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Livermore
Livermore
ZHEN

Caption Management, LLC

SEC CIK
0001706766
Latest filing
Aug 14, 2026

Holdings in Q4 2022

Holdings as of Dec 31, 2022, filed Feb 14, 2023. Long positions only; changes compare share counts with Q3 2022.

Institution overview
Positions
414
−92 vs. Q3 2022
Portfolio value
$593.3M
+$24.6M (+4.3%) vs. Q3 2022
Filed
Feb 14, 2023
SEC
Holdings of Caption Management, LLC in Q4 2022
SecurityClassSharesValue% of portfolioShare changeActionHistory
EXASExact Sciences CorpCOM164,595$8.15M1.4%+14,395+9.6%AddedHistory
EVAEnviva, LLCCOM157,514$8.34M1.4%+147,797+1,521.0%AddedHistory
AAAlcoa CorpStock185,787$8.45M1.4%+119,687+181.1%AddedHistory
RXDXPrometheus Biosciences, Inc.COM81,209$8.93M1.5%+81,209NewHistory
APAAPA CorpStock242,900$11.3M1.9%+167,900+223.9%AddedHistory
RRCRange Resources CorpCOM493,749$12.4M2.1%−94,451−16.1%ReducedHistory
EQTEQT CorpStock428,400$14.5M2.4%−299,400−41.1%ReducedHistory
State Street SPDR S&P Biotech ETF78464A870ETF175,450$14.6M2.5%+167,883+2,218.6%Added–
ONCBeOne Medicines Ltd.ADR68,500$15.1M2.5%+40,500+144.6%AddedHistory
SABRSabre CorpCOM2,469,700$15.3M2.6%+297,000+13.7%AddedHistory
BMYBristol Myers Squibb CoStock225,850$16.2M2.7%+225,850NewHistory
TECKTeck Resources LtdCL B454,200$17.2M2.9%+68,900+17.9%AddedHistory
ARAntero Resources CorpCOM565,079$17.5M3.0%−67,717−10.7%ReducedHistory
PMTPennyMac Mortgage Investment TrustCOM1,448,050$17.9M3.0%+1,448,050NewHistory

Options (615)

Puts and calls in the same filing. Amounts are the market value of the underlying shares, which is what 13F reports.

The largest 100 of 615 by value.

