0001053906-21-000005.txt : 20210514
0001053906-21-000005.hdr.sgml : 20210514
20210514152101
ACCESSION NUMBER: 0001053906-21-000005
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210514
DATE AS OF CHANGE: 20210514
EFFECTIVENESS DATE: 20210514
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Artal Group S.A.
CENTRAL INDEX KEY: 0001053906
IRS NUMBER: 000000000
STATE OF INCORPORATION: N4
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15027
FILM NUMBER: 21924117
BUSINESS ADDRESS:
STREET 1: VALLEY PARK
STREET 2: 44, RUE DE LA VALLEE
CITY: LUXEMBOURG
STATE: N4
ZIP: L-2661
BUSINESS PHONE: (352) 22.42.59-1
MAIL ADDRESS:
STREET 1: VALLEY PARK
STREET 2: 44, RUE DE LA VALLEE
CITY: LUXEMBOURG
STATE: N4
ZIP: L-2661
FORMER COMPANY:
FORMER CONFORMED NAME: ARTAL GROUP S A
DATE OF NAME CHANGE: 19980128
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001053906
XXXXXXXX
03-31-2021
03-31-2021
false
Artal Group S.A.
VALLEY PARK
44, RUE DE LA VALLEE
LUXEMBOURG
N4
L-2661
13F HOLDINGS REPORT
028-15027
Y
The Reporting Manager does not have formal investment discretion with respect to all of the securities in the indicated rows in the Form 13F Information Table, but may be deemed to be part of a group exercising such investment discretion. Such group, if any, would include the managers identified in the column captioned "Other Managers" relating to a given issuer. The filing of this report shall not be deemed an admission, for purposes of Section 13(f), 13(d), 13(g), or 16(a) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the rules thereunder, or for any other purpose, that the Reporting Manager or any Other Manager exercises investment discretion or is a member of such a group with respect to such securities. Reference is made to reports filed under Sections 13(d), 13(g), and 16(a) for additional information with respect to such beneficial ownership and/or pecuniary interest of the Reporting Manager, any Other Manager and related entities.
Anne Goffard
Authorized Person
352224259-1
/s/ Anne Goffard
Luxembourg
N4
05-14-2021
7
148
5659662
1
0001460840
028-15028
Stichting Administratiekantoor Westend
2
0001283968
028-15029
Westend S.A.
3
0001522131
028-15031
Artal International Management S.A.
4
0001218180
028-15033
Artal International S.C.A.
5
0001766952
028-19088
Artal Treasury Ltd
6
0001340096
028-11522
Invus Public Equities Advisors, LLC
7
0001053905
028-19506
Artal Luxembourg S. A.
INFORMATION TABLE
2
infotable.xml
111 INC
ADS
68247Q102
13336
966349
SH
DFND
1,2,3,4,5,6
966349
0
0
AC IMMUNE SA
SHS
H00263105
7610
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
ACCELERON PHARMA INC
COM
00434H108
189854
1400000
SH
DFND
1,2,3,4,5,6
1400000
0
0
ACHILLES THERAPEUTICS PLC
SPONSORED ADS
00449L102
37326
2255375
SH
DFND
1,2,3,4,5,6
2255375
0
0
ADAGENE INC
ADS
005329107
14360
800000
SH
DFND
1,2,3,4,5,6
800000
0
0
ADVERUM BIOTECHNOLOGIES INC
COM
00773U108
23664
2400000
SH
DFND
1,2,3,4,5,6
2400000
