Altium Capital Management LLC

NEW YORK, NY · CIK 1746382 · 13F filing filed 2026-08-12

No investment adviser registration (Form ADV) found for this filer. It may be a parent company whose subsidiaries are the registered advisers, a bank or insurer, or a manager based outside the US.

Legal entityAltium Capital Management LLC (US)

$47.5m reported value +13.0% vs Q1 2026

19positions

69.3%in top 10

0 new 6 added 1 reduced 0 sold out vs Q1 2026

Holdings, Q2 2026

The small lines show how much was held over the last 4 quarters (adjusted for stock splits).

#	Security	Ticker	Shares	Value	% of portfolio	Change	Shares change
1	ROYCE MICRO-CAP TR INC COM RMT	RMT	278,051	$4.1m8.58%	8.58%	Added +35.0k	+35,001 14.4%
2	ASA GOLD AND PRECIOUS MTLS L SHS ASA	ASA	70,390	$3.7m7.72%	7.72%	Added +18.2k	+18,171 34.8%
3	ROYCE SMALL CAP TRUST INC COM RVT	RVT	192,509	$3.6m7.49%	7.49%	Unchanged
4	NEUBERGER BERMAN NEXT GENERA COMMON STOCK NBXG	NBXG	204,562	$3.4m7.13%	7.13%	Unchanged
5	PIMCO DYNAMIC INCOME STRATEG COM SHS BEN INT PDX	PDX	157,700	$3.3m6.92%	6.92%	Unchanged
6	GENERAL AMERN INVS CO INC COM GAM	GAM	48,755	$3.1m6.55%	6.55%	Unchanged
7	PIMCO CALIF MUN INCOME FD COM XPCQX	XPCQX	333,093	$3.0m6.29%	6.29%	Unchanged
8	TRI CONTL CORP COM TY	TY	86,458	$3.0m6.27%	6.27%	Added +7.5k	+7,538 9.6%
9	NUVEEN S&P 500 DYNAMIC OVERW COM XSSPX	XSSPX	157,395	$2.9m6.18%	6.18%	Unchanged
10	CALAMOS GBL DYN INCOME FUND COM CHW	CHW	328,901	$2.9m6.17%	6.17%	Unchanged
11	BNY MELLON STRATEGIC MUNS IN COM LEO	LEO	438,676	$2.8m5.97%	5.97%	Unchanged
12	MEXICO FD INC COM MXF	MXF	128,185	$2.8m5.91%	5.91%	Unchanged
13	HIGHLAND OPPORTUNITIES HIGHLAND INCOME HFRO	HFRO	317,055	$2.3m4.76%	4.76%	Added +40.0k	+39,987 14.4%
14	ALLIANCEBERNSTEIN NATL MUN I COM AFB	AFB	175,187	$2.0m4.21%	4.21%	Reduced -47.1k	-47,077 -21.2%
15	MORGAN STANLEY INDIA INVT FD COM IIF	IIF	79,031	$1.8m3.80%	3.80%	Unchanged
16	JAPAN SMALLER CAPITALIZATION COM JOF	JOF	150,412	$1.8m3.73%	3.73%	Unchanged
17	DESTRA MULTI-ALTERNATIVE FD COMMON SHARES DMA	DMA	54,723	$409.3k0.86%	0.86%	Unchanged
18	NEW GERMANY FD INC COM GF	GF	33,098	$379.3k0.80%	0.80%	Added +8.2k	+8,178 32.8%
19	ENDRA LIFE SCIENCES INC COM NDRA	NDRA	59,272	$315.9k0.67%	0.67%	Added +7.4k	+7,372 14.2%

Stakes above 5%

Companies where this manager has reported owning more than 5% of a class of shares, on Schedule 13D (may seek influence) or 13G (passive): its latest filing for each, from 19 Dec 2024 on.

Company	Stake	Change	Schedule	Last filed
GREENLANE HLDGS INC 13G · filed 2025-02-28	10.0%	new	13G	2025-02-28
SHARPS TECHNOLOGY INC 13G · filed 2025-02-05	10.0%	new	13G	2025-02-05
FEMTO TECHNOLOGIES INC 13G · filed 2025-03-06	9.6%	new	13G	2025-03-06