CHIEF COMPLIANCE OFFICER

0001696778-19-000004.txt : 20190515 0001696778-19-000004.hdr.sgml : 20190515 20190515142507 ACCESSION NUMBER: 0001696778-19-000004 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190331 FILED AS OF DATE: 20190515 DATE AS OF CHANGE: 20190515 EFFECTIVENESS DATE: 20190515 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: 19827139 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001696778 XXXXXXXX 03-31-2019 03-31-2019 Worth Venture Partners, LLC

805 THIRD AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-17947 N LAURENCE E. WISEMAN CHIEF COMPLIANCE OFFICER 212-558-9017 LAURENCE E. WISEMAN NEW YORK NY 05-15-2019 1 204 165104 false 1 0001578299 028-17749 DLD Asset Management, LP INFORMATION TABLE 2 13Flist5.xml A10 NETWORKS INC COM 002121101 266 37576 SH SOLE 37576 0 0 ABBVIE INC PUT 00287Y959 7 22500 SH Put OTR 1 0 22500 0 ACHIEVE LIFE SCIENCES ORD COM NEW 004468203 304 94250 SH SOLE 94250 0 0 ACHIEVE LIFE SCIENCES ORD COM NEW 004468203 95 29404 SH SOLE 29404 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 319 44805 SH SOLE 44805 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 106 14935 SH SOLE 14935 0 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 3378 1033000 PRN OTR 1 0 1033000 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 1955 598000 PRN OTR 1 0 598000 0 ADVANCED MICRO DEVICES INC NOTE 2.125% 9/0 007903BD8 12331 3771000 PRN OTR 1 0 3771000 0 AIRGAIN ORD COM 00938A104 1105 86119 SH SOLE 86119 0 0 ALLOT COMMUNICATIONS LTD SHS M0854Q105 733 92283 SH SOLE 92283 0 0 AMERICAN SUPERCONDUCTOR CORP SHS NEW 030111207 992 77138 SH SOLE 77138 0 0 AMERICAN SUPERCONDUCTOR CORP SHS NEW 030111207 349 27169 SH SOLE 27169 0 0 AMGEN INC COM 031162100 2384 12548 SH OTR 1 0 12548 0 AMGEN INC PUT 031162950 104 37700 SH Put OTR 1 0 37700 0 AMGEN INC PUT 031162950 1 300 SH Put OTR 1 0 300 0 APOLLO ENDOSURGERY ORD COM 03767D108 106 28223 SH SOLE 28223 0 0 APOLLO ENDOSURGERY ORD COM 03767D108 106 28223 SH SOLE 28223 0 0 APTEVO THERAPEUTICS INC COM 03835L108 290 321750 SH SOLE 321750 0 0 APTEVO THERAPEUTICS INC COM 03835L108 97 107250 SH SOLE 107250 0 0 AVID TECHNOLOGY INC COM 05367P100 1416 190116 SH SOLE 190116 0 0 AVID TECHNOLOGY INC COM 05367P100 472 63371 SH SOLE 63371 0 0 BIOCRYST PHARMACEUTICALS CALL 09058V903 0 100 SH Call OTR 1 0 100 0 BIOCRYST PHARMACEUTICALS CALL 09058V903 49 16100 SH Call OTR 1 0 16100 0 BIOCRYST PHARMACEUTICALS PUT 09058V953 63 16200 SH Put OTR 1 0 16200 0 BIOGEN INC PUT 09062X953 1176 15800 SH Put OTR 1 0 15800 0 BIOGEN INC COM 09062X103 3735 15800 SH OTR 1 0 15800 0 BIOMARIN PHARMACEUTICAL INC PUT 09061G951 2 3500 SH Put OTR 1 0 3500 0 BIOMARIN PHARMACEUTICAL INC PUT 09061G951 6 115 SH Put OTR 1 0 115 0 BIOMARIN PHARMACEUTICAL INC PUT 09061G951 11 2900 SH Put OTR 1 0 2900 0 BIOMARIN PHARMACEUTICAL INC PUT 09061G951 36 96 SH Put OTR 1 0 96 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 697 7849 SH OTR 1 0 