0000919574-11-006248.txt : 20111114 0000919574-11-006248.hdr.sgml : 20111111 20111114134958 ACCESSION NUMBER: 0000919574-11-006248 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 Management LLC CENTRAL INDEX KEY: 0001463541 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-13504 FILM NUMBER: 111200669 BUSINESS ADDRESS: STREET 1: 44 WALL STREET STREET 2: SUITE 1603 CITY: NEW YORK STATE: NY ZIP: 10005 BUSINESS PHONE: 646-307-4503 MAIL ADDRESS: STREET 1: 44 WALL STREET STREET 2: SUITE 1603 CITY: NEW YORK STATE: NY ZIP: 10005 13F-HR 1 d1241314_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 Management, LLC Address: 10 Mountainview Road Suite 205 Upper Saddle River, NJ 07458 13F File Number: 028-13504 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] Report Type: (Check only one): [_] 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).) [X] 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 File Number Name 028-11852 BAM Capital, LLC -------------------- ------------------------------------------ Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 1 Form 13F Information Table Entry Total: 7 Form 13F Information Table Value Total: $12,947 (In Thousands) List of Other Included Managers: No. Form 13F File Number Name 1 028-13502 Hal Mintz --- -------------------- ------------------------------------- FORM 13F INFORMATION TABLE September 30, 2011
COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COL 7 COLUMN 8 TITLE OF VALUE SHS OR SH/ PUT/ INVESTMENT OTHR VOTING AUTHORITY NAME OF ISSUER CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MGRS SOLE SHARED NONE BIOSANTE PHARMACEUTICALS INC COM NEW 09065V203 4,068 1,784,200 CALL DEFINED 1 1,784,200 BIOSANTE PHARMACEUTICALS INC COM NEW 09065V203 929 407,600 PUT DEFINED 1 407,600 GENVEC INC COM NEW 37246C307 313 109,024 SH DEFINED 1 109,024 ONCOTHYREON INC COM 682324108 3,999 668,700 CALL DEFINED 1 668,700 ONCOTHYREON INC COM 682324108 1,085 181,436 SH DEFINED 1 181,436 ONCOTHYREON INC COM 682324108 2,374 397,000 PUT DEFINED 1 397,000 RXI PHARMACEUTICALS CORP COM 74978T109 179 177,406 SH DEFINED 1 177,406
SK 27527 0001 1241314