CAXTON CORP Diversified Active

Location: Princeton, NJ

CIK: 0001388551 · Show all filings

Period: Q3 2015 (← Previous) (Next →)

Filing Date: Nov 16, 2015

Total Value: $74.14M (100.0% shares, 0.0% debt)

Holdings (19)

— SYNTA PHARMACEUTICALS CORP 87.0%

Value $64.5M Shares 37,069,140 Share Price $1.74 Est. Cost/Share $6.65 Unrealized @ Report Date —

— CELATOR PHARMACEUTICALS INC 5.0%

Value $3.729M Shares 2,246,469 Share Price $1.66 Est. Cost/Share $3.25 Unrealized @ Report Date —

— PRONAI THERAPEUTICS INC 1.3%

Value $938K Shares 45,719 Share Price $20.52 Est. Cost/Share $20.52 Unrealized @ Report Date —

— AMERICAN CAP LTD 1.2%

Value $894K Shares 73,558 Share Price $12.15 Est. Cost/Share $14.60 Unrealized @ Report Date —

— INVUITY INC 0.6%

Value $475K Shares 33,905 Share Price $14.01 Est. Cost/Share $14.13 Unrealized @ Report Date —

— MARKET VECTORS ETF TR 0.6%

Value $436K Shares 31,733 Share Price $13.74 Est. Cost/Share $17.76 Unrealized @ Report Date —

— NUVEEN SR INCOME FD 0.6%

Value $417K Shares 70,518 Share Price $5.91 Est. Cost/Share $6.22 Unrealized @ Report Date —

XPHDX PIONEER FLOATING RATE TR 0.5%

Value $369K Shares 32,637 Share Price $11.31 Est. Cost/Share $11.60 Unrealized @ Report Date —

SLRC SOLAR CAP LTD 0.4%

Value $318K Shares 20,098 Share Price $15.82 * Est. Cost/Share $6.66 Unrealized @ Report Date 0.0%

— EATON VANCE SR INCOME TR 0.4%

Value $310K Shares 52,889 Share Price $5.86 Est. Cost/Share $6.36 Unrealized @ Report Date —

— BLACKROCK FLOAT RATE OME STR 0.4%

Value $309K Shares 23,888 Share Price $12.94 Est. Cost/Share $13.37 Unrealized @ Report Date —

— NUVEEN FLTNG RTE INCM OPP FD 0.4%

Value $281K Shares 28,207 Share Price $9.96 Est. Cost/Share $9.96 Unrealized @ Report Date —

— MEDLEY MGMT INC 0.3%

Value $233K Shares 35,259 Share Price $6.61 Est. Cost/Share $10.12 Unrealized @ Report Date —

— MEDLEY CAP CORP 0.3%

Value $216K Shares 29,089 Share Price $7.43 Est. Cost/Share $9.17 Unrealized @ Report Date —

SCM STELLUS CAP INVT CORP 0.3%

Value $213K Shares 21,155 Share Price $10.07 * Est. Cost/Share $10.77 Unrealized @ Report Date 0.0%

— AGILE THERAPEUTICS INC 0.2%

Value $155K Shares 23,035 Share Price $6.73 Est. Cost/Share $8.00 Unrealized @ Report Date —

— CM FIN INC 0.2%

Value $150K Shares 14,658 Share Price $10.23 Est. Cost/Share $10.23 Unrealized @ Report Date —

— SYNTA PHARMACEUTICALS CORP 0.1%

Value $99,000 Shares 57,000 Share Price $1.74 Est. Cost/Share $6.65 Unrealized @ Report Date —

— FIFTH STREET FINANCE CORP 0.1%

Value $98,000 Shares 15,867 Share Price $6.18 Est. Cost/Share $6.18 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	SYNTA PHARMACEUTICALS CORP	37,069,140	$64.5M	87.0%	$1.74	$6.65	—	COM	87162T206
—	CELATOR PHARMACEUTICALS INC	2,246,469	$3.729M	5.0%	$1.66	$3.25	—	COM	15089R102
—	PRONAI THERAPEUTICS INC	45,719	$938K	1.3%	$20.52	$20.52	—	COM	74346L101
—	AMERICAN CAP LTD	73,558	$894K	1.2%	$12.15	$14.60	—	COM	02503Y103
—	INVUITY INC	33,905	$475K	0.6%	$14.01	$14.13	—	COM NEW	46187J205
—	MARKET VECTORS ETF TR	31,733	$436K	0.6%	$13.74	$17.76	—	Call	57060U100
—	NUVEEN SR INCOME FD	70,518	$417K	0.6%	$5.91	$6.22	—	COM	67067Y104
XPHDX	PIONEER FLOATING RATE TR	32,637	$369K	0.5%	$11.31	$11.60	—	COM	72369J102
SLRC	SOLAR CAP LTD	20,098	$318K	0.4%	$15.82 *	$6.66	0.0%	COM	83413U100
—	EATON VANCE SR INCOME TR	52,889	$310K	0.4%	$5.86	$6.36	—	SH BEN INT	27826S103
—	BLACKROCK FLOAT RATE OME STR	23,888	$309K	0.4%	$12.94	$13.37	—	COM	09255X100
—	NUVEEN FLTNG RTE INCM OPP FD	28,207	$281K	0.4%	$9.96	$9.96	—	COM SHS	6706EN100
—	MEDLEY MGMT INC	35,259	$233K	0.3%	$6.61	$10.12	—	CL A COM	58503T106
—	MEDLEY CAP CORP	29,089	$216K	0.3%	$7.43	$9.17	—	COM	58503F106
SCM	STELLUS CAP INVT CORP	21,155	$213K	0.3%	$10.07 *	$10.77	0.0%	COM	858568108
—	AGILE THERAPEUTICS INC	23,035	$155K	0.2%	$6.73	$8.00	—	COM	00847L100
—	CM FIN INC	14,658	$150K	0.2%	$10.23	$10.23	—	COM	12574Q103
—	SYNTA PHARMACEUTICALS CORP	57,000	$99,000	0.1%	$1.74	$6.65	—	Call	87162T206
—	FIFTH STREET FINANCE CORP	15,867	$98,000	0.1%	$6.18	$6.18	—	COM	31678A103