13D/G Filings Archive (Q3/2012) | Sector-Focused Funds

9/28/12 – Flamel Technologies ADR (FLML), a biotech company engaged in the development of nanogel Medusa drug delivery technology for controlled peritoneal delivery of proteins and peptides, in which healthcare-focused hedge fund Broadfin Capital filed SEC Form SC 13G on September 28th, 2012, indicating that it holds 1.30 million or 5.2% of outstanding shares, a new position for it since reporting at the end of Q2/2012.

9/28/12 – Pacira Pharmaceuticals (PCRX), that develops specialty pharmaceuticals using its proprietary DepoFoam drug delivery technology for use in hospitals and ambulatory surgery centers, in which the world’s largest healthcare-focused investment firm Orbimed Advisors filed SEC Form SC 13D/A on September 28th, 2012, indicating that it holds 1.62 million or 4.997% of outstanding shares, a decrease from the 2.00 million shares that it reported holding at the end of Q2/2012.

9/26/12 – Sunesis Pharmaceuticals Inc. (SNSS), a development-stage biotech focused on the development and commercialization of oncology therapeutics for the treatment of hematologic and solid tumor cancers, in which biotech-focused hedge fund RA Capital Management filed SEC Form SC 13G on September 26th, 2012, indicating that it holds 2.54 million or 5.4% of outstanding shares, a new position for it since it reported at the end of Q2/2012.

9/21/12 – Sunesis Pharmaceuticals Inc. (SNSS), a development-stage biotech focused on the development and commercialization of oncology therapeutics for the treatment of hematologic and solid tumor cancers, in which healthcare-focused hedge fund Visium Asset Management filed SEC Form SC 13G on September 21st, 2012, indicating that it holds 4.48 million or 9.4% of outstanding shares, an increase from the 0.73 million shares that it reported holding at the end of Q2/2012.

9/20/12 – Complete Genomics Inc. (GNOM), that is a life sciences company that is engaged in the development and commercialization of an innovative DNA sequencing platform that can provide customers with data that is ready to be used for genome-based research, in which the world’s largest healthcare-focused investment firm Orbimed Advisors filed SEC Form SC 13D/A on September 20th, 2012, indicating that it holds 1.72 million or 4.99% of outstanding shares, a decrease from the 4.16 million shares that it reported holding at the end of Q2/2012; earlier, Orbimed filed SEC Form SC 13D/A on July 19th, 2012, that it held 3.02 million shares of GNOM.

9/17/12 – Calix Inc. (CALX), that manufactures and markets broadband telecommunications access and network management solutions that enable communications service providers to connect to their residential and business subscribers, in which small-cap tech-focused hedge fund Invicta Capital Management filed SEC Form SC 13G/A on September 17th, 2012, indicating that it holds 1.27 million or 2.6% of outstanding shares, a decrease from the 1.56 million shares that it reported holding at the end of 2Q/2012; earlier in the quarter, Invicta filed SEC Form SC 13G on August 15th, that it had increased its holding of CALX to 2.63 million shares.

9/10/12 – Amyris Inc. (AMRS), that sells ethanol produced by third parties under short-term agreements through a network of storage terminals, in which tech-focused hedge fund Artis Capital Management filed SEC Form SC 13G/A on September 10th, 2012, indicating that it holds 1.76 million or 3.0% of outstanding shares, a new position for it since it reported at the end of Q2/2012.

9/10/12 – Banner Corp. (BANR), a bank holding company headquartered in Washington State and serving the Pacific Northwest with comprehensive financial service offerings via full-service branches located throughout WA, OR, and ID, in which small and micro-cap financials-focused hedge fund Second Curve Capital filed SEC Form SC 13G/A on September 10th, 2012, indicating that it holds 0.92 million or 4.8% of outstanding shares, a decrease from the 1.15 million shares that it reported holding at the end of Q2/2012.

9/10/12 – Mercantile Bank Corp. (MBWM), a bank holding company for Mercantile Bank of Michigan with 7 offices primarily serving Kent and Ottawa counties in MI, providing banking services to small- and mid-sized businesses, individuals and governmental units, in which small and micro-cap financials-focused hedge fund Second Curve Capital filed SEC Form SC 13G/A on September 10th, 2012, indicating that it holds 0.28 million or 3.2% of outstanding shares, a decrease from the 0.42 million shares that it reported holding at the end of Q2/2012.

9/10/12 – Powerwave Technologies Inc. (PWAV), a manufacturer of antennas, boosters, combiners, cabinets, shelter and filters for wireless telecom networks worldwide, in which tech-focused hedge fund Artis Capital Management filed SEC Form SC 13G/A on September 10th, 2012, indicating that it holds 2.56 million or 8.1% of outstanding shares, a decrease from the 6.18 million shares that it reported holding at the end of Q2/2012.

9/10/12 – US Energy Corp. (USEG), a diversified natural resources company engaged in the acquisition and development of oil & gas producing properties, and also holding interest in molybdenum and geothermal properties, in which gold and resource-focused mutual fund manager Sprott Inc. filed SEC Form SC 13G/A on September 10th, 2012, indicating that it holds 1.33 million or 4.8% of outstanding shares, a decrease from the 1.50 million shares that it reported holding at the end of Q2/2012.

9/4/12 – Nova Measuring Instruments (NVMI), an Israeli manufacturer of process control monitoring and measurement metrology systems used in the fabrication of semiconductors, in which small-cap tech-focused hedge fund Invicta Capital Management filed SEC Form SC 13G/A on September 4th, 2012, indicating that it holds 1.36 million or 5.1% of outstanding shares, an increase from the 0.77 million shares that it reported holding at the end of 2Q/2012.

