Q3 2023 · 13F-HR
DCF Advisers, LLCholdings as filed
Filed 2023-11-13 · accession 0001013594-23-000907
$183.6M
Reported value
96
Positions
2023-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 46090E103 | QQQ | INVESCO QQQ TR | $24.5M | 13.4% | 68,500 | PUT | SOLE |
| 595112103 | MU | MICRON TECHNOLOGY INC | $11.1M | 6.04% | 163,000 | Common | SOLE |
| 04016X101 | ARGX | ARGENX SE | $10.8M | 5.89% | 22,000 | Common | SOLE |
| 02079K107 | GOOG | ALPHABET INC | $9.2M | 5.04% | 70,150 | Common | SOLE |
| 75886F107 | REGN | REGENERON PHARMACEUTICALS | $8.9M | 4.88% | 10,875 | Common | SOLE |
| 00287Y109 | ABBV | ABBVIE INC | $6.6M | 3.61% | 44,500 | Common | SOLE |
| 46116X101 | ITCIEUR | INTRA-CELLULAR THERAPIES INC | $5.6M | 3.04% | 107,157 | Common | SOLE |
| 29273V100 | ET | ENERGY TRANSFER L P | $5.2M | 2.85% | 373,000 | Common | SOLE |
| 98401F105 | XNCR | XENCOR INC | $5.0M | 2.70% | 246,300 | Common | SOLE |
| 68389X105 | ORCL | ORACLE CORP | $4.5M | 2.45% | 42,500 | Common | SOLE |
| 007903107 | AMD | ADVANCED MICRO DEVICES INC | $4.2M | 2.28% | 40,700 | Common | SOLE |
| 532457108 | LLY | ELI LILLY & CO | $4.0M | 2.19% | 7,500 | Common | SOLE |
| G72800108 | PRTA | PROTHENA CORP PLC | $4.0M | 2.18% | 82,950 | Common | SOLE |
| 78463V107 | GLD | SPDR GOLD TR | $3.7M | 2.01% | 21,500 | Common | SOLE |
| 060505104 | BAC | BANK AMERICA CORP | $3.5M | 1.93% | 129,500 | Common | SOLE |
| 464285204 | IAU | ISHARES GOLD TR | $3.5M | 1.91% | 100,000 | Common | SOLE |
| 45337C102 | INCY | INCYTE CORP | $2.6M | 1.40% | 44,500 | Common | SOLE |
| 037833100 | AAPL | APPLE INC | $2.5M | 1.38% | 14,750 | Common | SOLE |
| 110122108 | BMY | BRISTOL-MYERS SQUIBB CO | $2.5M | 1.35% | 42,600 | CALL | SOLE |
| 81181C104 | — | SEAGEN INC | $2.3M | 1.27% | 11,000 | Common | SOLE |
| 031162100 | AMGN | AMGEN INC | $2.3M | 1.23% | 8,400 | Common | SOLE |
| 01609W102 | BABA | ALIBABA GROUP HLDG LTD | $2.2M | 1.18% | 25,000 | CALL | SOLE |
| 00206R102 | T | AT&T INC | $2.1M | 1.17% | 142,500 | Common | SOLE |
| 78462F103 | SPY | SPDR S&P 500 ETF TR | $2.1M | 1.16% | 5,000 | PUT | SOLE |
| 67073D102 | XJQCX | NUVEEN CR STRATEGIES INCOME | $2.1M | 1.16% | 420,000 | Common | SOLE |
| 98956P102 | ZBH | ZIMMER BIOMET HOLDINGS INC | $2.1M | 1.12% | 18,397 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $2.0M | 1.11% | 11,500 | Common | SOLE |
| 90041L105 | TPB | TURNING PT BRANDS INC | $1.9M | 1.05% | 83,500 | Common | SOLE |
| 00326L100 | XAODX | ABRDN TOTAL DYNAMIC DIVIDEND | $1.9M | 1.04% | 253,500 | Common | SOLE |
| 01609W102 | BABA | ALIBABA GROUP HLDG LTD | $1.8M | 1.01% | 21,300 | Common | SOLE |
| 78463V107 | GLD | SPDR GOLD TR | $1.8M | 0.98% | 10,500 | PUT | SOLE |
