Form 13F-HR KINGDON CAPITAL MANAGEME For: Mar 31
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The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
03-31-2021 |
| 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: |
KINGDON CAPITAL MANAGEMENT, L.L.C. |
| Address: |
152 WEST 57TH STREET |
|
50TH FLOOR |
|
|
|
NEW YORK
,
NY10019
|
| Form 13F File Number: |
028-04575 |
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: |
William Walsh |
| Title: |
Chief Financial Officer |
| Phone: |
212-333-0100 |
| Signature, Place, and Date of Signing: |
| William Walsh |
New York
,
NY
|
05-17-2021 |
| [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).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
0 |
|
|
|
Form 13F Information Table Entry Total: |
62 |
|
Form 13F Information Table Value Total: |
978,940 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
| 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.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| 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 |
MANAGER |
SOLE |
SHARED |
NONE |
| ADICET BIO INC |
COM |
007002108 |
1,308 |
100,000 |
SH |
|
DFND |
1,2,3,4 |
100,000 |
0 |
0 |
| ALLIANCE DATA SYSTEMS CORP |
COM |
018581108 |
18,697 |
166,800 |
SH |
|
DFND |
1,2,3,4 |
166,800 |
0 |
0 |
| ALPHABET INC |
CAP STK CL A |
02079K305 |
26,699 |
12,945 |
SH |
|
DFND |
1,2,3,4 |
12,945 |
0 |
0 |
| AMAZON COM INC |
COM |
023135106 |
7,992 |
2,583 |
SH |
|
DFND |
1,2,3,4 |
2,583 |
0 |
0 |
| API GROUP CORP |
COM STK |
00187Y100 |
31,610 |
1,528,544 |
SH |
|
DFND |
1,2,3,4 |
1,528,544 |
0 |
0 |
| APOLLO GLOBAL MGMT INC |
COM CL A |
03768E105 |
11,753 |
250,000 |
SH |
|
DFND |
1,2,3,4 |
250,000 |
0 |
0 |
| ARAMARK |
COM |
03852U106 |
14,058 |
372,100 |
SH |
|
DFND |
1,2,3,4 |
372,100 |
0 |
0 |
| ATHENEX INC |
COM |
04685N103 |
6,656 |
1,547,879 |
SH |
|
DFND |
1,2,3,4 |
1,547,879 |
0 |
0 |
| AURINIA PHARMACEUTICALS INC |
COM |
05156V102 |
22,700 |
1,748,208 |
SH |
|
DFND |
1,2,3,4 |
1,748,208 |
0 |
0 |
| BAIDU INC |
SPON ADR REP A |
056752108 |
5,439 |
25,000 |
SH |
Call |
DFND |
1,2,3,4 |
25,000 |
0 |
0 |
| BAIDU INC |
SPON ADR REP A |
056752108 |
11,164 |
51,315 |
SH |
|
DFND |
1,2,3,4 |
51,315 |
0 |
0 |
| BEYOND AIR INC |
COM |
08862L103 |
3,824 |
695,228 |
SH |
|
DFND |
1,2,3,4 |
695,228 |
0 |
0 |
| BIOHAVEN PHARMACTL HLDG CO L |
COM |
G11196105 |
58,799 |
860,261 |
SH |
|
DFND |
1,2,3,4 |
860,261 |
0 |
0 |
| BK OF AMERICA CORP |
COM |
060505104 |
11,607 |
300,000 |
SH |
|
DFND |
1,2,3,4 |
300,000 |
0 |
