0000893750-12-000125.txt : 20121114
0000893750-12-000125.hdr.sgml : 20121114
20121114172803
ACCESSION NUMBER: 0000893750-12-000125
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20120930
FILED AS OF DATE: 20121114
DATE AS OF CHANGE: 20121114
EFFECTIVENESS DATE: 20121114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Artal Group S.A.
CENTRAL INDEX KEY: 0001053906
IRS NUMBER: 000000000
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-15027
FILM NUMBER: 121205731
BUSINESS ADDRESS:
STREET 1: 10-12 AVENUE PASTEUR
CITY: LUXEMBOURG
STATE: N4
ZIP: L-2310
BUSINESS PHONE: (352) 22.42.59-1
MAIL ADDRESS:
STREET 1: C/O THE INVUS GROUP, LLC
STREET 2: 750 LEXINGTON AVE
CITY: NEW YORK
STATE: NY
ZIP: 10022
FORMER COMPANY:
FORMER CONFORMED NAME: ARTAL GROUP S A
DATE OF NAME CHANGE: 19980128
13F-HR
1
form13fhr.txt
FORM 13F-HR
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: SEPTEMBER 30, 2012
------------------
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: ARTAL GROUP S.A.
Address: 10-12 avenue Pasteur, L-2310
Luxembourg, Luxembourg
Form 13F File Number: 028-15027
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.* **
Person Signing this Report on Behalf of Reporting Manager:
Name: Anne Goffard
Title: Authorized Person
Phone: 352224259-1
Signature, Place and Date of Signing:
/s/ Anne Goffard New York, NY November 14, 2012
---------------- ------------ -----------------
[Signature] [City, State] [Date]
* The Reporting Manager does not have formal investment discretion with respect
to all of the securities in the indicated rows, 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 Included 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 Included Manager
and related entities.
** Although the Reporting Manager is not yet required to file reports pursuant
to Section 13(f) of the Exchange Act, the Reporting Manager is voluntarily
filing this report to continue the public reporting of certain securities
previously reported on Form 13F by Ulys, L.L.C. On March 31, 2012, Ulys, L.L.C.
transferred its limited liability company interests in Invus Advisors, L.L.C.
and Invus Public Equities Advisors, LLC to Artal International S.C.A. As a
result, Artal International S.C.A., a wholly owned subsidiary of Artal Group
S.A., replaced Ulys, L.L.C. as the managing member of each of Invus Advisors,
L.L.C. and Invus Public Equities, LLC and, along with the persons controlling
it, assumed investment discretion over the securities held by Invus Advisors,
L.L.C. and Invus Public Equities, LLC.
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).)
FORM 13F SUMMARY PAGE
Report Summary:
Number of Other Included Managers: 6
Form 13F Information Table Entry Total: 66
Form 13F Information Table Value Total: $2,806,656 (in thousands)
List of Other Included Managers:
Provide a numbered list of the name(s) and Form 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. 028-15028 Stichting Administratiekantoor Westend
2. 028-15029 Westend S.A.
3. 028-15031 Artal International Management S.A.
4. 028-15033 Artal International S.C.A.
5. 028-11522 Invus Public Equities Advisors, LLC
6. 028-14596 Invus Advisors, L.L.C.
ARTAL GROUP S.A.