7849 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 2270 25551 SH OTR 1 0 25551 0 BIONANO GENOMICS EQY WARRANT WRNT 6.13 21 Sep 23 *W EXP 08/21/202 09075F115 79 62423 SH SOLE 62423 0 0 BIONANO GENOMICS EQY WARRANT WRNT 6.13 21 Sep 23 *W EXP 08/21/202 09075F115 33 26023 SH SOLE 26023 0 0 BIONANO GENOMICS ORD COM 09075F107 270 61882 SH SOLE 61882 0 0 BIONANO GENOMICS ORD COM 09075F107 112 25631 SH SOLE 25631 0 0 BOOKING HLDGS INC PUT 09857L958 9 200 SH Put OTR 1 0 200 0 BOOKING HLDGS INC PUT 09857L958 37 8 SH Put OTR 1 0 8 0 BOOKING HOLDINGS ORD COM 09857L108 501 287 SH OTR 1 0 287 0 BOOKING HOLDINGS ORD COM 09857L108 1593 913 SH OTR 1 0 913 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 1192 821000 PRN OTR 1 0 821000 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 2570 1770000 PRN OTR 1 0 1770000 0 CAESARS ENTMT CORP NOTE 5.000%10/0 127686AA1 3886 2676000 PRN OTR 1 0 2676000 0 CAESARS ENTMT CORP PUT 127686953 2 4600 SH Put OTR 1 0 4600 0 CAESARS ENTMT CORP PUT 127686953 4 11900 SH Put OTR 1 0 11900 0 CAESARS ENTMT CORP PUT 127686953 5 149 SH Put OTR 1 0 149 0 CARA THERAPEUTICS INC CALL 140755909 35 15900 SH Call OTR 1 0 15900 0 CASSAVA SCIENCES ORD COM 14817C107 278 215745 SH SOLE 215745 0 0 CASSAVA SCIENCES ORD COM 14817C107 94 72618 SH SOLE 72618 0 0 CHESAPEAKE ENERGY CORP COM 165167107 72 23311 SH OTR 1 0 23311 0 CHESAPEAKE ENERGY CORP COM 165167107 235 75889 SH OTR 1 0 75889 0 CLEARFIELD INC COM 18482P103 654 44498 SH SOLE 44498 0 0 CONATUS PHARMACEUTICALS INC CALL 20600T908 1 45800 SH Call OTR 1 0 45800 0 CONATUS PHARMACEUTICALS INC CALL 20600T908 0 600 SH Call OTR 1 0 600 0 CORREVIO PHARMA CORP COM 22026V105 408 129051 SH SOLE 129051 0 0 CORREVIO PHARMA CORP COM 22026V105 136 43015 SH SOLE 43015 0 0 DERMIRA INC COM 24983L104 447 33000 SH SOLE 33000 0 0 DERMIRA INC COM 24983L104 149 11000 SH SOLE 11000 0 0 DIAMEDICA THERAPEUTI ORD COM NEW 25253X207 408 89898 SH SOLE 89898 0 0 DIAMEDICA THERAPEUTI ORD COM NEW 25253X207 136 29965 SH SOLE 29965 0 0 DIGITAL TURBINE INC COM NEW 25400W102 883 252373 SH SOLE 252373 0 0 DSP GROUP INC COM 23332B106 671 47697 SH SOLE 47697 0 0 ENTERA BIO LTD *W EXP 06/27/202 M40527117 13 13943 SH OTR 1 0 13943 0 ENTERA BIO LTD SHS M40527109 65 14949 SH OTR 1 0 14949 0 FOAMIX PHARMACEUTICALS LTD SHS M46135105 51 13500 SH OTR 1 0 13500 0 HERBALIFE NUTRITION LTD PUT G4412G951 0 1400 SH Put OTR 1 0 1400 0 HERBALIFE NUTRITION LTD PUT G4412G951 2 96 SH Put OTR 1 0 96 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 733 588000 PRN OTR 1 0 588000 0 HERBALIFE LTD NOTE 2.000% 8/1 42703MAB9 5498 4412000 PRN OTR 1 0 4412000 0 HORIZON PHARMA INVT LTD NOTE 2.500% 3/1 44052TAB7 807 710000 PRN OTR 1 0 710000 0 HORIZON PHARMA INVT LTD NOTE 2.500% 3/1 44052TAB7 554 487000 PRN OTR 1 0 487000 0 HORIZON PHARMA INVT LTD NOTE 2.500% 3/1 44052TAB7 2625 2308000 PRN OTR 1 0 2308000 0 IMMUNOGEN INC PUT 45253H951 127 53300 SH Put OTR 1 0 53300 0 IMMUNOGEN INC PUT 