0001752724-19-163927.txt : 20191115
0001752724-19-163927.hdr.sgml : 20191115
20191115132727
ACCESSION NUMBER: 0001752724-19-163927
CONFORMED SUBMISSION TYPE: NPORT-P
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191115
PERIOD START: 20190930
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: TEKLA LIFE SCIENCES INVESTORS
CENTRAL INDEX KEY: 0000884121
IRS NUMBER: 043147016
STATE OF INCORPORATION: MA
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: NPORT-P
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-06565
FILM NUMBER: 191223465
BUSINESS ADDRESS:
STREET 1: 100 FEDERAL STREET
STREET 2: 19TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02110
BUSINESS PHONE: 6177728515
MAIL ADDRESS:
STREET 1: 100 FEDERAL STREET
STREET 2: 19TH FLOOR
CITY: BOSTON
STATE: MA
ZIP: 02110
FORMER COMPANY:
FORMER CONFORMED NAME: H&Q LIFE SCIENCES INVESTORS
DATE OF NAME CHANGE: 19920929
NPORT-P
1
primary_doc.xml
NPORT-P
false
0000884121
XXXXXXXX
TEKLA LIFE SCIENCES INVESTORS
811-06565
0000884121
5493007BYZPSOVVS0M04
100 FEDERAL STREET,
19TH FLOOR
BOSTON
02110
617-772-8500
TEKLA LIFE SCIENCES INVESTORS
5493007BYZPSOVVS0M04
2019-09-30
2019-09-30
N
385921282.29
2379656.73
383541625.56
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
172.00000000
N
Novavax Inc
529900J4GJHPEPQ23205
Novavax Inc
670002401
17900.00000000
NS
USD
89858.00000000
0.023428487030
Long
EC
CORP
US
N
1
N
N
N
Milestone Pharmaceuticals, Inc.
N/A
MILESTONE PHARMACEUTICALS,INC COMMON STOCK
000000000
210702.00000000
NS
USD
3280630.14000000
0.855351784883
Long
EC
CORP
US
Y
2
N
N
N
Foamix Pharmaceuticals Ltd
5493002Q77A4N554AD44
Foamix Pharmaceuticals Ltd
000000000
90238.00000000
NS
USD
274323.52000000
0.071523793434
Long
EC
CORP
IL
N
1
N
N
N
Apellis Pharmaceuticals Inc
254900HS0ZFRXXSB9D42
Apellis Pharmaceuticals Inc
03753U106
30228.00000000
NS
USD
728192.52000000
0.189860101608
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. WARRANTS WARRANTS
000000000
20470.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2029-05-13
XXXX
0.00000000
N
N
N
Xencor Inc
549300V5IF65437JKG30
Xencor Inc
98401F105
46595.00000000
NS
USD
1571649.35000000
0.409772823928
Long
EC
CORP
US
N
1
N
N
N
Ardelyx Inc
549300F542QR4SXHCY32
Ardelyx Inc
039697107
278239.00000000
NS
USD
1307723.30000000
0.340959940942
Long
EC
CORP
US
N
1
N
N
N
Avrobio Inc
N/A
Avrobio Inc
05455M100
20176.00000000
NS
USD
284885.12000000
0.074277497151
Long
EC
CORP
US
N
1
N
N
N
AnaptysBio Inc
529900HH4WQT03IG1A12
AnaptysBio Inc
032724106
20496.00000000
NS
USD
717155.04000000
0.186982322701
Long
EC
CORP
US
N
1
N
N
N
THERACHON MILESTONE INTEREST
N/A
THERACHON MILESTONE INTEREST
000000000
14097.79000000
NS
USD
1444177.61000000
0.376537385711
Long
EP
CORP
US
Y
3
N
N
N
BioMarin Pharmaceutical Inc
NSLL8ITTRR0J5HEMR848
BioMarin Pharmaceutical Inc
09061G101
93617.00000000
NS
USD
6309785.80000000
1.645137158395
Long
EC
CORP
US
N
1
N
N
N
Blueprint Medicines Corp
5299004CC60O9T5HVM83
Blueprint Medicines Corp
09627Y109
31494.00000000
NS
USD
2313864.18000000
0.603288932882
Long
EC
CORP
US
N
1
N
N
N
BeiGene Ltd
549300JFUK6FRD5MH739
BeiGene Ltd
07725L102
26592.00000000
NS
USD
3256456.32000000
0.849048995723
Long
EC
CORP
KY
N
1
N
N
N
Fate Therapeutics Inc
549300L14Q4UHOODLA90
Fate Therapeutics Inc
31189P102
59161.00000000
NS
USD
918770.33000000
0.239549052507
Long
EC
CORP
US
N
1
N
N
N
Cardiokinetix Inc
N/A
Cardio Kinetix Wts Call Exp 03Jun20
000000000
2.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
CADIOKINETIX SERIES C
CADIOKINETIX SERIES C
1.00000000
0.69000000
USD
2020-06-03
XXXX
-123.04000000
N
N
N
Zai Lab Ltd
549300P2UYQ9U5LY1T58
Zai Lab Ltd
98887Q104
11502.00000000
NS
USD
372089.70000000
0.097014163575
Long
EC
CORP
KY
N
1
N
N
N
Jazz Pharmaceuticals PLC
635400GAUMJCLEZRRV50
Jazz Pharmaceuticals PLC
000000000
30554.00000000
NS
USD
3915189.56000000
1.020799125592
Long
EC
CORP
IE
N
1
N
N
N
Adaptimmune Therapeutics PLC
549300UUNWK8TRT5EW12
Adaptimmune Therapeutics PLC
00653A107
37187.00000000
NS
USD
56152.37000000
0.014640489130
