Q3 2021 · 13F-HR
ACT CAPITAL MANAGEMENT, LLCholdings as filed
Filed 2021-11-16 · accession 0001636587-21-000036
$192,954
Reported value
108
Positions
2021-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 852312305 | STAA | STAAR SURGICAL CO | $34,472 | 17.9% | 268,200 | Common | SOLE |
| 03969T109 | ARCT | ARCTURUS THERAPEUTICS HLDGS | $21,754 | 11.3% | 455,300 | Common | SOLE |
| 185063104 | CLSDUSD | CLEARSIDE BIOMEDICAL INC | $14,805 | 7.67% | 2,467,500 | Common | SOLE |
| 04280A100 | ARWR | ARROWHEAD PHARMACEUTICALS INC | $12,111 | 6.28% | 194,000 | Common | SOLE |
| 89620X506 | TREUR | TRILLIUM THERAPEUTICS INC | $8,183 | 4.24% | 466,000 | Common | SOLE |
| 35953D104 | FUBOGBP | FUBOTV INC | $6,079 | 3.15% | 253,700 | Common | SOLE |
| 91680M107 | UPST | UPSTART HLDGS INC | $5,411 | 2.80% | 17,100 | Common | SOLE |
| 45782T105 | INMB | INMUNE BIO INC | $5,341 | 2.77% | 275,000 | Common | SOLE |
| 45166A102 | IDYA | IDEAYA BIOSCIENCES INC | $4,423 | 2.29% | 173,500 | Common | SOLE |
| 05156V102 | AUPH | AURINIA PHARMACEUTICALS INC | $3,983 | 2.06% | 180,000 | Common | SOLE |
| 04537Y109 | — | ASPIRA WOMENS HEALTH INC | $3,675 | 1.90% | 1,130,720 | Common | SOLE |
| 00827B106 | AFRM | AFFIRM HLDGS INC | $2,919 | 1.51% | 24,500 | Common | SOLE |
| 640268108 | NKTREUR | NEKTAR THERAPEUTICS | $2,901 | 1.50% | 161,500 | Common | SOLE |
| 632307104 | NTRA | NATERA INC | $2,886 | 1.50% | 25,900 | Common | SOLE |
| 41015N304 | — | HANCOCK JAFFE LABORATORIES I | $2,725 | 1.41% | 262,500 | Common | SOLE |
| 44934S206 | ICADUSD | ICAD INC | $2,413 | 1.25% | 224,500 | Common | SOLE |
| 046513107 | ATRAGBX | ATARA BIOTHERAPEUTICS INC | $2,093 | 1.08% | 116,900 | Common | SOLE |
| 501147102 | KRYS | KRYSTAL BIOTECH INC | $2,088 | 1.08% | 40,000 | Common | SOLE |
| 67020Y100 | — | NUANCE COMMUNICATIONS INC | $2,064 | 1.07% | 37,500 | Common | SOLE |
| 88322Q108 | TGTX | TG THERAPEUTICS INC | $1,997 | 1.03% | 60,000 | Common | SOLE |
| 91307C102 | UTHR | UNITED THERAPEUTICS CORP DEL | $1,938 | 1.00% | 10,500 | Common | SOLE |
| 45719W106 | — | INHIBIKASE THERAPEUTICS INC | $1,919 | 0.99% | 1,010,000 | Common | SOLE |
| G637AM102 | — | MYOVANT SCIENCES LTD | $1,907 | 0.99% | 85,000 | Common | SOLE |
| N01045108 | — | AFFIMED N V | $1,738 | 0.90% | 281,300 | Common | SOLE |
| 64049K104 | — | NEOLEUKIN THERAPEUTICS INC | $1,728 | 0.90% | 239,000 | Common | SOLE |
| 023135106 | AMZN | AMAZON.COM INC | $1,643 | 0.85% | 500 | Common | SOLE |
| 38246G108 | GDRX | GOODRX HLDGS INC | $1,641 | 0.85% | 40,000 | Common | SOLE |
| 166764100 | CVX | CHEVRON CORP NEW | $1,623 | 0.84% | 16,000 | Common | SOLE |
| 577096100 | MTTR* | MATTERPORT INC | $1,560 | 0.81% | 82,500 | Common | SOLE |
| 09075P105 | BTAIEUR | BIOXCEL THERAPEUTICS INC | $1,518 | 0.79% | 50,000 | Common | SOLE |
| 68236P107 | GTXIEUR | ONCTERNAL THERAPEUTICS INC | $1,501 | 0.78% | 360,000 | Common | SOLE |
| 86877M209 | — | SURFACE ONCOLOGY INC | $1,291 | 0.67% | 170,500 | Common | SOLE |
| 032797300 | AVXL | ANAVEX LIFE SCIENCES CORP | $1,265 | 0.66% | 70,500 | Common | SOLE |
