0001567619-20-002892.txt : 20200212 0001567619-20-002892.hdr.sgml : 20200212 20200212125911 ACCESSION NUMBER: 0001567619-20-002892 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20191231 FILED AS OF DATE: 20200212 DATE AS OF CHANGE: 20200212 EFFECTIVENESS DATE: 20200212 FILER: COMPANY DATA: COMPANY CONFORMED NAME: DCF Advisers, LLC CENTRAL INDEX KEY: 0001802493 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19889 FILM NUMBER: 20602906 BUSINESS ADDRESS: STREET 1: 73 ARCH STREET CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 203.622.5850 MAIL ADDRESS: STREET 1: 73 ARCH STREET CITY: GREENWICH STATE: CT ZIP: 06830 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001802493 XXXXXXXX 12-31-2019 12-31-2019 DCF Advisers, LLC

73 ARCH STREET GREENWICH CT 06830

13F HOLDINGS REPORT 028-19889 N David Sven Floren 203-622-5850 David Sven Floren New York NY 02-12-2020 0 69 157917 false INFORMATION TABLE 2 form13fInfoTable.xml ABBVIE INC COM 00287Y109 5188 58600 SH SOLE 58600 0 0 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN IN 00326L100 2519 281417 SH SOLE 281417 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 318 83875 SH SOLE 83875 0 0 ADVANCED MICRO DEVICES INC COM 007903107 3898 85000 SH SOLE 85000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 495 20500 SH SOLE 20500 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 4607 40000 SH SOLE 40000 0 0 ALPHABET INC CAP STK CL C 02079K107 7688 5750 SH SOLE 5750 0 0 ALTERYX INC COM CL A 02156B103 500 5000 SH SOLE 5000 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 3216 150000 SH SOLE 150000 0 0 AMGEN INC COM 031162100 3013 12500 SH SOLE 12500 0 0 APPLE INC COM 037833100 734 2500 SH SOLE 2500 0 0 APTINYX INC COM 03836N103 312 91300 SH SOLE 91300 0 0 APTIV PLC SHS G6095L109 475 5000 SH SOLE 5000 0 0 ARGENX SE SPONSORED ADR 04016X101 3531 22000 SH SOLE 22000 0 0 AT&T INC COM 00206R102 5862 150000 SH SOLE 150000 0 0 BANK AMER CORP COM 060505104 5635 160000 SH SOLE 160000 0 0 BECTON DICKINSON & CO COM 075887109 1360 5000 SH Call SOLE 5000 0 0 BLACKROCK ENHANCED INTL DIV COM BENE INTER 092524107 71 12000 SH SOLE 12000 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 693 58783 SH SOLE 58783 0 0 BOX INC CL A 10316T104 587 35000 SH SOLE 35000 0 0 BOX INC CL A 10316T104 252 15000 SH Call SOLE 15000 0 0 BRISTOL MYERS SQUIBB CO COM 110122108 3819 59500 SH SOLE 59500 0 0 CITIGROUP INC COM NEW 172967424 5992 75000 SH SOLE 75000 0 0 CISCO SYS INC COM 17275R102 719 15000 SH Call SOLE 15000 0 0 ENCANA CORP COM 292505104 2310 492500 SH SOLE 492500 0 0 ENERGY TRANSFER LP COM UT LTD PTN 29273V100 257 20000 SH SOLE 20000 0 0 ERICSSON ADR B SEK 10 294821608 307 35000 SH SOLE 35000 0 0 ESPERION THERAPEUTICS INC NE COM 29664W105 894 15000 SH SOLE 15000 0 0 FIBROGEN INC COM 31572Q808 751 17500 SH SOLE 17500 0 0 FRESENIUS MED CARE AG&CO KGA SPONSORED ADR 358029106 1381 37500 SH SOLE 37500 0 0 VANECK VECTORS ETF TRUST GOLD MINERS ETF 92189F106 732 25000 SH Call SOLE 25000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 5716 40000 SH Call SOLE 40000 0 0 HOME DEPOT INC COM 437076102 2184 10000 SH SOLE 10000 0 0 HOME DEPOT INC COM 437076102 546 2500 SH Call SOLE 2500 0 0 INTERNATIONAL BUSINESS MACHS COM 459200101 2011 15000 SH Call SOLE 15000 0 0 IDERA PHARMACEUTICALS INC COM PAR 45168K405 93 51051 SH SOLE 51051 0 0 ISHARES INC CORE MSCI EMKT 46434G103 1129 21000 SH Call SOLE 21000 0 0 INCYTE CORP COM 45337C102 3929 45000 SH SOLE 45000 0 0 INTEL CORP COM 458140100 599 10000 SH SOLE 10000 0 0 INTRA CELLULAR THERAPIES INC COM 46116X101 16060 468073 SH SOLE 468073 0 0 ISHARES GOLD TRUST ISHARES 464285105 2900 200000 SH SOLE 200000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 3313 20000 SH Call SOLE 20000 0 0 KIRKLANDS INC COM 497498105 331 267119 SH SOLE 267119 0 0 MACYS INC COM 55616P104 1275 75000 SH SOLE 75000 0 0 MACYS INC COM 55616P104 510 30000 SH Call SOLE 30000 0 0 MATINAS BIOPHARMA HLDGS INC COM 576810105 622 274009 SH SOLE 274009 0 0 MICRON TECHNOLOGY INC COM 595112103 8067 150000 SH SOLE 150000 0 0 NEKTAR THERAPEUTICS COM 640268108 928 43000 SH SOLE 43000 0 0 NOKIA CORP SPONSORED ADR 654902204 557 150000 SH SOLE 150000 0 0 NOKIA CORP SPONSORED ADR 654902204 371 100000 SH Call SOLE 100000 0 0 NORTONLIFELOCK INC COM 668771108 1021 40000 SH SOLE 40000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 445 3500 SH SOLE 3500 0 0 ORACLE CORP COM 68389X105 3444 65000 SH SOLE 65000 0 0 QUALCOMM INC COM 747525103 882 10000 SH SOLE 10000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 5031 13400 SH SOLE 13400 0 0 SANGAMO THERAPEUTICS INC COM 800677106 451 53900 SH SOLE 53900 0 0 SANGAMO THERAPEUTICS INC COM 800677106 124 14800 SH Call SOLE 14800 0 0 SEATTLE GENETICS INC COM 812578102 1942 17000 SH SOLE 17000 0 0 SCHLUMBERGER LTD COM 806857108 2010 50000 SH Call SOLE 50000 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 9289 65000 SH SOLE 65000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 1609 5000 SH Put SOLE 5000 0 0 SQUARE INC CL A 852234103 313 5000 SH SOLE 5000 0 0 SQUARE INC CL A 852234103 938 15000 SH Call SOLE 15000 0 0 TEXAS INSTRS INC COM 882508104 1283 10000 SH Call SOLE 10000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 921 15000 SH SOLE 15000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 4298 70000 SH Call SOLE 70000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 1179 20000 SH Call SOLE 20000 0 0 XENCOR INC COM 98401F105 1940 56425 SH SOLE 56425 0 0 XILINX INC COM 983919101 1540 15750 SH SOLE 15750 0 0