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Altium Capital Management Portfolio holdings

AUM $42M
This Fund
S&P 500
This Quarter Est. Return
+12.87%
1 Year Est. Return
–
3 Year Est. Return
–
5 Year Est. Return
–
10 Year Est. Return
–
AUM
$431M
AUM Growth
+$70.9M
Cap. Flow
+$79.1M
Cap. Flow %
18.34%
Top 10 Hldgs %
23.13%
Holding
178
New
54
Increased
29
Reduced
23
Closed
43

Top Buys

Rank Stock Value
1
XTNT icon
Xtant Medical Holdings
XTNT
+$14.7M
2
PALI icon
Palisade Bio
PALI
+$11M
3
POL.WS
Polished.com Inc. Warrants to Purchase Common Stock
POL.WS
+$10.1M
4
ECOR icon
electroCore
ECOR
+$8.6M
5
KLR
Kaleyra, Inc.
KLR
+$8.24M

Top Sells

Rank Stock Value
1
BIOR
Biora Therapeutics, Inc. Common Stock
BIOR
+$8.32M
2
SNDX icon
Syndax Pharmaceuticals
SNDX
+$5.67M
3
STRO icon
Sutro Biopharma
STRO
+$5.16M
4
MBTCU
Nocturne Acquisition Corporation Unit
MBTCU
+$5M
5
IMNN icon
Imunon
IMNN
+$4.83M

Sector Composition

Rank Sector Weight
1 Healthcare 84.75%
2 Financials 3.74%
3 Technology 1.96%
4 Consumer Discretionary 0.54%
5 Industrials 0.36%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
SNDX icon
151
Syndax Pharmaceuticals
SNDX
$1.77B
– –
-253,448
Closed -$5.67M
STRO icon
152
Sutro Biopharma
STRO
$416M
– –
-22,672
Closed -$5.16M
TNGX icon
153
Tango Therapeutics
TNGX
$4.69B
– –
-120,000
Closed -$1.33M
TONX
154
TON Strategy Co
TONX
$159M
– –
-35
Closed -$394K
WGS icon
155
GeneDx Holdings
WGS
$2.08B
– –
-3,030
Closed -$1.49M
WGSWW
156
DELISTED
GeneDx Holdings Warrant
WGSWW
– –
-66,666
Closed -$345K
WVE icon
157
Wave Life Sciences
WVE
$1.17B
– –
-398,997
Closed -$2.24M
XGN icon
158
Exagen
XGN
$161M
– –
-86,475
Closed -$1.51M
IRD
159
Opus Genetics
IRD
$312M
– –
-397,036
Closed -$2.31M
ITCI
160
DELISTED
Intra-Cellular Therapies Inc.
ITCI
– –
-88,326
Closed -$3M
TFFP
161
DELISTED
TFF Pharmaceuticals, Inc. Common Stock
TFFP
– –
-10,788
Closed -$3.66M
HARP
162
DELISTED
Harpoon Therapeutics, Inc. Common Stock
HARP
– –
-19,961
Closed -$4.18M
NUVA
163
DELISTED
NuVasive, Inc.
NUVA
– –
-43,133
Closed -$2.83M
VRAY
164
DELISTED
ViewRay, Inc.
VRAY
– –
-289,114
Closed -$1.26M
EUCRU
165
DELISTED
Eucrates Biomedical Acquisition Corp. Unit
EUCRU
– –
-400,000
Closed -$4M
BIOR
166
DELISTED
Biora Therapeutics, Inc. Common Stock
BIOR
– –
-6,993
Closed -$8.32M
CFMS
167
DELISTED
Conformis, Inc. Common Stock
CFMS
– –
-104,355
Closed -$2.58M
TMPMU
168
DELISTED
Turmeric Acquisition Corp. Unit
TMPMU
– –
-254,000
Closed -$2.54M
NBEV
169
DELISTED
NewAge, Inc. Common Stock (Delaware)
NBEV
– –
-1,198,150
Closed -$3.43M
CALA
170
DELISTED
Calithera Biosciences, Inc
CALA
– –
-42,695
Closed -$2.07M
GIGGU
171
DELISTED
GigCapital4, Inc. Unit
GIGGU
– –
-125,000
Closed -$1.23M
GLEO.WS
172
DELISTED
Galileo Acquisition Corp. Redeemable Warrants, each whole warrant exercisable for one Ordinary Share
GLEO.WS
– –
-200,000
Closed -$110K
AHACU
173
DELISTED
Alpha Healthcare Acquisition Corp Unit
AHACU
– –
-275,000
Closed -$3.44M
CHFW.U
174
DELISTED
Consonance-HFW Acquisition Corp. Units, each consisting of one Class A Ordinary Share, and one-third
CHFW.U
– –
-250,000
Closed -$2.44M
ROCCU
175
DELISTED
Roth CH Acquisition II Co. Unit
ROCCU
– –
-100,000
Closed -$1.05M
4 5 6
7
8

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Altium Capital Management's Q2 2021 Portfolio in Review

As of Q2 2021, Altium Capital Management held 178 positions worth $431M, up 20% from $360M the previous quarter. Its ten largest holdings account for 23% of the portfolio.

Altium Capital Management deployed $79.1M of net new capital in Q2 2021, opening 54 new positions and adding to 29 existing holdings. Its largest new stake was Xtant Medical Holdings: 8,292,602 shares worth $13.5M.

By sector, the portfolio is most concentrated in Healthcare at 85% of assets, up from 83% a quarter earlier, followed by Financials and Technology.

On the sell side, the largest reduction was Verastem, an estimated $2.98M trimmed.

  • Altium Capital Management's largest Q2 2021 buy was Xtant Medical Holdings: 8,292,602 shares worth $13.5M.
  • Altium Capital Management added most to CTI BioPharma Corp. (DE) Common Stock in Q2 2021, an estimated $7.41M increase.
  • Altium Capital Management's biggest Q2 2021 reduction was Verastem, cutting an estimated $2.98M.
  • Altium Capital Management fully exited Biora Therapeutics, Inc. Common Stock in Q2 2021, selling an estimated $8.32M.
  • Altium Capital Management's ten largest holdings make up 23% of its $431M portfolio in Q2 2021.
  • Altium Capital Management opened 54 new positions and closed 43 in Q2 2021.
  • Altium Capital Management's portfolio value rose 20% quarter-over-quarter to $431M.

Based on Altium Capital Management's 13F filing for Q2 2021, filed 13 Aug 2021.