| 92189F791 | GDXJ | VANECK ETF TRUST | $1.6M | 0.88% | 50,000 | Common | SOLE |
| 29664WAB1 | ESPR 4 11/15/25 | ESPERION THERAPEUTICS INC NE | $1.6M | 0.86% | 3,050,000 | Common | SOLE |
| 37045V100 | GM | GENERAL MTRS CO | $1.5M | 0.79% | 44,000 | Common | SOLE |
| 717081103 | PFE | PFIZER INC | $1.3M | 0.70% | 38,500 | Common | SOLE |
| 345370860 | F | FORD MTR CO DEL | $1.2M | 0.68% | 100,000 | Common | SOLE |
| 17275R102 | CSCO | CISCO SYS INC | $1.2M | 0.66% | 22,500 | Common | SOLE |
| 75886F107 | REGN | REGENERON PHARMACEUTICALS | $1.2M | 0.63% | 1,400 | PUT | SOLE |
| 68389X105 | ORCL | ORACLE CORP | $1.1M | 0.58% | 10,000 | PUT | SOLE |
| 46428Q109 | SLV | ISHARES SILVER TR | $1.0M | 0.55% | 50,000 | Common | SOLE |
| 67098H104 | OI | O-I GLASS INC | $991,253 | 0.54% | 59,250 | Common | SOLE |
| 78464A870 | XBI | SPDR SER TR | $985,770 | 0.54% | 13,500 | Common | SOLE |
| 573874104 | MRVL | MARVELL TECHNOLOGY INC | $947,275 | 0.52% | 17,500 | Common | SOLE |
| 747525103 | QCOM | QUALCOM INC | $944,010 | 0.51% | 8,500 | Common | SOLE |
| 514766104 | LFCR | LIFECORE BIOMEDICAL INC | $911,089 | 0.50% | 120,754 | Common | SOLE |
| 52634L108 | LNSR | LENSAR INC | $873,036 | 0.48% | 282,536 | Common | SOLE |
| 458140100 | INTC | INTEL CORP | $835,425 | 0.46% | 23,500 | Common | SOLE |
| G17977110 | BUR | BURFORD CAP LTD | $826,000 | 0.45% | 59,000 | Common | SOLE |
| 031162100 | AMGN | AMGEN INC | $806,280 | 0.44% | 3,000 | PUT | SOLE |
| 70450Y103 | PYPL | PAYPAL HLDGS INC | $789,210 | 0.43% | 13,500 | Common | SOLE |
| 02072L565 | BOXX | EA SERIES TRUST | $777,600 | 0.42% | 7,500 | Common | SOLE |
| 101507101 | STEW | SRH TOTAL RETURN FUND INC | $765,820 | 0.42% | 59,000 | Common | SOLE |
| 067901108 | ABX | BARRICK GOLD CORP | $763,875 | 0.42% | 52,500 | Common | SOLE |
| 75513E101 | RTX | RTX CORPORATION | $719,700 | 0.39% | 10,000 | CALL | SOLE |
| 697900108 | PAAS | PAN AMERN SILVER CORP | $651,600 | 0.35% | 45,000 | Common | SOLE |
| 654902204 | NOK | NOKIA CORP | $641,410 | 0.35% | 171,500 | Common | SOLE |
| 023135106 | AMZN | AMAZON COM INC | $635,600 | 0.35% | 5,000 | Common | SOLE |
| 595112103 | MU | MICRON TECHNOLOGY INC | $612,270 | 0.33% | 9,000 | CALL | SOLE |
| 30303M102 | META | META PLATFORMS INC | $600,420 | 0.33% | 2,000 | Common | SOLE |
| 037833100 | AAPL | APPLE INC | $599,235 | 0.33% | 3,500 | PUT | SOLE |
| 747525103 | QCOM | QUALCOM INC | $555,300 | 0.30% | 5,000 | PUT | SOLE |
| 977852102 | WOLF* | WOLFSPEED INC | $533,400 | 0.29% | 14,000 | Common | SOLE |
| 80105N105 | SNY | SANOFI | $531,036 | 0.29% | 9,900 | Common | SOLE |
| 30050E105 | EVO | EVOTEC AG | $484,094 | 0.26% | 49,047 | Common | SOLE |