FORM 13F INFORMATION TABLE
QUARTER ENDED SEPTEMBER 30, 2012
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
---------------------------- ---------------- --------- --------- ----------- --- ---- ---------- --------- ----------- ------ ----
ACORDA THERAPEUTICS INC COM 00484M106 38,415 1,500,000 SH DEFINED 1,2,3,4,5 1,500,000
ACORDA THERAPEUTICS INC COM 00484M106 2,561 100,000 SH CALL DEFINED 1,2,3,4,5 100,000
AFFYMETRIX INC COM 00826T108 11,935 2,750,000 SH DEFINED 1,2,3,4,5 2,750,000
AFFYMETRIX INC COM 00826T108 2,170 500,000 SH CALL DEFINED 1,2,3,4,5 500,000
AGENUS INC COM NEW 00847G705 1,891 410,130 SH DEFINED 1,2,3,4,5 410,130
AMARIN CORP PLC SPONS ADR NEW 023111206 12,261 975,000 SH DEFINED 1,2,3,4,5 975,000
AMERICAN INTL GROUP INC COM NEW 026874784 6,558 200,000 SH DEFINED 1,2,3,4,5 200,000
ARCH COAL INC COM 039380100 3,798 600,000 SH CALL DEFINED 1,2,3,4,5 600,000
ARCOS DORADOS HOLDINGS INC SHS CLASS -A G0457F107 15,430 1,000,000 SH DEFINED 1,2,3,4,5 1,000,000
ARRAY BIOPHARMA INC COM 04269X105 16,354 2,797,900 SH DEFINED 1,2,3,4,5 2,797,900
AUXILIUM PHARMACEUTICALS INC COM 05334D107 52,276 2,137,200 SH DEFINED 1,2,3,4,5 2,137,200
AUXILIUM PHARMACEUTICALS INC COM 05334D107 3,669 150,000 SH CALL DEFINED 1,2,3,4,5 150,000
AUXILIUM PHARMACEUTICALS INC COM 05334D107 12,230 500,000 SH CALL DEFINED 1,2,3,4,5 500,000
AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 8,907 2,783,500 SH DEFINED 1,2,3,4,5 2,783,500
AVANIR PHARMACEUTICALS INC CL A NEW 05348P401 1,600 500,000 SH CALL DEFINED 1,2,3,4,5 500,000
BAIDU INC SPON ADR REP A 056752108 7,013 60,000 SH DEFINED 1,2,3,4,5 60,000
BANK OF AMERICA CORPORATION COM 060505104 883 100,000 SH DEFINED 1,2,3,4,5 100,000
BANK OF AMERICA CORPORATION COM 060505104 883 100,000 SH CALL DEFINED 1,2,3,4,5 100,000
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
---------------------------- ---------------- --------- --------- ----------- --- ---- ---------- --------- ----------- ------ ----
BEAZER HOMES USA INC COM 07556Q105 3,550 1,000,000 SH DEFINED 1,2,3,4,5 1,000,000
BIODEL INC COM NEW 09064M204 863 290,740 SH DEFINED 1,2,3,4,5 290,740
BIOMARIN PHARMACEUTICAL INC COM 09061G101 18,117 450,000 SH DEFINED 1,2,3,4,5 450,000
BRF-BRASIL FOODS S A SPONSORED ADR 10552T107 11,245 650,000 SH DEFINED 1,2,3,4,5 650,000
CAPITAL ONE FINL CORP COM 14040H105 22,804 400,000 SH CALL DEFINED 1,2,3,4,5 400,000
CEMENTOS PACASMAYO S A A SPON ADR REP 5 15126Q109 4,552 400,000 SH DEFINED 1,2,3,4,5 400,000
CERES INC COM 156773103 23,043 4,056,935 SH DEFINED 1,2,3,4 4,056,935
CISCO SYS INC COM 17275R102 13,370 700,000 SH CALL DEFINED 1,2,3,4,5 700,000
COACH INC COM 189754104 5,602 100,000 SH PUT DEFINED 1,2,3,4,5 100,000
CONSTANT CONTACT INC COM 210313102 1,740 100,000 SH PUT DEFINED 1,2,3,4,5 100,000
CITIGROUP INC UNIT 99/99/9999 172967416 4,170 43,000 SH DEFINED 1,2,3,4,5 43,000
EXPRESS SCRIPTS HLDG CO COM 30219G108 26,618 425,000 SH DEFINED 1,2,3,4,5 425,000
EXPRESS SCRIPTS HLDG CO COM 30219G108 6,263 100,000 SH CALL DEFINED 1,2,3,4,5 100,000
EXPRESS SCRIPTS HLDG CO COM 30219G108 12,526 200,000 SH CALL DEFINED 1,2,3,4,5 200,000
FACEBOOK INC CL A 30303M102 4,332 200,000 SH CALL DEFINED 1,2,3,4,5 200,000
