0001696778-23-000003.txt : 20230814 0001696778-23-000003.hdr.sgml : 20230814 20230814114624 ACCESSION NUMBER: 0001696778-23-000003 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20230630 FILED AS OF DATE: 20230814 DATE AS OF CHANGE: 20230814 EFFECTIVENESS DATE: 20230814 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: 231167632 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 06-30-2023 06-30-2023 Worth Venture Partners, LLC

2 EXECUTIVE DRIVE, SUITE 515 FORT LEE NJ 07024

13F HOLDINGS REPORT 028-17947 000168610 801-106972 N Laurence Wiseman 2125589017 Laurence Wiseman Fort Lee NJ 08-14-2023 3 173 183620191 false 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 wvp13F.xml ABEONA THERAPEUTICS INC COM NEW 00289Y206 642023 159311 SH OTR 2 0 159311 0 ACLARION INC *W EXP 04/21/202 655187110 44978 178416 SH SOLE 178416 0 0 ADVERUM BIOTECHNOLOGIES INC COM 00773U108 589386 370683 SH OTR 2 0 370683 0 AIRGAIN INC COM 00938A104 973933 180358 SH OTR 2 0 180358 0 AMERICAN HOMES 4 RENT CL A 02665T306 233899 6598 SH SOLE 6598 0 0 AMYRIS INC NOTE 1.500%11/1 03236MAJ0 528995 2641000 PRN OTR 1 0 2641000 0 AMYRIS INC PUT 03236M950 158910 333100 SH Put OTR 1 0 333100 0 ANI PHARMACEUTICALS INC COM 00182C103 4708618 87472 SH OTR 2 0 87472 0 ANNOVIS BIO INC COM 03615A108 1495463 104651 SH OTR 2 0 104651 0 APARTMENT INCOME REIT CORP COM 03750L109 280636 7776 SH SOLE 7776 0 0 APELLIS PHARMACEUTICALS INC PUT 03753U956 13898 21800 SH Put SOLE 21800 0 0 APOLLO GLOBAL MGMT INC COM 03769M106 2112505 27503 SH OTR 3 0 27503 0 APPLIED DIGITAL CORP COM NEW 038169207 149002 15936 SH SOLE 15936 0 0 APREA THERAPEUTICS INC COM NEW 03836J201 274582 87169 SH OTR 2 0 87169 0 APYX MEDICAL CORPORATION COM 03837C106 1556594 309462 SH OTR 2 0 309462 0 ARLO TECHNOLOGIES INC COM 04206A101 116388 10668 SH SOLE 10668 0 0 ARTERIS INC COM 04302A104 185647 27221 SH SOLE 27221 0 0 ARTERIS INC COM 04302A104 99790 14632 SH SOLE 14632 0 0 ASSERTIO HOLDINGS INC COM NEW 04546C205 124649 22998 SH SOLE 22998 0 0 ASURE SOFTWARE INC COM 04649U102 173888 14300 SH SOLE 14300 0 0 AVIAT NETWORKS INC COM NEW 05366Y201 4174954 125111 SH OTR 2 0 125111 0 AVIAT NETWORKS INC COM NEW 05366Y201 182367 5465 SH SOLE 5465 0 0 ASTRAZENECA PLC PUT 046353958 166091 137200 SH Put SOLE 137200 0 0 ASTRAZENECA PLC CALL 046353908 68440 47200 SH Call SOLE 47200 0 0 BANK AMERICA CORP COM 060505104 1155432 40273 SH OTR 3 0 40273 0 BARCLAYS PLC PUT 06738E954 10630 51300 SH Put OTR 1 0 51300 0 BIODESIX INC COM 09075X108 1554094 1263491 SH OTR 2 0 1263491 0 BK TECHNOLOGIES CORPORATION COM NEW 05587G203 