-----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, BMd9qV/D96xOyy1JJBrE6eLANJA2M3BkN+4ZHZwkFrRKM45MWnV5ck1UUt+ByeOC m0MPU4spMcZl/IbVLrTYgA== 0001140361-11-008661.txt : 20110214 0001140361-11-008661.hdr.sgml : 20110214 20110214120408 ACCESSION NUMBER: 0001140361-11-008661 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20101231 FILED AS OF DATE: 20110214 DATE AS OF CHANGE: 20110214 EFFECTIVENESS DATE: 20110214 FILER: COMPANY DATA: COMPANY CONFORMED NAME: BAM Capital, LLC CENTRAL INDEX KEY: 0001355197 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-11852 FILM NUMBER: 11603835 BUSINESS ADDRESS: STREET 1: 237 PARK AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 212-692-6340 MAIL ADDRESS: STREET 1: 237 PARK AVENUE, 9TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 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: 12/31/2010 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 Capital, LLC Address: 1 Liberty Plaza 27th Floor New York, NY 10006 Form 13F File Number: 28-11852 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 2/14/2011 - --------------------------------- --------------------------------- ---------- [Signature] [City, State] [Date] 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: Form 13F SUMMARY PAGE Report Summary: Number of Other Included Managers: 3 Form 13F Information Table Entry Total: 143 Form 13F Information Table Value Total: $ 1,013,727 -------------- (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 - ---- -------------------- ---------------------------------------------------- 3 028-13504 BAM Management, LLC - ---- -------------------- ---------------------------------------------------- Notes on Information Table: (1) Information provided in Column 2 refers in each case to the underlying instrument. (2) The value of shares provided in Column 4 refers, in the case of options, to the value of shares underlying the options. (3) Number of shares provided in Column 5 refers, in the case of options, to the number of shares underlying the options. (4) 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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- ADOBE SYS INC COM 00724F101 9,000 292,400 CALL DEFINED 1,2,3 0 292,400 0 ALCON INC COM SHS H01301102 11,634 71,200 CALL DEFINED 1,2,3 0 71,200 0 ALCON INC COM SHS H01301102 13,072 80,000 PUT DEFINED 1,2,3 0 80,000 0 ALCON INC COM SHS H01301102 5,641 34,525 SH DEFINED 1,2,3 0 34,525 0 ALEXION PHARMACEUTICALS INC COM 015351109 8,434 104,700 PUT DEFINED 1,2,3 0 104,700 0 ALEXION PHARMACEUTICALS INC COM 015351109 7,733 96,000 CALL DEFINED 1,2,3 0 96,000 0 ALLOS THERAPEUTICS INC COM 019777101 176 38,200 CALL DEFINED 1,2,3 0 38,200 0 AMAG PHARMACEUTICALS INC