0001696778-21-000001.txt : 20210217 0001696778-21-000001.hdr.sgml : 20210217 20210216173145 ACCESSION NUMBER: 0001696778-21-000001 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20201231 FILED AS OF DATE: 20210217 DATE AS OF CHANGE: 20210216 EFFECTIVENESS DATE: 20210217 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: 21641215 BUSINESS ADDRESS: STREET 1: 295 SUNSET AVENUE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 295 SUNSET AVENUE CITY: ENGLEWOOD STATE: NJ ZIP: 07631 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001696778 XXXXXXXX 12-31-2020 12-31-2020 Worth Venture Partners, LLC

295 SUNSET AVENUE ENGLEWOOD NJ 07631

13F HOLDINGS REPORT 028-17947 N Laurence Wiseman (212) 558-9017 /s/Laurence Wiseman Englewood NJ 02-12-2021 2 101 126406 false 1 0001578299 028-17749 DLD Asset Management, LP 2 0001835943 028-20823 AIGH Capital Management LLC INFORMATION TABLE 2 wvpq413fv2.xml 9 METERS BIOPHARMA INC COM 654405109 678 789341 SH OTR 2 0 789341 0 A10 NETWORKS INC COM 002121101 1690 171376 SH SOLE 0 171376 0 0 ACER THERAPEUTICS INC COM 00444P108 656 250518 SH OTR 2 0 250518 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 975 225106 SH OTR 2 0 225106 0 AMERICAN EAGLE OUTFITTERS IN PUT 02553E956 0 18300 SH Put OTR 1 0 18300 0 AIRGAIN INC COM 00938A104 2278 128105 SH SOLE 0 128105 0 0 ALIMERA SCIENCES INC COM NEW 016259202 537 127333 SH OTR 2 0 127333 0 ALLENA PHARMACEUTICALS INC COM 018119107 653 510200 SH OTR 2 0 510200 0 ALLOT LTD SHS M0854Q105 1176 111740 SH SOLE 0 111740 0 0 ALPINE INCOME PPTY TR INC COM 02083X103 282 18821 SH SOLE 0 18821 0 0 ANNALY CAPITAL MANAGEMENT IN COM 035710409 230 27200 SH SOLE 0 27200 0 0 ANNOVIS BIO INC COM 03615A108 901 119538 SH OTR 2 0 119538 0 ARGAN INC COM 04010E109 508 7513 SH SOLE 0 7513 0 0 ARIDIS PHARMACEUTICALS INC COM 040334104 534 87932 SH OTR 2 0 87932 0 ASPEN AEROGELS INC COM 04523Y105 2821 169041 SH OTR 2 0 169041 0 AVAYA HLDGS CORP COM 05351X101 3223 168299 SH OTR 2 0 168299 0 AVIAT NETWORKS INC COM NEW 05366Y201 2028 59382 SH OTR 2 0 59382 0 BLOOMIN BRANDS INC PUT 094235958 1 27500 SH Put OTR 1 0 27500 0 BLUE BIRD CORP COM 095306106 3791 207618 SH OTR 2 0 207618 0 BOOKING HOLDINGS INC COM 09857L108 822 369 SH OTR 1 0 369 0 BRIGHTCOVE INC COM 10921T101 1261 68542 SH SOLE 0 68542 0 0 CATALYST BIOSCIENCES INC COM NEW 14888D208 627 99297 SH OTR 2 0 99297 0 CATALYST PHARMACEUTICALS INC COM 14888U101 1151 344702 SH OTR 2 0 344702 0 CARNIVAL CORP PUT 143658950 290 256500 SH Put OTR 1 0 256500 0 CEDAR REALTY TRUST INC COM NEW 150602605 112 11055 SH SOLE 0 11055 0 0 