0001140361-12-047273.txt : 20121114 0001140361-12-047273.hdr.sgml : 20121114 20121114161710 ACCESSION NUMBER: 0001140361-12-047273 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120930 FILED AS OF DATE: 20121114 DATE AS OF CHANGE: 20121114 EFFECTIVENESS DATE: 20121114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Ridgeback Capital Investments L.P. CENTRAL INDEX KEY: 0001423994 IRS NUMBER: 000000000 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-12856 FILM NUMBER: 121204742 BUSINESS ADDRESS: STREET 1: 430 PARK AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-624-2567 MAIL ADDRESS: STREET 1: 430 PARK AVENUE STREET 2: 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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: 9/30/2012 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: Ridgeback Capital Investments L.P. Address: 430 Park Avenue, 12th Floor New York, New York 10022 Form 13F File Number: 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: Ridgeback Capital Investments Ltd., as General Partner, by Bud Holman Title: Director Phone: 212-808-7729 Signature, Place, and Date of Signing: /s/ Bud Holman New York, New York 11/14/2012 --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Ridgeback Capital Investments Ltd. is the general partner of Ridgeback Capital Investments L.P. Pursuant to an investment management agreement, Ridgeback Capital Management LP maintains investment and voting power with respect to the securities held or controlled by Ridgeback Capital Investments Ltd. Wayne Holman, an individual, controls Ridgeback Capital Management LP. Ridgeback Capital Management LP, Ridgeback Capital Investments Ltd. and Wayne Holman do not own any securities reported herein directly. 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: 2 Form 13F Information Table Entry Total: 18 Form 13F Information Table Value Total: $ 171,792 -------------- (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 28-12280 Ridgeback Capital Management LP ---- -------------------- ---------------------------------------------------- 2 28-12277 Ridgeback Capital Investments Ltd. ---- -------------------- ----------------------------------------------------
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 -------------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- ---- ------ --------- Ariad Pharmaceuticals Inc. Common Stock 04033A100 24,210 1,000,000 SH SOLE 1,2 0 0 1,000,000 Array BioPharma, Inc. Common Stock 04269X105 11,169 1,910,898 SH SOLE 1,2 0 0 1,910,898 BioLineRx, Ltd. Sponsored ADR 09071M106 498 189,511 SH SOLE 1,2 0 0 189,511 Celldex Therapeutics, Inc. Common Stock 15117B103 18,021 2,860,525 SH SOLE 1,2 0 0 2,860,525 Clovis Oncology, Inc. Common Stock 189464100 7,075 345,954 SH SOLE 1,2 0 0 345,954 DUSA Pharmaceuticals Inc. Common Stock 266898105 388 57,200 SH SOLE 1,2 0 0 57,200 Dynavax Technologies Corporation Common Stock 268158102 1,679 352,700 SH SOLE 1,2 0 0 352,700 Gilead Sciences Inc. Common Stock 375558103 16,583 250,000 SH SOLE 1,2 0 0 250,000 Hyperion Therapeutics, Inc. Common Stock 44915N101 1,222 115,000 SH SOLE 1,2 0 0 115,000 Ironwood Pharmaceuticals, Inc. Common Stock 46333X108 26,752 2,093,307 SH SOLE 1,2 0 0 2,093,307 Lexicon Pharmaceuticals, Inc. Common Stock 528872104 232 100,000 SH SOLE 1,2 0 0 100,000 The Medicines Company Common Stock 584688105 27,111 1,050,400 SH SOLE 1,2 0 0 1,050,400 Onyx Pharmaceuticals, Inc. Common Stock 683399109 6,698 79,265 SH SOLE 1,2 0 0 79,265 Regeneron Pharmaceuticals, Inc. Common Stock 75886F107 3,068 20,100 SH SOLE 1,2 0 0 20,100 Sangamo Biosciences Inc. Common Stock 800677106 2,288 376,359 SH SOLE 1,2 0 0 376,359 Santarus, Inc. Common Stock 802817304 14,506 1,633,514 SH SOLE 1,2 0 0 1,633,514 Sunesis Pharmaceuticals Inc. Common Stock 867328601 9,204 1,634,887 SH SOLE 1,2 0 0 1,634,887 Xenoport, Inc. Common Stock 98411C100 1,088 95,000 SH SOLE 1,2 0 0 95,000