Option positions of Caption Management, LLC in Q4 2022
SecurityClassPutsCalls
HZNPHorizon Therapeutics Public Ltd CoSHS$127.6M$6.26M
MSFTMicrosoft CorpStock$131.9M–
BIIBBiogen Inc.COM$48.3M$57.3M
State Street SPDR S&P Biotech ETF78464A870ETF$38.2M$66.8M
Kraneshares Trust500767306CSI CHI INTERNET$19.4M$82.7M
PANWPalo Alto Networks IncStock$84.0M$11.9M
CHTRCharter Communications, Inc.CL A$45.5M$43.3M
OXYOccidental Petroleum CorpStock$45.9M$40.5M
CATCaterpillar IncStock$86.2M–
ATVIActivision Blizzard, Inc.COM$16.9M$66.7M
DVNDevon Energy CorpStock$80.3M$3.00M
XOMExxonMobil Holdings CorpCOM$27.6M$54.5M
NOCNorthrop Grumman CorpStock–$80.5M
SRPTSarepta Therapeutics, Inc.COM$40.1M$38.7M
BMYBristol Myers Squibb CoStock$39.3M$39.1M
State Street Industrial Select Sector SPDR ETF81369Y704ETF$67.2M$10.8M
RXDXPrometheus Biosciences, Inc.COM$60.8M$16.5M
RUNSunrun Inc.COM$49.3M$27.5M
LMTLockheed Martin CorpStock$35.3M$35.3M
CZRCaesars Entertainment, Inc.COM$5.54M$64.1M
IPInternational Paper CoCOM$30.5M$37.3M
DXCMDexcom IncCOM$29.8M$33.2M
MCKMcKesson CorpStock$23.4M$38.1M
AEMAgnico Eagle Mines LtdStock$27.0M$34.2M
HUBSHubSpot IncCOM$17.7M$41.1M
VICIVici Properties Inc.COM$23.3M$31.3M
PINSPinterest, Inc.CL A$15.3M$39.1M
FSLRFirst Solar, Inc.Stock$21.6M$30.1M
CVXChevron CorpStock–$46.0M
MCHPMicrochip Technology IncStock$17.2M$25.6M
ARAntero Resources CorpCOM$34.1M$7.75M
UNPUnion Pacific CorpStock$20.7M$20.7M
UPSUnited Parcel Service IncStock$33.0M$6.95M
TEVATeva Pharmaceutical Industries LtdSPONSORED ADS$18.0M$21.5M
MDGLMadrigal Pharmaceuticals, Inc.COM$24.8M$14.0M
FIVEFive Below, IncCOM$24.4M$14.4M
INSPInspire Medical Systems, Inc.COM$19.3M$19.3M
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR–$37.5M
SIGSignet Jewelers LtdSHS$22.4M$13.8M
MMacy's, Inc.COM$14.2M$21.7M
SABRSabre CorpCOM$16.0M$18.6M
XYZBlock, Inc.CL A$12.6M$21.1M
DISWalt Disney CoStock$12.8M$20.6M
EXASExact Sciences CorpCOM$20.6M$12.0M
WMTWalmart Inc.Stock$21.3M$7.80M
WMGWarner Music Group Corp.COM CL A–$28.7M
CROXCrocs, Inc.COM$15.3M$12.9M
SPDR Series Trust78464A714ST STR SP RETAIL$27.9M–
NEENextera Energy IncStock$19.6M$8.15M
AALAmerican Airlines Group Inc.Stock$26.1M–
JNJJohnson & JohnsonStock$17.7M$7.74M
WYNNWynn Resorts LtdCOM$24.9M–
QSRRestaurant Brands International Inc.COM–$24.9M
AZNAstraZeneca PLCSPONSORED ADR$19.7M$4.53M
PIImpinj IncCOM$9.62M$14.1M
FDXFedEx CorpStock$5.02M$18.2M
BMRNBiomarin Pharmaceutical IncCOM$18.4M$4.35M
EQTEQT CorpStock$18.5M$4.23M
ASNDAscendis Pharma A/SSPONSORED ADR$3.05M$19.4M
RVNCRevance Therapeutics, Inc.COM$6.29M$15.6M
BBWIBath & Body Works, Inc.COM$2.95M$18.6M
LVSLas Vegas Sands CorpCOM$17.6M$3.85M
iShares Russell 1000 Growth ETF464287614ETF$21.4M–
EVAEnviva, LLCCOM$14.6M$6.62M
LNGCheniere Energy, Inc.COM NEW$10.2M$10.5M
MRKMerck & Co., Inc.Stock$20.0M–
IRMIron Mountain IncCOM$12.3M$7.48M
PMTPennyMac Mortgage Investment TrustCOM$18.4M$1.23M
MROMarathon Oil CorpCOM$11.8M$7.67M
AMTAmerican Tower CorpREIT–$18.7M
VSTVistra Corp.Stock$11.5M$6.96M
FCXFreeport-McMoran IncStock$3.80M$14.6M
SUSuncor Energy IncStock$4.44M$13.6M
TTDTrade Desk, Inc.Stock$10.6M$7.40M
EFXEquifax IncCOM$17.8M–
ANFAbercrombie & Fitch CoCL A$9.97M$7.47M
RHRHCOM–$17.4M
TECKTeck Resources LtdCL B$17.2M–
BKIBlack Knight, Inc.COM–$17.0M
NVCRNovoCure LtdORD SHS$12.6M$4.14M
KYMRKymera Therapeutics, Inc.COM$5.45M$11.1M
TGTXTG Therapeutics, Inc.COM$473.2K$16.0M
DISHDISH Network CORPCL A$11.5M$4.87M
STKLSunOpta Inc.COM$7.11M$9.18M
VEEVVeeva Systems IncStock$16.1M–
SLBSLB LimitedStock$5.03M$10.8M
METAMeta Platforms, Inc.Stock–$15.8M
TTWOTake Two Interactive Software IncCOM–$15.6M
DGXQuest Diagnostics IncCOM–$15.6M
SGISomnigroup International Inc.COM$3.53M$12.0M
ILMNIllumina, Inc.COM$6.67M$8.84M
RRCRange Resources CorpCOM$15.1M–
MRTXMirati Therapeutics, Inc.COM$9.23M$5.80M
WALWestern Alliance BancorporationCOM$12.2M$2.80M
VanEck Semiconductor ETF92189F676ETF$9.64M$5.07M
LILi Auto Inc.SPONSORED ADS$6.93M$7.75M
NCLHNorwegian Cruise Line Holdings Ltd.SHS$2.21M$12.4M
SPLKSplunk IncCOM–$14.5M
SMARSmartsheet IncCOM CL A–$14.3M
Turquoise Hill Res Ltd900435207COM$14.3M–

Sold out since Q3 2022 (243)

Positions held at the end of Q3 2022 that are gone from this filing.

