Chief Operating Officer

0001420506-21-001737.txt : 20211117 0001420506-21-001737.hdr.sgml : 20211117 20211117120459 ACCESSION NUMBER: 0001420506-21-001737 CONFORMED SUBMISSION TYPE: 13F-HR/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210930 FILED AS OF DATE: 20211117 DATE AS OF CHANGE: 20211117 EFFECTIVENESS DATE: 20211117 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Altium Capital Management LP CENTRAL INDEX KEY: 0001746382 IRS NUMBER: 822066653 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR/A SEC ACT: 1934 Act SEC FILE NUMBER: 028-20820 FILM NUMBER: 211419517 BUSINESS ADDRESS: STREET 1: 152 W 57 ST FL20 CITY: NEW YORK STATE: NY ZIP: 10019 BUSINESS PHONE: 2124842711 MAIL ADDRESS: STREET 1: 152 W 57 ST FL20 CITY: NEW YORK STATE: NY ZIP: 10019 13F-HR/A 1 primary_doc.xml 13F-HR/A LIVE false true false 0001746382 XXXXXXXX 09-30-2021 09-30-2021 true 1 RESTATEMENT false Altium Capital Management LP

152 W 57 ST FL20 NEW YORK NY 10019

13F HOLDINGS REPORT 028-20820 N Mark Gottlieb Chief Operating Officer (212) 259-8400 Mark Gottlieb, Chief Operating Officer NEW YORK NY 11-17-2021 0 124 381251 false INFORMATION TABLE 2 Form13F_InfoTable.xml INFORMATION TABLE FOR ALTIUM CAPITAL MANAGEMENT LP 1847 GOEDEKER INC *W EXP 99/99/999 28252C117 11569 6886600 SH SOLE 6886600 0 0 ACHIEVE LIFE SCIENCES INC COM 004468500 1037 122000 SH SOLE 122000 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 3071 625469 SH SOLE 625469 0 0 ADICET BIO INC COM 007002108 1116 142289 SH SOLE 142289 0 0 AEGLEA BIOTHERAPEUTICS INC COM 00773J103 4847 609689 SH SOLE 609689 0 0 AFFIMED N V COM N01045108 4110 665000 SH SOLE 665000 0 0 ALDEYRA THERAPEUTICS INC COM 01438T106 7586 864020 SH SOLE 864020 0 0 ALIGOS THERAPEUTICS INC COM 01626L105 519 33492 SH SOLE 33492 0 0 ALLENA PHARMACEUTICALS COM 018119107 963 1067886 SH SOLE 1067886 0 0 APELLIS PHARMACEUTICALS INC COM 03753U106 5494 166700 SH Put SOLE 166700 0 0 ARCTURUS THERAPEUTICS HLDGS COM 03969T109 3822 80000 SH SOLE 80000 0 0 ARCUTIS BIOTHERAPEUTICS INC COM 03969K108 6092 255000 SH SOLE 255000 0 0 ARYA SCIENCES ACQUISITN CORP CLASS A ORD SHS G31658100 1005 100000 SH SOLE 100000 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 3187 144000 SH SOLE 144000 0 0 AVADEL PHARMACEUTICALS PLC SPONSORED ADR 05337M104 4318 440589 SH SOLE 440589 0 0 AVIDITY BIOSCIENCES INC COM 05370A108 5542 225000 SH SOLE 225000 0 0 BCLS ACQUISITION CORP COM CL A G0904B105 996 100000 SH SOLE 100000 0 0 BELLUS