# EDGAR Filing Document

**Accession Number:** 0001746382
**File Stem:** 0001420506-23-000571
**Filing Date:** 2023-2
**Character Count:** 13535
**Document Hash:** 917d9e54b1d08dacb880d4f7fced3327
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001420506-23-000571.hdr.sgml**: 20230214

**ACCESSION NUMBER**: 0001420506-23-000571

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230214

**DATE AS OF CHANGE**: 20230214

**EFFECTIVENESS DATE**: 20230214

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Altium Capital Management LP
- **CENTRAL INDEX KEY:** 0001746382
- **IRS NUMBER:** 822066653
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-20820
- **FILM NUMBER:** 23624036

**BUSINESS ADDRESS:**
- **STREET 1:** 152 W 57 ST FL20
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019
- **BUSINESS PHONE:** 2124842711

**MAIL ADDRESS:**
- **STREET 1:** 152 W 57 ST FL20
- **CITY:** NEW YORK
- **STATE:** NY
- **ZIP:** 10019

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**Check here if Amendment** [ ] **Amendment Number:** 

**This Amendment (Check only one.):** [ ] is a restatement.

[ ] adds new holdings entries.

**Institutional Investment Manager Filing this Report:**

**Name:** Altium Capital Management LP<br>**Address:** 152 W 57 ST FL20<br>NEW YORK, NY 10019

**Form 13F File Number:** 028-20820

The institutional investment manager filing this report and the person by whom it is signed hereby represent that the person signing the report is authorized to submit it, that all information contained herein is true, correct and complete, and that it is understood that all required items, statements, schedules, lists, and tables, are considered integral parts of this form.

**Person Signing this Report on Behalf of Reporting Manager:**

**Name:** Mark Gottlieb<br>**Title:** Chief Operating Officer<br>**Phone:** (212) 259-8400

**Signature, Place, and Date of Signing:**

Mark Gottlieb Chief Operating Officer  NEW YORK, NY  02-14-2023<br>[Signature]  [City, State]  [Date]

**Report Type (Check only one.):**

[x] **13F HOLDINGS REPORT.** (Check here if all holdings of this reporting manager are reported in this report.)

[ ] **13F NOTICE.** (Check here if no holdings are reported in this report, and all holdings are reported by other reporting manager(s).)

[ ] **13F COMBINATION REPORT.** (Check here if a portion of the holdings for this reporting manager are reported in this report and a portion are reported by other reporting manager(s).)

### Form 13F Summary Page

**Report Summary:**

**Number of Other Included Managers:** 0

**Form 13F Information Table Entry Total:** 94

**Form 13F Information Table Value Total:** $196777806

      (round to nearest dollar)

**List of Other Included Managers:**

Provide a numbered list of the name(s) and Form 13F file number(s) of all institutional investment managers with respect to which this report is filed, other than the manager filing this report.

