0001696778-22-000004.txt : 20221114 0001696778-22-000004.hdr.sgml : 20221114 20221114172612 ACCESSION NUMBER: 0001696778-22-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20220930 FILED AS OF DATE: 20221114 DATE AS OF CHANGE: 20221114 EFFECTIVENESS DATE: 20221114 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: 221387977 BUSINESS ADDRESS: STREET 1: 2 EXECUTIVE DRIVE, SUITE 515 CITY: FORT LEE STATE: NJ ZIP: 07024 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 2 EXECUTIVE DRIVE, SUITE 515 CITY: FORT LEE STATE: NJ ZIP: 07024 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001696778 XXXXXXXX 09-30-2022 09-30-2022 Worth Venture Partners, LLC

2 EXECUTIVE DRIVE, SUITE 515 FORT LEE NJ 07024

13F HOLDINGS REPORT 028-17947 N Laurence Wiseman 212-558-9017 Laurence Wiseman Fort Lee NJ 11-14-2022 3 183 163255 false 1 0001578299 028-17749 DLD Asset Management, LP 2 0001835943 028-20823 AIGH Capital Management LLC 3 0001910391 028-21878 PB INVESTMENT PARTNERS, L.P. INFORMATION TABLE 2 worthventureq313f.xml ABBVIE INC CALL 00287Y909 10 26700 SH Call SOLE 26700 0 0 ABEONA THERAPEUTICS INC COM NEW 00289Y206 106 34773 SH OTR 2 0 34773 0 ADTRAN HOLDINGS INC COM 00486H105 117 6000 SH SOLE 6000 0 0 ADTRAN HOLDINGS INC COM 00486H105 5683 290241 SH OTR 2 0 290241 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 284 298560 SH OTR 2 0 298560 0 AIRGAIN INC COM 00938A104 1300 180308 SH OTR 2 0 180308 0 AKAMAI TECHNOLOGIES INC NOTE 0.125% 5/0 00971TAJ0 632 618000 PRN OTR 1 0 618000 0 ALICO INC COM 016230104 230 8138 SH SOLE 8138 0 0 ALLOT LTD SHS M0854Q105 533 136062 SH SOLE 136062 0 0 ALTIMMUNE INC CALL 02155H900 0 19900 SH Call SOLE 19900 0 0 ALTUS POWER INC COM CL A 02217A102 182 16500 SH SOLE 16500 0 0 AMYRIS INC PUT 03236M950 28 81000 SH Put OTR 1 0 81000 0 ANI PHARMACEUTICALS INC COM 00182C103 2515 78251 SH OTR 2 0 78251 0 APOLLO ENDOSURGERY INC COM 03767D108 697 126535 SH OTR 2 0 126535 0 APOLLO GLOBAL MGMT INC COM 03769M106 1183 25439 SH OTR 3 0 25439 0 APPLIED OPTOELECTRONICS INC COM 03823U102 54 20000 SH SOLE 20000 0 0 ARDELYX INC COM 039697107 433 364102 SH OTR 2 0 364102 0 ATLAS CORP PUT Y0436Q959 4 12500 SH Put OTR 1 0 12500 0 ATHENEX INC COM 04685N103 67 248832 SH OTR 2 0 248832 0 AVEO PHARMACEUTICALS INC COM NEW 053588307 5638 685026 SH OTR 2 0 685026 0 AVIAT NETWORKS INC COM NEW 05366Y201 96 3500 SH SOLE 3500 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 3676 134256 SH OTR 2 0 134256 0 ANAVEX LIFE SCIENCE CORP PUT 032797950 7 13400 SH Put SOLE 13400 0 0 AVAYA HLDGS CORP PUT 05351X951 99 111800 SH Put OTR 1 0 111800 0 AXSOME THERAPEUTICS INC PUT 05464T954 9 13400 SH Put SOLE 13400 0 0 BK OF