Long
EC
CORP
GB
N
1
N
N
N
Illumina Inc
SQ95QG8SR5Q56LSNF682
Illumina Inc
452327109
75808.00000000
NS
USD
23062309.76000000
6.012987436846
Long
EC
CORP
US
N
1
N
N
N
Intellia Therapeutics Inc
5493002T5BCPE5DZC723
Intellia Therapeutics Inc
45826J105
14034.00000000
NS
USD
187353.90000000
0.048848387636
Long
EC
CORP
US
N
1
N
N
N
RAINIER THERAPEUTICS, INC. CONVERTIBLE PROMISSORY NOTE
N/A
RAINIER THERAPEUTICS, INC. CONVERTIBLE PROMISSORY NOTE
000000000
218632.19000000
PA
USD
218632.19000000
0.057003510291
Long
DBT
CORP
US
Y
3
2020-03-31
Fixed
8.00000000
N
N
N
N
N
N
THEROX MILESTONE INTEREST
N/A
THEROX MILESTONE INTEREST
000000000
62.40000000
NS
USD
4567.06000000
0.001190759932
Long
EC
CORP
US
Y
3
N
N
N
Cardiokinetix Inc
N/A
CARDIO KINETIX SER C
000000000
79330.00000000
NS
USD
0.00000000
0.000000
Long
EC
CORP
US
Y
3
N
N
N
Syneos Health Inc
549300F1ZGKDS8P6GU13
Syneos Health Inc
87166B102
8926.00000000
NS
USD
474952.46000000
0.123833354282
Long
EC
CORP
US
N
1
N
N
N
Avadel Pharmaceuticals PLC
549300E27PTSG2RHC762
Avadel Pharmaceuticals PLC
05337M104
317800.00000000
NS
USD
1322048.00000000
0.344694789794
Long
EC
CORP
IE
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. CONVERTIBLE
000000000
95083.11000000
PA
USD
95083.11000000
0.024790818952
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
United Therapeutics Corp
5299005C4HZL4UWROC14
United Therapeutics Corp
91307C102
11092.00000000
NS
USD
884587.00000000
0.230636504892
Long
EC
CORP
US
N
1
N
N
N
Bluebird Bio Inc
N/A
Bluebird Bio Inc
09609G100
46418.00000000
NS
USD
4262100.76000000
1.111248551908
Long
EC
CORP
US
N
1
N
N
N
Coherus Biosciences Inc
5493007IL8W5MV932D26
Coherus Biosciences Inc
19249H103
48003.00000000
NS
USD
972540.78000000
0.253568508654
Long
EC
CORP
US
N
1
N
N
N
Aerpio Pharmaceuticals Inc
549300G3U7TKW1M58L09
Aerpio Pharmaceuticals Inc
00810B105
79542.00000000
NS
USD
53993.11000000
0.014077509819
Long
EC
CORP
US
N
1
N
N
N
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
N/A
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
000000000
37000.00000000
PA
USD
37000.00000000
0.009646932049
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
NEUROVANCE MILESTONE INTEREST
N/A
NEUROVANCE MILESTONE INTEREST
000000000
34054.99000000
NS
USD
1947604.88000000
0.507794917215
Long
CORP
US
Y
3
N
N
N
Sarepta Therapeutics Inc
549300IKDPIED8J8IG21
Sarepta Therapeutics Inc
803607100
48639.00000000
NS
USD
3663489.48000000
0.955173894007
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
000000000
185849.35000000
PA
USD
185849.35000000
0.048456109484
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Illuminoss Inc.
N/A
Illuminoss Inc Wts Call Exp 06Sept 27
000000000
59426.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2027-09-06
XXXX
0.00000000
N
N
N
Illuminoss Medical Inc.
N/A
ILLUMINOSS MEDICAL, INC JUNIOR PREFERRED STOCK
000000000
895848.00000000
NS
USD
89.58000000
0.000023356004
Long
EP
CORP
US
Y
3
N
N
N
Mylan NV
549300A0CD4KNFGIIS89
Mylan NV
000000000
294349.00000000
NS
USD
5822223.22000000
1.518015994091
Long
EC
CORP
NL
N
1
N
N
N
Nektar Therapeutics
5299005I24806IOIYE03
Nektar Therapeutics
640268108
80164.00000000
NS
USD
1460187.26000000
0.380711548027
Long
EC
CORP
US
N
1
N
N
N
Esperion Therapeutics Inc
549300OFU56UKEWVUS92
Esperion Therapeutics Inc
29664W105
45590.00000000
NS
USD
1671329.40000000
0.435762193362
Long
EC
CORP
US
N
1
N
N
N
Ligand Pharmaceuticals Inc
5493008K7TB0IKP37H79
Ligand Pharmaceuticals Inc
53220K504
11225.00000000
NS
USD
1117336.50000000
0.291320791679
Long
EC
CORP
US
N
1
N
N
N
REGENXBIO Inc
549300EOES47LATSET33
REGENXBIO Inc
75901B107
29439.00000000
NS
USD
1048028.40000000
0.273250236781
Long
EC
CORP
US
N
1
N
N
N
Theravance Biopharma Inc
5493007VTSXP4Z6MIW52
Theravance Biopharma Inc
000000000
17055.00000000
NS
USD
332231.40000000
0.086621992988
Long
EC
CORP
KY
N
1
N
N
N
ArQule Inc
529900E3KUAEG4GJ1707
ArQule Inc
04269E107
23573.00000000
NS
USD
169018.41000000
0.044067813957
Long
EC
CORP
US
N
1
N
N
N
Argenx SE
7245009C5FZE6G9ODQ71
Argenx SE
