13F-HR filed by Altium Capital Management LLC
Altium Capital Management LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 72 holding rows worth $191,744,613.
- Accession
- 0001420506-23-002134
- Filer
- CIK 1746382
- Filed
- 2023-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 72 entries on the cover page, a total value of $191,744,613 stated on the cover page (in dollars after the unit check, H1), rows summing to $191,744,613 with VALUE read as dollars as filed, 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 |
|---|---|---|---|---|---|---|
| CYMABAY THERAPEUTICS INC | 23257D103 | COM | 800,000 | $11,928,000 | dollars as filed | |
| IMMUNOVANT INC | 45258J952 | COM | 300,000 | $11,517,000 | dollars as filed | put |
| IMMUNOGEN INC | 45253H101 | COMMON STOCK | 725,000 | $11,505,750 | dollars as filed | |
| ASTRIA THERAPEUTICS INC COM | 04635X102 | Stock | 1,347,088 | $10,049,276 | dollars as filed | |
| XTANT MED HLDGS INC | 98420P308 | COM NEW | 8,934,362 | $9,827,798 | dollars as filed | |
| AMYLYX PHARMACEUTICALS INC | 03237H101 | COM | 534,700 | $9,790,357 | dollars as filed | |
| ADMA BIOLOGICS INC | 000899104 | COM | 2,723,011 | $9,748,379 | dollars as filed | |
| ALIMERA SCIENCES INC | 016259202 | COM | 2,934,108 | $9,095,735 | dollars as filed | |
| STRUCTURE THERAPEUTICS INC COMP | 86366E106 | EQUITY | 155,000 | $7,815,100 | dollars as filed | |
| CRINETICS PHARMACEUTICALS INC COM | 22663K107 | Stock | 262,000 | $7,791,880 | dollars as filed | |
| XENON PHARMACEUTICALS INC COM | 98420N105 | Stock | 228,000 | $7,788,480 | dollars as filed | |
| BIOHAVEN LTD | G1110E107 | COM | 287,000 | $7,464,870 | dollars as filed | |
| AXSOME THERAPEUTICS INC. COM | 05464T104 | Stock | 92,000 | $6,429,880 | dollars as filed | |
| KARUNA THERAPEUTICS INC | 48576A100 | COM | 34,000 | $5,749,060 | dollars as filed | |
| MOONLAKE IMMUNOTHERAPEUTICS CLASS A ORD | 61559X104 | Stock | 88,000 | $5,016,000 | dollars as filed | |
| VERA THERAPEUTICS INC | 92337R101 | COMMON STOCK | 333,681 | $4,574,767 | dollars as filed | |
| SAGIMET BIOSCIENCES INC A | 786700104 | COMMON STOCK | 483,181 | $4,251,993 | dollars as filed | |
| OLEMA PHARMACEUTICALS INC | 68062P106 | COM | 335,000 | $4,137,250 | dollars as filed | |
| HARMONY BIOSCIENCES HLDGS IN | 413197104 | COM | 117,000 | $3,834,090 | dollars as filed | |
| APELLIS PHARMACEUTICALS INC | 03753U956 | Equity Put | 100,000 | $3,804,000 | dollars as filed | put |
| SAREPTA THERAPEUTICS INC | 803607100 | COM | 29,300 | $3,551,746 | dollars as filed | |
| DYNE THERAPEUTICS INC COM | 26818M108 | Stock | 315,000 | $2,822,400 | dollars as filed | |
| ACLARIS THERAPEUTICS INC COM | 00461U105 | Stock | 403,000 | $2,760,550 | dollars as filed | |
| ACUMEN PHARMACEUTICALS INC | 00509G209 | CMN | 650,000 | $2,697,500 | dollars as filed | |
| REPLIMUNE GROUP INC | 76029N106 | COMMON STOCK | 155,000 | $2,652,050 | dollars as filed | |
| ORIC PHARMACEUTICALS INC | 68622P109 | COM | 418,706 | $2,533,171 | dollars as filed | |
| COGENT BIOSCIENCES INC | 19240Q201 | COM | 235,000 | $2,291,250 | dollars as filed | |
| PHATHOM PHARMACEUTICALS INC | 71722W107 | COMMON STOCK | 220,000 | $2,281,400 | dollars as filed | |
| JASPER THERAPEUTICS INC | 471871103 | COM | 2,868,000 | $2,007,600 | dollars as filed | |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 28,000 | $1,458,520 | dollars as filed | |
| SOLENO THERAPEUTICS INC | 834203309 | COM | 47,081 | $1,389,360 | dollars as filed | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 1,059,136 | $1,345,103 | dollars as filed | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 496,000 | $1,279,680 | dollars as filed | |
| ACLARIS THERAPEUTICS INC | 00461U955 | COM | 175,000 | $1,198,750 | dollars as filed | put |