[If there are no entries in this list, state “NONE” and omit the column headings and list entries.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 |  | 334784 | 108696 | SH |  | SOLE |  | 108696 | 0 | 0 |
| ADMA BIOLOGICS INC | COM | 000899104 |  | 11135600 | 2870000 | SH |  | SOLE |  | 2870000 | 0 | 0 |
| AKERO THERAPEUTICS INC | COM | 00973Y108 |  | 6850000 | 125000 | SH |  | SOLE |  | 125000 | 0 | 0 |
| AKOYA BIOSCIENCES INC | COM | 00974H104 |  | 3158100 | 330000 | SH |  | SOLE |  | 330000 | 0 | 0 |
| AMYLYX PHARMACEUTICALS INC | COM | 03237H101 |  | 5173000 | 140000 | SH |  | SOLE |  | 140000 | 0 | 0 |
| ARCELLX INC | COMMON STOCK | 03940C100 |  | 4647000 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| ARYA SCIENCES ACQU CORP IV | CL A | G31659108 |  | 1010000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| ASTRIA THERAPEUTICS INC | CALL | 04635X902 |  | 114653 | 7700 | SH | Call | SOLE |  | 7700 | 0 | 0 |
| ASTRIA THERAPEUTICS INC | COM | 04635X102 |  | 20181489 | 1355372 | SH |  | SOLE |  | 1355372 | 0 | 0 |
| AULT DISRUPTIVE TECHS CORP | COM | 05150A104 |  | 1537500 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| BELLUS HEALTH INC NEW | COM NEW | 07987C204 |  | 9305040 | 1132000 | SH |  | SOLE |  | 1132000 | 0 | 0 |
| BIOHAVEN LTD | COM | G1110E107 |  | 2776000 | 200000 | SH |  | SOLE |  | 200000 | 0 | 0 |
| BIOLINERX LTD | SPONSORED ADS | 09071M205 |  | 1831145 | 3103635 | SH |  | SOLE |  | 3103635 | 0 | 0 |
| BRUUSH ORAL CARE INC | *W EXP 08/03/202 | 11750K120 |  | 19543 | 360579 | SH |  | SOLE |  | 360579 | 0 | 0 |
| CARA THERAPEUTICS INC | COM | 140755109 |  | 2104610 | 195960 | SH |  | SOLE |  | 195960 | 0 | 0 |
| CEA INDUSTRIES INC | *W EXP 02/11/202 | 86887P119 |  | 22500 | 250000 | SH |  | SOLE |  | 250000 | 0 | 0 |
| CHAVANT CAPITAL ACQUISITN CO | *W EXP 99/99/999 | G2058L111 |  | 21705 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| CHINOOK THERAPEUTICS INC | COM | 16961L106 |  | 10087000 | 385000 | SH |  | SOLE |  | 385000 | 0 | 0 |
| CINGULATE INC | *W EXP 12/10/202 | 17248W113 |  | 64827 | 270000 | SH |  | SOLE |  | 270000 | 0 | 0 |
| COLISEUM ACQUISITION CORP | CLASS A ORD SHS | G2263T123 |  | 853400 | 85000 | SH |  | SOLE |  | 85000 | 0 | 0 |
| COLISEUM ACQUISITION CORP | *W EXP 08/22/202 | G2263T107 |  | 2026 | 28333 | SH |  | SOLE |  | 28333 | 0 | 0 |
| COLLEGIUM PHARMACEUTICAL INC | COM | 19459J104 |  | 2088000 | 90000 | SH |  | SOLE |  | 90000 | 0 | 0 |
| COLOMBIER ACQUISITION CORP | *W EXP 99/99/999 | 19533H116 |  | 1433 | 16666 | SH |  | SOLE |  | 16666 | 0 | 0 |
| COLOMBIER ACQUISITION CORP | CL A | 19533H108 |  | 497000 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| CTI BIOPHARMA CORP | COM | 12648L601 |  | 2704500 | 450000 | SH |  | SOLE |  | 450000 | 0 | 0 |
| CYMABAY THERAPEUTICS INC | COM | 23257D103 |  | 6426750 | 1025000 | SH |  | SOLE |  | 1025000 | 0 | 0 |
| DIGITAL HEALTH ACQUISITION C | *W EXP 11/02/202 | 253893119 |  | 14835 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| DIRECT DIGITAL HOLDINGS INC | *W EXP 02/15/202 | 25461T113 |  | 140400 | 180000 | SH |  | SOLE |  | 180000 | 0 | 0 |
| DOUBLEDOWN INTERACTIVE CO LT | ADS | 25862B109 |  | 514402 | 60876 | SH |  | SOLE |  | 60876 | 0 | 0 |
| ESPERION THERAPEUTICS INC NE | COM | 29664W105 |  | 3862600 | 620000 | SH |  | SOLE |  | 620000 | 0 | 0 |