AMERICA CORP COM 060505104 1697 56195 SH OTR 3 0 56195 0 BARCLAYS PLC PUT 06738E954 13 27000 SH Put OTR 1 0 27000 0 BIOGEN INC PUT 09062X953 23 14800 SH Put SOLE 14800 0 0 BK TECHNOLOGIES CORPORATION COM 05587G104 832 345434 SH OTR 2 0 345434 0 BLACKLINE INC NOTE 3/1 09239BAD1 428 522000 PRN OTR 1 0 522000 0 BLOOMIN BRANDS INC NOTE 5.000% 5/0 094235AB4 4294 2483000 PRN OTR 1 0 2483000 0 BIOMARIN PHARMACEUTICAL INC PUT 09061G951 1 800 SH Put OTR 1 0 800 0 BIOMARIN PHARMACEUTICAL INC PUT 09061G951 4 13400 SH Put SOLE 13400 0 0 BOOKING HOLDINGS INC COM 09857L108 647 394 SH OTR 1 0 394 0 PEABODY ENERGY CORP PUT 704551950 2 19800 SH Put OTR 1 0 19800 0 CALAMP CORP COM 128126109 67 17500 SH SOLE 17500 0 0 CALAMP CORP COM 128126109 2231 581045 SH OTR 2 0 581045 0 CAPITAL ONE FINL CORP COM 14040H105 614 6664 SH OTR 3 0 6664 0 CAPSTONE GREEN ENERGY CORP COM 14067D508 396 223920 SH OTR 2 0 223920 0 CARDLYTICS INC COM 14161W105 485 51616 SH OTR 3 0 51616 0 CARVANA CO CL A 146869102 6364 313487 SH OTR 3 0 313487 0 CARNIVAL CORP NOTE 5.75%10/0 143658BT8 1249 1219000 PRN OTR 1 0 1219000 0 CARNIVAL CORP PUT 143658950 32 43600 SH Put OTR 1 0 43600 0 CELLECTAR BIOSCIENCES INC COM NEW 15117F807 140 41636 SH OTR 2 0 41636 0 CERAGON NETWORKS LTD ORD M22013102 55 30000 SH SOLE 30000 0 0 CITY OFFICE REIT INC COM 178587101 160 16050 SH SOLE 16050 0 0 CLENE INC PUT 185634952 4 40100 SH Put SOLE 40100 0 0 CINEMARK HLDGS INC NOTE 4.500% 8/1 17243VAB8 3527 3103000 PRN OTR 1 0 3103000 0 CINEMARK HLDGS INC PUT 17243V952 31 48800 SH Put OTR 1 0 48800 0 COGNITION THERAPEUTICS INC COM 19243B102 380 200188 SH OTR 2 0 200188 0 COMMSCOPE HLDG CO INC COM 20337X109 147 16000 SH SOLE 16000 0 0 CONTEXT THERAPEUTICS INC COM 21077P108 358 322628 SH OTR 2 0 322628 0 CTO RLTY GROWTH INC NEW COM 22948Q101 437 23302 SH SOLE 23302 0 0 CYCLO THERAPEUTICS INC *W EXP 11/14/202 23254X110 26 73736 SH OTR 2 0 73736 0 CYTOKINETICS INC CALL 23282W905 20 20000 SH Call SOLE 20000 0 0 DIGITAL TURBINE INC COM NEW 25400W102 397 27518 SH SOLE 27518 0 0 DZS INC COM 268211109 4669 413228 SH OTR 2 0 413228 0 EASTERLY GOVT PPTYS INC COM 27616P103 161 10200 SH SOLE 10200 0 0 ENCORE CAP EUROPE FIN LTD NOTE 4.500% 9/0 29260UAA5 2030 1740000 PRN OTR 1 0 1740000 0 ENVESTNET INC NOTE 0.750% 8/1 29404KAE6 736 870000 PRN OTR 1 0 870000 0 ENVESTNET INC COM 29404K106 856 19279 SH OTR 3 0 19279 0 EQUITY COMWLTH REIT ORD COM SH BEN INT 294628102 257 10553 SH SOLE 10553 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 471 7007 SH SOLE 7007 0 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 29 5000 SH SOLE 5000 0 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 1238 213862 