13F-HR filed by CVI Holdings, LLC
CVI Holdings, LLC filed this 13F-HR for the quarter ended 2020-09-30, filed 2020-11-16, with 83 holding rows worth $246,088,000.
- Accession
- 0001728194-20-000004
- Filer
- CIK 1728194
- Filed
- 2020-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2020
A holdings report, 83 entries on the cover page, a total value of $246,088,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $246,088,000 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 |
|---|---|---|---|---|---|---|
| FUELCELL ENERGY INC | 35952H601 | COM | 19,000,000 | $40,660,000 | thousands by filing date | |
| PENN ENTERTAINMENT INC COM | 707569109 | Stock | 400,000 | $29,080,000 | thousands by filing date | |
| VELODYNE LIDAR INC | 92259F101 | COM | 1,500,000 | $28,035,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761101 | COM CL A | 1,200,000 | $11,790,000 | thousands by filing date | |
| TIMKENSTEEL CORP | 887399AA1 | CONVERTIBLE BOND | 10,455,000 | $8,773,000 | thousands by filing date | principal |
| QELL ACQUISITION CORP | G7307X121 | UNIT 10/01/2025 | 750,000 | $7,620,000 | thousands by filing date | |
| NOVABRIDGE BIOSCIENCES | 44975P103 | CMN | 151,520 | $7,126,000 | thousands by filing date | |
| Checkpoint Therapeutics Inc Com | 162828107 | COM | 2,622,546 | $7,028,000 | thousands by filing date | |
| ROCKWELL MED INC | 774374102 | COM | 5,301,527 | $5,673,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q105 | COM CL A | 500,000 | $5,380,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP II | G89554110 | UNIT 06/14/2027 | 492,214 | $5,355,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 490,300 | $4,815,000 | thousands by filing date | |
| INSEEGO CORP | 45782BAD6 | NOTE 3.250% 5/0 | 5,000,000 | $4,808,000 | thousands by filing date | principal |
| INDUSTRIAL TECH ACQU INC | 456357201 | UNIT 08/31/2025 | 400,000 | $4,000,000 | thousands by filing date | |
| SOLENO THERAPEUTIVS, INC. | 834203200 | COMM | 1,550,960 | $3,893,000 | thousands by filing date | |
| LIONHEART ACQUISITION CORP | 53625R203 | CMN | 350,000 | $3,486,000 | thousands by filing date | |
| YUNHONG INTERNATIONAL | g98882106 | COM | 350,000 | $3,444,000 | thousands by filing date | |
| EQUITY DISTR ACQUISITION CORP UNIT EX 090925 | 29465E205 | Stock | 300,000 | $3,090,000 | thousands by filing date | |
| FALCON CAPITAL ACQUISITN COR | 30606L207 | UNIT 08/20/2027 | 300,000 | $3,087,000 | thousands by filing date | |
| VESPER HEALTHCARE ACQSTN COR | 92538T203 | UNIT 99/99/9999 | 300,000 | $3,078,000 | thousands by filing date | |
| YUCAIPA ACQUISITION CORP | G9879L121 | UNIT 99/99/9999 | 300,000 | $3,060,000 | thousands by filing date | |
| PRIME IMPACT ACQUISITION I | G61074111 | UNIT 10/01/2030 | 300,000 | $3,006,000 | thousands by filing date | |
| CONTRAFECT CORP | 212326300 | COM | 563,720 | $2,976,000 | thousands by filing date | |
| PROTARA THERAPEUTICS INC | 74365U107 | COM STK | 168,836 | $2,842,000 | thousands by filing date | |
| VERONA PHARMA PLC | 925050106 | SPONSORED ADS | 444,445 | $2,773,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP II | G6715X129 | UNIT 09/15/2027 | 200,000 | $2,058,000 | thousands by filing date | |
| TWC TECH HLDGS II CORP | 90117G204 | UNIT 09/10/2025 | 200,000 | $2,026,000 | thousands by filing date | |
| CF FINANCE ACQUISITION CORP | 15725Q203 | UNIT 08/01/2027 | 200,000 | $2,005,000 | thousands by filing date | |
| ACON S2 ACQUISITION CORP | G00748122 | UNIT 09/15/2027 | 200,000 | $2,004,000 | thousands by filing date | |
| FTAC OLYMPUS ACQUISITION COR | G37288118 | UNIT 08/24/2025 | 200,000 | $2,000,000 | thousands by filing date | |
| PERIDOT ACQUISIT | G7008A123 | UNIT | 200,000 | $1,997,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675108 | COM | 200,000 | $1,990,000 | thousands by filing date | |
| ALPHA HEALTHCARE ACQUISTN CO | 020751202 | UNIT 10/01/2023 | 200,000 | $1,984,000 | thousands by filing date | |
| RIBBIT LEAP LTD | G7552B121 | UNIT 99/99/9999 | 150,000 | $1,950,000 | thousands by filing date | |
| NEONODE INC | 64051M709 | CMN | 238,400 | $1,883,000 | thousands by filing date | |
| ORPHAZYME A S F UNSPONSORED ADR 1 ADR REPS 1 ORD SHS | 687305102 | ADS | 175,000 | $1,808,000 | thousands by filing date | |
| INSU ACQUISITION CORP II | 457821304 | UNIT 09/04/2025 | 150,000 | $1,554,000 | thousands by filing date | |
| EROS INTL PLC | G3788M114 | SHS NEW | 700,000 | $1,547,000 | thousands by filing date | |
| ASPIRATIONAL CONSUMER LIFEST | G05436129 | UNIT 99/99/9999 | 150,000 | $1,500,000 | thousands by filing date | |
