0001214659-23-015183.txt : 20231115 0001214659-23-015183.hdr.sgml : 20231115 20231114210958 ACCESSION NUMBER: 0001214659-23-015183 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230930 FILED AS OF DATE: 20231115 DATE AS OF CHANGE: 20231114 EFFECTIVENESS DATE: 20231115 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: 231408867 BUSINESS ADDRESS: STREET 1: 2 EXECUTIVE DRIVE, SUITE 515 CITY: FORT LEE STATE: NJ ZIP: 07024 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 2 EXECUTIVE DRIVE, SUITE 515 CITY: FORT LEE STATE: NJ ZIP: 07024 13F-HR 1 primary_doc.xml X0202 13F-HR LIVE false false false 0001696778 XXXXXXXX 09-30-2023 09-30-2023 false Worth Venture Partners, LLC

2 EXECUTIVE DRIVE, SUITE 515 FORT LEE NJ 07024

13F HOLDINGS REPORT 028-17947 000016861 801-106972 N Laurence Wiseman 2125589017 Laurence Wiseman Fort Lee NJ 11-14-2023 3 163 168542376 1 000170377 801-79166 DLD ASSET MANAGEMENT, LP 2 000285013 801-126302 AIGH CAPITAL MANAGEMENT, LLC 3 000304731 802-126438 PB INVESTMENT PARTNERS, L.P. INFORMATION TABLE 2 infotable.xml ABEONA THERAPEUTICS INC COM NEW 00289Y206 1184189 281280 SH OTR 2 0 281280 0 ACADIA PHARMACEUTICALS INC PUT 004225958 44400 29600 SH Put SOLE 29600 0 0 ACADIA PHARMACEUTICALS INC CALL 004225908 10360 29600 SH Call SOLE 29600 0 0 ACLARION INC *W EXP 04/21/202 655187110 15843 178416 SH SOLE 178416 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 497502 331668 SH OTR 2 0 331668 0 AIRGAIN INC COM 00938A104 661914 180358 SH OTR 2 0 180358 0 ALIMERA SCIENCES INC COM NEW 016259202 1840498 593709 SH OTR 2 0 593709 0 AMYLYX PHARMACEUTICALS INC PUT 03237H951 9478 22300 SH Put SOLE 22300 0 0 AMYLYX PHARMACEUTICALS INC CALL 03237H901 22969 22300 SH Call SOLE 22300 0 0 ANNALY CAPITAL MANAGEMENT IN COM NEW 035710839 267102 14200 SH SOLE 14200 0 0 ANNOVIS BIO INC COM 03615A108 116926 12321 SH OTR 2 0 12321 0 APOLLO GLOBAL MGMT INC COM 03769M106 2468669 27503 SH OTR 3 0 27503 0 APPLIED DIGITAL CORP COM NEW 038169207 105543 16914 SH SOLE 16914 0 0 APPLIED THERAPEUTICS INC COM 03828A101 482993 193973 SH OTR 2 0 193973 0 APREA THERAPEUTICS INC COM NEW 03836J201 365238 87169 SH OTR 2 0 87169 0 APYX MEDICAL CORPORATION COM 03837C106 1480339 462606 SH OTR 2 0 462606 0 ARCUS BIOSCIENCES INC PUT 03969F959 3815 10900 SH Put SOLE 10900 0 0 ARGENX SE SPONSORED ADR 04016X101 737445 1500 SH SOLE 1500 0 0 ARGENX SE CALL 04016X901 29393 11400 SH Call SOLE 11400 0 0 ARTERIS INC COM 04302A104 333970 51301 SH SOLE 51301 0 0 ASPEN AEROGELS INC COM 04523Y105 3683956 428367 SH OTR 2 0 