COM 00163U106 597 33,000 CALL DEFINED 1,2,3 0 33,000 0 AMARIN CORP PLC SPONS ADR NEW 023111206 114 13,900 PUT DEFINED 1,2,3 0 13,900 0 AMARIN CORP PLC SPONS ADR NEW 023111206 5,063 617,400 CALL DEFINED 1,2,3 0 617,400 0 AMGEN INC COM 031162100 34,565 629,600 PUT DEFINED 1,2,3 0 629,600 0 AMGEN INC COM 031162100 25,971 473,065 SH DEFINED 1,2,3 0 473,065 0 AMYLIN PHARMACEUTICALS INC COM 032346108 1,106 75,184 SH DEFINED 1,2,3 0 75,184 0 AMYLIN PHARMACEUTICALS INC COM 032346108 6,028 409,800 CALL DEFINED 1,2,3 0 409,800 0 AMYLIN PHARMACEUTICALS INC COM 032346108 4,481 304,600 PUT DEFINED 1,2,3 0 304,600 0 ARENA PHARMACEUTICALS INC COM 040047102 124 71,830 SH DEFINED 1,2,3 0 71,830 0 ARENA PHARMACEUTICALS INC COM 040047102 711 413,300 PUT DEFINED 1,2,3 0 413,300 0 ARENA PHARMACEUTICALS INC COM 040047102 2,609 1,517,100 CALL DEFINED 1,2,3 0 1,517,100 0 ARIAD PHARMACEUTICALS INC COM 04033A100 5,838 1,144,800 CALL DEFINED 1,2,3 0 1,144,800 0 ARIAD PHARMACEUTICALS INC COM 04033A100 636 124,800 PUT DEFINED 1,2,3 0 124,800 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 916 224,600 CALL DEFINED 1,2,3 0 224,600 0 AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 815 199,700 PUT DEFINED 1,2,3 0 199,700 0 BIOCRYST PHARMACEUTICALS COM 09058V103 2,254 435,900 PUT DEFINED 1,2,3 0 435,900 0 BIOCRYST PHARMACEUTICALS COM 09058V103 2,200 425,585 SH DEFINED 1,2,3 0 425,585 0 BIODEL INC COM 09064M105 2,203 1,204,000 CALL DEFINED 1,2,3 0 1,204,000 0 BIOMIMETIC THERAPEUTICS INC COM 09064X101 615 48,400 CALL DEFINED 1,2,3 0 48,400 0 BIOMIMETIC THERAPEUTICS INC COM 09064X101 3,303 260,100 PUT DEFINED 1,2,3 0 260,100 0 BOISE INC *W EXP 06/18/201 09746Y113 69,762 8,797,245 DEFINED 1,2,3 0 8,797,245 0 BRISTOL MYERS SQUIBB CO COM 110122108 29,025 1,096,100 CALL DEFINED 1,2,3 0 1,096,100 0 BROCADE COMMUNICATIONS SYS I COM NEW 111621306 12,793 2,418,300 CALL DEFINED 1,2,3 0 2,418,300 0 CELGENE CORP COM 151020104 11,679 197,484 SH DEFINED 1,2,3 0 197,484 0 CELGENE CORP COM 151020104 1,774 30,000 CALL DEFINED 1,2,3 0 30,000 0 CELGENE CORP COM 151020104 29,588 500,300 PUT DEFINED 1,2,3 0 500,300 0 CELGENE CORP RIGHT 12/31/2011 151020112 13,528 228,738 DEFINED 1,2,3 0 228,738 0 CHELSEA THERAPEUTICS INTL LT COM 163428105 788 105,000 CALL DEFINED 1,2,3 0 105,000 0 CITIGROUP INC COM 172967101 1,082 228,800 PUT DEFINED 1,2,3 0 228,800 0 CITIGROUP INC COM 172967101 2,908 614,700 CALL DEFINED 1,2,3 0 614,700 0 CREE INC COM 225447101 11,372 172,594 SH DEFINED 1,2,3 0 172,594 0 CREE INC COM 225447101 47,902 727,000 PUT DEFINED 1,2,3 0 727,000 0 CREE INC COM 225447101 16,855 255,800 CALL DEFINED 1,2,3 0 255,800 0 CUBIST PHARMACEUTICALS INC COM 229678107 3,724 174,000 PUT DEFINED 1,2,3 0 174,000 0 CUBIST