45253H951 6 2500 SH Put OTR 1 0 2500 0 IMMUNOGEN INC COM 45253H101 145 53382 SH OTR 1 0 53382 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 808 807000 PRN OTR 1 0 807000 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 1179 1178000 PRN OTR 1 0 1178000 0 INTERCEPT PHARMACEUTICALS IN NOTE 3.250% 7/0 45845PAA6 2962 2959000 PRN OTR 1 0 2959000 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 9 11500 SH Put OTR 1 0 11500 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 19 23400 SH Put OTR 1 0 23400 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 33 415 SH Put OTR 1 0 415 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 1 700 SH Call OTR 1 0 700 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 19 21200 SH Put OTR 1 0 21200 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 30 34600 SH Put OTR 1 0 34600 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 61 696 SH Put OTR 1 0 696 0 INTERCEPT PHARMACEUTICALS IN PUT 45845P958 0 100 SH Put OTR 1 0 100 0 INTEVAC INC COM 461148108 53 8598 SH SOLE 8598 0 0 INTEVAC INC COM 461148108 18 2866 SH SOLE 2866 0 0 INTRA CELLULAR THERAPIES INC CALL 46116X901 8 11300 SH Call OTR 1 0 11300 0 INTRA CELLULAR THERAPIES INC CALL 46116X901 35 56200 SH Call OTR 1 0 56200 0 ISHARES TR RUSSELL 2000 ETF 464287655 291 1898 SH SOLE 1898 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 1457 9516 SH SOLE 9516 0 0 ISHARES TR PUT 464287955 285 37500 SH Put SOLE 37500 0 0 ISHARES TR PUT 464287955 95 12500 SH Put SOLE 12500 0 0 KBR INC PUT 48242W956 1 10400 SH Put OTR 1 0 10400 0 KBR INC PUT 48242W956 3 337 SH Put OTR 1 0 337 0 KNOWLES CORP COM 49926D109 841 47697 SH SOLE 47697 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 461 71707 SH SOLE 71707 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 154 23900 SH SOLE 23900 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 398 53800 SH SOLE 53800 0 0 MAGNACHIP SEMICONDUCTOR CORP COM 55933J203 120 16250 SH SOLE 16250 0 0 MEDICINES CO NOTE 2.750% 7/1 584688AG0 723 857000 PRN OTR 1 0 857000 0 MEDICINES CO NOTE 2.750% 7/1 584688AG0 1199 1421000 PRN OTR 1 0 1421000 0 MEDICINES CO NOTE 2.750% 7/1 584688AG0 2572 3048000 PRN OTR 1 0 3048000 0 MEDICINES CO PUT 584688955 4 3400 SH Put OTR 1 0 3400 0 MEDICINES CO PUT 584688955 4 4100 SH Put OTR 1 0 4100 0 MEDICINES CO PUT 584688955 9 86 SH Put OTR 1 0 86 0 MEDICINES CO PUT 584688955 39 17500 SH Put OTR 1 0 17500 0 MEDICINES CO PUT 584688955 77 34400 SH Put OTR 1 0 34400 0 MEDICINES CO PUT 584688955 139 626 SH Put OTR 1 0 626 0 MEDICINES CO PUT 584688955 122 33900 SH Put OTR 1 0 33900 0 MEDICINES CO PUT 584688955 199 55400 SH Put OTR 1 0 55400 0 MEDICINES CO PUT 584688955 433 1204 SH Put OTR 1 0 1204 0 MILLENDO THERAPEUTICS INC COM 60040X103 169 11240 SH SOLE 11240 0 0 MILLENDO THERAPEUTICS INC COM 60040X103 107 7117 SH SOLE 7117 0 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 4789 1402000 PRN OTR 1 0 1402000 