0001728194-19-000007.txt : 20191114
0001728194-19-000007.hdr.sgml : 20191114
20191114095158
ACCESSION NUMBER: 0001728194-19-000007
CONFORMED SUBMISSION TYPE: 13F-HR/A
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190630
FILED AS OF DATE: 20191114
DATE AS OF CHANGE: 20191114
EFFECTIVENESS DATE: 20191114
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: CVI Holdings, LLC
CENTRAL INDEX KEY: 0001728194
IRS NUMBER: 510395476
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18767
FILM NUMBER: 191217081
BUSINESS ADDRESS:
STREET 1: ONE COMMERCE CENTER
STREET 2: 1201 N. ORANGE STREET, SUITE 715
CITY: WILMINGTON
STATE: DE
ZIP: 19801
BUSINESS PHONE: 6106172600
MAIL ADDRESS:
STREET 1: ONE COMMERCE CENTER
STREET 2: 1201 N. ORANGE STREET, SUITE 715
CITY: WILMINGTON
STATE: DE
ZIP: 19801
13F-HR/A
1
primary_doc.xml
13F-HR/A
LIVE
false
true
false
0001728194
XXXXXXXX
06-30-2019
06-30-2019
true
2
NEW HOLDINGS
CVI Holdings, LLC
ONE COMMERCE CENTER
1201 N. ORANGE STREET, SUITE 715
WILMINGTON
DE
19801
13F HOLDINGS REPORT
028-18767
N
Brian Sopinsky
Assistant Secretary
610-617-2600
Brian Sopinsky
BALA CYNWYD
PA
11-14-2019
2
64
86626
false
8
0001081698
028-13218
HEIGHTS CAPITAL MANAGEMENT, INC
12
0001649553
028-17822
CVI Investments, Inc.
INFORMATION TABLE
2
file.XML
DESCRIPTION FOR THE INFORMATION TABLE
AMERI HLDGS INC
*W EXP 11/08/202
02362F112
3
99500
SH
DFND
12,8
99500
0
0
ANI PHARMACEUTICALS INC
NOTE 3.000%12/0
00182CAA1
10902
9000000
PRN
DFND
12,8
0
0
0
APPLIED DNA SCIENCES INC
*W EXP 11/21/201
03815U110
0
31407
SH
DFND
12,8
31407
0
0
AQUABOUNTY TECHNOLOGIES INC
COM NEW
03842K200
1060
345202
SH
DFND
12,8
345202
0
0
ARCADIA BIOSCIENCES INC
COM NEW
039014204
414
134956
SH
DFND
12,8
134956
0
0
ARTELO BIOSCIENCES INC
*W EXP 06/25/202
04301G128
55
65000
SH
DFND
12,8
65000
0
0
ARTELO BIOSCIENCES INC
COM NEW
04301G201
189
41126
SH
DFND
12,8
41126
0
0
AURYN RES INC
COM
05208W108
29
17011
SH
DFND
12,8
17011
0
0
BEASLEY BROADCAST GROUP INC
CL A
074014101
316
98210
SH
DFND
12,8
98210
0
0
BENITEC BIOPHARMA LTD
*W EXP 08/14/202
082053117
1
50000
SH
DFND
12,8
50000
0
0
BIONDVAX PHARMACEUTICALS LTD
*W EXP 05/15/202
09073Q113
52
72800
SH
DFND
12,8
72800
0
0
CALITHERA BIOSCIENCES INC
COM
13089P101
3289
843234
SH
DFND
12,8
843234
0
0
CELLECT BIOTECHNOLOGY LTD
*W EXP 08/03/202
15116C110
1
12498
SH
DFND
12,8
12498
0
0
CELLECTAR BIOSCIENCES INC
COM PAR
15117F500
231
106026
SH
DFND
12,8
106026
0
0
CHARLES & COLVARD LTD
COM
159765106
452
285854
SH
DFND
12,8
285854
0
0
CHECK CAP LTD
*W EXP 05/03/202
M2361E161
34
136364
SH
DFND
12,8
136364
0
0
CHINA JO-JO DRUGSTORES INC
COM NEW
16949A206
88
79634
SH
DFND
12,8
79634
0
0
CO DIAGNOSTICS INC
COM
189763105
90
109320
SH
DFND
12,8
109320
0
0
COMSCORE INC
COM
20564W105
14079
2728513
SH
DFND
12,8
2728513
0
0
CREATIVE REALITIES INC
*W EXP 11/09/202
22530J119
6
15000
SH
DFND
12,8
15000
0
0
CYCLERION THERAPEUTICS INC
COM
23255M105
899
78557
SH
DFND
12,8
78557
0
0
CYTORI THERAPEUTICS INC
*W EXP 05/28/202
23283K139
1
259200
SH
DFND
12,8
259200
0
0
