SEC 13F Intelligence

Managers / Q4 2021 · view latest →

Altium Capital Management LLC

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

Reported Value
$363M
Q4 2021
Positions
133
Filings on Record
25
2019–present window
Filed
Feb 14, 2022
original filing

Summary

Altium Capital Management LLC reported $363M in U.S.-listed holdings across 133 positions for Q4 2021.

Its largest position, ESPR, represents 3.5% of the portfolio.

Compared with Q3 2021, the fund opened 49 new positions and exited 40.

Portfolio Metrics

Turnover
+39.5%
vs prior filed quarter
Top-10 Concentration
+26.0%
share of reported value
Largest Position
+3.5%
Esperion Therapeutics Inc Ne
New / Exited
49 / 40
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 ’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: 70.8%Other: 24.0%ADR: 3.8%PUBLIC: 0.8%Equity WRT: 0.6%
  • Common Stock · 70.8% · $257M
  • Other · 24.0% · $87M
  • ADR · 3.8% · $14M
  • PUBLIC · 0.8% · $3M
  • Equity WRT · 0.6% · $2M

Quarter-over-Quarter Changes full breakdown →

vs Q3 2021 (amended baseline)

IssuerMoveShare ΔShares nowValue ΔValue now
ESPRESPERION THERAPEUTICS INC NENEW+2.52M2.52M+$13M$13M
PEPPERLIME HEALTH ACQUSTN CONEW+735.0K735.0K+$7M$7M
NANOSTRING TECHNOLOGIES INCNEW+146.5K146.5K+$6M$6M
CYMABAY THERAPEUTICS INCNEW+1.75M1.75M+$6M$6M
IOVAIOVANCE BIOTHERAPEUTICS INCNEW+300.0K300.0K+$6M$6M
QGENQIAGEN NVNEW+93.0K93.0K+$5M$5M
QUIDEL CORPNEW+37.0K37.0K+$5M$5M
ESSA PHARMA INCNEW+345.0K345.0K+$5M$5M