HEALTH INC NEW COM NEW 07987C204 10983 1788789 SH SOLE 1788789 0 0 BICYCLE THERAPEUTICS PLC SPONSORED ADS 088786108 3826 92000 SH SOLE 92000 0 0 BRIDGEBIO PHARMA INC COM 10806X102 3703 79000 SH SOLE 79000 0 0 CARDIFF ONCOLOGY INC COM 14147L108 2324 348888 SH SOLE 348888 0 0 CAREDX INC COM 14167L103 5703 90000 SH SOLE 90000 0 0 CASTLE BIOSCIENCES INC COM 14843C105 4821 72500 SH SOLE 72500 0 0 CELCUITY INC COM 15102K100 2610 145000 SH SOLE 145000 0 0 CELLDEX THERAPEUTICS INC NEW COM NEW 15117B202 9988 185000 SH SOLE 185000 0 0 CEREVEL THERAPEUTICS HLDNG I COM 15678U128 611 20700 SH Put SOLE 20700 0 0 CERUS CORP COM 157085101 6699 1100000 SH SOLE 1100000 0 0 CHAVANT CAPITAL ACQUISITN CO *W EXP 99/99/999 G2058L111 72 150000 SH SOLE 150000 0 0 CHAVANT CAPITAL ACQUISITN CO ORDINARY SHARES G2058L103 1970 200000 SH SOLE 200000 0 0 CHIMERIX INC COM 16934W106 1744 281790 SH SOLE 281790 0 0 CHINOOK THERAPEUTICS INC COM 16961L106 5933 465000 SH SOLE 465000 0 0 CITIC CAPITAL ACQUISITION CO COM CL A G21513109 1109 111200 SH SOLE 111200 0 0 COLISEUM ACQUISITION CORP CLASS A ORD SHS G2263T123 846 85000 SH SOLE 85000 0 0 COLOMBIER ACQUISITION CORP CL A 19533H108 484 50000 SH SOLE 50000 0 0 COLOMBIER ACQUISITION CORP *W EXP 99/99/999 19533H116 9 16666 SH SOLE 16666 0 0 CRINETICS PHARMACEUTICALS IN COM 22663K107 4063 193000 SH SOLE 193000 0 0 CTI BIOPHARMA CORP COM 12648L601 9773 3313000 SH SOLE 3313000 0 0 CURIS INC COM NEW 231269200 6491 829000 SH SOLE 829000 0 0 CYTOMX THERAPEUTICS INC COM 23284F105 6279 1233642 SH SOLE 1233642 0 0 DOUBLEDOWN INTERACTIVE CO LT ADS 25862B109 2818 160000 SH SOLE 160000 0 0 DYNE THERAPEUTICS INC COM 26818M108 2706 166636 SH SOLE 166636 0 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 1319 197500 SH SOLE 197500 0 0 ELOXX PHARMACEUTICALS INC COM 29014R103 1822 1118000 SH SOLE 1118000 0 0 EUCRATES BIOMEDICAL ACQU COR *W EXP 10/23/202 G3141W122 107 133333 SH SOLE 133333 0 0 EUCRATES BIOMEDICAL ACQU COR SHS G3141W106 3912 400000 SH SOLE 400000 0 0 EYEPOINT PHARMACEUTICALS INC COM NEW 30233G209 3861 370551 SH SOLE 370551 0 0 FAT BRANDS INC *W EXP 07/16/202 30258N121 1297 227000 SH SOLE 227000 0 0 FIRSTMARK HORIZON ACQUISITIO CL A COM 33765Y101 980 100000 SH SOLE 100000 0 0 FLUX PWR HLDGS INC COM NEW 344057302 2652 521972 SH SOLE 521972 0 0 FS DEVELOPMENT CORP II COM CL A 30318F100 1990 200000 SH SOLE 200000 0 0 GALERA THERAPEUTICS INC COM 36338D108 2435 300605 SH SOLE 300605 0 0 GIGINTERNATIONAL1 INC *W EXP 04/19/202 