1357109 81951 SH OTR 2 0 81951 0 BLOOMIN BRANDS INC NOTE 5.000% 5/0 094235AB4 8571464 3552000 PRN OTR 1 0 3552000 0 BRAINSTORM CELL THERAPEUTICS COM NEW 10501E201 361660 175563 SH OTR 2 0 175563 0 BRAINSWAY LTD SPONSORED ADS 10501L106 720947 317598 SH OTR 2 0 317598 0 BRANDYWINE RLTY TR SH BEN INT NEW 105368203 258075 55500 SH SOLE 55500 0 0 BROADWIND INC COM NEW 11161T207 946214 247700 SH OTR 2 0 247700 0 BEYOND MEAT INC NOTE 3/1 08862EAB5 36552 136000 PRN OTR 1 0 136000 0 CALAMP CORP COM 128126109 544321 513510 SH OTR 2 0 513510 0 CAMBIUM NETWORKS CORP SHS G17766109 1123860 73841 SH OTR 2 0 73841 0 CANTALOUPE INC COM 138103106 127185 15978 SH SOLE 15978 0 0 CAPITAL ONE FINL CORP COM 14040H105 1931584 17661 SH OTR 3 0 17661 0 CAPSTONE GREEN ENERGY CORP COM 14067D508 180905 150754 SH OTR 2 0 150754 0 CARDLYTICS INC COM 14161W105 326213 51616 SH OTR 3 0 51616 0 CASA SYS INC COM 14713L102 109183 89494 SH SOLE 89494 0 0 CARNIVAL CORP NOTE 5.750%10/0 143658BT8 1613834 809000 PRN OTR 1 0 809000 0 CARNIVAL CORP PUT 143658950 8770 175400 SH Put OTR 1 0 175400 0 CELLECTAR BIOSCIENCES INC COM NEW 15117F807 611343 313509 SH OTR 2 0 313509 0 CERAGON NETWORKS LTD ORD M22013102 137334 65397 SH SOLE 65397 0 0 CLENE INC COMMON STOCK 185634102 1304534 1482593 SH OTR 2 0 1482593 0 CINEMARK HLDGS INC NOTE 4.500% 8/1 17243VAB8 3291531 2401000 PRN OTR 1 0 2401000 0 CINEMARK HLDGS INC PUT 17243V952 19930 224200 SH Put OTR 1 0 224200 0 CNX RES CORP NOTE 2.250% 5/0 12653CAG3 606808 408000 PRN OTR 1 0 408000 0 COGNITION THERAPEUTICS INC COM 19243B102 930956 508719 SH OTR 2 0 508719 0 COMMSCOPE HLDG CO INC COM 20337X109 92614 16450 SH SOLE 16450 0 0 COYA THERAPEUTICS INC COMMON STOCK 22407B108 596227 146493 SH OTR 2 0 146493 0 CTO RLTY GROWTH INC NEW COM 22948Q101 459386 26802 SH SOLE 26802 0 0 CVD EQUIP CORP COM 126601103 617156 83739 SH OTR 2 0 83739 0 DIGITAL TURBINE INC COM NEW 25400W102 399532 43053 SH OTR 2 0 43053 0 DISH NETWORK CORPORATION NOTE 12/1 25470MAF6 39590 74000 PRN OTR 1 0 74000 0 DOCGO INC COM 256086109 110219 11763 SH SOLE 11763 0 0 EASTERLY GOVT PPTYS INC COM 27616P103 207350 14300 SH SOLE 14300 0 0 ENVESTNET INC NOTE 0.750% 8/1 29404KAE6 1881289 2029000 PRN OTR 1 0 2029000 0 EQUITY COMWLTH REIT ORD COM SH BEN INT 294628102 244194 12053 SH SOLE 12053 0 0 EQUITY LIFESTYLE PPTYS INC COM 29472R108 296323 4430 SH SOLE 4430 0 0 ETSY INC NOTE 0.125%10/0 29786AAJ5 726536 612000 PRN OTR 1 0 612000 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 21644 2350 SH SOLE 2350 0 0 EVERSPIN TECHNOLOGIES INC COM 30041T104 1951249 211862 SH OTR 2 