428367 0 ASSERTIO HOLDINGS INC COM NEW 04546C205 590779 230773 SH OTR 2 0 230773 0 ASTRAZENECA PLC PUT 046353958 21021 15400 SH Put SOLE 15400 0 0 ASURE SOFTWARE INC COM 04649U102 103086 10897 SH SOLE 10897 0 0 AUGMEDIX INC COM 05105P107 82843 16086 SH SOLE 16086 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 2341435 75046 SH OTR 2 0 75046 0 BANK AMERICA CORP COM 060505104 1161022 42404 SH OTR 3 0 42404 0 BARCLAYS PLC PUT 06738E954 14085 52400 SH Put OTR 1 0 52400 0 BIODESIX INC COM 09075X108 1983906 1202367 SH OTR 2 0 1202367 0 BK TECHNOLOGIES CORPORATION COM NEW 05587G203 1018159 81951 SH OTR 2 0 81951 0 BLOOMIN BRANDS INC NOTE 5.000% 5/0 094235AB4 8044017 3605000 PRN OTR 1 0 3605000 0 BRAINSWAY LTD SPONSORED ADS 10501L106 1360038 336643 SH OTR 2 0 336643 0 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 192950 42500 SH SOLE 42500 0 0 BROADWIND INC COM NEW 11161T207 792640 247700 SH OTR 2 0 247700 0 CALAMP CORP COM 128126109 288987 712493 SH OTR 2 0 712493 0 CAPITAL ONE FINL CORP COM 14040H105 1714000 17661 SH OTR 3 0 17661 0 CAPSTONE GREEN ENERGY CORP COM 14067D508 314254 443235 SH OTR 2 0 443235 0 CARDLYTICS INC COM 14161W105 851664 51616 SH OTR 3 0 51616 0 CARNIVAL CORP PUT 143658950 2388 119400 SH Put OTR 1 0 119400 0 CASA SYS INC COM 14713L102 59401 70090 SH SOLE 70090 0 0 CELLECTAR BIOSCIENCES INC COM NEW 15117F807 736885 279123 SH OTR 2 0 279123 0 CERAGON NETWORKS LTD ORD M22013102 151899 74097 SH SOLE 74097 0 0 CHART INDS INC NOTE 1.000%11/1 16115QAE0 7621150 2609000 PRN OTR 1 0 2609000 0 CINEMARK HLDGS INC NOTE 4.500% 8/1 17243VAB8 2915491 1992000 PRN OTR 1 0 1992000 0 CINEMARK HLDGS INC PUT 17243V952 5890 117800 SH Put OTR 1 0 117800 0 CLENE INC COMMON STOCK 185634102 696384 1404284 SH OTR 2 0 1404284 0 CODA OCTOPUS GROUP INC COM NEW 19188U206 167071 26947 SH SOLE 26947 0 0 COGNITION THERAPEUTICS INC COM 19243B102 732555 508719 SH OTR 2 0 508719 0 COYA THERAPEUTICS INC COMMON STOCK 22407B108 518603 134006 SH OTR 2 0 134006 0 CS DISCO INC COM 126327105 88817 13376 SH OTR 13376 0 0 CTO RLTY GROWTH INC NEW COM 22948Q101 434460 26802 SH OTR 26802 0 0 CVD EQUIP CORP COM 126601103 573612 83739 SH OTR 2 0 83739 0 DOCGO INC COM 256086109 85429 16028 SH SOLE 16028 0 0 ELUTIA INC CL A COM 05479K106 22062 15428 SH OTR 2 0 15428 0 ENCORE CAP GROUP INC PUT 292554952 4840 11000 SH Put OTR 1 0 11000 0 ENVESTNET INC NOTE 0.750% 8/1 29404KAE6 640575 693000 PRN OTR 1 0 693000 0 EPR PPTYS COM SH BEN INT 26884U109 263779 6350 SH SOLE 6350 0 0 EQUITY COMWLTH COM SH BEN INT 294628102 298568 