| PRAXIS PRECISION MEDICINES I | 74006W108 | COM | 650,000 | $1,111,500 | dollars as filed | |
| ANAVEX LIFE SCIENCES CORP | 032797950 | PUT | 154,900 | $1,014,595 | dollars as filed | put |
| ANAVEX LIFE SCIENCES CORP | 032797900 | COM NEW | 154,900 | $1,014,595 | dollars as filed | call |
| MARINUS PHARMACEUTICALS INC | 56854Q200 | COM NEW | 125,033 | $1,006,516 | dollars as filed | |
| KARYOPHARM THERAPEUTICS INC | 48576U106 | COM | 740,000 | $991,600 | dollars as filed | |
| FAT BRANDS INC | 30258N121 | *W EXP 07/16/202 | 200,000 | $974,000 | dollars as filed | |
| GRI BIO INC | 3622AW106 | COM | 521,508 | $808,337 | dollars as filed | |
| SADOT GROUP INC | 627333107 | COM | 865,263 | $604,819 | dollars as filed | |
| DOUBLEDOWN INTERACTIVE CO LT | 25862B109 | ADS | 60,876 | $516,228 | dollars as filed | |
| ARS PHARMACEUTICALS INC | 82835W958 | COM | 100,000 | $378,000 | dollars as filed | put |
| SNOW LAKE RES LTD | 83336J208 | COM | 219,384 | $289,587 | dollars as filed | |
| WEARABLE DEVICES LTD | M97838110 | *W EXP 09/14/202 | 1,411,600 | $168,474 | dollars as filed | |
| DIRECT DIGITAL HOLDINGS INC | 25461T113 | *W EXP 02/15/202 | 180,000 | $108,018 | dollars as filed | |
| NOCTURNE ACQUISITION CORP | G6580S106 | RIGHT 12/26/2025 | 500,000 | $78,250 | dollars as filed | |
| NEXGEL INC | 65344E115 | *W EXP 12/27/202 | 225,000 | $76,500 | dollars as filed | |
| Cingulate Inc W Exp 12/10/202 | 17248W113 | Warrant | 270,000 | $44,550 | dollars as filed | |
| ONFOLIO HOLDINGS INC | 68277K124 | *W EXP 01/02/202 | 200,000 | $26,680 | dollars as filed | |
| PEPPERLIME HEALTH ACQUSTN CO | G70021111 | *W EXP 10/01/202 | 367,500 | $26,093 | dollars as filed | |
| NEXERA TECHNOLOGIES LTD | M61472110 | *W EXP 08/26/202 | 480,770 | $21,394 | dollars as filed | |
| NLS PHARMACEUTICS LTD | H57830111 | *W EXP 02/02/202 | 200,000 | $21,040 | dollars as filed | |
| PROSOMNUS INC | 50535E116 | *W EXP 04/20/202 | 150,000 | $10,500 | dollars as filed | |
| BITCOIN DEPOT INC | 09174P113 | *W EXP 06/30/202 | 50,000 | $9,495 | dollars as filed | |
| CEA INDUSTRIES INC | 86887P119 | *W EXP 02/11/202 | 250,000 | $9,200 | dollars as filed | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T124 | *W EXP 10/07/202 | 650,000 | $6,435 | dollars as filed | |
| TG VENTURE ACQUISITION CORP | 87251T117 | *W EXP 08/15/202 | 200,000 | $6,400 | dollars as filed | |
| Cdt Equity Inc W Exp 09/22/202 | 20678X114 | SPAC Combination | 100,000 | $4,500 | dollars as filed | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T116 | *W EXP 05/09/202 | 600,000 | $4,500 | dollars as filed | |
| CHAVANT CAPITAL ACQUISITN CO | G2058L111 | *W EXP 99/99/999 | 150,000 | $4,380 | dollars as filed | |
| COLISEUM ACQUISITION CORP | G2263T107 | *W EXP 08/22/202 | 28,333 | $3,612 | dollars as filed | |
| SURROZEN INC | 86889P117 | *W EXP 08/01/203 | 82,233 | $3,380 | dollars as filed | |
| DIGITAL HEALTH ACQUISITION C | 253893119 | *W EXP 99/99/999 | 150,000 | $3,315 | dollars as filed | |
| CYCURION INC | 95758L115 | *W EXP 02/13/203 | 100,000 | $3,210 | dollars as filed | |
| NEXALIN TECHNOLOGY INC | 65345B110 | *W EXP 99/99/999 | 105,000 | $2,625 | dollars as filed | |
| BOA ACQUISITION CORP | g8059b119 | WT | 101,439 | $1,420 | dollars as filed | |
| OPY ACQUISITION CORP I | 671005114 | *W EXP 09/22/202 | 50,000 | $1,385 | dollars as filed | |
| TC BIOPHARM HOLDINGS PLC | 87807D111 | *W EXP 02/10/202 | 18,823 | $393 | dollars as filed | |
| BRUUSH ORAL CARE INC | 11750K120 | *W EXP 08/03/202 | 14,423 | $342 | dollars as filed | |
| Relativity Acquisition Corp | 75944B114 | Warrant | 100,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001420506-23-002134 | this filing | 2023-11-14 | acceptance time not in the bulk data set |