SEC 13F Intelligence

Managers / Q4 2020 · view latest →

Gagnon Advisors, LLC

CIK 0001599466 · 1370 AVENUE OF THE AMERICAS, 26TH FLOOR, NEW YORK, NY, 10019 · 212-554-5050

Reported Value
$222M
Q4 2020
Positions
29
Filings on Record
32
2019–present window
Filed
Feb 12, 2021
original filing

Summary

Gagnon Advisors, LLC reported $222M in U.S.-listed holdings across 29 positions for Q4 2020.

Its largest position, CDNA, represents 11.2% of the portfolio.

Compared with Q3 2020, the fund opened 2 new positions and exited 2.

Portfolio Metrics

Turnover
+3.8%
vs prior filed quarter
Top-10 Concentration
+63.1%
share of reported value
Largest Position
+11.2%
Caredx
New / Exited
2 / 2
positions this quarter

Methodology: turnover is min(value bought, value sold) ÷ average reported value across the two quarters — value-based, so market moves inflate it slightly versus a share-based measure. Concentration and largest position are shares of the filing’s total reported value, options excluded, with multiple share classes and repeated sub-manager rows for the same issuer combined into one position — the same rule the holdings table uses by default. New/exited counts compare against the prior filed quarter. All figures derive solely from the fund’s 13F filings.

Reported Value by Quarter

13F Reported Value
Q4 ’18: $142MQ4 ’18Q1 ’19: $175MQ2 ’19: $175MQ3 ’19: $161MQ4 ’19: $178MQ4 ’19Q1 ’20: $107MQ2 ’20: $139MQ3 ’20: $163MQ4 ’20: $222MQ4 ’20Q1 ’21: $474MQ2 ’21: $263MQ3 ’21: $252MQ4 ’21: $252MQ4 ’21Q1 ’22: $217MQ2 ’22: $165MQ3 ’22: $154MQ4 ’22: $148MQ4 ’22Q1 ’23: $149MQ2 ’23: $149MQ3 ’23: $120MQ4 ’23: $114MQ4 ’23Q1 ’24: $115MQ2 ’24: $131MQ3 ’24: $155MQ4 ’24: $156MQ4 ’24Q1 ’25: $142MQ2 ’25: $149MQ3 ’25: $162MQ4 ’25: $158MQ4 ’25Q1 ’26: $136Mfilingsflow.com

Portfolio Composition

By security type
Common Stock: 87.9%Other: 6.7%REIT: 2.9%MLP: 2.4%
  • Common Stock · 87.9% · $196M
  • Other · 6.7% · $15M
  • REIT · 2.9% · $7M
  • MLP · 2.4% · $5M

Quarter-over-Quarter Changes full breakdown →

vs Q3 2020 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
CC NEUBERGER PRINCIPAL HOLDINGS INEW+94.0K94.0K+$1M$1M
CC NEUBERGER PRINCIPAL HOLDINGS INEW+4.6K4.6K+$54,000$54,000
MRKMERCK &CO. INC COMSOLD OUT−57.8K0−$5M$0
GENERAL FIN CORP DELSOLD OUT−13.3K0−$1M$0
CASTLIGHT HEALTH INCADDED+1.16M2.96M+$2M$4M
CM LIFE SCIENCES INCADDED+132.8K370.4K+$2M$4M
YEXTYEXT INCADDED+98.6K416.1K+$2M$7M
APOLLO ENDOSURGERY INCADDED+280.9K1.20M+$3M$4M

Value changes conflate price moves with buying and selling — share changes are the real signal. Share counts are not split-adjusted.