0 |
| CALIFORNIA RES CORP |
COM STOCK |
13057Q305 |
703 |
29,199 |
SH |
|
DFND |
1,2,3,4 |
29,199 |
0 |
0 |
| CANADIAN PAC RY LTD |
COM |
13645T100 |
13,370 |
35,250 |
SH |
|
DFND |
1,2,3,4 |
35,250 |
0 |
0 |
| CARA THERAPEUTICS INC |
COM |
140755109 |
15,774 |
726,583 |
SH |
|
DFND |
1,2,3,4 |
726,583 |
0 |
0 |
| CITIGROUP INC |
COM NEW |
172967424 |
14,550 |
200,000 |
SH |
|
DFND |
1,2,3,4 |
200,000 |
0 |
0 |
| CMC MATERIALS INC |
COM |
12571T100 |
12,798 |
72,390 |
SH |
|
DFND |
1,2,3,4 |
72,390 |
0 |
0 |
| COGNIZANT TECHNOLOGY SOLUTIO |
CL A |
192446102 |
6,968 |
89,200 |
SH |
|
DFND |
1,2,3,4 |
89,200 |
0 |
0 |
| CROWN HLDGS INC |
COM |
228368106 |
22,951 |
236,512 |
SH |
|
DFND |
1,2,3,4 |
236,512 |
0 |
0 |
| DANAHER CORPORATION |
COM |
235851102 |
15,283 |
67,900 |
SH |
|
DFND |
1,2,3,4 |
67,900 |
0 |
0 |
| DISNEY WALT CO |
COM |
254687106 |
18,618 |
100,900 |
SH |
|
DFND |
1,2,3,4 |
100,900 |
0 |
0 |
| EUCRATES BIOMEDICAL ACQU COR |
UNIT 10/23/2027 |
G3141W114 |
2,012 |
200,000 |
SH |
|
DFND |
1,2,3,4 |
200,000 |
0 |
0 |
| EXICURE INC |
COM |
30205M101 |
740 |
339,395 |
SH |
|
DFND |
1,2,3,4 |
339,395 |
0 |
0 |
| FACEBOOK INC |
CL A |
30303M102 |
39,270 |
133,331 |
SH |
|
DFND |
1,2,3,4 |
133,331 |
0 |
0 |
| FIDELITY NATL INFORMATION SV |
COM |
31620M106 |
11,516 |
81,900 |
SH |
|
DFND |
1,2,3,4 |
81,900 |
0 |
0 |
| FLEX LTD |
ORD |
Y2573F102 |
11,154 |
609,191 |
SH |
|
DFND |
1,2,3,4 |
609,191 |
0 |
0 |
| FLEXION THERAPEUTICS INC |
COM |
33938J106 |
9,564 |
1,068,580 |
SH |
|
DFND |
1,2,3,4 |
1,068,580 |
0 |
0 |
| GENOCEA BIOSCIENCES INC |
COM NEW |
372427401 |
5,344 |
1,972,056 |
SH |
|
DFND |
1,2,3,4 |
1,972,056 |
0 |
0 |
| GREAT ELM GROUP INC |
COM NEW |
39037G109 |
3,072 |
1,259,049 |
SH |
|
DFND |
1,2,3,4 |
1,259,049 |
0 |
0 |
| GTY TECHNOLOGY HOLDINGS INC |
COM |
362409104 |
7,410 |
1,159,600 |
SH |
|
DFND |
1,2,3,4 |
1,159,600 |
0 |
0 |
| INFLARX NV |
COM |
N44821101 |
1,560 |
400,000 |
SH |
|
DFND |
1,2,3,4 |
400,000 |
0 |
0 |
| INVESCO QQQ TR |
UNIT SER 1 |
46090E103 |
64,145 |
201,000 |
SH |
Put |
DFND |
1,2,3,4 |
201,000 |
0 |
0 |
| ISHARES TR |
EXPANDED TECH |
464287515 |
25,607 |
75,000 |
SH |
Put |
DFND |
1,2,3,4 |
75,000 |
0 |
0 |
| ISHARES TR |
RUSSELL 2000 ETF |
464287655 |
68,933 |
312,000 |
SH |
Put |
DFND |
1,2,3,4 |
312,000 |
0 |
0 |
| LITHIA MTRS INC |
CL A |
536797103 |
19,020 |
48,758 |
SH |
|
DFND |
1,2,3,4 |
48,758 |
0 |
0 |
| MEDICUS SCIENCES ACQUISITION |
UNIT 99/99/9999 |
G5960S116 |
2,955 |
300,000 |
SH |
|
DFND |
1,2,3,4 |
300,000 |
0 |
0 |