0 211862 0 EVOLV TECHNOLOGIES HLDNGS IN COM CL A 30049H102 147528 24588 SH SOLE 24588 0 0 NATIONAL VISION HLDGS INC NOTE 2.500% 5/1 63845RAB3 2074445 1972000 PRN OTR 1 0 1972000 0 FTI CONSULTING INC NOTE 2.000% 8/1 302941AP4 5511437 2919000 PRN OTR 1 0 2919000 0 FENNEC PHARMACEUTICALS INC COM 31447P100 57395 6500 SH SOLE 6500 0 0 FENNEC PHARMACEUTICALS INC COM 31447P100 766020 86752 SH OTR 2 0 86752 0 FISCALNOTE HOLDINGS INC COM CL A 337655104 162599 44670 SH SOLE 44670 0 0 FRANKLIN COVEY CO COM 353469109 1936029 44323 SH SOLE 44323 0 0 FRANKLIN WIRELESS CORP COM 355184102 368621 98826 SH OTR 2 0 98826 0 GEO GROUP INC NEW PUT 36162J956 36988 124500 SH Put OTR 1 0 124500 0 GUESS INC PUT 401617955 1180 11800 SH Put OTR 1 0 11800 0 GILAT SATELLITE NETWORKS LTD SHS NEW M51474118 264470 42451 SH SOLE 42451 0 0 GILEAD SCIENCES INC CALL 375558903 32994 23400 SH Call SOLE 23400 0 0 GRITSTONE BIO INC COM 39868T105 85355 43772 SH SOLE 43772 0 0 GSI TECHNOLOGY INC COM 36241U106 2761682 499400 SH OTR 2 0 499400 0 GSK PLC SPONSORED ADR 37733W204 1183248 33200 SH SOLE 33200 0 0 GSK PLC PUT 37733W954 1660 33200 SH Put SOLE 33200 0 0 CHART INDS INC NOTE 1.000%11/1 16115QAE0 6784188 2467000 PRN OTR 1 0 2467000 0 HILTON GRAND VACATIONS INC COM 43283X105 1796743 39541 SH OTR 3 0 39541 0 INTEGRA LIFESCIENCES HLDGS C NOTE 0.500% 8/1 457985AM1 2206463 2409000 PRN OTR 1 0 2409000 0 IDEAL PWR INC COM NEW 451622203 456235 38664 SH OTR 2 0 38664 0 ISHARES TR PUT 464288951 73400 91800 SH Put OTR 1 0 91800 0 IMMUNOGEN INC CALL 45253H901 72283 110600 SH Call SOLE 110600 0 0 INDIE SEMICONDUCTOR INC CLASS A COM 45569U101 147937 15738 SH SOLE 15738 0 0 INDIE SEMICONDUCTOR INC CLASS A COM 45569U101 4682112 498097 SH OTR 2 0 498097 0 IRONWOOD PHARMACEUTICALS INC NOTE 0.750% 6/1 46333XAF5 684744 680000 PRN OTR 1 0 680000 0 ITEOS THERAPEUTICS INC COM 46565G104 144316 10900 SH SOLE 10900 0 0 ITERIS INC NEW COM 46564T107 938607 237022 SH SOLE 237022 0 0 ISHARES TR CALL 464287905 11856 124800 SH Call OTR 2 0 124800 0 JBG SMITH PPTYS COM 46590V100 215072 14300 SH SOLE 14300 0 0 KARYOPHARM THERAPEUTICS INC COM 48576U106 798306 445981 SH OTR 2 0 445981 0 KITE RLTY GROUP TR COM NEW 49803T300 339568 15200 SH SOLE 15200 0 0 KWESST MICRO SYSTEMS INC *W EXP 12/09/202 501506133 66309 147353 SH OTR 2 0 147353 0 KWESST MICRO SYSTEMS INC COM NEW 501506604 479745 148528 SH OTR 2 0 148528 0 LANTRONIX INC COM NEW 516548203 136311 32378 SH SOLE 32378 0 0 LCI INDS NOTE 1.125% 5/1 501812AB7 2588298 2670000 PRN OTR 1 0 2670000 0 LIGHTPATH TECHNOLOGIES INC COM CL A 532257805 1142049 845962 