PHARMACEUTICALS INC COM 229678107 747 34,904 SH DEFINED 1,2,3 0 34,904 0 CUBIST PHARMACEUTICALS INC COM 229678107 507 23,700 CALL DEFINED 1,2,3 0 23,700 0 DELCATH SYS INC COM 24661P104 1,150 117,384 SH DEFINED 1,2,3 0 117,384 0 DELCATH SYS INC COM 24661P104 6,127 625,200 PUT DEFINED 1,2,3 0 625,200 0 DELCATH SYS INC COM 24661P104 1,716 175,100 CALL DEFINED 1,2,3 0 175,100 0 DELL INC COM 24702R101 136 10,000 CALL DEFINED 1,2,3 0 10,000 0 DENDREON CORP COM 24823Q107 29,668 849,600 CALL DEFINED 1,2,3 0 849,600 0 DENDREON CORP COM 24823Q107 46,499 1,331,600 PUT DEFINED 1,2,3 0 1,331,600 0 DENDREON CORP COM 24823Q107 3,356 96,092 SH DEFINED 1,2,3 0 96,092 0 DIGITAL RIV INC COM 25388B104 4,265 123,900 PUT DEFINED 1,2,3 0 123,900 0 EDWARDS LIFESCIENCES CORP COM 28176E108 2,320 28,700 PUT DEFINED 1,2,3 0 28,700 0 ELAN PLC ADR 284131208 547 95,300 PUT DEFINED 1,2,3 0 95,300 0 ELAN PLC ADR 284131208 4,831 841,700 CALL DEFINED 1,2,3 0 841,700 0 ELAN PLC ADR 284131208 459 80,000 SH DEFINED 1,2,3 0 80,000 0 FIRST SOLAR INC COM 336433107 35,893 275,800 PUT DEFINED 1,2,3 0 275,800 0 FIRST SOLAR INC COM 336433107 4,835 37,155 SH DEFINED 1,2,3 0 37,155 0 FORD MTR CO DEL COM PAR $0.01 345370860 2,519 150,000 CALL DEFINED 1,2,3 0 150,000 0 GERON CORP COM 374163103 156 30,000 CALL DEFINED 1,2,3 0 30,000 0 GERON CORP COM 374163103 350 67,525 SH DEFINED 1,2,3 0 67,525 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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- GERON CORP COM 374163103 223 42,900 PUT DEFINED 1,2,3 0 42,900 0 HANSEN MEDICAL INC COM 411307101 144 96,841 SH DEFINED 1,2,3 0 96,841 0 HOSPIRA INC COM 441060100 2,263 40,643 SH DEFINED 1,2,3 0 40,643 0 HOSPIRA INC COM 441060100 7,869 141,300 PUT DEFINED 1,2,3 0 141,300 0 HUMAN GENOME SCIENCES INC COM 444903108 34,519 1,444,900 PUT DEFINED 1,2,3 0 1,444,900 0 HUMAN GENOME SCIENCES INC COM 444903108 25,684 1,075,100 CALL DEFINED 1,2,3 0 1,075,100 0 IMMUCOR INC COM 452526106 2,536 127,900 CALL DEFINED 1,2,3 0 127,900 0 IMMUNOMEDICS INC COM 452907108 941 262,857 SH DEFINED 1,2,3 0 262,857 0 INCYTE CORP COM 45337C102 2,090 126,200 PUT DEFINED 1,2,3 0 126,200 0 INCYTE CORP COM 45337C102 658 39,746 SH DEFINED 1,2,3 0 39,746 0 INCYTE CORP COM 45337C102 182 11,000 CALL DEFINED 1,2,3 0 11,000 0 INSPIRE PHARMACEUTICALS INC COM 457733103 1,748 208,100 CALL DEFINED 1,2,3 0 208,100 0 INSPIRE PHARMACEUTICALS INC COM 457733103 833 99,200 PUT DEFINED 1,2,3 0 99,200 0 INTERDIGITAL INC COM 45867G101 391 9,400 CALL DEFINED 1,2,3 0 9,400 0 INTERDIGITAL INC COM 45867G101 77 1,846 SH DEFINED 1,2,3 0 1,846 0 INTERMUNE INC COM 45884X103 40,280 1,106,600 PUT DEFINED 1,2,3 0 1,106,600 0 INTERMUNE INC COM 45884X103 51,262 1,408,300 CALL DEFINED 1,2,3 0 