Chief Compliance Officer

0001696778-20-000001.txt : 20200214 0001696778-20-000001.hdr.sgml : 20200214 20200214145139 ACCESSION NUMBER: 0001696778-20-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200214 DATE AS OF CHANGE: 20200214 EFFECTIVENESS DATE: 20200214 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: 20618329 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 false false 0001696778 XXXXXXXX 12-31-2019 12-31-2019 Worth Venture Partners, LLC

805 THIRD AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-17947 N Laurence Wiseman Chief Compliance Officer (212) 558-9017 Laurence Wiseman New York NY 02-14-2020 1 178 204174 false 1 0001578299 028-17749 DLD Asset Management, LP INFORMATION TABLE 2 testthirteen.xml A10 NETWORKS ORD Common Stock 002121101 521 75790 SH SOLE 0 75790 0 0 ACAD Jan0 26.0 C Call 004225908 3124 180600 SH OTR 1 0 180600 0 AIRGAIN ORD Common Stock 00938A104 1010 94436 SH SOLE 0 94436 0 0 ALIMERA SCIENCES ORD New Common Stock 016259202 527 69535 SH SOLE 0 69535 0 0 ALIMERA SCIENCES ORD New Common Stock 016259202 226 29798 SH SOLE 0 29798 0 0 ALLENA PHARMACEUTICALS ORD Common Stock 018119107 467 170931 SH SOLE 0 170931 0 0 ALLENA PHARMACEUTICALS ORD Common Stock 018119107 200 73255 SH SOLE 0 73255 0 0 ANTMX 2.750 10/15/42 CVT NOTE 2.750%10/1 94973VBG1 3461 821000 PRN OTR 1 0 821000 0 ANTMX 2.750 10/15/42 CVT NOTE 2.750%10/1 94973VBG1 11293 2679000 PRN OTR 1 0 2679000 0 APPLIED DNA SCIENCES ORD Common Stock 03815U300 86 20580 SH SOLE 0 20580 0 0 APPLIED DNA SCIENCES ORD Common Stock 03815U300 37 8820 SH SOLE 0 8820 0 0 APTEVO THERAPEUTICS ORD Common Stock 03835L108 172 263252 SH SOLE 0 263252 0 0 APTEVO THERAPEUTICS ORD Common Stock 03835L108 74 112417 SH SOLE 0 112417 0 0 AQUESTIVE THERAPEUTICS ORD Common Stock 03843E104 385 66150 SH SOLE 0 66150 0 0 AQUESTIVE THERAPEUTICS ORD Common Stock 03843E104 165 28350 SH SOLE 0 28350 0 0 ARGAN ORD Common Stock 04010E109 70 3781 SH SOLE 0 3781 0 0 ARGAN ORD Common Stock 04010E109 564 6488 SH SOLE 0 6488 0 0 ARLO TECHNOLOGIES ORD Common Stock 04206A101 686 162933 SH SOLE 0 162933 0 0 ARLO TECHNOLOGIES ORD Common Stock 04206A101 294 69828 SH SOLE 0 69828 0 0 ASPEN AEROGELS ORD Common Stock 04523Y105 943 121557 SH SOLE 0 121557 0 0 ASPEN AEROGELS ORD Common Stock 04523Y105 403 51952 SH SOLE 0 51952 0 0 ATEX Feb0 45.0 C Call 03676C900 207 24400 SH Call OTR 1 0 24400 0 ATEX Feb0 50.0 C Call 03676C900 1 100 SH Call OTR 1 0 100 0 ATEX May0 45.0 C Call 03676C900 2 200 SH Call OTR 1 0 200 0 AXGT Jan0 7.0 C Call G0750W903 1 5900 SH Call OTR 1 0 5900 0 AXGT Jan0 8.0 C Call G0750W903 1 21600 SH Call OTR 1 0 21600 0 AXGT Jan0 9.0 C Call G0750W903 0 200 SH Call OTR 1 0 200 0 BIODELIVERY SCIENCE INTERNATIONL ORD Common Stock 09060J106 589 93135 SH SOLE 0 