0001567619-22-003222.txt : 20220210 0001567619-22-003222.hdr.sgml : 20220210 20220210143632 ACCESSION NUMBER: 0001567619-22-003222 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20211231 FILED AS OF DATE: 20220210 DATE AS OF CHANGE: 20220210 EFFECTIVENESS DATE: 20220210 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: 22613258 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 12-31-2021 12-31-2021 DCF Advisers, LLC

73 ARCH STREET GREENWICH CT 06830

13F HOLDINGS REPORT 028-19889 N David Sven Floren 203-622-5850 /s/ David Sven Floren New York NY 02-10-2022 0 73 246604 false INFORMATION TABLE 2 form13fInfoTable.xml ABBVIE INC COM 00287Y109 13448 99318 SH SOLE 99318 0 0 ABERDEEN TOTAL DYNAMIC DIVD COM SH BEN INT 00326L100 2647 259000 SH SOLE 259000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 4317 30000 SH SOLE 30000 0 0 AERIE PHARMACEUTICALS INC COM 00771V108 1348 192065 SH SOLE 192065 0 0 AIR T INC COM 009207101 252 10004 SH SOLE 10004 0 0 ALNYLAM PHARMACEUTICALS INC COM 02043Q107 3052 18000 SH SOLE 18000 0 0 ALPHABET INC CAP STK CL C 02079K107 12587 4350 SH SOLE 4350 0 0 ALTIMMUNE INC COM NEW 02155H200 2571 280700 SH SOLE 280700 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 539 160000 SH SOLE 160000 0 0 AMGEN INC COM 031162100 2868 12750 SH SOLE 12750 0 0 APPLE INC COM 037833100 2220 12500 SH SOLE 12500 0 0 APTINYX INC COM 03836N103 152 57000 SH SOLE 57000 0 0 APTIV PLC SHS G6095L109 371 2250 SH SOLE 2250 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 465 5000 SH SOLE 5000 0 0 ARGENX SE SPONSORED ADR 04016X101 8755 25000 SH SOLE 25000 0 0 ASTRAZENECA PLC SPONSORED ADR 046353108 742 12745 SH SOLE 12745 0 0 AT&T INC COM 00206R102 2276 92500 SH SOLE 92500 0 0 BECTON DICKINSON & CO COM 075887109 503 2000 SH SOLE 2000 0 0 BK OF AMERICA CORP COM 060505104 6473 145500 SH SOLE 145500 0 0 BOULDER GROWTH & INCOME FD I COM 101507101 1179 83000 SH SOLE 83000 0 0 BOX INC CL A 10316T104 485 18500 SH SOLE 18500 0 0 BRISTOL-MYERS SQUIBB CO COM 110122108 2026 32500 SH SOLE 32500 0 0 CITIGROUP INC COM NEW 172967424 4107 68000 SH SOLE 68000 0 0 DISCOVERY INC COM SER A 25470F104 376 15990 SH SOLE 15990 0 0 EQUILLIUM INC COM 29446K106 708 187666 SH SOLE 187666 0 0 ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 29664WAB1 211 400000 PRN SOLE 400000 0 0 LILLY ELI & CO COM 532457108 3107 11250 SH SOLE 11250 0 0 ENERGY TRANSFER L P COM UT LTD PTN 29273V100 774 94000 SH SOLE 94000 0 0 FORD MTR CO DEL COM 345370860 3505 168750 SH SOLE 168750 0 0 FREEPORT-MCMORAN INC CL B 35671D857 417 10000 SH SOLE 10000 0 0 GENERAL MTRS CO COM 37045V100 4984 85000 SH SOLE 85000 0 0 GLOBAL X FDS LITHIUM BTRY ETF 37954Y855 