0000919574-17-008134.txt : 20171114
0000919574-17-008134.hdr.sgml : 20171114
20171114165829
ACCESSION NUMBER: 0000919574-17-008134
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20170930
FILED AS OF DATE: 20171114
DATE AS OF CHANGE: 20171114
EFFECTIVENESS DATE: 20171114
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: 171202599
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
09-30-2017
09-30-2017
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
11-14-2017
4
117
1534533
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.
4
0001697178
028-17903
Kingdon Credit Master Fund L.P.
INFORMATION TABLE
2
infotable.xml
AETNA INC NEW
COM
00817Y108
20724
130334
SH
DFND
1,2,3,4
130334
0
0
ALCOA CORP
COM
013872106
33934
727886
SH
DFND
1,2,3,4
727886
0
0
ALCOBRA LTD
SHS
M2239P109
302
298982
SH
DFND
1,2,3,4
298982
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADR
01609W102
17358
99930
SH
DFND
1,2,3,4
99930
0
0
ALTABA INC
COM
021346101
69031
1042128
SH
DFND
1,2,3,4
1042128
0
0
AMERICAN AIRLS GROUP INC
COM
02376R102
630
450000
SH
DFND
1,2,3,4
450000
0
0
AMERICAN INTL GROUP INC
COM NEW
026874784
37466
610290
SH
DFND
1,2,3,4
610290
0
0
APPLIED MATLS INC
COM
038222105
25488
489300
SH
DFND
1,2,3,4
489300
0
0
AXOVANT SCIENCES LTD
COM
G0750W104
788
114600
SH
Call
DFND
1,2,3,4
114600
0
0
BANK AMER CORP
COM
060505104
6068
239444
SH
DFND
1,2,3,4
239444
0
0
BANK AMER CORP
COM
060505104
37503
1480000
SH
Call
DFND
1,2,3,4
1480000
0
0
BAOZUN INC
SPONSORED ADR
06684L103
7827
238924
SH
DFND
1,2,3,4
238924
0
0
BOEING CO
COM
097023105
29889
117575
SH
DFND
1,2,3,4
117575
0
0
BOSTON SCIENTIFIC CORP
COM
101137107
8509
291717
SH
DFND
1,2,3,4
291717
0
0
BUILDERS FIRSTSOURCE INC
COM
12008R107
16905
939670
SH
DFND
1,2,3,4
939670
0
0
CAPITAL ONE FINL CORP
COM
14040H105
14432
170468
SH
DFND
1,2,3,4
170468
0
0
CARNIVAL CORP
UNIT 99/99/9999
143658300
1743
27000
SH
DFND
1,2,3,4
27000
0
0
CBRE GROUP INC
CL A
12504L109
19157
505721
SH
DFND
1,2,3,4
505721
0
0
CENTENE CORP DEL
COM
15135B101
14673
151632
SH
DFND
1,2,3,4
151632
0
0
CHARTER COMMUNICATIONS INC N
CL A
16119P108
15062
41445
SH
DFND
1,2,3,4
41445
0
0
CHEESECAKE FACTORY INC
COM
163072101
632
15000
SH
DFND
1,2,3,4
15000
0
0
CLOVIS ONCOLOGY INC
COM
189464100
4944
60000
SH
Call
DFND
1,2,3,4
60000
0
0
CLOVIS ONCOLOGY INC
COM
189464100
12851
155962
SH
DFND
1,2,3,4
155962
0
0
CME GROUP INC