16253 SH SOLE 16253 0 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 2082603 211862 SH OTR 2 0 211862 0 EXPEDIA GROUP INC NOTE 2/1 30212PBE4 943920 1080000 PRN OTR 1 0 1080000 0 FENNEC PHARMACEUTICALS INC COM 31447P100 695696 92636 SH OTR 2 0 92636 0 FISCALNOTE HOLDINGS INC COM CL A 337655104 46534 22372 SH SOLE 22372 0 0 FRANKLIN COVEY CO COM 353469109 2067800 48178 SH SOLE 48178 0 0 FRANKLIN WIRELESS CORP COM 355184102 314267 98826 SH OTR 2 0 98826 0 GEO CORRECTIONS HOLDINGS INC NOTE 6.500% 2/2 36166WAB9 3084343 2553000 PRN OTR 1 0 2553000 0 GEO GROUP INC NEW PUT 36162J956 5790 115400 SH Put OTR 1 0 115400 0 GILAT SATELLITE NETWORKS LTD SHS NEW M51474118 486384 75643 SH SOLE 75643 0 0 GRITSTONE BIO INC COM 39868T105 75288 43772 SH SOLE 43772 0 0 GSI TECHNOLOGY INC COM 36241U106 1353374 499400 SH OTR 2 0 499400 0 GSK PLC SPONSORED ADR 37733W204 540125 14900 SH SOLE 14900 0 0 GUESS INC PUT 401617955 13195 18200 SH Put OTR 1 0 18200 0 HANNON ARMSTRONG SUST INFR C PUT 41068X950 2778 10100 SH Put OTR 1 0 10100 0 HILTON GRAND VACATIONS INC COM 43283X105 1609319 39541 SH OTR 3 0 39541 0 IDEAL PWR INC COM NEW 451622203 226971 23184 SH OTR 2 0 23184 0 IMMUNOGEN INC CALL 45253H901 171694 156200 SH Call SOLE 156200 0 0 INDIE SEMICONDUCTOR INC CLASS A COM 45569U101 3292046 522547 SH OTR 2 0 522547 0 INDIE SEMICONDUCTOR INC CLASS A COM 45569U101 76898 12206 SH SOLE 12206 0 0 INTEGRA LIFESCIENCES HLDGS C NOTE 0.500% 8/1 457985AM1 2095379 2290000 PRN OTR 1 0 2290000 0 IRONWOOD PHARMACEUTICALS INC NOTE 0.750% 6/1 46333XAF5 1029476 1034000 PRN OTR 1 0 1034000 0 ISHARES TR PUT 464288951 41423 78900 SH Put OTR 1 0 78900 0 ISHARES TR PUT 464287957 36978 211300 SH Put OTR 1 0 211300 0 ITERIS INC NEW COM 46564T107 1168581 282266 SH SOLE 282266 0 0 JAZZ INVESTMENTS I LTD NOTE 1.500% 8/1 472145AD3 655762 678000 PRN OTR 1 0 678000 0 JBG SMITH PPTYS COM 46590V100 215454 14900 SH SOLE 14900 0 0 KARYOPHARM THERAPEUTICS INC COM 48576U106 597615 445981 SH OTR 2 0 445981 0 KWESST MICRO SYSTEMS INC *W EXP 12/09/202 501506133 16209 147353 SH OTR 2 0 147353 0 KWESST MICRO SYSTEMS INC COM NEW 501506604 476729 283767 SH OTR 2 0 283767 0 LANTRONIX INC COM NEW 516548203 138497 31123 SH SOLE 31123 0 0 LCI INDS NOTE 1.125% 5/1 501812AB7 2541864 2708000 PRN OTR 1 0 2708000 0 LIFEMD INC COM 53216B104 64181 10269 SH SOLE 10269 0 0 LIGHTPATH TECHNOLOGIES INC COM CL A 532257805 1347936 929611 SH OTR 2 0 929611 0 LIVENT CORP NOTE 4.125% 7/1 53814LAB4 4002980 1838000 PRN OTR 1 0 1838000 0 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 