04016X101
12200.00000000
NS
USD
1390312.00000000
0.362493118698
Long
EC
CORP
NL
N
1
N
N
N
Amgen Inc
62QBXGPJ34PQ72Z12S66
Amgen Inc
031162100
174115.00000000
NS
USD
33692993.65000000
8.784703251128
Long
EC
CORP
US
N
1
N
N
N
Iovance Biotherapeutics Inc
549300220Z2GHH33XL82
Iovance Biotherapeutics Inc
462260100
64312.00000000
NS
USD
1170478.40000000
0.305176367308
Long
EC
CORP
US
N
1
N
N
N
Amicus Therapeutics Inc
549300MRD1SMUTNBPQ53
Amicus Therapeutics Inc
03152W109
112529.00000000
NS
USD
902482.58000000
0.235302381764
Long
EC
CORP
US
N
1
N
N
N
Cardiokinetix Inc
N/A
CARDIOKINETIX, INC. SERIES F PREFERRED STOCK
000000000
481378.00000000
NS
USD
0.00000000
0.000000
Long
EP
CORP
US
Y
3
N
N
N
Rainier Therapeutics Series A PREFERRED STOCK
N/A
Rainier Therapeutics Series A PREFERRED STOCK
000000000
1153847.00000000
NS
USD
592154.28000000
0.154391137894
Long
EP
CORP
US
Y
3
N
N
N
Verona Pharma PLC
213800EVI6O6J3TIAL06
Verona Pharma PLC
925050106
115500.00000000
NS
USD
527835.00000000
0.137621307525
Long
EC
CORP
GB
N
1
N
N
N
GW Pharmaceuticals PLC
213800ISBN5CNUZMHZ39
GW Pharmaceuticals PLC
36197T103
21651.00000000
NS
USD
2490514.53000000
0.649346606476
Long
EC
CORP
GB
N
1
N
N
N
ImmunoGen Inc
54930084U0R1OP766Y02
ImmunoGen Inc
45253H101
51160.00000000
NS
USD
123807.20000000
0.032279990423
Long
EC
CORP
US
N
1
N
N
N
ZYMEWORKS INC
894500AHOYAGYLYZJL67
Zymeworks Inc
98985W102
15192.00000000
NS
USD
376761.60000000
0.098232258219
Long
EC
CORP
CA
N
1
N
N
N
Incyte Corp
549300Z4WN6JVZ3T4680
Incyte Corp
45337C102
103589.00000000
NS
USD
7689411.47000000
2.004844052786
Long
EC
CORP
US
N
1
N
N
N
Madrigal Pharmaceuticals Inc
549300CHIMT2EUSNJB60
Madrigal Pharmaceuticals Inc
558868105
4060.00000000
NS
USD
350053.20000000
0.091268633356
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Medical Inc.
N/A
ILLUMINOSS MEDICAL INC SERIES AA PREFERRED
000000000
951000.00000000
NS
USD
792658.50000000
0.206668180759
Long
EP
CORP
US
Y
3
N
N
N
Illuminoss Inc.
N/A
Illuminoss Inc Warrants
000000000
71323.54000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2027-03-31
XXXX
-331.26000000
N
N
N
Rainier Therapeutics, Inc.
N/A
RAINIER THERAPEUTICS, INC. PROMISSORY NOTE
000000000
189672.50000000
PA
USD
189672.50000000
0.049452911329
Long
DBT
CORP
US
Y
3
2020-03-31
Fixed
8.00000000
N
N
N
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
000000000
51858.44000000
PA
USD
51858.44000000
0.013520941807
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Myriad Genetics Inc
52990044IHUOUMETT163
Myriad Genetics Inc
62855J104
18805.00000000
NS
USD
538387.15000000
0.140372547364
Long
EC
CORP
US
N
1
N
N
N
Threshold Pharmaceuticals Inc
529900VZKP6N0B8U5F61
Molecular Templates Inc
608550109
62194.00000000
NS
USD
409858.46000000
0.106861532800
Long
EC
CORP
US
N
1
N
N
N
Sage Therapeutics Inc
5493000JX4BJS9W6CN35
Sage Therapeutics Inc
78667J108
30816.00000000
NS
USD
4323176.64000000
1.127172737427
Long
EC
CORP
US
N
1
N
N
N
Cellectis SA
5493000KKX5VQ37Q2W83
Cellectis SA
15117K103
47437.00000000
NS
USD
493344.80000000
0.128628750342
Long
EC
CORP
FR
N
1
N
N
N
Portola Pharmaceuticals Inc
549300BM3O4O0CNBGJ64
Portola Pharmaceuticals Inc
737010108
44891.00000000
NS
USD
1203976.62000000
0.313910287636
Long
EC
CORP
US
N
1
N
N
N
IDEXX Laboratories Inc
OGMTXK0LUU1HKV2P0J84
IDEXX Laboratories Inc
45168D104
8329.00000000
NS
USD
2264904.97000000
0.590523901204
Long
EC
CORP
US
N
1
N
N
N
Cardiokinetix Inc
N/A
CARDIO KINETIX SERIES D PREFERRED STOCK
000000000
142574.00000000
NS
USD
0.00000000
0.000000
Long
EP
CORP
US
Y
3
N
N
N
ILLUMINOSS INC. WARRANTS WARRANTS
N/A
ILLUMINOSS INC. WARRANTS WARRANTS
000000000
9250.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2029-08-28
XXXX
0.00000000
N
N
N
Immunomedics Inc
5493007ZU7DDO8PSIM59
Immunomedics Inc
452907108
122890.00000000
NS
USD
1629521.40000000
0.424861681602
Long
EC
CORP
US
N
1
N
N
N
Novocure Ltd
213800YPP55UMHWA4826
Novocure Ltd
000000000
37825.00000000
NS
USD
2828553.50000000
0.737482794956
Long
EC
CORP
JE
N
1
N
N
N
ARCA Biopharma, Inc.
