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Previous: VALLEY RIDGE FINANCIAL CORP, 10QSB, 1999-05-17 |
Next: HEARTLAND BANCSHARES INC, 10QSB, 1999-05-17 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
Form 13F COVER PAGE
Report for the Calendar Year or Quarter Ended: March 31, 1999
--------------
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: PARAMOUNT CAPITAL ASSET MANAGEMENT, INC.
---------------------------------------------------------------------------
Address: 787 Seventh Avenue, 48th Floor
------------------------------------------------------------------------
New York, NY 10019
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
- --------------------------------------------------------------------------------
Form 13F File Number: 28-
-------------------------------------------------------
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:
Reporting Manager:
Name: Lindsay A. Rosenwald, M.D.
---------------------------------------------------------------------------
Title: Chairman
--------------------------------------------------------------------------
Phone: (212) 554-4300
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Signature, Place, and Date of Signing:
/s/ Lindsay A. Rosenwald
- --------------------------------------------------------------------------------
[Signature]
New York, New York
- --------------------------------------------------------------------------------
[City, State]
May 17, 1999
- --------------------------------------------------------------------------------
[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 managers(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).)
<PAGE>
Form 13F Summary Page
Report Summary:
Number of Other Included Managers:
Two (2)
- --------------------------------------------------------------------------------
Form 13F Information Table Entry Total:
230
- --------------------------------------------------------------------------------
Form 13F Information Table Value Total:
$ 380,159 (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. [If there are no entries in
this list, state "NONE" and omit the column headings and list entries.]
No. 1
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Form 13F File Number 28-
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Name The Aries Master Fund, a Cayman Islands exempted company
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No. 2
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Form 13F File Number 28- Aries Domestic Fund, L.P.
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Name
----------------------------------------------------------------------------
[Repeat as necessary.]
<PAGE>
<TABLE>
VALUE SHARES/ SH/ PUT/ INVSTMT -----VOTING AUTHORITY-----
NAME OF ISSUER -TITLE OF CLASS- --CUSIP-- (x$1000) PRN AMT PRN CALL DSCRETN -MANAGERS- SOLE SHARED NONE
<S> <C> <C> <C> <C> <C>
American Craft Brewing COM WAR 0 15,000 SH CALL X No. 2 X
$1 35,000 SH CALL X No. 1 X
Abbot Laboratories COM 002824100 $3,150 67,300 SH X No. 2 X
$7,351 157,040 SH X No. 1 X
Andrx Corp. COM 034551101 $5,695 62,500 SH X No. 2 X
$12,329 135,300 SH X No. 1 X
Affymetrix Inc. COM 00826T108 $2,649 76,100 SH X No. 2 X
$6,305 181,100 SH X No. 1 X
American Home Products Corp. COM 026609107 $1,729 26,500 SH X No. 2 X
$5,148 78,900 SH X No. 1 X
Amgen COM 031162100 $5,301 70,800 SH X No. 2 X
$11,920 159,200 SH X No. 1 X
Aronex COM 042666206 $849 271,685 SH X No. 2 X
$1,997 639,050 SH X No. 1 X
Avant Immunotherapeutics COM WAR $00 20 SH CALL X No. 2 X
$00 20 SH CALL X No. 1 X
Aviron COM 053762100 $1,545 76,300 SH X No. 2 X
$2,651 130,900 SH X No. 1 X
Avax Technologies COM 053495305 $492 97,270 SH X No. 2 X
$1,076 212,480 SH X No. 1 X
Boston Life Sciences COM 100843408 $194 27,027 SH X No. 2 X
$97 13,512 SH X No. 1 X
Bristol Myers Squibb Co. COM 110122108 $3,469 54,100 SH X No. 2 X
$8,086 126,100 SH X No. 1 X
Biogen COM 090597105 $2,503 21,900 SH X No. 2 X
$6,093 53,300 SH X No. 1 X
Biotime Inc. COM 09066L105 $178 11,100 SH X No. 2 X
$414 25,900 SH X No. 1 X
Care Group, Inc. COM 141653105 $00 100 SH X No. 2 X
$00 100 SH X No. 1 X
Cardima, Inc. COM 14147M106 $421 210,000 SH X No. 2 X
$1,084 540,000 SH X No. 1 X
Celgene COM 151020104 $48 3,000 SH X No. 2 X
$112 7,000 SH X No. 1 X
Collateral Thera, Inc.
