-----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, DpUOCwfqnyZn5abptl635FkHcwwXJ5nGP/Ycpu2uuW5CVk1nLSr0CMK3WEiCDZ1C QGIPOMvcmlaWIQ4HzNJvJA== 0001140361-10-006370.txt : 20100216 0001140361-10-006370.hdr.sgml : 20100215 20100216110423 ACCESSION NUMBER: 0001140361-10-006370 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20091231 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 EFFECTIVENESS DATE: 20100216 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: 10603359 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 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: 12/31/2009 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 Management, LLC Address: 44 Wall Street, Suite 1603 New York, NY 10005 Form 13F File Number: 28-13504 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. 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 2/16/2010 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] Please note that in previous 13F filings for this manager, securities managed by BAM Management, LLC on behalf of a particular pooled investment vehicle were included in this manager's holdings reports. Such holdings are now reported in the holdings report of BAM Capital, LLC. 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 manager(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: 13F File Number Name 28-11852 BAM Capital, LLC - --------------- --------------------------------------------------------------- Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 2 Form 13F Information Table Entry Total: 59 Form 13F Information Table Value Total: $ 11,888 -------------- (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 - ---- -------------------- ---------------------------------------------------- Notes on Information Table: (1) Information provided in Column 2 refers in each case to the underlying instrument. (2) Number of shares provided in Column 5 refers, in the case of options, to the number of shares underlying the options. (3) 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 - ------------------------------------- -------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- AGNICO-EAGLE MINES LTD COM 008474108 1 12,000 CALL DEFINED 1,2 0 12,000 0 AMERICAN INTERNATIONAL GROUP INC COM 026874784 40 46,000 CALL DEFINED 1,2 0 46,000 0 AMERICAN INTERNATIONAL GROUP INC COM 026874784 1,781 59,422 SH DEFINED 1,2 0 59,422 0 AMERICAN INTERNATIONAL GROUP INC COM 026874784 1,359 89,800 PUT DEFINED 1,2 0 89,800 0 ANTIGENICS INC DEL COM COM 037032109 202 965,412 SH DEFINED 1,2 0 965,412 0 BIOSANTE PHARMACEUTICALS INC COM NEW COM 09065V203 0 11,700 CALL DEFINED 1,2 0 11,700 0 CELL THERAPEUTICS INC COM NO PAR COM 150934503 229 3,379,500 CALL DEFINED 1,2 0 3,379,500 0 CELL THERAPEUTICS INC COM NO PAR COM 150934503 220 369,400 PUT DEFINED 1,2 0 369,400 0 CEL-SCI CORP COM NEW COM 150837409 952 1,057,663 SH DEFINED 1,2 0 1,057,663 0 CON-WAY INC COM 205944101 40 33,400 CALL DEFINED 1,2 0 33,400 0 CON-WAY INC COM 205944101 68 16,700 PUT DEFINED 1,2 0 16,700 0 E*TRADE FINANCIAL CORP COM 269246104 30 397,900 CALL DEFINED 1,2 0 397,900 0 E*TRADE FINANCIAL CORP COM 269246104 97 54,877 SH DEFINED 1,2 0 54,877 0 E*TRADE FINANCIAL CORP COM 269246104 1 186,000 PUT DEFINED 1,2 0 186,000 0 ELAN CORP PLC ADR 284131208 68 75,300 CALL DEFINED 1,2 