753251 759000 PRN OTR 1 0 759000 0 MAMAS CREATIONS INC COM 56146T103 51348 11750 SH SOLE 11750 0 0 MARINUS PHARMACEUTICALS INC COM NEW 56854Q200 341320 42400 SH SOLE 42400 0 0 MARINUS PHARMACEUTICALS INC CALL 56854Q900 40913 49500 SH Call SOLE 49500 0 0 MARKEL GROUP INC COM 570535104 1229529 835 SH OTR 3 0 835 0 MARRIOTT VACATIONS WORLDWIDE NOTE 1/1 57164YAD9 1485403 1677000 PRN OTR 1 0 1677000 0 MDXHEALTH SA SPONSORED ADS 58286E102 33716 11872 SH SOLE 11872 0 0 MEDICENNA THERAPEUTICS CORP COM 58490H107 311327 1088938 SH OTR 2 0 1088938 0 MICROCHIP TECHNOLOGY INC. COM 595017104 580536 7438 SH OTR 1 0 7438 0 MICROSTRATEGY INC NOTE 0.750%12/1 594972AC5 1790550 1656000 PRN OTR 1 0 1656000 0 MIROMATRIX MED INC COM 60471P108 28446 23509 SH SOLE 23509 0 0 MYOMO INC COM NEW 62857J201 1551626 1397861 SH OTR 2 0 1397861 0 NATERA INC NOTE 2.250% 5/0 632307AB0 999375 750000 PRN OTR 1 0 750000 0 NATIONAL STORAGE AFFILIATES COM SHS BEN IN 637870106 279312 8800 SH SOLE 8800 0 0 NATIONAL VISION HLDGS INC NOTE 2.500% 5/1 63845RAB3 1704956 1767000 PRN OTR 1 0 1767000 0 NCL CORP LTD NOTE 5.375% 8/0 62886HAX9 1642538 1408000 PRN OTR 1 0 1408000 0 NUVASIVE INC NOTE 0.375% 3/1 670704AJ4 2694274 2903000 PRN OTR 1 0 2903000 0 NVE CORP COM NEW 629445206 723900 8813 SH SOLE 8813 0 0 ONEMAIN HLDGS INC COM 68268W103 1941679 48433 SH OTR 3 0 48433 0 OPERA LTD SPONSORED ADS 68373M107 115811 10276 SH SOLE 10276 0 0 OUSTER INC COM NEW 68989M202 1587146 314910 SH OTR 2 0 314910 0 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 8287330 3514000 PRN OTR 1 0 3514000 0 PARSONS CORP DEL NOTE 0.250% 8/1 70202LAB8 1827831 1435000 PRN OTR 1 0 1435000 0 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 1971898 2075000 PRN OTR 1 0 2075000 0 PLYMOUTH INDL REIT INC COM 729640102 293300 14000 SH SOLE 14000 0 0 POST HLDGS INC NOTE 2.500% 8/1 737446AT1 2301771 2310000 PRN OTR 1 0 2310000 0 POWERFLEET INC COM 73931J109 64400 31111 SH SOLE 31111 0 0 PROGRESS SOFTWARE CORP NOTE 1.000% 4/1 743312AB6 2655407 2564000 PRN OTR 1 0 2564000 0 PROGRESSIVE CORP COM 743315103 2123907 15247 SH OTR 3 0 15247 0 PROSOMNUS INC COMMON STOCK 50535E108 100368 91244 SH OTR 2 0 91244 0 RAYMOND JAMES FINL INC COM 754730109 1309105 13035 SH OTR 3 0 13035 0 RIBBON COMMUNICATIONS INC COM 762544104 181136 67588 SH SOLE 67588 0 0 RISKIFIED LTD SHS CL A M8216R109 289068 64524 SH SOLE 64524 0 0 RIVIAN AUTOMOTIVE INC COM CL A 76954A103 439274 18092 SH OTR 1 0 18092 0 ROYAL CARIBBEAN GROUP NOTE 6.000% 8/1 780153BQ4 7694836 3894000 PRN OTR 1 0 3894000 0 SAREPTA