13F-HR,FORM 13F-HR,d02-35897.txt
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UNITED STATES
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F COVER PAGE
Report for the Calendar Year or Quarter Ended December 31, 2001
Check here if Amendment |_|; Amendment Number: ________
This Amendment (Check only one.):
|_| is a restatement.
|_| adds new holdings entries.
If amended report check here:
PARAMOUNT CAPITAL ASSET MANAGEMENT, INC.
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Name of Institutional Investment Manager
787 Seventh Avenue, 48th floor, New York, New York 10019
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Business Address (Street) (City) (State) (Zip)
Form 13F File Number ___________________________________________________________
The entity submitting this Form 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: Lindsay A. Rosenwald, M.D.
Title: Chairman of Paramount Capital Asset Management, Inc., the investment
manager of The Aries Master Fund II and Aries Select, Ltd., each a
Cayman Island exempted company, the General Partner of the Aries
Domestic Fund, L.P. and Aries Domestic Fund II, L.P. and the
managing member of each of Aries Select I, LLC and Aries Select II,
LLC
Signature, Place and Date of Signing:
/s/ Lindsay A. Rosenwald
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[Signature]
New York, New York
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[City, State]
February 12, 2002
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[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.)
|_| 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).)
Number of Other Included Managers:
Four (4)
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Form 13F Information Table Entry Total:
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Form 13F Information Table Value Total:
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List other Included Managers:
Provide a numbered list of the name(s) and Form 13F file numbers of all
institutional investment managers with respect to which this report is filed,
other than the manager filing this report.
No. 1
Form 13F File Number ___
Name: The Aries Master Fund II, a Cayman Island Exempted Company
No. 2
Form 13F File Number ___
Name: Aries Domestic Fund, L.P.
No. 3
Form 13F File Number ___
Name: Aries Select, Ltd.
No. 4
Form 13F File Number ___
Name: Aries Select I, LLC
Pursuant to General Instruction 2 to Form 13F, the securities over which The
Aries Master Fund II, Aries Select, Ltd., Aries Domestic Fund, L.P. and Aries
Select I, LLC exercise investment discretion are reported on its behalf on this
Form 13F-HR.
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VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ -------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------
Abgenix, Inc Common 0033B107 $671.59 19,964 SH X No. 2 X
$1,254.57 37,294 SH X No. 1 X
$428.64 12,742 SH X X
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Andrx Corp. Common 3455101 $24,303.00 345,164 SH X No. 2 X
$26,445.86 375,598 SH X No. 1 X
$20,423.12 290,060 SH X X
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Alteon Inc. Common 02114G107 $775.84 170,515 SH X No. 2 X
$1,492.74 328,075 SH X No. 1 X
$490.99 107,910 SH X X
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Applied Molecular Evolution, Inc Common 03823E108 $417.32 33,901 SH X No. 2 X
$288.67 23,450 SH X No. 1 X
$266.50 21,649 SH X X
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Amgen Common 031162100 $3,362.64 59,579 SH X No. 2 X
$5,520.34 97,809 SH X No. 1 X
$2,687.22 47,612 SH X X
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Avant Immunotherapeutics Common 53491106 $64.16 16,000 SH X No. 2 X
(f/k/a T Cell Sciences) $94.24 23,500 SH X No. 1 X
$42.11 10,500 SH X X
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Avigen, Inc. Common 053690103 $732.83 63,669 SH X No. 2 X
$1,246.51 108,298 SH X No. 1 X
$535.59 46,533 SH X X
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Bruker Daltonics Inc. Common 116795105 $65.40 4,000 SH X No. 2 X
$96.06 5,875 SH X No. 1 X
$42.92 2,625 SH X X
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Biomet, Inc. Common 90613100 $347.63 11,250 SH X No. 2 X
$503.67 16,300 SH X No. 1 X
$230.21 7,450 SH X X
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Brandley Pharmaceuticals Inc. Common 104576103 $2,251.38 108,500 SH X No. 2 X
$3,994.38 192,500 SH X No. 1 X
$1,016.75 49,000 SH X X
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Cell Therapeutics Inc. Common 150934107 $9,797.58 405,865 SH X No. 2 X
$24,320.57 1,007,480 SH X No. 1 X
$2,923.60 121,110 SH X X
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Cephalon, Inc. Common 156708104 $426.30 5,640 SH X No. 2 X
