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Disclosery

13F-HR filed by Altium Capital Management LLC

Altium Capital Management LLC filed this 13F-HR for the quarter ended 2023-12-31, filed 2024-02-14, with 66 holding rows worth $147,309,631.

Accession
0001420506-24-000382
Filer
CIK 1746382
Filed
2024-02-14
Accepted by EDGAR
acceptance time not in the bulk data set
Ingested
Source
SEC quarterly data set

Original filing

13F report for Q4 2023

A holdings report, 66 entries on the cover page, a total value of $147,309,631 stated on the cover page (in dollars after the unit check, H1), rows summing to $147,309,631 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 filedCUSIPClassAmountValueValue read asType
XENON PHARMACEUTICALS INC COM98420N105Stock290,535$13,382,042dollars as filed
ALIMERA SCIENCES INC016259202COM2,660,000$11,491,200dollars as filed
AXSOME THERAPEUTICS INC. COM05464T104Stock138,000$10,983,420dollars as filed
EA SERIES TRUST02072L565ALPHA ARCH 1-392,700$9,747,405dollars as filed
VERA THERAPEUTICS INC92337R101COMMON STOCK615,000$9,458,700dollars as filed
XTANT MED HLDGS INC98420P308COM NEW8,027,593$9,071,180dollars as filed
CATALYST PHARMACEUTICALS INC14888U101COM385,000$6,471,850dollars as filed
SAVARA INC805111101COM1,333,000$6,265,100dollars as filed
ORIC PHARMACEUTICALS INC68622P109COM676,000$6,219,200dollars as filed
OLEMA PHARMACEUTICALS INC68062P106COM413,607$5,802,906dollars as filed
ASTRIA THERAPEUTICS INC COM04635X102Stock730,000$5,606,400dollars as filed
INTRA-CELLULAR THERAPIES INC46116X101COMMON STOCK71,000$5,085,020dollars as filed
ADMA BIOLOGICS INC000899104COM1,095,000$4,949,400dollars as filed
SOLENO THERAPEUTICS INC834203309COM104,909$4,222,587dollars as filed
INSMED INC COM PAR $.01457669307Stock120,000$3,718,800dollars as filed
IMMUNOVANT INC45258J102COM80,000$3,370,400dollars as filed
ASCENDIS PHARMA A/S DKK 1.0 AD04351P101SPONSORED ADR25,000$3,148,750dollars as filed
CYMABAY THERAPEUTICS INC23257D103COM111,000$2,621,820dollars as filed
SAGIMET BIOSCIENCES INC A786700104COMMON STOCK483,181$2,531,634dollars as filed
CRINETICS PHARMACEUTICALS INC COM22663K107Stock65,000$2,312,700dollars as filed
MARINUS PHARMACEUTICALS INC56854Q200COM NEW200,000$2,174,000dollars as filed
ENVVENO MEDICAL CORPORATION29415J106COM344,471$1,770,581dollars as filed
AMYLYX PHARMACEUTICALS INC03237H101COM119,526$1,759,423dollars as filed
CYTOKINETICS INC23282W605COM NEW20,000$1,669,800dollars as filed
ALPINE IMMUNE SCIENCES INC02083G100COM78,723$1,500,460dollars as filed
Veru Inc92536C103Common Stock2,000,000$1,440,000dollars as filed
NEUROGENE INC64135M105COMMON STOCK66,981$1,298,092dollars as filed
ARVINAS INC04335A105COM31,210$1,284,604dollars as filed
FORTRESS BIOTECH INC34960Q307COM NEW405,122$1,219,417dollars as filed
FILANA THERAPEUTICS INC14817C957COM47,000$1,057,970dollars as filedput
DIAMEDICA THERAPEUTICS INC25253X207COMMON STOCK287,698$817,062dollars as filed
FAT BRANDS INC30258N121*W EXP 07/16/202200,000$680,000dollars as filed
ACURX PHARMACEUTICALS INC00510M954PUT170,300$652,249dollars as filedput
KARYOPHARM THERAPEUTICS INC48576U106COM740,000$640,100dollars as filed
ADVISORSHARES TR00768Y453PURE US CANNABIS80,000$560,800dollars as filed
BIOXCEL THERAPEUTICS INC09075P955COM169,200$499,140dollars as filedput
DOUBLEDOWN INTERACTIVE CO LT25862B109ADS60,876$447,408dollars as filed
RHYTHM PHARMACEUTICALS INC76243J105COM6,485$298,115dollars as filed
FILANA THERAPEUTICS INC14817C107CMN13,000$292,630dollars as filed
TONIX PHARMACEUTICALS HL890260854COM540,025$217,630dollars as filed
NEXGEL INC65344E115*W EXP 12/27/202225,000$110,250dollars as filed
CYCLACEL PHARMACEUTICALS INC (US) OLD23254L801COM NEW37,982$101,412dollars as filed
WEARABLE DEVICES LTDM97838110*W EXP 09/14/2021,411,600$98,812dollars as filed
NOCTURNE ACQUISITION CORPG6580S106RIGHT 12/26/2025500,000$82,400dollars as filed
SADOT GROUP INC627333107COM168,235$67,378dollars as filed
ONFOLIO HOLDINGS INC68277K124*W EXP 01/02/202200,000$16,000dollars as filed
NOVABAY PHARMACEUTICALS INC66987P300COM67,457$13,761dollars as filed
NLS PHARMACEUTICS LTDH57830111*W EXP 02/02/202200,000$11,220dollars as filed
PEPPERLIME HEALTH ACQUSTN COG70021111*W EXP 10/01/202367,500$11,062dollars as filed
MOBIX LABS INC60743G118*W EXP 12/21/202150,000$10,530dollars as filed
Cingulate Inc W Exp 12/10/20217248W113Warrant270,000$8,100dollars as filed
BITCOIN DEPOT INC09174P113*W EXP 06/30/20250,000$7,250dollars as filed
Cdt Equity Inc W Exp 09/22/20220678X114SPAC Combination100,000$6,930dollars as filed
PROSOMNUS INC50535E116*W EXP 04/20/202150,000$4,260dollars as filed
DIGITAL HEALTH ACQUISITION C253893119*W EXP 99/99/999150,000$3,908dollars as filed
CYCURION INC95758L115*W EXP 02/13/203100,000$3,190dollars as filed
CEA INDUSTRIES INC86887P119*W EXP 02/11/202250,000$2,988dollars as filed
TG VENTURE ACQUISITION CORP87251T117*W EXP 08/15/202200,000$2,960dollars as filed
NEXERA TECHNOLOGIES LTDM61472110*W EXP 08/26/20268,681$2,589dollars as filed
SURROZEN INC86889P117*W EXP 08/01/20382,233$1,443dollars as filed
COLISEUM ACQUISITION CORPG2263T107*W EXP 08/22/20228,333$1,133dollars as filed
NEXALIN TECHNOLOGY INC65345B110*W EXP 99/99/999105,000$924dollars as filed
TC BIOPHARM HOLDINGS PLC87807D111*W EXP 02/10/20218,823$612dollars as filed
BOA ACQUISITION CORPg8059b119WT101,439$426dollars as filed
BRUUSH ORAL CARE INC11750K120*W EXP 08/03/20214,423$98dollars as filed
Relativity Acquisition Corp75944B114Warrant100,000$0dollars as filedValue filed as zero, left out of ratios.

Amendment chain

FilingRoleFiledAcceptedIngested
13F-HR 0001420506-24-000382this filing2024-02-14acceptance time not in the bulk data set