THERAPEUTICS INC COM 803607100 884906 7300 SH SOLE 7300 0 0 SAREPTA THERAPEUTICS INC CALL 803607900 170957 11200 SH Call SOLE 11200 0 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 2536677 1431000 PRN OTR 1 0 1431000 0 SAVERONE 2014 LTD *W EXP 06/02/202 80516T113 21205 141364 SH OTR 2 0 141364 0 SCPHARMACEUTICALS INC COM 810648105 3842415 539665 SH OTR 2 0 539665 0 SELECT SECTOR SPDR TR CALL 81369Y909 9548 15400 SH Call SOLE 15400 0 0 SELECT SECTOR SPDR TR PUT 81369Y959 63364 14600 SH Put SOLE 14600 0 0 SILICOM LTD ORD M84116108 1432368 54880 SH SOLE 54880 0 0 SOUNDTHINKING INC COM 82536T107 418502 23380 SH SOLE 23380 0 0 SOUTHWEST AIRLS CO PUT 844741958 25789 41000 SH Put OTR 1 0 41000 0 SOUTHWEST AIRLS CO COM 844741108 589774 21787 SH OTR 1 0 21787 0 SPDR SER TR CALL 78464A900 22792 30800 SH Call SOLE 30800 0 0 SPDR SER TR PUT 78464A950 23100 15400 SH Put SOLE 15400 0 0 SPLUNK INC NOTE 1.125% 9/1 848637AD6 667678 620000 PRN OTR 1 0 620000 0 SPRUCE BIOSCIENCES INC COM 85209E109 682687 302074 SH OTR 2 0 302074 0 STARWOOD PPTY TR INC NOTE 6.750% 7/1 85571BBA2 2518662 2449000 PRN OTR 1 0 2449000 0 SUN CMNTYS INC COM 866674104 215971 1825 SH SOLE 1825 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 20203 21045 SH SOLE 21045 0 0 SYNDAX PHARMACEUTICALS INC PUT 87164F955 61040 10900 SH Put SOLE 10900 0 0 SYNDAX PHARMACEUTICALS INC COM 87164F105 158268 10900 SH SOLE 10900 0 0 TELA BIO INC COM 872381108 2513760 314220 SH OTR 2 0 314220 0 TEMPEST THERAPEUTICS INC COM 87978U108 31785 101550 SH OTR 2 0 101550 0 TFF PHARMACEUTICALS INC COM 87241J104 226391 646832 SH OTR 2 0 646832 0 THERATECHNOLOGIES INC COM NEW 88338H704 421413 196006 SH OTR 2 0 196006 0 TRANSOCEAN INC DEB 4.625% 9/3 893830BW8 7078934 2719000 PRN OTR 1 0 2719000 0 TRANSPHORM INC COM 89386L100 2558057 1152278 SH OTR 2 0 1152278 0 TYLER TECHNOLOGIES INC COM 902252105 598131 1549 SH OTR 1 0 1549 0 UNITED STATES STL CORP NEW PUT 912909958 1112 13900 SH Put OTR 1 0 13900 0 VACCINEX INC COM NEW 918640202 810842 717559 SH OTR 2 0 717559 0 VAREX IMAGING CORP NOTE 4.000% 6/0 92214XAB2 2902504 2552000 PRN OTR 1 0 2552000 0 VERADIGM INC NOTE 0.875% 1/0 01988PAF5 2295225 2020000 PRN OTR 1 0 2020000 0 WAYFAIR INC PUT 94419L951 4281 37600 SH Put SOLE 37600 0 0 WEAVE COMMUNICATIONS INC COM 94724R108 579180 71065 SH SOLE 71065 0 0 WHITESTONE REIT COM 966084204 271085 28150 SH SOLE 28150 0 0 ZETA GLOBAL HOLDINGS CORP CL A 98956A105 153815 18421 SH SOLE 18421 0 0 ZIFF DAVIS INC NOTE 1.750%11/0 48123VAE2 1527992 1653000 PRN OTR 1 0 1653000 0