EKSO BIONICS HLDGS INC
COM NEW
282644202
494
388601
SH
DFND
12,8
388601
0
0
ELOXX PHARMACEUTICALS INC
COM
29014R103
742
74380
SH
DFND
12,8
74380
0
0
ENERGY FUELS INC
*W EXP 09/20/202
292671179
0
277777
SH
DFND
12,8
277777
0
0
EROS INTL PLC
SHS NEW
G3788M114
2833
2098602
SH
DFND
12,8
2098602
0
0
EYEPOINT PHARMACEUTICALS INC
COM
30233G100
748
455810
SH
DFND
12,8
455810
0
0
FARMMI INC
SHS
G33277107
181
100244
SH
DFND
12,8
100244
0
0
FLEXSHOPPER INC
*W EXP 09/28/202
33939J113
15
50000
SH
DFND
12,8
50000
0
0
GENFIT S A
ADS
372279109
2729
138185
SH
DFND
12,8
138185
0
0
INSMED INC
COM PAR $.01
457669307
374
14627
SH
DFND
12,8
14627
0
0
INSPIREMD INC
*W EXP 03/14/202
45779A135
1
48000
SH
DFND
12,8
48000
0
0
IZEA WORLDWIDE INC
COM
46604H105
188
367386
SH
DFND
12,8
367386
0
0
KURA ONCOLOGY INC
COM
50127T109
1197
60800
SH
DFND
12,8
60800
0
0
LAUREATE EDUCATION INC
CL A
518613203
1913
121792
SH
DFND
12,8
121792
0
0
MANNKIND CORP
COM NEW
56400P706
17
15000
SH
Put
DFND
12,8
0
0
0
MEDICINES CO
COM
584688105
4119
112950
SH
DFND
12,8
112950
0
0
MEDIGUS LTD
*W EXP 07/23/202
58471G128
14
64286
SH
DFND
12,8
64286
0
0
MOTUS GI HLDGS INC
COM
62014P108
42
13774
SH
DFND
12,8
13774
0
0
MYND ANALYTICS INC
*W EXP 06/29/202
62857N111
3
13700
SH
DFND
12,8
13700
0
0
NORTHERN DYNASTY MINERALS LT
COM NEW
66510M204
78
129963
SH
DFND
12,8
129963
0
0
ONCONOVA THERAPEUTICS INC
*W EXP 07/11/202
68232V116
24
132227
SH
DFND
12,8
132227
0
0
ORAGENICS INC
COM PAR
684023302
345
703075
SH
DFND
12,8
703075
0
0
ORCHARD THERAPEUTICS PLC
ADS
68570P101
1828
130651
SH
DFND
12,8
130651
0
0
PHIO PHARMACEUTICALS CORP
COM
71880W204
154
406358
SH
DFND
12,8
406358
0
0
REGULUS THERAPEUTICS INC
COM NEW
75915K200
568
454190
SH
DFND
12,8
454190
0
0
SCHOLAR ROCK HLDG CORP
COM
80706P103
2655
167371
SH
DFND
12,8
167371
0
0
SEANERGY MARITIME HLDGS CORP
*W EXP 11/10/202
Y73760145
24
1180400
SH
DFND
12,8
1180400
0
0
SENMIAO TECHNOLOGY LTD
COM
817225105
1111
398302
SH
DFND
12,8
398302
0
0
SENSEONICS HLDGS INC
NOTE 5.250% 2/0
81727UAA3
1540
1500000
PRN
DFND
12,8
0
0
0
SERES THERAPEUTICS INC
COM
81750R102
727
225795
SH
DFND
12,8
225795
0
0
SESEN BIO INC
COM
817763105
12169
8112882
SH
DFND
12,8
8112882
0
0
SIGMA LABS INC
*W EXP 02/15/202
826598112
64
199836
SH
DFND
12,8
199836
0
0
SOLIGENIX INC
*W EXP 11/14/202
834223117
1
16599
SH
DFND
12,8
16599
0
0
SORRENTO THERAPEUTICS INC
COM NEW
83587F202
3742
1401640
SH
DFND
12,8
1401640
0
0
TIMKENSTEEL CORP
NOTE 6.000% 6/0
887399AA1
10797
10455000
PRN
DFND
12,8
0
0
0
TITAN MED INC
COM NEW
88830X819
167
70748
SH
DFND
12,8
70748
0
0
TRANSLATE BIO INC
COM
89374L104
852
67464
SH
DFND
12,8
67464
0
0
URBAN TEA INC
ORD SHS
G9396G100
166
261400
SH
DFND
12,8
261400
0
0
VASCULAR BIOGENICS LTD
COM
M96883109
1181
908770
SH
DFND
12,8
908770
0
0
VERB TECHNOLOGY CO INC
*W EXP 03/14/202
92337U112
173
240000
SH
DFND
12,8
240000
0
0
VERMILLION INC
COM NEW
92407M206
71
79468
SH
DFND
12,8
79468
0
0
VERTEX ENERGY INC
COM
92534K107
15
10015
SH
DFND
12,8
10015
0
0
ZYMEWORKS INC
COM
98985W102
373
16956
SH
DFND
12,8
16956
0
0