CAXTON CORP Diversified Active

CIK: 0001388551 · Show all filings

Period: Q4 2020 (← Previous) (Next →)

Filing Date: Feb 16, 2021

Total Value ($000): $160,426 (100.0% shares, 0.0% debt)

Holdings (44)

CRDF CARDIFF ONCOLOGY INC 23.7%

Value ($000) $38,046 Shares 2,114,840 Est. Cost $4.57 Unrealized +285.0%

— MOLECULAR TEMPLATES INC 12.4%

Value ($000) $19,935 Shares 2,122,991 Est. Cost $8.09 Unrealized —

— STRONGBRIDGE BIOPHARMA PLC 12.3%

Value ($000) $19,657 Shares 8,089,442 Est. Cost $2.77 Unrealized —

— CTI BIOPHARMA CORP 7.5%

Value ($000) $12,075 Shares 3,749,890 Est. Cost $2.01 Unrealized —

SCYX SCYNEXIS INC 7.0%

Value ($000) $11,279 Shares 1,474,370 Est. Cost $6.00 Unrealized -2.5%

— SIERRA ONCOLOGY INC 6.4%

Value ($000) $10,323 Shares 643,959 Est. Cost $9.82 Unrealized —

— KALA PHARMACEUTICALS INC 4.8%

Value ($000) $7,745 Shares 1,142,360 Est. Cost $6.47 Unrealized —

GLD SPDR GOLD TR 4.6%

Value ($000) $7,341 Shares 41,161 Est. Cost $173.82 Unrealized —

— XL FLEET CORP 4.4%

Value ($000) $7,119 Shares 300,000 Est. Cost $23.73 Unrealized —

RZLT REZOLUTE INC 3.2%

Value ($000) $5,087 Shares 424,243 Est. Cost $19.25 Unrealized 0.0%

— ADDEX THERAPEUTICS LTD 2.2%

Value ($000) $3,564 Shares 265,940 Est. Cost $12.96 Unrealized —

— AJAX I 1.9%

Value ($000) $3,103 Shares 250,000 Est. Cost $12.41 Unrealized —

— LUX HEALTH TECH ACQUISITION 1.4%

Value ($000) $2,300 Shares 200,000 Est. Cost $11.50 Unrealized —

— MARQUEE RAINE ACQUISITION CO 0.7%

Value ($000) $1,143 Shares 105,500 Est. Cost $10.83 Unrealized —

— BRIDGETOWN HOLDINGS LTD 0.7%

Value ($000) $1,125 Shares 72,688 Est. Cost $15.48 Unrealized —

— EIGER BIOPHARMACEUTICALS INC 0.6%

Value ($000) $972 Shares 79,048 Est. Cost $9.68 Unrealized —

— HUMANCO ACQUISITION CORP 0.6%

Value ($000) $942 Shares 85,500 Est. Cost $11.02 Unrealized —

— IVERIC BIO INC 0.6%

Value ($000) $933 Shares 134,981 Est. Cost $5.29 Unrealized —

— FRAZIER LIFESCIENCES ACQU CO 0.4%

Value ($000) $664 Shares 64,000 Est. Cost $10.38 Unrealized —

— SCION TECH GROWTH I 0.4%

Value ($000) $604 Shares 58,500 Est. Cost $10.32 Unrealized —

— PORTMAN RIDGE FIN CORP 0.4%

Value ($000) $571 Shares 299,088 Est. Cost $1.91 Unrealized —

CDLX CARDLYTICS INC 0.3%

Value ($000) $410 Shares 2,869 Est. Cost $106.66 Unrealized 0.0%

DIS DISNEY WALT CO 0.2%

Value ($000) $339 Shares 1,870 Est. Cost $140.23 Unrealized 0.0%

PYPL PAYPAL HLDGS INC 0.2%

