RIDGEBACK CAPITAL MANAGEMENT

Transcription

1 Firm: RIDGEBACK CAPITAL MANAGEMENT RIDGEBACK CAPITAL MANAGEMENT Asset Manager Headcount: Hidden Founded in Hidden Assets Under Management: Hidden Hidden Hidden Hidden SEC Enforcement: Balmy Belize No Refuge for Stock Scammers The 10 investment firms named in connection with beneficial ownership were: Brown Brothers Harriman & Co.; Del Mar Asset Management LP; Lazarus Management Company LLC; P.A.W. Capital Partners LP; Ridgeback Capital Management LP; RIMA Senvest Management LLC... Think Advisor September 12, 2014 Company Overview of Ridgeback Capital Management, LLC Ridgeback Capital Management LLC (RCM) is an employee owned investment manager. The firm invests in the public equity markets of the United States. Ridgeback Capital Management is based in New York, New York. Bloomberg June 30, 2015 Wayne Holman s Hedge Fund Takes 5.8% Stake in Geron Wayne Holman, Geron Corporation: This morning, Wayne Holman s hedge fund Ridgeback Capital Management reported adding Geron Corporation (NASDAQ:GERN) to its equity portfolio through purchasing a passive stake that represents 5.8% of the company. INSIDER MONKEY October 17, 2013

2 Form 6-K Prima BioMed Ltd For: May 29 Indicate by check mark whether the registrant files or will file annual reports under cover of Form 20- F or Form 40-F. Indicate by check mark whether by furnishing the information contained in this Form, the registrant is also thereby furnishing the... StreetInsider May 29, 2015 SEC targets late filers The investment firms that were charged included Brown Brothers Harriman, The Royal Bank of Scotland and Ridgeback Capital Management. The companies that were fined included Starwood Hotel & Resorts, Universal Electronics and Willis Lease Finance. Inside Counsel September 11, 2014 Bellicum Pharmaceuticals Secures $55 Million in Oversubscribed Series C Financing Eleven new investors participated in the round, including funds managed by RA Capital Management, LLC, Perceptive Advisors, LLC, Jennison Associates LLC (on behalf of certain clients), Sabby Capital, LLC, Ridgeback Capital Management, venbio Select... Business Wire August 27, 2014 In A Quiet Week For IPOs, Bellicum Pharmaceuticals Stands Out Ridgeback Capital Management, venbio Select, Redmile Group, AJU IB Investment, and others. All of the big current investors, including AVG Ventures and Remeditex Ventures, also joined in. While the scientific and medical prospects for Bellicum's CID... Seeking Alpha December 17, 2014

3 Adaptimmune raises $104 million to develop immune-system cancer drugs Adaptimmune's funding round was led by New Enterprise Associates. Additional new investors included OrbiMed Advisors, Wellington Management Company, Fidelity Biosciences, Foresite Capital Management, Ridgeback Capital Management, Novo A/S, QVT, Rock... Reuters September 24, 2014 Grabbing a quick $55M venture round, Bellicum Pharma ponders an IPO Ridgeback Capital Management, venbio Select, Redmile Group, AJU IB Investment and others. All of the big current investors, including AVG Ventures and Remeditex Ventures, also joined in. Bellicum has now raised a total of $107 million, says Farrell... Fierce Biotech August 27, 2014 Ex-SAC Trader Seeks to Use Cohen Testimony SAC Capital also invested money with Mr. Holman s fund, Ridgeback Capital Management, and Mr. Holman had a consulting... I was bullish based on the recommendation of Mat Martoma and Wayne Holman. And there may have been others that were bullish; I... Deal Book December 7, 2013 Trial to focus on trades by SAC's Cohen In the deposition, Cohen told investigators he decided to sell Wyeth securities after talking to Wayne Holman, a former SAC trader who went on to establish his own hedge fund, Ridgeback Capital Management. A lawyer for Holman did not respond to a request...

4 Yahoo Finance January 6, 2014 U.S. rests its case in insider trading trial of SAC's Martoma The former portfolio, Wayne Holman, had left SAC Capital in 2006 and started up his own hedge fund, Ridgeback Capital Management. SAC Capital entered into a deal with Holman to advise on investing in Wyeth in November 2007, Nussbaum said. "He was expected... KFGO January 28, 2014 Adaptimmune engineers $104m Joining the company s existing investors are OrbiMed Advisors, Wellington Management Company, Fidelity Biosciences, Foresite Capital Management, Ridgeback Capital Management, Novo A/S, QVT, Rock Springs Capital, venbio Select and Merlin Nexus. globaluniversityventuring.com September 26, 2014 Wayne Holman Mr. Wayne Holman is currently employed at Ridgeback Capital Management LLC. He is a managing member at the firm. Mr. Holman also serves as a Director at Ridgeback Capital Investments Ltd. To contact Ridgeback Capital Management, LLC, please visit Bloomberg August 1, 2015 Defense Plays Down Martoma's Role During testimony that lasted less than an hour over two days, Mr. Nussbaum confirmed that SAC had a contract with Wayne Holman, a former SAC employee who left to start hedge fund Ridgeback