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 11756 3442000 PRN OTR 1 0 3442000 0 MOLINA HEALTHCARE INC NOTE 1.125% 1/1 60855RAC4 16607 4862000 PRN OTR 1 0 4862000 0 NANO DIMENSION LTD SPONS ADR 63008G104 282 397247 SH SOLE 397247 0 0 NANO DIMENSION LTD SPONS ADR 63008G104 94 132416 SH SOLE 132416 0 0 NANO DIMENSION LTD SPONS ADR 63008G104 13 299993 SH SOLE 299993 0 0 NANO DIMENSION LTD SPONS ADR 63008G104 4 99998 SH SOLE 99998 0 0 NANO DIMENSION LTD SPONS ADR 63008G104 70 399990 SH SOLE 399990 0 0 NANO DIMENSION LTD SPONS ADR 63008G104 23 133330 SH SOLE 133330 0 0 NANOVIBRONIX INC COM 63008J108 41 10000 SH SOLE 10000 0 0 NANOVIBRONIX INC COM 63008J108 41 10000 SH SOLE 10000 0 0 NEWLINK GENETICS CORP COM 651511107 356 184239 SH SOLE 184239 0 0 NEWLINK GENETICS CORP COM 651511107 119 61410 SH SOLE 61410 0 0 NOVAVAX INC CALL 670002904 1 22500 SH Call OTR 1 0 22500 0 NOVAVAX INC CALL 670002904 1 14800 SH Call OTR 1 0 14800 0 NOVAVAX INC CALL 670002904 0 100 SH Call OTR 1 0 100 0 NOVAVAX INC CALL 670002904 0 6100 SH Call OTR 1 0 6100 0 PDVWIRELESS INC COM 69290R104 83 2363 SH OTR 1 0 2363 0 PIXELWORKS INC COM NEW 72581M305 904 230628 SH SOLE 230628 0 0 PROGENICS PHARMACEUTICALS IN COM 743187106 481 103768 SH SOLE 103768 0 0 PROGENICS PHARMACEUTICALS IN COM 743187106 160 34589 SH SOLE 34589 0 0 QUALCOMM INC CALL 747525903 3 27300 SH Call OTR 1 0 27300 0 QUALCOMM INC PUT 747525953 1 9000 SH Put OTR 1 0 9000 0 QUALCOMM INC PUT 747525953 3 22500 SH Put OTR 1 0 22500 0 QUALCOMM INC CALL 747525903 59 21000 SH Call OTR 1 0 21000 0 QUALCOMM INC PUT 747525953 85 110100 SH Put OTR 1 0 110100 0 QUALCOMM INC COM 747525103 876 15355 SH OTR 1 0 15355 0 QUANTENNA COMMUNICAT ORD COM 74766D100 368 15119 SH SOLE 15119 0 0 QUICKLOGIC CORP COM 74837P108 59 97282 SH SOLE 97282 0 0 QUICKLOGIC CORP COM 74837P108 18 28812 SH SOLE 28812 0 0 REALPAGE INC NOTE 1.500%11/1 75606NAB5 68 44000 PRN OTR 1 0 44000 0 REALPAGE INC NOTE 1.500%11/1 75606NAB5 786 509000 PRN OTR 1 0 509000 0 RETROPHIN INC NOTE 2.500% 9/1 761299AB2 1161 1233000 PRN OTR 1 0 1233000 0 RETROPHIN INC NOTE 2.500% 9/1 761299AB2 671 712000 PRN OTR 1 0 712000 0 RETROPHIN INC NOTE 2.500% 9/1 761299AB2 3785 4018000 PRN OTR 1 0 4018000 0 RETROPHIN INC PUT 761299956 15 8600 SH Put OTR 1 0 8600 0 RETROPHIN INC PUT 761299956 19 10300 SH Put OTR 1 0 10300 0 RETROPHIN INC PUT 761299956 50 279 SH Put OTR 1 0 279 0 RF INDS LTD COM PAR $0.01 749552105 344 51048 SH SOLE 51048 0 0 RF INDS LTD COM PAR $0.01 749552105 172 25524 SH SOLE 25524 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 322 164358 SH SOLE 164358 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 141 54785 SH SOLE 54785 0 0 SANOFI CONTINGENT VALUE RTS RIGHTS RIGHT 12/31/2020 80105N113 13 28979 SH OTR 1 0 28979 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 1361 754000 PRN OTR 1 0 754000 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 6617 3665000 PRN OTR 1 0 3665000 