13F-HR/A filed by Altium Capital Management LLC
Altium Capital Management LLC filed this 13F-HR/A for the quarter ended 2021-09-30, filed 2021-11-17, with 124 holding rows worth $381,251,000.
- Accession
- 0001420506-21-001737
- Filer
- CIK 1746382
- Filed
- 2021-11-17
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, amendment of type restatement, 124 entries on the cover page, a total value of $381,251,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $381,251,000 with VALUE read as thousands by filing date, 13F file number 028-20820. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| POLISHED COM INC | 28252C117 | *W EXP 06/02/202 | 6,886,600 | $11,569,000 | thousands by filing date | |
| BELLUS HEALTH INC NEW | 07987C204 | COM | 1,788,789 | $10,983,000 | thousands by filing date | |
| CELLDEX THERAPEUTICS INC NEW | 15117B202 | COM NEW | 185,000 | $9,988,000 | thousands by filing date | |
| CTI BIOPHARMA CORP | 12648L601 | COM | 3,313,000 | $9,773,000 | thousands by filing date | |
| ALDEYRA THERAPEUTICS INC | 01438T106 | COM | 864,020 | $7,586,000 | thousands by filing date | |
| LANTHEUS HLDGS INC | 516544103 | COM | 290,000 | $7,447,000 | thousands by filing date | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 6,254,458 | $6,942,000 | thousands by filing date | |
| VERASTEM INC | 92337C104 | COM | 2,253,000 | $6,939,000 | thousands by filing date | |
| CERUS CORP | 157085101 | COM | 1,100,000 | $6,699,000 | thousands by filing date | |
| CURIS INC | 231269200 | COM | 829,000 | $6,491,000 | thousands by filing date | |
| CYTOMX THERAPEUTICS INC | 23284F105 | COMMON STOCK | 1,233,642 | $6,279,000 | thousands by filing date | |
| IMMATICS N.V | N44445109 | SHS | 478,987 | $6,227,000 | thousands by filing date | |
| PROTAGONIST THERAPEUTICS | 74366E102 | COM | 346,000 | $6,131,000 | thousands by filing date | |
| ARCUTIS BIOTHERAPEUTICS INC | 03969K108 | COM | 255,000 | $6,092,000 | thousands by filing date | |
| INSPIRE MED SYS INC COM | 457730109 | Stock | 26,000 | $6,055,000 | thousands by filing date | |
| NEVRO CORP | 64157F103 | COM | 51,000 | $5,935,000 | thousands by filing date | |
| CHINOOK THERAPEUTICS INC | 16961L106 | COM | 465,000 | $5,933,000 | thousands by filing date | |
| CAREDX INC | 14167L103 | COM | 90,000 | $5,703,000 | thousands by filing date | |
| SYROS PHARMACEUTICALS INC | 87184Q107 | COM | 1,272,412 | $5,688,000 | thousands by filing date | |
| INSMED INC COM PAR $.01 | 457669307 | Stock | 203,354 | $5,600,000 | thousands by filing date | |
| OCULAR THERAPEUTIX INC | 67576A100 | COM | 556,000 | $5,560,000 | thousands by filing date | |
| AVIDITY BIOSCIENCES INC COM | 05370A108 | Stock | 225,000 | $5,542,000 | thousands by filing date | |
| APELLIS PHARMACEUTICALS INC | 03753U106 | COM | 166,700 | $5,494,000 | thousands by filing date | put |
| KALEYRA INC | 483379103 | COMMON EQUITY | 484,592 | $5,335,000 | thousands by filing date | |
| IVERIC BIO INC | 46583P102 | COM | 328,101 | $5,328,000 | thousands by filing date | |
| HAEMONETICS CORP MASS COM | 405024100 | Stock | 74,000 | $5,224,000 | thousands by filing date | |
| MYRIAD GENETICS INC | 62855J104 | COM | 158,000 | $5,102,000 | thousands by filing date | |
| NATERA INC COM | 632307104 | Stock | 45,500 | $5,071,000 | thousands by filing date | |