SH OTR 2 0 213862 0 EVOLUS INC COM 30052C107 403 50030 SH OTR 2 0 50030 0 NATIONAL VISION HLDGS INC NOTE 2.500% 5/1 63845RAB3 177 142000 PRN OTR 1 0 142000 0 FORD MTR CO DEL NOTE 3/1 345370CZ1 122 133000 PRN OTR 1 0 133000 0 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 3726 2248000 PRN OTR 1 0 2248000 0 FLEX LTD ORD Y2573F102 167 10000 SH SOLE 10000 0 0 FRANKLIN COVEY CO COM 353469109 2354 51861 SH SOLE 51861 0 0 FRANKLIN WIRELESS CORP COM 355184102 289 98826 SH OTR 2 0 98826 0 FISKER INC PUT 33813J956 5 10300 SH Put OTR 1 0 10300 0 LIBERTY MEDIA CORP DEL NOTE 1.375%10/1 531229AB8 4471 3675000 PRN OTR 1 0 3675000 0 GUESS INC NOTE 2.000% 4/1 401617AD7 2635 2790000 PRN OTR 1 0 2790000 0 GUESS INC PUT 401617955 60 66300 SH Put OTR 1 0 66300 0 GSK PLC CALL 37733W904 18 39900 SH Call SOLE 39900 0 0 GUIDEWIRE SOFTWARE INC NOTE 1.250% 3/1 40171VAA8 1323 1460000 PRN OTR 1 0 1460000 0 HARMONIC INC COM 413160102 203 15500 SH SOLE 15500 0 0 HIGHWOODS PPTYS INC COM 431284108 214 7950 SH SOLE 7950 0 0 HILTON GRAND VACATIONS INC COM 43283X105 1576 47905 SH OTR 3 0 47905 0 HORIZON THERAPEUTICS PUB L SHS G46188101 829 13400 SH SOLE 13400 0 0 HORIZON THERAPEUTICS PUB L PUT G46188951 9 16800 SH Put SOLE 16800 0 0 INTEGRA LIFESCIENCES HLDGS C NOTE 0.500% 8/1 457985AM1 1187 1353000 PRN OTR 1 0 1353000 0 ICAD INC COM NEW 44934S206 933 444486 SH OTR 2 0 444486 0 INTERCEPT PHARMACEUTICALS IN CALL 45845P908 8 93700 SH Call SOLE 93700 0 0 IDEAL PWR INC COM NEW 451622203 547 52888 SH OTR 2 0 52888 0 IDENTIV INC COM NEW 45170X205 138 11000 SH SOLE 11000 0 0 ISHARES TR PUT 464288951 152 30400 SH Put OTR 1 0 30400 0 IMAX CORP PUT 45245E959 5 10400 SH Put OTR 1 0 10400 0 IMAX CORP NOTE 0.500% 4/0 45245EAJ8 1092 1306000 PRN OTR 1 0 1306000 0 IMEDIA BRANDS INC COM CL A 452465206 14 22500 SH SOLE 22500 0 0 INCYTE CORP PUT 45337C952 900 26800 SH Put SOLE 26800 0 0 INDEPENDENCE RLTY TR INC COM 45378A106 364 21743 SH SOLE 21743 0 0 INDIE SEMICONDUCTOR INC CLASS A COM 45569U101 62 8500 SH SOLE 8500 0 0 INDIE SEMICONDUCTOR INC CLASS A COM 45569U101 2651 362199 SH OTR 2 0 362199 0 IVERIC BIO INC PUT 46583P952 7 26800 SH Put SOLE 26800 0 0 ITERIS INC NEW COM 46564T107 811 272944 SH SOLE 272944 0 0 ISHARES TR PUT 464287955 1270 102500 SH Put OTR 2 0 102500 0 KITE RLTY GROUP TR COM NEW 49803T300 255 14800 SH SOLE 14800 0 0 LANTRONIX INC COM NEW 516548203 125 26000 SH SOLE 26000 0 0 LCI INCS NOTE 1.125% 5/1 501812AB7 1047 1210000 PRN OTR 1 0 1210000 0 LIGHTPATH TECHNOLOGIES INC COM CL A 532257805 545 509425 SH OTR 2 0 509425 0 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 1290 1044000 PRN OTR 1 0 1044000 0 LILLY ELI & CO CALL 532457908 20 