SEC 13F Intelligence

Managers / Q4 2020 · view latest →

Altium Capital Management LLC

CIK 0001746382 · 152 W 57 ST FL7, NEW YORK, NY, 10019 · 2124842711

Reported Value
$266M
Q4 2020
Positions
98
Filings on Record
25
2019–present window
Filed
Feb 16, 2021
original filing

Summary

Altium Capital Management LLC reported $266M in U.S.-listed holdings across 98 positions for Q4 2020.

Its largest position, IRD, represents 5.1% of the portfolio.

Portfolio Metrics

Top-10 Concentration
+25.2%
share of reported value
Largest Position
+5.1%
Ocuphire Pharma

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 ’20: $266MQ4 ’20Q1 ’21: $360MQ2 ’21: $431MQ3 ’21: $381MQ3 ’21Q4 ’21: $363MQ1 ’22: $299MQ2 ’22: $250MQ2 ’22Q3 ’22: $273MQ4 ’22: $197MQ1 ’23: $180MQ1 ’23Q2 ’23: $132MQ3 ’23: $192MQ4 ’23: $147MQ4 ’23Q1 ’24: $253MQ2 ’24: $245MQ3 ’24: $340MQ3 ’24Q4 ’24: $353MQ1 ’25: $42MQ2 ’25: $0Q2 ’25Q3 ’25: $628,262Q4 ’25: $25MQ1 ’26: $42MQ1 ’26filingsflow.com

Portfolio Composition

By security type
Common Stock: 63.3%Other: 35.2%ADR: 1.0%Equity WRT: 0.4%
  • Common Stock · 63.3% · $168M
  • Other · 35.2% · $93M
  • ADR · 1.0% · $3M
  • Equity WRT · 0.4% · $1M

Quarter-over-Quarter Changes full breakdown →

IssuerMoveShare ΔShares nowValue ΔValue now
IRDOCUPHIRE PHARMA INCNEW+2.07M2.07M+$13M$13M
CURIS INCNEW+822.0K822.0K+$7M$7M
OCULOCULAR THERAPEUTIX INCNEW+303.2K303.2K+$6M$6M
IVERIC BIO INCNEW+902.6K902.6K+$6M$6M
SUTRO BIOPHARMA INCNEW+276.7K276.7K+$6M$6M
SNDXSYNDAX PHARMACEUTICALS INCNEW+263.6K263.6K+$6M$6M
GENPREX INCNEW+1.41M1.41M+$6M$6M
VERASTEM INCNEW+2.73M2.73M+$6M$6M