The largest 100 of 243 by value last quarter.

Positions of Caption Management, LLC sold out since Q3 2022
SecurityClassShares in Q3 2022Value in Q3 2022% of portfolio in Q3 2022History
PBRPetrobras - Petroleo Brasileiro SASPONSORED ADR3,639,000$44.9M7.9%History
UANCVR Partners, LPCOM227,388$26.0M4.6%History
ZMZoom Communications, Inc.Stock165,000$12.1M2.1%History
PINGPing Identity Holding Corp.COM218,300$6.13M1.1%History
CALMCal-Maine Foods IncCOM NEW101,500$5.64M1.0%History
RRyder System IncCOM70,330$5.31M0.9%History
ONEM1Life Healthcare IncCOM284,100$4.87M0.9%History
HZNPHorizon Therapeutics Public Ltd CoSHS61,380$3.80M0.7%History
AEMAgnico Eagle Mines LtdStock88,020$3.72M0.7%History
DBAInvesco DB Agriculture FundAGRICULTURE FD185,300$3.71M0.7%History
SBLKStar Bulk Carriers Corp.SHS PAR207,769$3.63M0.6%History
SNYSanofiSPONSORED ADR87,500$3.33M0.6%History
ARK Next Generation Technology ETF00214Q401ETF70,000$3.19M0.6%–
ASHAshland Inc.COM32,000$3.04M0.5%History
State Street Consumer Discretionary Select Sector SPDR ETF81369Y407ETF20,900$2.98M0.5%–
CUTRCutera IncCOM62,230$2.84M0.5%History
ARCHArch Resources, Inc.CL A23,900$2.83M0.5%History
TERTeradyne, IncStock37,250$2.80M0.5%History
GLDSPDR Gold TrustETF17,000$2.63M0.5%History
LYBLyondellBasell Industries N.V.SHS - A -34,000$2.56M0.5%History
ASNDAscendis Pharma A/SSPONSORED ADR24,472$2.53M0.4%History
TGTXTG Therapeutics, Inc.COM425,000$2.52M0.4%History
NKENIKE, Inc.Stock30,175$2.51M0.4%History
POOLPool CorpCOM7,500$2.39M0.4%History
MATXMatson, Inc.COM33,430$2.06M0.4%History
ENTGEntegris IncCOM23,100$1.92M0.3%History
VZVerizon Communications IncStock50,000$1.90M0.3%History
CLXClorox CoStock13,000$1.67M0.3%History
XYZBlock, Inc.CL A30,280$1.67M0.3%History
TRGPTarga Resources Corp.COM27,400$1.65M0.3%History
STAAStaar Surgical CoCOM PAR $0.0123,374$1.65M0.3%History
Textainer Group Holdings LtdG8766E109SHS57,671$1.55M0.3%–
SDSandridge Energy IncCOM NEW92,530$1.51M0.3%History
ARWRArrowhead Pharmaceuticals, Inc.COM45,000$1.49M0.3%History
XPOFXponential Fitness, Inc.COM CL A80,726$1.47M0.3%History
INTCIntel CorpStock57,000$1.47M0.3%History
OWLBlue Owl Capital Inc.COM CL A158,850$1.47M0.3%History
ARCBArcbest CorpCOM20,000$1.45M0.3%History
EOGEOG Resources IncStock12,600$1.41M0.2%History
RETAReata Pharmaceuticals IncCL A56,010$1.41M0.2%History
NTRANatera, Inc.COM29,900$1.31M0.2%History
GBTGlobal Blood Therapeutics, Inc.COM18,900$1.29M0.2%History
NEOGNeogen CorpCOM90,523$1.27M0.2%History
ICPTIntercept Pharmaceuticals, Inc.COM86,859$1.21M0.2%History
AMLXAmylyx Pharmaceuticals, Inc.COM42,947$1.21M0.2%History
HTHTH World Group LtdSPONSORED ADS36,000$1.21M0.2%History
KOCoca Cola CoStock21,425$1.20M0.2%History
DBCInvesco DB Commodity Index Tracking FundUNIT48,698$1.16M0.2%History