13400 SH Call SOLE 13400 0 0 LOGITECH INTL S A PUT H50430952 59 21000 SH Put SOLE 21000 0 0 LIVENT CORP NOTE 4.125% 7/1 53814LAB4 4846 1344000 PRN OTR 1 0 1344000 0 MATERION CORP COM 576690101 4806 60079 SH OTR 2 0 60079 0 MICROCHIP TECHNOLOGY INC PUT 595017954 26 11400 SH Put OTR 1 0 11400 0 MADRIGAL PHARMACEUTICALS INC PUT 558868955 49 13300 SH Put SOLE 13300 0 0 ALLSCRIPTS HEALTHCARE SOLUTI NOTE 0.875% 1/0 01988PAF5 1821 1421000 PRN OTR 1 0 1421000 0 MEDICENNA THERAPEUTI CORP COM 58490H107 799 963801 SH OTR 2 0 963801 0 MICROCHIP TECHNOLOGY INC. COM 595017104 395 6473 SH OTR 1 0 6473 0 MIDDLEBY CORP NOTE 1.000% 9/0 596278AB7 1608 1401000 PRN OTR 1 0 1401000 0 MIRION TECHNOLOGIES INC COM CL A 60471A101 160 21381 SH SOLE 21381 0 0 MODERNA INC PUT 60770K957 9 13400 SH Put SOLE 13400 0 0 MYOMO INC COM NEW 62857J201 249 153936 SH OTR 2 0 153936 0 NCL CORP LTD NOTE 5.375 8/0 62886HAX9 305 309000 PRN OTR 1 0 309000 0 NETSTREIT CORP COM 64119V303 504 28317 SH SOLE 28317 0 0 NEUBASE THERAPEUTICS INC COM 64132K102 84 212035 SH OTR 2 0 212035 0 NLS PHARMACEUTICS LTD *W EXP 09/25/202 H57830111 49 194060 SH OTR 2 0 194060 0 NOKIA CORP SPONSORED ADR 654902204 171 40000 SH SOLE 40000 0 0 NATERA INC NOTE 2.250% 5/0 632307AB0 1961 1432000 PRN OTR 1 0 1432000 0 NATERA INC PUT 632307954 5 10100 SH Put OTR 1 0 10100 0 ENVISTA HOLDINGS CORPORATION NOTE 2.374% 6/0 29415FAB0 157 95000 PRN OTR 1 0 95000 0 OMNICELL COM NOTE 0.250% 9/1 68213NAD1 1891 1768000 PRN OTR 1 0 1768000 0 ONEMAIN HLDGS INC COM 68268W103 1557 52755 SH OTR 3 0 52755 0 PALO ALTO NETWORKS INC NOTE 0.750% 7/0 697435AD7 3645 1964000 PRN OTR 1 0 1964000 0 PARABELLUM ACQUISITION CORP COM CL A 69901P109 194 39221 SH OTR 2 0 39221 0 PARABELLUM ACQUISITION CORP *W EXP 99/99/999 69901P117 3 139072 SH OTR 2 0 139072 0 PARAMOUNT GROUP INC COM 69924R108 151 24300 SH SOLE 24300 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 2492 969698 SH OTR 2 0 969698 0 PIXELWORKS INC COM NEW 72581M305 8 5000 SH SOLE 5000 0 0 PIXELWORKS INC COM NEW 72581M305 606 376298 SH SOLE 376298 0 0 PLYMOUTH INDL REIT INC COM 729640102 215 12800 SH SOLE 12800 0 0 POWERFLEET INC COM 73931J109 40 13000 SH SOLE 13000 0 0 PROGRESS SOFTWARE CORP NOTE 1.000% 4/1 743312AB6 937 979000 PRN OTR 1 0 979000 0 PROCESSA PHARMACEUTICALS INC COM NEW 74275C205 160 70954 SH OTR 2 0 70954 0 PROGRESSIVE CORP COM 743315103 1862 16021 SH OTR 3 0 16021 0 PROSHARES TR SHT 7-10 YR TR 74348A608 229 8000 SH SOLE 8000 0 0 PROSHARES TR ULTRASHRT S&P500 74347G416 327 6000 SH SOLE 6000 0 0 PARSONS CORP DEL NOTE 0.250% 8/1 70202LAB8 1565 1507000 PRN SOLE 1507000 0 0 RAYMOND JAMES FINL INC COM 754730109 1794 18151 SH OTR 3 0 18151 