93135 0 0 BIODELIVERY SCIENCE INTERNATIONL ORD Common Stock 09060J106 252 39915 SH SOLE 0 39915 0 0 BIOLASE ORD New Common Stock 090911207 203 367500 SH SOLE 0 367500 0 0 BIOLASE ORD New Common Stock 090911207 87 157500 SH SOLE 0 157500 0 0 BIOMARIN PHARMACEUTICAL ORD Common Stock 09061G101 457 5404 SH OTR 1 0 5404 0 BIOMARIN PHARMACEUTICAL ORD Common Stock 09061G101 1488 17596 SH OTR 1 0 17596 0 BKNG 0.350 06/15/20 CVT NOTE 0.350% 6/1 741503AS5 1561 1000000 PRN OTR 1 0 1000000 0 BIOMARIN PHARMACEUTICAL INC Put 09061G951 1 1200 SH Put OTR 1 0 1200 0 BIOMARIN PHARMACEUTICAL INC Put 09061G951 4 3800 SH Put OTR 1 0 3800 0 BIOMARIN PHARMACEUTICAL INC Put 09061G951 3 1400 SH Put OTR 1 0 1400 0 BIOMARIN PHARMACEUTICAL INC Put 09061G951 9 4600 SH Put OTR 1 0 4600 0 BIOMARIN PHARMACEUTICAL INC Call 09061G951 26 3700 SH Call OTR 1 0 3700 0 BIOMARIN PHARMACEUTICAL INC Call 09061G951 85 12300 SH Call OTR 1 0 12300 0 BIOMARIN PHARMACEUTICAL INC Put 09061G951 1 7000 SH Put OTR 1 0 7000 0 BIOMARIN PHARMACEUTICAL INC Put 09061G951 5 23000 SH Put OTR 1 0 23000 0 BIOMARIN PHARMACEUTICAL INC Call 09061G951 1 1400 SH Call OTR 1 0 1400 0 BIOMARIN PHARMACEUTICAL INC Call 09061G951 5 4600 SH Call OTR 1 0 4600 0 BOINGO WIRELESS ORD Common Stock 09739C102 183 16725 SH SOLE 0 16725 0 0 BOINGO WIRELESS ORD Common Stock 09739C102 118 10785 SH SOLE 0 10785 0 0 BOOKING HOLDINGS ORD Common Stock 09857L108 314 153 SH OTR 1 0 153 0 CASA SYSTEMS ORD Common Stock 14713L102 451 110250 SH SOLE 0 110250 0 0 CASA SYSTEMS ORD Common Stock 14713L102 193 47250 SH SOLE 0 47250 0 0 CASSAVA SCIENCES ORD Common Stock 14817C107 1133 177014 SH SOLE 0 177014 0 0 CASSAVA SCIENCES ORD Common Stock 14817C107 355 55428 SH SOLE 0 55428 0 0 CHIASMA ORD Common Stock 16706W102 143 28735 SH SOLE 0 28735 0 0 CHIASMA ORD Common Stock 16706W102 61 12226 SH SOLE 0 12226 0 0 CHKP Jan1 100.0P Put M22465954 126 22500 SH Put SOLE 0 22500 0 0 CLEARFIELD ORD Common Stock 18482P103 875 62760 SH SOLE 0 62760 0 0 CLF 1.500 01/15/25 CVT DBCV 1.500% 1/1 185899AA9 884 737000 PRN OTR 1 0 737000 0 CLF 1.500 01/15/25 CVT DBCV 1.500% 1/1 185899AA9 2503 2088000 PRN OTR 1 0 2088000 0 CLF Apr0 6.0 P Put 185899951 2 14200 SH Put OTR 1 0 14200 0 CLF Apr0 6.0 P Put 185899951 6 45800 SH Put OTR 1 0 45800 0 CLF Jan0 6.0 P Put 185899951 0 900 SH Put OTR 1 0 900 0 CLF Jan0 6.0 P Put 185899951 0 25000 SH Put OTR 1 0 25000 0 CONTRAFECT ORD Common Stock 212326102 672 1082264 SH SOLE 0 1082264 0 0 CONTRAFECT ORD Common Stock 212326102 288 463827 SH SOLE 0 463827 0 0 CVM Jan0 5.0 P Put 150837957 36 76600 SH Put OTR 1 0 76600 0 CZR 5.000 10/01/24 CVT NOTE 5.000%10/0 127686AA1 2957 1534000 PRN OTR 1 0 1534000 0 CZR 5.000 10/01/24 CVT NOTE 5.000%10/0 127686AA1 6797 3526000 PRN OTR 1 0 3526000 0 CZR 5.000 10/01/24 CVT