Holdings — Q4 2020

28 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1CDNACAREDX INChistory →COM11.23%$25M344.9K
2AMRCAMERESCO INChistory →CLA10.33%$23M440.0K
3BLBLACKLINE INChistory →COM7.43%$17M123.8K
4FIVNFIVE9 INChistory →COM5.79%$13M73.9K
5AOSLALPHA & OMEGA SEMICONDUCTOR LTDhistory →SHS5.62%$13M528.8K
6PCRXPACIRA BIOSCIENCES INChistory →COM5.21%$12M193.9K
7ALAIR LEASE CORPhistory →CL A5.09%$11M254.9K
8NVGSNAVIGATOR HOLDINGS LTDhistory →SHS4.79%$11M973.8K
9LUMBER LIQUIDATORS HOLDINGS INCCOM3.97%$9M287.6K
10NEW RELIC INCCOM3.66%$8M124.6K
11BLFSBIOLIFE SOLUTIONS INChistory →COM NEW3.49%$8M194.8K
12GFNGENERAL FINANCE CORPhistory →CL A3.41%$8M891.0K
13EVERBRIDGE INCCOM3.41%$8M50.8K
14ONTOONTO INNOVATION INChistory →COM3.20%$7M149.6K
15EQIXEQUINIX INChistory →COM2.94%$7M9.2K
16YEXTYEXT INChistory →COM2.94%$7M416.1K
17PROFPROFOUND MED CORPhistory →COM NEW2.56%$6M277.3K
18EPDENTERPRISE PRODS PARTNERS LPhistory →COM2.43%$5M276.0K
19SECUREWORKS CORPCL A2.24%$5M350.3K
20CM LIFE SCIENCES INCUNIT 9/1/20251.93%$4M370.4K
21APOLLO ENDOSURGERY INCCOM1.84%$4M1.20M
22CASTLIGHT HEALTH INCCL B1.73%$4M2.96M
23WPX ENERGY INCCOM1.27%$3M346.1K
24TFF PHARMACEUTICALS INCCOM1.14%$3M176.5K
25PSIXPOWER SOLUTIONS INTERNATIONAL INCCOM0.93%$2M626.6K
26CELCCELCUITY INCCOM0.58%$1M141.8K
27CC NEUBERGER PRINCIPAL HOLDINGS ICOM · UNIT 99/99/99990.48%$1M98.6K
28CNFINANCE HOLDINGS LIMITEDSPON ADS0.34%$765,000181.6K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$136M22Apr 22, 202613F-HRchanges · EDGAR ↗
Q4 2025$158M23Feb 13, 202613F-HRchanges · EDGAR ↗
Q3 2025$162M24Nov 3, 202513F-HRchanges · EDGAR ↗
Q2 2025$149M24Jul 23, 202513F-HRchanges · EDGAR ↗
Q1 2025$142M28May 12, 202513F-HRchanges · EDGAR ↗
Q4 2024$156M26Jan 24, 202513F-HRchanges · EDGAR ↗
Q3 2024$155M27Nov 12, 202413F-HRchanges · EDGAR ↗
Q2 2024$131M27Aug 14, 202413F-HRchanges · EDGAR ↗
Q1 2024$115M27May 13, 202413F-HRchanges · EDGAR ↗
Q4 2023$114M26Feb 14, 202413F-HRchanges · EDGAR ↗
Q3 2023$120M28Nov 14, 202313F-HRchanges · EDGAR ↗
Q2 2023$149M29Aug 8, 202313F-HRchanges · EDGAR ↗
Q1 2023$149M28Apr 10, 202313F-HRchanges · EDGAR ↗
Q4 2022$148M29Feb 7, 202313F-HRchanges · EDGAR ↗
Q3 2022$154M32Nov 14, 202213F-HRchanges · EDGAR ↗
Q2 2022$165M33Aug 1, 202213F-HRchanges · EDGAR ↗
Q1 2022$217M33May 9, 202213F-HRchanges · EDGAR ↗
Q4 2021$252M34Feb 8, 202213F-HRchanges · EDGAR ↗
Q3 2021$252M35Nov 12, 202113F-HRchanges · EDGAR ↗
Q2 2021$263M32Jul 28, 202113F-HRchanges · EDGAR ↗
Q1 2021$474M30May 14, 202113F-HRchanges · EDGAR ↗
Q4 2020$222M29Feb 12, 202113F-HRchanges · EDGAR ↗
Q3 2020$163M30Nov 12, 202013F-HRchanges · EDGAR ↗
Q2 2020$139M26Aug 14, 2020RESTATEMENTchanges · EDGAR ↗
Q1 2020$107M27May 11, 202013F-HRchanges · EDGAR ↗
Q4 2019$178M32Feb 14, 202013F-HRchanges · EDGAR ↗
Q3 2019$161M32Nov 8, 201913F-HRchanges · EDGAR ↗
Q2 2019$175M33Aug 12, 201913F-HRchanges · EDGAR ↗
Q1 2019$175M33May 13, 201913F-HRchanges · EDGAR ↗
Q4 2018$142M31Jan 18, 201913F-HRchanges · EDGAR ↗

13F filings are due up to 45 days after quarter end, so holdings shown here lag the fund’s current book. Source: original SEC filing on EDGAR ↗.