- -Hot Issue COM 193921103 $518 57,500 SH X No. 2 X
$1,337 148,500 SH X No. 1 X
Conserver Corp. COM 124863101 $57 48,198 SH X No. 2 X
$116 97,856 SH X No. 1 X
Conversion Tech Inc. COM WAR 212546113 $00 82,721 SH CALL X No. 2 X
$00 49,632 SH CALL X No. 1 X
CV Therapeutics COM 126667104 $711 145,800 SH X No. 2 X
$1,557 319,400 SH X No. 1 X
Cypress Biosciences COM 232674101 $10,301 2,769,967 SH X No. 2 X
$24,194 6,506,001 SH X No. 1 X
Digital Lava, Inc. COM 253928105 $5 400 SH X No. 2 X
$52 4,600 SH X No. 1 X
Depomed Inc. COM 249908104 $1,000 99,400 SH X No. 2 X
$1,918 190,600 SH X No. 1 X
Depomed Inc.- Warrants COM WAR $188 32,400 SH CALL X No. 2 X
$364 62,600 SH CALL X No. 1 X
Derma Sciences, Inc. COM 249827106 $92 122,450 SH X No. 2 X
$186 248,050 SH X No. 1 X
Discovery Laboratories, Inc. COM 254668106 $73 39,068 SH X No. 2 X
$185 98,492 SH X No. 1 X
No. 2
========
Sub-Total $135,743
========
<PAGE>
Endorex Corporation-
formerly immunotherape COM 29264N307 $1,502 750,805 SH X No. 2 X
$3,309 1,654,347 SH X No. 1 X
Duramed COM 266354109 $136 15,000 SH X No. 2 X
$320 35,000 SH X No. 1 X
Enzon, Inc. COM 293904108 $6,708 454,764 SH X No. 2 X
$16,174 1,096,568 SH X No. 1 X
Forest labs Inc. COM 345838106 $1,392 24,700 SH X No. 2 X
$3,383 60,000 SH X No. 1 X
Glaxo Wellcome COM 37733W105 $402 6,000 SH X No. 2 X
$937 14,000 SH X No. 1 X
Genentech COM 368710307 $3,412 38,500 SH X No. 2 X
$7,666 86,500 SH X No. 1 X
Genta, Inc. COM 37245M207 $2,900 1,205,299 SH X No. 2 X
$7,433 3,089,192 SH X No. 1 X
Hemisphere Biopharma Inc. COM WAR $00 100 SH CALL X No. 2 X
$00 100 SH CALL X No. 1 X
Healthcare Medical Solutions COM 42220B200 $50 51,400 SH X No. 2 X
$95 98,400 SH X No. 1 X
IDEC Pharmaceuticals COM 449370105 $827 16,100 SH X No. 2 X
$3,293 64,100 SH X No. 1 X
Immunex Corp. COM 452528102 $2,031 24,400 SH X No. 2 X
$3,996 48,000 SH X No. 1 X
Incyte Pharmaceuticals Inc. COM 45337C102 $241 12,000 SH X No. 2 X
$562 28,000 SH X No. 1 X
Inhale Therapeutic Systems COM 457191104 $502 18,500 SH X No. 2 X
$1,809 66,700 SH X No. 1 X
Intel Corp. COM 458140100 N/A 0 SH X No. 2 X
$297 2,500 SH X No. 1 X
Johnson & Johnson COM 478160104 $3,338 35,700 SH X No. 2 X
$7,761 83,000 SH X No. 1 X
Lilly (Eli) & Co. COM 532457108 $3,862 45,500 SH X No. 2 X
$9,090 107,100 SH X No. 1 X
Maxim.Warrants COM WAR $00 100 SH CALL X No. 2 X
$00 100 SH CALL X No. 1 X
Merck & Co. COM 589331107 $5,088 63,500 SH X No. 2 X
$14,286 178,300 SH X No. 1 X
Monsato Co. COM 611662107 $3,101 67,500 SH X No. 2 X
$7,534 164,000 SH X No. 1 X
Neopharm Inc.- Warrants COM WAR $3 100 SH CALL X No. 2 X
$3 100 SH CALL X No. 1 X
Neose Tech. COM 640522108 $415 30,300 SH X No. 2 X
$980 71,600 SH X No. 1 X
OsteoTech Inc. COM 688582105 $516 15,000 SH X No. 2 X
$1,203 35,000 SH X No. 1 X
Pfizer Inc. COM 717081103 $8,963 64,600 SH X No. 2 X
$23,490 169,300 SH X No. 1 X