COM CL A
12572Q105
18262
134599
SH
DFND
1,2,3,4
134599
0
0
COCA COLA EUROPEAN PARTNERS
SHS
G25839104
54005
1297579
SH
DFND
1,2,3,4
1297579
0
0
COLGATE PALMOLIVE CO
COM
194162103
1985
27242
SH
DFND
1,2,3,4
27242
0
0
COMCAST CORP NEW
CL A
20030N101
11596
301341
SH
DFND
1,2,3,4
301341
0
0
COMSTOCK RES INC
NOTE 7.750% 4/0
205768AM6
1253
1566520
PRN
DFND
1,2,3,4
1566520
0
0
CONAGRA BRANDS INC
COM
205887102
9112
270056
SH
DFND
1,2,3,4
270056
0
0
CONSTELLATION BRANDS INC
CL A
21036P108
4615
23137
SH
DFND
1,2,3,4
23137
0
0
CONSTELLIUM NV
CL A
N22035104
18582
1812864
SH
DFND
1,2,3,4
1812864
0
0
DAVE & BUSTERS ENTMT INC
COM
238337109
2059
39233
SH
DFND
1,2,3,4
39233
0
0
DOWDUPONT INC
COM
26078J100
54911
793171
SH
DFND
1,2,3,4
793171
0
0
EASTERLY ACQUISITION CORP
COM
27616L102
5000
500000
SH
DFND
1,2,3,4
500000
0
0
EXELIXIS INC
COM
30161Q104
2423
100000
SH
Call
DFND
1,2,3,4
100000
0
0
EXPEDIA INC DEL
COM NEW
30212P303
9412
65389
SH
DFND
1,2,3,4
65389
0
0
FACEBOOK INC
CL A
30303M102
30715
179758
SH
DFND
1,2,3,4
179758
0
0
FATE THERAPEUTICS INC
COM
31189P102
1534
387294
SH
DFND
1,2,3,4
387294
0
0
FERROGLOBE PLC
SHS
G33856108
3944
299670
SH
DFND
1,2,3,4
299670
0
0
FLEXION THERAPEUTICS INC
COM
33938J106
3627
150000
SH
Call
DFND
1,2,3,4
150000
0
0
FLEXION THERAPEUTICS INC
COM
33938J106
21359
883321
SH
DFND
1,2,3,4
883321
0
0
FORTIVE CORP
COM
34959J108
19502
275495
SH
DFND
1,2,3,4
275495
0
0
GAMING & LEISURE PPTYS INC
COM
36467J108
728
19736
SH
DFND
1,2,3,4
19736
0
0
GENWORTH FINL INC
COM CL A
37247D106
3167
822508
SH
DFND
1,2,3,4
822508
0
0
GRACE W R & CO DEL NEW
COM
38388F108
5263
72940
SH
DFND
1,2,3,4
72940
0
0
GRACE W R & CO DEL NEW
COM
38388F108
9019
125000
SH
Call
DFND
1,2,3,4
125000
0
0
GREAT ELM CAP GROUP INC
COM
390320109
4493
1265700
SH
DFND
1,2,3,4
1265700
0
0
GTY TECHNOLOGY HOLDINGS INC
CL A
G4182A102
12552
1200000
SH
DFND
1,2,3,4
1200000
0
0
HARRIS CORP DEL
COM
413875105
11118
84433
SH
DFND
1,2,3,4
84433
0
0
HERON THERAPEUTICS INC
COM
427746102
6702
415000
SH
Call
DFND
1,2,3,4
415000
0
0
HERON THERAPEUTICS INC
COM
427746102
32467
2010325
SH
DFND
1,2,3,4
2010325
0
0
HONEYWELL INTL INC
COM
438516106
10294
72625
SH
DFND
1,2,3,4
72625
0
0
HORIZON PHARMA INVT LTD
NOTE 2.500% 3/1
44052TAB7
14676
16250000
PRN
DFND
1,2,3,4
16250000
0
0
HUMANA INC
COM
444859102
14209
58320
SH
DFND
1,2,3,4
58320
0
0
INOTEK PHARMACEUTICALS CORP
NOTE 5.750% 8/0
