CAXTON CORP Diversified Active

Location: Princeton, NJ

CIK: 0001388551 · Show all filings

Period: Q1 2023 (← Previous) (Next →)

Filing Date: May 15, 2023

Total Value: $39.59M (100.0% shares, 0.0% debt)

Holdings (15)

SVRA SAVARA INC 34.0%

Value $13.45M Shares 6,896,551 Share Price $1.95 * Est. Cost/Share $1.66 Unrealized @ Report Date +35.4%

XERS XERIS BIOPHARMA HOLDINGS INC 24.9%

Value $9.844M Shares 6,039,028 Share Price $1.63 * Est. Cost/Share $2.16 Unrealized @ Report Date -42.0%

SPY SPDR S&P 500 ETF TR 16.5%

Value $6.529M Shares 15,947 Share Price $409.39 Est. Cost/Share $451.81 Unrealized @ Report Date —

RZLT REZOLUTE INC 6.8%

Value $2.694M Shares 1,403,157 Share Price $1.92 * Est. Cost/Share $9.52 Unrealized @ Report Date -76.3%

XOP SPDR SER TR 5.6%

Value $2.233M Shares 17,500 Share Price $127.59 Est. Cost/Share $124.74 Unrealized @ Report Date —

— VECTIVBIO HLDG AG 3.4%

Value $1.346M Shares 156,651 Share Price $8.59 Est. Cost/Share $5.72 Unrealized @ Report Date —

AMLP ALPS ETF TR 2.9%

Value $1.14M Shares 29,500 Share Price $38.65 Est. Cost/Share $36.58 Unrealized @ Report Date —

— MOLECULAR TEMPLATES INC 2.0%

Value $780K Shares 2,052,991 Share Price $0.38 Est. Cost/Share $8.09 Unrealized @ Report Date —

CMPX COMPASS THERAPEUTICS INC 1.7%

Value $675K Shares 211,740 Share Price $3.19 * Est. Cost/Share $3.99 Unrealized @ Report Date -1.6%

— ALLAKOS INC 1.0%

Value $385K Shares 86,533 Share Price $4.45 Est. Cost/Share $5.29 Unrealized @ Report Date —

CABA CABALETTA BIO INC 0.8%

Value $336K Shares 40,581 Share Price $8.27 * Est. Cost/Share $3.64 Unrealized @ Report Date +157.1%

— ELEVATION ONCOLOGY INC 0.3%

Value $130K Shares 68,324 Share Price $1.90 Est. Cost/Share $9.95 Unrealized @ Report Date —

NAMSW NEWAMSTERDAM PHARMA COMPANY 0.1%

Value $40,533 Shares 21,333 Share Price $1.90 Est. Cost/Share $0.83 Unrealized @ Report Date —

— BRIDGETOWN HOLDINGS LTD 0.0%

Value $6,970 Shares 39,773 Share Price $0.18 Est. Cost/Share $4.40 Unrealized @ Report Date —

LANV/WS LANVIN GROUP HOLDINGS LIMITE 0.0%

Value $4,500 Shares 12,000 Share Price $0.38 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	$13.45M	34.0%	$1.95 *	$1.66	+35.4%	COM	805111101
XERS	XERIS BIOPHARMA HOLDINGS INC	6,039,028	$9.844M	24.9%	$1.63 *	$2.16	-42.0%	COM	98422E103
SPY	SPDR S&P 500 ETF TR	15,947	$6.529M	16.5%	$409.39	$451.81	—	TR UNIT	78462F103
RZLT	REZOLUTE INC	1,403,157	$2.694M	6.8%	$1.92 *	$9.52	-76.3%	COM NEW	76200L309
XOP	SPDR SER TR	17,500	$2.233M	5.6%	$127.59	$124.74	—	S&P OILGAS EXP	78468R556
—	VECTIVBIO HLDG AG	156,651	$1.346M	3.4%	$8.59	$5.72	—	ORD SHS	H9060V101
AMLP	ALPS ETF TR	29,500	$1.14M	2.9%	$38.65	$36.58	—	ALERIAN MLP	00162Q452
—	MOLECULAR TEMPLATES INC	2,052,991	$780K	2.0%	$0.38	$8.09	—	COM	608550109
CMPX	COMPASS THERAPEUTICS INC	211,740	$675K	1.7%	$3.19 *	$3.99	-1.6%	COM	20454B104
—	ALLAKOS INC	86,533	$385K	1.0%	$4.45	$5.29	—	COM	01671P100
CABA	CABALETTA BIO INC	40,581	$336K	0.8%	$8.27 *	$3.64	+157.1%	COM	12674W109
—	ELEVATION ONCOLOGY INC	68,324	$130K	0.3%	$1.90	$9.95	—	COM	28623U101
NAMSW	NEWAMSTERDAM PHARMA COMPANY	21,333	$40,533	0.1%	$1.90	$0.83	—	*W EXP 11/22/202	N62509117
—	BRIDGETOWN HOLDINGS LTD	39,773	$6,970	0.0%	$0.18	$4.40	—	*W EXP 09/30/202	G1355U121
LANV/WS	LANVIN GROUP HOLDINGS LIMITE	12,000	$4,500	0.0%	$0.38	$0.31	—	*W EXP 01/14/202	G5380J118