BC
Broadfin Capital, LLC Historical SEC 13F Holdings & Archive (Q4 2019)
Broadfin Capital, LLCCIK: 0001511901
ContrarianHigh-turnover traderDiversified strategy
Total reported value
$746.8M
Reporting period: 2019-12-31 · Number of holdings: 40
Broadfin Capital, LLC disclosed 40 holdings in its latest 13F filing for the period ending 2019-12-31, with total reported value of $746.8M and a quarterly turnover rate of 79.7%.
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Personality snowflake
- Concentration
- 34.21
- Portfolio Stability
- 79.74
- Momentum
- 0
- Sector conviction
- 0
- Diversification
- 76
- Sizing Uniformity
- 84.8
Sector classification currently covers about 5% of this portfolio's disclosed value; the remainder includes holdings (e.g. unmapped tickers, options, or other security types) not yet covered by our sector mapping.
Source and citation information
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Recent moves
View source Form 13F filing on SEC.govTrim XBI
-50.0% -$20.1M
Trim SPY
0.0% $11.0M
Add ALKS
+395.4% $20.3M
Trim IOVA
-52.9% -$5.8M
Add G73268107
+225.1% $14.2M
Add NSTGEUR
+401.4% $13.1M
Holdings Map
New buyAddUnchangedTrim
* This report is exclusively curated by the AlphaSMO team. AlphaSMO is the web's most authoritative 13F / Inside Trader database, delivering precise insider trading and institutional holdings insights.
Top 10 holdings by weight
Full holdings list this quarter
Showing top 38 holdings (of 40 total)
| # | Ticker | Issuer | Asset Subclass | Weight | Weight Change | Shares Change | 4Q Trend |
|---|---|---|---|---|---|---|---|
| 1 | SPY | Ss Spdr S&p 500 ETF Trust-us | ETF-Large Cap & Growth | 18.96% | -5.18% | — | |
| 2 | IWM | Ishares Russell 2000 ETF | ETF-Small Cap | 17.75% | +17.75% | NEW | |
| 3 | BHVN | Biohaven Ltd. | Stock-Other | 7.36% | -0.60% | -2.25% | |
| 4 | XBI | Ss Spdr S&p Biotech ETF | ETF-Tech | 4.46% | -5.41% | -50.00% | |
| 5 | BDSIUSD | Biodelivery Sciences Intl | Stock-Other | 3.64% | +0.29% | — | |
| 6 | ALKS | Alkermes plc | Stock-Healthcare | 3.37% | +2.47% | +395.38% | |
| 7 | VRAYQ | Viewray Inc | Stock-Other | 3.15% | +1.54% | +85.73% | |
| 8 | ✓ | Amarin Corp PLC | Stock-Other | 3.01% | -1.39% | -33.13% | |
| 9 | ✓ | Quotient LTD | Stock-Other | 2.54% | +1.66% | +225.09% | |
| 10 | CLDNEUR | Eiger Biopharmaceuticals Inc | Stock-Other | 2.47% | -0.12% | -9.58% | |
| 11 | STAA | Staar Surgical Co | Stock-Other | 2.18% | +2.18% | NEW | |
| 12 | XENTEUR | Intersect Ent Inc | Stock-Other | 2.10% | -0.35% | -19.01% | |
| 13 | PGNXUSD | Progenics Pharmaceuticals | Stock-Other | 2.09% | +0.61% | +93.25% | |
| 14 | NSTGEUR | Nanostring Technologies Inc | Stock-Other | 2.07% | +1.63% | +401.44% | |
| 15 | IOVA | Iovance Biotherapeutics Inc | Stock-Other | 1.98% | -1.83% | -52.85% | |
| 16 | DERMEUR | Dermira Inc | Stock-Other | 1.82% | +1.14% | +54.65% | |
| 17 | RAH | Societal Cdmo Inc | Stock-Other | 1.77% | -0.25% | -27.00% | |
