CAXTON CORP Diversified Active

Location: Princeton, NJ

CIK: 0001388551 · Show all filings

Period: Q4 2015 (← Previous) (Next →)

Filing Date: Feb 16, 2016

Total Value: $23.84M (100.0% shares, 0.0% debt)

Holdings (20)

— SYNTA PHARMACEUTICALS CORP 32.0%

Value $7.637M Shares 21,696,894 Share Price $0.35 Est. Cost/Share $6.65 Unrealized @ Report Date —

SPY SPDR S&P 500 ETF TR 31.9%

Value $7.594M Shares 37,251 Share Price $203.86 Est. Cost/Share — Unrealized @ Report Date —

— CELATOR PHARMACEUTICALS INC 16.6%

Value $3.954M Shares 2,246,469 Share Price $1.76 Est. Cost/Share $3.25 Unrealized @ Report Date —

— AMERICAN CAP LTD 4.0%

Value $946K Shares 68,621 Share Price $13.79 Est. Cost/Share $14.60 Unrealized @ Report Date —

— PRONAI THERAPEUTICS INC 2.9%

Value $688K Shares 45,719 Share Price $15.05 Est. Cost/Share $20.52 Unrealized @ Report Date —

— NUVEEN SR INCOME FD 1.8%

Value $418K Shares 72,363 Share Price $5.78 Est. Cost/Share $6.21 Unrealized @ Report Date —

XPHDX PIONEER FLOATING RATE TR 1.3%

Value $321K Shares 29,603 Share Price $10.84 Est. Cost/Share $11.60 Unrealized @ Report Date —

— BLACKROCK FLOAT RATE OME STR 1.2%

Value $287K Shares 22,285 Share Price $12.88 Est. Cost/Share $13.37 Unrealized @ Report Date —

— NUVEEN FLTNG RTE INCM OPP FD 1.1%

Value $258K Shares 26,314 Share Price $9.80 Est. Cost/Share $9.96 Unrealized @ Report Date —

— AGILE THERAPEUTICS INC 0.9%

Value $225K Shares 23,035 Share Price $9.77 Est. Cost/Share $8.00 Unrealized @ Report Date —

— CIDARA THERAPEUTICS INC 0.9%

Value $220K Shares 12,812 Share Price $17.17 Est. Cost/Share $17.17 Unrealized @ Report Date —

SCM STELLUS CAP INVT CORP 0.9%

Value $206K Shares 21,380 Share Price $9.64 * Est. Cost/Share $10.76 Unrealized @ Report Date -4.4%

BRK/B BERKSHIRE HATHAWAY INC DEL 0.9%

Value $204K Shares 1,546 Share Price $131.95 Est. Cost/Share $134.20 Unrealized @ Report Date 0.0%

— MEDLEY MGMT INC 0.8%

Value $187K Shares 32,893 Share Price $5.69 Est. Cost/Share $10.12 Unrealized @ Report Date —

— CM FIN INC 0.6%

Value $150K Shares 15,020 Share Price $9.99 Est. Cost/Share $10.23 Unrealized @ Report Date —

— ASSEMBLY BIOSCIENCES INC 0.6%

Value $136K Shares 18,101 Share Price $7.51 Est. Cost/Share $7.51 Unrealized @ Report Date —

ABUS ARBUTUS BIOPHARMA CORP 0.6%

Value $132K Shares 29,762 Share Price $4.44 * Est. Cost/Share $5.48 Unrealized @ Report Date 0.0%

— AMERICAN CAP SR FLOATING LTD 0.5%

Value $129K Shares 13,157 Share Price $9.80 Est. Cost/Share $9.80 Unrealized @ Report Date —

— MEDLEY CAP CORP 0.5%

Value $126K Shares 16,693 Share Price $7.55 Est. Cost/Share $9.17 Unrealized @ Report Date —

— SYNTA PHARMACEUTICALS CORP 0.1%

Value $22,000 Shares 62,000 Share Price $0.35 Est. Cost/Share $6.65 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	SYNTA PHARMACEUTICALS CORP	21,696,894	$7.637M	32.0%	$0.35	$6.65	—	COM	87162T206
SPY	SPDR S&P 500 ETF TR	37,251	$7.594M	31.9%	$203.86	—	—	Put	78462F103
—	CELATOR PHARMACEUTICALS INC	2,246,469	$3.954M	16.6%	$1.76	$3.25	—	COM	15089R102
—	AMERICAN CAP LTD	68,621	$946K	4.0%	$13.79	$14.60	—	COM	02503Y103
—	PRONAI THERAPEUTICS INC	45,719	$688K	2.9%	$15.05	$20.52	—	COM	74346L101
—	NUVEEN SR INCOME FD	72,363	$418K	1.8%	$5.78	$6.21	—	COM	67067Y104
XPHDX	PIONEER FLOATING RATE TR	29,603	$321K	1.3%	$10.84	$11.60	—	COM	72369J102
—	BLACKROCK FLOAT RATE OME STR	22,285	$287K	1.2%	$12.88	$13.37	—	COM	09255X100
—	NUVEEN FLTNG RTE INCM OPP FD	26,314	$258K	1.1%	$9.80	$9.96	—	COM SHS	6706EN100
—	AGILE THERAPEUTICS INC	23,035	$225K	0.9%	$9.77	$8.00	—	COM	00847L100
—	CIDARA THERAPEUTICS INC	12,812	$220K	0.9%	$17.17	$17.17	—	COM	171757107
SCM	STELLUS CAP INVT CORP	21,380	$206K	0.9%	$9.64 *	$10.76	-4.4%	COM	858568108
BRK/B	BERKSHIRE HATHAWAY INC DEL	1,546	$204K	0.9%	$131.95	$134.20	0.0%	CL B NEW	084670702
—	MEDLEY MGMT INC	32,893	$187K	0.8%	$5.69	$10.12	—	CL A COM	58503T106
—	CM FIN INC	15,020	$150K	0.6%	$9.99	$10.23	—	COM	12574Q103
—	ASSEMBLY BIOSCIENCES INC	18,101	$136K	0.6%	$7.51	$7.51	—	COM	045396108
ABUS	ARBUTUS BIOPHARMA CORP	29,762	$132K	0.6%	$4.44 *	$5.48	0.0%	COM	03879J100
—	AMERICAN CAP SR FLOATING LTD	13,157	$129K	0.5%	$9.80	$9.80	—	COM	02504D108
—	MEDLEY CAP CORP	16,693	$126K	0.5%	$7.55	$9.17	—	COM	58503F106
—	SYNTA PHARMACEUTICALS CORP	62,000	$22,000	0.1%	$0.35	$6.65	—	Call	87162T206