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

Holdings — Q4 2020

93 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1IRDOCUPHIRE PHARMA INChistory →COM5.05%$13M2.07M
2CURIS INCCOM NEW2.53%$7M822.0K
3OCULOCULAR THERAPEUTIX INChistory →COM2.36%$6M303.2K
4IVERIC BIO INCCOM2.35%$6M902.6K
5SUTRO BIOPHARMA INCCOM2.26%$6M276.7K
6SNDXSYNDAX PHARMACEUTICALS INChistory →COM2.21%$6M263.6K
7GENPREX INCCOM2.20%$6M1.41M
8VERASTEM INCCOM2.19%$6M2.73M
9ANABANAPTYSBIO INChistory →COM2.11%$6M261.2K
10BLUBELLUS HEALTH INC NEWhistory →COM NEW1.94%$5M1.68M
11CRNXCRINETICS PHARMACEUTICALS INhistory →COM1.92%$5M361.9K
12INSMINSMED INChistory →COM PAR $.011.86%$5M148.7K
13INTRA CELLULAR THERAPIES INCCOM1.84%$5M153.3K
14COGTCOGENT BIOSCIENCES INChistory →COM1.83%$5M432.6K
15CHARDAN HEALTHCR ACQSTN 2 COCOM · *W EXP 03/05/2021.68%$4M888.8K
16ARYA SCIENCES ACQUISITION COCOM CL A1.63%$4M400.0K
17MYGNMYRIAD GENETICS INChistory →COM1.63%$4M218.7K
18EUCRATES BIOMEDICAL ACQU CORUNIT 10/23/20271.61%$4M400.0K
19CLDXCELLDEX THERAPEUTICS INC NEWhistory →COM NEW1.58%$4M239.5K
20CSTLCASTLE BIOSCIENCES INChistory →COM1.57%$4M62.0K
21ILMNILLUMINA INChistory →COM1.56%$4M11.2K
22PODDINSULET CORPhistory →COM1.56%$4M16.2K
23AUPHAURINIA PHARMACEUTICALS INChistory →COM1.53%$4M293.9K
24CNSTCONSTELLATION PHARMCETICLS Ihistory →COM1.46%$4M134.2K
25VINCERA PHARMA INCCOM · *W EXP 12/24/2021.45%$4M365.4K
26CHRSCOHERUS BIOSCIENCES INChistory →COM1.42%$4M216.9K
27PTGXPROTAGONIST THERAPEUTICS INChistory →COM1.41%$4M185.9K
28IMMUNIC INCCOM1.41%$4M244.2K
29IMVTIMMUNOVANT INChistory →COM1.35%$4M77.6K
30LNTHLANTHEUS HLDGS INChistory →COM1.33%$4M262.5K
31CRDFCARDIFF ONCOLOGY INChistory →COM1.26%$3M185.6K
32CHINOOK THERAPEUTICS INCCOM1.23%$3M205.8K
33MICT INCCOM1.20%$3M1.53M
34AVADEL PHARMACEUTICALS PLCSPONSORED ADR1.17%$3M465.6K
35HAEHAEMONETICS CORPhistory →COM1.17%$3M26.1K
36SCYNEXIS INCCOM NEW1.15%$3M400.0K
37ORBITAL ENERGY GROUP INCCOM1.12%$3M1.35M
38SIENTRA INCCOM1.10%$3M752.6K
39ALPHA HEALTHCARE ACQUISTN COUNIT 09/21/20271.09%$3M275.0K
40HELIX ACQUISITION CORPCOM CL A1.07%$3M250.0K
41NNDMNANO DIMENSION LTDhistory →SPONSORD ADS NEW1.04%$3M304.6K
42LIFESCI ACQUISITION II CORPCOM1.00%$3M250.0K
43CONSONANCE HFW ACQUISITION CUNIT 99/99/99990.99%$3M250.0K
44TURMERIC ACQUISITION CORPUNIT 10/08/20250.98%$3M254.0K
45FS DEV CORPCOM CL A0.97%$3M234.0K
46EIGER BIOPHARMACEUTICALS INCCOM0.91%$2M197.5K
47SARISSA CAPITAL ACQUISITN COUNIT 10/23/20270.90%$2M225.0K
48CM LIFE SCIENCES INCUNIT 09/01/20250.87%$2M200.0K
49TCR2 THERAPEUTICS INCCOM0.86%$2M74.0K
50INTERSECT ENT INCCOM0.86%$2M99.7K
51TIZIANA LIFE SCIENCES PLCSPONSORED ADS0.82%$2M1.08M
52AEGLEA BIOTHERAPEUTICS INCCOM0.79%$2M267.8K
53ESSA PHARMA INCCOM NEW0.79%$2M175.1K
54TVTXTRAVERE THERAPEUTICS INCCOM0.78%$2M76.5K
55KARYOPHARM THERAPEUTICS INCCOM0.78%$2M134.0K
56JIYA ACQUISITION CORPCOM CL A0.78%$2M200.0K
57GMEDGLOBUS MED INCCL A0.77%$2M31.5K
58DXCMDEXCOM INCCOM0.77%$2M5.5K
59ONCTERNAL THERAPEUTICS INCCOM0.76%$2M411.7K
60RIGEL PHARMACEUTICALS INCCOM NEW0.75%$2M571.0K
61ICUIICU MED INCCOM0.75%$2M9.3K
62LRMRLARIMAR THERAPEUTICS INCCOM0.75%$2M93.3K
63CATALYST BIOSCIENCES INCCOM NEW0.75%$2M313.7K
64CELLECTAR BIOSCIENCES INCCOM PAR · *W EXP 04/20/2020.74%$2M1.25M
65OTONOMY INCCOM0.73%$2M299.9K
66OPTINOSE INCCOM0.71%$2M458.6K
67CTI BIOPHARMA CORPCOM0.71%$2M589.0K
68BCRXBIOCRYST PHARMACEUTICALS INCCOM0.70%$2M250.0K
69OPENDOOR TECHNOLOGIES INC*W EXP 12/18/2020.70%$2M240.0K
70CTMXCYTOMX THERAPEUTICS INCCOM0.68%$2M273.7K
71ARQTARCUTIS BIOTHERAPEUTICS INCCOM0.67%$2M63.0K
72HARPOON THERAPEUTICS INCCOM0.64%$2M102.0K
73SWITCHBACK ENERGY ACQUISTN C*W EXP 07/25/2020.61%$2M105.0K
74YUMANITY THERAPEUTICS INCCOM0.56%$1M108.7K
75EPIZYME INCCOM0.53%$1M130.0K
76BCTG ACQUISITION CORPCOM0.52%$1M120.0K
77ATYRATYR PHARMA INCCOM NEW0.49%$1M332.3K
78VERRICA PHARMACEUTICALS INCCOM0.47%$1M108.8K
79BCLS ACQUISITION CORPCOM CL A0.42%$1M100.0K
809 METERS BIOPHARMA INCCOM0.41%$1M1.26M
81ROTH CH ACQUISITION II COUNIT 12/11/20250.39%$1M100.0K
82CNS PHARMACEUTICALS INCCOM0.36%$951,000534.1K
83FAT BRANDS INC*W EXP 06/30/2020.30%$810,000300.0K
84HALL OF FAME RESORT & ENTMT*W EXP 07/01/2020.14%$372,0001.00M
85CEREVEL THERAPEUTICS HLDNG I*W EXP 06/09/2020.14%$365,00064.7K
86IMMATICS N.V*W EXP 07/01/2020.11%$281,00097.5K
87AMPLITUDE HLTHCRE AQUSTIN CO*W EXP 12/01/2020.09%$236,000162.5K
88KBNTKUBIENT INCCOM0.09%$236,00042.3K
89GALILEO ACQUISITION CORP*W EXP 10/31/2020.06%$168,000200.0K
90VENUS CONCEPT INCCOM0.06%$162,00093.6K
91PYXIS TANKERS INCCOM0.05%$142,00010.0K
92QUOTIENT LTDSHS0.05%$130,00024.9K
93HEALTH SCIENCES ACQ CORP 2ORD SHS0.05%$128,00010.0K