37518W114 37 50000 SH SOLE 50000 0 0 GIGINTERNATIONAL1 INC COM 37518W106 1974 200000 SH SOLE 200000 0 0 GLOBUS MED INC CL A 379577208 2950 38500 SH SOLE 38500 0 0 HAEMONETICS CORP MASS COM 405024100 5224 74000 SH SOLE 74000 0 0 HARBOR CUSTOM DEVELOPMENT IN *W EXP 05/09/202 41150T116 351 600000 SH SOLE 600000 0 0 HEALTH SCIENCES ACQ CORP 2 ORD SHS G4411D109 99 10000 SH SOLE 10000 0 0 HEALTHCOR CATALIO ACQU CORP CL A SHS G44125105 1980 200000 SH SOLE 200000 0 0 HELIX ACQUISITION CORP COM CL A G4444C102 2488 250000 SH SOLE 250000 0 0 HILLMAN SOLUTIONS CORP COM 431636109 1694 142000 SH SOLE 142000 0 0 ICAD INC COM NEW 44934S206 3440 320000 SH SOLE 320000 0 0 IGM BIOSCIENCES INC COM 449585108 2793 42473 SH SOLE 42473 0 0 ILLUMINA INC COM 452327109 4056 10000 SH SOLE 10000 0 0 IMMATICS N.V *W EXP 07/01/202 N44445117 389 97467 SH SOLE 97467 0 0 IMMATICS N.V SHS N44445109 6227 478987 SH SOLE 478987 0 0 INSMED INC COM PAR $.01 457669307 5600 203354 SH SOLE 203354 0 0 INSPIRE MED SYS INC COM 457730109 6055 26000 SH SOLE 26000 0 0 INSULET CORP COM 45784P101 1208 4250 SH SOLE 4250 0 0 IVERIC BIO INC COM 46583P102 5328 328101 SH SOLE 328101 0 0 JIYA ACQUISITION CORP COM CL A 47760M102 1950 200000 SH SOLE 200000 0 0 KALEYRA INC COM 483379103 5335 484592 SH SOLE 484592 0 0 KALVISTA PHARMACEUTICALS INC COM 483497103 1952 111834 SH SOLE 111834 0 0 KEROS THERAPEUTICS INC COM 492327101 4985 126000 SH SOLE 126000 0 0 KRYSTAL BIOTECH INC COM 501147102 303 5800 SH Call SOLE 5800 0 0 LAKESHORE ACQUISITION I CORP *W EXP 07/15/202 G53521111 79 150000 SH SOLE 150000 0 0 LAKESHORE ACQUISITION I CORP ORDINARY SHARES G53521103 1966 200000 SH SOLE 200000 0 0 LANTHEUS HLDGS INC COM 516544103 7447 290000 SH SOLE 290000 0 0 LIFEMD INC COM 53216B104 1793 288700 SH SOLE 288700 0 0 MEI PHARMA INC COM NEW 55279B202 5045 1828066 SH SOLE 1828066 0 0 MEREO BIOPHARMA GROUP PLC ADS 589492107 3025 1250000 SH SOLE 1250000 0 0 MORPHIC HLDG INC COM 61775R105 3398 60000 SH SOLE 60000 0 0 MOTIVE CAPITAL CORP SHS CL A G6293A103 1011 102099 SH SOLE 102099 0 0 MYRIAD GENETICS INC COM 62855J104 5102 158000 SH SOLE 158000 0 0 NATERA INC COM 632307104 5071 45500 SH SOLE 45500 0 0 NEVRO CORP COM 64157F103 5935 51000 SH SOLE 51000 0 0 NOCTURNE ACQUISITION CORP ORDINARY SHARES G6580S114 4990 500000 SH SOLE 500000 0 0 NOCTURNE ACQUISITION CORP RIGHT 12/26/2025 G6580S106 210 500000 SH SOLE 500000 0 0 OCULAR THERAPEUTIX INC COM 67576A100 5560 556000 SH SOLE 556000 0 0 OMEGA ALPHA SPAC