CAXTON CORP Diversified Active

CIK: 0001388551 · Show all filings

Period: Q3 2019 (← Previous) (Next →)

Filing Date: Nov 14, 2019

Total Value ($000): $88,680 (100.0% shares, 0.0% debt)

Holdings (40)

— STRONGBRIDGE BIOPHARMA PLC 17.8%

Value ($000) $15,803 Shares 6,612,065 Est. Cost $2.92 Unrealized —

— SATSUMA PHARMACEUTICALS INC 14.7%

Value ($000) $13,071 Shares 870,820 Est. Cost $15.01 Unrealized —

— MOLECULAR TEMPLATES INC 12.1%

Value ($000) $10,704 Shares 1,624,241 Est. Cost $6.39 Unrealized —

— ALCENTRA CAP CORP 10.0%

Value ($000) $8,890 Shares 1,000,000 Est. Cost $7.78 Unrealized —

— GARRISON CAP INC 9.5%

Value ($000) $8,452 Shares 1,223,096 Est. Cost $8.25 Unrealized —

— KALA PHARMACEUTICALS INC 6.4%

Value ($000) $5,644 Shares 1,483,343 Est. Cost $5.38 Unrealized —

— SCYNEXIS INC 5.2%

Value ($000) $4,606 Shares 4,325,000 Est. Cost $1.30 Unrealized —

SPY SPDR S&P 500 ETF TR 4.7%

Value ($000) $4,158 Shares 14,010 Est. Cost $249.89 Unrealized —

— SUNESIS PHARMACEUTICALS INC 4.3%

Value ($000) $3,848 Shares 5,345,826 Est. Cost $0.75 Unrealized —

SPY SPDR S&P 500 ETF TR 3.3%

Value ($000) $2,919 Shares 9,836 Est. Cost $249.89 Unrealized —

BRK/B BERKSHIRE HATHAWAY INC DEL 2.2%

Value ($000) $1,937 Shares 9,312 Est. Cost $135.71 Unrealized +51.8%

— MEI PHARMA INC 1.6%

Value ($000) $1,421 Shares 845,560 Est. Cost $3.94 Unrealized —

— EIGER BIOPHARMACEUTICALS INC 0.7%

Value ($000) $636 Shares 62,015 Est. Cost $11.35 Unrealized —

KURA KURA ONCOLOGY INC 0.5%

Value ($000) $479 Shares 31,567 Est. Cost $17.68 Unrealized +0.7%

— FS KKR CAPITAL CORP 0.5%

Value ($000) $468 Shares 80,281 Est. Cost $5.50 Unrealized —

MELI MERCADOLIBRE INC 0.3%

Value ($000) $274 Shares 496 Est. Cost $422.02 Unrealized +43.7%

— CTI BIOPHARMA CORP 0.3%

Value ($000) $272 Shares 325,185 Est. Cost $1.43 Unrealized —

TDG TRANSDIGM GROUP INC 0.3%

Value ($000) $269 Shares 516 Est. Cost $309.64 Unrealized +26.6%

AMT AMERICAN TOWER CORP NEW 0.3%

Value ($000) $268 Shares 1,210 Est. Cost $149.03 Unrealized +23.1%

CHTR CHARTER COMMUNICATIONS INC N 0.3%

Value ($000) $262 Shares 635 Est. Cost $376.74 Unrealized +7.1%

— FAR PT ACQUISITION CORP 0.3%

Value ($000) $261 Shares 25,553 Est. Cost $9.66 Unrealized —

MA MASTERCARD INC 0.3%

Value ($000) $260 Shares 956 Est. Cost $243.00 Unrealized +9.5%

V VISA INC 0.3%

Value ($000) $252 Shares 1,465 Est. Cost $157.24 Unrealized +8.3%

UAL UNITED AIRLINES HLDGS INC 0.3%

Value ($000) $244 Shares 2,763 Est. Cost $84.90 Unrealized +4.1%

GOOGL ALPHABET INC 0.3%

Value ($000) $244 Shares 200 Est. Cost $58.78 Unrealized 0.0%

MCO MOODYS CORP 0.3%

Value ($000) $241 Shares 1,175 Est. Cost $180.78 Unrealized +9.9%

— CALUMET SPECIALTY PRODS PTNR 0.3%

Value ($000) $239 Shares 65,689 Est. Cost $3.64 Unrealized —

CACC CREDIT ACCEP CORP MICH 0.3%

Value ($000) $238 Shares 517 Est. Cost $435.12 Unrealized +8.6%

EXPE EXPEDIA GROUP INC 0.3%

Value ($000) $237 Shares 1,763 Est. Cost $121.55 Unrealized +6.9%

LEN LENNAR CORP 0.3%

Value ($000) $229 Shares 4,104 Est. Cost $44.86 Unrealized 0.0%

— LIBERTY MEDIA CORP DELAWARE 0.3%

Value ($000) $224 Shares 5,386 Est. Cost $41.59 Unrealized —

IBKR INTERACTIVE BROKERS GROUP IN 0.2%

Value ($000) $220 Shares 4,098 Est. Cost $12.90 Unrealized -7.3%

JPM JPMORGAN CHASE & CO 0.2%

Value ($000) $218 Shares 1,853 Est. Cost $95.08 Unrealized 0.0%

— UNITED TECHNOLOGIES CORP 0.2%