0
0
AEGLEA BIOTHERAPEUTICS INC
COM
00773J103
8276
1045000
SH
DFND
1,2,3,4,5,6
1045000
0
0
AGENUS INC
COM NEW
00847G705
16320
6000000
SH
DFND
1,2,3,4,5,6
6000000
0
0
ALBIREO PHARMA INC
COM
01345P106
21150
600000
SH
DFND
1,2,3,4,5,6
600000
0
0
ALCOA CORP
COM
013872106
48735
1500000
SH
Call
DFND
1,2,3,4,5,6
1500000
0
0
ALLOVIR INC
COM
019818103
54367
2323371
SH
DFND
1,2,3,4,5,6
2323371
0
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
105893
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
ALPINE IMMUNE SCIENCES INC
COM
02083G100
6286
593030
SH
DFND
1,2,3,4,5,6
593030
0
0
ALX ONCOLOGY HLDGS INC
COM
00166B105
38714
525000
SH
DFND
1,2,3,4,5,6
525000
0
0
AMICUS THERAPEUTICS INC
COM
03152W109
37050
3750000
SH
DFND
1,2,3,4,5,6
3750000
0
0
APPLIED THERAPEUTICS INC
COM
03828A101
7502
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
APTINYX INC
COM
03836N103
18349
6116493
SH
DFND
1,2,3,4,5,6
6116493
0
0
ARAVIVE INC
COM
03890D108
8641
1311291
SH
DFND
1,2,3,4,5,6
1311291
0
0
ARGENX SE
SPONSORED ADR
04016X101
123926
450000
SH
DFND
1,2,3,4,5,6
450000
0
0
ATARA BIOTHERAPEUTICS INC
COM
046513107
28720
2000000
SH
DFND
1,2,3,4,5,6
2000000
0
0
AURINIA PHARMACEUTICALS INC
COM
05156V102
12985
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
AVIDITY BIOSCIENCES INC
COM
05370A108
3108
142500
SH
DFND
1,2,3,4,5,6
142500
0
0
AVIS BUDGET GROUP
COM
053774105
32643
450000
SH
DFND
1,2,3,4,5,6
450000
0
0
AXCELLA HEALTH INC
COM
05454B105
3392
712500
SH
DFND
1,2,3,4,5,6
712500
0
0
BK OF AMERICA CORP
COM
060505104
77380
2000000
SH
Call
DFND
1,2,3,4,5,6
2000000
0
0
BEIGENE LTD
SPONSORED ADR
07725L102
295868
850000
SH
DFND
1,2,3,4,5,6
850000
0
0
BELLUS HEALTH INC NEW
COM NEW
07987C204
18240
4750000
SH
DFND
1,2,3,4,5,6
4750000
0
0
BIOMARIN PHARMACEUTICAL INC
COM
09061G101
11327
150000
SH
Call
DFND
1,2,3,4,5,6
150000
0
0
BIONTECH SE
SPONSORED ADS
09075V102
98271
900000
SH
DFND
1,2,3,4
900000
0
0
BLACK DIAMOND THERAPEUTICS I
COM
09203E105
39945
1646517
SH
DFND
1,2,3,4,5,6
1646517
0
0
BRIDGEBIO PHARMA INC
COM
10806X102
15400
250000
SH
DFND
1,2,3,4,5,6
250000
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
63130
1000000
SH
Call
DFND
1,2,3,4,5,6
1000000
0
0
BROADCOM INC
COM
11135F101
34775
75000
SH
DFND
1,2,3,4,5,6
75000
0
0
CARDIFF ONCOLOGY INC
COM
14147L108
6945
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
CEREVEL THERAPEUTICS HLDNG I
*W EXP 06/09/202
15678U102
343
79600
SH
DFND
1,2,3,4,5,6
79600
0
0
CEREVEL THERAPEUTICS HLDNG I
COM
15678U128
34325
2500000
SH
DFND
1,2,3,4,5,6
2500000
0
0
CHEMOCENTRYX INC
COM
16383L106
38430
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
CHIASMA INC
COM
16706W102
1189
380000
SH
DFND
1,2,3,4,5,6
380000
0
0
CHINOOK THERAPEUTICS INC
COM
16961L106
2805
180500
SH
DFND
1,2,3,4,5,6
180500
0
0
CIDARA THERAPEUTICS INC
COM
171757107
598
224675
SH
DFND
1,2,3,4,5,6
224675
0
0
CITIGROUP INC
COM NEW
172967424
218250
3000000
SH
Call
DFND
1,2,3,4,5,6
3000000
0
0