1,408,300 0 INTERMUNE INC COM 45884X103 4,248 116,709 SH DEFINED 1,2,3 0 116,709 0 ISIS PHARMACEUTICALS INC COM 464330109 1,247 123,210 SH DEFINED 1,2,3 0 123,210 0 ISIS PHARMACEUTICALS INC COM 464330109 2,865 283,100 PUT DEFINED 1,2,3 0 283,100 0 JPMORGAN CHASE & CO COM 46625H100 3,372 79,500 PUT DEFINED 1,2,3 0 79,500 0 JPMORGAN CHASE & CO COM 46625H100 3,398 80,113 SH DEFINED 1,2,3 0 80,113 0 KENDLE INTERNATIONAL INC COM 48880L107 245 22,500 CALL DEFINED 1,2,3 0 22,500 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 9,327 2,036,500 PUT DEFINED 1,2,3 0 2,036,500 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 2,113 461,298 SH DEFINED 1,2,3 0 461,298 0 KERYX BIOPHARMACEUTICALS INC COM 492515101 2,821 615,900 CALL DEFINED 1,2,3 0 615,900 0 MANNKIND CORP COM 56400P201 27,818 3,451,400 CALL DEFINED 1,2,3 0 3,451,400 0 MANNKIND CORP COM 56400P201 8,943 1,109,600 PUT DEFINED 1,2,3 0 1,109,600 0 MEDIVATION INC COM 58501N101 1,654 109,000 CALL DEFINED 1,2,3 0 109,000 0 MEDIVATION INC COM 58501N101 27 1,809 SH DEFINED 1,2,3 0 1,809 0 MEDIVATION INC COM 58501N101 59 3,900 PUT DEFINED 1,2,3 0 3,900 0 MEDTRONIC INC COM 585055106 7,158 193,000 CALL DEFINED 1,2,3 0 193,000 0 MELA SCIENCES INC COM 55277R100 0 20 DEFINED 1,2,3 0 20 0 MELA SCIENCES INC COM 55277R100 637 190,000 PUT DEFINED 1,2,3 0 190,000 0 MELA SCIENCES INC COM 55277R100 5,064 1,511,500 CALL DEFINED 1,2,3 0 1,511,500 0 MERCADOLIBRE INC COM 58733R102 4,845 72,700 PUT DEFINED 1,2,3 0 72,700 0 MERCADOLIBRE INC COM 58733R102 2,492 37,400 SH DEFINED 1,2,3 0 37,400 0 MYRIAD GENETICS INC COM 62855J104 2,291 100,300 CALL DEFINED 1,2,3 0 100,300 0 NETFLIX INC COM 64110L106 6,413 36,500 PUT DEFINED 1,2,3 0 36,500 0 NETFLIX INC COM 64110L106 9,020 51,339 SH DEFINED 1,2,3 0 51,339 0 NPS PHARMACEUTICALS INC COM 62936P103 2,506 317,200 CALL DEFINED 1,2,3 0 317,200 0 NPS PHARMACEUTICALS INC COM 62936P103 1,488 188,300 PUT DEFINED 1,2,3 0 188,300 0 NUVASIVE INC COM 670704105 1,602 62,455 SH DEFINED 1,2,3 0 62,455 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 542 47,900 CALL DEFINED 1,2,3 0 47,900 0 OPTIMER PHARMACEUTICALS INC COM 68401H104 153 13,500 PUT DEFINED 1,2,3 0 13,500 0 OREXIGEN THERAPEUTICS INC COM 686164104 5,368 664,300 PUT DEFINED 1,2,3 0 664,300 0 OREXIGEN THERAPEUTICS INC COM 686164104 1,189 147,200 CALL DEFINED 1,2,3 0 147,200 0 OREXIGEN THERAPEUTICS INC COM 686164104 1,104 136,631 SH DEFINED 1,2,3 0 136,631 0 PHARMACYCLICS INC COM 716933106 273 44,900 PUT DEFINED 1,2,3 0 44,900 0 PHARMACYCLICS INC COM 716933106 438 72,000 CALL DEFINED 1,2,3 0 72,000 0 PHARMACYCLICS INC COM 716933106 43 7,034 SH DEFINED 1,2,3 0 7,034 0 PONIARD PHARMACEUTICALS INC COM NEW 732449301 104 200,000 CALL DEFINED 1,2,3 0 200,000 