FLUIDIGM CORP DEL COM 34385P108 5,319 312,899 SH DEFINED 1,2,3,4,6 312,899
FORD MOTOR CO COM PAR $0.01 345370860 9,860 1,000,000 SH CALL DEFINED 1,2,3,4,5 1,000,000
FOREST LABS INC COM 345838106 10,683 300,000 SH CALL DEFINED 1,2,3,4,5 300,000
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
---------------------------- ---------------- --------- --------- ----------- --- ---- ---------- --------- ----------- ------ ----
FURIEX PHARMACEUTICALS INC COM 36106P101 17,714 928,400 SH DEFINED 1,2,3,4,5 928,400
IMMUNOGEN INC COM 45253H101 17,508 1,200,000 SH DEFINED 1,2,3,4,5 1,200,000
IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 2,772 216,879 SH DEFINED 1,2,3,4,6 216,879
ISHARES TR BARCLYS 20+ YR 464287432 18,633 150,000 SH PUT DEFINED 1,2,3,4,5 150,000
ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 13,752 900,000 SH DEFINED 1,2,3,4,5 900,000
ITAU UNIBANCO HLDG SA SPON ADR REP PFD 465562106 7,640 500,000 SH CALL DEFINED 1,2,3,4,5 500,000
LEXICON PHARMACEUTICALS INC COM 528872104 12,884 5,553,292 SH DEFINED 1,2,3,4,5 5,553,292
LEXICON PHARMACEUTICALS INC COM 528872104 567,980 244,818,843 SH DEFINED 1,2,3,4,6 244,818,843
LILLY ELI & CO COM 532457108 18,964 400,000 SH CALL DEFINED 1,2,3,4,5 400,000
MERITOR INC COM 59001K100 7,420 1,750,000 SH DEFINED 1,2,3,4,5 1,750,000
METLIFE INC COM 59156R108 25,845 750,000 SH DEFINED 1,2,3,4,5 750,000
METLIFE INC COM 59156R108 6,892 200,000 SH CALL DEFINED 1,2,3,4,5 200,000
MICROVISION INC *W EXP 07/23/201 594960163 18 360,515 SH DEFINED 1,2,3,4,5 360,515
MORGAN STANLEY COM NEW 617446448 4,185 250,000 SH CALL DEFINED 1,2,3,4,5 250,000
MORGAN STANLEY COM NEW 617446448 8,370 500,000 SH CALL DEFINED 1,2,3,4,5 500,000
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
---------------------------- ---------------- --------- --------- ----------- --- ---- ---------- --------- ----------- ------ ----
NEKTAR THERAPEUTICS COM 640268108 24,713 2,315,000 SH DEFINED 1,2,3,4,5 2,315,000
ONYX PHARMACEUTICALS INC COM 683399109 21,125 250,000 SH DEFINED 1,2,3,4,5 250,000
ONYX PHARMACEUTICALS INC COM 683399109 8,450 100,000 SH CALL DEFINED 1,2,3,4,5 100,000
PACIFIC BIOSCIENCE CALIF IN COM 69404D108 366 200,000 SH DEFINED 1,2,3,4,5 200,000
PFIZER INC COM 717081103 27,335 1,100,000 SH CALL DEFINED 1,2,3,4,5 1,100,000
POTASH CORP SASK INC COM 73755L107 6,513 150,000 SH DEFINED 1,2,3,4,5 150,000
PROCTER & GAMBLE CO COM 742718109 27,744 400,000 SH CALL DEFINED 1,2,3,4,5 400,000
QUALCOMM INC COM 747525103 24,988 400,000 SH CALL DEFINED 1,2,3,4,5 400,000
SELECT SECTOR SPDR TR SBI INT-ENERGY 81369Y506 18,358 250,000 SH CALL DEFINED 1,2,3,4,5 250,000
SMART TECHNOLOGIES INC CL A SUB VTG S 83172R108 1,790 1,098,369 SH DEFINED 1,2,3,4,5 1,098,369
TEMPUR PEDIC INTL INC COM 88023U101 2,690 90,000 SH CALL DEFINED 1,2,3,4,5 90,000
VIPSHOP HLDGS LTD SPONSORED ADR 92763W103 6,320 842,700 SH DEFINED 1,2,3,4,5 842,700
VRINGO INC COM 92911N104 1,015 350,000 SH CALL DEFINED 1,2,3,4,5 350,000
WEIGHT WATCHERS INTL INC NEW COM 948626106 1,517,952 28,749,089 SH DEFINED 1,2,3,4 28,749,089
XOMA CORP DEL COM 98419J107 3,229 875,000 SH DEFINED 1,2,3,4,5 875,000