0001085146-18-001334.txt : 20180511 0001085146-18-001334.hdr.sgml : 20180511 20180511110854 ACCESSION NUMBER: 0001085146-18-001334 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180331 FILED AS OF DATE: 20180511 DATE AS OF CHANGE: 20180511 EFFECTIVENESS DATE: 20180511 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Worth Venture Partners, LLC CENTRAL INDEX KEY: 0001696778 IRS NUMBER: 461377713 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17947 FILM NUMBER: 18825547 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001696778 XXXXXXXX 03-31-2018 03-31-2018 false Worth Venture Partners, LLC
805 THIRD AVENUE 15TH FLOOR NEW YORK NY 10022
13F HOLDINGS REPORT 028-17947 N
Larry Wiseman CCO and General Counsel 212-558-9017 /s/ Larry Wiseman New York NY 05-09-2018 2 115 115016 1 0001578299 028-17749 DLD Asset Management, LP 2 0001426318 028-12690 PCJ Investment Counsel Ltd.
INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE ACORDA THERAPEUTICS INC COM 00484M106 1 330000 SH Put OTR 1 0 330000 0 ACORDA THERAPEUTICS INC NOTE 1.750% 6/1 00484MAA4 744 805000 PRN OTR 1 0 805000 0 ACTINIUM PHARMACEUTICALS INC COM 00507W107 140 381431 SH OTR 1 0 381431 0 AEROHIVE NETWORKS INC COM 007786106 187 46287 SH SOLE 46287 0 0 AIRGAIN INC COM 00938A104 596 76969 SH SOLE 76969 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 351 1910 SH SOLE 1910 0 0 ALON USA ENERGY INC NOTE 3.000% 9/1 020520AB8 4579 3000000 PRN OTR 1 0 3000000 0 ALPHABET INC CAP STK CL C 02079K107 820 795 SH SOLE 795 0 0 ANI PHARMACEUTICALS INC COM 00182C103 6 340000 SH Put OTR 1 0 340000 0 ANI PHARMACEUTICALS INC NOTE 3.000%12/0 00182CAA1 833 753000 PRN OTR 1 0 753000 0 APPTIO INC CL A 03835C108 605 21344 SH SOLE 21344 0 0 AQUINOX PHARMACEUTICALS INC COM 03842B101 61 1560000 SH Call OTR 1 0 1560000 0 ARCTURUS THERAPEUTICS LTD SHS M1492T105 183 33184 SH SOLE 33184 0 0 ASML HOLDING N V N Y REGISTRY SHS N07059210 350 1760 SH SOLE 1760 0 0 ASSEMBLY BIOSCIENCES INC COM 045396108 3 40000 SH Call OTR 1 0 40000 0 ATTUNITY LTD SHS NEW M15332121 799 106555 SH SOLE 106555 0 0 AVEO PHARMACEUTICALS INC COM 053588109 0 10 SH OTR 1 0 10 0 AVEO PHARMACEUTICALS INC COM 053588109 42 3100000 SH Call OTR 1 0 3100000 0 BAIDU INC SPON ADR REP A 056752108 352 1577 SH SOLE 1577 0 0 BANK AMER CORP COM 060505104 227 7556 SH OTR 2 0 7556 0 CANADIAN NAT RES LTD COM 136385101 225 7160 SH OTR 2 0 7160 0 CANADIAN PAC RY LTD COM 13645T100 444 2516 SH OTR 2 0 2516 0 CARROLS RESTAURANT GROUP INC COM 14574X104 169 15045 SH OTR 2 0 15045 0 CEVA INC COM 157210105 330 9106 SH SOLE 9106 0 0 CHESAPEAKE ENERGY CORP COM 165167107 4 5000000 SH Put OTR 1 0 5000000 0 CHESAPEAKE ENERGY CORP NOTE 5.500% 9/1 165167CY1 2587 3000000 PRN OTR 1 0 3000000 0 CLEARFIELD INC COM 18482P103 657 50943 SH SOLE 50943 0 0 CONVERGYS CORP SDCV 5.750% 9/1 212485AE6 2266 1075000 PRN OTR 1 0 1075000 0 CTRIP COM INTL LTD AMERICAN DEP SHS 22943F100 64 6430000 SH Call OTR 1 0 6430000 0 CTRIP COM INTL LTD NOTE 