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