Chief Financial Officer

0000919574-16-016635.txt : 20161114 0000919574-16-016635.hdr.sgml : 20161111 20161114160619 ACCESSION NUMBER: 0000919574-16-016635 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161114 DATE AS OF CHANGE: 20161114 EFFECTIVENESS DATE: 20161114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: KINGDON CAPITAL MANAGEMENT, L.L.C. CENTRAL INDEX KEY: 0001000097 IRS NUMBER: 134015739 STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-04575 FILM NUMBER: 161994810 BUSINESS ADDRESS: STREET 1: 157 WEST 57TH STREET STREET 2: 50TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 212-333-0100 MAIL ADDRESS: STREET 1: 152 WEST 57TH STREET STREET 2: 50TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10019 FORMER COMPANY: FORMER CONFORMED NAME: KINGDON CAPITAL MANAGEMENT LLC DATE OF NAME CHANGE: 19980914 FORMER COMPANY: FORMER CONFORMED NAME: KINGDON CAPITAL MANAGEMENT CORP DATE OF NAME CHANGE: 19960408 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001000097 XXXXXXXX 09-30-2016 09-30-2016 false KINGDON CAPITAL MANAGEMENT, L.L.C.

152 West 57th Street 50th Floor New York NY 10019

13F HOLDINGS REPORT 028-04575 N William Walsh Chief Financial Officer 212-333-0100 /s/ William Walsh New York NY 11-14-2016 3 116 2181167 true 1 0000718801 028-10584 Kingdon Associates 2 0001499251 028-13996 M. Kingdon Offshore Master Fund L.P. 3 0000909621 028-10842 Kingdon Family Partnership, L.P. INFORMATION TABLE 2 infotable.xml AERIE PHARMACEUTICALS INC COM 00771V108 3774 100000 SH Put DFND 1,2,3 0 100000 0 ALCOBRA LTD SHS M2239P109 980 396800 SH DFND 1,2,3 0 396800 0 ALLERGAN PLC PFD CONV SER A G0177J116 10269 12500 PRN DFND 1,2,3 0 12500 0 ALPHABET INC CAP STK CL A 02079K305 38227 47543 SH DFND 1,2,3 0 47543 0 AMAG PHARMACEUTICALS INC COM 00163U106 6680 272526 SH DFND 1,2,3 0 272526 0 AMAZON COM INC COM 023135106 78839 94157 SH DFND 1,2,3 0 94157 0 AMERICAN AIRLS GROUP INC COM 02376R102 14641 838238 SH DFND 1,2,3 0 838238 0 ANTARES PHARMA INC COM 036642106 2733 1626738 SH DFND 1,2,3 0 1626738 0 APACHE CORP COM 037411105 48625 761308 SH DFND 1,2,3 0 761308 0 ARIAD PHARMACEUTICALS INC COM 04033A100 1369 100000 SH Put DFND 1,2,3 0 100000 0 ASTRAZENECA PLC SPONSORED ADR 046353108 1699 51700 SH Call DFND 1,2,3 0 51700 0 AXOVANT SCIENCES LTD COM G0750W104 1739 124188 SH DFND 1,2,3 0 124188 0 BLACKSTONE MTG TR INC COM CL A 09257W100 9542 324000 SH DFND 1,2,3 0 324000 0 CALLON PETE CO DEL COM 13123X102 20099 1280198 SH DFND 1,2,3 0 1280198 0 CDK GLOBAL INC COM 12508E101 41364 721134 SH DFND 1,2,3 0 721134 0 CHUBB LIMITED COM H1467J104 24339 193705 SH DFND 1,2,3 0 193705 0 CITIGROUP INC COM NEW 172967424 32812 694733 SH DFND 1,2,3 0 694733 0 CITIGROUP INC COM NEW 172967424 23667 501100 SH Call DFND 1,2,3 0 501100 0 COCA COLA EUROPEAN PARTNERS SHS G25839104 7134 178808 SH DFND 1,2,3 0 178808 0 COLUCID PHARMACEUTICALS INC COM 19716T101 5912 154963 SH DFND 1,2,3 0 154963 0 COMERICA INC COM 200340107 19904 420623 SH DFND 1,2,3 0 420623 0 CONSTELLATION BRANDS INC CL A 21036P108 5126 30790 SH DFND 1,2,3 0 30790 0 CSX CORP COM 126408103 10166 333320 SH DFND 1,2,3 0 333320 0 CYMABAY THERAPEUTICS INC COM 23257D103 1860 958822 SH DFND 1,2,3 0 958822 0 DANAHER CORP DEL COM 235851102 20450 260871 SH DFND 1,2,3 0 260871 0 DELL TECHNOLOGIES INC COM CL V 24703L103 22640 473643 SH DFND 