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ACM

Altium Capital Management Portfolio holdings

AUM $42M
This Fund
S&P 500
This Quarter Est. Return
-0.05%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$381M
AUM Growth
-$49.9M
Cap. Flow
-$22.9M
Cap. Flow %
-6%
Top 10 Hldgs %
22.14%
Holding
176
New
41
Increased
28
Reduced
15
Closed
51

Top Buys

Rank Stock Value
1
KROS icon
Keros Therapeutics
KROS
+$4.48M
2
FLUX icon
Flux Power
FLUX
+$4.41M
3
XFOR icon
X4 Pharmaceuticals
XFOR
+$4.41M
4
AFMD
Affimed
AFMD
+$4.38M
5
CLDX icon
Celldex Therapeutics
CLDX
+$4.31M

Top Sells

Rank Stock Value
1
PALI icon
Palisade Bio
PALI
+$7.43M
2
CRNX icon
Crinetics Pharmaceuticals
CRNX
+$7.11M
3
ISEE
IVERIC bio, Inc. Common Stock
ISEE
+$6.25M
4
EPIX
ESSA Pharma
EPIX
+$6.1M
5
ECOR icon
electroCore
ECOR
+$5.95M

Sector Composition

Rank Sector Weight
1 Healthcare 81.97%
2 Financials 5.73%
3 Technology 2.04%
4 Industrials 1.47%
5 Communication Services 1.29%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
ALNA
101
DELISTED
Allena Pharmaceuticals
ALNA
$963K 0.25%
+1,067,886
New +$1.05M
MITA
102
DELISTED
Coliseum Acquisition Corp. Class A Ordinary Share
MITA
$846K 0.22%
+85,000
New +$826K
CERE
103
PUT
DELISTED
Cerevel Therapeutics Holdings, Inc. Common Stock
CERE
$611K 0.16%
+20,700
New +$581K
ALGS icon
104
Aligos Therapeutics
ALGS
$34.6M
$519K 0.14%
+1,340
New +$530K
TCRR
105
DELISTED
TCR2 Therapeutics Inc. Common Stock
TCRR
$503K 0.13%
59,150
-149,980
-72% -$2.12M
RCOR.WS
106
DELISTED
Renovacor, Inc. Warrants, entitling the holder thereof to purchase one-half (1/2) of a share of common stock at a price of $11. 50 per whole share
RCOR.WS
$501K 0.13%
+731,561
New +$571K
PSQH icon
107
PSQ Holdings
PSQH
$14.7M
$484K 0.13%
+3,333
New +$482K
IMTXW
108
DELISTED
Immatics N.V. Warrants
IMTXW
$389K 0.1%
97,467
– –
SCYX icon
109
SCYNEXIS
SCYX
$52M
$371K 0.1%
+8,750
New +$458K
HCDIW
110
DELISTED
Harbor Custom Development, Inc. Warrant
HCDIW
$351K 0.09%
600,000
– –
KRYS icon
111
CALL
Krystal Biotech
KRYS
$9.66B
$303K 0.08%
+5,800
New +$343K
PSTX
112
DELISTED
Poseida Therapeutics, Inc. Common Stock
PSTX
$235K 0.06%
+32,238
New +$277K
MBTCR
113
DELISTED
Nocturne Acquisition Corporation Right
MBTCR
$210K 0.06%
500,000
– –
EUCRW
114
DELISTED
Eucrates Biomedical Acquisition Corp. Warrant
EUCRW
$107K 0.03%
133,333
– –
OBIO icon
115
Orchestra BioMed
OBIO
$254M
$99K 0.03%
10,000
– –
RSVRW
116
DELISTED
Reservoir Media Inc Warrant
RSVRW
$99K 0.03%
+50,000
New +$69.2K
SRZNW icon
117
Surrozen Inc Warrant
SRZNW
$8.86K
$94K 0.02%
+82,233
New +$113K
LAAAW
118
DELISTED
Lakeshore Acquisition I Corp. Warrant
LAAAW
$79K 0.02%
+150,000
New +$83.6K
SRSAW
119
DELISTED
Sarissa Capital Acquisition Corp. Warrants
SRSAW
$75K 0.02%
+75,000
New +$85.6K
MOBXW icon
120
Mobix Labs Warrants
MOBXW
$752K
$72K 0.02%
+150,000
New +$68K
TMPMW
121
DELISTED
Turmeric Acquisition Corp. Warrant
TMPMW
$55K 0.01%
84,666
– –
GIWWW
122
DELISTED
GigInternational1, Inc. Warrant
GIWWW
$37K 0.01%
+50,000
New +$42.4K
PSQH.WS icon
123
PSQ Holdings, Inc. Warrants, Each whole warrant exercisable for 1/15th of a share of Class A common stock at an exercise price of $172.50 per share
PSQH.WS
$1.73M
$9K ﹤0.01%
+16,666
New +$12.1K
UPH.WS
124
DELISTED
UpHealth, Inc. Warrants exercisable for one share of Common Stock at an exercise price of $115.00 per share
UPH.WS
$5K ﹤0.01%
10,000
– –
BCTX
125
Briacell Therapeutics
BCTX
$31.7M
– –
-5,335
Closed -$4.27M
3 4
5
6 7

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Altium Capital Management's Q3 2021 Portfolio in Review

As of Q3 2021, Altium Capital Management held 176 positions worth $381M, down 12% from $431M the previous quarter. Its ten largest holdings account for 22% of the portfolio.

Altium Capital Management withdrew a net $22.9M in Q3 2021, closing 51 positions and reducing 15 holdings. Its most notable exit was Palisade Bio, an estimated $7.43M position sold in full.

By sector, the portfolio is most concentrated in Healthcare at 82% of assets, down from 85% a quarter earlier, followed by Financials and Technology.

Against the trend, Altium Capital Management opened a new position in Keros Therapeutics worth $4.99M.

  • Altium Capital Management's largest Q3 2021 buy was Keros Therapeutics: 126,000 shares worth $4.99M.
  • Altium Capital Management added most to Celldex Therapeutics in Q3 2021, an estimated $4.31M increase.
  • Altium Capital Management's biggest Q3 2021 reduction was Crinetics Pharmaceuticals, cutting an estimated $7.11M.
  • Altium Capital Management fully exited Palisade Bio in Q3 2021, selling an estimated $7.43M.
  • Altium Capital Management's ten largest holdings make up 22% of its $381M portfolio in Q3 2021.
  • Altium Capital Management opened 41 new positions and closed 51 in Q3 2021.
  • Altium Capital Management's portfolio value fell 12% quarter-over-quarter to $381M.

Based on Altium Capital Management's 13F filing for Q3 2021, filed 15 Nov 2021.