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 399 40,000 PUT DEFINED 1,2,3 0 40,000 0 PROTALIX BIOTHERAPEUTICS INC COM 74365A101 568 56,900 CALL DEFINED 1,2,3 0 56,900 0 REGENERON PHARMACEUTICALS COM 75886F107 6,852 208,700 PUT DEFINED 1,2,3 0 208,700 0 REGENERON PHARMACEUTICALS COM 75886F107 371 11,300 SH DEFINED 1,2,3 0 11,300 0 SALIX PHARMACEUTICALS INC COM 795435106 1,775 37,800 PUT DEFINED 1,2,3 0 37,800 0 SALIX PHARMACEUTICALS INC COM 795435106 6,109 130,100 CALL DEFINED 1,2,3 0 130,100 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 2,362 212,000 CALL DEFINED 1,2,3 0 212,000 0 SAVIENT PHARMACEUTICALS INC COM 80517Q100 2,370 212,706 SH DEFINED 1,2,3 0 212,706 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 - ---------------------------- ---------------- --------- -------- --------- --- ---- ---------- -------- ---- --------- ---- SAVIENT PHARMACEUTICALS INC COM 80517Q100 3,346 300,400 PUT DEFINED 1,2,3 0 300,400 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 5,214 326,900 PUT DEFINED 1,2,3 0 326,900 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 4,091 256,500 CALL DEFINED 1,2,3 0 256,500 0 SEQUENOM INC COM NEW 817337405 8,658 1,078,200 CALL DEFINED 1,2,3 0 1,078,200 0 SEQUENOM INC COM NEW 817337405 6,023 750,100 PUT DEFINED 1,2,3 0 750,100 0 TARGACEPT INC COM 87611R306 201 7,600 CALL DEFINED 1,2,3 0 7,600 0 TIVO INC COM 888706108 18,190 2,107,800 CALL DEFINED 1,2,3 0 2,107,800 0 TIVO INC COM 888706108 11,431 1,324,600 PUT DEFINED 1,2,3 0 1,324,600 0 TIVO INC COM 888706108 3,433 397,854 SH DEFINED 1,2,3 0 397,854 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 19,187 303,500 CALL DEFINED 1,2,3 0 303,500 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 15,261 241,400 PUT DEFINED 1,2,3 0 241,400 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 5,669 89,675 SH DEFINED 1,2,3 0 89,675 0 VALEANT PHARMACEUTICALS INTL COM 91911K102 4,453 157,400 PUT DEFINED 1,2,3 0 157,400 0 VERTEX PHARMACEUTICALS INC COM 92532F100 3,282 93,700 CALL DEFINED 1,2,3 0 93,700 0 VERTEX PHARMACEUTICALS INC COM 92532F100 8,575 244,800 PUT DEFINED 1,2,3 0 244,800 0 VICAL INC COM 925602104 432 213,769 SH DEFINED 1,2,3 0 213,769 0 VIVUS INC COM 928551100 1,519 162,068 SH DEFINED 1,2,3 0 162,068 0 VIVUS INC COM 928551100 2,333 249,000 CALL DEFINED 1,2,3 0 249,000 0 VIVUS INC COM 928551100 9,493 1,013,100 PUT DEFINED 1,2,3 0 1,013,100 0 XENOPORT INC COM 98411C100 1,251 146,800 CALL DEFINED 1,2,3 0 146,800 0 XENOPORT INC COM 98411C100 17 2,000 PUT DEFINED 1,2,3 0 2,000 0 YAHOO INC COM 984332106 11,503 691,700 CALL DEFINED 1,2,3 0 691,700 0 YAHOO INC COM 984332106 2,092 125,800 PUT DEFINED 1,2,3 0 125,800 0
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