| MEI PHARMA INC | 55279B202 | COM NEW | 1,828,066 | $5,045,000 | thousands by filing date | |
| NOCTURNE ACQUISITION CORP | G6580S114 | ORDINARY SHARES | 500,000 | $4,990,000 | thousands by filing date | |
| KEROS THERAPEUTICS INC COM | 492327101 | Stock | 126,000 | $4,985,000 | thousands by filing date | |
| AEGLEA BIOTHERAPEUTICS INC | 00773J103 | COM | 609,689 | $4,847,000 | thousands by filing date | |
| CASTLE BIOSCIENCES INC | 14843C105 | COMMON STOCK | 72,500 | $4,821,000 | thousands by filing date | |
| VAREX IMAGING CORP | 92214X106 | COMMON STOCK | 158,000 | $4,456,000 | thousands by filing date | |
| AVADEL PHARMACEUTICALS, PLC | 05337M104 | COMMON STOCK-FO | 440,589 | $4,318,000 | thousands by filing date | |
| X4 Pharmaceuticals, Inc. | 98420X103 | COM | 804,598 | $4,256,000 | thousands by filing date | |
| AFFIMED N V | N01045108 | COM | 665,000 | $4,110,000 | thousands by filing date | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 193,000 | $4,063,000 | thousands by filing date | |
| ILLUMINA INC | 452327109 | COM | 10,000 | $4,056,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W106 | CMN | 400,000 | $3,912,000 | thousands by filing date | |
| EYEPOINT INC COM NEW | 30233G209 | Stock | 370,551 | $3,861,000 | thousands by filing date | |
| BICYCLE THERAPEUTICS PLC-ADR | 088786108 | SPONSORED ADS | 92,000 | $3,826,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 80,000 | $3,822,000 | thousands by filing date | |
| BRIDGEBIO PHARMA INC | 10806X102 | COM | 79,000 | $3,703,000 | thousands by filing date | |
| RENOVACOR INC | 75989E106 | COM | 388,845 | $3,519,000 | thousands by filing date | |
| PROFOUND MED CORP | 74319B502 | COM NEW | 235,000 | $3,440,000 | thousands by filing date | |
| ICAD INC | 44934S206 | COM NEW | 320,000 | $3,440,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 89422G107 | COM | 141,000 | $3,419,000 | thousands by filing date | |
| MORPHIC HLDG INC | 61775R105 | COM | 60,000 | $3,398,000 | thousands by filing date | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 216,000 | $3,300,000 | thousands by filing date | |
| VERRICA PHARMACEUTICALS INC | 92511W108 | COM | 256,244 | $3,203,000 | thousands by filing date | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 144,000 | $3,187,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 625,469 | $3,071,000 | thousands by filing date | |
| TRACON PHARMACEUTICALS INC | 89237H209 | COM NEW | 785,341 | $3,039,000 | thousands by filing date | |
| MEREO BIOPHARMA GROUP PLC | 589492107 | CMN | 1,250,000 | $3,025,000 | thousands by filing date | |
| GLOBUS MED INC CL A | 379577208 | Stock | 38,500 | $2,950,000 | thousands by filing date | |
| DOUBLEDOWN INTERACTIVE CO LT | 25862B109 | ADS | 160,000 | $2,818,000 | thousands by filing date | |
| IGM BIOSCIENCES INC | 449585108 | COM | 42,473 | $2,793,000 | thousands by filing date | |
| KORU MEDICAL SYSTEMS INC | 759910102 | COMMON STOCK | 954,055 | $2,719,000 | thousands by filing date | |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 166,636 | $2,706,000 | thousands by filing date | |
| FLUX PWR HLDGS INC | 344057302 | COM NEW | 521,972 | $2,652,000 | thousands by filing date | |