0 75,300 0 ENSCO INTERNATIONAL PLC COM 26874Q100 556 13,913 SH DEFINED 1,2 0 13,913 0 ENSCO INTERNATIONAL PLC COM 26874Q100 483 178,400 PUT DEFINED 1,2 0 178,400 0 FORD MOTOR CO COM 345370860 29 18,600 CALL DEFINED 1,2 0 18,600 0 FORD MOTOR CO COM 345370860 0 3,100 PUT DEFINED 1,2 0 3,100 0 GENWORTH FINANCIAL INC COM 37247D106 1 47,700 PUT DEFINED 1,2 0 47,700 0 GREEN MOUNTAIN COFFEE ROASTERS INC COM 393122106 71 16,700 CALL DEFINED 1,2 0 16,700 0 HANA BIOSCIENCES INC COM COM 40963P105 570 3,000,000 SH DEFINED 1,2 0 3,000,000 0 HARTFORD FINANCIAL SERVICES GROUP INC COM 416515104 13 59,800 CALL DEFINED 1,2 0 59,800 0 HECLA MNG CO COM COM 422704106 21 17,700 PUT DEFINED 1,2 0 17,700 0 HUMAN GENOME SCIENCES INC COM 444903108 21 22,500 CALL DEFINED 1,2 0 22,500 0 HUMAN GENOME SCIENCES INC COM 444903108 1 22,500 PUT DEFINED 1,2 0 22,500 0 ISHARES SILVER TRUST ISHARES 46428Q109 4 278,400 CALL DEFINED 1,2 0 278,400 0 MCAFEE INC COM 579064106 32 25,200 CALL DEFINED 1,2 0 25,200 0 MEDIVATION INC COM 58501N101 1,295 97,800 CALL DEFINED 1,2 0 97,800 0 MEDIVATION INC COM 58501N101 192 117,700 PUT DEFINED 1,2 0 117,700 0 MGM MIRAGE COM 552953101 2 48,000 CALL DEFINED 1,2 0 48,000 0 MICRON TECHNOLOGY INC COM 595112103 120 122,600 CALL DEFINED 1,2 0 122,600 0 MOTOROLA INC COM 620076109 2 39,100 CALL DEFINED 1,2 0 39,100 0 OCULUS INNOVATIVE SCIENCES I COM COM 67575P108 60 26,100 PUT DEFINED 1,2 0 26,100 0 ONCOTHYREON INC COM COM 682324108 155 138,200 PUT DEFINED 1,2 0 138,200 0 PALM INC COM 696643105 1 49,300 CALL DEFINED 1,2 0 49,300 0 PALM INC COM 696643105 3 31,300 PUT DEFINED 1,2 0 31,300 0 POTASH CORP OF SASKATCHEWAN INC COM 73755L107 3 15,000 CALL DEFINED 1,2 0 15,000 0 POTASH CORP OF SASKATCHEWAN INC COM 73755L107 238 72,000 PUT DEFINED 1,2 0 72,000 0 PRANA BIOTECHNOLOGY LTD SPONSORED ADR 739727105 52 768,288 SH DEFINED 1,2 0 768,288 0 RAMBUS INC COM 750917106 409 141,100 CALL DEFINED 1,2 0 141,100 0 RAMBUS INC COM 750917106 114 147,300 PUT DEFINED 1,2 0 147,300 0 REXAHN PHARMACEUTICALS INC COM COM 761640101 995 1,381,841 SH DEFINED 1,2 0 1,381,841 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 79 5,800 SH DEFINED 1,2 0 5,800 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 167 55,100 PUT DEFINED 1,2 0 55,100 0 SLM CORP COM 78442P106 29 141,000 CALL DEFINED 1,2 0 141,000 0 SLM CORP COM 78442P106 16 87,100 PUT DEFINED 1,2 0 87,100 0 SPDR TR UNIT SER 1 78462F103 11 35,000 PUT DEFINED 1,2 0 35,000 0 SYNOVUS FINANCIAL CORP COM 87161C105 0 1,700 CALL DEFINED 1,2 0 1,700 0 SYNOVUS FINANCIAL CORP COM 87161C105 295 143,819 SH DEFINED 1,2 0 143,819 0 SYNOVUS FINANCIAL CORP COM 87161C105 82 148,500 PUT DEFINED 1,2 0 148,500 0 TAKE-TWO INTERACTIVE SOFTWARE INC COM 874054109 1 35,000 CALL DEFINED 1,2 0 35,000 0 TAKE-TWO INTERACTIVE SOFTWARE INC COM 874054109 376 37,378 SH DEFINED 1,2 0 37,378 0 TAKE-TWO INTERACTIVE SOFTWARE INC COM 874054109 2 11,500 PUT DEFINED 1,2 0 11,500 0 TIBCO SOFTWARE INC COM 88632Q103 87 119,600 CALL DEFINED 1,2 0 119,600 0 VALERO ENERGY CORP COM 91913Y100 2 83,700 CALL DEFINED 1,2 0 83,700 0 YRC WORLDWIDE INC COM 984249102 5 55,000 CALL DEFINED 1,2 0 55,000 0 YRC WORLDWIDE INC COM 984249102 1 815 SH DEFINED 1,2 0 815 0 YRC WORLDWIDE INC COM 984249102 206 78,400 PUT DEFINED 1,2 0 78,400 0
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