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

Holdings — Q4 2021

114 positions
Export to Excel
#IssuerClass% PortfolioValue ↓Shares
1ESPRESPERION THERAPEUTICS INC NEhistory →COM3.47%$13M2.52M
2PTGXPROTAGONIST THERAPEUTICS INChistory →COM3.26%$12M346.0K
3BLUBELLUS HEALTH INC NEWhistory →COM NEW3.22%$12M1.45M
4BCYCBICYCLE THERAPEUTICS PLChistory →SPONSORED ADS2.89%$10M172.0K
5CRNXCRINETICS PHARMACEUTICALS INhistory →COM2.59%$9M331.0K
6CHINOOK THERAPEUTICS INCCOM2.45%$9M545.0K
7LNTHLANTHEUS HLDGS INChistory →COM2.17%$8M272.0K
81847 GOEDEKER INC*W EXP 99/99/9992.04%$7M6.10M
9PEPPERLIME HEALTH ACQUSTN COCLASS A ORD SHS · *W EXP 10/01/2022.03%$7M1.10M
10KROSKEROS THERAPEUTICS INChistory →COM1.87%$7M116.0K
11IMMATICS N.VSHS · *W EXP 07/01/2021.86%$7M567.4K
12ILMNILLUMINA INChistory →COM1.84%$7M17.5K
13NANOSTRING TECHNOLOGIES INCCOM1.71%$6M146.5K
14CYMABAY THERAPEUTICS INCCOM1.63%$6M1.75M
15INSMINSMED INChistory →COM PAR $.011.53%$6M203.4K
16IVERIC BIO INCCOM1.52%$6M329.1K
17CTI BIOPHARMA CORPCOM1.49%$5M2.19M
18AVIDITY BIOSCIENCES INCCOM1.47%$5M225.0K
19INSPINSPIRE MED SYS INChistory →COM1.46%$5M23.0K
20MYGNMYRIAD GENETICS INChistory →COM1.45%$5M190.0K
21NOCTURNE ACQUISITION CORPORDINARY SHARES · RIGHT 12/26/20251.43%$5M1.00M
22QGENQIAGEN NVhistory →SHS NEW1.43%$5M93.0K
23QUIDEL CORPCOM1.38%$5M37.0K
24ESSA PHARMA INCCOM NEW1.35%$5M345.0K
25CLDXCELLDEX THERAPEUTICS INC NEWhistory →COM NEW1.34%$5M126.0K
26OCULOCULAR THERAPEUTIX INChistory →COM1.34%$5M695.0K
27ADMAADMA BIOLOGICS INChistory →COM1.28%$5M3.30M
28RLMDRELMADA THERAPEUTICS INChistory →COM1.28%$5M206.0K
29VERASTEM INCCOM1.27%$5M2.25M
30ADICET BIO INCCOM1.27%$5M263.0K
31TVTXTRAVERE THERAPEUTICS INChistory →COM1.21%$4M141.0K
32KALEYRA INCCOM1.20%$4M433.9K
33GMEDGLOBUS MED INChistory →CL A1.17%$4M59.0K
34EUCRATES BIOMEDICAL ACQU CORSHS · *W EXP 10/23/2021.10%$4M533.3K
35CURIS INCCOM NEW1.09%$4M829.0K
36SYROS PHARMACEUTICALS INCCOM1.04%$4M1.16M
37HARBOR CUSTOM DEVELOPMENT IN8% CONV PFD SR A · *W EXP 10/04/202 · *W EXP 05/09/2021.00%$4M1.44M
38GKOSGLAUKOS CORPCOM0.99%$4M81.0K
39AVADEL PHARMACEUTICALS PLCSPONSORED ADR0.98%$4M440.6K
40XTNTXTANT MED HLDGS INCCOM NEW0.96%$3M6.25M
41EXKEXACT SCIENCES CORPCOM0.94%$3M44.0K
42RENOVACOR INCCOM · *W EXP 99/99/9990.94%$3M1.12M
43NEVRO CORPCOM0.94%$3M42.0K
44PROFPROFOUND MED CORPCOM NEW0.93%$3M300.0K
45PARDES BIOSCIENCES INCCOM0.90%$3M200.0K
46NTRANATERA INCCOM0.90%$3M35.0K
47SIENTRA INCCOM0.88%$3M866.0K
48CERSCERUS CORPCOM0.87%$3M465.0K
49IMMUNIC INCCOM0.84%$3M317.0K
50KRMDREPRO MED SYS INCCOM0.82%$3M995.5K
51INFUINFUSYSTEM HLDGS INCCOM0.82%$3M175.0K
52ATECALPHATEC HLDGS INCCOM NEW0.80%$3M255.0K
53CTMXCYTOMX THERAPEUTICS INCCOM0.79%$3M663.8K
54MORPHIC HLDG INCCOM0.78%$3M60.0K
55EYPTEYEPOINT PHARMACEUTICALS INCCOM NEW0.76%$3M225.0K
56TURMERIC ACQUISITION CORPCL A · *W EXP 10/08/2020.70%$3M338.7K
57HELIX ACQUISITION CORPCOM CL A0.68%$2M250.0K
58STAASTAAR SURGICAL COCOM PAR $0.010.65%$2M26.0K
59LEGNLEGEND BIOTECH CORPSPONSORED ADS0.64%$2M50.0K
60SARISSA CAPITAL ACQUISITN COCL A · *W EXP 10/23/2020.63%$2M300.0K
61LAKESHORE ACQUISITION I CORPORDINARY SHARES · *W EXP 07/15/2020.58%$2M350.0K
62TG VENTURE ACQUISITION CORPUNIT 08/15/20280.57%$2M200.0K
63CHAVANT CAPITAL ACQUISITN COORDINARY SHARES · *W EXP 99/99/9990.56%$2M350.0K
64MDGLMADRIGAL PHARMACEUTICALS INCCOM0.56%$2M24.0K
65CRDFCARDIFF ONCOLOGY INCCOM0.56%$2M337.0K
66GIGINTERNATIONAL1 INCCOM · *W EXP 04/19/2020.56%$2M250.0K
67DYNDYNE THERAPEUTICS INCCOM0.55%$2M166.6K
68JIYA ACQUISITION CORPCOM CL A0.54%$2M200.0K
6989BIO INCCOM0.53%$2M148.0K
70CELCCELCUITY INCCOM0.53%$2M145.0K
71VQSSFVIQ SOLUTIONS INCCOM NEW0.45%$2M704.7K
72GLOBAL BLOOD THERAPEUTICS INCOM0.44%$2M54.0K
73DIGITAL HEALTH ACQUISITION CUNIT 11/02/20260.42%$2M150.0K
74FAT BRANDS INC*W EXP 07/16/2020.42%$2M227.0K
75HLMNHILLMAN SOLUTIONS CORPCOM0.42%$2M142.0K
76AULT DISRUPTIVE TECHS CORPUNIT 99/99/99990.42%$2M150.0K
77FLUXFLUX PWR HLDGS INCCOM NEW0.41%$1M346.3K
78KALVISTA PHARMACEUTICALS INCCOM0.41%$1M111.8K
79MUSCLE MAKER INCCOM0.40%$1M2.00M
80AEGLEA BIOTHERAPEUTICS INCCOM0.38%$1M293.8K
81EIGER BIOPHARMACEUTICALS INCCOM0.37%$1M261.0K
82CNTXCONTEXT THERAPEUTICS INCCOM0.36%$1M493.5K
83TAILWIND ACQUISITION CORPCOM CL A0.35%$1M128.4K
84CITIC CAPITAL ACQUISITION COCOM CL A0.31%$1M111.2K
85RZLTREZOLUTE INCCOM NEW0.30%$1M230.0K
86INDUSTRIAL HUMAN CAPITAL INCCOM · *W EXP 11/27/2020.28%$1M200.0K
87MOTIVE CAPITAL CORPSHS CL A0.28%$1M102.1K
88OPY ACQUISITION CORP IUNIT 09/22/20260.28%$1M100.0K
89ARYA SCIENCES ACQU CORP IVCL A0.27%$992,000100.0K
90FIRSTMARK HORIZON ACQUISITIOCL A COM0.27%$989,000100.0K
91BCLS ACQUISITION CORPCOM CL A0.27%$980,000100.0K
92OMEGA ALPHA SPACCL A0.27%$977,000100.0K
93ACHVACHIEVE LIFE SCIENCES INCCOM0.26%$949,000122.0K
94DDIDOUBLEDOWN INTERACTIVE CO LTADS0.26%$944,00060.9K
95CONNECT BIOPHARMA HLDGS LTDADS0.25%$901,000175.0K
96VERRICA PHARMACEUTICALS INCCOM0.25%$897,00097.9K
97COLISEUM ACQUISITION CORPCLASS A ORD SHS · *W EXP 08/22/2020.23%$849,000113.3K
98STRYVE FOODS INCCLASS A COM0.18%$640,000162.1K
99COLOMBIER ACQUISITION CORPCL A · *W EXP 99/99/9990.14%$491,00066.7K
100ICAD INCCOM NEW0.13%$460,00063.9K

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 ↗.