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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
CHAQ.WS
176
DELISTED
Chardan Healthcare Acquisition 2 Corp. Warrants, entitling the holder thereof to purchase one-half (
CHAQ.WS
– –
-731,561
Closed -$469K
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.