CODIAK BIOSCIENCES INC
COM
192010106
3016
200000
SH
DFND
1,2,3,4,5,6
200000
0
0
CONTRAFECT CORP
COM NEW
212326300
7200
1500000
SH
DFND
1,2,3,4,5,6
1500000
0
0
COUPANG INC
CL A
22266T109
19740
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
CULLINAN ONCOLOGY INC
COM
230031106
4167
100000
SH
DFND
1,2,3,4,5,6
100000
0
0
CURIS INC
COM NEW
231269200
20430
1804729
SH
DFND
1,2,3,4,5,6
1804729
0
0
CYCLERION THERAPEUTICS INC
COM
23255M105
5040
1806531
SH
DFND
1,2,3,4,5,6
1806531
0
0
CYCLERION THERAPEUTICS INC
COM
23255M105
31
11053
SH
DFND
1,2,3,4
11053
0
0
DECIPHERA PHARMACEUTICALS IN
COM
24344T101
8968
200000
SH
DFND
1,2,3,4,5,6
200000
0
0
DENALI THERAPEUTICS INC
COM
24823R105
28550
500000
SH
DFND
1,2,3,4,5,6
500000
0
0
DESIGN THERAPEUTICS INC
COM
25056L103
11960
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
DICERNA PHARMACEUTICALS INC
COM
253031108
20456
800000
SH
DFND
1,2,3,4,5,6
800000
0
0
DYNE THERAPEUTICS INC
COM
26818M108
8153
525000
SH
DFND
1,2,3,4,5,6
525000
0
0
EVELO BIOSCIENCES INC
COM
299734103
10700
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
FATE THERAPEUTICS INC
COM
31189P102
107185
1300000
SH
DFND
1,2,3,4,5,6
1300000
0
0
FOGHORN THERAPEUTICS INC
COM
344174107
22679
1720720
SH
DFND
1,2,3,4,5,6
1720720
0
0
FORD MTR CO DEL
COM
345370860
85750
7000000
SH
Call
DFND
1,2,3,4,5,6
7000000
0
0
FORMA THERAPEUTICS HLDGS INC
SHS
34633R104
28020
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
32930
1000000
SH
Call
DFND
1,2,3,4,5,6
1000000
0
0
FUSION PHARMACEUTICALS INC
COM
36118A100
5781
539264
SH
DFND
1,2,3,4,5,6
539264
0
0
GDS HLDGS LTD
SPONSORED ADS
36165L108
8109
100000
SH
DFND
1,2,3,4,5,6
100000
0
0
GENERAL MTRS CO
COM
37045V100
201110
3500000
SH
Call
DFND
1,2,3,4,5,6
3500000
0
0
GENERATION BIO CO
COM
37148K100
80092
2814191
SH
DFND
1,2,3,4,5,6
2814191
0
0
GOSSAMER BIO INC
COM
38341P102
21820
2358968
SH
DFND
1,2,3,4,5,6
2358968
0
0
HARPOON THERAPEUTICS INC
COM
41358P106
20920
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
HOOKIPA PHARMA INC
COM
43906K100
8065
599616
SH
DFND
1,2,3,4,5,6
599616
0
0
IGM BIOSCIENCES INC
COM
449585108
86276
1125000
SH
DFND
1,2,3,4,5,6
1125000
0
0
IKENA ONCOLOGY INC
COM
45175G108
43774
1549513
SH
DFND
1,2,3,4,5,6
1549513
0
0
I MAB
SPONSORED ADS
44975P103
36353
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
IMMUNIC INC
COM
4525EP101
11158
700000
SH
DFND
1,2,3,4,5,6
700000
0
0
IMMUNOCORE HLDGS PLC
ADS
45258D105
8514
200000
SH
DFND
1,2,3,4,5,6
200000
0
0
INSTIL BIO INC
COM
45783C101
11286
450000
SH
DFND
1,2,3,4,5,6
450000
0
0
INTEL CORP
COM
458140100
51200
800000
SH
DFND
1,2,3,4,5,6
800000
0
0
INTEL CORP
COM
458140100
83200
1300000
SH
Call
DFND
1,2,3,4,5,6
1300000
0
0
INTELLIA THERAPEUTICS INC
COM
45826J105
20064
250000
SH
DFND
1,2,3,4,5,6
250000
0
0
IOVANCE BIOTHERAPEUTICS INC
COM
462260100
12664
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
IQIYI INC
SPONSORED ADS
46267X108
17036
1025000
SH
DFND
1,2,3,4,5,6
1025000
0
0
