0001567619-21-020197.txt : 20211115
0001567619-21-020197.hdr.sgml : 20211115
20211115111129
ACCESSION NUMBER: 0001567619-21-020197
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20210930
FILED AS OF DATE: 20211115
DATE AS OF CHANGE: 20211115
EFFECTIVENESS DATE: 20211115
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: 211407583
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
09-30-2021
09-30-2021
DCF Advisers, LLC
73 ARCH STREET
GREENWICH
CT
06830
13F HOLDINGS REPORT
028-19889
N
David Sven Floren
Managing Member
203-622-5850
/s/ David Sven Floren
New York
NY
11-15-2021
0
81
226537
false
INFORMATION TABLE
2
form13fInfoTable.xml
ABBVIE INC
COM
00287Y109
8387
77750
SH
SOLE
77750
0
0
ABERDEEN TOTAL DYNAMIC DIVD
COM SH BEN INT
00326L100
2523
259000
SH
SOLE
259000
0
0
ADAMAS PHARMACEUTICALS INC
COM
00548A106
687
140000
SH
SOLE
140000
0
0
ADVANCED MICRO DEVICES INC
COM
007903107
4116
40000
SH
SOLE
40000
0
0
AERIE PHARMACEUTICALS INC
COM
00771V108
1556
136501
SH
SOLE
136501
0
0
AIR T INC
COM
009207101
277
9671
SH
SOLE
9671
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
2147
14500
SH
SOLE
14500
0
0
ALIBABA GROUP HLDG LTD
SPONSORED ADS
01609W102
1110
7500
SH
Call
SOLE
7500
0
0
ALNYLAM PHARMACEUTICALS INC
COM
02043Q107
3304
17500
SH
SOLE
17500
0
0
ALPHABET INC
CAP STK CL C
02079K107
11594
4350
SH
SOLE
4350
0
0
ALTIMMUNE INC
COM NEW
02155H200
2705
239200
SH
SOLE
239200
0
0
AMARIN CORP PLC
SPONS ADR NEW
023111206
816
160000
SH
SOLE
160000
0
0
AMAZON COM INC
COM
023135106
986
300
SH
Call
SOLE
300
0
0
AMGEN INC
COM
031162100
2392
11250
SH
SOLE
11250
0
0
APPLE INC
COM
037833100
1769
12500
SH
SOLE
12500
0
0
APTINYX INC
COM
03836N103
267
114000
SH
SOLE
114000
0
0
APTIV PLC
SHS
G6095L109
335
2250
SH
SOLE
2250
0
0
ARENA PHARMACEUTICALS INC
COM NEW
040047607
298
5000
SH
SOLE
5000
0
0
ARGENX SE
SPONSORED ADR
04016X101
7550
25000
SH
SOLE
25000
0
0
ASTRAZENECA PLC
SPONSORED ADR
046353108
765
12745
SH
SOLE
12745
0
0
AT&T INC
COM
00206R102
1621
60000
SH
SOLE
60000
0
0
BECTON DICKINSON & CO
COM
075887109
737
3000
SH
SOLE
3000
0
0
BK OF AMERICA CORP
COM
060505104
6368
150000
SH
SOLE
150000
0
0
BIOGEN INC
COM
09062X103
566
2000
SH
SOLE
2000
0
0
BOULDER GROWTH & INCOME FD I
COM
101507101
1088
83000
SH
SOLE
83000
0
0
BOX INC
CL A
10316T104
438
18500
SH
SOLE
18500
0
0
BRISTOL-MYERS SQUIBB CO
COM
110122108
1923
32500
SH
SOLE
32500
0
0
CITIGROUP INC
COM NEW
172967424
4562
65000
SH
SOLE
65000
0
0
DISCOVERY INC
COM SER A
25470F104
635
25000
SH
SOLE
25000
0
0
EQUILLIUM INC
COM
29446K106
1266
185666
SH
SOLE
185666
0
0
LILLY ELI & CO
COM
532457108
2599
11250
SH
SOLE
11250
0
0
LILLY ELI & CO
COM
532457108
578
2500
SH
Call
SOLE
2500
0
0
ENERGY TRANSFER L P
COM UT LTD PTN
29273V100
206
21500
SH
SOLE
21500
0
0
FORD MTR CO DEL
COM
345370860
1876
132500
SH
SOLE
132500
0
0
FREEPORT-MCMORAN INC
CL B
35671D857
325
10000
SH
SOLE
10000
0
0
GENERAL MTRS CO
COM
37045V100
4744