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 4358 2414000 PRN OTR 1 0 2414000 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 139 1224 SH SOLE 1224 0 0 SELECT SECTOR SPDR TR SBI CONS DISCR 81369Y407 704 6181 SH SOLE 6181 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 60 1074 SH SOLE 1074 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 304 5415 SH SOLE 5415 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 62 2423 SH SOLE 2423 0 0 SELECT SECTOR SPDR TR SBI INT-FINL 81369Y605 312 12144 SH SOLE 12144 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 222 2420 SH SOLE 2420 0 0 SELECT SECTOR SPDR TR SBI HEALTHCARE 81369Y209 1119 12192 SH SOLE 12192 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 102 1362 SH SOLE 1362 0 0 SELECT SECTOR SPDR TR SBI INT-INDS 81369Y704 517 6892 SH SOLE 6892 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 10 168 SH SOLE 168 0 0 SELECT SECTOR SPDR TR SBI INT-UTILS 81369Y886 49 842 SH SOLE 842 0 0 SILICOM LTD ORD M84116108 1199 31335 SH SOLE 31335 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 116 1284 SH SOLE 1284 0 0 SPDR SERIES TRUST S&P BIOTECH 78464A870 589 6509 SH SOLE 6509 0 0 SPDR SERIES TRUST S&P PHARMAC 78464A722 59 1424 SH SOLE 1424 0 0 SPDR SERIES TRUST S&P PHARMAC 78464A722 300 7211 SH SOLE 7211 0 0 SQUARE INC NOTE 0.375% 3/0 852234AB9 2964 904000 PRN OTR 1 0 904000 0 SQUARE INC NOTE 0.375% 3/0 852234AB9 4246 1295000 PRN OTR 1 0 1295000 0 SQUARE INC NOTE 0.375% 3/0 852234AB9 23733 7239000 PRN OTR 1 0 7239000 0 TITAN MEDICAL ORD COM NEW 88830X819 241 86165 SH SOLE 86165 0 0 TITAN MEDICAL ORD COM NEW 88830X819 80 28721 SH SOLE 28721 0 0 TRANSOCEAN LTD REG SHS H8817H100 149 17155 SH OTR 1 0 17155 0 TRANSOCEAN LTD REG SHS H8817H100 486 55845 SH OTR 1 0 55845 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 101 503 SH SOLE 503 0 0 VANGUARD WORLD FDS INF TECH ETF 92204A702 505 2518 SH SOLE 2518 0 0 VISTAGEN THERAPEUTICS INC COM NEW 92840H202 152 118758 SH SOLE 118758 0 0 VISTAGEN THERAPEUTICS INC COM NEW 92840H202 51 39585 SH SOLE 39585 0 0 VUZIX CORP COM NEW 92921W300 502 163949 SH SOLE 163949 0 0 VUZIX CORP COM NEW 92921W300 167 54651 SH SOLE 54651 0 0 WEATHERFORD INTL PLC ORD SHS G48833100 12 17000 SH OTR 1 0 17000 0 WRIGHT MED GROUP N V NOTE 2.250%11/1 98236JAB4 910 587000 PRN OTR 1 0 587000 0 WRIGHT MED GROUP N V NOTE 2.250%11/1 98236JAB4 2966 1913000 PRN OTR 1 0 1913000 0 XILINX INC COM 983919101 634 5000 SH SOLE 5000 0 0 XILINX INC CALL 983919901 256 7800 SH Call SOLE 7800 0 0 XILINX INC CALL 983919901 154 4700 SH Call SOLE 4700 0 0 XILINX INC CALL 983919901 255 24500 SH Call SOLE 24500 0 0 XILINX INC CALL 983919901 57 5500 SH Call SOLE 5500 0 0 ZAYO GROUP HLDGS INC CALL 98919V905 25 30000 SH Call SOLE 30000 0 0 ZAYO GROUP HLDGS INC CALL 98919V905 8 10000 SH Call SOLE 10000 0 0 ZENDESK INC NOTE 0.250% 3/1 98936JAB7 514 352000 PRN OTR 1 0 352000 0 ZENDESK INC NOTE 0.250% 3/1 98936JAB7 1676 1148000 PRN OTR 1 0 1148000 0