| EUCRATES BIOMEDICAL ACQU COR | *W EXP 10/23/202 | G3141W122 |  | 7413 | 133333 | SH |  | SOLE |  | 133333 | 0 | 0 |
| FAT BRANDS INC | *W EXP 07/16/202 | 30258N121 |  | 683270 | 227000 | SH |  | SOLE |  | 227000 | 0 | 0 |
| GLAUKOS CORP | COM | 377322102 |  | 3974880 | 91000 | SH |  | SOLE |  | 91000 | 0 | 0 |
| GSR II METEORA ACQUISITN COR | UNIT 02/24/2027 | 36263W204 |  | 528500 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| HARBOR CUSTOM DEVELOPMENT IN | *W EXP 10/07/202 | 41150T124 |  | 38935 | 650000 | SH |  | SOLE |  | 650000 | 0 | 0 |
| HARBOR CUSTOM DEVELOPMENT IN | *W EXP 05/09/202 | 41150T116 |  | 17400 | 600000 | SH |  | SOLE |  | 600000 | 0 | 0 |
| HEALTH SCIENCES ACQ CORP 2 | ORD SHS | G4411D109 |  | 99800 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| HYRECAR INC | COM | 44916T107 |  | 715763 | 1688120 | SH |  | SOLE |  | 1688120 | 0 | 0 |
| INNOVATIVE EYEWEAR INC | *W EXP 08/16/202 | 45791D117 |  | 18345 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| INTRA-CELLULAR THERAPIES INC | COM | 46116X101 |  | 5292000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| IVERIC BIO INC | COM | 46583P102 |  | 4067900 | 190000 | SH |  | SOLE |  | 190000 | 0 | 0 |
| JEFFS BRANDS LTD | *W EXP 08/26/202 | M61472110 |  | 79327 | 480770 | SH |  | SOLE |  | 480770 | 0 | 0 |
| KARUNA THERAPEUTICS INC | COM | 48576A100 |  | 4323000 | 22000 | SH |  | SOLE |  | 22000 | 0 | 0 |
| KORU MEDICAL SYSTEMS INC | COM | 759910102 |  | 3052350 | 855000 | SH |  | SOLE |  | 855000 | 0 | 0 |
| KURA ONCOLOGY INC | COM | 50127T109 |  | 349937 | 28198 | SH |  | SOLE |  | 28198 | 0 | 0 |
| LIGHTNING EMOTORS INC | COM | 53228T101 |  | 213249 | 581852 | SH |  | SOLE |  | 581852 | 0 | 0 |
| LIGHTNING EMOTORS INC | *W EXP 05/18/202 | 53228T119 |  | 25304 | 652173 | SH |  | SOLE |  | 652173 | 0 | 0 |
| MEDIWOUND LTD | SHS NEW | M68830112 |  | 368088 | 27286 | SH |  | SOLE |  | 27286 | 0 | 0 |
| MURPHY CANYON ACQUISITION CO | UNIT 01/25/2027 | 626642201 |  | 1018000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| MYRIAD GENETICS INC | COM | 62855J104 |  | 3076120 | 212000 | SH |  | SOLE |  | 212000 | 0 | 0 |
| NEOGENOMICS INC | COM NEW | 64049M209 |  | 2633400 | 285000 | SH |  | SOLE |  | 285000 | 0 | 0 |
| NEUROCRINE BIOSCIENCES INC | COM | 64125C109 |  | 2090200 | 17500 | SH |  | SOLE |  | 17500 | 0 | 0 |
| NEVRO CORP | COM | 64157F103 |  | 3009600 | 76000 | SH |  | SOLE |  | 76000 | 0 | 0 |
| NEXALIN TECHNOLOGY INC | *W EXP 09/15/202 | 65345B110 |  | 21000 | 105000 | SH |  | SOLE |  | 105000 | 0 | 0 |
| NEXGEL INC | *W EXP 12/01/202 | 65344E115 |  | 33750 | 225000 | SH |  | SOLE |  | 225000 | 0 | 0 |
| NLS PHARMACEUTICS LTD | *W EXP 02/02/202 | H57830111 |  | 38010 | 200000 | SH |  | SOLE |  | 200000 | 0 | 0 |
| NOCTURNE ACQUISITION CORP | RIGHT 12/26/2025 | G6580S106 |  | 38900 | 500000 | SH |  | SOLE |  | 500000 | 0 | 0 |
| ONFOLIO HOLDINGS INC | *W EXP 01/02/202 | 68277K124 |  | 48000 | 200000 | SH |  | SOLE |  | 200000 | 0 | 0 |
| OPY ACQUISITION CORP I | *W EXP 09/22/202 | 671005114 |  | 3225 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| OPY ACQUISITION CORP I | COM CL A | 671005106 |  | 501000 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| OUTLOOK THERAPEUTICS INC | COM NEW | 69012T206 |  | 3593596 | 3327404 | SH |  | SOLE |  | 3327404 | 0 | 0 |
| PACIFIC BIOSCIENCES CALIF IN | COM | 69404D108 |  | 2985700 | 365000 | SH |  | SOLE |  | 365000 | 0 | 0 |