| 18 | LNTH | Lantheus Holdings Inc | Stock-Healthcare | 1.70% | +1.70% | NEW | |
| 19 | ✓ | Stock-Other | 1.63% | +1.63% | NEW | ||
| 20 | SIENUSD | Sientra Inc | Stock-Other | 1.54% | -0.86% | -35.71% | |
| 21 | VCEL | Vericel CORP | Stock-Other | 1.44% | +0.78% | +161.63% | |
| 22 | LJPC | La Jolla Pharmaceutical Co | Stock-Other | 1.41% | +1.11% | +1378.23% | |
| 23 | ALXN | Alexion Pharmaceuticals Inc | Stock-Other | 1.20% | +1.20% | NEW | |
| 24 | ✓ | Sol Gel Technologies | Stock-Other | 1.20% | +0.26% | -7.36% | |
| 25 | RLMD | Relmada Therapeutics Inc | Stock-Other | 1.15% | +1.15% | NEW | |
| 26 | AUPH | Aurinia Pharmaceuticals Inc | Stock-Other | 1.09% | +1.09% | NEW | |
| 27 | ✓ | Avadel Pharmaceuticals PLC ADR | Stock-Other | 1.04% | -1.35% | -66.83% | |
| 28 | XCUR | Exicure Inc | Stock-Other | 1.04% | -0.04% | +17.13% | |
| 29 | ZGNXEUR | Zogenix Inc | Stock-Other | 0.94% | -0.08% | -2.25% | |
| 30 | ICUI | Icu Medical Inc | Stock-Other | 0.75% | — | — | |
| 31 | ✓ | Luminex CORP | Stock-Other | 0.64% | +0.64% | NEW | |
| 32 | SSKNEUR | Strata Skin Sciences Inc | Stock-Other | 0.51% | -0.65% | -36.94% | |
| 33 | ANAB | Anaptysbio Inc | Stock-Other | 0.48% | +0.48% | NEW | |
| 34 | ACRS | Aclaris Therapeutics Inc | Stock-Other | 0.48% | +0.16% | +16.55% | |
| 35 | ✓ | Mylan N V | Stock-Other | 0.40% | +0.40% | NEW | |
| 36 | HRTX | Heron Therapeutics Inc | Stock-Other | 0.28% | -0.40% | -54.74% | |
| 37 | ✓ | Scynexis Inc Com New | Stock-Other | 0.24% | +0.24% | NEW | |
| 38 | ✓ | Stock-Other | 0.11% | — | — |
Reported value over time
Sector allocation
Sector allocation over time
Quarterly history
| Period | Holdings | Total value | Stability | Top holdings | |
|---|---|---|---|---|---|
| 2019 Q4 | 40 | $746.8M | 80 | ||
| 2019 Q3 | 44 | $540.9M | 98 | ||
| 2019 Q2 | 39 | $459.6M | 64 | ||
| 2019 Q1 | 43 | $484.3M | 73 | ||
| 2018 Q4 | 50 | $760.5M | 100 | ||
| 2018 Q3 | 50 | $679.5M | 63 | ||
| 2018 Q2 | 45 | $635.2M | 74 | ||
| 2018 Q1 | 51 | $641.7M | 51 | ||
| 2017 Q4 | 46 | $611.8M | 44 | ||
| 2017 Q3 | 45 | $676.0M | 100 | ||
| 2017 Q2 | 53 | $823.0M | 0 | ||
| 2017 Q1 | 55 | $825.6M | 60 | ||
| 2016 Q4 | 64 | $900.7M | 48 | ||
| 2016 Q3 | 72 | $1.1B | 48 | ||
| 2016 Q2 | 70 | $1.0B | 57 | ||
| 2016 Q1 | 71 | $1.0B | 59 | ||
| 2015 Q4 | 88 | $1.6B | 100 | ||
| 2015 Q3 | 89 | $1.8B | 0 | ||
| 2015 Q2 | 97 | $1.9B | 52 | ||
| 2015 Q1 | 84 | $1.3B | 54 | ||
| 2014 Q4 | 75 | $1.2B | 48 | ||
| 2014 Q3 | 72 | $953.8M | 49 | ||
| 2014 Q2 | 70 | $1.0B | 40 | ||
| 2014 Q1 | 85 | $1.0B | 69 | 1338488244047T3249908 | |
| 2013 Q4 | 60 | $758.2M | 59 | ||
| 2013 Q3 | 58 | $563.3M | 41 | ||
| 2013 Q2 | 52 | $511.2M | 0 |
Holding changes this quarter
Broadfin Capital, LLC's most significant position changes for 2019-12-31: New buy: Ishares Russell 2000 ETF (IWM); New buy: Staar Surgical Co (STAA); Sold out: ; Sold out: Mirati Therapeutics Inc (MRTXEUR); Sold out: Nevro CORP (NVROEUR).
