Funds › Altium Capital Management LLC
Altium Capital Management LLC
13F for Q3 2026, filed Nov 4, 2026. 20 positions worth $68.8M.Managers with more than $100 million in US-listed stocks list their holdings each quarter, within 45 days of quarter end. Long positions only: no short sales or cash.
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Holdings, Q3 2026
Largest first. Common shares only.
| # | The fund's own figures at the end of the quarter. A report can be up to 45 days old when it is filed. Options and bonds are not counted here. | Filing | ||||
|---|---|---|---|---|---|---|
| 1 | Ea Series Trust Alpha Arch 1-3 | 211,141 | $25.0M | 36.3% | New | 13F ↗ |
| 2 | ASA ASA Gold and Precious Metals Limited | 70,390 | $3.9M | 5.7% | Unchanged | 13F ↗ |
| 3 | RMT Royce Micro-Cap Trust, Inc. | 282,819 | $3.8M | 5.5% | +1.7% | 13F ↗ |
| 4 | RVT Royce Small-Cap Trust, Inc. | 196,174 | $3.4M | 4.9% | +1.9% | 13F ↗ |
| 5 | NBXG Neuberger Next Generation Connectivity Fund Inc. | 204,562 | $3.2M | 4.7% | Unchanged | 13F ↗ |
| 6 | PDX PIMCO Dynamic Income Strategy Fund · Com Shs Ben Int | 157,700 | $3.2M | 4.7% | Unchanged | 13F ↗ |
| 7 | GAM General American Investors, Inc. | 48,755 | $3.1M | 4.5% | Unchanged | 13F ↗ |
| 8 | TY Tri Continental Corporation | 86,458 | $3.0M | 4.3% | Unchanged | 13F ↗ |
| 9 | Nuveen S&P 500 Dynamic Overw | 157,395 | $2.9M | 4.2% | Unchanged | 13F ↗ |
| 10 | CHW Calamos Global Dynamic Income Fund | 328,901 | $2.7M | 3.9% | Unchanged | 13F ↗ |
| 11 | MXF Mexico Fund, Inc. | 128,185 | $2.6M | 3.8% | Unchanged | 13F ↗ |
| 12 | Pimco Calif Mun Income Fd | 333,093 | $2.6M | 3.7% | Unchanged | 13F ↗ |
| 13 | LEO BNY Mellon Strategic Municipals, Inc. | 438,676 | $2.4M | 3.5% | Unchanged | 13F ↗ |
| 14 | HFRO Highland Opportunities and Income Fund · Highland Income | 317,055 | $2.1M | 3.1% | Unchanged | 13F ↗ |
| 15 | JOF Japan Smaller Capitalization Fund Inc | 135,597 | $1.7M | 2.5% | -9.8% | 13F ↗ |
| 16 | IIF Morgan Stanley India Investment Fund, Inc. · Ifd | 79,031 | $1.7M | 2.5% | Unchanged | 13F ↗ |
| 17 | AFB AllianceBernstein National Municipal Income Fund Inc | 48,105 | $458.4K | 0.7% | -72.5% | 13F ↗ |
| 18 | DMA Destra Multi-Alternative Fund | 54,723 | $412.6K | 0.6% | Unchanged | 13F ↗ |
| 19 | GF New Germany Fund, Inc. | 33,098 | $352.2K | 0.5% | Unchanged | 13F ↗ |
| 20 | NDRA ENDRA Life Sciences Inc. | 54,528 | $325.0K | 0.5% | -8.0% | 13F ↗ |
Changes since Q2 2026
1 new, 2 added to, 3 trimmed, 0 exited, 14 unchanged. By estimated dollars.
New positions (1)
| Position | Shares | Change | Est. dollars |
|---|---|---|---|
| Ea Series Trust Alpha Arch 1-3 | 211,141 | New | $25.0M |
Added to (2)
Trimmed (3)
Exited (0)
None this quarter.
The 10 largest of each, by estimated dollars: shares changed times the later report's price. Index tracking, splits and mergers move positions too.
Compare two quarters
Pick any two quarters: what is new, added to, trimmed or exited. Premium plan.
Reported value by quarter
Value and number of positions at the end of each quarter.
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Largest positions in earlier quarters
Pick a quarter to see what the fund's biggest positions were then.
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Ten largest positions
By value, Q3 2026.
Filings
| Filing | ||||||
|---|---|---|---|---|---|---|
| Q3 2026 | Nov 4, 2026 | 13F-HR | 20 | $68.8M | Current | SEC ↗ |
| Q2 2026 | Aug 12, 2026 | 13F-HR | 19 | $47.5M | Current | SEC ↗ |
| Q1 2026 | May 1, 2026 | 13F-HR | 19 | $42.0M | Current | SEC ↗ |
| Q4 2025 | Feb 6, 2026 | 13F-HR | 18 | $25.3M | Current | SEC ↗ |
| Q3 2025 | Nov 4, 2025 | 13F-HR | 1 | $628.3K | Current | SEC ↗ |
| Q2 2025 | Aug 7, 2025 | 13F-HR | 1 | $0 | Current | SEC ↗ |
| Q1 2025 | May 13, 2025 | 13F-HR/A (restatement) | 24 | $41.5M | Current | SEC ↗ |
| Q1 2025 | May 9, 2025 | 13F-HR | 24 | $43.8M | Replaced | SEC ↗ |
Most recent first, up to 80. An amendment can replace a report or add holdings to it. All 13F filings
Information, not investment advice. Values are the fund's own figures at quarter end; a report can be up to 45 days old when filed. Disclaimer