422 5000 SH SOLE 5000 0 0 HONEYWELL INTL INC COM 438516106 1877 9000 SH Call SOLE 9000 0 0 ILLINOIS TOOL WKS INC COM 452308109 864 3500 SH SOLE 3500 0 0 IMPEL NEUROPHARMA INC COM 45258K109 2210 256027 SH SOLE 256027 0 0 INCYTE CORP COM 45337C102 5138 70000 SH SOLE 70000 0 0 INTEL CORP COM 458140100 1030 20000 SH SOLE 20000 0 0 INTRA-CELLULAR THERAPIES INC COM 46116X101 18790 359000 SH SOLE 359000 0 0 INVESCO QQQ TR UNIT SER 1 46090E103 13925 35000 SH Put SOLE 35000 0 0 ISHARES GOLD TR ISHARES NEW 464285204 3481 100000 SH SOLE 100000 0 0 ISHARES SILVER TR ISHARES 46428Q109 1452 67500 SH SOLE 67500 0 0 LENSAR INC COM 52634L108 1676 279788 SH SOLE 279788 0 0 LINEAGE CELL THERAPEUTICS IN COM 53566P109 208 85000 SH SOLE 85000 0 0 MARVELL TECHNOLOGY INC COM 573874104 1531 17500 SH SOLE 17500 0 0 MATINAS BIOPHARMA HLDGS INC COM 576810105 156 154500 SH SOLE 154500 0 0 MICRON TECHNOLOGY INC COM 595112103 16534 177500 SH SOLE 177500 0 0 MICRON TECHNOLOGY INC COM 595112103 932 10000 SH Put SOLE 10000 0 0 MICROSOFT CORP COM 594918104 841 2500 SH SOLE 2500 0 0 MORGAN STANLEY COM NEW 617446448 1227 12500 SH SOLE 12500 0 0 NEKTAR THERAPEUTICS COM 640268108 423 31300 SH SOLE 31300 0 0 NOKIA CORP SPONSORED ADR 654902204 933 150000 SH SOLE 150000 0 0 NXP SEMICONDUCTORS N V COM N6596X109 797 3500 SH SOLE 3500 0 0 ONCOCYTE CORP COM 68235C107 26 12149 SH SOLE 12149 0 0 ORACLE CORP COM 68389X105 3706 42500 SH SOLE 42500 0 0 ORACLE CORP COM 68389X105 1962 22500 SH Call SOLE 22500 0 0 QUALCOMM INC COM 747525103 1372 7500 SH SOLE 7500 0 0 OVID THERAPEUTICS INC COM 690469101 455 141701 SH SOLE 141701 0 0 PFIZER INC COM 717081103 3838 65000 SH SOLE 65000 0 0 PROTHENA CORP PLC SHS G72800108 2964 60000 SH SOLE 60000 0 0 REGENERON PHARMACEUTICALS COM 75886F107 10862 17200 SH SOLE 17200 0 0 REGENERON PHARMACEUTICALS COM 75886F107 126 200 SH Call SOLE 200 0 0 SEAGEN INC COM 81181C104 2087 13500 SH SOLE 13500 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 694 9000 SH Call SOLE 9000 0 0 SPDR GOLD TR GOLD SHS 78463V107 4274 25000 SH SOLE 25000 0 0 TURNING PT BRANDS INC COM 90041L105 4229 111926 SH SOLE 111926 0 0 VANECK ETF TRUST GOLD MINERS ETF 92189F106 3683 115000 SH SOLE 115000 0 0 VANECK ETF TRUST JUNIOR GOLD MINE 92189F791 2306 55000 SH SOLE 55000 0 0 VANGUARD INDEX FDS S&P 500 ETF SHS 922908363 28377 65000 SH Put SOLE 65000 0 0 VERIZON COMMUNICATIONS INC COM 92343V104 2598 50000 SH SOLE 50000 0 0 VIACOMCBS INC CL B 92556H206 335 11100 SH SOLE 11100 0 0 VIR BIOTECHNOLOGY INC COM 92764N102 837 20000 SH SOLE 20000 0 0 WALGREENS BOOTS ALLIANCE INC COM 931427108 261 5000 SH SOLE 5000 0 0 XENCOR INC COM 98401F105 9700 241763 SH SOLE 241763 0 0