45780VAB8
7572
9700000
PRN
DFND
1,2,3,4
9700000
0
0
JAGUAR ANIMAL HEALTH INC
COM
47010C201
258
1291976
SH
DFND
1,2,3,4
1291976
0
0
KELLOGG CO
COM
487836108
1559
25000
SH
DFND
1,2,3,4
25000
0
0
KEMPHARM INC
NOTE 5.500% 2/0
488445AB3
1826
3000000
PRN
DFND
1,2,3,4
3000000
0
0
KIMBERLY CLARK CORP
COM
494368103
1765
15000
SH
Call
DFND
1,2,3,4
15000
0
0
KRAFT HEINZ CO
COM
500754106
2907
37484
SH
DFND
1,2,3,4
37484
0
0
LEXICON PHARMACEUTICALS INC
COM NEW
528872302
824
67055
SH
DFND
1,2,3,4
67055
0
0
LIBERTY MEDIA CORP
DEB 4.000%11/1
530715AG6
9230
13000000
PRN
DFND
1,2,3,4
13000000
0
0
LOWES COS INC
COM
548661107
2413
30179
SH
DFND
1,2,3,4
30179
0
0
MARVELL TECHNOLOGY GROUP LTD
ORD
G5876H105
6669
372577
SH
DFND
1,2,3,4
372577
0
0
MCDONALDS CORP
COM
580135101
2049
13078
SH
DFND
1,2,3,4
13078
0
0
MICRON TECHNOLOGY INC
COM
595112103
56616
1439508
SH
DFND
1,2,3,4
1439508
0
0
MICRON TECHNOLOGY INC
NOTE 3.000% 11/1
595112AY9
8291
6000000
PRN
DFND
1,2,3,4
6000000
0
0
MONSTER BEVERAGE CORP NEW
COM
61174X109
980
17731
SH
DFND
1,2,3,4
17731
0
0
MYLAN N V
SHS EURO
N59465109
6274
200000
SH
Call
DFND
1,2,3,4
200000
0
0
NEW RELIC INC
COM
64829B100
9211
184951
SH
DFND
1,2,3,4
184951
0
0
NEWELL BRANDS INC
COM
651229106
558
13074
SH
DFND
1,2,3,4
13074
0
0
NEWELL BRANDS INC
COM
651229106
17068
400000
SH
Call
DFND
1,2,3,4
400000
0
0
NEXSTAR MEDIA GROUP INC
CL A
65336K103
29272
469850
SH
DFND
1,2,3,4
469850
0
0
NOMAD FOODS LTD.
USD ORD SHS
G6564A105
16556
1136329
SH
DFND
1,2,3,4
1136329
0
0
OTONOMY INC
COM
68906L105
1372
422100
SH
Call
DFND
1,2,3,4
422100
0
0
PEABODY ENERGY CORP NEW
COM
704551100
5824
200743
SH
DFND
1,2,3,4
200743
0
0
PINNACLE FOODS INC DEL
COM
72348P104
13930
243661
SH
DFND
1,2,3,4
243661
0
0
POWERSHARES QQQ TRUST
UNIT SER 1
73935A104
72725
500000
SH
Put
DFND
1,2,3,4
500000
0
0
RAYTHEON CO
COM NEW
755111507
10432
55913
SH
DFND
1,2,3,4
55913
0
0
RECRO PHARMA INC
COM
75629F109
2334
259948
SH
DFND
1,2,3,4
259948
0
0
SALESFORCE COM INC
COM
79466L302
15928
170497
SH
DFND
1,2,3,4
170497
0
0
SANMINA CORPORATION
COM
801056102
2787
75029
SH
DFND
1,2,3,4
75029
0
0
SAREPTA THERAPEUTICS INC
COM
803607100
454
10000
SH
DFND
1,2,3,4
10000
0
0
SCHULMAN A INC
COM
808194104
27375
801602
SH
DFND
1,2,3,4
801602
0
0
SELECT SECTOR SPDR TR
SBI CONS STPLS
81369Y308
16194
300000
SH
Put
DFND
1,2,3,4
300000
0
0
SELECT SECTOR SPDR TR
SBI INT-FINL
81369Y605