Pathogenesis COM 70321E104 $420 31,600 SH X No. 2 X
$981 73,700 SH X No. 1 X
Palatin Technologies Inc. COM 696077304 $574 100,989 SH X No. 2 X
$1,450 254,935 SH X No. 1 X
Phamacia & Upjohn Inc. COM 716941109 $1,796 28,800 SH X No. 2 X
$4,491 72,000 SH X No. 1 X
Penwest Pharma Co. COM 709754105 $308 30,000 SH X No. 2 X
$718 70,000 SH X No. 1 X
========
Sub-Total $169,749
========
<PAGE>
Procept COM 742683402 $1,674 653,073 SH X No. 2 X
$3,173 1,238,292 SH X No. 1 X
Ribogene Inc. COM 762565109 $90 45,000 SH X No. 2 X
$190 95,000 SH X No. 1 X
Repligen Corp. COM 759916109 $2,714 886,200 SH X No. 2 X
$5,911 1,930,000 SH X No. 1 X
Roche Holdings Ltd. COM 771195104 $183 1,500 SH X No. 2 X
$427 3,500 SH X No. 1 X
Invivo Corporation COM 461858102 $331 24,500 SH X No. 2 X
$1,242 92,000 SH X No. 1 X
Sangstat Medical Corp. COM 801003104 $278 22,500 SH X No. 2 X
$650 52,500 SH X No. 1 X
Smithkline Beecham-Spons ADR COM 832378301 $429 6,000 SH X No. 2 X
$1,001 14,000 SH X No. 1 X
Schering-Plough Corp. COM 806605101 $4,321 78,200 SH X No. 2 X
$10,083 182,500 SH X No. 1 X
Scios Nova, Inc. COM 808905103 $517 57,000 SH X No. 2 X
$1,205 133,000 SH X No. 1 X
Sepracor COM 817315104 $1,100 9,800 SH X No. 2 X
$2,638 23,500 SH X No. 1 X
Sugen Inc. COM 865041107 $115 6,000 SH X No. 2 X
$269 14,000 SH X No. 1 X
Taro Pharmaceuticals COM $125 23,300 SH X No. 2 X
$332 61,700 SH X No. 1 X
Titan Pharmaceuticals COM 888314101 $183 48,700 SH X No. 2 X
$566 150,800 SH X No. 1 X
Titan- Warrants COM WAR $27 62,500 SH CALL X No. 2 X
$27 62,500 SH CALL X No. 1 X
Texas Biotech Corp. COM 88221T104 $97 20,600 SH X No. 2 X
$225 48,000 SH X No. 1 X
Transkaryotic Therapies Inc. COM 893735100 $746 23,500 SH X No. 2 X
$2,746 86,500 SH X No. 1 X
Triangle Pharmaceuticals Inc. COM 89589H104 $526 49,200 SH X No. 2 X
$1,355 126,800 SH X No. 1 X
Pharmaceutical & Medical
Technology Growth Trust
Series COM 4006094 $350 30,000 SH X No. 2 X
$806 69,148 SH X No. 1 X
VimRx Pharmaceuticals COM 927186106 $1,320 1,206,966 SH X No. 2 X
$2,860 2,614,700 SH X No. 1 X
Viropharma Inc. COM 928241108 $167 26,400 SH X No. 2 X
$433 68,600 SH X No. 1 X
Vertex COM 92532F100 $449 17,800 SH X No. 2 X
$1,313 52,000 SH X No. 1 X
Warner-Lambert Co. COM 934488107 $2,412 36,400 SH X No. 2 X
$9,030 136,300 SH X No. 1 X
Watson Pharma Inc. COM 942683103 $1,721 39,000 SH X No. 2 X
$4,015 91,000 SH X No. 1 X
Xenometrix COM WAR 984109108 $3 12,000 SH CALL X No. 2 X
$6 22,000 SH CALL X No. 1 X
Xenometrix-Wts COM 984109116 $1 12,000 SH X No. 2 X
$2 18,000 SH X No. 1 X
Zonagen COM 98975L108 $677 31,500 SH X No. 2 X
$1,580 73,500 SH X No. 1 X
=======
Sub-Total $72,639
=======
<PAGE>
Long Options
- ------------
Agribiotech Put 7/7.5 LPO $42 16,000 SH PUT X No. 2 X
$126 47,900 SH PUT X No. 1 X
Amazon.com Put 1/66 LPO $5 1,200 SH PUT X No. 2 X
$16 3,900 SH PUT X No. 1 X
