13F-HR filed by CVI Holdings, LLC
CVI Holdings, LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 43 holding rows worth $44,547,000.
- Accession
- 0001728194-19-000006
- Filer
- CIK 1728194
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 43 entries on the cover page, a total value of $44,547,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $44,547,000 with VALUE read as thousands by filing date, 13F file number 028-18767. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerHEIGHTS CAPITAL MANAGEMENT, INC028-13218
- included managerCVI Investments, Inc.028-17822
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 |
|---|---|---|---|---|---|---|
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 9,000,000 | $9,797,000 | thousands by filing date | principal |
| TIMKENSTEEL CORP | 887399AA1 | CONVERTIBLE BOND | 10,455,000 | $9,679,000 | thousands by filing date | principal |
| SESEN BIO INC | 817763105 | COM | 4,737,984 | $5,543,000 | thousands by filing date | |
| EXICURE INC | 30205M101 | COM | 1,275,398 | $3,227,000 | thousands by filing date | |
| TURNING PT THERAPEUTICS | 90041T108 | COM | 68,841 | $2,588,000 | thousands by filing date | |
| VUZIX CORP | 92921W300 | COM NEW | 667,565 | $1,522,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727UAA3 | NOTE 5.250% 2/0 | 1,500,000 | $1,497,000 | thousands by filing date | principal |
| EROS INTL PLC | G3788M114 | SHS NEW | 783,377 | $1,496,000 | thousands by filing date | |
| CORMEDIX INC COM | 21900C308 | Stock | 229,465 | $1,464,000 | thousands by filing date | |
| Pareteum Corporation | 69946T207 | COM | 955,486 | $1,233,000 | thousands by filing date | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 158,988 | $1,119,000 | thousands by filing date | |
| VASCULAR BIOGENICS LTD | M96883109 | COM | 824,113 | $1,113,000 | thousands by filing date | |
| OCUGEN INC | 67577C105 | COMMON STOCK | 368,315 | $1,061,000 | thousands by filing date | |
| CTRIP COM INTL LTD | 22943F100 | AMERICAN DEP SHS | 21,308 | $624,000 | thousands by filing date | |
| ADAMIS PHARMACEUTICALS CORP | 00547W208 | COM NEW | 883,408 | $622,000 | thousands by filing date | |
| GOLDEN MINERALS COMPANY | 381119106 | COM | 1,781,913 | $435,000 | thousands by filing date | |
| ARCTURUS THERAPEUTICS HLDGS | 03969T109 | COM | 22,081 | $227,000 | thousands by filing date | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 21,109 | $212,000 | thousands by filing date | |
| BELLICUM PHARMACEUTICALS INC | 079481107 | COM | 168,744 | $177,000 | thousands by filing date | |
| SENMIAO TECHNOLOGY LTD | 817225105 | COM | 403,612 | $150,000 | thousands by filing date | |
| FARMMI INC SHS NEW | G33277107 | Stock | 87,448 | $136,000 | thousands by filing date | |
| PLUS THERAPEUTICS INC | 72941H400 | COM | 39,110 | $134,000 | thousands by filing date | |
| DELMAR PHARMACEUTICALS INC | 247078306 | COM | 188,722 | $104,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U112 | *W EXP 04/09/202 | 240,000 | $88,000 | thousands by filing date | |
| SEELOS THERAPEUTICS INC | 81577F109 | COM | 59,257 | $54,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 199,836 | $52,000 | thousands by filing date | |
| BIONDVAX PHARMACEUTICALS LTD | 09073Q113 | *W EXP 05/15/202 | 72,800 | $45,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G128 | *W EXP 06/20/202 | 65,000 | $38,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E161 | *W EXP 05/03/202 | 136,364 | $27,000 | thousands by filing date | |
| PHIO PHARMACEUTICALS CORP | 71880W204 | COM | 93,081 | $26,000 | thousands by filing date | |
| FLEXSHOPPER INC | 33939J113 | *W EXP 09/28/202 | 50,000 | $24,000 | thousands by filing date | |
| SEANERGY MARITIME HLDGS CORP | Y73760145 | *W EXP 11/10/202 | 1,180,400 | $12,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 63,286 | $6,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J119 | *W EXP 11/19/202 | 15,000 | $4,000 | thousands by filing date | |
| ONCONOVA THERAPEUTICS INC | 68232V116 | *W EXP 07/11/202 | 132,227 | $3,000 | thousands by filing date | |
| AMERI HLDGS INC WT EXP 110823 | 02362F112 | Stock | 99,500 | $3,000 | thousands by filing date | |
| SOLIGENIX INC | 834223117 | *W EXP 11/14/202 | 16,599 | $2,000 | thousands by filing date | |
| Plus Therapeutics Inc WTS | 72941H111 | COMMON | 259,200 | $2,000 | thousands by filing date | |
| BENITEC BIOPHARMA LTD | 082053117 | *W EXP 08/14/202 | 50,000 | $1,000 | thousands by filing date | |
| INSPIREMD INC | 45779A135 | *W EXP 03/14/202 | 48,000 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 277,777 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| CELLECT BIOTECHNOLOGY LTD | 15116C110 | *W EXP 08/03/202 | 12,498 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
| APPLIED DNA SCIENCES INC | 03815U110 | *W EXP 11/21/201 | 31,407 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001728194-19-000006 | this filing | 2019-11-14 | acceptance time not in the bulk data set |