529900TG7O4ESUDMGI54
ARCA Biopharma, Inc.
00211Y506
36068.00000000
NS
USD
191881.76000000
0.050028927034
Long
EC
CORP
US
N
1
N
N
N
Afferent Milestone Interest
N/A
AFFERENT MILESTONE INTEREST COMMON STOCK
000000000
11232.03000000
NS
USD
355493.75000000
0.092687136495
Long
CORP
US
Y
3
N
N
N
Verona Pharma PLC
213800EVI6O6J3TIAL06
Verona Pharma PLC Wts Put Exp 27Apr22
000000000
371622.00000000
NS
822.47000000
0.000214440870
N/A
DE
GB
N
3
N/A
N/A
Call
Purchased
Verona Pharma PLC
Verona Pharma PLC
1.00000000
2.07000000
GBP
2022-04-27
XXXX
-608.88000000
N
N
N
Arena Pharmaceuticals Inc
529900CVGQMPJ3A3NI85
Arena Pharmaceuticals Inc
040047607
13696.00000000
NS
USD
626865.92000000
0.163441430662
Long
EC
CORP
US
N
1
N
N
N
TRILLIUM THERAPEUTICS INC NON
N/A
TRILLIUM THERAPEUTICS INC NON
000000000
90000.00000000
NS
USD
27693.00000000
0.007220337547
Long
EP
CORP
CA
N
1
N
N
N
Targegen Milestone Interest
N/A
TARGEGEN MILESTONE INTEREST PREFERRED STOCK
000000000
54327.05000000
NS
USD
4271735.94000000
1.113760712090
Long
CORP
US
Y
3
N
N
N
Illuminoss Inc.
N/A
Illuminoss Inc. Warrants Call Exp 11Jan28
000000000
47541.53000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2028-01-11
XXXX
-28.60000000
N
N
N
VECTIVBIO HOLDING AG
N/A
VECTIVBIO HOLDING AG
000000000
375000.00000000
NS
USD
296250.00000000
0.077240638370
Long
EC
CORP
US
Y
3
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC, CONVERTIBLE PR
000000000
190166.13000000
PA
USD
190166.13000000
0.049581614439
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Bio-Techne Corp
54930073RLKQ51TILZ35
Bio-Techne Corp
09073M104
12366.00000000
NS
USD
2419655.22000000
0.630871607864
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC CONVERTIBLE PROMISSORY NOTE
000000000
237707.79000000
PA
USD
237707.79000000
0.061977051292
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
BIOGEN INC JUN20 350 CALL
000000000
48.00000000
NC
USD
12960.00000000
0.003379033496
N/A
DE
US
N
1
Goldman Sachs & Co. LLC
FOR8UP27PHTHYVLBNG30
Call
Purchased
Biogen Inc
Biogen Inc
100.00000000
350.00000000
USD
2020-06-19
XXXX
-234507.22000000
N
N
N
Medicines Co/The
254900Z72DIL282LFL79
Medicines Co/The
584688105
41959.00000000
NS
USD
2097950.00000000
0.546994083611
Long
EC
CORP
US
N
1
N
N
N
Seattle Genetics Inc
N/A
Seattle Genetics Inc
812578102
97338.00000000
NS
USD
8312665.20000000
2.167343684759
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC CONVERTIBLE PROMISSORY NOTE
000000000
81881.45000000
PA
USD
81881.45000000
0.021348777953
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
N/A
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
000000000
113204.94000000
PA
USD
113204.94000000
0.029515685509
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
ILLUMINOSS INC. WARRANTS WARRANTS
N/A
ILLUMINOSS INC. WARRANTS WARRANTS
000000000
28301.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2029-07-02
XXXX
0.00000000
N
N
N
Cardiokinetix Inc
N/A
CARDIOKINETIX, INC. PREFERRED STOCK SERIES E
000000000
439333.00000000
NS
USD
0.00000000
0.000000
Long
EP
CORP
US
Y
3
N
N
N
Pieris Pharmaceuticals Warrant Series B
254900AJDH8PAOOI5T33
Pieris Pharmaceuticals Warrant Series B
000000000
11911.00000000
NS
USD
27514.41000000
0.007173774152
N/A
DE
US
N
3
N/A
N/A
Call
Purchased
Pieris Pharmaceuticals Inc
Pieris Pharmaceuticals Inc
1.00000000
2.00000000
USD
2021-06-08
XXXX
25908.64000000
N
N
N
Pieris Pharmaceuticals Inc
254900AJDH8PAOOI5T33
Pieris Pharmaceuticals Inc
720795103
374819.00000000
NS
USD
1278132.79000000
0.333244869610
Long
EC
CORP
US
N
1
N
N
N
Merus NV
549300W8GPUWU8QNU293
Merus NV
000000000
6337.00000000
NS
USD
112925.34000000
0.029442785990
Long
EC
CORP
NL
N
1
N
N
N
ATRECA, INC
N/A
ATRECA, INC SERIES C1 PREFERRED STOCK
000000000
50071.00000000
NS
USD
551582.14000000
0.143812849307
Long
EP
CORP
US
Y
2
N
N
N
Illuminoss Inc.