IRONWOOD PHARMACEUTICALS INC
COM CL A
46333X108
1236
110532
SH
DFND
1,2,3,4
110532
0
0
ITEOS THERAPEUTICS INC
COM
46565G104
37395
1094047
SH
DFND
1,2,3,4,5,6
1094047
0
0
KALEIDO BIOSCIENCES INC
COM
483347100
4054
500500
SH
DFND
1,2,3,4,5,6
500500
0
0
KE HLDGS INC
SPONSORED ADS
482497104
34188
600000
SH
DFND
1,2,3,4,5,6
600000
0
0
KINNATE BIOPHARMA INC
COM
49705R105
3895
125000
SH
DFND
1,2,3,4,5,6
125000
0
0
KRANESHARES TR
CSI CHI INTERNET
500767306
15270
200000
SH
Call
DFND
1,2,3,4,5,6
200000
0
0
KRONOS BIO INC
COM
50107A104
38577
1317954
SH
DFND
1,2,3,4,5,6
1317954
0
0
KRYSTAL BIOTECH INC
COM
501147102
38520
500000
SH
DFND
1,2,3,4,5,6
500000
0
0
KURA ONCOLOGY INC
COM
50127T109
16962
600000
SH
DFND
1,2,3,4,5,6
600000
0
0
KYMERA THERAPEUTICS INC
COM
501575104
9715
250000
SH
DFND
1,2,3,4,5,6
250000
0
0
LAVA THERAPEUTICS NV
SHS
N51517105
3038
200000
SH
DFND
1,2,3,4,5,6
200000
0
0
LEAP THERAPEUTICS INC
COM
52187K101
5700
3000000
SH
DFND
1,2,3,4,5,6
3000000
0
0
LEXICON PHARMACEUTICALS INC
COM NEW
528872302
20640
3516214
SH
DFND
1,2,3,4,5,6
3516214
0
0
LEXICON PHARMACEUTICALS INC
COM NEW
528872302
397177
67662150
SH
DFND
1,2,3,4
67662150
0
0
MANCHESTER UTD PLC NEW
ORD CL A
G5784H106
197
12488
SH
DFND
1,2,3,4,5,6
12488
0
0
MARINUS PHARMACEUTICALS INC
COM NEW
56854Q200
12384
800000
SH
DFND
1,2,3,4,5,6
800000
0
0
MEI PHARMA INC
COM NEW
55279B202
2607
760000
SH
DFND
1,2,3,4,5,6
760000
0
0
MEREO BIOPHARMA GROUP PLC
ADS
589492107
5055
1500000
SH
DFND
1,2,3,4,5,6
1500000
0
0
MERSANA THERAPEUTICS INC
COM
59045L106
19416
1200000
SH
DFND
1,2,3,4,5,6
1200000
0
0
METACRINE INC
COM
59101E103
5734
924898
SH
DFND
1,2,3,4,5,6
924898
0
0
MIRATI THERAPEUTICS INC
COM
60468T105
124193
725000
SH
DFND
1,2,3,4,5,6
725000
0
0
MORPHIC HLDG INC
COM
61775R105
115118
1819186
SH
DFND
1,2,3,4,5,6
1819186
0
0
NANOBIOTIX SA
SPONSORED ADS
63009J107
15040
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
NEXIMMUNE INC
COM
65344D109
22896
1200000
SH
DFND
1,2,3,4,5,6
1200000
0
0
NOVAGOLD RES INC
COM NEW
66987E206
22776
2600000
SH
DFND
1,2,3,4,5,6
2600000
0
0
OLEMA PHARMACEUTICALS INC
COM
68062P106
8643
260500
SH
DFND
1,2,3,4,5,6
260500
0
0
OMEGA ALPHA SPAC
CL A
G6749V107
7425
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
ORCHARD THERAPEUTICS PLC
ADS
68570P101
13096
1803858
SH
DFND
1,2,3,4,5,6
1803858
0
0
ORIC PHARMACEUTICALS INC
COM
68622P109
2450
100000
SH
DFND
1,2,3,4,5,6
100000
0
0
OVID THERAPEUTICS INC
COM
690469101
10050
2500000
SH
DFND
1,2,3,4,5,6
2500000
0
0
PRAXIS PRECISION MEDICINES I
COM
74006W108
24570
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
PROTAGONIST THERAPEUTICS INC
COM
74366E102
1943
75000
SH
DFND
1,2,3,4,5,6
75000
0
0
RELAY THERAPEUTICS INC
COM
75943R102
13828
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
REPARE THERAPEUTICS INC
COM
760273102
16880
550000
SH
DFND
1,2,3,4,5,6
550000
0
0
REPLIMUNE GROUP INC
COM
76029N106
24408
800000
SH
DFND
1,2,3,4,5,6
800000
0
0
RIGEL PHARMACEUTICALS INC