NOTE 5.000%10/0 127686AA1 9756 5061080 PRN OTR 1 0 5061080 0 DHI GROUP ORD Common Stock 23331S100 483 160489 SH SOLE 0 160489 0 0 DIAMEDICA THERAPEUTI ORD New Common Stock 25253X207 415 85511 SH SOLE 0 85511 0 0 DIAMEDICA THERAPEUTI ORD New Common Stock 25253X207 178 36645 SH SOLE 0 36645 0 0 DIGITAL TURBINE ORD New Common Stock 25400W102 652 91431 SH SOLE 0 91431 0 0 DOMO CL B ORD Class B Common Stock 257554105 335 15411 SH SOLE 0 15411 0 0 DOMO CL B ORD Class B Common Stock 257554105 143 6606 SH SOLE 0 6606 0 0 DSP GROUP ORD Common Stock 23332B106 843 53575 SH SOLE 0 53575 0 0 ENTERA BIO EQY WARRANT *W EXP 06/27/202 M40527117 53 279819 SH OTR 1 0 279819 0 FARO TECHNOLOGIES ORD Common Stock 311642102 237 4714 SH SOLE 0 4714 0 0 FWONA 1.375 10/15/23 CVT NOTE 1.375%10/1 531229AB8 5200 3861000 PRN OTR 1 0 3861000 0 FWONA 1.375 10/15/23 CVT NOTE 1.375%10/1 531229AB8 5893 4375000 PRN OTR 1 0 4375000 0 FWONA 1.375 10/15/23 CVT NOTE 1.375%10/2 531229AB8 16938 12576000 PRN OTR 1 0 12576000 0 HUBS 0.250 06/01/22 CVT NOTE 0.250% 6/0 443573AB6 1428 823000 PRN OTR 1 0 823000 0 HUBS 0.250 06/01/22 CVT NOTE 0.250% 6/0 443573AB6 4644 2677000 PRN OTR 1 0 2677000 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 1344 8114 SH OTR 1 0 8114 0 KNOWLES ORD Common Stock 49926D109 528 24982 SH SOLE 0 24982 0 0 KNOWLES ORD Common Stock 49926D109 431 20394 SH OTR 1 0 20394 0 LA JOLLA PHARMACEUTICAL ORD COM PAR $.0001 2 503459604 66 16737 SH SOLE 0 16737 0 0 LA JOLLA PHARMACEUTICAL ORD COM PAR $.0001 2 503459604 58 14761 SH SOLE 0 14761 0 0 MDCO Jan0 10.0 P Put 584688955 1 33200 SH Put OTR 1 0 33200 0 MDCO Jan0 10.0 P Put 584688955 2 69700 SH Put OTR 1 0 69700 0 MDCO Jan0 10.0 P Put 584688955 3 119300 SH Put OTR 1 0 119300 0 MDCO Jan0 15.0 P Put 584688955 1 34400 SH Put OTR 1 0 34400 0 MDCO Jan0 15.0 P Put 584688955 2 62300 SH Put OTR 1 0 62300 0 MDCO Jan0 15.0 P Put 584688955 3 122800 SH Put OTR 1 0 122800 0 MDCO Jan0 30.0 P Put 584688955 0 300 SH Put OTR 1 0 300 0 MDCO Jan0 30.0 P Put 584688955 0 500 SH Put OTR 1 0 500 0 MDCO Jan0 30.0 P Put 584688955 0 900 SH Put OTR 1 0 900 0 MDCO Jan0 40.0 C Call 584688905 4 100 SH Call OTR 1 0 100 0 MIRUM PHARMACEUTICALS ORD Common Stock 604749101 466 19004 SH SOLE 0 19004 0 0 MIRUM PHARMACEUTICALS ORD Common Stock 604749101 200 8144 SH SOLE 0 8144 0 0 MRI INTERVENTIONS ORD New Common Stock 55347P209 269 56111 SH SOLE 0 56111 0 0 MRI INTERVENTIONS ORD New Common Stock 55347P209 147 30614 SH SOLE 0 30614 0 0 NANOVIBRONIX ORD Common Stock 63008J108 23 8240 SH SOLE 0 8240 0 0 NANOVIBRONIX ORD Common Stock 63008J108 24 8516 SH SOLE 0 8516 0 0 NAUTILUS GROUP ORD Common Stock 63910B102 412 235200 SH SOLE 0 235200 0 0 NAUTILUS GROUP ORD Common Stock 63910B102 176 100797 SH SOLE 0 100797 0 0 NICE 1.250 01/15/24 