Form 13F-HR APOGEM CAPITAL LLC For: Mar 31

May 16, 2022 3:03 PM EDT

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The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F COVER PAGE

OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8

Report for the Calendar Year or Quarter Ended: 03-31-2022
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: APOGEM CAPITAL LLC
Address: 299 Park Avenue
37th Floor
New York , NY10171
Form 13F File Number: 028-20894

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: Kevin Bopp
Title: CCO
Phone: 800-225-5695
Signature, Place, and Date of Signing:
/s/ Kevin Bopp New York , NY 05-16-2022
[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 reported are 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: 6
Form 13F Information Table Entry Total: 188
Form 13F Information Table Value Total: 146,305
(thousands)
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
Form 13F File Number Name
028-17931 Greenhouse Funds LLLP
028-18450 Prosight Management, LP
028-17274 Steamboat Capital Partners, LLC
028-16139 Whetstone Capital Advisors, LLC
028-19334 PA Capital LLC
028-22134 Medina Singh Partners, LLC

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.]
No. Form 13F File Number Name
1 028-17931 Greenhouse Funds LLLP
2 028-18450 Prosight Management, LP
3 028-17274 Steamboat Capital Partners, LLC
4 028-16139 Whetstone Capital Advisors, LLC
5 028-19334 PA Capital LLC
6 028-22134 Medina Singh Partners, LLC

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number: 3235-0006
Expires: July 31, 2015
Estimated average burden
hours per response: 23.8