N/A
Illuminoss Inc. Warrants
000000000
47541.53000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2028-02-06
XXXX
0.00000000
N
N
N
Illuminoss Inc.
N/A
Illuminoss Inc. Warrants Call Exp 20Nov27
000000000
23770.78000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2027-11-20
XXXX
-87.53000000
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. CONVERTIBLE PR
000000000
190166.13000000
PA
USD
190166.13000000
0.049581614439
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Rainier Therapeutics Series B PREFERRED STOCK
N/A
Rainier Therapeutics Series B PREFERRED STOCK
000000000
668449.00000000
NS
USD
499999.85000000
0.130363907508
Long
EP
CORP
US
Y
3
N
N
N
AMPHIVENA THERAPEUTICS, INC. SERIES C PREFERRED STOCK
N/A
AMPHIVENA THERAPEUTICS, INC. SERIES C PREFERRED STOCK
000000000
225416.31000000
NS
USD
808847.82000000
0.210889188055
Long
EP
CORP
US
Y
3
N
N
N
ARKUDA THERAPEUTICS,INC
N/A
ARKUDA THERAPEUTICS,INC SER A. SERIES A PREFERRED STOCK.
000000000
343919.00000000
NS
USD
818183.30000000
0.213323208088
Long
EP
CORP
US
Y
3
N
N
N
AMPHIVENA THERAPEUTICS, INC. SERIES B PREFERRED STOCK
N/A
AMPHIVENA THERAPEUTICS, INC. SERIES B PREFERRED STOCK
000000000
140000.00000000
NS
USD
2100000.00000000
0.547528575792
Long
EP
CORP
US
Y
3
N
N
N
Insmed Inc
529900Q55QAG41CCAC11
Insmed Inc
457669307
56227.00000000
NS
USD
991844.28000000
0.258601469541
Long
EC
CORP
US
N
1
N
N
N
Celgene Corp
4SIHMF0MOSTTL8CD0X64
Celgene Corp
151020104
399550.00000000
NS
USD
39675315.00000000
10.34446129336
Long
EC
CORP
US
N
1
N
N
N
uniQure NV
N/A
uniQure NV
000000000
19751.00000000
NS
USD
777399.36000000
0.202689697334
Long
EC
CORP
NL
N
1
N
N
N
Biogen Inc
W8J5WZB5IY3K0NDQT671
Biogen Inc
09062X103
72469.00000000
NS
USD
16872232.58000000
4.399061654746
Long
EC
CORP
US
N
1
N
N
N
Neurocrine Biosciences Inc
549300FECER0XBN49756
Neurocrine Biosciences Inc
64125C109
70499.00000000
NS
USD
6352664.89000000
1.656316933194
Long
EC
CORP
US
N
1
N
N
N
Tetraphase Pharmaceuticals Inc
529900BOHW16K9S8NC02
Tetraphase Pharmaceuticals Inc
88165N204
14218.90000000
NS
USD
75644.55000000
0.019722644156
Long
EC
CORP
US
N
1
N
N
N
Ionis Pharmaceuticals Inc
549300SI4ZGLG0BLUZ92
Ionis Pharmaceuticals Inc
462222100
67849.00000000
NS
USD
4064833.59000000
1.059815498269
Long
EC
CORP
US
N
1
N
N
N
Bellicum Pharmaceuticals Inc
529900HBXNLX2TBQZQ65
Bellicum Pharmaceuticals Inc
079481107
60000.00000000
NS
USD
63000.00000000
0.016425857273
Long
EC
CORP
US
N
1
N
N
N
Magenta Therapeutics Inc
549300Z3N6ODPCOFC890
Magenta Therapeutics Inc
55910K108
16757.00000000
NS
USD
171926.82000000
0.044826117569
Long
EC
CORP
US
N
1
N
N
N
ACADIA Pharmaceuticals Inc
529900O3044NO0PEA039
ACADIA Pharmaceuticals Inc
004225108
49246.00000000
NS
USD
1772363.54000000
0.462104611829
Long
EC
CORP
US
N
1
N
N
N
OCULIS SA
N/A
OCULIS SA SERIES B2 PREFERRED PREFERRED STOCK
000000000
105933.00000000
NS
883721.42000000
0.230410824042
Long
EP
CORP
CH
Y
3
N
N
N
Global Blood Therapeutics Inc
549300U4G0QKK99GRT15
Global Blood Therapeutics Inc
37890U108
30746.00000000
NS
USD
1491795.92000000
0.388952807357
Long
EC
CORP
US
N
1
N
N
N
Alkermes PLC
N/A
Alkermes PLC
000000000
60092.00000000
NS
USD
1172394.92000000
0.305676057530
Long
EC
CORP
IE
N
1
N
N
N
Clearside Biomedical Inc
N/A
Clearside Biomedical Inc
185063104
165330.00000000
NS
USD
104157.90000000
