NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

HTTP://WWW.NQCAPITAL.COM RALEIGH, NC Investment Advisor Hedge Fund How do I update this listing?

Novaquest Capital Management is based out of Raleigh. Novaquest Capital Management is a large advisory firm with 16 clients and discretionary assets under management (AUM) of $1,890,894,000 (Form ADV from 2018-03-29). Their last reported 13F filing for Q4 2018 included $88,390,000 in managed 13F securities and a top 10 holdings concentration of 100.0%. Novaquest Capital Management's largest holding is Myovant Sciences Ltd with shares held of 3,474,645. Whalewisdom has at least 5 13F filings

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12/31/2018

Top Sells

  • Name% Change

12/31/2018

13F Sector Allocation Over Time

12/31/2018

13F Activity

  • Market Value $88.39 Million
  • Prior Market Value $70.278 Million
  • New Purchases0 stocks
  • Additional Purchases1 stock
  • Sold out of0 stocks
  • Reduced holdings in0 stocks
  • Top 10 Holdings % 100.00 %
  • Turnover % [1]:%
  • Turnover Alt % [2]: 42.45 %
  • Time Held Top20:4.00 quarters
  • Time Held Top10:4.00 quarters
  • Time Held All:4.00 quarters

[1]: Turnover is calculated by taking the # of new holdings (initial purchases) + the # of positions sold out of (not just reduced) divided by the total # of holdings for the quarter.

[2]: Alt Turnover is calculated by taking either the total MV of new purchases or the MV of securities sold, whichever is less, divided by the total MV of the fund.

Portfolio Performance

Top 20 equal-weighted holdings. Performance numbers calculated through 2019-02-14

Performance for Q4 2018: 1.77%
Performance Last 4 Quarters: -3.21%
Performance Metrics
Stats are not available for the latest quarter

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*Shares are split adjusted
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13F Filings Available:
  • 2018-12-31 - 13F-HR (Subscription required)
  • 2018-09-30 - 13F-HR (Subscription required)
  • 2018-06-30 - 13F-HR (Subscription required)
  • 2018-03-31 - 13F-HR (Subscription required)
  • 2017-12-31 - 13F-HR (Subscription required)
This lets you look at individual sub managers or subsidiaries within the 13F filing.
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Number of shares is NOT split-adjusted

View Last Form Adv Compilation Report on Record

NOVAQUEST CAPITAL MANAGEMENT, L.L.C.
Classified as Hedge Fund
4208 SIX FORKS ROAD SUITE 920
RALEIGH NC    27609-5769
Country: United States

Business Phone: 919-459-8620
Fax: 919-516-0580
Professional Investment Advisor Data
SEC Registration as : Large Advisory Firm
Form of Organization: Limited Liability Company
Organized in: DE
Number of employees: 21
Other Business Activities:
Advisor Fees/Compensation: Percentage of assets under management,Performance-based fees
Amount of client funds and securities: 0
Total Number of Clients: 16
Amount of client funds and securities by related persons: 1,890,890,000
Total Number of clients from related persons: 16
Disclosures:
Data above was derived from SEC filings.

Active Schedule 13D and 13G events

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Form 4 - Non-derivative Insider Transactions Since 12/31/2018

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NOVAQUEST CAPITAL MANAGEMENT, L.L.C.

ownership team - last updated 2017-09-26
Name Title Start Date Direct/Indirect % Ownership
Ikegami, Manabu MANAGEMENT COMMITTEE MEMBER 06/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER direct 2017-06-01
EDWARDS, JEFFREY, SCOTT INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Makino, Daisuke INVESTMENT COMMITTEE MEMBER 03/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2017-03-01
Petrelli, Gaetano INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Sorensen, Michael, David INVESTMENT COMMITTEE MEMBER 09/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2016-09-01
Davenport, Roger, Lavern INVESTMENT COMMITTEE MEMBER 02/01/2017 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2017-02-01
DODGE, GREGORY, ALAN CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL 01/01/2016 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER / GENERAL COUNSEL direct 2016-01-01
BROWN, ERNEST, GERALD MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
HESTER, ROBERT, WAYNE CHIEF FINANCIAL OFFICER, VICE PRESIDENT 11/01/2010 Direct less than 5%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF COMPLIANCE OFFICER, CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. CHIEF FINANCIAL OFFICER, VICE PRESIDENT direct 2010-11-01
MBK PHARMAPARTNERING, INC. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
PHARMABIO DEVELOPMENT INC. MEMBER 11/01/2010 Direct 25 - 50%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
GILLINGS, DENNIS, B. MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
TUNNICLIFFE, JONATHAN, EDWARD MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
ROBB, WILLIAM, OLIVER MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. INVESTMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
BRADLEY, JOHN, LAYTON MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 5 - 10%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, CHIEF OPERATIONS OFFICER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
WOOTEN, RONALD, JOHN MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER 11/01/2010 Direct 10 - 25%
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER, MANAGEMENT COMMITTEE MEMBER, INVESTMENT COMMITTEE MEMBER direct 2010-11-01
MITSUI & CO., LTD. SHAREHOLDER MBK PHARMAPARTNERING, INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
MITSUI & CO. ALTERNATIVE INVESTMENT CORPORATION 100% OWNER direct 2005-01-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01
GILLINGS, DENNIS, B. SHAREHOLDER PHARMABIO DEVELOPMENT INC. 11/01/2010 Indirect 75% or more
Fund Name Position direct/indirect start date end date
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. MEMBER direct 2010-11-01
NOVAQUEST CAPITAL MANAGEMENT, L.L.C. SHAREHOLDER indirect 2010-11-01

Private Funds

Name Country Fund Identification Number Fund Type Gross Asset Value Minimum Investment Other
NOVAQUEST PRIVATE EQUITY FUND I, L.P. Cayman Islands 805-6354131046 Private Equity Fund 60,481,000 5,000,000
NOVAQUEST CO-INVESTMENT FUND V, L.P. United States 805-5972686678 Private Equity Fund 209,664,000 10,000,000 Master Fund
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST-A), L.P. United States 805-9705580512 Private Equity Fund 39,696,000 20,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV, L.P. Cayman Islands 805-7328857121 Private Equity Fund 671,073,000 20,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (CO-INVEST), L.P. Cayman Islands 805-3068515556 Private Equity Fund 75,231,000 20,000,000
NOVAQUEST CO-INVESTMENT FUND III, L.P. United States 805-8104228532 Private Equity Fund 139,445,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND IV (PARALLEL), L.P. Cayman Islands 805-4316675863 Private Equity Fund 64,777,000 20,000,000
NOVAQUEST CO-INVESTMENT FUND I, L.P. United States 805-6294138099 Private Equity Fund 109,714,000 10,000,000
NOVAQUEST PHARMA OPPORTUNITIES FUND III, L.P. Cayman Islands 805-9764753148 Private Equity Fund 473,721,000 10,000,000
NOVAQUEST CO-INVESTMENT FUND II, L.P. United States 805-5447243072 Private Equity Fund 69,725,000 10,000,000 Master Fund
NOVAQUEST CO-INVESTMENT FUND IV, L.P. United States 805-4262080428 Private Equity Fund 131,918,000 10,000,000

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