CAXTON CORP Diversified Active

CIK: 0001388551 · Show all filings

Period: Q4 2015 (← Previous) (Next →)

Filing Date: Feb 16, 2016

Total Value ($000): $23,840 (100.0% shares, 0.0% debt)

Holdings (20)

— SYNTA PHARMACEUTICALS CORP 32.0%

Value ($000) $7,637 Shares 21,696,894 Est. Cost $6.65 Unrealized —

SPY SPDR S&P 500 ETF TR 31.9%

Value ($000) $7,594 Shares 37,251 Est. Cost — Unrealized —

— CELATOR PHARMACEUTICALS INC 16.6%

Value ($000) $3,954 Shares 2,246,469 Est. Cost $3.25 Unrealized —

— AMERICAN CAP LTD 4.0%

Value ($000) $946 Shares 68,621 Est. Cost $14.60 Unrealized —

— PRONAI THERAPEUTICS INC 2.9%

Value ($000) $688 Shares 45,719 Est. Cost $20.52 Unrealized —

— NUVEEN SR INCOME FD 1.8%

Value ($000) $418 Shares 72,363 Est. Cost $6.21 Unrealized —

XPHDX PIONEER FLOATING RATE TR 1.3%

Value ($000) $321 Shares 29,603 Est. Cost $11.60 Unrealized —

— BLACKROCK FLOAT RATE OME STR 1.2%

Value ($000) $287 Shares 22,285 Est. Cost $13.37 Unrealized —

— NUVEEN FLTNG RTE INCM OPP FD 1.1%

Value ($000) $258 Shares 26,314 Est. Cost $9.96 Unrealized —

— AGILE THERAPEUTICS INC 0.9%

Value ($000) $225 Shares 23,035 Est. Cost $8.00 Unrealized —

— CIDARA THERAPEUTICS INC 0.9%

Value ($000) $220 Shares 12,812 Est. Cost $17.17 Unrealized —

SCM STELLUS CAP INVT CORP 0.9%

Value ($000) $206 Shares 21,380 Est. Cost $10.76 Unrealized -4.4%

BRK/B BERKSHIRE HATHAWAY INC DEL 0.9%

Value ($000) $204 Shares 1,546 Est. Cost $134.20 Unrealized 0.0%

— MEDLEY MGMT INC 0.8%

Value ($000) $187 Shares 32,893 Est. Cost $10.12 Unrealized —

— CM FIN INC 0.6%

Value ($000) $150 Shares 15,020 Est. Cost $10.23 Unrealized —

— ASSEMBLY BIOSCIENCES INC 0.6%

Value ($000) $136 Shares 18,101 Est. Cost $7.51 Unrealized —

ABUS ARBUTUS BIOPHARMA CORP 0.6%

Value ($000) $132 Shares 29,762 Est. Cost $5.48 Unrealized 0.0%

— AMERICAN CAP SR FLOATING LTD 0.5%

Value ($000) $129 Shares 13,157 Est. Cost $9.80 Unrealized —

— MEDLEY CAP CORP 0.5%

Value ($000) $126 Shares 16,693 Est. Cost $9.17 Unrealized —

— SYNTA PHARMACEUTICALS CORP 0.1%

Value ($000) $22 Shares 62,000 Est. Cost $6.65 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	SYNTA PHARMACEUTICALS CORP	21,696,894	$7,637	32.0%	$6.65	—	COM	87162T206
SPY	SPDR S&P 500 ETF TR	37,251	$7,594	31.9%	—	—	Put	78462F103
—	CELATOR PHARMACEUTICALS INC	2,246,469	$3,954	16.6%	$3.25	—	COM	15089R102
—	AMERICAN CAP LTD	68,621	$946	4.0%	$14.60	—	COM	02503Y103
—	PRONAI THERAPEUTICS INC	45,719	$688	2.9%	$20.52	—	COM	74346L101
—	NUVEEN SR INCOME FD	72,363	$418	1.8%	$6.21	—	COM	67067Y104
XPHDX	PIONEER FLOATING RATE TR	29,603	$321	1.3%	$11.60	—	COM	72369J102
—	BLACKROCK FLOAT RATE OME STR	22,285	$287	1.2%	$13.37	—	COM	09255X100
—	NUVEEN FLTNG RTE INCM OPP FD	26,314	$258	1.1%	$9.96	—	COM SHS	6706EN100
—	AGILE THERAPEUTICS INC	23,035	$225	0.9%	$8.00	—	COM	00847L100
—	CIDARA THERAPEUTICS INC	12,812	$220	0.9%	$17.17	—	COM	171757107
SCM	STELLUS CAP INVT CORP	21,380	$206	0.9%	$10.76	-4.4%	COM	858568108
BRK/B	BERKSHIRE HATHAWAY INC DEL	1,546	$204	0.9%	$134.20	0.0%	CL B NEW	084670702
—	MEDLEY MGMT INC	32,893	$187	0.8%	$10.12	—	CL A COM	58503T106
—	CM FIN INC	15,020	$150	0.6%	$10.23	—	COM	12574Q103
—	ASSEMBLY BIOSCIENCES INC	18,101	$136	0.6%	$7.51	—	COM	045396108
ABUS	ARBUTUS BIOPHARMA CORP	29,762	$132	0.6%	$5.48	0.0%	COM	03879J100
—	AMERICAN CAP SR FLOATING LTD	13,157	$129	0.5%	$9.80	—	COM	02504D108
—	MEDLEY CAP CORP	16,693	$126	0.5%	$9.17	—	COM	58503F106
—	SYNTA PHARMACEUTICALS CORP	62,000	$22	0.1%	$6.65	—	Call	87162T206