1,2,3 0 473643 0 DEPOMED INC COM 249908104 2497 100000 SH Put DFND 1,2,3 0 100000 0 DEVON ENERGY CORP NEW COM 25179M103 21950 497625 SH DFND 1,2,3 0 497625 0 DIPEXIUM PHARMACEUTICALS INC COM 25456J104 13720 946223 SH DFND 1,2,3 0 946223 0 DYNAVAX TECHNOLOGIES CORP COM NEW 268158201 5996 571555 SH DFND 1,2,3 0 571555 0 DYNAVAX TECHNOLOGIES CORP COM NEW 268158201 12644 1205300 SH Call DFND 1,2,3 0 1205300 0 EAGLE MATERIALS INC COM 26969P108 14942 193305 SH DFND 1,2,3 0 193305 0 EMERGENT BIOSOLUTIONS INC COM 29089Q105 3260 103400 SH Call DFND 1,2,3 0 103400 0 ENDURANCE SPECIALTY HLDGS LT SHS G30397106 10583 161700 SH DFND 1,2,3 0 161700 0 ENTELLUS MED INC COM 29363K105 5071 228647 SH DFND 1,2,3 0 228647 0 EXELIXIS INC COM 30161Q104 1685 131757 SH DFND 1,2,3 0 131757 0 EXELIXIS INC COM 30161Q104 14078 1100700 SH Call DFND 1,2,3 0 1100700 0 EXPRESS SCRIPTS HLDG CO COM 30219G108 14134 200400 SH Put DFND 1,2,3 0 200400 0 FATE THERAPEUTICS INC COM 31189P102 8823 2827889 SH DFND 1,2,3 0 2827889 0 FLEXION THERAPEUTICS INC COM 33938J106 20861 1067621 SH DFND 1,2,3 0 1067621 0 FLOWSERVE CORP COM 34354P105 12026 249300 SH DFND 1,2,3 0 249300 0 FORTIVE CORP COM 34959J108 26027 511333 SH DFND 1,2,3 0 511333 0 GAMING & LEISURE PPTYS INC COM 36467J108 8126 242925 SH DFND 1,2,3 0 242925 0 GENERAL MLS INC COM 370334104 19164 300000 SH Call DFND 1,2,3 0 300000 0 GILEAD SCIENCES INC COM 375558103 4642 58668 SH DFND 1,2,3 0 58668 0 GREAT ELM CAP GROUP INC COM 39036P100 2556 545020 SH DFND 1,2,3 0 545020 0 GW PHARMACEUTICALS PLC ADS 36197T103 13286 100100 SH Put DFND 1,2,3 0 100100 0 HARTFORD FINL SVCS GROUP INC COM 416515104 1261 29444 SH DFND 1,2,3 0 29444 0 HCA HOLDINGS INC COM 40412C101 3063 40496 SH DFND 1,2,3 0 40496 0 HERBALIFE LTD COM USD SHS G4412G101 39515 637449 SH DFND 1,2,3 0 637449 0 HERON THERAPEUTICS INC COM 427746102 46452 2695997 SH DFND 1,2,3 0 2695997 0 HOPE BANCORP INC COM 43940T109 5495 316339 SH DFND 1,2,3 0 316339 0 HORIZON PHARMA INVT LTD NOTE 2.500% 3/1 44052TAB7 40850 42250000 PRN DFND 1,2,3 0 42250000 0 HORIZON PHARMA PLC SHS G4617B105 123590 6816903 SH DFND 1,2,3 0 6816903 0 HORIZON PHARMA PLC SHS G4617B105 66187 3650700 SH Call DFND 1,2,3 0 3650700 0 INFOSYS LTD SPONSORED ADR 456788108 2179 138100 SH Put DFND 1,2,3 0 138100 0 INOTEK PHARMACEUTICALS CORP NOTE 5.750% 8/0 45780VAB8 7670 5700000 PRN DFND 1,2,3 0 5700000 0 INTL PAPER CO COM 460146103 46724 973831 SH DFND 1,2,3 0 973831 0 INVUITY INC COM NEW 46187J205 6368 464150 SH DFND 1,2,3 0 464150 0 JAGUAR ANIMAL HEALTH INC COM 47008L106 1291 1008642 SH DFND 1,2,3 0 1008642 0 KADMON HLDGS INC COM 48283N106 379 54333 SH DFND 1,2,3 0 54333 0 KELLOGG CO COM 487836108 7747 100000 SH Call DFND 1,2,3 0 100000 0 KEMPHARM INC COM 488445107 1167 259967 SH DFND 1,2,3 0 259967 0 KINSALE CAP GROUP INC COM 49714P108 1650 75000 SH DFND 1,2,3 0 75000 0 KLX INC COM 482539103 5323 151208 SH DFND 1,2,3 0 151208 0 KROGER CO COM 501044101 2944 99200 SH DFND 1,2,3 0 99200 0 LENNAR CORP CL A 526057104 21997 519532 SH DFND 1,2,3 0 519532 0 LEXICON PHARMACEUTICALS INC COM NEW 528872302 14631 809666 SH DFND 1,2,3 0 809666 0 LIBERTY MEDIA CORP DEB 4.000%11/1 530715AG6 8645 14000000 PRN DFND 1,2,3 0 14000000 0 LILLY ELI & CO COM 532457108 8090 100800 SH Call DFND 1,2,3 0 100800 0 LOCKHEED MARTIN CORP COM 539830109 11522 48066 SH DFND 1,2,3 0 48066 0 