CAXTON CORP Diversified Active

Location: Princeton, NJ

CIK: 0001388551 · Show all filings

Period: Q4 2022 (← Previous) (Next →)

Filing Date: Feb 14, 2023

Total Value: $39.15M (100.0% shares, 0.0% debt)

Holdings (17)

SVRA SAVARA INC 27.3%

Value $10.69M Shares 6,896,551 Share Price $1.55 * Est. Cost/Share $1.66 Unrealized @ Report Date -17.6%

XERS XERIS BIOPHARMA HOLDINGS INC 20.5%

Value $8.032M Shares 6,039,028 Share Price $1.33 * Est. Cost/Share $2.16 Unrealized @ Report Date -34.6%

SPY SPDR S&P 500 ETF TR 15.6%

Value $6.099M Shares 15,947 Share Price $382.43 Est. Cost/Share $451.81 Unrealized @ Report Date —

RZLT REZOLUTE INC 7.4%

Value $2.905M Shares 1,403,157 Share Price $2.07 * Est. Cost/Share $9.52 Unrealized @ Report Date -80.3%

SCYX SCYNEXIS INC 6.9%

Value $2.689M Shares 1,723,947 Share Price $1.56 * Est. Cost/Share $6.13 Unrealized @ Report Date -63.9%

XOP SPDR SER TR 6.1%

Value $2.378M Shares 17,500 Share Price $135.88 Est. Cost/Share $124.74 Unrealized @ Report Date —

— VECTIVBIO HLDG AG 3.4%

Value $1.346M Shares 156,222 Share Price $8.62 Est. Cost/Share $5.72 Unrealized @ Report Date —

ACLX ARCELLX INC 2.9%

Value $1.125M Shares 36,302 Share Price $30.98 * Est. Cost/Share $16.24 Unrealized @ Report Date +41.3%

AMLP ALPS ETF TR 2.9%

Value $1.123M Shares 29,500 Share Price $38.07 Est. Cost/Share $36.58 Unrealized @ Report Date —

CMPX COMPASS THERAPEUTICS INC 2.7%

Value $1.062M Shares 211,159 Share Price $5.03 * Est. Cost/Share $3.99 Unrealized @ Report Date 0.0%

CABA CABALETTA BIO INC 2.0%

Value $784K Shares 84,728 Share Price $9.25 * Est. Cost/Share $3.64 Unrealized @ Report Date 0.0%

— MOLECULAR TEMPLATES INC 1.7%

Value $673K Shares 2,052,991 Share Price $0.33 Est. Cost/Share $8.09 Unrealized @ Report Date —

— ALLAKOS INC 0.4%

Value $154K Shares 18,271 Share Price $8.42 Est. Cost/Share $8.42 Unrealized @ Report Date —

— ELEVATION ONCOLOGY INC 0.2%

Value $64,800 Shares 68,324 Share Price $0.95 Est. Cost/Share $9.95 Unrealized @ Report Date —

NAMSW NEWAMSTERDAM PHARMA COMPANY 0.0%

Value $17,795 Shares 21,333 Share Price $0.83 Est. Cost/Share $0.83 Unrealized @ Report Date —

— BRIDGETOWN HOLDINGS LTD 0.0%

Value $4,671 Shares 39,773 Share Price $0.12 Est. Cost/Share $4.40 Unrealized @ Report Date —

LANV/WS LANVIN GROUP HOLDINGS LIMITE 0.0%

Value $3,776 Shares 12,000 Share Price $0.31 Est. Cost/Share $0.31 Unrealized @ Report Date —

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
SVRA	SAVARA INC	6,896,551	$10.69M	27.3%	$1.55 *	$1.66	-17.6%	COM	805111101
XERS	XERIS BIOPHARMA HOLDINGS INC	6,039,028	$8.032M	20.5%	$1.33 *	$2.16	-34.6%	COM	98422E103
SPY	SPDR S&P 500 ETF TR	15,947	$6.099M	15.6%	$382.43	$451.81	—	TR UNIT	78462F103
RZLT	REZOLUTE INC	1,403,157	$2.905M	7.4%	$2.07 *	$9.52	-80.3%	COM NEW	76200L309
SCYX	SCYNEXIS INC	1,723,947	$2.689M	6.9%	$1.56 *	$6.13	-63.9%	COM NEW	811292200
XOP	SPDR SER TR	17,500	$2.378M	6.1%	$135.88	$124.74	—	S&P OILGAS EXP	78468R556
—	VECTIVBIO HLDG AG	156,222	$1.346M	3.4%	$8.62	$5.72	—	ORD SHS	H9060V101
ACLX	ARCELLX INC	36,302	$1.125M	2.9%	$30.98 *	$16.24	+41.3%	COMMON STOCK	03940C100
AMLP	ALPS ETF TR	29,500	$1.123M	2.9%	$38.07	$36.58	—	ALERIAN MLP	00162Q452
CMPX	COMPASS THERAPEUTICS INC	211,159	$1.062M	2.7%	$5.03 *	$3.99	0.0%	COM	20454B104
CABA	CABALETTA BIO INC	84,728	$784K	2.0%	$9.25 *	$3.64	0.0%	COM	12674W109
—	MOLECULAR TEMPLATES INC	2,052,991	$673K	1.7%	$0.33	$8.09	—	COM	608550109
—	ALLAKOS INC	18,271	$154K	0.4%	$8.42	$8.42	—	COM	01671P100
—	ELEVATION ONCOLOGY INC	68,324	$64,800	0.2%	$0.95	$9.95	—	COM	28623U101
NAMSW	NEWAMSTERDAM PHARMA COMPANY	21,333	$17,795	0.0%	$0.83	$0.83	—	*W EXP 11/22/202	N62509117
—	BRIDGETOWN HOLDINGS LTD	39,773	$4,671	0.0%	$0.12	$4.40	—	*W EXP 09/30/202	G1355U121
LANV/WS	LANVIN GROUP HOLDINGS LIMITE	12,000	$3,776	0.0%	$0.31	$0.31	—	*W EXP 99/99/999	G5380J118