEFINED 1,2,3 0 113,000 0 MGIC INVT CORP WIS COM 552848103 727 78,800 PUT DEFINED 1,2,3 0 78,800 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 309 20,532 SH DEFINED 1,2,3 0 20,532 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 1,782 118,400 CALL DEFINED 1,2,3 0 118,400 0 MOMENTA PHARMACEUTICALS INC COM 60877T100 817 54,300 PUT DEFINED 1,2,3 0 54,300 0 MONSANTO CO NEW COM 61166W101 6,116 127,600 PUT DEFINED 1,2,3 0 127,600 0 MONSANTO CO NEW COM 61166W101 1,460 30,468 SH DEFINED 1,2,3 0 30,468 0 MONSANTO CO NEW COM 61166W101 8,316 173,500 CALL DEFINED 1,2,3 0 173,500 0 MOSAIC CO COM 61945A107 2,347 39,943 SH DEFINED 1,2,3 0 39,943 0 MOSAIC CO COM 61945A107 2,815 47,900 PUT DEFINED 1,2,3 0 47,900 0 MOTOROLA INC COM 620076109 1,634 191,600 CALL DEFINED 1,2,3 0 191,600 0 MOTOROLA INC COM 620076109 126 14,800 PUT DEFINED 1,2,3 0 14,800 0 NETFLIX INC COM 64110L106 17,124 105,600 CALL DEFINED 1,2,3 0 105,600 0 NEWFIELD EXPL CO COM 651290108 126 2,200 CALL DEFINED 1,2,3 0 2,200 0 NMT MED INC COM 629294109 3 6,843 SH DEFINED 1,2,3 0 6,843 0 NMT MED INC COM 629294109 13 32,800 CALL DEFINED 1,2,3 0 32,800 0 NMT MED INC COM 629294109 - 500 PUT DEFINED 1,2,3 0 500 0 NOKIA CORP SPONSORED ADR 654902204 201 20,000 CALL DEFINED 1,2,3 0 20,000 0 NPS PHARMACEUTICALS INC COM 62936P103 2,618 382,800 CALL DEFINED 1,2,3 0 382,800 0 NPS PHARMACEUTICALS INC COM 62936P103 150 21,900 PUT DEFINED 1,2,3 0 21,900 0 ONYX PHARMACEUTICALS INC COM 683399109 11,380 431,400 CALL DEFINED 1,2,3 0 431,400 0 ONYX PHARMACEUTICALS INC COM 683399109 2,042 77,400 PUT DEFINED 1,2,3 0 77,400 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 32 3,499 SH DEFINED 1,2,3 0 3,499 0 OREXIGEN THERAPEUTICS INC COM 686164104 948 159,800 CALL DEFINED 1,2,3 0 159,800 0 OREXIGEN THERAPEUTICS INC COM 686164104 1,066 179,800 PUT DEFINED 1,2,3 0 179,800 0 PETROLEO BRASILEIRO SA PETRO SPONSORED ADR 71654V408 6,501 179,300 SH DEFINED 1,2,3 0 179,300 0 PLAINS EXPL& PRODTN CO COM 726505100 7,825 293,400 CALL DEFINED 1,2,3 0 293,400 0
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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- PONIARD PHARMACEUTICALS INC COM NEW 732449301 116 200,000 CALL DEFINED 1,2,3 0 200,000 0 PONIARD PHARMACEUTICALS INC COM NEW 732449301 115 198,701 SH DEFINED 1,2,3 0 198,701 0 POTASH CORP SASK INC COM 73755L107 24,962 173,300 CALL DEFINED 1,2,3 0 173,300 0 POTASH CORP SASK INC COM 73755L107 29 200 PUT DEFINED 1,2,3 0 200 0 PRANA BIOTECHNOLOGY LTD SPONSORED ADR 739727105 - 3 SH DEFINED 1,2,3 0 3 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 17 2,000 SH DEFINED 1,2,3 0 2,000 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 494 56,900 CALL DEFINED 1,2,3 0 56,900 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 2,287 263,200 PUT DEFINED 1,2,3 0 263,200 0 RAYTHEON CO COM NEW 755111507 1,060 23,200 CALL DEFINED 1,2,3 0 23,200 0 REGENERON PHARMACEUTICALS COM 75886F107 22 800 SH DEFINED 1,2,3 0 800 0 REGENERON PHARMACEUTICALS COM 75886F107 8,530 311,300 PUT DEFINED 1,2,3 0 311,300 0 SALIX PHARMACEUTICALS INC COM 795435106 21,361 537,800 CALL DEFINED 1,2,3 0 537,800 0 SALIX PHARMACEUTICALS INC COM 795435106 3,690 92,900 PUT DEFINED 1,2,3 0 92,900 0 SAP AG SPON ADR 803054204 261 5,283 SH DEFINED 1,2,3 0 5,283 