| 68235C107 | — | ONCOCYTE CORPORATION | $1,175 | 0.61% | 330,000 | Common | SOLE |
| 28249U105 | CLDNEUR | EIGER BIOPHARMACEUTICALS INC | $1,059 | 0.55% | 158,500 | Common | SOLE |
| 42328V603 | — | HELIUS MED TECHNOLOGIES INC | $1,017 | 0.53% | 70,616 | Common | SOLE |
| 58490H107 | MDNAF | MEDICENNA THERAPEUTICS CORP | $970 | 0.50% | 350,000 | Common | SOLE |
| 485859102 | — | KATAPULT HOLDINGS INC | $950 | 0.49% | 175,000 | Common | SOLE |
| 70465T107 | PDSB | PDS BIOTECHNOLOGY CORP | $894 | 0.46% | 60,000 | Common | SOLE |
| 171798101 | — | CIMAREX ENERGY CO | $872 | 0.45% | 10,000 | Common | SOLE |
| N44445109 | IMTX | IMMATICS N.V | $826 | 0.43% | 63,500 | Common | SOLE |
| M4130Y106 | ENLV | ENLIVEX THERAPEUTICS LTD | $815 | 0.42% | 82,500 | Common | SOLE |
| 39868T105 | 2JQ | GRITSTONE BIO INC | $799 | 0.41% | 74,000 | Common | SOLE |
| 98956A105 | ZETA | ZETA GLOBAL HOLDINGS CORP | $791 | 0.41% | 135,000 | Common | SOLE |
| 431636109 | HLMN | HILLMAN SOLUTIONS CORP | $775 | 0.40% | 65,000 | Common | SOLE |
| 57055L107 | — | MARKER THERAPEUTICS INC | $743 | 0.39% | 439,400 | Common | SOLE |
| 46428Q109 | SLV | ISHARES SILVER TR | $739 | 0.38% | 36,000 | Common | SOLE |
| 14147L108 | CRDF | CARDIFF ONCOLOGY INC | $683 | 0.35% | 102,500 | Common | SOLE |
| 19260Q107 | COIN | COINBASE GLOBAL INC | $682 | 0.35% | 3,000 | Common | SOLE |
| 00973W102 | — | AKERNA CORP | $654 | 0.34% | 232,000 | Common | SOLE |
| 231269200 | — | CURIS INC | $626 | 0.32% | 80,000 | Common | SOLE |
| 03828A101 | APLT | APPLIED THERAPEUTICS INC | $623 | 0.32% | 37,500 | Common | SOLE |
| 52187K101 | — | LEAP THERAPEUTICS INC | $622 | 0.32% | 155,000 | Common | SOLE |
| 75615P103 | — | REATA PHARMACEUTICALS INC | $604 | 0.31% | 6,000 | Common | SOLE |
| 15870P307 | CSBR | CHAMPIONS ONCOLOGY INC | $597 | 0.31% | 58,500 | Common | SOLE |
| M85548101 | SSYS | STRATASYS LTD | $592 | 0.31% | 27,500 | Common | SOLE |
| 22266L106 | — | COUPA SOFTWARE INC | $526 | 0.27% | 2,400 | Common | SOLE |
| 00973Y108 | AKRO | AKERO THERAPEUTICS INC | $514 | 0.27% | 23,000 | Common | SOLE |
| 26142Q205 | — | DRAGANFLY INC | $503 | 0.26% | 150,000 | Common | SOLE |
| 483119103 | — | KALA PHARMACEUTICALS INC | $498 | 0.26% | 190,000 | Common | SOLE |
| 03209T109 | — | AMPIO PHARMACEUTICALS INC | $484 | 0.25% | 291,500 | Common | SOLE |
| 00653A107 | ADAPY | ADAPTIMMUNE THERAPEUTICS PLC | $465 | 0.24% | 90,000 | Common | SOLE |
| 26142R104 | — | DRAFTKINGS INC | $462 | 0.24% | 9,600 | Common | SOLE |
| 98985W102 | — | ZYMEWORKS INC | $407 | 0.21% | 14,000 | Common | SOLE |
| 76243J105 | RYTM | RHYTHM PHARMACEUTICALS INC | $405 | 0.21% | 31,000 | Common | SOLE |
| 829399104 | — | SIO GENE THERAPIES INC | $401 | 0.21% | 185,000 | Common | SOLE |
| 69242L106 | OYST | OYSTER PT PHARMA INC | $373 | 0.19% | 31,500 | Common | SOLE |
| 05070N103 | — | AUDACY INC | $359 | 0.19% | 97,500 | Common | SOLE |
| 00507W206 | ATNM | ACTINIUM PHARMACEUTICALS INC | $332 | 0.17% | 37,500 | Common | SOLE |
| 78472W104 | SQZB | SQZ BIOTECHNOLOGIES CO | $317 | 0.16% | 22,000 | Common | SOLE |