0.027156869830
Long
EC
CORP
US
N
1
N
N
N
CRISPR Therapeutics AG
506700O6IRRIQLT3W370
CRISPR Therapeutics AG
000000000
31393.00000000
NS
USD
1286799.07000000
0.335504410537
Long
EC
CORP
CH
N
1
N
N
N
AC Immune SA
967600VLQ0ZC2HSOG765
AC Immune SA
000000000
52739.00000000
NS
USD
261058.05000000
0.068065115388
Long
EC
CORP
CH
N
1
N
N
N
WaVe Life Sciences Ltd
54930070006GPKFYZ813
WaVe Life Sciences Ltd
000000000
33973.00000000
NS
USD
697465.69000000
0.181848759957
Long
EC
CORP
SG
N
1
N
N
N
PRA Health Sciences Inc
549300R1HR1VWWHIAK47
PRA Health Sciences Inc
69354M108
45069.00000000
NS
USD
4472196.87000000
1.166026468045
Long
EC
CORP
US
N
1
N
N
N
Gilead Sciences Inc
549300WTZWR07K8MNV44
Gilead Sciences Inc
375558103
451490.00000000
NS
USD
28615436.20000000
7.460842394412
Long
EC
CORP
US
N
1
N
N
N
SPDR S&P Biotech ETF
549300Y3ODFMPD5XXL58
SPDR S&P Biotech ETF
78464A870
15173.00000000
NS
USD
1156941.25000000
0.301646854708
Long
EC
RF
US
N
1
N
N
N
Zogenix Inc
54930089H3HF4C32SK78
Zogenix Inc
98978L204
21816.00000000
NS
USD
873512.64000000
0.227749110340
Long
EC
CORP
US
N
1
N
N
N
Regeneron Pharmaceuticals Inc
549300RCBFWIRX3HYQ56
Regeneron Pharmaceuticals Inc
75886F107
48594.00000000
NS
USD
13479975.60000000
3.514605639040
Long
EC
CORP
US
N
1
N
N
N
Ovid therapeutics Inc
549300H36NUI4L6U8F17
Ovid therapeutics Inc
690469101
111820.00000000
NS
USD
362296.80000000
0.094460881389
Long
EC
CORP
US
N
1
N
N
N
Endo International PLC
5493007TBMWZWGZIB256
Endo International PLC
000000000
29100.00000000
NS
USD
93411.00000000
0.024354853234
Long
EC
CORP
IE
N
1
N
N
N
Horizon Therapeutics Plc
N/A
HORIZON THERAPEUTICS PLC
000000000
84952.00000000
NS
USD
2313242.96000000
0.603126963500
Long
EC
CORP
IE
N
1
N
N
N
Cercacor Laboratories Inc
N/A
CERCACOR LABORATORIES INC COMMON STOCK
000000000
130000.00000000
NS
USD
678729.48000000
0.176963707396
Long
EC
CORP
US
Y
3
N
N
N
InnovaCare Inc
N/A
InnovaCare Inc
45779N103
148148.00000000
NS
USD
1359524.57000000
0.354465976936
Long
EC
CORP
PR
Y
3
N
N
N
ARCA Biopharma, Inc.
529900TG7O4ESUDMGI54
Arca Biopharma, Inc. Warrants
000000000
18027.00000000
NS
USD
5948.91000000
0.001551046771
N/A
DE
US
N
3
N/A
N/A
Call
Purchased
ARCA biopharma Inc
ARCA biopharma Inc
1.00000000
109.82000000
USD
2022-06-11
XXXX
5427.42000000
N
N
N
Aerie Pharmaceuticals Inc
529900SFXHDHUO324R09
Aerie Pharmaceuticals Inc
00771V108
20403.00000000
NS
USD
392145.66000000
0.102243311772
Long
EC
CORP
US
N
1
N
N
N
Spectrum Pharmaceuticals Inc
549300COU30WSP3O5I07
Spectrum Pharmaceuticals Inc
84763A108
34880.00000000
NS
USD
289329.60000000
0.075436297058
Long
EC
CORP
US
N
1
N
N
N
Curasen Therapeutics, Inc.
N/A
CURASEN THERAPEUTICS, INC. SERIES A PREFERRED STOCK
000000000
1359927.00000000
NS
USD
1499999.48000000
0.391091704273
Long
EP
CORP
US
Y
3
N
N
N
Puma Biotechnology Inc
N/A
Puma Biotechnology Inc
74587V107
23629.00000000
NS
USD
254366.19000000
0.066320360828
Long
EC
CORP
US
N
1
N
N
N
PTC Therapeutics Inc
549300UJLWOIWFDGB318
PTC Therapeutics Inc
69366J200
55238.00000000
NS
USD
1868149.16000000
0.487078594734
Long
EC
CORP
US
N
1
N
N
N
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
N/A
ILLUMINOSS INC. CONVERTIBLE PROMISSORY NOTE
000000000
214762.80000000
PA
USD
214762.80000000
0.055994652389
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Decipher Biosciences, Inc.