| CELCUITY INC | 15102K100 | COM | 145,000 | $2,610,000 | thousands by filing date | |
| MOONLAKE IMMUNOTHERAPEUTICS | G4444C102 | COM | 250,000 | $2,488,000 | thousands by filing date | |
| TURMERIC ACQUISITION CORP | G9127T108 | CMN | 254,000 | $2,487,000 | thousands by filing date | |
| GALERA THERAPEUTICS EQUICLASS EQUITY | 36338D108 | COMMON STOCK | 300,605 | $2,435,000 | thousands by filing date | |
| PHASEBIO PHARMACEUTICALS INC | 717224109 | COM | 775,000 | $2,410,000 | thousands by filing date | |
| CARDIFF ONCOLOGY INC | 14147L108 | COM | 348,888 | $2,324,000 | thousands by filing date | |
| SARISSA CAPITAL ACQUISITN CO | G7823W102 | CMN | 225,000 | $2,219,000 | thousands by filing date | |
| VIQ SOLUTIONS INC | 91825V400 | COM NEW | 704,687 | $2,086,000 | thousands by filing date | |
| SYNDAX PHARMACEUTICALS INC | 87164F105 | COM | 108,000 | $2,064,000 | thousands by filing date | |
| YUMANITY THERAPEUTICS INC | 98872L102 | COM | 196,000 | $2,023,000 | thousands by filing date | |
| PARDES BIOSCIENCES INC COM | 30318F100 | Stock | 200,000 | $1,990,000 | thousands by filing date | |
| HEALTHCOR CATALIO ACQU CORP | G44125105 | CL A SHS | 200,000 | $1,980,000 | thousands by filing date | |
| GIGINTERNATIONAL1 INC | 37518W106 | CMN | 200,000 | $1,974,000 | thousands by filing date | |
| MOBIX LABS INC COM CL A | G2058L103 | Stock | 200,000 | $1,970,000 | thousands by filing date | |
| LAKESHORE ACQUISITION I CORP | G53521103 | ORDINARY SHARES | 200,000 | $1,966,000 | thousands by filing date | |
| KALVISTA PHARMACEUTICALS INC | 483497103 | COM | 111,834 | $1,952,000 | thousands by filing date | |
| JIYA ACQUISITION CORP | 47760M102 | CMN | 200,000 | $1,950,000 | thousands by filing date | |
| ELOXX PHARMACEUTICALS INC | 29014R103 | COM | 1,118,000 | $1,822,000 | thousands by filing date | |
| ONCORUS INC | 68236R103 | COM | 192,054 | $1,794,000 | thousands by filing date | |
| LIFEMD INC | 53216B104 | COM | 288,700 | $1,793,000 | thousands by filing date | |
| CHIMERIX INC COM | 16934W106 | Stock | 281,790 | $1,744,000 | thousands by filing date | |
| VINCERX PHARMA INC | 92731L106 | COM NEW | 107,625 | $1,740,000 | thousands by filing date | |
| HILLMAN SOLUTIONS CORP | 431636109 | COM | 142,000 | $1,694,000 | thousands by filing date | |
| PORTAGE BIOTECH INC | G7185A128 | COM | 75,000 | $1,524,000 | thousands by filing date | |
| EIGER BIOPHARMACEUTICALS INC | 28249U105 | COM | 197,500 | $1,319,000 | thousands by filing date | |
| VIRPAX PHARMACEUTICALS INC | 928251107 | COM | 271,846 | $1,305,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N121 | *W EXP 07/16/202 | 227,000 | $1,297,000 | thousands by filing date | |
| TAILWIND ACQUISITION CORP | 87403Q102 | COM CL A | 128,414 | $1,256,000 | thousands by filing date | |
| INSULET CORP COM | 45784P101 | Stock | 4,250 | $1,208,000 | thousands by filing date | |
| ADICET BIO INC | 007002108 | COM | 142,289 | $1,116,000 | thousands by filing date | |
| CITIC CAPITAL ACQUISITION CO | G21513109 | COM CL A | 111,200 | $1,109,000 | thousands by filing date | |
| STRYVE FOODS INC | 863685103 | CLASS A COM | 200,000 | $1,070,000 | thousands by filing date | |
| PROQR THERAPEUTICS NV | N71542109 | SHS EURO | 125,000 | $1,046,000 | thousands by filing date | |
