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