| PEPGEN INC | COM | 713317105 |  | 534800 | 40000 | SH |  | SOLE |  | 40000 | 0 | 0 |
| PEPPERLIME HEALTH ACQUSTN CO | *W EXP 10/01/202 | G70021111 |  | 24071 | 367500 | SH |  | SOLE |  | 367500 | 0 | 0 |
| PEPPERLIME HEALTH ACQUSTN CO | CLASS A ORD SHS | G70021103 |  | 7504350 | 735000 | SH |  | SOLE |  | 735000 | 0 | 0 |
| PLIANT THERAPEUTICS INC | COM | 729139105 |  | 1933000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| POLISHED COM INC | COM | 28252C109 |  | 578174 | 1000821 | SH |  | SOLE |  | 1000821 | 0 | 0 |
| POLISHED COM INC | *W EXP 06/02/202 | 28252C117 |  | 488306 | 6103824 | SH |  | SOLE |  | 6103824 | 0 | 0 |
| PROSOMNUS INC | *W EXP 04/20/202 | 50535E116 |  | 11790 | 150000 | SH |  | SOLE |  | 150000 | 0 | 0 |
| QUANTERIX CORP | COM | 74766Q101 |  | 3113480 | 224800 | SH |  | SOLE |  | 224800 | 0 | 0 |
| RELATIVITY ACQUISITION CORP | *W EXP 12/15/202 | 75944B114 |  | 3010 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| REPLIMUNE GROUP INC | COM | 76029N106 |  | 4352000 | 160000 | SH |  | SOLE |  | 160000 | 0 | 0 |
| RESMED INC | COM | 761152107 |  | 3538210 | 17000 | SH |  | SOLE |  | 17000 | 0 | 0 |
| RHYTHM PHARMACEUTICALS INC | COM | 76243J105 |  | 4950400 | 170000 | SH |  | SOLE |  | 170000 | 0 | 0 |
| RXSIGHT INC | COM | 78349D107 |  | 640925 | 50586 | SH |  | SOLE |  | 50586 | 0 | 0 |
| SAGE THERAPEUTICS INC | COM | 78667J108 |  | 1907000 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| SELINA HOSPITALITY PLC | *W EXP 10/27/202 | G8059B119 |  | 8115 | 101439 | SH |  | SOLE |  | 101439 | 0 | 0 |
| SI-BONE INC | COM | 825704109 |  | 2652000 | 195000 | SH |  | SOLE |  | 195000 | 0 | 0 |
| SOMALOGIC INC | CLASS A COM | 83444K105 |  | 778100 | 310000 | SH |  | SOLE |  | 310000 | 0 | 0 |
| SURROZEN INC | *W EXP 08/01/203 | 86889P117 |  | 7023 | 82233 | SH |  | SOLE |  | 82233 | 0 | 0 |
| SYROS PHARMACEUTICALS INC | COM NEW | 87184Q206 |  | 1131101 | 315070 | SH |  | SOLE |  | 315070 | 0 | 0 |
| TANDEM DIABETES CARE INC | COM NEW | 875372203 |  | 4045500 | 90000 | SH |  | SOLE |  | 90000 | 0 | 0 |
| TAYSHA GENE THERAPIES INC | COM SHS | 877619106 |  | 811455 | 359051 | SH |  | SOLE |  | 359051 | 0 | 0 |
| TC BIOPHARM HOLDINGS PLC | *W EXP 02/08/202 | 87807D111 |  | 1684 | 18823 | SH |  | SOLE |  | 18823 | 0 | 0 |
| TERNS PHARMACEUTICALS INC | COM | 880881107 |  | 712600 | 70000 | SH |  | SOLE |  | 70000 | 0 | 0 |
| TG THERAPEUTICS INC | CALL | 88322Q908 |  | 1183000 | 100000 | SH | Call | SOLE |  | 100000 | 0 | 0 |
| TG VENTURE ACQUISITION CORP | UNIT 08/15/2028 | 87251T208 |  | 2038000 | 200000 | SH |  | SOLE |  | 200000 | 0 | 0 |
| TILRAY BRANDS INC | CALL | 88688T900 |  | 20444 | 7600 | SH | Call | SOLE |  | 7600 | 0 | 0 |
| TROIKA MEDIA GROUP INC | COM | 89689F305 |  | 310026 | 2672640 | SH |  | SOLE |  | 2672640 | 0 | 0 |
| VAXCYTE INC | COM | 92243G108 |  | 2061850 | 43000 | SH |  | SOLE |  | 43000 | 0 | 0 |
| VERONA PHARMA PLC | SPONSORED ADS | 925050106 |  | 5617950 | 215000 | SH |  | SOLE |  | 215000 | 0 | 0 |
| WEARABLE DEVICES LTD | *W EXP 09/14/202 | M97838110 |  | 171086 | 1411600 | SH |  | SOLE |  | 1411600 | 0 | 0 |
| WESTERN ACQSTN VENTURES CORP | UNIT 09/01/2026 | 95758L206 |  | 1100000 | 100000 | SH |  | SOLE |  | 100000 | 0 | 0 |
| XTANT MED HLDGS INC | COM NEW | 98420P308 |  | 4122552 | 6246291 | SH |  | SOLE |  | 6246291 | 0 | 0 |

---