1.000% 7/0 22943FAF7 5212 4826000 PRN OTR 1 0 4826000 0 DERMIRA INC COM 24983L104 7 1140000 SH Call OTR 1 0 1140000 0 DERMIRA INC COM 24983L104 44 620000 SH Put OTR 1 0 620000 0 DSP GROUP INC COM 23332B106 1019 86343 SH SOLE 86343 0 0 E TRADE FINANCIAL CORP COM NEW 269246401 475 8571 SH OTR 2 0 8571 0 ESPERION THERAPEUTICS INC NE COM 29664W105 1 10 SH OTR 1 0 10 0 ESPERION THERAPEUTICS INC NE COM 29664W105 205 2150000 SH Call OTR 1 0 2150000 0 ESPERION THERAPEUTICS INC NE COM 29664W105 13 1590000 SH Put OTR 1 0 1590000 0 EXPEDIA GROUP INC COM NEW 30212P303 690 6255 SH SOLE 6255 0 0 FIESTA RESTAURANT GROUP INC COM 31660B101 631 34100 SH SOLE 34100 0 0 GENCOR INDS INC COM 368678108 285 17684 SH SOLE 17684 0 0 GENERAL CABLE CORP DEL NEW FRNT 4.500%11/1 369300AL2 1138 1075000 PRN OTR 1 0 1075000 0 GOODYEAR TIRE & RUBR CO COM 382550101 242 9100 SH SOLE 9100 0 0 HERON THERAPEUTICS INC COM 427746102 360 3550000 SH Call OTR 1 0 3550000 0 HOSTESS BRANDS INC CL A 44109J106 356 15390000 SH Call OTR 1 0 15390000 0 IMMUNOMEDICS INC COM 452907108 1978 23290000 SH Call OTR 1 0 23290000 0 IMMUNOMEDICS INC COM 452907108 176 25240000 SH Put OTR 1 0 25240000 0 INFOSYS LTD SPONSORED ADR 456788108 0 310000 SH Put OTR 1 0 310000 0 INSMED INC COM PAR $.01 457669307 26 1170000 SH Put OTR 1 0 1170000 0 INSMED INC NOTE 1.750% 1/1 457669AA7 992 1116000 PRN OTR 1 0 1116000 0 INTERDIGITAL INC NOTE 1.500% 3/0 458660AD9 878 754000 PRN OTR 1 0 754000 0 INTRA CELLULAR THERAPIES INC COM 46116X101 579 10900000 SH Call OTR 1 0 10900000 0 ISHARES TR RUSSELL 2000 ETF 464287655 1978 13033 SH SOLE 13033 0 0 JOUNCE THERAPEUTICS INC COM 481116101 62 1520000 SH Call OTR 1 0 1520000 0 JPMORGAN CHASE & CO COM 46625H100 274 2490 SH OTR 2 0 2490 0 KAMADA LTD SHS M6240T109 236 51322 SH SOLE 51322 0 0 KEYSIGHT TECHNOLOGIES INC COM 49338L103 441 8418 SH OTR 2 0 8418 0 KINROSS GOLD CORP COM NO PAR 496902404 40 10170 SH OTR 2 0 10170 0 LANNET INC COM 516012101 1596 99452 SH OTR 1 0 99452 0 LANNET INC COM 516012101 826 29690000 SH Put OTR 1 0 29690000 0 LIPOCINE INC NEW COM 53630X104 0 200000 SH Call OTR 1 0 200000 0 MEDICINES CO COM 584688105 14 2880000 SH Put OTR 1 0 2880000 0 MEDICINES CO NOTE 2.500% 1/1 584688AE5 4842 4201000 PRN OTR 1 0 4201000 0 MELLANOX TECHNOLOGIES LTD SHS M51363113 432 5927 SH SOLE 5927 0 0 MERCK & CO INC COM 58933Y105 68 4820000 SH Call OTR 1 0 4820000 0 MICROCHIP TECHNOLOGY INC NOTE 1.625% 2/1 595017AD6 13755 7748000 PRN OTR 1 0 7748000 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 8003 3971000 PRN OTR 1 0 3971000 0 NABORS INDUSTRIES LTD SHS G6359F103 1 1320000 SH Call OTR 1 0 1320000 0 NETEASE INC SPONSORED ADR 64110W102 435 1550 SH SOLE 1550 0 0 NEXSTAR MEDIA GROUP INC CL A 65336K103 855 12860 SH SOLE 12860 0 0 NIC INC COM 62914B100 161 8840000 SH Put OTR 1 0 8840000 0 NIC INC COM 62914B100 997 74985 SH OTR 1 0 74985 0 NL INDS INC COM NEW 629156407 5 4130000 SH Call OTR 1 0 4130000 0 NXP SEMICONDUCTORS N V COM N6596X109 238 850000 