CAXTON CORP Diversified Active

Location: Princeton, NJ

CIK: 0001388551 · Show all filings

Period: Q1 2016 (← Previous) (Next →)

Filing Date: May 16, 2016

Total Value: $72.46M (100.0% shares, 0.0% debt)

Holdings (18)

SPY SPDR S&P 500 ETF TR 38.3%

Value $27.78M Shares 135,186 Share Price $205.52 Est. Cost/Share — Unrealized @ Report Date —

— CELATOR PHARMACEUTICALS INC 35.4%

Value $25.62M Shares 2,322,769 Share Price $11.03 Est. Cost/Share $3.51 Unrealized @ Report Date —

— AGILE THERAPEUTICS INC 12.2%

Value $8.873M Shares 1,428,871 Share Price $6.21 Est. Cost/Share $6.24 Unrealized @ Report Date —

— SYNTA PHARMACEUTICALS CORP 7.2%

Value $5.209M Shares 21,704,847 Share Price $0.24 Est. Cost/Share $6.65 Unrealized @ Report Date —

BRK/B BERKSHIRE HATHAWAY INC DEL 1.8%

Value $1.293M Shares 9,116 Share Price $141.84 * Est. Cost/Share $132.86 Unrealized @ Report Date -0.2%

— AMERICAN CAP LTD 1.4%

Value $1.044M Shares 68,537 Share Price $15.23 Est. Cost/Share $14.60 Unrealized @ Report Date —

IWM ISHARES TR 0.8%

Value $591K Shares 5,338 Share Price $110.72 Est. Cost/Share — Unrealized @ Report Date —

CSW CSW INDUSTRIALS INC 0.5%

Value $344K Shares 10,906 Share Price $31.54 Est. Cost/Share $30.94 Unrealized @ Report Date 0.0%

SCM STELLUS CAP INVT CORP 0.3%

Value $240K Shares 23,489 Share Price $10.22 * Est. Cost/Share $10.61 Unrealized @ Report Date -14.7%

— CM FIN INC 0.3%

Value $237K Shares 28,220 Share Price $8.40 Est. Cost/Share $9.37 Unrealized @ Report Date —

— KARYOPHARM THERAPEUTICS INC 0.3%

Value $221K Shares 24,829 Share Price $8.90 Est. Cost/Share $8.90 Unrealized @ Report Date —

DOV DOVER CORP 0.3%

Value $211K Shares 3,285 Share Price $64.23 * Est. Cost/Share $40.98 Unrealized @ Report Date 0.0%

— MEDLEY CAP CORP 0.2%

Value $179K Shares 27,093 Share Price $6.61 Est. Cost/Share $8.19 Unrealized @ Report Date —

ABUS ARBUTUS BIOPHARMA CORP 0.2%

Value $173K Shares 41,903 Share Price $4.13 * Est. Cost/Share $4.93 Unrealized @ Report Date -27.5%

— CIDARA THERAPEUTICS INC 0.2%

Value $163K Shares 12,812 Share Price $12.72 Est. Cost/Share $17.17 Unrealized @ Report Date —

— AMERICAN CAP SR FLOATING LTD 0.2%

Value $155K Shares 15,457 Share Price $10.03 Est. Cost/Share $9.84 Unrealized @ Report Date —

— ASSEMBLY BIOSCIENCES INC 0.2%

Value $111K Shares 22,185 Share Price $5.00 Est. Cost/Share $7.05 Unrealized @ Report Date —

— SYNTA PHARMACEUTICALS CORP 0.0%

Value $16,000 Shares 67,000 Share Price $0.24 Est. Cost/Share $6.65 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
SPY	SPDR S&P 500 ETF TR	135,186	$27.78M	38.3%	$205.52	—	—	Put	78462F103
—	CELATOR PHARMACEUTICALS INC	2,322,769	$25.62M	35.4%	$11.03	$3.51	—	COM	15089R102
—	AGILE THERAPEUTICS INC	1,428,871	$8.873M	12.2%	$6.21	$6.24	—	COM	00847L100
—	SYNTA PHARMACEUTICALS CORP	21,704,847	$5.209M	7.2%	$0.24	$6.65	—	COM	87162T206
BRK/B	BERKSHIRE HATHAWAY INC DEL	9,116	$1.293M	1.8%	$141.84 *	$132.86	-0.2%	CL B NEW	084670702
—	AMERICAN CAP LTD	68,537	$1.044M	1.4%	$15.23	$14.60	—	COM	02503Y103
IWM	ISHARES TR	5,338	$591K	0.8%	$110.72	—	—	Put	464287655
CSW	CSW INDUSTRIALS INC	10,906	$344K	0.5%	$31.54	$30.94	0.0%	COM	126402106
SCM	STELLUS CAP INVT CORP	23,489	$240K	0.3%	$10.22 *	$10.61	-14.7%	COM	858568108
—	CM FIN INC	28,220	$237K	0.3%	$8.40	$9.37	—	COM	12574Q103
—	KARYOPHARM THERAPEUTICS INC	24,829	$221K	0.3%	$8.90	$8.90	—	COM	48576U106
DOV	DOVER CORP	3,285	$211K	0.3%	$64.23 *	$40.98	0.0%	COM	260003108
—	MEDLEY CAP CORP	27,093	$179K	0.2%	$6.61	$8.19	—	COM	58503F106
ABUS	ARBUTUS BIOPHARMA CORP	41,903	$173K	0.2%	$4.13 *	$4.93	-27.5%	COM	03879J100
—	CIDARA THERAPEUTICS INC	12,812	$163K	0.2%	$12.72	$17.17	—	COM	171757107
—	AMERICAN CAP SR FLOATING LTD	15,457	$155K	0.2%	$10.03	$9.84	—	COM	02504D108
—	ASSEMBLY BIOSCIENCES INC	22,185	$111K	0.2%	$5.00	$7.05	—	COM	045396108
—	SYNTA PHARMACEUTICALS CORP	67,000	$16,000	0.0%	$0.24	$6.65	—	Call	87162T206