| # | Ticker | Issuer | Weight Change | Shares Change | Action |
|---|---|---|---|---|---|
| 1 | ALKS | Alkermes plc | +2.5% | +395.38% | Add |
| 2 | ✓ | Quotient LTD | +1.7% | +225.09% | Add |
| 3 | NSTGEUR | Nanostring Technologies Inc | +1.6% | +401.44% | Add |
| 4 | VRAYQ | Viewray Inc | +1.5% | +85.73% | Add |
| 5 | DERMEUR | Dermira Inc | +1.1% | +54.65% | Add |
| 6 | LJPC | La Jolla Pharmaceutical Co | +1.1% | +1378.23% | Add |
| 7 | VCEL | Vericel CORP | +0.8% | +161.63% | Add |
| 8 | PGNXUSD | Progenics Pharmaceuticals | +0.6% | +93.25% | Add |
| 9 | BDSIUSD | Biodelivery Sciences Intl | +0.3% | — | Unchanged |
| 10 | ✓ | Sol Gel Technologies | +0.3% | -7.36% | Trim |
| 11 | ACRS | Aclaris Therapeutics Inc | +0.2% | +16.55% | Add |
| 12 | XCUR | Exicure Inc | 0% | +17.13% | Add |
| 13 | ZGNXEUR | Zogenix Inc | -0.1% | -2.25% | Trim |
| 14 | CLDNEUR | Eiger Biopharmaceuticals Inc | -0.1% | -9.58% | Trim |
| 15 | RAH | Societal Cdmo Inc | -0.3% | -27.00% | Trim |
| 16 | XENTEUR | Intersect Ent Inc | -0.4% | -19.01% | Trim |
| 17 | HRTX | Heron Therapeutics Inc | -0.4% | -54.74% | Trim |
| 18 | BHVN | Biohaven Ltd. | -0.6% | -2.25% | Trim |
| 19 | SSKNEUR | Strata Skin Sciences Inc | -0.7% | -36.94% | Trim |
| 20 | SIENUSD | Sientra Inc | -0.9% | -35.71% | Trim |
| 21 | ✓ | Avadel Pharmaceuticals PLC ADR | -1.4% | -66.83% | Trim |
| 22 | ✓ | Amarin Corp PLC | -1.4% | -33.13% | Trim |
| 23 | IOVA | Iovance Biotherapeutics Inc | -1.8% | -52.85% | Trim |
| 24 | SPY | Ss Spdr S&p 500 ETF Trust-us | -5.2% | — | Unchanged |
| 25 | XBI | Ss Spdr S&p Biotech ETF | -5.4% | -50.00% | Trim |
| 26 | IWM | Ishares Russell 2000 ETF | — | NEW | New buy |
| 27 | STAA | Staar Surgical Co | — | NEW | New buy |
| 28 | ✓ | — | EXIT | Sold out | |
| 29 | MRTXEUR | Mirati Therapeutics Inc | — | EXIT | Sold out |
| 30 | NVROEUR | Nevro CORP | — | EXIT | Sold out |
| 31 | ✓ | Wright Medical Group NV | — | EXIT | Sold out |
| 32 | LNTH | Lantheus Holdings Inc | — | NEW | New buy |
| 33 | ✓ | — | NEW | New buy | |
| 34 | ABBV | Abbvie Inc | — | EXIT | Sold out |
| 35 | ALXN | Alexion Pharmaceuticals Inc | — | NEW | New buy |
| 36 | RLMD | Relmada Therapeutics Inc | — | NEW | New buy |
| 37 | GBTUSD | Global Blood Therapeutics In | — | EXIT | Sold out |
| 38 | AUPH | Aurinia Pharmaceuticals Inc | — | NEW | New buy |
| 39 | RTRXEUR | Retrophin Inc | — | EXIT | Sold out |
| 40 | ✓ | Strongbridge Biopharma PLC | — | EXIT | Sold out |
| 41 | XGN | Exagen Inc | — | EXIT | Sold out |
| 42 | ✓ | Luminex CORP | — | NEW | New buy |