COLUMN 1 COLUMN 2 COLUMN 3 COLUMN 4 COLUMN 5 COLUMN 6 COLUMN 7 COLUMN 8
VALUE SHRS OR SH/ PUT/ INVESTMENT OTHER VOTING AUTHORITY
NAME OF ISSUER TITLE OF CLASS CUSIP (x$1000) PRN AMT PRN CALL DISCRETION MANAGER SOLE SHARED NONE
ACADEMY SPORTS & OUTDOORS IN COM 00402L107 620 15,727 SH DFND 3 0 0 15,727
ACCOLADE INC COM 00437E102 161 9,145 SH DFND 2 0 0 9,145
ACCOLADE INC COM 00437E102 683 38,883 SH DFND 5 0 0 38,883
AEROJET ROCKETDYNE HLDGS INC COM 007800105 630 16,000 SH DFND 0 0 16,000
AGILON HEALTH INC COM 00857U107 261 10,302 SH DFND 2 0 0 10,302
AKOUSTIS TECHNOLOGIES INC COM 00973N102 2,042 314,198 SH DFND 5 0 0 314,198
ALBIREO PHARMA INC COM 01345P106 1,059 35,488 SH DFND 2 0 0 35,488
ALDEYRA THERAPEUTICS INC COM 01438T106 462 104,042 SH DFND 2 0 0 104,042
ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 1,249 11,476 SH DFND 0 0 11,476
ALIGHT INC COM CL A 01626W101 688 69,183 SH DFND 1 0 0 69,183
ALIGHT INC COM CL A 01626W101 59 5,900 SH Call DFND 1 0 0 5,900
ALNYLAM PHARMACEUTICALS INC COM 02043Q107 273 1,669 SH DFND 2 0 0 1,669
ALPHABET INC CAP STK CL A 02079K305 642 231 SH DFND 0 0 231
ALPHABET INC CAP STK CL C 02079K107 810 290 SH DFND 3 0 0 290
ALPHABET INC CAP STK CL C 02079K107 1,086 389 SH DFND 4 0 0 389
AMAZON COM INC COM 023135106 244 75 SH DFND 0 0 75
AMAZON COM INC COM 023135106 469 144 SH DFND 3 0 0 144
AMAZON COM INC COM 023135106 867 266 SH DFND 4 0 0 266
AMERICAN EAGLE OUTFITTERS IN COM 02553E106 265 15,752 SH DFND 3 0 0 15,752
AMERICAN WOODMARK CORPORATIO COM 030506109 817 16,690 SH DFND 6 0 0 16,690
AMERICAN WOODMARK CORPORATIO COM 030506109 147 3,000 SH DFND 0 0 3,000
APARTMENT INVT & MGMT CO CL A 03748R747 300 41,000 SH DFND 0 0 41,000
APOLLO GLOBAL MGMT INC COM 03769M106 508 8,193 SH DFND 3 0 0 8,193
ARCOS DORADOS HOLDINGS INC SHS CLASS -A - G0457F107 352 43,245 SH DFND 6 0 0 43,245
B. RILEY FINANCIAL INC COM 05580M108 844 12,060 SH DFND 3 0 0 12,060
BACKBLAZE INC COM CL A 05637B105 363 33,990 SH DFND 4 0 0 33,990
BENSON HILL INC COMMON STOCK 082490103 120 37,252 SH DFND 4 0 0 37,252
BETTERWARE DE MXC S A B DE C SHS NEW P1666E105 331 19,461 SH DFND 3 0 0 19,461
BILL COM HLDGS INC NOTE 12/0 090043AB6 191 120,000 PRN DFND 3 0 0 120,000
BLACKBAUD INC COM 09227Q100 1,063 17,758 SH DFND 1 0 0 17,758
BLACKSTONE INC COM 09260D107 497 3,915 SH DFND 3 0 0 3,915
BLOCK INC NOTE 0.250%11/0 852234AK9 152 167,000 PRN DFND 3 0 0 167,000
BLUELINX HLDGS INC COM NEW 09624H208 4,347 60,471 SH DFND 5 0 0 60,471
BOSTON SCIENTIFIC CORP COM 101137107 331 7,469 SH DFND 0 0 7,469
BP PLC SPONSORED ADR 055622104 724 146,802 SH DFND 0 0 146,802
BRIGHTVIEW HLDGS INC COM 10948C107 150 11,000 SH DFND 0 0 11,000
BUILDERS FIRSTSOURCE INC COM 12008R107 1,953 30,259 SH DFND 5 0 0 30,259
CADRE HLDGS INC COM 12763L105 490 19,969 SH DFND 1 0 0 19,969
CANNAE HLDGS INC COM 13765N107 682 28,510 SH DFND 6 0 0 28,510
CAZOO GROUP LTD COM G2007L105 55 19,779 SH DFND 6 0 0 19,779
CHARLES RIV LABS INTL INC COM 159864107 661 2,329 SH DFND 2 0 0 2,329
CHEFS WHSE INC COM 163086101 1,141 34,990 SH DFND 1 0 0 34,990
CLARUS CORP NEW COM 18270P109 1,698 74,551 SH DFND 1 0 0 74,551
CLOUDFLARE INC CL A COM 18915M107 1,610 13,454 SH DFND 4 0 0 13,454