103440
4000000
SH
Call
DFND
1,2,3,4
4000000
0
0
SHERWIN WILLIAMS CO
COM
824348106
15867
44317
SH
DFND
1,2,3,4
44317
0
0
SINCLAIR BROADCAST GROUP INC
CL A
829226109
9245
288466
SH
DFND
1,2,3,4
288466
0
0
SPDR SERIES TRUST
S&P OILGAS EXP
78464A730
19602
575000
SH
DFND
1,2,3,4
575000
0
0
SPIRIT RLTY CAP INC NEW
COM
84860W102
5173
603611
SH
DFND
1,2,3,4
603611
0
0
STEADYMED LTD
SHS
M84920103
1686
503140
SH
DFND
1,2,3,4
503140
0
0
SUNPOWER CORP
DBCV 4.000% 1/1
867652AL3
9840
12000000
PRN
DFND
1,2,3,4
12000000
0
0
SYNCHRONY FINL
COM
87165B103
13836
445589
SH
DFND
1,2,3,4
445589
0
0
SYNERGY PHARMACEUTICALS DEL
COM NEW
871639308
2231
769140
SH
DFND
1,2,3,4
769140
0
0
T MOBILE US INC
COM
872590104
6166
100000
SH
Call
DFND
1,2,3,4
100000
0
0
T MOBILE US INC
COM
872590104
11489
186322
SH
DFND
1,2,3,4
186322
0
0
TAL ED GROUP
SPONSORED ADS
874080104
22477
666780
SH
DFND
1,2,3,4
666780
0
0
TE CONNECTIVITY LTD
REG SHS
H84989104
12484
150301
SH
DFND
1,2,3,4
150301
0
0
TEMPUR SEALY INTL INC
COM
88023U101
6406
99280
SH
DFND
1,2,3,4
99280
0
0
TJX COS INC NEW
COM
872540109
737
10000
SH
DFND
1,2,3,4
10000
0
0
TYSON FOODS INC
CL A
902494103
11469
162796
SH
DFND
1,2,3,4
162796
0
0
ULTA BEAUTY INC
COM
90384S303
2952
13060
SH
DFND
1,2,3,4
13060
0
0
ULTRA PETROLEUM CORP
COM NEW
903914208
4335
500000
SH
DFND
1,2,3,4
500000
0
0
UNITEDHEALTH GROUP INC
COM
91324P102
12409
63358
SH
DFND
1,2,3,4
63358
0
0
UNITI GROUP INC
COM
91325V108
1100
75000
SH
DFND
1,2,3,4
75000
0
0
UNITI GROUP INC
COM
91325V108
5864
400000
SH
Put
DFND
1,2,3,4
400000
0
0
VANDA PHARMACEUTICALS INC
COM
921659108
1006
56200
SH
Call
DFND
1,2,3,4
56200
0
0
VERTEX PHARMACEUTICALS INC
COM
92532F100
5414
35612
SH
DFND
1,2,3,4
35612
0
0
VULCAN MATLS CO
COM
929160109
15286
127811
SH
DFND
1,2,3,4
127811
0
0
WABCO HLDGS INC
COM
92927K102
10095
68207
SH
DFND
1,2,3,4
68207
0
0
WARRIOR MET COAL INC
COM
93627C101
8971
380597
SH
DFND
1,2,3,4
380597
0
0
WINDSTREAM HLDGS INC
COM NEW
97382A200
620
350000
SH
DFND
1,2,3,4
350000
0
0
WISDOMTREE INVTS INC
COM
97717P104
2809
30000
SH
Put
DFND
1,2,3,4
30000
0
0
WPX ENERGY INC
COM
98212B103
17289
1503420
SH
DFND
1,2,3,4
1503420
0
0
WRIGHT MED GROUP N V
ORD SHS 0.03 PAR
N96617118
3268
126319
SH
DFND
1,2,3,4
126319
0
0
XPO LOGISTICS INC
COM
983793100
40361
595465
SH
DFND
1,2,3,4
595465
0
0
YUM CHINA HLDGS INC
COM
98850P109
4853
121422
SH
DFND
1,2,3,4
121422
0
0