5 Capital Management LLC, to advise Mr. Cohen on Wyeth. According to... Wall Street Journal January 29, 2014 Biotech firm developing new cancer treatments raises $104M Adaptimmune Ltd., a biotechnology company with offices in Oxford... Foresite Capital Management, Ridgeback Capital Management, Novo A/S, QVT, Rock Springs Capital, venbio Select and Merlin Nexus. Adaptimmune plans to use the proceeds from the stock... The Business Journal September 29, 2014 Adaptimmune raises $104 mln to develop immune-system cancer drugs Adaptimmune's funding round was led by New Enterprise Associates. Additional new investors included OrbiMed Advisors, Wellington Management Company, Fidelity Biosciences, Foresite Capital Management, Ridgeback Capital Management, Novo A/S, QVT, Rock... Reuters September 24, 2014 SAC's Cohen told SEC hedge fund friend advised Wyeth share sale "We're good friends," Cohen, who hasn't been charged with wrongdoing, said of Wayne Holman, a former SAC employee who left and started Ridgeback Capital Management. "We go to dinner. The wives are friendly. You know, we see each other off and on." Connecticut Post December 10, 2013 U.S. rests its case in insider trading trial of SAC's Martoma

6 The former portfolio, Wayne Holman, had left SAC Capital in 2006 and started up his own hedge fund, Ridgeback Capital Management. SAC Capital entered into a deal with Holman to advise on investing in Wyeth in November 2007, Nussbaum said. "He was expected... Yahoo News January 29, 2014 Key Executives for Ridgeback Capital Management, LLC To contact Ridgeback Capital Management, LLC, please visit. Company data is provided by Capital IQ. Please use this form to report any data issues. Bloomberg July 28, 2015 Steve Cohen Would Never Have Listened To Mathew Martoma s Advice About Stocks: Mathew Martoma s Lawyers But Martoma s lawyers would like his testimony from last... Holman, who ran the defunct Ridgeback Capital Management, had a $20 million consulting deal, and Cohen said that the week SAC sold Wyeth, Holman was telling me he was selling his Wyeth. Dealbreaker December 9, 2013 Investment in Watertown s Selecta hints at growing interest from Genzyme, Sanofi Other investors in the $38 million round being announced today include OrbiMed, an institutional healthcare investor that was has already taken part in previous rounds for Selecta, and new investors Ridgeback Capital Management, Osage Partners, Aju IB... The Business Journal September 8, 2015 Selecta chooses Sanofi for $38m series E

7 Investment firm OrbiMed led the round, which also featured Ridgeback Capital Management, Osage University Partners, AJU IB Investment, Sphera Global Health Care Fund and all Selecta s existing investors, which include Rusnano, Flagship Ventures... globaluniversityventuring.com September 11, 2015 Selecta Announces $38 Million Series E Financing The largest investor in this Series E round is OrbiMed, a leading institutional healthcare investor, and includes new investors, Sanofi-Genzyme BioVentures, Ridgeback Capital Management, Osage University Partners, AJU IB Investment and Sphera Global Health... Business Wire September 8, 2015 Selecta, Eyeing IPO, Brings Sanofi, Crossovers Aboard For $38M Round Selecta has added a group of new backers in this latest round, among them the VC arm of Sanofi (Sanofi-Genzyme Bioventures), and several crossover investors including OrbiMed, Ridgeback Capital Management, and Osage Partners. The company s existing... Xconomy September 8, 2015 Star Island manse spared wrecking ball for now Wayne Holman, founder of Ridgeback Capital Management, and his wife Wendy, formerly of Ziff Brothers Investments, bought the house and the 60,735-square-foot lot from Sam and Roni Jacobson for $18.8 million in June 2014 because of its lush landscaping and... The Real Deal September 1, 2015

8 Adaptimmune gathers $104M to fuel hot immuno-oncology tech race Back at the beginning of June, Adaptimmune only had about a million pounds sterling... Foresite Capital Management, Ridgeback Capital Management, Novo A/S, QVT, Rock Springs Capital, venbio Select and Merlin Nexus adding their own investments. Fierce Biotech September 24, 2014 Adaptimmune raises $104 million to develop immune-system cancer drugs Ridgeback Capital Management, Novo A/S, QVT, Rock Springs Capital, venbio Select and Merlin Nexus. (ing by Ben Hirschler; Editing by David Goodman) Disease & Medical Conditions Health cancer drugs immune system ovarian cancer Yahoo News September 24, 2014 Steve Cohen's perpetual divorce puts insider claims center stage Steven Cohen was previously questioned about the trades. He told the SEC in 2012 that he sold Wyeth stock after learning that Ridgeback Capital Management LLC founder Wayne Holman was doing so, according to U.S. District Judge Paul Gardephe, who presided... Daily Herald November 24, 2014 Star Island manse to be demolished, replaced by modern home Wayne Holman, founder of Ridgeback Capital Management and his wife Wendy, formerly of Ziff Brothers Investments, bought the house and the 60,735-square-foot lot from Sam and Roni Jacobson for $18.8 million in June The property is adjacent to a... The Real Deal November 30, 2015

9 Ex-SAC Trader Cites Cohen As Trial Approaches Holman, who ran the defunct Ridgeback Capital Management, had a $20 million consulting deal, and Cohen said that the week SAC sold Wyeth, Holman "was telling me he was selling his Wyeth." Cohen said he judged Holman to be "one of the great healthcare... FIN Alternatives December 9, 2013 Bellicum Pharmaceuticals Gets $55M For Immunotherapy Efforts According to Bellicum, the funding came from RA Capital Management, LLC, Perceptive Advisors, LLC, Jennison Associates LLC (on behalf of certain clients), Sabby Capital, LLC, Ridgeback Capital Management, venbio Select, Redmile Group, LLC, AJU IB... Texas Tech Pulse August 27, 2014 No news for RIDGEBACK CAPITAL MANAGEMENT right now. Check back soon! Powered by DISCLAIMERS