0001728194-18-000011.txt : 20180814
0001728194-18-000011.hdr.sgml : 20180814
20180814114746
ACCESSION NUMBER: 0001728194-18-000011
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180630
FILED AS OF DATE: 20180814
DATE AS OF CHANGE: 20180814
EFFECTIVENESS DATE: 20180814
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: 181015478
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
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0001728194
XXXXXXXX
06-30-2018
06-30-2018
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
08-14-2018
2
53
80338
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
ADVAXIS INC
*W EXP 10/22/201
007624117
2
15150
SH
DFND
12,8
15150
0
0
AERPIO PHARMACEUTICALS INC
COM
00810B105
1870
450676
SH
DFND
12,8
450676
0
0
AMERI HLDGS INC
*W EXP 11/08/202
02362F112
21
125503
SH
DFND
12,8
125503
0
0
ANI PHARMACEUTICALS INC
NOTE 3.000%12/0
00182CAA1
10149
9000000
PRN
DFND
12,8
0
0
0
APPLIED DNA SCIENCES INC
*W EXP 11/21/201
03815U110
9
31407
SH
DFND
12,8
31407
0
0
APPLIED DNA SCIENCES INC
COM NEW
03815U201
623
494463
SH
DFND
12,8
494463
0
0
ARCADIA BIOSCIENCES INC
COM NEW
039014204
984
119333
SH
DFND
12,8
119333
0
0
AURYN RES INC
COM
05208W108
1067
978630
SH
DFND
12,8
978630
0
0
BENITEC BIOPHARMA LTD
*W EXP 08/14/202
082053117
6
50000
SH
DFND
12,8
50000
0
0
BIONDVAX PHARMACEUTICALS LTD
*W EXP 05/15/202
09073Q113
92
72800
SH
DFND
12,8
72800
0
0
CATABASIS PHARMACEUTICALS IN
COM
14875P107
2571
2680752
SH
DFND
12,8
2680752
0
0
CEL SCI CORP
COM PAR NEW
150837607
737
801006
SH
DFND
12,8
801006
0
0
CELLECT BIOTECHNOLOGY LTD
*W EXP 08/03/202
15116C110
25
12570
SH
DFND
12,8
12570
0
0
CELLECTAR BIOSCIENCES INC
*W EXP 04/08/202
15117F138
39
207500
SH
DFND
12,8
207500
0
0
CHECK CAP LTD
*W EXP 05/03/202
M2361E161
93
136364
SH
DFND
12,8
136364
0
0
CHF SOLUTIONS INC
COM NEW
12542Q508
640
347895
SH
DFND
12,8
347895
0
0
CYTORI THERAPEUTICS INC
*W EXP 05/28/202
23283K139
8
259200
SH
DFND
12,8
259200
0
0
EGALET CORP
NOTE 5.500% 4/0
28226BAB0
1572
4500000
PRN
DFND
12,8
0
0
0
ENERGY FUELS INC
*W EXP 09/20/202
292671179
0
277777
SH
DFND
12,8
277777
0
0
EROS INTL PLC
SHS NEW
G3788M114
12483
960238
SH
DFND
12,8
960238
0
0
EYEGATE PHARMACEUTICALS INC
*W EXP 08/05/202
30233M115
1
12900
SH
DFND
12,8
12900
0
0
FIBROCELL SCIENCE INC
COM PAR
315721407
317
117099
SH
DFND
12,8
117099
0
0
GALMED PHARMACEUTICALS LTD
SHS
M47238106
177
14895
SH
DFND
12,8
14895
0
0
HELIOS & MATHESON ANALYTICS
COM NEW
42327L200
2487
8023500
SH
DFND
12,8
8023500
0
0
IMMUNE PHARMACEUTICALS INC
COM NEW
45254C200
47
251029
SH
DFND
12,8
251029
0
0
IMMURON LTD
*W EXP 05/12/202
Q4867H223
47
15041
SH
DFND
12,8
15041
0
0
INSPIREMD INC
*W EXP 03/14/202
45779A135
1
48000
SH
DFND
12,8
48000
0
0
INVIVO THERAPEUTICS HLDGS CO
COM PAR
46186M407
266
156655
SH
DFND
12,8
156655
0
0
KINDRED BIOSCIENCES INC
COM
494577109
480
45057
SH
DFND
12,8
45057
0
0
KURA ONCOLOGY INC
COM
50127T109
1387
76200
SH
DFND
12,8
76200
0
0
LIMONEIRA CO
COM
532746104
639
25946
SH
DFND
12,8
25946
0
0
MYND ANALYTICS INC
*W EXP 06/29/202
62857N111
3
13700
SH
DFND
12,8
13700
0
0
NOVAN INC
COM
66988N106
1191
405131
SH
DFND
12,8
405131
0
0
NOVAVAX INC
COM
670002104
4443
3315597
SH
DFND
12,8
3315597
0
0
ONCONOVA THERAPEUTICS INC
*W EXP 07/11/202
68232V116
2
173112
SH
DFND
12,8
173112
0
0
PLX PHARMA INC
COM
72942A107
116
29282
SH
DFND
12,8
29282
0
0
PROFIRE ENERGY INC
COM
74316X101
939
277721
SH
DFND
12,8
277721
0
0
QUICKLOGIC CORP
COM
74837P108
67
58043
SH
DFND
12,8
58043
0
0
RECON TECHNOLOGY LTD
SHS
G7415M108
493
354572
SH
DFND
12,8
354572
0
0
RESHAPE LIFESCIENCES INC
COM NEW
761123405
38
16574
SH
DFND
12,8
16574
0
0
RXI PHARMACEUTICALS CORP NEW
*W EXP 12/16/202
74979C121
55
221056
SH
DFND
12,8
221056
0
0
SCYNEXIS INC
COM
811292101
388
236531
SH
DFND
12,8
236531
0
0
SEACOR MARINE HLDGS INC
COM
78413P101
411
17809
SH
DFND
12,8
17809
0
0
SEANERGY MARITIME HLDGS CORP
*W EXP 11/10/202
Y73760145
97
1180400
SH
DFND
12,8
1180400
0
0
SENSEONICS HLDGS INC
NOTE 5.250% 2/0
81727UAA3
2130
1500000
PRN
DFND
12,8
0
0
0
SIGMA LABS INC
*W EXP 02/15/202
826598112
75
214500
SH
DFND
12,8
214500
0
0
SOLIGENIX INC
*W EXP 11/14/202
834223117
17
61000
SH
DFND
12,8
61000
0
0
TAPIMMUNE INC
COM PAR
876033408
2358
250000
SH
DFND
12,8
250000
0
0
TELLURIAN INC NEW
COM
87968A104
3780
454294
SH
DFND
12,8
454294
0
0
TIMKENSTEEL CORP
NOTE 6.000% 6/0
887399AA1
16088
10455000
PRN
DFND
12,8
0
0
0
TROVAGENE INC
COM PAR
897238408
237
307445
SH
DFND
12,8
307445
0
0
VASCULAR BIOGENICS LTD
COM
M96883109
4173
1896902
SH
DFND
12,8
1896902
0
0
VERITONE INC
COM
92347M100
4397
261422
SH
DFND
12,8
261422
0
0