LOWES COS INC COM 548661107 16581 229616 SH DFND 1,2,3 0 229616 0 LUMENTUM HLDGS INC COM 55024U109 15415 369052 SH DFND 1,2,3 0 369052 0 MEDIWOUND LTD ORD SHS M68830104 651 84590 SH DFND 1,2,3 0 84590 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 10809 249913 SH DFND 1,2,3 0 249913 0 MOLSON COORS BREWING CO CL A 60871R100 9824 89473 SH DFND 1,2,3 0 89473 0 MONDELEZ INTL INC CL A 609207105 8780 200000 SH Call DFND 1,2,3 0 200000 0 MONSTER BEVERAGE CORP NEW COM 61174X109 6410 43659 SH DFND 1,2,3 0 43659 0 NEWELL BRANDS INC COM 651229106 127602 2423128 SH DFND 1,2,3 0 2423128 0 NEXSTAR BROADCASTING GROUP I CL A 65336K103 47032 814973 SH DFND 1,2,3 0 814973 0 NIVALIS THERAPEUTICS INC COM 65481J109 4404 541700 SH DFND 1,2,3 0 541700 0 NOBLE ENERGY INC COM 655044105 42988 1202805 SH DFND 1,2,3 0 1202805 0 NOMAD HLDGS LTD USD ORD SHS G6564A105 15115 1278750 SH DFND 1,2,3 0 1278750 0 NOVAN INC COM 66988N106 3994 197940 SH DFND 1,2,3 0 197940 0 OPHTHOTECH CORP COM 683745103 1527 33100 SH Call DFND 1,2,3 0 33100 0 OTONOMY INC COM 68906L105 9005 495074 SH DFND 1,2,3 0 495074 0 PBF ENERGY INC CL A 69318G106 12038 531700 SH DFND 1,2,3 0 531700 0 PEPSICO INC COM 713448108 6517 59920 SH DFND 1,2,3 0 59920 0 PINNACLE FOODS INC DEL COM 72348P104 30766 613226 SH DFND 1,2,3 0 613226 0 PROCTER AND GAMBLE CO COM 742718109 8076 89985 SH DFND 1,2,3 0 89985 0 RECRO PHARMA INC COM 75629F109 1017 115000 SH DFND 1,2,3 0 115000 0 RETROPHIN INC COM 761299106 8506 380075 SH DFND 1,2,3 0 380075 0 SAGE THERAPEUTICS INC COM 78667J108 23347 506990 SH DFND 1,2,3 0 506990 0 SAREPTA THERAPEUTICS INC COM 803607100 3071 50000 SH Put DFND 1,2,3 0 50000 0 SHERWIN WILLIAMS CO COM 824348106 13800 49880 SH DFND 1,2,3 0 49880 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 9322 322779 SH DFND 1,2,3 0 322779 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 381402 1763300 SH Put DFND 1,2,3 0 1763300 0 SPDR SERIES TRUST S&P BK ETF 78464A797 33453 1002200 SH Call DFND 1,2,3 0 1002200 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 13278 200300 SH Put DFND 1,2,3 0 200300 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 9028 1638410 SH DFND 1,2,3 0 1638410 0 T MOBILE US INC COM 872590104 14600 312500 SH DFND 1,2,3 0 312500 0 TARGA RES CORP COM 87612G101 2966 60400 SH DFND 1,2,3 0 60400 0 TEMPUR SEALY INTL INC COM 88023U101 14452 254700 SH DFND 1,2,3 0 254700 0 TESARO INC COM 881569107 6877 68608 SH DFND 1,2,3 0 68608 0 TESARO INC COM 881569107 5022 50100 SH Call DFND 1,2,3 0 50100 0 TONIX PHARMACEUTICALS HLDG C COM NEW 890260201 856 1227832 SH DFND 1,2,3 0 1227832 0 TRINA SOLAR LIMITED DBCV 3.500% 6/1 89628EAC8 4869 5000000 PRN DFND 1,2,3 0 5000000 0 TYSON FOODS INC CL A 902494103 16674 223309 SH DFND 1,2,3 0 223309 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 7382 300700 SH Call DFND 1,2,3 0 300700 0 VANDA PHARMACEUTICALS INC COM 921659108 6697 402456 SH DFND 1,2,3 0 402456 0 VANDA PHARMACEUTICALS INC COM 921659108 7525 452200 SH Call DFND 1,2,3 0 452200 0 VERSARTIS INC COM 92529L102 5893 481056 SH DFND 1,2,3 0 481056 0 VIRTU FINL INC CL A 928254101 4317 288408 SH DFND 1,2,3 0 288408 0 WESTROCK CO COM 96145D105 8831 182155 SH DFND 1,2,3 0 182155 0 WPX ENERGY INC COM 98212B103 31125 2359722 SH DFND 1,2,3 0 2359722 0 ZELTIQ AESTHETICS INC COM 98933Q108 3922 100000 SH Put DFND 1,2,3 0 100000 0