CL A G6749V107 974 100000 SH SOLE 100000 0 0 ONCORUS INC COM 68236R103 1794 192054 SH SOLE 192054 0 0 PHASEBIO PHARMACEUTICALS INC COM 717224109 2410 775000 SH SOLE 775000 0 0 PORTAGE BIOTECH INC COM G7185A128 1524 75000 SH SOLE 75000 0 0 POSEIDA THERAPEUTICS INC COM 73730P108 235 32238 SH SOLE 32238 0 0 PROFOUND MED CORP COM NEW 74319B502 3440 235000 SH SOLE 235000 0 0 PROQR THRAPEUTICS N V SHS EURO N71542109 1046 125000 SH SOLE 125000 0 0 PROTAGONIST THERAPEUTICS INC COM 74366E102 6131 346000 SH SOLE 346000 0 0 RENOVACOR INC *W EXP 99/99/999 75989E114 501 731561 SH SOLE 731561 0 0 RENOVACOR INC COM 75989E106 3519 388845 SH SOLE 388845 0 0 REPRO MED SYS INC COM 759910102 2719 954055 SH SOLE 954055 0 0 RESERVOIR MEDIA INC *W EXP 08/26/202 76119X113 99 50000 SH SOLE 50000 0 0 SARISSA CAPITAL ACQUISITN CO *W EXP 10/23/202 G7823W110 75 75000 SH SOLE 75000 0 0 SARISSA CAPITAL ACQUISITN CO CL A G7823W102 2219 225000 SH SOLE 225000 0 0 SCYNEXIS INC COM NEW 811292200 371 70000 SH SOLE 70000 0 0 STRYVE FOODS INC CLASS A COM 863685103 1070 200000 SH SOLE 200000 0 0 SURROZEN INC *W EXP 08/01/203 86889P117 94 82233 SH SOLE 82233 0 0 SYNDAX PHARMACEUTICALS INC COM 87164F105 2064 108000 SH SOLE 108000 0 0 SYROS PHARMACEUTICALS INC COM 87184Q107 5688 1272412 SH SOLE 1272412 0 0 TAILWIND ACQUISITION CORP COM CL A 87403Q102 1256 128414 SH SOLE 128414 0 0 TCR2 THERAPEUTICS INC COM 87808K106 503 59150 SH SOLE 59150 0 0 TRACON PHARMACEUTICALS INC COM NEW 89237H209 3039 785341 SH SOLE 785341 0 0 TRAVERE THERAPEUTICS INC COM 89422G107 3419 141000 SH SOLE 141000 0 0 TURMERIC ACQUISITION CORP CL A G9127T108 2487 254000 SH SOLE 254000 0 0 TURMERIC ACQUISITION CORP *W EXP 10/08/202 G9127T124 55 84666 SH SOLE 84666 0 0 UPHEALTH INC *W EXP 06/08/202 91532B119 5 10000 SH SOLE 10000 0 0 VAREX IMAGING CORP COM 92214X106 4456 158000 SH SOLE 158000 0 0 VERASTEM INC COM 92337C104 6939 2253000 SH SOLE 2253000 0 0 VERRICA PHARMACEUTICALS INC COM 92511W108 3203 256244 SH SOLE 256244 0 0 VINCERX PHARMA INC COM NEW 92731L106 1740 107625 SH SOLE 107625 0 0 VIQ SOLUTIONS INC COM NEW 91825V400 2086 704687 SH SOLE 704687 0 0 VIRPAX PHARMACEUTICALS INC COM 928251107 1305 271846 SH SOLE 271846 0 0 X4 PHARMACEUTICALS INC COM 98420X103 4256 804598 SH SOLE 804598 0 0 XENON PHARMACEUTICALS INC COM 98420N105 3300 216000 SH SOLE 216000 0 0 XTANT MED HLDGS INC COM NEW 98420P308 6942 6254458 SH SOLE 6254458 0 0 YUMANITY THERAPEUTICS INC COM 98872L102 2023 196000 SH SOLE 196000 0 0