SH OTR 2 0 845962 0 LUMENTUM HLDGS INC NOTE 0.250% 3/1 55024UAB5 1452890 1358000 PRN OTR 1 0 1358000 0 LIVENT CORP NOTE 4.025% 7/1 53814LAB4 5814261 1811000 PRN OTR 1 0 1811000 0 SOUTHWEST AIRLS CO PUT 844741958 7683 23400 SH Put OTR 1 0 23400 0 MAMAMANCINI S HLDGS INC COM 56146T103 35485 11750 SH SOLE 11750 0 0 MARINUS PHARMACEUTICALS INC COM NEW 56854Q200 291048 26800 SH SOLE 26800 0 0 MARKEL GROUP INC COM 570535104 1154955 835 SH OTR 3 0 835 0 MATERIALISE NV SPONSORED ADS 57667T100 269482 31190 SH OTR 2 0 31190 0 VERADIGM INC NOTE 0.875% 1/0 01988PAF5 2217707 1990000 PRN OTR 1 0 1990000 0 VERADIGM INC PUT 01988P958 6278 27900 SH Put OTR 1 0 27900 0 MDXHEALTH SA SPONSORED ADS 58286E102 35464 10400 SH SOLE 10400 0 0 MEDICENNA THERAPEUTICS CORP COM 58490H107 524495 1088938 SH OTR 2 0 1088938 0 MICROCHIP TECHNOLOGY INC. COM 595017104 6412046 71571 SH OTR 2 0 71571 0 MIDDLEBY CORP NOTE 1.000% 9/0 596278AB7 1145021 918000 PRN OTR 1 0 918000 0 MIROMATRIX MED INC COM 60471P108 38150 21800 SH SOLE 21800 0 0 MARINUS PHARMACEUTICALS INC CALL 56854Q900 186450 44200 SH Call SOLE 44200 0 0 MYOMO INC COM NEW 62857J201 464203 1119317 SH OTR 2 0 1119317 0 NATIONAL STORAGE AFFILIATES COM SHS BEN IN 637870106 282123 8100 SH SOLE 8100 0 0 NETSTREIT CORP COM 64119V303 128861 7211 SH SOLE 7211 0 0 NATERA INC NOTE 2.250% 5/0 632307AB0 1438526 976000 PRN OTR 1 0 976000 0 NUVASIVE INC NOTE 0.375% 3/1 670704AJ4 2397680 2624000 PRN OTR 1 0 2624000 0 NVE CORP COM NEW 629445206 675649 6934 SH SOLE 6934 0 0 NOVARTIS AG CALL 66987V909 7085 10900 SH Call SOLE 10900 0 0 ONEMAIN HLDGS INC COM 68268W103 2116038 48433 SH OTR 3 0 48433 0 OPERA LTD SPONSORED ADS 68373M107 270292 13603 SH SOLE 13603 0 0 PALO ALTO NETWORKS INC NOTE 0.375% 6/0 697435AF2 9401937 3652000 PRN OTR 1 0 3652000 0 PATRICK INDS INC NOTE 1.750%12/0 703343AG8 2428845 2478000 PRN OTR 1 0 2478000 0 PLYMOUTH INDL REIT INC COM 729640102 322280 14000 SH SOLE 14000 0 0 POWERFLEET INC COM 73931J109 79296 26432 SH SOLE 26432 0 0 PROGRESS SOFTWARE CORP NOTE 1.000% 4/1 743312AB6 2495014 2262000 PRN OTR 1 0 2262000 0 PROGRESSIVE CORP COM 743315103 2018245 15247 SH OTR 3 0 15247 0 PROSOMNUS INC COMMON STOCK 50535E108 289047 96349 SH OTR 2 0 96349 0 PARSONS CORP DEL NOTE 0.250% 8/1 70202LAB8 3465573 3014000 PRN OTR 1 0 3014000 0 UNIQURE NV CALL N90064901 1913 54600 SH Call SOLE 54600 0 0 RAYMOND JAMES FINL INC COM 754730109 1352642 13035 SH OTR 3 0 13035 0 ARCUS BIOSCIENCES INC PUT 03969F959 4088 10900 SH Put SOLE 10900 0 0 ARCUS BIOSCIENCES INC CALL 03969F909 132705 67300 SH Call SOLE 67300 0 0 REXFORD INDL