Amgen Inc. Put 7/45 LPO $1 2,800 SH PUT X No. 2 X
$2 8,200 SH PUT X No. 1 X
Amgen Inc. Put 7/47.5 LPO $00 2,000 SH PUT X No. 2 X
$1 6,000 SH PUT X No. 1 X
Biogen Inc. Call 4/90 LCO N/A 0 SH CALL X No. 2 X
$419 17,000 SH CALL X No. 1 X
Boron Lepore & Assoc
Call 8/20 LCO $2 3,800 SH CALL X No. 2 X
$6 11,200 SH CALL X No. 1 X
Boron Lepore & Assoc
Call 8/17.5 LCO $4 5,100 SH CALL X No. 2 X
$11 14,900 SH CALL X No. 1 X
Bristol Myers Put 6/55 LPO $9 8,800 SH PUT X No. 2 X
$25 25,200 SH PUT X No. 1 X
Elan Corp. Put 4/55 LPO $1 2,600 SH PUT X No. 2 X
$3 7,400 SH PUT X No. 1 X
Entremed Put 5/20 LPO $38 15,100 SH PUT X No. 2 X
$107 42,900 SH PUT X No. 1 X
Epitope Inc. Call 4/10 LCO $4 26,000 SH CALL X No. 2 X
$12 74,000 SH CALL X No. 1 X
Geltex Call 4/25 LCO $1 5,100 SH CALL X No. 2 X
$4 14,900 SH CALL X No. 1 X
Human Genome Sciences
Call 7/40 LCO $8 3,600 SH CALL X No. 2 X
$23 10,400 SH CALL X No. 1 X
ICN Pharmaceuticals
Call 6/25 LCO $15 5,300 SH CALL X No. 2 X
$37 12,700 SH CALL X No. 1 X
ICN Call 6/30 LCO $20 19,900 SH CALL X No. 2 X
$57 56,600 SH CALL X No. 1 X
IDEC Pharma Put 4/25 LPO $1 9,000 SH PUT X No. 2 X
$4 26,000 SH PUT X No. 1 X
Lilly (Eli) & Co. Put 4/75 LPO $2 10,500 SH PUT X No. 2 X
$5 32,000 SH PUT X No. 1 X
Lilly (Eli) & Co. Put 4/80 LPO $3 5,400 SH PUT X No. 2 X
$8 15,100 SH PUT X No. 1 X
Macrochem Call 6/10 LCO $11 5,700 SH CALL X No. 2 X
$32 15,800 SH CALL X No. 1 X
Macrochem Call 6/12.5 LCO $8 7,500 SH CALL X No. 2 X
$25 22,000 SH CALL X No. 1 X
Merck Put 7/70 LPO $8 4,400 SH PUT X No. 2 X
$22 12,600 SH PUT X No. 1 X
Monsanto Call 1/55 LCO $3 400 SH CALL X No. 2 X
$7 900 SH CALL X No. 1 X
Organogenisis Puts 4/10 LPO $5 13,000 SH PUT X No. 2 X
$14 37,000 SH PUT X No. 1 X
Organogenesis Inc. Puts 4/7.5 LPO $4 59,800 SH PUT X No. 2 X
$11 170,200 SH PUT X No. 1 X
Organogenesis Put 7/10 LPO $5 4,000 SH PUT X No. 2 X
$14 11,500 SH PUT X No. 1 X
======
Sub-Total $1,186
======
<PAGE>
Pediatrix Med Group
Call 5/40 LCO $1 600 SH CALL X No. 2 X
$2 1,400 SH CALL X No. 1 X
Pediatrix Med Group
Put 4/17.5 LPO $3 9,000 SH PUT X No. 2 X
$7 21,000 SH PUT X No. 1 X
Pediatrix Med Group
Put 5/25 LPO $78 19,000 SH PUT X No. 2 X
$157 38,000 SH PUT X No. 1 X
Pfizer, Inc. Put 6/100 LPO $2 5,500 SH PUT X No. 2 X
$4 15,500 SH PUT X No. 1 X
Sapient Corp. Put 4/22.5 LPO $5 27,300 SH PUT X No. 2 X
$15 77,700 SH PUT X No. 1 X
Sepracor Inc. Put 4/45 LPO $141 4,300 SH PUT X No. 2 X
$404 12,300 SH PUT X No. 1 X
Warner-Lambert Call 4/70 LCO $1 1,300 SH CALL X No. 2 X
$3 3,700 SH CALL X No. 1 X
Warner-Lambert Call 4/75 LCO 1,300 SH CALL X No. 2 X
$1 3,700 SH CALL X No. 1 X
Warner-Lambert Call 4/80 LCO $00 1,000 SH CALL X No. 2 X
$00 2,800 SH CALL X No. 1 X
Yahoo Inc. Put 7/180 LPO $5 1,600 SH PUT X No. 2 X
$13 4,400 SH PUT X No. 1 X
=====
Sub-total $842
TOTAL $380,159
========
</TABLE>
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