CAXTON CORP Diversified Active

Location: Princeton, NJ

CIK: 0001388551 · Show all filings

Period: Q3 2022 (← Previous) (Next →)

Filing Date: Nov 14, 2022

Total Value: $53.18M (100.0% shares, 0.0% debt)

Holdings (17)

USO UNITED STS OIL FD LP 21.3%

Value $11.33M Shares 173,500 Share Price $65.28 Est. Cost/Share — Unrealized @ Report Date —

SVRA SAVARA INC 20.1%

Value $10.69M Shares 6,896,551 Share Price $1.55 * Est. Cost/Share $1.66 Unrealized @ Report Date -3.3%

XERS XERIS BIOPHARMA HOLDINGS INC 17.7%

Value $9.421M Shares 6,039,028 Share Price $1.56 * Est. Cost/Share $2.16 Unrealized @ Report Date -23.4%

SPY SPDR S&P 500 ETF TR 10.7%

Value $5.696M Shares 15,947 Share Price $357.18 Est. Cost/Share $451.81 Unrealized @ Report Date —

SCYX SCYNEXIS INC 7.8%

Value $4.137M Shares 1,723,947 Share Price $2.40 Est. Cost/Share $6.13 Unrealized @ Report Date -60.1%

RZLT REZOLUTE INC 7.2%

Value $3.845M Shares 1,403,157 Share Price $2.74 * Est. Cost/Share $9.52 Unrealized @ Report Date -69.7%

XOP SPDR SER TR 4.1%

Value $2.183M Shares 17,500 Share Price $124.74 Est. Cost/Share $124.74 Unrealized @ Report Date —

— MOLECULAR TEMPLATES INC 2.9%

Value $1.539M Shares 2,052,991 Share Price $0.75 Est. Cost/Share $8.09 Unrealized @ Report Date —

ACLX ARCELLX INC 2.7%

Value $1.43M Shares 76,186 Share Price $18.77 Est. Cost/Share $16.24 Unrealized @ Report Date +17.9%

AMLP ALPS ETF TR 2.0%

Value $1.079M Shares 29,500 Share Price $36.58 Est. Cost/Share $36.58 Unrealized @ Report Date —

— EIGER BIOPHARMACEUTICALS INC 1.7%

Value $880K Shares 116,884 Share Price $7.53 Est. Cost/Share $9.18 Unrealized @ Report Date —

— VECTIVBIO HLDG AG 1.6%

Value $845K Shares 140,863 Share Price $6.00 Est. Cost/Share $5.40 Unrealized @ Report Date —

— ELEVATION ONCOLOGY INC 0.1%

Value $77,000 Shares 68,297 Share Price $1.13 Est. Cost/Share $9.95 Unrealized @ Report Date —

— FRAZIER LIFESCIENCES ACQU CO 0.0%

Value $17,000 Shares 21,333 Share Price $0.80 Est. Cost/Share $0.89 Unrealized @ Report Date —

— LUX HEALTH TECH ACQUISITION 0.0%

Value $9,000 Shares 66,666 Share Price $0.14 Est. Cost/Share $1.49 Unrealized @ Report Date —

— BRIDGETOWN HOLDINGS LTD 0.0%

Value $5,000 Shares 39,773 Share Price $0.13 Est. Cost/Share $4.40 Unrealized @ Report Date —

— PRIMAVERA CAPITAL ACQUIST CO 0.0%

Value $2,000 Shares 12,000 Share Price $0.17 Est. Cost/Share $0.83 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
USO	UNITED STS OIL FD LP	173,500	$11.33M	21.3%	$65.28	—	—	Call	91232N207
SVRA	SAVARA INC	6,896,551	$10.69M	20.1%	$1.55 *	$1.66	-3.3%	COM	805111101
XERS	XERIS BIOPHARMA HOLDINGS INC	6,039,028	$9.421M	17.7%	$1.56 *	$2.16	-23.4%	COM	98422E103
SPY	SPDR S&P 500 ETF TR	15,947	$5.696M	10.7%	$357.18	$451.81	—	TR UNIT	78462F103
SCYX	SCYNEXIS INC	1,723,947	$4.137M	7.8%	$2.40	$6.13	-60.1%	COM NEW	811292200
RZLT	REZOLUTE INC	1,403,157	$3.845M	7.2%	$2.74 *	$9.52	-69.7%	COM NEW	76200L309
XOP	SPDR SER TR	17,500	$2.183M	4.1%	$124.74	$124.74	—	S&P OILGAS EXP	78468R556
—	MOLECULAR TEMPLATES INC	2,052,991	$1.539M	2.9%	$0.75	$8.09	—	COM	608550109
ACLX	ARCELLX INC	76,186	$1.43M	2.7%	$18.77	$16.24	+17.9%	COMMON STOCK	03940C100
AMLP	ALPS ETF TR	29,500	$1.079M	2.0%	$36.58	$36.58	—	ALERIAN MLP	00162Q452
—	EIGER BIOPHARMACEUTICALS INC	116,884	$880K	1.7%	$7.53	$9.18	—	COM	28249U105
—	VECTIVBIO HLDG AG	140,863	$845K	1.6%	$6.00	$5.40	—	ORD SHS	H9060V101
—	ELEVATION ONCOLOGY INC	68,297	$77,000	0.1%	$1.13	$9.95	—	COM	28623U101
—	FRAZIER LIFESCIENCES ACQU CO	21,333	$17,000	0.0%	$0.80	$0.89	—	*W EXP 11/30/202	G3710A113
—	LUX HEALTH TECH ACQUISITION	66,666	$9,000	0.0%	$0.14	$1.49	—	*W EXP 11/30/202	55068A118
—	BRIDGETOWN HOLDINGS LTD	39,773	$5,000	0.0%	$0.13	$4.40	—	*W EXP 09/30/202	G1355U121
—	PRIMAVERA CAPITAL ACQUIST CO	12,000	$2,000	0.0%	$0.17	$0.83	—	*W EXP 01/19/202	G7255E117