13F-HR filed by DCF Advisers, LLC
DCF Advisers, LLC filed this 13F-HR for the quarter ended 2021-09-30, filed 2021-11-15, with 81 holding rows worth $226,537,000.
- Accession
- 0001567619-21-020197
- Filer
- CIK 1802493
- Filed
- 2021-11-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2021
A holdings report, 81 entries on the cover page, a total value of $226,537,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $226,537,000 with VALUE read as thousands by filing date, 13F file number 028-19889. The quarter's positions are built on this report. The resolved quarter.
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 67,500 | $28,967,000 | thousands by filing date | put |
| INTRA-CELLULAR THERAPIES INC | 46116X101 | COMMON STOCK | 379,000 | $14,129,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 177,500 | $12,599,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 4,350 | $11,594,000 | thousands by filing date | |
| REGENERON PHARMACEUTICALS COM | 75886F107 | Stock | 16,000 | $9,683,000 | thousands by filing date | |
| AbbVie,Inc. | 00287Y109 | COM | 77,750 | $8,387,000 | thousands by filing date | |
| ARGENX SE SPONSORED ADR | 04016X101 | ADR | 25,000 | $7,550,000 | thousands by filing date | |
| XENCOR INC | 98401F105 | COMMON STOCK | 230,000 | $7,512,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 15,500 | $6,652,000 | thousands by filing date | call |
| Bank of America Corp | 060505104 | COM | 150,000 | $6,368,000 | thousands by filing date | |
| Verizon Communications Inc | 92343V104 | COM | 100,000 | $5,401,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 175,000 | $5,157,000 | thousands by filing date | |
| TURNING PT BRANDS INC COM | 90041L105 | Stock | 101,000 | $4,823,000 | thousands by filing date | |
| INCYTE CORP COM | 45337C102 | Stock | 70,000 | $4,815,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 90,000 | $4,744,000 | thousands by filing date | |
| Citigroup Inc. | 172967424 | COM | 65,000 | $4,562,000 | thousands by filing date | |
| PROTHENA CORP PLC SHS | G72800108 | Stock | 60,000 | $4,274,000 | thousands by filing date | |
| Advanced Micro Devices,Inc. | 007903107 | COM | 40,000 | $4,116,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 22,500 | $3,695,000 | thousands by filing date | |
| Oracle Corporation | 68389X105 | COM | 40,000 | $3,485,000 | thousands by filing date | |
| iShares Gold Trust | 464285204 | COM | 100,000 | $3,341,000 | thousands by filing date | |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 17,500 | $3,304,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 65,000 | $2,796,000 | thousands by filing date | |
| ALTIMMUNE INC | 02155H200 | COM NEW | 239,200 | $2,705,000 | thousands by filing date | |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 16,000 | $2,628,000 | thousands by filing date | call |
| Eli Lilly and Company | 532457108 | COM | 11,250 | $2,599,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 259,000 | $2,523,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 11,250 | $2,392,000 | thousands by filing date | |
| SEAGEN INC | 81181C104 | COM | 13,500 | $2,292,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 14,500 | $2,147,000 | thousands by filing date | |
| LENSAR INC | 52634L108 | COM | 279,788 | $2,140,000 | thousands by filing date | |
| Bristol-Myers Squibb Company | 110122108 | COM | 32,500 | $1,923,000 | thousands by filing date | |
| FORD MTR CO COM | 345370860 | Stock | 132,500 | $1,876,000 | thousands by filing date | |
| IMPEL PHARMACEUTICALS INC | 45258K109 | CMN | 150,000 | $1,827,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 12,500 | $1,769,000 | thousands by filing date | |
| iShares Silver Trust | 46428Q109 | COM | 80,000 | $1,642,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 60,000 | $1,621,000 | thousands by filing date | |
| AERIE PHARMACEUTICALS INC | 00771V108 | COM | 136,501 | $1,556,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F791 | JUNIOR GOLD MINE | 40,000 | $1,534,000 | thousands by filing date | |
