0001728194-20-000003.txt : 20200814
0001728194-20-000003.hdr.sgml : 20200814
20200814105506
ACCESSION NUMBER: 0001728194-20-000003
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20200630
FILED AS OF DATE: 20200814
DATE AS OF CHANGE: 20200814
EFFECTIVENESS DATE: 20200814
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: 201102524
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
LIVE
false
true
false
0001728194
XXXXXXXX
06-30-2020
06-30-2020
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
08-14-2020
2
70
269741
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
ACHIEVE LIFE SCIENCE INC
COM NEW
004468203
726
1829268
SH
DFND
12,8
1829268
0
0
ACTINIUM PHARMACEUTICALS INC
COM
00507W107
1002
2850477
SH
DFND
12,8
2850477
0
0
ALTIMMUNE INC
COM NEW
02155H200
315
29400
SH
DFND
12,8
29400
0
0
AMERI HLDGS INC
*W EXP 11/08/202
02362F112
5
85231
SH
DFND
12,8
85231
0
0
ARCTURUS THERAPEUTICS HLDG I
COM
03969T109
9349
200032
SH
DFND
12,8
200032
0
0
ARTELO BIOSCIENCES INC
*W EXP 06/25/202
04301G128
7
65000
SH
DFND
12,8
65000
0
0
ASSERTIO HOLDINGS INC
COM
04546C106
372
434303
SH
DFND
12,8
434303
0
0
AVINGER INC
COM
053734604
130
420855
SH
DFND
12,8
420855
0
0
BIOCARDIA INC
COM
09060U507
58
24403
SH
DFND
12,8
24403
0
0
BIOSIG TECHNOLOGIES INC
COM NEW
09073N201
1322
183576
SH
DFND
12,8
183576
0
0
BRICKELL BIOTECH INC
COM
10802T105
1280
1280512
SH
DFND
12,8
1280512
0
0
CAN FITE BIOFARMA LTD
SPONSORED ADS
13471N201
392
197965
SH
DFND
12,8
197965
0
0
CASTLE BIOSCIENCES INC
COM
14843C105
1403
37235
SH
DFND
12,8
37235
0
0
CASTOR MARITIME INC
SHS
Y1146L109
305
761305
SH
DFND
12,8
761305
0
0
CELLECTAR BIOSCIENCES INC
COM PAR
15117F500
179
139979
SH
DFND
12,8
139979
0
0
CHECK CAP LTD
*W EXP 05/03/202
M2361E161
8
136364
SH
DFND
12,8
136364
0
0
CONTRAFECT CORP
COM NEW
212326300
9832
1538685
SH
DFND
12,8
1538685
0
0
CREATIVE REALITIES INC
*W EXP 11/09/202
22530J119
6
14600
SH
DFND
12,8
14600
0
0
CURIS INC
COM NEW
231269200
660
545638
SH
DFND
12,8
545638
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
93
18464
SH
DFND
12,8
18464
0
0
EROS INTL PLC
SHS NEW
G3788M114
2212
700000
SH
DFND
12,8
700000
0
0
FRANCHISE GROUP INC
COM
35180X105
3129
143026
SH
DFND
12,8
143026
0
0
GENIUS BRANDS INTL INC
COM
37229T301
13393
5952381
SH
DFND
12,8
5952381
0
0
GENIUS BRANDS INTL INC
COM
37229T301
36
16000
SH
Put
DFND
12,8
0
0
0
GLOBUS MARITIME LIMITED NEW
COM
Y27265407
551
2062429
SH
DFND
12,8
2062429
0
0
GROWGENERATION CORP
COM
39986L109
7353
1075000
SH
DFND
12,8
1075000
0
0
GS ACQUISITION HLDGS CORP II
UNIT 99/99/9999
36258Q204
5255
500000
SH
DFND
12,8
500000
0
0
HUDSON EXECUTIVE INVT CORP
UNIT 06/21/2025
443761200
12240
1200000
SH
DFND
12,8
1200000
0
0
IDEAYA BIOSCIENCES INC
COM
45166A102
158
11097
SH
DFND
12,8
11097
0
0
IMMUNIC INC
COM
4525EP101
1975
162952
SH
DFND
12,8
162952
0
0