$2,154.17 28,500 SH X No. 1 X
$253.97 3,360 SH X X
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Cerrus Common 157085101 $1,976.40 43,200 SH X No. 2 X
$2,902.84 63,450 SH X No. 1 X
$1,297.01 28,350 SH X X
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Cima Labs Inc Common 171796105 $809.76 22,400 SH X No. 2 X
$1,189.34 32,900 SH X No. 1 X
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VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ -------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------
$1,615.91 44,700 SH X X
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Pe Celera Genomics Common 38020202 $813.08 30,464 SH X No. 2 X
$1,194.22 44,744 SH X No. 1 X
$533.59 19,992 SH X X
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Corvas International Common 221005101 $440.16 67,200 SH X No. 2 X
$646.49 98,700 SH X No. 1 X
$763.73 116,600 SH X X
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CV Therapeutics Common 12667104 $1,412.34 27,150 SH X No. 2 X
$2,086.00 40,100 SH X No. 1 X
$4,564.76 87,750 SH X X
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DYAX Corp. Common 26746E103 $175.79 16,025 SH X No. 2 X
$393.71 35,890 SH X No. 1 X
$110.63 10,085 SH X X
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Enzo Biochem Inc. Common 294100102 $376.00 16,000 SH X No. 2 X
$552.25 23,500 SH X No. 1 X
$246.75 10,500 SH X X
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Esperion Therapeutics Inc. Common 29664R106 $143.33 19,500 SH X No. 2 X
$245.31 33,375 SH X No. 1 X
$70.74 9,625 SH X X
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Genaera Corp. Common 371856103 $669.89 171,766 SH X No. 2 X
$1,190.95 305,371 SH X No. 1 X
$89.16 22,862 SH X X
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Guilford Pharmaceuticals Inc. Common 401829106 $686.22 57,185 SH X No. 2 X
$1,274.10 106,175 SH X No. 1 X
$301.68 25,140 SH X X
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Human Genome Sciences Inc. Common 444903108 $1,729.40 51,287 SH X No. 2 X
$3,470.70 102,927 SH X No. 1 X
$1,095.43 32,486 SH X X
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IntraBiotics Pharm Common 46116T100 $169.26 62,000 SH X No. 2 X
$300.30 110,000 SH X No. 1 X
$76.44 28,000 SH X X
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IDEC Pharmaceuticals Common 449370105 $880.24 12,770 SH X No. 2 X
$2,388.42 34,650 SH X No. 1 X
$591.42 8,580 SH X X
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Immunomedics, Inc Common 452907108 $17,773.21 877,256 SH X No. 2 X
$26,814.33 1,323,511 SH X No. 1 X
$11,663.72 575,702 SH X X
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Inkline Pharm Inc Common 457214104 $24.18 15,500 SH X No. 2 X
$39.00 25,000 SH X No. 1 X
$14.82 9,500 SH X X
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Impax Laboratories Inc. Common 45256B101 $766.42 57,025 SH X No. 2 X
$1,200.53 89,325 SH X No. 1 X
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VALUE SHARES/ SH/ PUT/ INVSTMT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DSCRETN MANAGERS SOLE SHARED NONE
------------------------------ -------------- --------- -------- -------- --- ---- ------- ------------ -------- -------- -------
$452.26 33,650 SH X X
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Ista Pharma Inc. Common 45031X105 $240.84 35,840 SH X No. 2 X
$353.74 52,640 SH X No. 1 X
$158.05 23,520 SH X X
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Invitrogen Corp Common 46185R100 $1,089.97 17,600 SH X No. 2 X
$1,600.89 25,850 SH X No. 1 X
$715.29 11,550 SH X X
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Ivax Common 465823102 $644.48 32,000 SH X No. 2 X
$946.58 47,000 SH X No. 1 X
$422.94 21,000 SH X X
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Kosan Biosciences Incorporated Common 50064W107 $50.34 6,300 SH X No. 2 X
$77.50 9,700 SH X No. 1 X
$31.96 4,000 SH X X
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Matrix Common 576844104 $235.03 149,700 SH X No. 2 X
$433.24 275,950 SH X No. 1 X
$93.18 59,350 SH X X
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Medarex Inc. Common 583916101 $296.18 16,491 SH X No. 2 X
$824.56 45,911 SH X No. 1 X
$540.56 30,098 SH X X
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Millenium Pharmaceutical inc Common 599902103 $1,392.83 56,827 SH X No. 2 X
$2,465.76 100,602 SH X No. 1 X
$893.90 36,471 SH X X
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Neotherapeutics Inc. Common 640656104 $282.22 77,108 SH X No. 2 X
$414.51 113,253 SH X No. 1 X
$185.21 50,603 SH X X
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Noven Pharma, Inc. Common 670009109 $1,144.89 64,501 SH X No. 2 X
$2,236.41 125,995 SH X No. 1 X
$729.60 41,104 SH X X
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