0 SAP AG SPON ADR 803054204 1,884 38,200 CALL DEFINED 1,2,3 0 38,200 0 SAP AG SPON ADR 803054204 8,099 164,200 PUT DEFINED 1,2,3 0 164,200 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 6,973 304,900 CALL DEFINED 1,2,3 0 304,900 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 15,657 684,600 PUT DEFINED 1,2,3 0 684,600 0 SEATTLE GENETICS INC COM 812578102 1,494 96,200 CALL DEFINED 1,2,3 0 96,200 0 SEATTLE GENETICS INC COM 812578102 26 1,700 PUT DEFINED 1,2,3 0 1,700 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 809 56,400 SH DEFINED 1,2,3 0 56,400 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 3,679 256,500 CALL DEFINED 1,2,3 0 256,500 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5,741 400,200 PUT DEFINED 1,2,3 0 400,200 0 SEQUENOM INC COM NEW 817337405 6,813 971,919 SH DEFINED 1,2,3 0 971,919 0 SEQUENOM INC COM NEW 817337405 5,980 853,000 CALL DEFINED 1,2,3 0 853,000 0 SEQUENOM INC COM NEW 817337405 12,285 1,752,500 PUT DEFINED 1,2,3 0 1,752,500 0 SLM CORP COM 78442P106 6,370 551,500 CALL DEFINED 1,2,3 0 551,500 0 STEC INC COM 784774101 238 19,100 SH DEFINED 1,2,3 0 19,100 0 STEC INC COM 784774101 1,164 93,500 CALL DEFINED 1,2,3 0 93,500 0 STEC INC COM 784774101 618 49,600 PUT DEFINED 1,2,3 0 49,600 0 STERIS CORP COM 859152100 306 9,200 PUT DEFINED 1,2,3 0 9,200 0 STILLWATER MNG CO COM 86074Q102 1,676 99,500 CALL DEFINED 1,2,3 0 99,500 0 SUNCOR ENERGY INC NEW COM 867224107 3,704 113,800 CALL DEFINED 1,2,3 0 113,800 0 SYNTA PHARMACEUTICALS CORP COM 87162T206 159 39,944 SH DEFINED 1,2,3 0 39,944 0 THORATEC CORP COM NEW 885175307 385 10,400 PUT DEFINED 1,2,3 0 10,400 0 TIVO INC COM 888706108 573 63,286 SH DEFINED 1,2,3 0 63,286 0 TIVO INC COM 888706108 21,425 2,364,800 CALL DEFINED 1,2,3 0 2,364,800 0 TIVO INC COM 888706108 9,330 1,029,800 PUT DEFINED 1,2,3 0 1,029,800 0 UAL CORP COM NEW 902549807 950 40,147 SH DEFINED 1,2,3 0 40,147 0 UAL CORP COM NEW 902549807 2,936 124,100 PUT DEFINED 1,2,3 0 124,100 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 4,593 82,000 SH DEFINED 1,2,3 0 82,000 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 5,747 102,600 CALL DEFINED 1,2,3 0 102,600 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 12,081 215,700 PUT DEFINED 1,2,3 0 215,700 0 VALE S A ADR 91912E105 12,511 400,100 CALL DEFINED 1,2,3 0 400,100 0 VALE S A ADR 91912E105 1,814 58,000 PUT DEFINED 1,2,3 0 58,000 0 VALEANT PHARMACEUTICALS INTL COM 91911X104 8,102 132,000 PUT DEFINED 1,2,3 0 132,000 0 VERTEX PHARMACEUTICALS INC COM 92532F100 5,158 149,200 CALL DEFINED 1,2,3 0 149,200 0 VERTEX PHARMACEUTICALS INC COM 92532F100 10,240 296,200 PUT DEFINED 1,2,3 0 296,200 0 VICAL INC COM 925602104 311 139,673 SH DEFINED 1,2,3 0 139,673 0 VIVUS INC COM 928551100 4,234 632,858 SH DEFINED 1,2,3 0 632,858 0 VIVUS INC COM 928551100 13,097 1,957,700 CALL DEFINED 1,2,3 0 1,957,700 0 VIVUS INC COM 928551100 6,581 983,700 PUT DEFINED 1,2,3 0 983,700 0 XENOPORT INC COM 98411C100 437 61,513 SH DEFINED 1,2,3 0 61,513 0 XENOPORT INC COM 98411C100 1,818 255,700 CALL DEFINED 1,2,3 0 255,700 0 XENOPORT INC COM 98411C100 765 107,600 PUT DEFINED 1,2,3 0 107,600 0 YAMANA GOLD INC COM 98462Y100 7,450 653,500 CALL DEFINED 1,2,3 0 653,500 0
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