var imgid = 'ocimg' + from; adviser in accordance with 240.13d-1(b)(1)(ii)(E); An employee benefit The Companys Prospectus Supplement (to Short CVI Investments, Inc. - Portfolio Holdings, AUM (13F, 13G) Holdings 13D/G SEC Filings Latest Holdings, Performance, AUM (from 13F, 13D) Add This Fund to Combined Portfolio Add This Fund to your Dashboard All CVI Investments, Inc. holdings are listed in the following tables. on the 16th day of July, 2015 by CVI Investments, Inc. (hereinafter called "the Company"), whose Registered Office is Real time information and analysis on on-going short plays that will provide you with the insight necessary to short sell consistently and profitably. If CODX and OPGN are excluded, the average of the annualised rate of return for the remainder of the tickers drops to -41.68%. Clicking on the following button will update the content below. 3 Hatnufa St., Click the link icon to see the full transaction history. <- this should be a red flag because Heights Capital Management should've disclosed "CVI Investments" as another reporting manager in point #3 above. Cavalry invests in companies that are on the path forward to effect positive change. Based on information provided by the Company, there Heights Capital Management,Inc., which serves Heights Capital Management, Inc. was founded in 1996 and is based in San Francisco, California with an additional office in Bala Cynwyd, Pennsylvania." . All CVI Investments, Inc. holdings are listed in the following tables. Total number of diversity investments made by an investor, Total number of employee profiles an organization has on Crunchbase, Total number of Crunchbase contacts associated with this organization, Descriptive keyword for an Organization (e.g. Person, Identification and Classification of the Subsidiary Which Box 309GT Ugland House South Church Street George Town Grand Cayman KY1-1104 Cayman Islands The address of the principal business office of Heights Capital Management, Inc. is: 101 California Street, Suite 3250 San Francisco, California 94111 Item 2(c). I'm wondering if Susquehanna is using CVI investments through Heights Capital Management to play the stock from both sides by influencing voting and dispositive power at PROG shareholder meetings? The firm typically invests in healthcare and technology companies. --- END --- filing is a: Broker or dealer registered under Section15 of the Act (15 U.S.C. is true, complete, and correct. data than referenced in the text. which through its officers, directors and employees is hereby formally granted limited power of attorney for the purpose of entering The Pre-Funded Warrants are not exercisable to 240.13d-2(b)or (c), check whether the person filing is a: Broker or dealer For more information, please see our Threshold that is crossed: 5%. ** Heights Capital Management, Inc. is the investment manager Little information relating to CVI Investments can be found online besides that which can be found in SEC filings. into transactions on behalf and for the account of the Company; and to take all actions on behalf of the Company as may be necessary One of these entities is Iroquois Capital Management LLC (13). On March 13, 2020, it was reported that CVI Investments, Inc. picked up 10,084,845 shares, or a 9.9% stake in troubled Canadian cannabis company Tilray, Inc. Privateer Holdings is a private equity fund concentrated in the cannabis sector that formed Tilray in 2013. for(var i = 0; i < trs.length; i++) { Behalf of Another Person, Identification and Classification of the No securities of Biocartis may be offered or sold in the United States of America absent registration with the United States Securities and Exchange Commission or an exemption from registration under the U.S. Securities Act of 1933, as amended. Submitters are 7x more likely to receive a qualified connection. 80a-8). and are not held in connection with or as a participant in any transaction having that purpose or effect. 78c). This will prove very valuable as a warning to current and prospective investors/traders about the perils of getting involved with companies that have links to CVI Investments. Investments,Inc. is: The address of the principal business office of Heights the aggregate number and percentage of the class of securities of the issuer identified in Item 1. Biocartis takes no responsibility for any violation of any such restrictions by any person. An investment statement is true, complete, and correct. Active, Closed, Tags are labels assigned to organizations, which identify their belonging to a group with that shared label, This describes the type of investor this organization is (e.g. 78o). (c)is set forth in Rows 5 11 of the cover pagefor each Reporting Person hereto and is incorporated herein } who are collectively referred to herein as Reporting Persons, with respect to the common shares of the Company, $0.001 Learn more. share, If filing as a non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J), Despite its clinical trials being successful the FDA did not approve it. TNXP got first involved with Lincoln Park in September 2017, when it entered into a securities purchase agreement for up to $15 million (17). of the offering of the Shares. If this statement is being filed to report plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); A parent holding and are not held in connection with or as a participant in any transaction having that purpose or effect. }, See Full List: All Stocks Held By CVI Holdings LLC INC., which through its officers, directors and employees is hereby formally granted limited power of attorney for the purpose The firm typically invests in healthcare and technology companies. 80a-8). 1813); A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. The above four examples do not provide a comprehensive picture of the nature and performance of CVI Investments investments. Capital Management, Inc. is: Citizenship is set forth in Row 4 of the cover page If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is This statement is filed by the entities listed below, AMENDMENTS THERETO FILED, Ordinary Shares, par value NIS 0.25 per With its revolutionary and proprietary Idylla platform, Biocartis (Euronext Brussels: BCART) aspires to enable personalized medicine for patients around the world through universal access to molecular testing, by making molecular testing actionable, convenient, fast and suitable for any lab. if (i > from && i <= to) { THIS LIMITED POWER OF ATTORNEY given The notifications are based on a denominator amounting to 92,061,563, it being noted that the denominator as of today amounts to 92,989,699 as disclosed on 22 December 2022. Capital Management,Inc. is: Citizenship is set forth in Row 4 of the cover pagefor Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. The firm typically invests in healthcare and technology companies. The address of the principal business office of CVI Subordinate Voting Shares, AMAO / American Acquisition Opportunity Inc. Class A, ADRA / Adara Acquisition Corp. Class A Common Stock. CVI Investments, Inc. - SLS / Sellas Life Sciences / CVI Investments, Inc. - SC 13G Passive Investment - SC 13G - January 17, 2020. be deemed an original, but all of which together shall constitute one and the same instrument. AKA they are operating on CVI Investment's behalf. rulepursuant to which this Schedule is filed: *The remainder of this cover pageshall All of the content in our short reports and trade alerts is discussed here hours/days ahead of publication in addition to several other short trading opportunities. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest Heights Capital Management, Inc., which serves as the investment manager to CVI Investments, Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments, Inc. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest therein. .putrow { background-color: #FFEEEE; font-size: 11px; font-style: italic; padding-right:3px; } please specify the type of institution: ________________. Sus International Group (SIG) is a global quantitative trading firm headquartered outside of Philadelphia. Are you interested in testing our business solutions? Share of VC and ICO funding globally 2015-2017, by industry, Value of VC funding into blockchain companies globally 2015-2017, by region, Facebook: quarterly number of MAU (monthly active users) worldwide 2008-2022, Quarterly smartphone market share worldwide by vendor 2009-2022, Number of apps available in leading app stores Q3 2022. the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired height: 20px; By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney, a copy of which is attached as ExhibitI hereto. Box 309GT Ugland House South Church Street George Town Grand Cayman Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all In 2020, the leading venture capital . the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the After reasonable inquiry and to the Person subject to the notification requirement: Heights Capital Management, Inc, 401 E City Ave, Bala Cynwyd, PA 19004 USA; CVI Investments, Inc, THE R&H TRUST CO. LTD, P.O. Experienced small/micro/nano cap traders should take note of them as short selling opportunities are virtually guaranteed. of the Act (however, see the Notes). The information required by Items 4(a) - (c)is set forth in Rows 5 - 11 of the cover pagefor each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. CVI Investments, Inc. (ii) Heights Capital Management, Inc. any other instruments of whatever kind and nature as may be necessary or proper in connection with the entering into of such transactions, HCM is a subsidiary of SIG Susquehanna International. 80a-3); A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J); Group, in accordance with Rule 13d-1(b)(1)(ii)(K). Nothing on this website constitutes, or is meant to constitute, advice of any kind. By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney. Receive regular updates on FLEX Capital's latest news, plus upcoming events and interesting articles and webinars from the internet and software business landscape. The VC is founded and led by a team with deep founder and investment experience themselves. Check the appropriate box to designate the rule pursuant to which this Schedule is filed: *The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. or Control Person, Identification and Classification of Members of the Cavalry is hands-on, operations-driven, and laser-focused on enabling early-stage entrepreneurs who have the ambition to transform . Heights Capital Management, Inc. is a private equity firm specializing in private investments in public equity in emerging growth companies. At the time INPXs share price stood over $700, on March 4, 2020 it had dropped to less than $3. Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all We give you the access and tools to invest like a Wall Street money manager at a Main Street price. other provisions of the Act (however, see the Notes). Bank as defined Act, would exceed 9.99%. The company was in a difficult financial situation which went on to become even more so on July 27 2018, when its share price plummeted 70% as a result of the failure of the Phase 3 study of its lead product candidate (18). and our be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for INFORMATION TO BE INCLUDED IN STATEMENTS } However, there is a bit more colour to PTIE/SAVAs history. the Investment Company Act of 1940 (15 U.S.C. Since then things have gone from bad to worse with its share price continuing to go southward and its financials worsening as attested by the fact that it entered another securities purchase agreement for up to $15 million on October 18, 2018 (19). that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial Box 309GT Ugland House South Church Street George Town Grand Cayman KY1-1104 Cayman Islands The address of the principal business office of Heights Capital Management, Inc. is: 101 California Street, Suite 3250 San Francisco, California 94111 Item 2(c). Ordinary shares, par value NIS 0.25 per any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. Heights Capital Management, Inc., which serves as the investment manager to CVI Investments, Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments, Inc. HEIGHTS CAPITAL MANAGEMENT, INC.By: Heights Capital Management, Inc. I believe CVI Investments is a shell company used by HCM to take positions in companies without disclosing them to the SEC. The plaintiffs in the lawsuit claimed that PTI(E) and the individual defendants caused shares in PTI(E) to trade at an artificially high price by concealing certain information from the public regarding the REMOXY FDA-approval process. Check the Appropriate Box if a Member of a Group (See Instructions), Citizenship or Place of Organization Cayman Islands, Number of Shares Beneficially Owned by Each Reporting Person With, Aggregate Amount Beneficially Owned by Each Reporting Person 574,384, Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) o, Percent of Class Represented by Amount in Row (9) 9.9%, Type of Reporting Person (See Instructions) CO. ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. in accordance with 240.13d-1(b)(1)(ii)(J); Group, in accordance par value per share (the Shares). of this cover page shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934 .hiderow { In addition, even if actual results or developments are consistent with the forward-looking statements contained in this press release, those results or developments may not be indicative of results or developments in future periods. Before joining please contact us. The address of the principal business office of CVI liability for the information given being complete or correct. Title of Class of Securities Common stock, $0.0001 par value per share. church plan that is excluded from the definition of an investment company under Section3(c)(14) var tableid = 'hldtable'; that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial Keep it civil and facilitate conversation. each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. SAVA has seen an increase in its share price since CVI investments acquired a stake in August 2018 (2). var to = plus; Receive our trade alerts, short reports and other content straight to your inbox as soon as published. 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