-----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, LDKDiIx5ypKH1XBBNP/CQWmUZK/G910dJrJns9gKGpXrU5YClRUb48sLqEMm54RA d9DTnZmbFy3yfiGdEyvmTQ== 0001140361-10-020826.txt : 20100513 0001140361-10-020826.hdr.sgml : 20100513 20100513111032 ACCESSION NUMBER: 0001140361-10-020826 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100331 FILED AS OF DATE: 20100513 DATE AS OF CHANGE: 20100513 EFFECTIVENESS DATE: 20100513 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: 10827013 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: 3/31/2010 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 Management, LLC Address: 44 Wall Street, Suite 1603 New York, NY 10005 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 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 5/13/2010 - --------------------------------- --------------------------------- ---------- [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): [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: 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: 72 Form 13F Information Table Value Total: $ 15,462 -------------- (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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- ABERCROMBIE & FITCH CO CL A 002896207 317 93,000 CALL DEFINED 1,2 0 93,000 0 ACORDA THERAPEUTICS INC COM 00484M106 104 20,000 PUT DEFINED 1,2 0 20,000 0 ALCON INC COM SHS H01301102 245 1,517 SH DEFINED 1,2 0 1,517 0 ALCON INC COM SHS H01301102 86 31,200 PUT DEFINED 1,2 0 31,200 0 AMAG PHARMACEUTICALS INC COM 00163U106 8 8,000 CALL DEFINED 1,2 0 8,000 0 AMAG PHARMACEUTICALS INC COM 00163U106 23 8,000 PUT DEFINED 1,2 0 8,000 0 AMAZON COM INC COM 023135106 358 38,400 CALL DEFINED 1,2 0 38,400 0 AMAZON COM INC COM 023135106 13 16,300 PUT DEFINED 1,2 0 16,300 0 AMERICAN INTL GROUP INC COM NEW 026874784 14 7,000 CALL DEFINED 1,2 0 7,000 0 AMERICAN INTL GROUP INC COM NEW 026874784 200 5,844 SH DEFINED 1,2 0 5,844 0 AMERICAN INTL GROUP INC COM NEW 026874784 88 24,000 PUT DEFINED 1,2 0 24,000 0 APPLE INC COM 037833100 614 47,200 CALL DEFINED 1,2 0 47,200 0 BAIDU INC SPON ADR REP A 056752108 124 6,100 CALL DEFINED 1,2 0 6,100 0 BAIDU INC SPON ADR REP A 056752108 1,295 2,169 SH DEFINED 1,2 0 2,169 0 BAIDU INC SPON ADR REP A 056752108 166 16,600 PUT DEFINED 1,2 0 16,600 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 49 13,300 CALL DEFINED 1,2 0 13,300 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 2,637 32,452 SH DEFINED 1,2 0 32,452 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 44 25,000 PUT DEFINED 1,2 0 25,000 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 15 41,900 CALL DEFINED 1,2 0 41,900 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 51 9,000 SH DEFINED 1,2 0 9,000 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 8 24,400 PUT DEFINED 1,2 0 24,400 0 CATERPILLAR INC DEL COM 149123101 115 40,000 CALL DEFINED 1,2 0 40,000 0 CELL THERAPEUTICS INC COM NO PAR 150934503 204 3,146,200 CALL DEFINED 1,2 0 3,146,200 0 CELL THERAPEUTICS INC COM NO PAR 150934503 1,324 2,447,816 SH DEFINED 1,2 0 2,447,816 0 CELL THERAPEUTICS INC COM NO PAR 150934503 1,722 3,027,000 PUT DEFINED 1,2 0 3,027,000 0 CF INDS HLDGS INC COM 125269100 0 15,000 CALL DEFINED 1,2 0 15,000 0 CON-WAY INC COM 205944101 37 25,800 CALL DEFINED 1,2 0 25,800 0 CON-WAY INC COM 