RLTY INC COM 76169C100 302302 5789 SH SOLE 5789 0 0 RIBBON COMMUNICATIONS INC COM 762544104 163692 58671 SH SOLE 58671 0 0 TRANSOCEAN INC DEB 4.625% 9/3 893830BW8 4842827 2147000 PRN OTR 1 0 2147000 0 RVL PHARMACEUTICALS PLC SHS G6S41R101 156074 278654 SH OTR 2 0 278654 0 SAVERONE 2014 LTD *W EXP 06/02/202 80516T113 21205 141364 SH OTR 2 0 141364 0 SCPHARMACEUTICALS INC COM 810648105 5220714 512337 SH OTR 2 0 512337 0 SEQUANS COMMUNICATIONS S A SPONSORED ADS 817323207 145570 65278 SH SOLE 65278 0 0 SIMON PPTY GROUP INC NEW COM 828806109 271378 2350 SH SOLE 2350 0 0 SYNDX PHARMACEUTICAL INC PUT 87164F955 13898 10900 SH Put SOLE 10900 0 0 SOLENO THERAPEUTICS INC COM 834203309 389781 90858 SH OTR 2 0 90858 0 SOUTHWEST AIRLS CO COM 844741108 786952 21733 SH OTR 1 0 21733 0 SPRUCE BIOSCIENCES INC COM 85209E109 596892 277624 SH OTR 2 0 277624 0 SAREPTA THERAPEUTICS INC DBCV 1.500%11/1 803607AB6 1562052 917000 PRN OTR 1 0 917000 0 STARWOOD PPTY TR INC NOTE 6.750% 7/1 85571BBA2 838236 816000 PRN OTR 1 0 816000 0 SUN CMNTYS INC COM 866674104 59881 459 SH SOLE 459 0 0 SUN CMNTYS INC COM 866674104 238090 1825 SH SOLE 1825 0 0 SYNCHRONOSS TECHNOLOGIES INC COM 87157B103 16724 18000 SH SOLE 18000 0 0 SYNDAX PHARMACEUTICALS INC COM 87164F105 228137 10900 SH SOLE 10900 0 0 TELA BIO INC COM 872381108 4186131 413241 SH OTR 2 0 413241 0 TEMPEST THERAPEUTICS INC COM 87978U108 128969 101550 SH OTR 2 0 101550 0 TFF PHARMACEUTICALS INC COM 87241J104 182882 389110 SH OTR 2 0 389110 0 THERATECHNOLGIES INC COM 88338H100 713454 846654 SH OTR 2 0 846654 0 TRANSPHORM INC COM 89386L100 3745712 1101680 SH OTR 2 0 1101680 0 TYLER TECHNOLOGIES INC COM 902252105 582225 1398 SH OTR 1 0 1398 0 VACCINEX INC COM 918640103 49411 138795 SH OTR 2 0 138795 0 VAIL RESORTS INC COM 91879Q109 237410 943 SH OTR 1 0 943 0 VERIS RESIDENTIAL INC COM 554489104 188315 11733 SH SOLE 11733 0 0 VICI PPTYS INC COM 925652109 568820 18098 SH SOLE 18098 0 0 VAREX IMAGING CORP NOTE 4.000% 6/0 92214XAB2 3236268 2516000 PRN OTR 1 0 2516000 0 WAYFAIR INC PUT 94419L951 9678 35000 SH Put OTR 1 0 35000 0 WEAVE COMMUNICATIONS INC COM 94724R108 711296 64023 SH SOLE 64023 0 0 WINNEBAGO INDS INC NOTE 1.500% 4/0 974637AB6 1022922 850000 PRN OTR 1 0 850000 0 WHITESTONE REIT COM 966084204 273055 28150 SH SOLE 28150 0 0 UNITED STATES STL CORP NOTE 5.000%11/0 912909AT5 8623894 4377000 PRN OTR 1 0 4377000 0 UNITED STATES STL CORP NEW PUT 912909958 3304 11800 SH Put OTR 1 0 11800 0 SPDR SER TR PUT 78464A950 55106 35400 SH Put SOLE 35400 0 0 ZETA GLOBAL HOLDINGS CORP CL A 98956A105 187880 22000 SH SOLE 22000 0 0