CITY OFFICE REIT INC COM 178587101 243 24900 SH SOLE 0 24900 0 0 CLEVELAND-CLIFFS INC NEW PUT 185899951 0 49000 SH Put OTR 1 0 49000 0 CLOUDERA INC COM 18914U100 3525 253400 SH OTR 2 0 253400 0 CINEMARK HLDGS INC PUT 17243V952 18 130700 SH Put OTR 1 0 130700 0 COHERENT INC COM 192479103 2996 19969 SH OTR 2 0 19969 0 COHU INC COM 192576106 5611 146971 SH OTR 2 0 146971 0 COLUMBIA PPTY TR INC COM NEW 198287203 186 12947 SH SOLE 0 12947 0 0 CTO REALTY GROWTH INC COM 22948P103 391 9280 SH SOLE 0 9280 0 0 CYCLO THERAPEUTICS INC *W EXP 11/14/202 23254X110 96 88690 SH OTR 2 0 88690 0 CYCLO THERAPEUTICS INC COM NEW 23254X201 386 88690 SH OTR 2 0 88690 0 DATA I O CORP COM 237690102 208 50387 SH OTR 2 0 50387 0 DIGITAL TURBINE INC COM NEW 25400W102 760 13429 SH SOLE 0 13429 0 0 DSP GROUP INC COM 23332B106 742 44700 SH SOLE 0 44700 0 0 EDAP TMS S A SPONSORED ADR 268311107 523 101082 SH OTR 2 0 101082 0 EMCORE CORP COM NEW 290846203 3193 585833 SH OTR 2 0 585833 0 ENDRA LIFE SCIENCES INC COM 29273B104 247 329420 SH OTR 2 0 329420 0 ENERGY FOCUS INC COM 29268T409 287 71283 SH OTR 2 0 71283 0 EQUITY COMWLTH REIT ORD COM SH BEN INT 294628102 214 7853 SH SOLE 0 7853 0 0 ETSY INC COM 29786A106 720 4048 SH OTR 2 0 4048 0 FORD MTR CO DEL CALL 345370900 139 380100 SH Call SOLE 2 0 380100 0 F5 NETWORKS INC COM 315616102 3344 19005 SH OTR 2 0 19005 0 FARO TECHNOLOGIES INC COM 311642102 673 9527 SH SOLE 0 9527 0 0 LIBERTY MEDIA CORP DEL NOTE 1.375%10/1 531229AB8 2387 1884000 PRN OTR 1 0 1884000 0 GUESS INC NOTE 2.000% 4/1 401617AD7 3259 2904000 PRN OTR 1 0 2904000 0 GUESS INC PUT 401617955 7 80900 SH Put OTR 1 0 80900 0 GENERAL MTRS CO CALL 37045V900 60 114000 SH Call OTR 2 0 114000 0 HEPION PHARMACEUTICALS INC COM 426897104 512 233947 SH OTR 2 0 233947 0 ISHARES TR PUT 464288954 64 103800 SH Put OTR 2 0 103800 0 IDEAL PWR INC COM NEW 451622203 1429 174870 SH OTR 2 0 174870 0 ISHARES TR RUSSELL 2000 ETF 464287655 1022 5211 SH SOLE 0 5211 0 0 ISHARES TR PUT 464287955 1255 1476 SH Put OTR 2 0 1476 0 KEY TRONIC CORP COM 493144109 87 12590 SH OTR 2 0 12590 0 KITE RLTY GROUP TR COM NEW 49803T300 201 13457 SH SOLE 0 13457 0 0 LIGHTPATH TECHNOLOGIES INC COM CL A 532257805 1842 469878 SH OTR 2 0 469878 0 LIVENT CORP PUT 53814L958 2 10300 SH Put OTR 1 0 10300 0 LUNA INNOVATIONS COM 550351100 1114 112712 SH SOLE 0 112712 0 0 MIRUM INC COM 604749101 287 16420 SH OTR 2 0 16420 0 MYOMO INC COM NEW 62857J201 739 109864 SH OTR 2 0 109864 0 NAUTILUS GROUP INC COM 63910B102 3004 165608 SH OTR 2 0 165608 0 NORWEGIAN CRUISE LINE HLDG L PUT G66721954 26 102500 SH Put OTR 1 0 