CVT NOTE 1.250% 1/1 65366HAB9 1320 690000 PRN OTR 1 0 690000 0 NICE 1.250 01/15/24 CVT NOTE 1.250% 1/1 65366HAB9 2417 1263000 PRN OTR 1 0 1263000 0 NICE 1.250 01/15/24 CVT NOTE 1.250% 1/1 65366HAB9 4313 2254000 PRN OTR 1 0 2254000 0 NUTANIX INC Call 67059N908 194 24300 SH Call SOLE 0 24300 0 0 NUTANIX INC Call 67059N908 65 8100 SH Call SOLE 0 8100 0 0 NUTANIX CL A ORD CL A 67059N108 1219 38985 SH SOLE 0 38985 0 0 NUTANIX CL A ORD CL A 67059N108 521 16665 SH SOLE 0 16665 0 0 NUVA 2.250 03/15/21 CVT NOTE 2.250% 3/1 670704AG0 961 720000 PRN OTR 1 0 720000 0 NUVA 2.250 03/15/21 CVT NOTE 2.250% 3/1 670704AG0 2722 2040000 PRN OTR 1 0 2040000 0 ON SEMICONDUCTOR ORD Common Stock 682189105 457 18754 SH OTR 1 0 18754 0 ON SEMICONDUCTOR ORD Common Stock 682189105 1488 61046 SH OTR 1 0 61046 0 ORGANOGENESIS HOLDINGS CL A ORD Common Stock 68621F102 566 117600 SH SOLE 0 117600 0 0 ORGANOGENESIS HOLDINGS CL A ORD Common Stock 68621F102 242 50400 SH SOLE 0 50400 0 0 ORION ENERGY SYSTEMS ORD Common Stock 686275108 288 85853 SH SOLE 0 85853 0 0 ORION ENERGY SYSTEMS ORD Common Stock 686275108 128 38072 SH SOLE 0 38072 0 0 PIXELWORKS ORD New Common Stock 72581M305 840 214387 SH SOLE 0 214387 0 0 QUMU ORD Common Stock 749063103 244 93470 SH SOLE 0 93470 0 0 QUMU ORD Common Stock 749063103 104 39889 SH SOLE 0 39889 0 0 RF INDUSTRIES ORD COM PAR $0.01 749552105 269 39848 SH SOLE 0 39848 0 0 RF INDUSTRIES ORD COM PAR $0.01 749552105 173 25524 SH SOLE 0 25524 0 0 RIGEL PHARMACEUTICALS ORD New Common Stock 766559603 11 4987 SH SOLE 0 4987 0 0 RIGEL PHARMACEUTICALS ORD New Common Stock 766559603 16 7677 SH SOLE 0 7677 0 0 RTRX 2.500 09/15/25 CVT NOTE 2.500% 9/1 761299AB2 1410 1781000 PRN OTR 1 0 1781000 0 RTRX 2.500 09/15/25 CVT NOTE 2.500% 9/2 761299AB2 1424 1799000 PRN OTR 1 0 1799000 0 RTRX 2.500 09/15/25 CVT NOTE 2.500% 9/3 761299AB2 4592 5801000 PRN OTR 1 0 5801000 0 RTRX Mar0 7.5 P Put 761299956 2 3700 SH Put OTR 1 0 3700 0 RTRX Mar0 7.5 P Put 761299956 4 6000 SH Put OTR 1 0 6000 0 RTRX Mar0 7.5 P Put 761299956 7 11800 SH Put OTR 1 0 11800 0 SCPHARMACEUTICALS ORD Common Stock 810648105 493 87154 SH SOLE 0 87154 0 0 SCPHARMACEUTICALS ORD Common Stock 810648105 211 37351 SH SOLE 0 37351 0 0 SEACHANGE INTERNATIONAL ORD Common Stock 811699107 484 115557 SH SOLE 0 115557 0 0 SEACHANGE INTERNATIONAL ORD Common Stock 811699107 93 22241 SH SOLE 0 22241 0 0 SELECT SECTOR HEALTH CARE SPDR ETF SBI HEALTHCARE 81369Y209 892 8758 SH OTR 1 0 8758 0 SELECT SECTOR INDUSTRIAL SPDR ETF SBI INT-INDS 81369Y704 304 3736 SH OTR 1 0 3736 0 SELECT STR FINANCIAL SELECT SPDR ETF SBI INT-FINL 81369Y605 283 9203 SH OTR 1 0 9203 0 SONIM TECHNOLOGIES ORD Common Stock 83548F101 879 242176 SH SOLE 0 242176 0 0 SPDR FUND CONSUMER DISCRE SELECT ETF SBI CONS DISCR 81369Y407 