COGNITION THERAPEUTICS INC COM 19243B102 49 17,667 SH DFND 2 0 0 17,667
COMPASS INC CL A 20464U100 918 116,744 SH DFND 4 0 0 116,744
CONSTELLIUM SE CL A SHS F21107101 954 52,988 SH DFND 6 0 0 52,988
CONTAINER STORE GROUP INC COM 210751103 890 108,900 SH DFND 0 0 108,900
CONVEY HEALTH SOLUTIONS HLDG COM 21258C108 367 56,125 SH DFND 2 0 0 56,125
COWEN INC CL A NEW 223622606 327 12,049 SH DFND 3 0 0 12,049
CPI CARD GROUP INC COM NEW 12634H200 233 16,056 SH DFND 3 0 0 16,056
CUE BIOPHARMA INC COM 22978P106 543 111,259 SH DFND 2 0 0 111,259
CURO GROUP HOLDINGS CORP COM 23131L107 548 41,987 SH DFND 3 0 0 41,987
DATADOG INC CL A COM 23804L103 796 5,252 SH DFND 4 0 0 5,252
DESTINATION XL GROUP INC COM 25065K104 78 16,000 SH DFND 0 0 16,000
DOMO INC COM CL B 257554105 1,477 29,208 SH DFND 4 0 0 29,208
DONALDSON INC COM 257651109 531 10,231 SH DFND 1 0 0 10,231
DONNELLEY FINL SOLUTIONS INC COM 25787G100 581 17,482 SH DFND 3 0 0 17,482
DROPBOX INC CL A 26210C104 1,365 58,721 SH DFND 1 0 0 58,721
DUOLINGO INC CL A COM 26603R106 528 5,554 SH DFND 5 0 0 5,554
DXP ENTERPRISES INC COM NEW 233377407 473 17,450 SH DFND 6 0 0 17,450
E L F BEAUTY INC COM 26856L103 499 19,300 SH DFND 0 0 19,300
ECOVYST INC COM 27923Q109 1,028 88,924 SH DFND 6 0 0 88,924
ELECTRONIC ARTS INC COM 285512109 645 5,100 SH Call DFND 1 0 0 5,100
EMCORE CORP COM NEW 290846203 244 66,000 SH DFND 0 0 66,000
ENCOMPASS HEALTH CORP COM 29261A100 209 2,943 SH DFND 2 0 0 2,943
ENDAVA PLC ADS 29260V105 630 4,739 SH DFND 0 0 4,739
EOG RES INC COM 26875P101 941 7,890 SH DFND 3 0 0 7,890
EQUITABLE HLDGS INC COM 29452E101 812 26,260 SH DFND 3 0 0 26,260
EVO PMTS INC CL A COM 26927E104 1,320 57,152 SH DFND 1 0 0 57,152
EVOLENT HEALTH INC CL A 30050B101 1,064 32,932 SH DFND 1 0 0 32,932
FARMER BROS CO COM 307675108 157 22,000 SH DFND 0 0 22,000
FERGUSON PLC NEW SHS G3421J106 818 6,000 SH DFND 0 0 6,000
FISERV INC COM 337738108 1,697 16,741 SH DFND 5 0 0 16,741
FLUOR CORP NEW COM 343412102 384 13,400 SH DFND 1 0 0 13,400
FOX CORP CL A COM 35137L105 3,571 90,516 SH DFND 5 0 0 90,516
GALAPAGOS NV SPON ADR 36315X101 1,712 27,603 SH DFND 2 0 0 27,603
GALAPAGOS NV SPON ADR 36315X101 887 14,300 SH Call DFND 2 0 0 14,300
GITLAB INC CLASS A COM 37637K108 403 7,407 SH DFND 4 0 0 7,407
GMS INC COM 36251C103 1,274 25,600 SH DFND 0 0 25,600
GOODYEAR TIRE & RUBR CO COM 382550101 1,008 70,515 SH DFND 5 0 0 70,515
GREEN DOT CORP CL A 39304D102 686 24,946 SH DFND 1 0 0 24,946
GREEN PLAINS INC COM 393222104 1,899 61,233 SH DFND 5 0 0 61,233
GREEN PLAINS INC COM 393222104 2,121 68,400 SH DFND 0 0 68,400
GREENBRIER COS INC COM 393657101 1,209 23,478 SH DFND 6 0 0 23,478
H & E EQUIPMENT SERVICES INC COM 404030108 1,015 23,322 SH DFND 6 0 0 23,322
HASHICORP INC COM CL A 418100103 332 6,145 SH DFND 4 0 0 6,145
HAVERTY FURNITURE COS INC COM 419596101 442 16,116 SH DFND 6 0 0 16,116
HAYNES INTERNATIONAL INC COM NEW 420877201 315 7,406 SH DFND 6 0 0 7,406
HOVNANIAN ENTERPRISES INC CL A NEW 442487401 669 11,323 SH DFND 3 0 0 11,323
ICICI BANK LIMITED ADR 45104G104 767 40,500 SH DFND 0 0 40,500
ICON PLC SHS G4705A100 803 3,300 SH DFND 0 0 3,300
INFINERA CORP COM 45667G103 1,315 151,631 SH DFND 1 0 0 151,631