| GREENPRO CAP CORP COM NEW | 39540F101 | Stock | 1,000,000 | $1,450,000 | thousands by filing date | |
| DIAMEDICA THERAPEUTICS INC | 25253X207 | COMMON STOCK | 276,176 | $1,171,000 | thousands by filing date | |
| STAR PEAK ENERGY TRANSITION | 855185203 | UNIT 99/99/9999 | 103,300 | $1,059,000 | thousands by filing date | |
| Fintech Acquisition Corp IV | 31810N302 | Unit | 100,000 | $1,024,000 | thousands by filing date | |
| VECTOR ACQUISITION CORP | G9442R100 | UNIT 09/30/2027 | 100,000 | $1,014,000 | thousands by filing date | |
| DEERFIELD HEALTHCARE TECH AC | 244413100 | COM CL A | 75,200 | $790,000 | thousands by filing date | |
| FORUM MERGER III CORP | 349885202 | UNIT 08/24/2027 | 75,000 | $784,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761119 | *W EXP 06/21/202 | 600,000 | $708,000 | thousands by filing date | |
| STARBOARD VALUE ACQUISITN CORP UNIT EXP 091025 | 85521J208 | Stock | 70,000 | $706,000 | thousands by filing date | |
| THE9 LTD SPON ADS NEW | 88337K203 | ADR | 2,192,781 | $695,000 | thousands by filing date | |
| SENSEONICS HLDGS INC | 81727UAA3 | NOTE 5.250% 2/0 | 1,500,000 | $679,000 | thousands by filing date | principal |
| HUMANIGEN INC | 444863203 | COM NEW | 44,642 | $475,000 | thousands by filing date | |
| NEOVASC INC | 64065J304 | COM | 211,998 | $454,000 | thousands by filing date | |
| POLAR PWR INC | 73102V105 | COM | 125,000 | $395,000 | thousands by filing date | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 377,804 | $377,000 | thousands by filing date | |
| USIO INC | 917313108 | CMN | 220,267 | $339,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP II | 36258Q113 | *W EXP 06/30/202 | 125,000 | $269,000 | thousands by filing date | |
| FAT BRANDS INC | 30258N121 | *W EXP 07/16/202 | 190,770 | $250,000 | thousands by filing date | |
| NEPTUNE WELLNESS SOLUTIONS I | 64079L105 | COM | 112,803 | $238,000 | thousands by filing date | |
| SUN BIOPHARMA INC | 86664M206 | COM NEW | 79,030 | $238,000 | thousands by filing date | |
| NUCANA PLC | 67022C106 | ADR | 33,803 | $175,000 | thousands by filing date | |
| UNITED STATES ANTIMONY CORP | 911549103 | COM | 600,000 | $174,000 | thousands by filing date | |
| APTORUM GROUP LIMITED | G6096M106 | CL A ORD SHS | 64,754 | $174,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681113 | *W EXP 07/01/202 | 245,150 | $167,000 | thousands by filing date | |
| ROTH CH ACQUISITION I CO | 778675116 | *W EXP 01/28/202 | 150,000 | $155,000 | thousands by filing date | |
| CEL-SCI CORP | 150837607 | COM PAR NEW | 12,000 | $153,000 | thousands by filing date | put |
| ALTIMMUNE INC | 02155H200 | COM NEW | 10,600 | $140,000 | thousands by filing date | |
| COHBAR INC COM NEW | 19249J109 | Stock | 105,486 | $100,000 | thousands by filing date | |
| VERB TECHNOLOGY CO INC | 92337U112 | *W EXP 04/09/202 | 240,000 | $93,000 | thousands by filing date | |
| VERIFYME INC | 92346X115 | *W EXP 06/22/202 | 68,970 | $76,000 | thousands by filing date | |
| GEOVAX LABS INC | 373678119 | *W EXP 09/29/202 | 80,000 | $70,000 | thousands by filing date | |
| YUNHONG INTL RT | G98882130 | WARRANT AND RIGH | 350,000 | $70,000 | thousands by filing date | |
| SIYATA MOBILE INC | 83013Q152 | *W EXP 09/24/202 | 55,000 | $63,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 52,167 | $62,000 | thousands by filing date | |
| YUNHONG INTL | G98882122 | *W EXP 01/31/202 | 175,000 | $32,000 | thousands by filing date | |
| GENIUS BRANDS INTERNATIONAL INC | 37229T301 | COMMON STOCK | 25,000 | $30,000 | thousands by filing date | call |
| DEERFIELD HEALTHCARE TECH AC | 244413118 | *W EXP 07/16/202 | 15,040 | $21,000 | thousands by filing date | |
| MEDIGUS LTD | 58471G128 | *W EXP 07/22/202 | 57,986 | $10,000 | thousands by filing date | |
| SIGMA LABS INC | 826598112 | *W EXP 02/15/202 | 45,100 | $8,000 | thousands by filing date | |
| ARTELO BIOSCIENCES INC | 04301G128 | *W EXP 06/20/202 | 65,000 | $5,000 | thousands by filing date | |
| AMERI HLDGS INC WT EXP 110823 | 02362F112 | Stock | 83,431 | $5,000 | thousands by filing date | |
| CHECK CAP LTD | M2361E161 | *W EXP 05/03/202 | 136,364 | $4,000 | thousands by filing date | |
| CREATIVE REALITIES INC | 22530J119 | *W EXP 11/19/202 | 14,600 | $2,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671179 | *W EXP 09/ | 277,777 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001728194-20-000004 | this filing | 2020-11-16 | acceptance time not in the bulk data set |