SH Put OTR 1 0 850000 0 NXP SEMICONDUCTORS N V COM N6596X109 152 1300 SH OTR 1 0 1300 0 OCI PARTNERS LP COM UNIT REP LP 67091N108 115 12540 SH OTR 2 0 12540 0 ORION ENERGY SYSTEMS INC COM 686275108 40 17000 SH Put SOLE 17000 0 0 PACIRA PHARMACEUTICALS INC COM 695127100 0 480000 SH Call OTR 1 0 480000 0 PINNACLE FOODS INC DEL COM 72348P104 4358 80543 SH OTR 1 0 80543 0 PINNACLE FOODS INC DEL COM 72348P104 385 22970000 SH Put OTR 1 0 22970000 0 PIXELWORKS INC COM NEW 72581M305 917 236842 SH SOLE 236842 0 0 PRECISION DRILLING CORP COM 2010 74022D308 47 16990 SH OTR 2 0 16990 0 PROTHENA CORP PLC SHS G72800108 184 1750000 SH Call OTR 1 0 1750000 0 PROTHENA CORP PLC SHS G72800108 187 1380000 SH Put OTR 1 0 1380000 0 QUANTENNA COMMUNICATIONS INC COM 74766D100 728 53111 SH SOLE 53111 0 0 RAYTHEON CO COM NEW 755111507 261 1210 SH OTR 2 0 1210 0 RESTAURANT BRANDS INTL INC COM 76131D103 236 4140 SH OTR 2 0 4140 0 SCANA CORP NEW COM 80589M102 186 6200000 SH Put OTR 1 0 6200000 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 1564 15442 SH SOLE 15442 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 328 6230 SH SOLE 6230 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1266 15544 SH SOLE 15544 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 430 15600 SH SOLE 15600 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 493 6635 SH SOLE 6635 0 0 SEMTECH CORP COM 816850101 554 14197 SH SOLE 14197 0 0 SILICOM LTD ORD M84116108 819 23810 SH SOLE 23810 0 0 SKECHERS U S A INC CL A 830566105 374 9600 SH SOLE 9600 0 0 SM ENERGY CO NOTE 1.500% 7/0 78454LAM2 81 84600 PRN OTR 2 0 84600 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 19 1070000 SH Put OTR 1 0 1070000 0 SPDR SERIES TRUST PORTFOLIO SHORT 78464A474 2476 82000 SH SOLE 82000 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 633 7218 SH SOLE 7218 0 0 TRANSOCEAN INC DEB 0.500% 1/3 893830BJ7 6890 6020000 PRN OTR 1 0 6020000 0 TRANSOCEAN LTD REG SHS H8817H100 20 11370000 SH Put OTR 1 0 11370000 0 TRI POINTE GROUP INC COM 87265H109 272 16550 SH OTR 2 0 16550 0 TRINITY INDS INC NOTE 3.875% 6/0 896522AF6 2074 1507000 PRN OTR 1 0 1507000 0 VANGUARD SCOTTSDALE FDS SHRT TRM CORP BD 92206C409 2588 33000 SH SOLE 33000 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 1098 6423 SH SOLE 6423 0 0 VASCULAR BIOGENICS LTD COM M96883109 2 2610000 SH Call OTR 1 0 2610000 0 VECTOR GROUP LTD FRNT 1/1 92240MAY4 5357 3691000 PRN OTR 1 0 3691000 0 VERISIGN INC SDCV 3.250% 8/1 92343EAD4 905 262000 PRN OTR 1 0 262000 0 VITAL THERAPIES INC COM 92847R104 0 40000 SH Put OTR 1 0 40000 0 WASTE CONNECTIONS INC COM 94106B101 446 6218 SH OTR 2 0 6218 0 WEATHERFORD INTL LTD NOTE 5.875% 7/0 947075AH0 3013 3304000 PRN OTR 1 0 3304000 0 WEATHERFORD INTL PLC ORD SHS G48833100 5 3300000 SH Put OTR 1 0 3300000 0 YAHOO INC NOTE 12/0 984332AF3 7292 5211000 PRN OTR 1 0 5211000 0 ZOGENIX INC COM NEW 98978L204 30 580000 SH Call OTR 1 0 580000 0 ZOGENIX INC COM NEW 98978L204 0 10 SH OTR 1 0 10 0