| 00289Y107 | — | ABEONA THERAPEUTICS INC | $311 | 0.16% | 278,000 | Common | SOLE |
| 23283X206 | CTSO | CYTOSORBENTS CORP | $284 | 0.15% | 35,000 | Common | SOLE |
| 345370860 | F | FORD MTR CO DEL | $283 | 0.15% | 20,000 | Common | SOLE |
| G3R239101 | GAMB | GAMBLING.COM GROUP LIMITED | $274 | 0.14% | 30,000 | Common | SOLE |
| 48138M105 | JMIA | JUMIA TECHNOLOGIES AG | $264 | 0.14% | 14,200 | Common | SOLE |
| 23284P103 | — | CYTEIR THERAPEUTICS INC | $263 | 0.14% | 15,000 | Common | SOLE |
| 91332U101 | U | UNITY SOFTWARE INC | $253 | 0.13% | 2,000 | Common | SOLE |
| 60800C109 | — | MOGO INC | $238 | 0.12% | 55,000 | Common | SOLE |
| 87184Q107 | — | SYROS PHARMACEUTICALS INC | $235 | 0.12% | 52,500 | Common | SOLE |
| 12482W101 | — | CBDMD INC | $213 | 0.11% | 102,500 | Common | SOLE |
| 868153107 | SDPIUSD | SUPERIOR DRILLING PRODS INC | $206 | 0.11% | 117,500 | Common | SOLE |
| 15117F500 | — | CELLECTAR BIOSCIENCES INC | $201 | 0.10% | 217,500 | Common | SOLE |
| 45783C101 | — | INSTIL BIO INC | $179 | 0.09% | 10,000 | Common | SOLE |
| 89357L105 | — | TRANSCODE THERAPEUTICS INC | $150 | 0.08% | 50,000 | Common | SOLE |
| 29385B109 | EGLXF | ENTHUSIAST GAMING HOLDINGS INC | $145 | 0.08% | 40,000 | Common | SOLE |
| H00263105 | ACIU | AC IMMUNE SA | $144 | 0.07% | 21,500 | Common | SOLE |
| 74838J101 | — | QUIDEL CORP | $141 | 0.07% | 1,000 | Common | SOLE |
| M2R51X116 | CLGN | COLLPLANT BIOTECHNOLOGIES LTD | $127 | 0.07% | 7,500 | Common | SOLE |
| 00166B105 | ALXO | ALX ONCOLOGY HLDGS INC | $111 | 0.06% | 1,500 | Common | SOLE |
| 89237H209 | — | TRACON PHARMACEUTICALS INC | $110 | 0.06% | 28,500 | Common | SOLE |
| 37186H100 | — | GENETRON HLDGS LTD | $104 | 0.05% | 7,500 | Common | SOLE |
| 19249H103 | CHRS | COHERUS BIOSCIENCES INC | $104 | 0.05% | 6,500 | Common | SOLE |
| 05337M104 | — | AVADEL PHARMACEUTICALS PLC | $103 | 0.05% | 10,500 | Common | SOLE |
| 98459U103 | YALA | YALLA GROUP LTD | $102 | 0.05% | 13,500 | Common | SOLE |
| 078771300 | — | BELLEROPHON THERAPEUTICS INC | $102 | 0.05% | 25,000 | Common | SOLE |
| 03890D108 | VSAREUR | ARAVIVE INC | $87 | 0.05% | 23,500 | Common | SOLE |
| 48576U106 | KPTIEUR | KARYOPHARM THERAPEUTICS INC | $81 | 0.04% | 14,000 | Common | SOLE |
| 09071M205 | — | BIOLINERX LTD | $76 | 0.04% | 27,500 | Common | SOLE |
| 98979V102 | ZVOI | ZOVIO INC | $72 | 0.04% | 30,000 | Common | SOLE |
| 185899101 | CLF | CLEVELAND-CLIFFS INC NEW | $63 | 0.03% | 3,200 | Common | SOLE |
| 03820J100 | — | APPLIED GENETIC TECHNOLOGIES | $60 | 0.03% | 20,000 | Common | SOLE |
| 89377M109 | TMDX | TRANSMEDICS GROUP INC | $33 | 0.02% | 1,000 | Common | SOLE |
| 053734604 | — | AVINGER INC | $26 | 0.01% | 35,000 | Common | SOLE |
| 05455M100 | — | AVROBIO INC | $17 | 0.01% | 3,000 | Common | SOLE |
| 01438T106 | ALDX | ALDEYRA THERAPEUTICS | $13 | 0.01% | 1,500 | Common | SOLE |
| 29604W108 | — | ERYTECH PHARMA | $12 | 0.01% | 2,000 | Common | SOLE |
| 372427401 | GNCAQ | GENOCEA BIOSCIENCES INC | $10 | 0.01% | 5,000 | Common | SOLE |
| 009066101 | ABNB | AIRBNB INC | $8 | 0.00% | 50 | 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.