Value ($000) $297 Shares 1,267 Est. Cost $206.72 Unrealized 0.0%

TDG TRANSDIGM GROUP INC 0.2%

Value ($000) $290 Shares 469 Est. Cost $457.04 Unrealized 0.0%

CVNA CARVANA CO 0.2%

Value ($000) $287 Shares 1,198 Est. Cost $228.56 Unrealized 0.0%

FICO FAIR ISAAC CORP 0.2%

Value ($000) $282 Shares 552 Est. Cost $465.09 Unrealized 0.0%

MA MASTERCARD INCORPORATED 0.2%

Value ($000) $281 Shares 787 Est. Cost $323.35 Unrealized 0.0%

V VISA INC 0.2%

Value ($000) $272 Shares 1,244 Est. Cost $197.22 Unrealized 0.0%

INTU INTUIT 0.2%

Value ($000) $270 Shares 710 Est. Cost $340.30 Unrealized 0.0%

NFLX NETFLIX INC 0.2%

Value ($000) $265 Shares 491 Est. Cost $50.70 Unrealized 0.0%

MDLZ MONDELEZ INTL INC 0.2%

Value ($000) $255 Shares 4,360 Est. Cost $50.13 Unrealized 0.0%

MSFT MICROSOFT CORP 0.2%

Value ($000) $254 Shares 1,142 Est. Cost $206.04 Unrealized 0.0%

CHTR CHARTER COMMUNICATIONS INC N 0.2%

Value ($000) $251 Shares 379 Est. Cost $636.54 Unrealized 0.0%

MCO MOODYS CORP 0.2%

Value ($000) $250 Shares 863 Est. Cost $267.92 Unrealized 0.0%

GOOG ALPHABET INC 0.2%

Value ($000) $246 Shares 140 Est. Cost $83.74 Unrealized 0.0%

CRM SALESFORCE COM INC 0.1%

Value ($000) $237 Shares 1,064 Est. Cost $240.26 Unrealized 0.0%

META FACEBOOK INC 0.1%

Value ($000) $235 Shares 860 Est. Cost $272.24 Unrealized 0.0%

AMT AMERICAN TOWER CORP NEW 0.1%

Value ($000) $231 Shares 1,027 Est. Cost $199.71 Unrealized 0.0%

SPGI S&P GLOBAL INC 0.1%

Value ($000) $230 Shares 700 Est. Cost $323.21 Unrealized 0.0%

WHR WHIRLPOOL CORP 0.1%

Value ($000) $227 Shares 1,259 Est. Cost $191.55 Unrealized 0.0%

MLTX HELIX ACQUISITION CORP 0.1%

Value ($000) $182 Shares 16,009 Est. Cost $11.37 Unrealized —

— BRIDGETOWN HOLDINGS LTD 0.1%

Value ($000) $175 Shares 39,773 Est. Cost $4.40 Unrealized —

— MEI PHARMA INC 0.1%

Value ($000) $132 Shares 50,000 Est. Cost $3.83 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
CRDF	CARDIFF ONCOLOGY INC	2,114,840	$38,046	23.7%	$4.57	+285.0%	COM	14147L108
—	MOLECULAR TEMPLATES INC	2,122,991	$19,935	12.4%	$8.09	—	COM	608550109
—	STRONGBRIDGE BIOPHARMA PLC	8,089,442	$19,657	12.3%	$2.77	—	SHS USD	G85347105
—	CTI BIOPHARMA CORP	3,749,890	$12,075	7.5%	$2.01	—	COM	12648L601
SCYX	SCYNEXIS INC	1,474,370	$11,279	7.0%	$6.00	-2.5%	COM NEW	811292200
—	SIERRA ONCOLOGY INC	643,959	$10,323	6.4%	$9.82	—	COM NEW	82640U404
—	KALA PHARMACEUTICALS INC	1,142,360	$7,745	4.8%	$6.47	—	COM	483119103