| ACHIEVE LIFE SCIENCES INC | 004468500 | COMMON STOCK | 122,000 | $1,037,000 | thousands by filing date | |
| MOTIVE CAPITAL CORP | G6293A103 | SHS CL A | 102,099 | $1,011,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITN CORP | G31658100 | CLASS A ORD SHS | 100,000 | $1,005,000 | thousands by filing date | |
| BCLS ACQUISITION CORP | G0904B105 | CMN | 100,000 | $996,000 | thousands by filing date | |
| FIRSTMARK HORIZON ACQUISITIO | 33765Y101 | CL A COM | 100,000 | $980,000 | thousands by filing date | |
| OMEGA ALPHA SPAC | G6749V107 | CL A | 100,000 | $974,000 | thousands by filing date | |
| Allena Pharmaceuticals, Inc. | 018119107 | COM | 1,067,886 | $963,000 | thousands by filing date | |
| COLISEUM ACQUISITION CORP | G2263T123 | COM | 85,000 | $846,000 | thousands by filing date | |
| CEREVEL THERAPEUTICS HLDNG I | 15678U128 | COM | 20,700 | $611,000 | thousands by filing date | put |
| ALIGOS THERAPEUTICS INC COM NEW | 01626L105 | Stock | 33,492 | $519,000 | thousands by filing date | |
| TCR2 THERAPEUTICS INC | 87808K106 | COM | 59,150 | $503,000 | thousands by filing date | |
| Renovacor Inc | 75989E114 | Warrant | 731,561 | $501,000 | thousands by filing date | |
| COLOMBIER ACQUISITION CORP | 19533H108 | COM | 50,000 | $484,000 | thousands by filing date | |
| IMMATICS N.V | N44445117 | *W EXP 07/01/202 | 97,467 | $389,000 | thousands by filing date | |
| SCYNEXIS INC | 811292200 | COM NEW | 70,000 | $371,000 | thousands by filing date | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T116 | *W EXP 05/09/202 | 600,000 | $351,000 | thousands by filing date | |
| KRYSTAL BIOTECH INC COM | 501147102 | Stock | 5,800 | $303,000 | thousands by filing date | call |
| POSEIDA THERAPEUTICS INC | 73730P108 | COM | 32,238 | $235,000 | thousands by filing date | |
| NOCTURNE ACQUISITION CORP | G6580S106 | RIGHT 12/26/2025 | 500,000 | $210,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W122 | *W EXP 10/23/202 | 133,333 | $107,000 | thousands by filing date | |
| Reservoir Media Inc W Exp 08/26/202 | 76119X113 | SPAC Combination | 50,000 | $99,000 | thousands by filing date | |
| HEALTH SCIENCES ACQ CORP 2 | G4411D109 | ORD SHS | 10,000 | $99,000 | thousands by filing date | |
| SURROZEN INC | 86889P117 | *W EXP 08/01/203 | 82,233 | $94,000 | thousands by filing date | |
| LAKESHORE ACQUISITION I CORP | G53521111 | *W EXP 07/15/202 | 150,000 | $79,000 | thousands by filing date | |
| SARISSA CAPITAL ACQUISITN CO | G7823W110 | *W EXP 10/23/202 | 75,000 | $75,000 | thousands by filing date | |
| CHAVANT CAPITAL ACQUISITN CO | G2058L111 | *W EXP 99/99/999 | 150,000 | $72,000 | thousands by filing date | |
| TURMERIC ACQUISITION CORP | G9127T124 | WTS | 84,666 | $55,000 | thousands by filing date | |
| GIGINTERNATIONAL1 INC | 37518W114 | *W EXP 04/19/202 | 50,000 | $37,000 | thousands by filing date | |
| COLOMBIER ACQUISITION CORP | 19533H116 | *W EXP 99/99/999 | 16,666 | $9,000 | thousands by filing date | |
| UPHEALTH INC 11.5000EXP07/01/2024 | 91532B119 | WARR | 10,000 | $5,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-21-001713 | superseded | 2021-11-15 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001420506-21-001737 | this filing | 2021-11-17 | acceptance time not in the bulk data set |