INGERSOLL RAND INC COM 45687V106 854 16,963 SH DFND 1 0 0 16,963
INTERNATIONAL MNY EXPRESS IN COM 46005L101 231 11,200 SH DFND 0 0 11,200
INTERNATIONAL MNY EXPRESS IN COM 46005L101 1,254 60,860 SH DFND 3 0 0 60,860
KALVISTA PHARMACEUTICALS INC COM 483497103 645 43,730 SH DFND 2 0 0 43,730
KBR INC COM 48242W106 1,560 28,500 SH DFND 0 0 28,500
KEZAR LIFE SCIENCES INC COM 49372L100 366 22,021 SH DFND 2 0 0 22,021
KOHLS CORP COM 500255104 760 12,563 SH DFND 5 0 0 12,563
LITHIA MTRS INC COM 536797103 541 1,801 SH DFND 3 0 0 1,801
LIVEVOX HOLDING INC COM CL A 53838L100 157 51,852 SH DFND 4 0 0 51,852
LSI INDS INC OHIO COM 50216C108 869 144,811 SH DFND 0 0 144,811
MACYS INC COM 55616P104 2,198 90,212 SH DFND 5 0 0 90,212
MADISON SQUARE GRDN SPRT COR CL A 55825T103 717 4,000 SH DFND 1 0 0 4,000
MAGNITE INC COM 55955D100 340 25,750 SH DFND 0 0 25,750
MAXAR TECHNOLOGIES INC COM 57778K105 209 5,300 SH DFND 0 0 5,300
MEIRAGTX HLDGS PLC COM G59665102 388 28,045 SH DFND 2 0 0 28,045
META PLATFORMS INC CL A 30303M102 428 1,927 SH DFND 4 0 0 1,927
META PLATFORMS INC CL A 30303M102 749 3,367 SH DFND 3 0 0 3,367
MICROSOFT CORP COM 594918104 643 2,086 SH DFND 0 0 2,086
MICROSOFT CORP COM 594918104 754 2,446 SH DFND 3 0 0 2,446
MICROSOFT CORP COM 594918104 254 825 SH DFND 4 0 0 825
MINISO GROUP HLDG LTD SPONSORED ADS 66981J102 258 33,098 SH DFND 0 0 33,098
MONDAY COM LTD SHS M7S64H106 499 3,154 SH DFND 4 0 0 3,154
MONGODB INC CL A 60937P106 781 1,760 SH DFND 4 0 0 1,760
NATWEST GROUP PLC SPONS ADR 2 ORD 639057108 1,070 377,267 SH DFND 0 0 377,267
NEOGENOMICS INC COM NEW 64049M209 57 4,670 SH DFND 2 0 0 4,670
NEOGENOMICS INC COM NEW 64049M209 145 11,947 SH DFND 1 0 0 11,947
NEXTIER OILFIELD SOLUTIONS COM 65290C105 411 44,444 SH DFND 1 0 0 44,444
NORDSON CORP COM 655663102 664 2,925 SH DFND 1 0 0 2,925
NORTHWEST PIPE CO COM 667746101 388 15,240 SH DFND 6 0 0 15,240
NVENT ELECTRIC PLC SHS G6700G107 952 27,381 SH DFND 1 0 0 27,381
NVIDIA CORPORATION COM 67066G104 372 1,364 SH DFND 3 0 0 1,364
NVR INC COM 62944T105 536 120 SH DFND 0 0 120
OKTA INC CL A 679295105 347 2,298 SH DFND 4 0 0 2,298
ONESPAN INC COM 68287N100 365 25,246 SH DFND 0 0 25,246
OPENDOOR TECHNOLOGIES INC COM 683712103 708 81,830 SH DFND 5 0 0 81,830
OPERA LTD SPONSORED ADS 68373M107 240 40,629 SH DFND 1 0 0 40,629
ORION ENGINEERED CARBONS S A COM L72967109 1,278 80,000 SH DFND 0 0 80,000
ORION ENGINEERED CARBONS S A COM L72967109 916 57,381 SH DFND 6 0 0 57,381
ORION ENGINEERED CARBONS S A COM L72967109 2,289 143,369 SH DFND 5 0 0 143,369
OSCAR HEALTH INC CL A 687793109 174 17,462 SH DFND 2 0 0 17,462
PALANTIR TECHNOLOGIES INC CL A 69608A108 232 16,900 SH Call DFND 1 0 0 16,900
PARAMOUNT GLOBAL CLASS B COM 92556H206 378 10,000 SH DFND 0 0 10,000
PARK AEROSPACE CORP COM 70014A104 235 18,000 SH DFND 0 0 18,000
PAYPAL HLDGS INC COM 70450Y103 479 4,138 SH DFND 1 0 0 4,138
PERSHING SQUARE TONTINE HLDG COM CL A 71531R109 209 10,484 SH DFND 6 0 0 10,484
PROQR THRAPEUTICS N V SHS EURO N71542109 40 43,900 SH DFND 2 0 0 43,900
PROTHENA CORP PLC SHS G72800108 1,526 41,735 SH DFND 2 0 0 41,735
QUIDEL CORP COM 74838J101 216 1,919 SH DFND 2 0 0 1,919