GLD	SPDR GOLD TR	41,161	$7,341	4.6%	$173.82	—	GOLD SHS	78463V107
—	XL FLEET CORP	300,000	$7,119	4.4%	$23.73	—	COM CL A	9837FR100
RZLT	REZOLUTE INC	424,243	$5,087	3.2%	$19.25	0.0%	COM NEW	76200L309
—	ADDEX THERAPEUTICS LTD	265,940	$3,564	2.2%	$12.96	—	SPONSORED ADS	00654J107
—	AJAX I	250,000	$3,103	1.9%	$12.41	—	COM	G0190X100
—	LUX HEALTH TECH ACQUISITION	200,000	$2,300	1.4%	$11.50	—	UNIT 11/30/2027	55068A209
—	MARQUEE RAINE ACQUISITION CO	105,500	$1,143	0.7%	$10.83	—	UNIT 12/01/2025	G58442115
—	BRIDGETOWN HOLDINGS LTD	72,688	$1,125	0.7%	$15.48	—	COM CL A	G1355U113
—	EIGER BIOPHARMACEUTICALS INC	79,048	$972	0.6%	$9.68	—	COM	28249U105
—	HUMANCO ACQUISITION CORP	85,500	$942	0.6%	$11.02	—	UNIT 12/08/2023	44487N208
—	IVERIC BIO INC	134,981	$933	0.6%	$5.29	—	COM	46583P102
—	FRAZIER LIFESCIENCES ACQU CO	64,000	$664	0.4%	$10.38	—	UNIT 12/09/2025	G3710A121
—	SCION TECH GROWTH I	58,500	$604	0.4%	$10.32	—	UNIT 12/17/2025	G31067120
—	PORTMAN RIDGE FIN CORP	299,088	$571	0.4%	$1.91	—	COM	73688F102
CDLX	CARDLYTICS INC	2,869	$410	0.3%	$106.66	0.0%	COM	14161W105
DIS	DISNEY WALT CO	1,870	$339	0.2%	$140.23	0.0%	COM	254687106
PYPL	PAYPAL HLDGS INC	1,267	$297	0.2%	$206.72	0.0%	COM	70450Y103
TDG	TRANSDIGM GROUP INC	469	$290	0.2%	$457.04	0.0%	COM	893641100
CVNA	CARVANA CO	1,198	$287	0.2%	$228.56	0.0%	CL A	146869102
FICO	FAIR ISAAC CORP	552	$282	0.2%	$465.09	0.0%	COM	303250104
MA	MASTERCARD INCORPORATED	787	$281	0.2%	$323.35	0.0%	CL A	57636Q104
V	VISA INC	1,244	$272	0.2%	$197.22	0.0%	COM CL A	92826C839
INTU	INTUIT	710	$270	0.2%	$340.30	0.0%	COM	461202103
NFLX	NETFLIX INC	491	$265	0.2%	$50.70	0.0%	COM	64110L106
MDLZ	MONDELEZ INTL INC	4,360	$255	0.2%	$50.13	0.0%	CL A	609207105
MSFT	MICROSOFT CORP	1,142	$254	0.2%	$206.04	0.0%	COM	594918104
CHTR	CHARTER COMMUNICATIONS INC N	379	$251	0.2%	$636.54	0.0%	CL A	16119P108
MCO	MOODYS CORP	863	$250	0.2%	$267.92	0.0%	COM	615369105
GOOG	ALPHABET INC	140	$246	0.2%	$83.74	0.0%	CAP STK CL C	02079K107
CRM	SALESFORCE COM INC	1,064	$237	0.1%	$240.26	0.0%	COM	79466L302
META	FACEBOOK INC	860	$235	0.1%	$272.24	0.0%	CL A	30303M102
AMT	AMERICAN TOWER CORP NEW	1,027	$231	0.1%	$199.71	0.0%	COM	03027X100
SPGI	S&P GLOBAL INC	700	$230	0.1%	$323.21	0.0%	COM	78409V104
WHR	WHIRLPOOL CORP	1,259	$227	0.1%	$191.55	0.0%	COM	963320106
MLTX	HELIX ACQUISITION CORP	16,009	$182	0.1%	$11.37	—	COM CL A	G4444C102
—	BRIDGETOWN HOLDINGS LTD	39,773	$175	0.1%	$4.40	—	*W EXP 09/30/202	G1355U121
—	MEI PHARMA INC	50,000	$132	0.1%	$3.83	—	COM NEW	55279B202