| 43 | CPRX | Catalyst Pharmaceuticals Inc | — | EXIT | Sold out |
| 44 | ATRSEUR | Antares Pharma Inc | — | EXIT | Sold out |
| 45 | SIBN | Si-bone Inc | — | EXIT | Sold out |
| 46 | ANAB | Anaptysbio Inc | — | NEW | New buy |
| 47 | GWPH | Gw Pharmaceuticals LTD | — | EXIT | Sold out |
| 48 | ✓ | Mylan N V | — | NEW | New buy |
| 49 | ADMA | Adma Biologics Inc | — | EXIT | Sold out |
| 50 | ✓ | Scynexis Inc Com New | — | NEW | New buy |
Filing History
FAQ
What is Broadfin Capital, LLC and what type of investor is it?
Broadfin Capital, LLC is an investment manager that files SEC Form 13F quarterly, disclosing its U.S. public equity holdings to regulators. As of the most recent reporting period (2019-12-31), the firm manages a tracked equity portfolio valued at approximately $746.8M, spread across 40 disclosed positions.
What are Broadfin Capital, LLC's largest equity positions?
Based on the latest 13F filing, Broadfin Capital, LLC's top holdings by market value are:
1. Ss Spdr S&p 500 ETF Trust-us (SPY) — $141.6M (19.0%)
2. Ishares Russell 2000 ETF (IWM) — $132.5M (17.8%)
3. Biohaven Ltd. (BHVN) — $54.9M (7.4%)
4. Ss Spdr S&p Biotech ETF (XBI) — $33.3M (4.5%)
5. Biodelivery Sciences Intl (BDSIUSD) — $27.2M (3.6%)
What changes did Broadfin Capital, LLC make in its most recent portfolio filing?
In the latest reported quarter, Broadfin Capital, LLC made 48 notable position adjustments: 11 new positions were initiated, 10 existing holdings were added to, 13 positions were partially reduced, and 14 were completely exited. The largest of these moves: New buy: Ishares Russell 2000 ETF (IWM); New buy: Staar Surgical Co (STAA); Sold out: ; Sold out: Mirati Therapeutics Inc (MRTXEUR); Sold out: Nevro CORP (NVROEUR)
What sectors does Broadfin Capital, LLC focus on?
Broadfin Capital, LLC is concentrated in the following sectors based on its current disclosed equity portfolio:
• Health Care: 100.0%
Investment Profile
Broadfin Capital, LLC's portfolio is broadly diversified and fast-trading, with 100.0% of the portfolio concentrated in Health Care.
Its turnover score has fallen from 100 to 80 over the past 4 quarters — a shift toward longer holding periods.
It has added to its VRAYQ position over the past two quarters (+$15.9M, now $23.5M), while trimming IOVA over the same stretch (-$23.5M, still holding $14.8M).
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Developer Access
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REST API
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