RESOLUTE FST PRODS INC COM 76117W109 693 53,669 SH DFND 6 0 0 53,669
RH COM 74967X103 326 1,000 SH DFND 0 0 1,000
ROCKET PHARMACEUTICALS INC COM 77313F106 241 15,213 SH DFND 2 0 0 15,213
SCHWAB CHARLES CORP COM 808513105 2,152 25,532 SH DFND 5 0 0 25,532
SCHWEITZER-MAUDUIT INTL INC COM 808541106 480 17,461 SH DFND 6 0 0 17,461
SEA LTD SPONSORD ADS 81141R100 479 4,000 SH DFND 0 0 4,000
SHATTUCK LABS INC COM 82024L103 251 58,839 SH DFND 2 0 0 58,839
SHOPIFY INC NOTE 0.125%11/0 82509LAA5 164 173,000 SH DFND 3 0 0 173,000
SIGNATURE BK NEW YORK N Y COM 82669G104 278 947 SH DFND 3 0 0 947
SILVERBACK THERAPEUTICS INC COM 82835W108 84 23,969 SH DFND 2 0 0 23,969
SIO GENE THERAPIES INC COMMON 829399104 33 49,528 SH DFND 2 0 0 49,528
SPARTANNASH CO COM 847215100 1,161 35,197 SH DFND 5 0 0 35,197
STERLING CONSTR INC COM 859241101 201 7,500 SH DFND 0 0 7,500
TABOOLA.COM LTD ORD SHS M8744T106 298 57,779 SH DFND 4 0 0 57,779
TATTOOED CHEF INC COM CL A 87663X102 141 11,200 SH Put DFND 1 0 0 11,200
TECNOGLASS INC SHS G87264100 1,267 50,188 SH DFND 6 0 0 50,188
TELOS CORP MD COM 87969B101 341 34,222 SH DFND 4 0 0 34,222
TFI INTL INC COM 87241L109 916 8,606 SH DFND 3 0 0 8,606
THE BEAUTY HEALTH COMPANY COM CL A 88331L108 392 23,243 SH DFND 0 0 23,243
THERMON GROUP HLDGS INC COM 88362T103 194 12,000 SH DFND 0 0 12,000
TILE SHOP HLDGS INC COM 88677Q109 1,783 272,171 SH DFND 0 0 272,171
TILE SHOP HLDGS INC COM 88677Q109 5,469 835,001 SH DFND 5 0 0 835,001
TRINSEO PLC SHS G9059U107 557 11,624 SH DFND 6 0 0 11,624
TUESDAY MORNING CORP COM 89904V101 144 130,922 SH DFND 1 0 0 130,922
TUFIN SOFTWARE TECHNOLOGIE SHS M8893U102 286 32,000 SH DFND 0 0 32,000
TWILIO INC CL A 90138F102 716 4,342 SH DFND 4 0 0 4,342
UNISYS CORP COM NEW 909214306 821 38,000 SH DFND 0 0 38,000
UNITED THERAPEUTICS CORP DEL COM 91307C102 488 2,720 SH DFND 3 0 0 2,720
UNIVERSAL DISPLAY CORP COM 91347P105 220 1,318 SH DFND 1 0 0 1,318
VALMONT INDS INC COM 920253101 822 3,445 SH DFND 1 0 0 3,445
VERISK ANALYTICS INC COM 92345Y106 923 4,300 SH DFND 1 0 0 4,300
VICTORY CAP HLDGS INC COM CL A 92645B103 1,262 43,719 SH DFND 3 0 0 43,719
VIRTUS INVT PARTNERS INC COM 92828Q109 1,716 7,152 SH DFND 3 0 0 7,152
VISHAY PRECISION GROUP INC COM 92835K103 241 7,500 SH DFND 0 0 7,500
VISTA OUTDOOR INC COM 928377100 685 19,206 SH DFND 1 0 0 19,206
VIVINT SMART HOME INC COM CL A 928542109 155 22,915 SH DFND 6 0 0 22,915
VODAFONE GROUP PLC NEW SPONSORED ADR 92857W308 1,516 924,265 SH DFND 0 0 924,265
WARRIOR MET COAL INC COM 93627C101 1,025 27,619 SH DFND 6 0 0 27,619
WHEELER REAL ESTATE INVT TR PFD CNV SER D 963025606 303 21,067 SH DFND 3 0 0 21,067
WORKDAY INC CL A 98138H101 670 2,796 SH DFND 4 0 0 2,796
XOMETRY INC CLASS A COM 98423F109 258 7,013 SH DFND 1 0 0 7,013
XPERI HOLDING CORP COM 98390M103 284 16,410 SH DFND 1 0 0 16,410
XPERI HOLDING CORP COM 98390M103 36 2,100 SH Call DFND 1 0 0 2,100
ZENDESK INC COM 98936J101 545 4,532 SH DFND 0 0 4,532
ZETA GLOBAL HOLDINGS CORP CL A 98956A105 9,999 784,215 SH DFND 0 0 784,215
ZIM INTEGRATED SHIPPING SERV SHS M9T951109 612 8,416 SH DFND 3 0 0 8,416
ZYNGA INC CL A 98986T108 1,364 147,615 SH DFND 1 0 0 147,615


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