0001728194-20-000002.txt : 20200515
0001728194-20-000002.hdr.sgml : 20200515
20200515094913
ACCESSION NUMBER: 0001728194-20-000002
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200331
FILED AS OF DATE: 20200515
DATE AS OF CHANGE: 20200515
EFFECTIVENESS DATE: 20200515
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-18767
FILM NUMBER: 20881387
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
1
primary_doc.xml
13F-HR
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0001728194
XXXXXXXX
03-31-2020
03-31-2020
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
05-15-2020
2
37
28478
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
ADAMIS PHARMACEUTICALS CORP
COM NEW
00547W208
1214
3397916
SH
DFND
12,8
3397916
0
0
AMERI HLDGS INC
*W EXP 11/08/202
02362F112
1
85231
SH
DFND
12,8
85231
0
0
AMYRIS INC
COM NEW
03236M200
288
112639
SH
DFND
12,8
112639
0
0
ARTELO BIOSCIENCES INC
*W EXP 06/25/202
04301G128
4
65000
SH
DFND
12,8
65000
0
0
BAUDAX BIO INC
COM
07160F107
1072
432325
SH
DFND
12,8
432325
0
0
BELLEROPHON THERAPEUTICS INC
COM NEW
078771300
210
19200
SH
DFND
12,8
19200
0
0
BENITEC BIOPHARMA LTD
*W EXP 08/14/202
082053117
2
50000
SH
DFND
12,8
50000
0
0
CEL SCI CORP
COM PAR NEW
150837607
198
17200
SH
Put
DFND
12,8
0
0
0
CELSION CORPORATION
COM PAR NEW
15117N503
1030
1139110
SH
DFND
12,8
1139110
0
0
CHECK CAP LTD
*W EXP 05/03/202
M2361E161
23
136364
SH
DFND
12,8
136364
0
0
CONTANGO OIL & GAS CO
COM NEW
21075N204
137
91120
SH
DFND
12,8
91120
0
0
CREATIVE REALITIES INC
*W EXP 11/09/202
22530J119
1
15000
SH
DFND
12,8
15000
0
0
ENERGY FUELS INC
*W EXP 09/20/202
292671179
0
277777
SH
DFND
12,8
277777
0
0
ENLIVEX THERAPEUTICS LTD
COM
M4130Y106
1805
385621
SH
DFND
12,8
385621
0
0
EROS INTL PLC
SHS NEW
G3788M114
794
480962
SH
DFND
12,8
480962
0
0
EXICURE INC
COM
30205M101
66
44798
SH
DFND
12,8
44798
0
0
FARMMI INC
SHS
G33277107
229
426387
SH
DFND
12,8
426387
0
0
INOVIO PHARMACEUTICALS INC
NOTE 6.500% 3/0
45773HAB8
2984
2000000
PRN
DFND
12,8
0
0
0
KITOV PHARMA LTD
SPONSORED ADS
49803V107
605
1977554
SH
DFND
12,8
1977554
0
0
MEDIGUS LTD
*W EXP 07/23/202
58471G128
1
63286
SH
DFND
12,8
63286
0
0
NOVAN INC
COM
66988N106
435
2914854
SH
DFND
12,8
2914854
0
0
PHIO PHARMACEUTICALS CORP
COM NEW
71880W303
637
360094
SH
DFND
12,8
360094
0
0
PLUS THERAPEUTICS INC
*W EXP 05/28/202
72941H111
2
259200
SH
DFND
12,8
259200
0
0
POLARITYTE INC
COM
731094108
487
451240
SH
DFND
12,8
451240
0
0
REGULUS THERAPEUTICS INC
COM NEW
75915K200
129
280152
SH
DFND
12,8
280152
0
0
REPLIMUNE GROUP INC
COM
76029N106
584
58595
SH
DFND
12,8
58595
0
0
RESONANT INC
COM
76118L102
600
405274
SH
DFND
12,8
405274
0
0
SAVARA INC
COM
805111101
434
204666
SH
DFND
12,8
204666
0
0
SENSEONICS HLDGS INC
NOTE 5.250% 2/0
81727UAA3
1479
1500000
PRN
DFND
12,8
0
0
0
SIGMA LABS INC
*W EXP 02/15/202
826598112
9
48100
SH
DFND
12,8
48100
0
0
SOL GEL TECHNOLOGIES
SHS
M8694L103
71
10068
SH
DFND
12,8
10068
0
0
TETRAPHASE PHARMACEUTICALS I
COM NEW
88165N204
266
208074
SH
DFND
12,8
208074
0
0
TIMKENSTEEL CORP
NOTE 6.000% 6/0
887399AA1
8429
10455000
PRN
DFND
12,8
0
0
0
VASCULAR BIOGENICS LTD
COM
M96883109
246
181888
SH
DFND
12,8
181888
0
0
VERASTEM INC
COM
92337C104
614
232559
SH
DFND
12,8
232559
0
0
VERB TECHNOLOGY CO INC
*W EXP 03/14/202
92337U112
67
240000
SH
DFND
12,8
240000
0
0
YUNHONG INTL
UNIT 99/99/9999
G98882114
3325
350000
SH
DFND
12,8
350000
0
0