205944101 33 42,000 PUT DEFINED 1,2 0 42,000 0 CREE INC COM 225447101 51 37,400 CALL DEFINED 1,2 0 37,400 0 CREE INC COM 225447101 4 18,700 PUT DEFINED 1,2 0 18,700 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 35 14,500 CALL DEFINED 1,2 0 14,500 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 21 6,800 PUT DEFINED 1,2 0 6,800 0 DENDREON CORP COM 24823Q107 4 107 SH DEFINED 1,2 0 107 0 DENDREON CORP COM 24823Q107 256 63,900 PUT DEFINED 1,2 0 63,900 0 E TRADE FINANCIAL CORP COM 269246104 19 337,500 CALL DEFINED 1,2 0 337,500 0 E TRADE FINANCIAL CORP COM 269246104 35 21,160 SH DEFINED 1,2 0 21,160 0 ELAN PLC ADR 284131208 53 100,300 CALL DEFINED 1,2 0 100,300 0 FIRST SOLAR INC COM 336433107 126 29,900 PUT DEFINED 1,2 0 29,900 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 185 18,300 CALL DEFINED 1,2 0 18,300 0 GREEN MTN COFFEE ROASTERS IN COM 393122106 165 38,400 PUT DEFINED 1,2 0 38,400 0 HECLA MNG CO COM 422704106 969 1,543,200 PUT DEFINED 1,2 0 1,543,200 0 HEMISPHERX BIOPHARMA INC COM 42366C103 74 100,000 SH DEFINED 1,2 0 100,000 0 INTERMUNE INC COM 45884X103 788 77,100 CALL DEFINED 1,2 0 77,100 0 INTERMUNE INC COM 45884X103 16 5,000 PUT DEFINED 1,2 0 5,000 0 ISHARES TR INDEX RUSSELL 2000 464287655 70 74,200 PUT DEFINED 1,2 0 74,200 0 LAS VEGAS SANDS CORP COM 517834107 18 7,500 CALL DEFINED 1,2 0 7,500 0 LEXMARK INTL NEW CL A 529771107 17 19,700 CALL DEFINED 1,2 0 19,700 0 LEXMARK INTL NEW CL A 529771107 28 16,200 PUT DEFINED 1,2 0 16,200 0 MEDIVATION INC COM 58501N101 1 30,400 CALL DEFINED 1,2 0 30,400 0 MEDIVATION INC COM 58501N101 265 25,302 SH DEFINED 1,2 0 25,302 0 MEDIVATION INC COM 58501N101 90 46,500 PUT DEFINED 1,2 0 46,500 0 NETFLIX INC COM 64110L106 83 38,700 CALL DEFINED 1,2 0 38,700 0 NETFLIX INC COM 64110L106 8 30,000 PUT DEFINED 1,2 0 30,000 0 NVIDIA CORP COM 67066G104 12 30,000 CALL DEFINED 1,2 0 30,000 0 OCULUS INNOVATIVE SCIENCES I COM 67575P108 78 25,200 PUT DEFINED 1,2 0 25,200 0 ONCOTHYREON INC COM 682324108 413 245,400 PUT DEFINED 1,2 0 245,400 0 OXIGENE INC COM 691828107 167 135,569 SH DEFINED 1,2 0 135,569 0 PALM INC NEW COM 696643105 10 158,100 CALL DEFINED 1,2 0 158,100 0 PALM INC NEW COM 696643105 20 53,600 PUT DEFINED 1,2 0 53,600 0 PRICELINE COM INC COM NEW 741503403 118 13,700 CALL DEFINED 1,2 0 13,700 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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- PRICELINE COM INC COM NEW 741503403 1 6,800 PUT DEFINED 1,2 0 6,800 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 186 12,847 SH DEFINED 1,2 0 12,847 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 134 64,200 PUT DEFINED 1,2 0 64,200 0 SLM CORP COM 78442P106 34 27,600 CALL DEFINED 1,2 0 27,600 0 TIBCO SOFTWARE INC COM 88632Q103 162 150,400 CALL DEFINED 1,2 0 150,400 0 TRINA SOLAR LIMITED SPON ADR 89628E104 13 26,000 CALL DEFINED 1,2 0 26,000 0 UNITED STATES STL CORP NEW COM 912909108 58 14,900 CALL DEFINED 1,2 0 14,900 0 UNITED STATES STL CORP NEW COM 912909108 342 5,386 SH DEFINED 1,2 0 5,386 0 UNITED STATES STL CORP NEW COM 912909108 16 10,900 PUT DEFINED 1,2 0 10,900 0 VIVUS INC COM 928551100 253 29,033 SH DEFINED 1,2 0 29,033 0 VIVUS INC COM 928551100 168 41,900 PUT DEFINED 1,2 0 41,900 0 XENOPORT INC COM 98411C100 2 11,300 CALL DEFINED 1,2 0 11,300 0
-----END PRIVACY-ENHANCED MESSAGE-----