| EQUILLIUM INC | 29446K106 | COM | 185,666 | $1,266,000 | thousands by filing date | |
| VIR BIOTECHNOLOGY INC | 92764N102 | COM | 28,000 | $1,219,000 | thousands by filing date | |
| Morgan Stanley | 617446448 | COM | 12,500 | $1,216,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 7,500 | $1,110,000 | thousands by filing date | call |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 83,000 | $1,088,000 | thousands by filing date | |
| MARVELL TECHNOLOGY INC | 573874104 | COM | 17,500 | $1,055,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 7,500 | $1,049,000 | thousands by filing date | put |
| Amazon.com, Inc | 023135106 | COM | 300 | $986,000 | thousands by filing date | call |
| Qualcomm Incorporated | 747525103 | COM | 7,500 | $967,000 | thousands by filing date | |
| PAYSAFE LIMITED | G6964L107 | ORD | 110,000 | $853,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 150,000 | $818,000 | thousands by filing date | |
| AMARIN CORP PLC | 023111206 | SPONS ADR NEW | 160,000 | $816,000 | thousands by filing date | |
| GLOBAL X FDS | 37954Y855 | LITHIUM BTRY ETF | 9,500 | $779,000 | thousands by filing date | |
| ASTRAZENECA PLC SPONSORED ADR | 046353108 | ADR | 12,745 | $765,000 | thousands by filing date | |
| BECTON DICKINSON & CO | 075887109 | COM | 3,000 | $737,000 | thousands by filing date | |
| ILLINOIS TOOL WKS INC | 452308109 | COM | 3,500 | $723,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 2,500 | $705,000 | thousands by filing date | |
| ADAMAS PHARMACEUTICALS INC | 00548A106 | COM | 140,000 | $687,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 3,500 | $686,000 | thousands by filing date | |
| DISCOVERY INC | 25470F104 | COM SER A | 25,000 | $635,000 | thousands by filing date | |
| Eli Lilly and Company | 532457108 | COM | 2,500 | $578,000 | thousands by filing date | call |
| BIOGEN INC COM | 09062X103 | Stock | 2,000 | $566,000 | thousands by filing date | |
| NEKTAR THERAPEUTICS | 640268108 | COM | 31,300 | $562,000 | thousands by filing date | |
| PROSHARES TR | 74347B201 | PSHS ULTSH 20YRS | 30,000 | $551,000 | thousands by filing date | |
| PARAMOUNT GLOBAL | 92556H206 | CLASS B COM | 12,500 | $494,000 | thousands by filing date | |
| OVID THERAPEUTICS INC | 690469101 | COMMON STOCK | 141,701 | $476,000 | thousands by filing date | |
| BOX INC CL A | 10316T104 | Stock | 18,500 | $438,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 5,000 | $355,000 | thousands by filing date | call |
| INCYTE CORP COM | 45337C102 | Stock | 5,000 | $344,000 | thousands by filing date | call |
| APTIV PLC | G6095L109 | SHS | 2,250 | $335,000 | thousands by filing date | |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 10,000 | $325,000 | thousands by filing date | |
| ARENA PHARMACEUTICALS INC | 040047607 | COM NEW | 5,000 | $298,000 | thousands by filing date | |
| AIR T INC | 009207101 | COM | 9,671 | $277,000 | thousands by filing date | |
| APTINYX INC | 03836N103 | COM | 114,000 | $267,000 | thousands by filing date | |
| WALGREENS BOOTS ALLIANCE INC | 931427108 | COM | 5,000 | $235,000 | thousands by filing date | |
| LINEAGE CELL THERAPEUTICS IN | 53566P109 | COMMON STOCK | 87,000 | $219,000 | thousands by filing date | |
| THE BRAND HOUSE COLLECTIVE I | 497498105 | COM | 11,000 | $211,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 21,500 | $206,000 | thousands by filing date | |
| MATINAS BIOPHARMA HLDGS INC | 576810105 | COM | 154,500 | $201,000 | thousands by filing date | |
| QUOTIENT LTD | G73268107 | SHS | 83,937 | $196,000 | thousands by filing date | |
| VELO3D INC | 92259N112 | *W EXP 09/29/202 | 42,000 | $72,000 | thousands by filing date | |
| ONCOCYTE CORP | 68235C107 | COM | 12,149 | $43,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001567619-21-020197 | this filing | 2021-11-15 | acceptance time not in the bulk data set |