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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
RYTM icon
151
Rhythm Pharmaceuticals
RYTM
$7.96B
– –
-104,840
Closed -$2.05M
SNCR
152
DELISTED
Synchronoss Technologies
SNCR
– –
-3,611
Closed -$117K
STIM icon
153
Neuronetics
STIM
$166M
– –
-184,554
Closed -$2.96M
TARS icon
154
Tarsus Pharmaceuticals
TARS
$2.84B
– –
-70,573
Closed -$2.04M
TBPH icon
155
Theravance Biopharma
TBPH
$877M
– –
-220,000
Closed -$3.19M
TKNO icon
156
Alpha Teknova
TKNO
$346M
– –
-25,000
Closed -$593K
VANI icon
157
Vivani Medical
VANI
$122M
– –
-124,622
Closed -$1.85M
TVRD
158
Tvardi Therapeutics
TVRD
$23.4M
– –
-4,167
Closed -$2.14M
MITAU
159
DELISTED
Coliseum Acquisition Corp. Unit
MITAU
– –
-85,000
Closed -$840K
ARYD
160
DELISTED
ARYA Sciences Acquisition Corp IV Class A Odinary Shares
ARYD
– –
-100,000
Closed -$1.07M
SNCE
161
DELISTED
Science 37 Holdings, Inc. Common Stock
SNCE
– –
-12,500
Closed -$2.5M
SIEN
162
DELISTED
Sientra, Inc.
SIEN
– –
-60,569
Closed -$4.82M
NSTG
163
DELISTED
NanoString Technologies, Inc.
NSTG
– –
-54,500
Closed -$3.53M
ONCT
164
DELISTED
Oncternal Therapeutics, Inc. Common Stock
ONCT
– –
-8,611
Closed -$818K
CZOO
165
DELISTED
Cazoo Group Ltd
CZOO
– –
-63
Closed -$1.25M
TMPO
166
DELISTED
Tempo Automation Holdings, Inc. Common Stock
TMPO
– –
-48,530
Closed -$483K
INFI
167
DELISTED
Infinity Pharmaceuticals, Inc.
INFI
– –
-934,327
Closed -$2.79M
CLBR.U
168
DELISTED
Colombier Acquisition Corp. Units, each consisting of one share of Class A common stock, and one-third of one redeemable warrant
CLBR.U
– –
-50,000
Closed -$496K
KRBP
169
DELISTED
Kiromic BioPharma, Inc. Common Stock
KRBP
– –
-11,116
Closed -$1.6M
GIWWU
170
DELISTED
GigInternational1, Inc. Units
GIWWU
– –
-200,000
Closed -$2.01M
LAAAU
171
DELISTED
Lakeshore Acquisition I Corp. Unit
LAAAU
– –
-200,000
Closed -$2.04M
SRSAU
172
DELISTED
Sarissa Capital Acquisition Corp. Unit
SRSAU
– –
-225,000
Closed -$2.35M
SRGA
173
DELISTED
Surgalign Holdings, Inc. Common Stock
SRGA
– –
-57,971
Closed -$2.42M
XENT
174
DELISTED
Intersect ENT, Inc
XENT
– –
-182,456
Closed -$3.12M
QELL
175
DELISTED
Qell Acquisition Corp. Class A Ordinary Shares
QELL
– –
-100,000
Closed -$995K
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.