-----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, VGm2xC43YeDlj1eDOZPcWqf1wS/jjFPV7MGSHBc25mMJgeEZ1Bl9Wc83VgFlNNZs +kVsILaNeeBDoehdxKFKvQ== 0001104659-06-078847.txt : 20061201 0001104659-06-078847.hdr.sgml : 20061201 20061201105552 ACCESSION NUMBER: 0001104659-06-078847 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20061129 FILED AS OF DATE: 20061201 DATE AS OF CHANGE: 20061201 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: KNOTT DAVID M CENTRAL INDEX KEY: 0000808722 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-33093 FILM NUMBER: 061249932 MAIL ADDRESS: STREET 1: 485 UNDERHILL BLVD STREET 2: STE 205 CITY: SYOSSET STATE: NY ZIP: 11791-3419 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: LIGAND PHARMACEUTICALS INC CENTRAL INDEX KEY: 0000886163 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 770160744 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 10275 SCIENCE CENTER DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121-1117 BUSINESS PHONE: 8585507500 MAIL ADDRESS: STREET 1: 10275 SCIENCE CENTER DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121-1117 4 1 a4.xml 4 X0202 4 2006-11-29 0 0000886163 LIGAND PHARMACEUTICALS INC LGND 0000808722 KNOTT DAVID M 485 UNDERHILL BLVD STE 205 SYOSSET NY 11791-3419 0 0 1 0 Common Stock 2006-11-29 4 C 0 148383 6.1732 A 2419383 I By Knott Partners, L.P. Common Stock 2006-11-29 4 C 0 70141 6.1732 A 1326841 I By Shoshone Partners, L.P. Common Stock 18400 I By Mulsanne Partners, L.P. Common Stock 2006-11-29 4 C 0 140931 6.1732 A 3929331 I By Matterhorn Offshore Fund Limited Common Stock 2006-11-29 4 C 0 259184 6.1732 A 291584 I By Ostra Capital Partners, L.P. Common Stock 153830 I By Richard Murawczyk Common Stock 2006-11-29 4 C 0 29318 6.1732 A 478018 I By Managed Accounts 6% Convertible Subordinated Notes due 2007 6.1732 2006-11-29 4 C 0 916000 0 D 2002-11-26 2007-11-16 Common Stock 148383 0 I By Knott Partners, L.P. 6% Convertible Subordinated Notes due 2007 6.1732 2006-11-29 4 C 0 433000 0 D 2002-11-26 2007-11-16 Common Stock 70141 0 I By Shoshone Partners, L.P. 6% Convertible Subordinated Notes due 2007 6.1732 2006-11-29 4 C 0 870000 0 D 2002-11-26 2007-11-16 Common Stock 140931 0 I By Matterhorn Offshore Fund Limited 6% Convertible Subordinated Notes due 2007 6.1732 2006-11-29 4 C 0 1600000 0 D 2002-11-26 2007-11-16 Common Stock 259184 0 I By Ostra Capital Partners, L.P. 6% Convertible Subordinated Notes due 2007 6.1732 2006-11-29 4 C 0 181000 0 D 2002-11-26 2007-11-16 Common Stock 29318 0 I By Managed Accounts The Reporting Person is the managing member of Knott Partners, Management, LLC, which is (i) the sole general partner of Shoshone Partners, L.P. and Mulsanne Partners, L.P. and (ii) the managing general partner of Knott Partners, L.P. The Reporting Person is also a general partner of Knott Partners, L.P. The Reporting Person is the sole shareholder, director and president of Dorset Management Corporation, which (i) provides investment management services to Matterhorn Offshore Fund Limited and (ii) is the employer of Richard Murawczyk, the managing member of the general partner of Ostra Capital partners, L.P. and Ostra Capital Partners VII, L.P., with which Dorset Management Corporation has a trading relationship. The entry represents securities of the issuer held by managed accounts for which Dorset Management Corporation provides investment management services (the "Managed Accounts"). As a result of the Reporting Person's interests in Knott Partners Management, LLC and in Dorset Management Corporation, the Reporting Person has investment discretion and control of the securities represented in this entry. The Reporting Person may be deemed to beneficially own an indirect pecuniary interest in the securities represented in this entry as a result of its performance-related fee. Except with respect to Knott Partners, L.P. and Shoshone Partners, L.P., in which the Reporting Person owns a beneficial interest, the Reporting Person disclaims beneficial ownership therein except to the extent ultimately realized. Each of the Knott Partners, L.P., Shoshone Partners, L.P., Mulsanne Partners, L.P., Matterhorn Offshore Fund limited, Ostra Capital Partners, L.P., Ostra Capital Partners VII, L.P. and the Managed Accounts disclaims beneficial ownership of securities reported as owned by any other party. /s/ David M. Knott 2006-11-30 -----END PRIVACY-ENHANCED MESSAGE-----