COM NEW
766559603
1098
321100
SH
DFND
1,2,3,4,5,6
321100
0
0
RUBIUS THERAPEUTICS INC
COM
78116T103
129420
4883791
SH
DFND
1,2,3,4,5,6
4883791
0
0
SAGE THERAPEUTICS INC
COM
78667J108
48653
650000
SH
DFND
1,2,3,4,5,6
650000
0
0
SANA BIOTECHNOLOGY INC
COM
799566104
13388
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
SCHLUMBERGER LTD
COM
806857108
27190
1000000
SH
Call
DFND
1,2,3,4,5,6
1000000
0
0
SCHOLAR ROCK HLDG CORP
COM
80706P103
101320
2000000
SH
DFND
1,2,3,4,5,6
2000000
0
0
SCHRODINGER INC
COM
80810D103
60837
797445
SH
DFND
1,2,3,4,5,6
797445
0
0
SEER INC
COM CL A
81578P106
279530
5588366
SH
DFND
1,2,3,4,5,6
5588366
0
0
SELECT SECTOR SPDR TR
ENERGY
81369Y506
2453
50000
SH
Call
DFND
1,2,3,4,5,6
50000
0
0
SELECTA BIOSCIENCES INC
COM
816212104
20363
4500000
SH
DFND
1,2,3,4,5,6
4500000
0
0
SERES THERAPEUTICS INC
COM
81750R102
4118
200000
SH
DFND
1,2,3,4,5,6
200000
0
0
SHOALS TECHNOLOGIES GROUP IN
CL A
82489W107
3478
100000
SH
DFND
1,2,3,4,5,6
100000
0
0
SIGILON THERAPEUTICS INC
COM
82657L107
6169
276000
SH
DFND
1,2,3,4,5,6
276000
0
0
SOLID BIOSCIENCES INC
COM
83422E105
12443
2250000
SH
DFND
1,2,3,4,5,6
2250000
0
0
SPDR SER TR
S&P BIOTECH
78464A870
67825
500000
SH
Call
DFND
1,2,3,4,5,6
500000
0
0
SPERO THERAPEUTICS INC
COM
84833T103
7360
500000
SH
DFND
1,2,3,4,5,6
500000
0
0
SPRINGWORKS THERAPEUTICS INC
COM
85205L107
29428
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
SQZ BIOTECHNOLOGIES CO
COM
78472W104
21974
1606309
SH
DFND
1,2,3,4,5,6
1606309
0
0
STOKE THERAPEUTICS INC
COM
86150R107
9710
250000
SH
DFND
1,2,3,4,5,6
250000
0
0
SURFACE ONCOLOGY INC
COM
86877M209
780
100000
SH
DFND
1,2,3,4,5,6
100000
0
0
SYROS PHARMACEUTICALS INC
COM
87184Q107
7667
1025000
SH
DFND
1,2,3,4,5,6
1025000
0
0
TAYSHA GENE THERAPIES INC
COM SHS
877619106
21130
1040882
SH
DFND
1,2,3,4,5,6
1040882
0
0
TCR2 THERAPEUTICS INC
COM
87808K106
16560
750000
SH
DFND
1,2,3,4,5,6
750000
0
0
TENCENT MUSIC ENTMT GROUP
SPONSORED ADS
88034P109
11270
550000
SH
DFND
1,2,3,4,5,6
550000
0
0
TG THERAPEUTICS INC
COM
88322Q108
72300
1500000
SH
DFND
1,2,3,4,5,6
1500000
0
0
TRANSLATE BIO INC
COM
89374L104
16490
1000000
SH
DFND
1,2,3,4,5,6
1000000
0
0
TRILLIUM THERAPEUTICS INC
COM NEW
89620X506
26850
2500000
SH
DFND
1,2,3,4,5,6
2500000
0
0
TRIP COM GROUP LTD
ADS
89677Q107
9908
250000
SH
DFND
1,2,3,4,5,6
250000
0
0
TURNING POINT THERAPEUTICS I
COM
90041T108
29578
312700
SH
DFND
1,2,3,4,5,6
312700
0
0
VIACOMCBS INC
CL B
92556H206
3044
67500
SH
DFND
1,2,3,4,5,6
67500
0
0
VOR BIOPHARMA INC
COM
929033108
23705
550000
SH
DFND
1,2,3,4,5,6
550000
0
0
WW INTL INC
COM
98262P101
463516
14818300
SH
DFND
1,2,3,4,7
14818300
0
0
Y-MABS THERAPEUTICS INC
COM
984241109
12096
400000
SH
DFND
1,2,3,4,5,6
400000
0
0
YUMANITY THERAPEUTICS INC
COM
98872L102
3935
217391
SH
DFND
1,2,3,4,5,6
217391
0
0
ZILLOW GROUP INC
CL C CAP STK
98954M200
12964
100000
SH
DFND
1,2,3,4,5,6
100000
0
0
ZYMEWORKS INC
COM
98985W102
14211
450000
SH
DFND
1,2,3,4,5,6
450000
0
0