0 RF INDS LTD COM PAR $0.01 749552105 740 128684 SH OTR 2 0 128684 0 REALOGY GRP LLC/REALOGY CO NOTE 0.250% 6/1 75606DAP6 755 1066000 PRN OTR 1 0 1066000 0 RVL PHARMACEUTICALS PLC SHS G6S41R101 390 185647 SH OTR 2 0 185647 0 SANOFI SPONSORED ADR 80105N105 630 16572 SH SOLE 16572 0 0 SAVERONE 2014 LTD *W EXP 06/02/202 80516T113 42 141364 SH OTR 2 0 141364 0 SCPHARMACEUTICALS INC COM 810648105 1229 188522 SH OTR 2 0 188522 0 SCYNEXIS INC COM NEW 811292200 1177 490609 SH OTR 2 0 490609 0 SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323207 162 45500 SH SOLE 45500 0 0 SILICOM LTD ORD M84116108 2479 70146 SH SOLE 70146 0 0 SILICON MOTION TECHNOLOGY CO SPONSORED ADR 82706C108 1880 28835 SH OTR 2 0 28835 0 SIMON PPTY GROUP INC NEW COM 828806109 256 2850 SH SOLE 2850 0 0 SIRIUS XM HOLDINGS INC COM 82968B103 166 29050 SH OTR 1 0 29050 0 SOLENO THERAPEUTICS INC COM 834203309 176 105513 SH OTR 2 0 105513 0 SONO GROUP N V COM N81409109 2222 874813 SH OTR 2 0 874813 0 SOUTHWEST AIRLS CO COM 844741108 641 20777 SH OTR 1 0 20777 0 SUNWORKS INC COM NEW 86803X204 42 15000 SH SOLE 15000 0 0 TRICIDA INC CALL 89610F901 38 26800 SH Call SOLE 26800 0 0 TRICIDA INC PUT 89610F951 123 66500 SH Put SOLE 66500 0 0 TECHTARGET INC COM 87874R100 1050 17742 SH SOLE 17742 0 0 TELA BIO INC COM 872381108 3239 380196 SH OTR 2 0 380196 0 THERATECHNOLOGIES INC COM 88338H100 1763 743423 SH OTR 2 0 743423 0 TOLL BROTHERS INC COM 889478103 286 6800 SH SOLE 6800 0 0 TRANSCODE THERAPEUTICS INC COM 89357L105 357 324157 SH OTR 2 0 324157 0 TRANSPHORM INC COM 89386L100 4584 911237 SH OTR 2 0 911237 0 TRICIDA INC COM 89610F101 249 23800 SH SOLE 23800 0 0 TWITTER INC NOTE 3/1 90184LAN2 423 457000 PRN OTR 1 0 457000 0 TWITTER INC NOTE 0.250% 6/1 90184LAF9 266 257000 PRN OTR 1 0 257000 0 TYLER TECHNOLOGIES INC COM 902252105 303 871 SH OTR 1 0 871 0 VACCINEX INC COM 918640103 251 507795 SH OTR 2 0 507795 0 VAIL RESORTS INC COM 91879Q109 267 1238 SH OTR 1 0 1238 0 VANGUARD INTL EQUITY INDEX F PUT 922042954 83 21400 SH Put SOLE 21400 0 0 WAYFAIR INC NOTE 1.000% 8/1 94419LAF8 895 1400000 PRN OTR 1 0 1400000 0 WAYFAIR INC PUT 94419L951 72 14200 SH Put OTR 1 0 14200 0 WHITESTONE REIT COM 966084204 202 23850 SH SOLE 23850 0 0 WORLD WRESTLING ENTMT INC NOTE 3.375%12/1 98156QAB4 3372 1183000 PRN OTR 1 0 1183000 0 UNITED STATES STL CORP NOTE 5.000%11/0 912909AT5 5039 3266000 PRN OTR 1 0 3266000 0 UNITED STATES STL CORP PUT 912909958 30 44600 SH Put OTR 1 0 44600 0 X4 PHARMACEUTICALS INC COM 98420X103 428 250144 SH OTR 2 0 250144 0 SELECT SECTOR SPDR TR PUT 81369Y959 15 13400 SH Put SOLE 13400 0 0 ZETA GLOBAL HOLDINGS CORP CL A 98956A105 99 15000 SH SOLE 15000 0 0