8/30/12 – Senomyx Inc. (SNMX), a developer of flavors, flavor enhancers and taste modulators for packaged food and beverage industries, in which biotech-focused hedge fund RA Capital Management filed SEC Form SC 13G on August 30th, 2012, indicating that it holds 2.76 million or 6.9% of outstanding shares, a new position for it since it reported at the end of Q2/2012.

8/28/12 – Catalyst Pharmaceutical Partners Inc. (CPRX), a biotech company that focuses on the development and commercialization of prescription drugs indicated for the treatment of cocaine, methamphetamine and other addictive disorders, and epilepsy, in which small-cap tech-focused hedge fund Sophrosyne Capital filed SEC Form SC 13G/A on August 28th, 2012, indicating that it holds 2.07 million or 6.5% of outstanding shares, an increase from the 1.73 million shares that it reported holding at the end of Q2/2012.

8/15/12 – Nxstage Medical Inc. (NXTM), that manufactures a hemodialysis system to treat end stage renal disease, acute kidney failure and fluid overload, in which the world’s largest healthcare-focused investment firm Orbimed Advisors filed SEC Form SC 13D/A on August 15th, 2012, indicating that it holds 3.84 million or 6.4% of outstanding shares, an increase from the 2.73 million shares that it reported holding at the end of Q2/2012.

8/14/12 – Solta Medical Inc. (SLTM), that develops medical aesthetic and therapeutic solutions, including Thermage, a non-invasive RF procedure for tightening and contouring skin, and Fraxel, a solution to resurface aging and sun-damaged skin, in which healthcare-focused hedge fund Broadfin Capital filed SEC Form SC 13G on August 14th, 2012, indicating that it holds 3.47 million or 5.6% of outstanding shares, an increase from the 2.82 million shares that it reported holding at the end of Q2/2012.

8/8/12 – Endocyte Inc. (ECYT), that develops targeted therapies using small molecule drug conjugates for the treatment of cancer and inflammatory diseases, in which Swiss biotech-focused hedge fund BB Biotech filed SEC Form SC 13G on August 8th, indicating that it holds 1.82 million or 5.1% of outstanding shares, an increase from the 1.35 million shares that it reported holding at the end of Q2/2012.

7/30/12 – Amarin Corp. (AMRN), a clinical stage Ireland-based global pharmaceutical group which develops novel drugs for the treatment of cardiovascular diseases using its proprietary advanced oral and trans-dermal drug delivery technologies, in which UK-based healthcare-focused international investment group Abingworth LLP filed SEC Form SC 13D/A on July 30th, indicating that it holds 8.17 million or 5.6% of outstanding shares, a decrease from the 10.09 million shares that it reported holding at the end of Q2/2012.

7/30/12 – LinkedIn Corp. (LNKD), that operates an online professional network via its proprietary social networking platform, in which tech-focused hedge fund Tiger Global Management filed SEC Form SC 13D/A on July 30th, 2012, indicating that it holds 2.42 million shares, a decrease from the 3.32 million shares that it reported holding at the end of Q2/2012.

7/27/12 – Anthera Pharmaceuticals (ANTH), that is a development-stage biotech company focused on the development of therapeutics for the treatment of inflammation-related diseases, including cardiovascular diseases, and autoimmune diseases such as lupus, in which biotech-focused hedge fund RA Capital Management filed SEC Form SC 13G on July 27th, 2012, indicating that it holds 4.50 million or 6.1% of outstanding shares, a new position for it since it reported at the end of Q2/2012.

7/27/12 – Vista Gold Corp. (VGZ), that is engaged in the exploration and acquisition of gold properties in the U.S., Australia, Mexico and Indonesia, in which gold-focused equity hedge fund Sun Valley Gold filed SEC Form SC 13G/A on July 27th, 2012, indicating that it holds 13.82 million or 17.2% of outstanding shares, an increase from the 9.15 million shares that it reported holding at the end of Q2/2012.

7/24/12 – Magellan Health Services (MGLN), a provider of managed behavioral healthcare services via its contracted network of third-party treatment providers, and also a provider of radiology benefits and specialty pharmaceuticals, in which healthcare-focused hedge fund Healthcor Management filed SEC Form SC 13G/A on July 24th, 2012, indicating that it holds 0.28 million or 1.0% of outstanding shares, a decrease from the 2.15 million shares that it reported holding at the end of Q2/2012.

7/17/12 – New Oriental Education & Technology ADS (EDU), that is a Chinese provider of foreign language training and test preparation courses for admissions and assessment tests in the U.S., the PRC and Commonwealth countries, and also a provider of  primary and secondary school education, development and distribution of educational content, software and other technology, and online education, in which Asia-focused hedge fund Joho Capital filed SEC Form SC 13G/A on July 17th, 2012, indicating that it holds 3.81 million or 2.4% of outstanding shares, a decrease from the 4.15 million shares that it reported holding at the end of Q2/2012.

7/12/12 – Cardionet Inc. (BEAT), a leading provider of continuous, real-time ambulatory outpatient management systems and services for monitoring patient cardiac data, in which small-cap tech-focused hedge fund Sophrosyne Capital filed SEC Form SC 13G/A on July 12th, 2012, indicating that it holds 2.39 million or 9.6% of outstanding shares, an increase from the 2.33 million shares that it reported holding at the end of Q2/2012.

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