Value ($000) $216 Shares 1,583 Est. Cost $136.45 Unrealized —

C CITIGROUP INC 0.2%

Value ($000) $214 Shares 3,101 Est. Cost $54.15 Unrealized 0.0%

UNP UNION PACIFIC CORP 0.2%

Value ($000) $209 Shares 1,289 Est. Cost $145.81 Unrealized 0.0%

GM GENERAL MTRS CO 0.2%

Value ($000) $208 Shares 5,545 Est. Cost $36.01 Unrealized 0.0%

GSM FERROGLOBE PLC 0.2%

Value ($000) $148 Shares 131,378 Est. Cost $2.22 Unrealized -38.4%

— GLYCOMIMETICS INC 0.1%

Value ($000) $115 Shares 26,575 Est. Cost $4.33 Unrealized —

— SPRING BK PHARMACEUTICALS IN 0.1%

Value ($000) $82 Shares 23,875 Est. Cost $11.88 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	STRONGBRIDGE BIOPHARMA PLC	6,612,065	$15,803	17.8%	$2.92	—	SHS USD	G85347105
—	SATSUMA PHARMACEUTICALS INC	870,820	$13,071	14.7%	$15.01	—	COM	80405P107
—	MOLECULAR TEMPLATES INC	1,624,241	$10,704	12.1%	$6.39	—	COM	608550109
—	ALCENTRA CAP CORP	1,000,000	$8,890	10.0%	$7.78	—	COM	01374T102
—	GARRISON CAP INC	1,223,096	$8,452	9.5%	$8.25	—	COM	366554103
—	KALA PHARMACEUTICALS INC	1,483,343	$5,644	6.4%	$5.38	—	COM	483119103
—	SCYNEXIS INC	4,325,000	$4,606	5.2%	$1.30	—	COM	811292101
SPY	SPDR S&P 500 ETF TR	14,010	$4,158	4.7%	$249.89	—	TR UNIT	78462F103
—	SUNESIS PHARMACEUTICALS INC	5,345,826	$3,848	4.3%	$0.75	—	COM	867328700
SPY	SPDR S&P 500 ETF TR	9,836	$2,919	3.3%	$249.89	—	Put	78462F103
BRK/B	BERKSHIRE HATHAWAY INC DEL	9,312	$1,937	2.2%	$135.71	+51.8%	CL B NEW	084670702
—	MEI PHARMA INC	845,560	$1,421	1.6%	$3.94	—	COM NEW	55279B202
—	EIGER BIOPHARMACEUTICALS INC	62,015	$636	0.7%	$11.35	—	COM	28249U105
KURA	KURA ONCOLOGY INC	31,567	$479	0.5%	$17.68	+0.7%	COM	50127T109
—	FS KKR CAPITAL CORP	80,281	$468	0.5%	$5.50	—	COM	302635107
MELI	MERCADOLIBRE INC	496	$274	0.3%	$422.02	+43.7%	COM	58733R102
—	CTI BIOPHARMA CORP	325,185	$272	0.3%	$1.43	—	COM	12648L601
TDG	TRANSDIGM GROUP INC	516	$269	0.3%	$309.64	+26.6%	COM	893641100
AMT	AMERICAN TOWER CORP NEW	1,210	$268	0.3%	$149.03	+23.1%	COM	03027X100
CHTR	CHARTER COMMUNICATIONS INC N	635	$262	0.3%	$376.74	+7.1%	CL A	16119P108
—	FAR PT ACQUISITION CORP	25,553	$261	0.3%	$9.66	—	COM CL A	30734W109
MA	MASTERCARD INC	956	$260	0.3%	$243.00	+9.5%	CL A	57636Q104
V	VISA INC	1,465	$252	0.3%	$157.24	+8.3%	COM CL A	92826C839
UAL	UNITED AIRLINES HLDGS INC	2,763	$244	0.3%	$84.90	+4.1%	COM	910047109
GOOGL	ALPHABET INC	200	$244	0.3%	$58.78	0.0%	CAP STK CL A	02079K305
MCO	MOODYS CORP	1,175	$241	0.3%	$180.78	+9.9%	COM	615369105
—	CALUMET SPECIALTY PRODS PTNR	65,689	$239	0.3%	$3.64	—	UT LTD PARTNER	131476103
CACC	CREDIT ACCEP CORP MICH	517	$238	0.3%	$435.12	+8.6%	COM	225310101
EXPE	EXPEDIA GROUP INC	1,763	$237	0.3%	$121.55	+6.9%	COM NEW	30212P303
LEN	LENNAR CORP	4,104	$229	0.3%	$44.86	0.0%	CL A	526057104
—	LIBERTY MEDIA CORP DELAWARE	5,386	$224	0.3%	$41.59	—	COM SER C FRMLA	531229854
IBKR	INTERACTIVE BROKERS GROUP IN	4,098	$220	0.2%	$12.90	-7.3%	COM CL A	45841N107
JPM	JPMORGAN CHASE & CO	1,853	$218	0.2%	$95.08	0.0%	COM	46625H100
—	UNITED TECHNOLOGIES CORP	1,583	$216	0.2%	$136.45	—	COM	913017109
C	CITIGROUP INC	3,101	$214	0.2%	$54.15	0.0%	COM NEW	172967424
UNP	UNION PACIFIC CORP	1,289	$209	0.2%	$145.81	0.0%	COM	907818108
GM	GENERAL MTRS CO	5,545	$208	0.2%	$36.01	0.0%	COM	37045V100
GSM	FERROGLOBE PLC	131,378	$148	0.2%	$2.22	-38.4%	SHS	G33856108
—	GLYCOMIMETICS INC	26,575	$115	0.1%	$4.33	—	COM	38000Q102
—	SPRING BK PHARMACEUTICALS IN	23,875	$82	0.1%	$11.88	—	COM	849431101