CAXTON CORP Diversified Active

CIK: 0001388551 · Show all filings

Period: Q3 2015 (← Previous) (Next →)

Filing Date: Nov 16, 2015

Total Value ($000): $74,140 (100.0% shares, 0.0% debt)

Holdings (19)

— SYNTA PHARMACEUTICALS CORP 87.0%

Value ($000) $64,500 Shares 37,069,140 Est. Cost $6.65 Unrealized —

— CELATOR PHARMACEUTICALS INC 5.0%

Value ($000) $3,729 Shares 2,246,469 Est. Cost $3.25 Unrealized —

— PRONAI THERAPEUTICS INC 1.3%

Value ($000) $938 Shares 45,719 Est. Cost $20.52 Unrealized —

— AMERICAN CAP LTD 1.2%

Value ($000) $894 Shares 73,558 Est. Cost $14.60 Unrealized —

— INVUITY INC 0.6%

Value ($000) $475 Shares 33,905 Est. Cost $14.13 Unrealized —

— MARKET VECTORS ETF TR 0.6%

Value ($000) $436 Shares 31,733 Est. Cost $17.76 Unrealized —

— NUVEEN SR INCOME FD 0.6%

Value ($000) $417 Shares 70,518 Est. Cost $6.22 Unrealized —

XPHDX PIONEER FLOATING RATE TR 0.5%

Value ($000) $369 Shares 32,637 Est. Cost $11.60 Unrealized —

SLRC SOLAR CAP LTD 0.4%

Value ($000) $318 Shares 20,098 Est. Cost $6.66 Unrealized 0.0%

— EATON VANCE SR INCOME TR 0.4%

Value ($000) $310 Shares 52,889 Est. Cost $6.36 Unrealized —

— BLACKROCK FLOAT RATE OME STR 0.4%

Value ($000) $309 Shares 23,888 Est. Cost $13.37 Unrealized —

— NUVEEN FLTNG RTE INCM OPP FD 0.4%

Value ($000) $281 Shares 28,207 Est. Cost $9.96 Unrealized —

— MEDLEY MGMT INC 0.3%

Value ($000) $233 Shares 35,259 Est. Cost $10.12 Unrealized —

— MEDLEY CAP CORP 0.3%

Value ($000) $216 Shares 29,089 Est. Cost $9.17 Unrealized —

SCM STELLUS CAP INVT CORP 0.3%

Value ($000) $213 Shares 21,155 Est. Cost $10.77 Unrealized 0.0%

— AGILE THERAPEUTICS INC 0.2%

Value ($000) $155 Shares 23,035 Est. Cost $8.00 Unrealized —

— CM FIN INC 0.2%

Value ($000) $150 Shares 14,658 Est. Cost $10.23 Unrealized —

— SYNTA PHARMACEUTICALS CORP 0.1%

Value ($000) $99 Shares 57,000 Est. Cost $6.65 Unrealized —

— FIFTH STREET FINANCE CORP 0.1%

Value ($000) $98 Shares 15,867 Est. Cost $6.18 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	SYNTA PHARMACEUTICALS CORP	37,069,140	$64,500	87.0%	$6.65	—	COM	87162T206
—	CELATOR PHARMACEUTICALS INC	2,246,469	$3,729	5.0%	$3.25	—	COM	15089R102
—	PRONAI THERAPEUTICS INC	45,719	$938	1.3%	$20.52	—	COM	74346L101
—	AMERICAN CAP LTD	73,558	$894	1.2%	$14.60	—	COM	02503Y103
—	INVUITY INC	33,905	$475	0.6%	$14.13	—	COM NEW	46187J205
—	MARKET VECTORS ETF TR	31,733	$436	0.6%	$17.76	—	Call	57060U100
—	NUVEEN SR INCOME FD	70,518	$417	0.6%	$6.22	—	COM	67067Y104
XPHDX	PIONEER FLOATING RATE TR	32,637	$369	0.5%	$11.60	—	COM	72369J102
SLRC	SOLAR CAP LTD	20,098	$318	0.4%	$6.66	0.0%	COM	83413U100
—	EATON VANCE SR INCOME TR	52,889	$310	0.4%	$6.36	—	SH BEN INT	27826S103
—	BLACKROCK FLOAT RATE OME STR	23,888	$309	0.4%	$13.37	—	COM	09255X100
—	NUVEEN FLTNG RTE INCM OPP FD	28,207	$281	0.4%	$9.96	—	COM SHS	6706EN100
—	MEDLEY MGMT INC	35,259	$233	0.3%	$10.12	—	CL A COM	58503T106
—	MEDLEY CAP CORP	29,089	$216	0.3%	$9.17	—	COM	58503F106
SCM	STELLUS CAP INVT CORP	21,155	$213	0.3%	$10.77	0.0%	COM	858568108
—	AGILE THERAPEUTICS INC	23,035	$155	0.2%	$8.00	—	COM	00847L100
—	CM FIN INC	14,658	$150	0.2%	$10.23	—	COM	12574Q103
—	SYNTA PHARMACEUTICALS CORP	57,000	$99	0.1%	$6.65	—	Call	87162T206
—	FIFTH STREET FINANCE CORP	15,867	$98	0.1%	$6.18	—	COM	31678A103