INNOVATIVE INDL PPTYS INC
COM
45781V101
12401
140885
SH
DFND
12,8
140885
0
0
INOVIO PHARMACEUTICALS INC
NOTE 6.500% 3/0
45773HAB8
9956
2000000
PRN
DFND
12,8
0
0
0
INSEEGO CORP
NOTE 3.250% 5/0
45782BAD6
5241
5000000
PRN
DFND
12,8
0
0
0
KALEYRA INC
COM
483379103
625
154808
SH
DFND
12,8
154808
0
0
KEZAR LIFE SCIENCES INC
COM
49372L100
486
93751
SH
DFND
12,8
93751
0
0
KRATOS DEFENSE & SEC SOLUTIO
COM NEW
50077B207
669
42778
SH
DFND
12,8
42778
0
0
LEAP THERAPEUTICS INC
COM
52187K101
1473
704900
SH
DFND
12,8
704900
0
0
LIQUIDIA TECHNOLOGIES INC
COM
53635D202
2238
265773
SH
DFND
12,8
265773
0
0
MAGENTA THERAPEUTICS INC
COM
55910K108
3110
414077
SH
DFND
12,8
414077
0
0
MANNKIND CORP
COM NEW
56400P706
3164
1808190
SH
DFND
12,8
1808190
0
0
MEDIGUS LTD
*W EXP 07/23/202
58471G128
12
57986
SH
DFND
12,8
57986
0
0
MILESTONE SCIENTIFIC INC
COM NEW
59935P209
731
374765
SH
DFND
12,8
374765
0
0
MUSTANG BIO INC
COM
62818Q104
1170
367937
SH
DFND
12,8
367937
0
0
NANTKWEST INC
COM
63016Q102
9675
787863
SH
DFND
12,8
787863
0
0
NIKOLA CORP
COM
654110105
33765
500000
SH
DFND
12,8
500000
0
0
NIKOLA CORP
COM
654110105
49297
730000
SH
Put
DFND
12,8
0
0
0
OPEN LENDING CORP
COM CL A
68373J104
3775
250000
SH
DFND
12,8
250000
0
0
PG&E CORP
COM
69331C108
1620
182603
SH
DFND
12,8
182603
0
0
QUICKLOGIC CORP
COM NEW
74837P405
795
259940
SH
DFND
12,8
259940
0
0
RECON TECHNOLOGY LTD
SHS NEW
G7415M124
305
267241
SH
DFND
12,8
267241
0
0
REPLIMUNE GROUP INC
COM
76029N106
4627
186187
SH
DFND
12,8
186187
0
0
ROTH CH ACQUISITION I CO
UNIT 01/28/2025
778675207
2010
200000
SH
DFND
12,8
200000
0
0
SENSEONICS HLDGS INC
NOTE 5.250% 2/0
81727UAA3
1257
1500000
PRN
DFND
12,8
0
0
0
SIGMA LABS INC
*W EXP 02/15/202
826598112
10
48100
SH
DFND
12,8
48100
0
0
SOLENO THERAPEUTICS INC
COM NEW
834203200
3443
1550960
SH
DFND
12,8
1550960
0
0
SOLITON INC
COM
834251100
1292
166113
SH
DFND
12,8
166113
0
0
SONIM TECHNOLOGIES INC
COM
83548F101
811
1001778
SH
DFND
12,8
1001778
0
0
TELA BIO INC
COM
872381108
1465
113043
SH
DFND
12,8
113043
0
0
TENCENT MUSIC ENTMT GROUP
SPON ADS
88034P109
13460
1000000
SH
DFND
12,8
1000000
0
0
TETRAPHASE PHARMACEUTICALS I
COM NEW
88165N204
524
208074
SH
DFND
12,8
208074
0
0
TIMKENSTEEL CORP
NOTE 6.000% 6/0
887399AA1
8585
10455000
PRN
DFND
12,8
0
0
0
TRANSLATE BIO INC
COM
89374L104
13440
750000
SH
DFND
12,8
750000
0
0
VERB TECHNOLOGY CO INC
*W EXP 03/14/202
92337U112
70
240000
SH
DFND
12,8
240000
0
0
VERIFYME INC
*W EXP 06/22/202
92346X115
88
74500
SH
DFND
12,8
74500
0
0
VERIFYME INC
COM NEW
92346X206
62
16395
SH
DFND
12,8
16395
0
0
WINDTREE THERAPEUTICS INC
COM
97382D303
226
32267
SH
DFND
12,8
32267
0
0
XERIS PHARMACEUTICALS INC
COM
98422L107
39
14626
SH
DFND
12,8
14626
0
0
YATRA ONLINE INC
ORD SHS
G98338109
560
824320
SH
DFND
12,8
824320
0
0
YUNHONG INTL
UNIT 99/99/9999
G98882114
3518
350000
SH
DFND
12,8
350000
0
0