102500 0 NIO INC PUT 62914V956 0 71200 SH Put OTR 1 0 71200 0 NUANCE COMMUNICATIONS INC DBCV 1.000%12/1 67020YAK6 3308 1776000 PRN OTR 1 0 1776000 0 NUANCE COMMUNICATIONS INC NOTE 1.250% 4/0 67020YAN0 3673 1610000 PRN OTR 1 0 1610000 0 O2MICRO INTERNATIONAL LIMITE SPONS ADR 67107W100 4270 465169 SH OTR 2 0 465169 0 OCEAN BIO CHEM INC COM 674631106 2088 156274 SH OTR 2 0 156274 0 PANBELA THERAPEUTICS INC COM 69833Q100 78 21794 SH OTR 2 0 21794 0 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 877 620000 PRN OTR 1 0 620000 0 PARATEK PHARMACEUTICALS INC COM 699374302 1196 191093 SH OTR 2 0 191093 0 PIONEER NAT RES CO COM 723787107 397 3489 SH OTR 1 0 3489 0 PIXELWORKS INC COM NEW 72581M305 1199 425351 SH OTR 2 0 425351 0 POSTAL REALTY TRUST INC CL A 73757R102 436 13605 SH SOLE 0 13605 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 622 177810 SH OTR 2 0 177810 0 ROYAL CARIBBEAN GROUP COM V7780T103 737 9863 SH OTR 1 0 9863 0 RAPID7 INC NOTE 1.250% 8/0 753422AB0 1798 826000 PRN OTR 1 0 826000 0 SALARIUS PHARMACEUTICALS INC COM NEW 79400X107 328 360556 SH OTR 1 0 360556 0 SPIRIT AIRLS INC PUT 848577952 24 55900 SH Put OTR 1 0 55900 0 SPIRIT AIRLS INC NOTE 4.750% 5/1 848577AA0 3217 1497000 PRN OTR 1 0 1497000 0 SCPHARMACEUTICALS INC COM 810648105 862 162875 SH OTR 2 0 162875 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 546 4813 SH SOLE 0 4813 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 233 2626 SH SOLE 0 2626 0 0 SHARPSPRING INC COM 820054104 750 46082 SH SOLE 0 46082 0 0 SILICOM LTD ORD M84116108 1940 46364 SH SOLE 0 46364 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 443 2755 SH SOLE 0 2755 0 0 SPDR SER TR S&P BIOTECH 78464A870 398 2824 SH SOLE 0 2824 0 0 STRONGBRIDGE BIOPHARMA PLC SHS USD G85347105 1091 449046 SH OTR 2 0 449046 0 TECHTARGET INC COM 87874R100 924 15630 SH SOLE 0 15630 0 0 THERATECHNOLGIES INC COM 88338H100 365 146162 SH OTR 2 0 146162 0 VANDA PHARMACEUTICALS INC COM 921659108 1171 89124 SH OTR 2 0 89124 0 VANGUARD INFORMATION WORLD FDS INF TECH ETF 92204A702 285 806 SH SOLE 0 806 0 0 VERITONE INC PUT 92347M950 7 14600 SH Put SOLE 0 14600 0 0 WAYFAIR INC NOTE 1.000% 8/1 94419LAF8 5149 3061000 PRN OTR 1 0 3061000 0 WORKDAY INC NOTE 0.250%10/0 98138HAF8 6051 3614000 PRN OTR 1 0 3614000 0 WORLD WRESTLING ENTMT INC NOTE 3.375%12/1 98156QAB4 5156 2543000 PRN OTR 1 0 2543000 0 UNITED STATES STL CORP NEW NOTE 5.000%11/0 912909AT5 6955 4625000 PRN OTR 1 0 4625000 0 UNITED STATES STL CORP NEW PUT 912909958 12 74900 SH Put OTR 1 0 74900 0 ZUORA INC COM CL A 98983V106 664 47682 SH SOLE 0 47682 0 0