N/A
DECIPHER BIOSCIENCES, INC. SERIES III CONVERTIBLE PFD
000000000
396284.00000000
NS
USD
860728.85000000
0.224416019706
Long
EP
CORP
US
Y
3
N
N
N
Biohaven Pharmaceutical Holding Co Ltd
5299007STZTNN32O9920
Biohaven Pharmaceutical Holding Co Ltd
000000000
8928.00000000
NS
USD
372476.16000000
0.097114924476
Long
EC
CORP
VG
N
1
N
N
N
Atreca Inc
549300B5CQV1OOXFLU71
Atreca Inc
04965G109
23414.00000000
NS
USD
286587.36000000
0.074721318600
Long
EC
CORP
US
N
1
N
N
N
FibroGen Inc
549300Q914ULWWY95822
FibroGen Inc
31572Q808
95998.00000000
NS
USD
3550006.04000000
0.925585595779
Long
EC
CORP
US
N
1
N
N
N
Amarin Corp PLC
5493009JFIGUFEVPK217
Amarin Corp PLC
023111206
167956.00000000
NS
USD
2546212.96000000
0.663868740787
Long
EC
CORP
GB
N
1
N
N
N
Arrowhead Pharmaceuticals Inc
549300O3CSB8T7OZ3D66
Arrowhead Pharmaceuticals Inc
04280A100
30700.00000000
NS
USD
865126.00000000
0.225562479362
Long
EC
CORP
US
N
1
N
N
N
Cardiokinetix Inc
N/A
CARDIOKINETIX,INC CONV PROM NT CONVERTIBLE BOND
000000000
51740.59000000
PA
USD
0.00000000
0.000000
Long
DBT
CORP
US
Y
3
2020-01-31
Fixed
0.00000000
N
N
N
N
N
N
Mirati Therapeutics Inc
529900GYRW59IDQV6N54
Mirati Therapeutics Inc
60468T105
20159.00000000
NS
USD
1570587.69000000
0.409496019553
Long
EC
CORP
US
N
1
N
N
N
Vertex Pharmaceuticals Inc
54930015RAQRRZ5ZGJ91
Vertex Pharmaceuticals Inc
92532F100
134383.00000000
NS
USD
22767167.86000000
5.936035711054
Long
EC
CORP
US
N
1
N
N
N
Cardiokinetix Inc
N/A
Cardio Kinetix Wts Call Exp 11/Dec/19
000000000
2.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
CADIOKINETIX SERIES C
CADIOKINETIX SERIES C
1.00000000
0.69000000
USD
2019-12-11
XXXX
-123.05000000
N
N
N
Agios Pharmaceuticals Inc
529900ONJHY8EOGYT555
Agios Pharmaceuticals Inc
00847X104
50048.00000000
NS
USD
1621555.20000000
0.422784671059
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. WARRANTS
000000000
12964.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2029-04-29
XXXX
0.00000000
N
N
N
AQUAMED TECHNOLOGIES INC COMMON STOCK
N/A
AQUAMED TECHNOLOGIES INC COMMON STOCK
000000000
44550.00000000
NS
USD
2263.14000000
0.000590063724
Long
EC
CORP
US
N
3
N
N
N
Trillium Therapeutics Inc
N/A
Trillium Therapeutics Inc
89620X506
128573.00000000
NS
USD
39561.91000000
0.010314893446
Long
EC
CORP
CA
N
1
N
N
N
Adynxx Inc
N/A
Adynxx Inc
00784D103
7425.00000000
NS
USD
11137.50000000
0.002903856910
Long
EC
CORP
US
N
1
N
N
N
Ra Pharmaceuticals Inc
549300JE4B54MQ4MWX95
Ra Pharmaceuticals Inc
74933V108
40173.00000000
NS
USD
950091.45000000
0.247715342138
Long
EC
CORP
US
N
1
N
N
N
Pacific Biosciences of California Inc
N/A
Pacific Biosciences of California Inc
69404D108
151480.00000000
NS
USD
781636.80000000
0.203794516138
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
Illuminoss Inc. Warrants
000000000
46462.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2029-01-29
XXXX
0.00000000
N
N
N
Galera Therapeutics, Inc.
N/A
GALERA THERAPEUTICS, INC. SERI SERIES C PREFERRED STOCK
000000000
442577.00000000
NS
USD
979998.25000000
0.255512879096
Long
EP
CORP
US
Y
3
N
N
N
Verona Pharma PLC
213800EVI6O6J3TIAL06
Verona Pharma PLC
000000000
929053.00000000
NS
542600.42000000
0.141471064374
Long
EC
CORP
GB
N
1
N
N
N
Cidara Therapeutics Inc
549300IHQ9Z7RI1X2D22
Cidara Therapeutics Inc
171757107
158784.00000000
NS
USD
316774.08000000
0.082591838509
Long
EC
CORP
US
N
1
N
N
N
Epizyme Inc
549300TNFWF88O4U4605
Epizyme Inc
29428V104
133635.00000000
NS
USD
1378445.03000000
0.359399068611
Long
EC
CORP
US
N
1
N
N
N
ETHISMOS RESEARCH, INC. MILEST
N/A
ETHISMOS RESEARCH, INC. MILEST
000000000
820.00000000
NS
USD
0.00000000
0.000000
Long
CORP
US
Y
3
N
N
N
Ultragenyx Pharmaceutical Inc
529900EV44GVDN1DCX77
Ultragenyx Pharmaceutical Inc
90400D108
29770.00000000
NS
USD
1273560.60000000
0.332052772144
Long
EC
CORP
US
N
1
N
N
N
Intra-Cellular Therapies Inc
5299002U2KGF193IJA20
Intra-Cellular Therapies Inc
46116X101
8328.00000000
NS
USD
62210.16000000
0.016219923954
Long
EC
CORP
US
N
1
N
N
N
Illuminoss Inc.