Filing History

QuarterReported ValuePositionsFiledTypeLinks
Q1 2026$42M19May 1, 202613F-HRchanges · EDGAR ↗
Q4 2025$25M18Feb 6, 202613F-HRchanges · EDGAR ↗
Q3 2025$628,2621Nov 4, 202513F-HRchanges · EDGAR ↗
Q2 2025$01Aug 7, 202513F-HRchanges · EDGAR ↗
Q1 2025$42M24May 13, 2025RESTATEMENTchanges · EDGAR ↗
Q4 2024$353M67Feb 13, 202513F-HRchanges · EDGAR ↗
Q3 2024$340M79Nov 14, 202413F-HRchanges · EDGAR ↗
Q2 2024$245M68Aug 15, 202413F-HRchanges · EDGAR ↗
Q1 2024$253M72May 15, 202413F-HRchanges · EDGAR ↗
Q4 2023$147M66Feb 14, 202413F-HRchanges · EDGAR ↗
Q3 2023$192M72Nov 14, 202313F-HRchanges · EDGAR ↗
Q2 2023$132M68Aug 14, 202313F-HRchanges · EDGAR ↗
Q1 2023$180M91May 15, 202313F-HRchanges · EDGAR ↗
Q4 2022$197M94Feb 14, 202313F-HRchanges · EDGAR ↗
Q3 2022$273M134Nov 14, 202213F-HRchanges · EDGAR ↗
Q2 2022$250M127Aug 15, 202213F-HRchanges · EDGAR ↗
Q1 2022$299M118May 16, 202213F-HRchanges · EDGAR ↗
Q4 2021$363M133Feb 14, 202213F-HRchanges · EDGAR ↗
Q3 2021$381M124Nov 17, 2021RESTATEMENTchanges · EDGAR ↗
Q2 2021$431M135Aug 13, 202113F-HRchanges · EDGAR ↗
Q1 2021$360M124May 6, 202113F-HRchanges · EDGAR ↗
Q4 2020$266M98Feb 16, 202113F-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 ↗.