570 4541 SH OTR 1 0 4541 0 SPDR FUND CONSUMER STAPLES ETF SBI CONS STPLS 81369Y308 232 3683 SH OTR 1 0 3683 0 SPDR S&P BIOTECH ETF S&P BIOTECH 78464A870 578 6072 SH OTR 1 0 6072 0 SPDR S&P PHARMACEUTICALS ETF S&P PHARMAC 78464A722 252 5511 SH OTR 1 0 5511 0 SQURE 0.375 03/01/22 CVT NOTE 0.375% 3/0 852234AB9 2770 1008000 PRN OTR 1 0 1008000 0 SQURE 0.375 03/01/22 CVT NOTE 0.375% 3/0 852234AB9 4446 1618000 PRN OTR 1 0 1618000 0 SQURE 0.375 03/01/22 CVT NOTE 0.375% 3/0 852234AB9 22180 8072000 PRN OTR 1 0 8072000 0 SRPT Jun0 50.0 P Put 803607950 0 400 SH Put OTR 1 0 400 0 SRPT Jun0 50.0 P Put 803607950 0 1100 SH Put OTR 1 0 1100 0 SYNCHRONOSS TECHNOLOGIES ORD Common Stock 87157B103 340 71675 SH SOLE 0 71675 0 0 SYNCHRONOSS TECHNOLOGIES ORD Common Stock 87157B103 146 30715 SH SOLE 0 30715 0 0 TECHTARGET ORD Common Stock 87874R100 473 18137 SH SOLE 0 18137 0 0 TELADOC HEALTH ORD Common Stock 87918A105 3248 38800 SH OTR 1 0 38800 0 TSLA 2.000 05/15/24 CVT NOTE 2.000% 5/1 88160RAG6 1067 705000 PRN OTR 1 0 705000 0 TSLA 2.000 05/15/24 CVT NOTE 2.000% 5/1 88160RAG6 5743 3795000 PRN OTR 1 0 3795000 0 VANGUARD INFORMATION TECHNOLOGY ETF INF TECH ETF 92204A702 614 2506 SH OTR 1 0 2506 0 VUZIX ORD New Common Stock 92921W300 257 127949 SH SOLE 0 127949 0 0 VUZIX ORD New Common Stock 92921W300 110 54651 SH SOLE 0 54651 0 0 W 1.125 11/01/24 CVT NOTE 1.125%11/0 94419LAD3 739 709000 PRN OTR 1 0 709000 0 W 1.125 11/01/24 CVT NOTE 1.125%11/1 94419LAD3 1578 1514000 PRN OTR 1 0 1514000 0 W 1.125 11/01/24 CVT NOTE 1.125%11/2 94419LAD3 2387 2291000 PRN OTR 1 0 2291000 0 W Jan0 80.0 P Put 94419L951 0 800 SH Put OTR 1 0 800 0 W Jan0 80.0 P Put 94419L951 1 1600 SH Put OTR 1 0 1600 0 W Jan0 80.0 P Put 94419L951 2 2700 SH Put OTR 1 0 2700 0 W May0 65.0 P Put 94419L951 2 800 SH Put OTR 1 0 800 0 W May0 65.0 P Put 94419L951 8 2700 SH Put OTR 1 0 2700 0 WDAY 1.500 07/15/20 CVT NOTE 1.500% 7/1 98138HAD3 178 88000 PRN OTR 1 0 88000 0 WDAY 1.500 07/15/20 CVT NOTE 1.500% 7/1 98138HAD3 1885 932000 PRN OTR 1 0 932000 0 WDAY 1.500 07/15/20 CVT NOTE 1.500% 7/1 98138HAD3 5505 2722000 PRN OTR 1 0 2722000 0 WMGI 2.250 11/15/21 CVT NOTE 2.250%11/1 98236JAB4 713 490000 PRN OTR 1 0 490000 0 WMGI 2.250 11/15/21 CVT NOTE 2.250%11/1 98236JAB4 2924 2010000 PRN OTR 1 0 2010000 0 WWE 3.375 12/15/23 CVT NOTE 3.375%12/1 98156QAB4 2909 1080000 PRN OTR 1 0 1080000 0 WWE 3.375 12/15/23 CVT NOTE 3.375%12/1 98156QAB4 4590 1704000 PRN OTR 1 0 1704000 0 WWE 3.375 12/15/23 CVT NOTE 3.375%12/1 98156QAB4 8242 3060000 PRN OTR 1 0 3060000 0 X Jan2 5.0 P Put 912909958 22 33900 SH Put OTR 1 0 33900 0 X Jan2 5.0 P Put 912909958 73 112100 SH Put OTR 1 0 112100 0 ZAFGEN ORD Common Stock 98885E103 413 372008 SH SOLE 0 372008 0 0 ZAFGEN ORD Common Stock 98885E103 189 170366 SH SOLE 0 170366 0 0