N/A
ILLUMINOSS INC. CONVERTIBLE PR 06/18 FIXED 8
000000000
285294.16000000
PA
USD
285294.16000000
0.074384145288
Long
DBT
CORP
US
Y
3
2021-12-31
Fixed
8.00000000
N
N
N
N
N
N
Alnylam Pharmaceuticals Inc
529900S3ZI14OWRJII50
Alnylam Pharmaceuticals Inc
02043Q107
58299.00000000
NS
USD
4688405.58000000
1.222398109502
Long
EC
CORP
US
N
1
N
N
N
Cymabay Therapeutics Inc
549300YT9GNL852E7F84
Cymabay Therapeutics Inc
23257D103
32636.00000000
NS
USD
167096.32000000
0.043566671480
Long
EC
CORP
US
N
1
N
N
N
Alexion Pharmaceuticals Inc
M1YXUUZR0EIMU8T0EM75
Alexion Pharmaceuticals Inc
015351109
125737.00000000
NS
USD
12314681.78000000
3.210781036352
Long
EC
CORP
US
N
1
N
N
N
MyoKardia Inc
549300OLNNNZ1NI9UY54
MyoKardia Inc
62857M105
5870.00000000
NS
USD
306120.50000000
0.079814153040
Long
EC
CORP
US
N
1
N
N
N
FIXED INC CLEARING CORP.REPO
549300H47WTHXPU08X20
FIXED INC CLEARING CORP.REPO
000000000
12025000.00000000
PA
USD
12025000.00000000
3.135252916145
Long
RA
CORP
US
N
2
Repurchase
N
0.25000000
2019-10-01
12160000.00000000
USD
12268296.96000000
USD
UST
N
N
N
Pieris Pharmaceuticals Warrant Series A
254900AJDH8PAOOI5T33
Pieris Pharmaceuticals Warrant Series A
000000000
23821.00000000
NS
USD
42639.59000000
0.011117330469
N/A
DE
US
N
3
N/A
N/A
Call
Purchased
Pieris Pharmaceuticals Inc
Pieris Pharmaceuticals Inc
1.00000000
3.00000000
USD
2021-06-08
XXXX
39428.18000000
N
N
N
Milestone Pharmaceuticals Inc
N/A
Milestone Pharmaceuticals Inc
59935V107
14082.00000000
NS
USD
243618.60000000
0.063518164330
Long
EC
CORP
CA
N
1
N
N
N
Decipher Biosciences, Inc.
N/A
DECIPHER BIOSCIENCES, INC. SERIES II CONVERTIBLE
000000000
398613.00000000
NS
USD
556862.36000000
0.145189549944
Long
EP
CORP
US
Y
3
N
N
N
Sutro Biopharma Inc
5493005U6P15VD25P851
Sutro Biopharma Inc
869367102
193471.00000000
NS
USD
1758651.39000000
0.458529471848
Long
EC
CORP
US
N
1
N
N
N
Rocket Pharmaceuticals Inc
549300R7VV82YUIN4Y93
Rocket Pharmaceuticals Inc
77313F106
63455.00000000
NS
USD
739250.75000000
0.192743290619
Long
EC
CORP
US
N
1
N
N
N
Exelixis Inc
N/A
Exelixis Inc
30161Q104
95998.00000000
NS
USD
1697724.63000000
0.442644166072
Long
EC
CORP
US
N
1
N
N
N
Acceleron Pharma Inc
529900TQRID2UY164805
Acceleron Pharma Inc
00434H108
30541.00000000
NS
USD
1206674.91000000
0.314613807103
Long
EC
CORP
US
N
1
N
N
N
iShares Nasdaq Biotechnology ETF
549300S7IVD88MPK0066
iShares Nasdaq Biotechnology ETF
464287556
18914.00000000
NS
USD
1881943.00000000
0.490675033577
Long
EC
RF
US
N
1
N
N
N
Ascendis Pharma A/S
549300B66JN3W3J8GH73
Ascendis Pharma A/S
04351P101
30582.00000000
NS
USD
2945658.24000000
0.768015267104
Long
EC
CORP
DK
N
1
N
N
N
Intercept Pharmaceuticals Inc
N/A
Intercept Pharmaceuticals Inc
45845P108
13082.00000000
NS
USD
868121.52000000
0.226343494981
Long
EC
CORP
US
N
1
N
N
N
Editas Medicine Inc
5299000AON4Q9NT2JE42
Editas Medicine Inc
28106W103
49733.00000000
NS
USD
1130928.42000000
0.294864584345
Long
EC
CORP
US
N
1
N
N
N
Quotient Ltd
549300BOTHGGT8D81659
Quotient Ltd
000000000
121721.00000000
NS
USD
945772.17000000
0.246589185363
Long
EC
CORP
JE
N
1
N
N
N
ILLUMINOSS INC. WARRANTS WARRANTS
N/A
ILLUMINOSS INC. WARRANTS WARRANTS
000000000
53690.00000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
ILLUMINOSS INC. SERIES AA
ILLUMINOSS INC. SERIES AA
1.00000000
1.00000000
USD
2029-09-27
XXXX
0.00000000
N
N
N
Inogen Inc
549300J8WJIVTOJ8IH97
Inogen Inc
45780L104
8162.00000000
NS
USD
391041.42000000
0.101955405604
Long
EC
CORP
US
N
1
N
N
N
RAINIER THERAPEUTICS, INC. CONVERTIBLE PROMISSORY NOTE
N/A
RAINIER THERAPEUTICS, INC. CONVERTIBLE PROMISSORY NOTE
000000000
189672.50000000
PA
USD
189672.50000000
0.049452911329
Long
DBT
CORP
US
Y
3
2020-03-31
Fixed
8.00000000
N
N
N
N
N
N
Cardiokinetix Inc
N/A
Cardiokinetix Inc Warrants
000000000
8821.69000000
NS
USD
0.00000000
0.000000
N/A
DE
US
Y
3
N/A
N/A
Call
Purchased
CADIOKINETIX SERIES C
CADIOKINETIX SERIES C
1.00000000
2.85000000
USD
2024-08-15
XXXX
-141.82000000
N
N
N
2019-10-23
TEKLA LIFE SCIENCES INVESTORS
Laura Woodward
Laura Woodward
CCO