90000
SH
SOLE
90000
0
0
GLOBAL X FDS
LITHIUM BTRY ETF
37954Y855
779
9500
SH
SOLE
9500
0
0
ILLINOIS TOOL WKS INC
COM
452308109
723
3500
SH
SOLE
3500
0
0
IMPEL NEUROPHARMA INC
COM
45258K109
1827
150000
SH
SOLE
150000
0
0
INCYTE CORP
COM
45337C102
4815
70000
SH
SOLE
70000
0
0
INCYTE CORP
COM
45337C102
344
5000
SH
Call
SOLE
5000
0
0
INTRA-CELLULAR THERAPIES INC
COM
46116X101
14129
379000
SH
SOLE
379000
0
0
ISHARES GOLD TR
ISHARES NEW
464285204
3341
100000
SH
SOLE
100000
0
0
ISHARES SILVER TR
ISHARES
46428Q109
1642
80000
SH
SOLE
80000
0
0
KIRKLANDS INC
COM
497498105
211
11000
SH
SOLE
11000
0
0
LENSAR INC
COM
52634L108
2140
279788
SH
SOLE
279788
0
0
LINEAGE CELL THERAPEUTICS IN
COM
53566P109
219
87000
SH
SOLE
87000
0
0
MARVELL TECHNOLOGY INC
COM
573874104
1055
17500
SH
SOLE
17500
0
0
MATINAS BIOPHARMA HLDGS INC
COM
576810105
201
154500
SH
SOLE
154500
0
0
MICRON TECHNOLOGY INC
COM
595112103
12599
177500
SH
SOLE
177500
0
0
MICRON TECHNOLOGY INC
COM
595112103
355
5000
SH
Call
SOLE
5000
0
0
MICROSOFT CORP
COM
594918104
705
2500
SH
SOLE
2500
0
0
MORGAN STANLEY
COM NEW
617446448
1216
12500
SH
SOLE
12500
0
0
NEKTAR THERAPEUTICS
COM
640268108
562
31300
SH
SOLE
31300
0
0
NOKIA CORP
SPONSORED ADR
654902204
818
150000
SH
SOLE
150000
0
0
NXP SEMICONDUCTORS N V
COM
N6596X109
686
3500
SH
SOLE
3500
0
0
ONCOCYTE CORP
COM
68235C107
43
12149
SH
SOLE
12149
0
0
ORACLE CORP
COM
68389X105
3485
40000
SH
SOLE
40000
0
0
QUALCOMM INC
COM
747525103
967
7500
SH
SOLE
7500
0
0
OVID THERAPEUTICS INC
COM
690469101
476
141701
SH
SOLE
141701
0
0
PAYSAFE LIMITED
ORD
G6964L107
853
110000
SH
SOLE
110000
0
0
PFIZER INC
COM
717081103
2796
65000
SH
SOLE
65000
0
0
PROCTER AND GAMBLE CO
COM
742718109
1049
7500
SH
Put
SOLE
7500
0
0
PROSHARES TR
PSHS ULTSH 20YRS
74347B201
551
30000
SH
SOLE
30000
0
0
PROTHENA CORP PLC
SHS
G72800108
4274
60000
SH
SOLE
60000
0
0
QUOTIENT LTD
SHS
G73268107
196
83937
SH
SOLE
83937
0
0
REGENERON PHARMACEUTICALS
COM
75886F107
9683
16000
SH
SOLE
16000
0
0
SEAGEN INC
COM
81181C104
2292
13500
SH
SOLE
13500
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
6652
15500
SH
Call
SOLE
15500
0
0
SPDR S&P 500 ETF TR
TR UNIT
78462F103
28967
67500
SH
Put
SOLE
67500
0
0
SPDR GOLD TR
GOLD SHS
78463V107
3695
22500
SH
SOLE
22500
0
0
SPDR GOLD TR
GOLD SHS
78463V107
2628
16000
SH
Call
SOLE
16000
0
0
TURNING PT BRANDS INC
COM
90041L105
4823
101000
SH
SOLE
101000
0
0
VANECK ETF TRUST
GOLD MINERS ETF
92189F106
5157
175000
SH
SOLE
175000
0
0
VANECK ETF TRUST
JUNIOR GOLD MINE
92189F791
1534
40000
SH
SOLE
40000
0
0
VERIZON COMMUNICATIONS INC
COM
92343V104
5401
100000
SH
SOLE
100000
0
0
VIACOMCBS INC
CL B
92556H206
494
12500
SH
SOLE
12500
0
0
VIR BIOTECHNOLOGY INC
COM
92764N102
1219
28000
SH
SOLE
28000
0
0
WALGREENS BOOTS ALLIANCE INC
COM
931427108
235
5000
SH
SOLE
5000
0
0
VELO3D INC
*W EXP 12/01/202
92259N112
72
42000
SH
SOLE
42000
0
0
XENCOR INC
COM
98401F105
7512
230000
SH
SOLE
230000
0
0