| 464287234 | EEM | ISHARES TR | $474,375 | 0.26% | 12,500 | Common | SOLE |
| 881624209 | TEVA | TEVA PHARMACEUTICAL INDS LTD | $453,900 | 0.25% | 44,500 | Common | SOLE |
| 90041LAE5 | — | TURNING PT BRANDS INC | $385,000 | 0.21% | 400,000 | Common | SOLE |
| 097023105 | BA | BOEING CO | $383,360 | 0.21% | 2,000 | Common | SOLE |
| 02043Q107 | ALNY | ALNYLAM PHARMACEUTICALS INC | $318,780 | 0.17% | 1,800 | Common | SOLE |
| 594918104 | MSFT | MICROSOFT CORP | $315,750 | 0.17% | 1,000 | PUT | SOLE |
| 512807108 | LRCXEUR | LAM RESEARCH CORP | $313,385 | 0.17% | 500 | Common | SOLE |
| 02155H200 | ALT | ALTIMMUNE INC | $311,935 | 0.17% | 119,975 | Common | SOLE |
| L8681T102 | SPOT | SPOTIFY TECHNOLOGY S A | $309,280 | 0.17% | 2,000 | Common | SOLE |
| 007903107 | AMD | ADVANCED MICRO DEVICES INC | $308,460 | 0.17% | 3,000 | CALL | SOLE |
| 110122108 | BMY | BRISTOL-MYERS SQUIBB CO | $304,710 | 0.17% | 5,250 | Common | SOLE |
| 761330109 | RVNCEUR | REVANCE THERAPEUTICS INC | $303,955 | 0.17% | 26,500 | Common | SOLE |
| 172967424 | C | CITIGROUP INC | $298,193 | 0.16% | 7,250 | Common | SOLE |
| 92189F106 | GDX | VANECK ETF TRUST | $282,555 | 0.15% | 10,500 | Common | SOLE |
| 458140100 | INTC | INTEL CORP | $266,625 | 0.15% | 7,500 | CALL | SOLE |
| 02155H200 | ALT | ALTIMMUNE INC | $257,400 | 0.14% | 99,000 | CALL | SOLE |
| 478160104 | JNJ | JOHNSON & JOHNSON | $233,625 | 0.13% | 1,500 | Common | SOLE |
| 110122108 | BMY | BRISTOL-MYERS SQUIBB CO | $232,160 | 0.13% | 4,000 | PUT | SOLE |
| 92790C104 | VRDN | VIRIDIAN THERAPEUTICS INC | $207,090 | 0.11% | 13,500 | Common | SOLE |
| 009207101 | AIRT | AIR T INC | $204,167 | 0.11% | 9,135 | Common | SOLE |
| 45253H101 | IMGNEUR | IMMUNOGEN INC | $203,930 | 0.11% | 12,850 | Common | SOLE |
| 92556H206 | 0VVB | PARAMOUNT GLOBAL | $161,250 | 0.09% | 12,500 | Common | SOLE |
| 977852102 | WOLF* | WOLFSPEED INC | $152,400 | 0.08% | 4,000 | PUT | SOLE |
| 690469101 | OVID | OVID THERAPEUTICS INC | $116,851 | 0.06% | 30,430 | Common | SOLE |
| 912318300 | — | UNITED STS NAT GAS FD LP | $102,450 | 0.06% | 15,000 | Common | SOLE |
| 53566P109 | LCTX | LINEAGE CELL THERAPEUTICS IN | $97,646 | 0.05% | 82,751 | Common | SOLE |
| 92764N102 | VIR | VIR BIOTECHNOLOGY INC | $93,700 | 0.05% | 10,000 | Common | SOLE |
| 45258K109 | — | IMPEL PHARMACEUTICALS INC | $76,755 | 0.04% | 178,500 | Common | SOLE |
| 595112103 | MU | MICRON TECHNOLOGY INC | $68,030 | 0.04% | 1,000 | PUT | SOLE |
| 497498105 | KI2 | KIRKLANDS INC | $60,604 | 0.03% | 35,235 | Common | SOLE |
| 29446K106 | EQ | EQUILLIUM INC | $51,705 | 0.03% | 69,871 | Common | SOLE |
| 023111206 | — | AMARIN CORP PLC | $12,972 | 0.01% | 14,100 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.