Altium Capital Management LLC has filed its 13F-HR report, indicating a total investment value of approximately $68.8 million as of September 30, 2026. This filing is significant as it provides a snapshot of the firm’s investment strategy and its holdings in various securities.

Background

Altium Capital Management LLC, incorporated in Delaware, is an institutional investment manager. The firm focuses on managing assets for clients, and its recent filings include various reports that reflect its investment activities. The latest filing was submitted on November 4, 2026, and is part of a series of reports that include the 13F-HR and N-PX forms.

What the Filing Says

The filing states, "the total value of the holdings is $68,807,676". It also indicates that the report covers holdings as of September 30, 2026, and includes information about the number of securities held and their respective values.

Impact

This report may affect various stakeholders, including investors and competitors in the asset management industry. By revealing its investment strategies and holdings, Altium provides insights that could influence market perceptions and strategies of other firms.

What's Next

The filing does not say what happens next.

Holdings Overview

According to the filing, Altium Capital Management LLC holds a total of 20 different securities. The largest single holding is in EA Series Trust, with a reported value of approximately $24,996,983. Other notable holdings include Royce Micro-Cap Trust Inc valued at $3,801,087 and Royce Small Cap Trust Inc valued at $3,360,461.

Investment Discretion

The filing indicates that Altium Capital Management LLC has sole investment discretion over all reported securities, meaning the firm has full authority to make investment decisions without consulting other parties.

Contact Information

The business address for Altium Capital Management LLC is 152 W 57 St FL7, New York, NY 10019. The firm can be reached by phone at (212) 484-2711.

Signature

The filing was signed by Mark Gottlieb, the Chief Operating Officer of Altium Capital Management LLC, on November 4, 2026.

Missing Information

The filing does not provide details about the specific investment strategies employed by Altium Capital Management LLC or any commentary on market conditions influencing their investment decisions.