| MICROSOFT CORP |
COM |
594918104 |
17,423 |
73,900 |
SH |
|
DFND |
1,2,3,4 |
73,900 |
0 |
0 |
| MOLECULAR TEMPLATES INC |
COM |
608550109 |
12,134 |
961,495 |
SH |
|
DFND |
1,2,3,4 |
961,495 |
0 |
0 |
| ON SEMICONDUCTOR CORP |
COM |
682189105 |
15,113 |
363,200 |
SH |
|
DFND |
1,2,3,4 |
363,200 |
0 |
0 |
| PERIDOT ACQUISITION CORP |
SHS CL A |
G7008A115 |
2,982 |
280,000 |
SH |
|
DFND |
1,2,3,4 |
280,000 |
0 |
0 |
| PROMETHEUS BIOSCIENCES INC |
COM |
74349U108 |
730 |
40,000 |
SH |
|
DFND |
1,2,3,4 |
40,000 |
0 |
0 |
| PURECYCLE TECHNOLOGIES INC |
COM |
74623V103 |
3,705 |
145,300 |
SH |
|
DFND |
1,2,3,4 |
145,300 |
0 |
0 |
| RAPT THERAPEUTICS INC |
COM |
75382E109 |
3,330 |
150,000 |
SH |
Call |
DFND |
1,2,3,4 |
150,000 |
0 |
0 |
| RAPT THERAPEUTICS INC |
COM |
75382E109 |
4,973 |
224,021 |
SH |
|
DFND |
1,2,3,4 |
224,021 |
0 |
0 |
| SCYNEXIS INC |
COM NEW |
811292200 |
4,661 |
587,048 |
SH |
|
DFND |
1,2,3,4 |
587,048 |
0 |
0 |
| SEA LTD |
SPONSORD ADS |
81141R100 |
5,893 |
26,400 |
SH |
|
DFND |
1,2,3,4 |
26,400 |
0 |
0 |
| SEA LTD |
SPONSORD ADS |
81141R100 |
11,162 |
50,000 |
SH |
Call |
DFND |
1,2,3,4 |
50,000 |
0 |
0 |
| SESEN BIO INC |
COM |
817763105 |
3,410 |
1,311,672 |
SH |
|
DFND |
1,2,3,4 |
1,311,672 |
0 |
0 |
| SHIFT4 PMTS INC |
CL A |
82452J109 |
13,025 |
158,821 |
SH |
|
DFND |
1,2,3,4 |
158,821 |
0 |
0 |
| SOL GEL TECHNOLOGIES |
SHS |
M8694L103 |
10,310 |
832,800 |
SH |
|
DFND |
1,2,3,4 |
832,800 |
0 |
0 |
| SPDR S&P 500 ETF TR |
TR UNIT |
78462F103 |
158,532 |
400,000 |
SH |
Put |
DFND |
1,2,3,4 |
400,000 |
0 |
0 |
| SYNCHRONY FINANCIAL |
COM |
87165B103 |
10,165 |
250,000 |
SH |
|
DFND |
1,2,3,4 |
250,000 |
0 |
0 |
| SYNOVUS FINL CORP |
COM NEW |
87161C501 |
6,863 |
150,000 |
SH |
|
DFND |
1,2,3,4 |
150,000 |
0 |
0 |
| TENABLE HLDGS INC |
COM |
88025T102 |
4,766 |
131,700 |
SH |
|
DFND |
1,2,3,4 |
131,700 |
0 |
0 |
| TRILOGY METALS INC NEW |
COM |
89621C105 |
3,581 |
1,673,461 |
SH |
|
DFND |
1,2,3,4 |
1,673,461 |
0 |
0 |
| TWILIO INC |
CL A |
90138F102 |
10,018 |
29,400 |
SH |
Put |
DFND |
1,2,3,4 |
29,400 |
0 |
0 |
| TWILIO INC |
CL A |
90138F102 |
10,035 |
29,450 |
SH |
|
DFND |
1,2,3,4 |
29,450 |
0 |
0 |
| VERTIV HOLDINGS CO |
COM CL A |
92537N108 |
22,713 |
1,135,672 |
SH |
|
DFND |
1,2,3,4 |
1,135,672 |
0 |
0 |
| WNS HLDGS LTD |
SPON ADR |
92932M101 |
7,534 |
104,010 |
SH |
|
DFND |
1,2,3,4 |
104,010 |
0 |
0 |
| WORKDAY INC |
CL A |
98138H101 |
10,258 |
41,292 |
SH |
|
DFND |
1,2,3,4 |
41,292 |
0 |
0 |
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