PENNPENN Entertainment, Inc.COM42,000$1.16M0.2%History
PWRQuanta Services, Inc.COM9,000$1.15M0.2%History
MNDYmonday.com Ltd.SHS10,000$1.13M0.2%History
UNGUnited States Natural Gas Fund, LPUNIT PAR48,000$1.12M0.2%History
WBSWebster Financial CorpCOM24,600$1.11M0.2%History
WSCWillScot Holdings CorpCOM CL A27,560$1.11M0.2%History
INCYIncyte CorpCOM16,500$1.10M0.2%History
Signature BK New York N Y82669G104COM7,000$1.06M0.2%–
ZENZendesk, Inc.COM13,900$1.06M0.2%History
UTHRUnited Therapeutics CorpCOM5,000$1.05M0.2%History
PRGPROG Holdings, Inc.Stock69,048$1.03M0.2%History
ACIAlbertsons Companies, Inc.COMMON STOCK39,800$989.0K0.2%History
COWNCowen Inc.CL A NEW24,900$962.0K0.2%History
CPRICapri Holdings LtdSHS25,000$961.0K0.2%History
TATravelCenters of America Inc.COM NEW17,500$944.0K0.2%History
ZIMZIM Integrated Shipping Services Ltd.SHS38,000$893.0K0.2%History
LOVELovesac CoCOM42,000$856.0K0.2%History
DOORMasonite International CorpCOM11,942$851.0K0.1%History
MSCIMSCI Inc.Stock2,000$844.0K0.1%History
TJXTJX Companies IncStock13,600$844.0K0.1%History
NGMNGM Biopharmaceuticals IncCOM61,970$810.0K0.1%History
TMUST-Mobile US, Inc.Stock6,000$805.0K0.1%History
MSMorgan StanleyStock10,000$790.0K0.1%History
DODiamond Offshore Drilling, Inc.COM117,981$782.0K0.1%History
DLTRDollar Tree, Inc.COM5,691$774.0K0.1%History
BXPBXP, Inc.COM10,100$758.0K0.1%History
Flagstar Bank, National Association649445103COM88,900$758.0K0.1%–
MURMurphy Oil CorpCOM21,400$753.0K0.1%History
KROSKeros Therapeutics, Inc.COM20,000$753.0K0.1%History
GTNGray Media, IncCOM50,000$716.0K0.1%History
AZPNAspen Technology, Inc.COM3,000$713.0K0.1%History
SPDR Index Shs FDS78463X202ST STR EU 50 ETF23,000$708.0K0.1%–
LWLamb Weston Holdings, Inc.Stock9,000$695.0K0.1%History
DARDarling Ingredients Inc.COM10,000$662.0K0.1%History
SGENSeagen Inc.COM4,700$643.0K0.1%History
ASANAsana, Inc.CL A27,000$601.0K0.1%History
UPBDUpbound Group, Inc.COM34,102$597.0K0.1%History
GNRCGenerac Holdings Inc.Stock3,200$570.0K0.1%History
SUSuncor Energy IncStock20,000$564.0K0.1%History
IRTCiRhythm Holdings, Inc.COM4,500$563.0K0.1%History
RVLVRevolve Group, Inc.CL A26,000$563.0K0.1%History
RCELAVITA Medical, Inc.COM106,959$563.0K0.1%History
BZHBeazer Homes USA IncCOM NEW58,101$562.0K0.1%History
CWENClearway Energy, Inc.CL C17,500$557.0K0.1%History
UNFIUnited Natural Foods IncCOM16,000$551.0K0.1%History
STSASatsuma Pharmaceuticals, Inc.COM90,000$539.0K0.1%History
SHLSShoals Technologies Group, Inc.CL A24,307$524.0K0.1%History
PROPROS Holdings, Inc.COM21,100$521.0K0.1%History
AWKAmerican Water Works Company, Inc.Stock4,000$520.0K0.1%History
MOAltria Group, Inc.Stock12,681$512.0K0.1%History
INSTInstructure Holdings, Inc.COM22,330$498.0K0.1%History
BSXBoston Scientific CorpStock12,500$485.0K0.1%History