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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
BCTXW
126
DELISTED
BriaCell Therapeutics Corp Warrant
BCTXW
– –
-209,540
Closed -$377K
SRXH
127
SRX Global
SRXH
$31M
– –
-10
Closed -$86K
COCP icon
128
Cocrystal Pharma
COCP
$14.6M
– –
-64,667
Closed -$970K
CVRX icon
129
CVRx
CVRX
$63.4M
– –
-60,000
Closed -$1.68M
CYTK icon
130
Cytokinetics
CYTK
$10.4B
– –
-84,262
Closed -$1.67M
ECOR icon
131
electroCore
ECOR
$72.9M
– –
-333,667
Closed -$5.95M
EPIX
132
DELISTED
ESSA Pharma
EPIX
– –
-213,528
Closed -$6.1M
FULC icon
133
Fulcrum Therapeutics
FULC
$297M
– –
-213,533
Closed -$2.24M
GKOS icon
134
Glaukos
GKOS
$10.6B
– –
-40,400
Closed -$3.43M
GRI
135
GRI Bio
GRI
$2.6M
– –
0
– -$878K
HEPA
136
DELISTED
Hepion Pharmaceuticals
HEPA
– –
-446
Closed -$883K
HUMA icon
137
Humacyte
HUMA
$194M
– –
-275,000
Closed -$2.8M
HUMAW icon
138
Humacyte Inc Warrant
HUMAW
$1.24M
– –
-137,500
Closed -$385K
IFRX icon
139
InflaRx
IFRX
$271M
– –
-161,206
Closed -$479K
IKT icon
140
Inhibikase Therapeutics
IKT
$388M
– –
-18,292
Closed -$307K
IMCC
141
IM Cannabis
IMCC
$1.12M
– –
-5,364
Closed -$1.71M
IMVT icon
142
Immunovant
IMVT
$8.25B
– –
-335,041
Closed -$3.54M
INMB icon
143
INmune Bio
INMB
$57.9M
– –
-52,257
Closed -$918K
IRTC icon
144
iRhythm Holdings
IRTC
$4.2B
– –
-15,206
Closed -$1.01M
MCRB icon
145
Seres Therapeutics
MCRB
$48.4M
– –
-5,231
Closed -$2.5M
OPAD icon
146
Offerpad Solutions
OPAD
$23.1M
– –
-667
Closed -$993K
PALI icon
147
Palisade Bio
PALI
$367M
– –
-2,433
Closed -$7.43M
PCTTW
148
PureCycle Technologies Inc Warrant
PCTTW
$11M
– –
-130,875
Closed -$1.6M
RCAT icon
149
Red Cat Holdings
RCAT
$1.4B
– –
-102,290
Closed -$266K
RGNX icon
150
Regenxbio
RGNX
$708M
– –
-62,317
Closed -$2.42M
4 5
6
7 8

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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.