if (i > from && i <= to) { 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. This website is provided as is without any representations or warranties, express or implied. the services specified under the Discretionary Investment Management Agreement with respect to such transactions. } any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. Notifications by: A parent undertaking or a controlling person. This is a list of 13D and 13G filings made in the last year (if any). may be necessary to consummate such transactions, including but not limited to making, negotiating; signing, endorsing, executing, By accepting all cookies, you agree to our use of cookies to deliver and maintain our services and site, improve the quality of Reddit, personalize Reddit content and advertising, and measure the effectiveness of advertising. FLEX Capital. Shares which might have been immediately sold considering the extremely high daily trading volumes that have taken place during the last few days (we must emphasise that this is pure speculation from our part as we do not know the nuances of securities laws relating to SPAs). Billie Jean King, Bolt Innovation Group, Chelsea Handler, Danielle Racquel Scott-Arruda, David Blitzer, Haleigh Meridian Washington, Heights Capital Management, Jenny Ming, Jill Smoller, Kelsey Marie Robinson Cook, Kevin Durant, Lindsey Napela Berg, Marisa Sharkey, Peter Tomozawa, Teresa Resch, and Verance Capital, Fast Track Initiative, Green Coin Best, Heights Capital Management, JAFCO, Keio Innovation Initiative, SBI Group, and UTokyo Innovation Platform, Heights Capital Management, and Ophir Asset Management. 78c). Forward-looking statements Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model. Residence. .hiderow { Their latest portfolio exit was Antares Pharma on May 24, 2022. The number of Shares reported as beneficially owned consists of (i)563,000 Shares, and (ii)Shares issuable upon the exercise of pre-funded warrants to purchase Shares (the Pre-Funded Warrants). Nothing on this website constitutes, or is meant to constitute, advice of any kind. On 21 December 2022, Heights Capital Management, Inc. held 4.95% of the voting rights in Biocartis through CVI Investments, Inc. other provisions of the Act (however, see the Notes). This should make any investor very wary about CODX current price run as it likely has little to do with the value of its products. Group. each such Reporting Person. If filing as a non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J), var imgid = 'ocimg' + from; Google search "William Walmsley" - you'll get the jaguar car designer who passed away in the 60s. Including: Biggest new positions Biggest exits Biggest increased positions Biggest decreased positions, See Details: Top 10 Stocks Held By CVI Holdings LLC, stock quote data powered by Ticker Technologies. plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); A parent holding ownership by the undersigned of the common shares of Neovasc Inc., no par value, is being filed, and all amendments thereto will for(var i = 0; i < trs.length; i++) { 2015, by and between the Company and Heights Capital Management,Inc., the Company expressly authorized Heights Capital Management,Inc. Ownership of Five Percent or Less of a } Cavalry invests in companies that are on the path forward to effect positive change. This is the hub for Progenity and a community where you can digest DD About $PROG. By signing below each of the undersigned Keep it civil and facilitate conversation. Combined Holding Report Includes: All CVI Investments, Inc. holdings are listed in the following tables. Check out what they did to ComScore 2 years ago. no par value (the Shares). Check the appropriate box to designate Use of these cookies, which may be stored on your device, permits us to improve and customize your experience. CBI websites generally use certain cookies to enable better interactions with. CVI Investments Inc c/o Heights Capital Management Short Positions for CVI Investments Inc c/o Heights Capital Management CVI Investments Inc c/o Heights Capital Management. This Agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. The most important key figures provide you with a compact summary of the topic of "Venture capital worldwide" and take you straight to the corresponding statistics. After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement is true, complete, and correct. After reasonable inquiry and to the the Investment Company Act of 1940 (15 U.S.C. Additional information: CVI Investments, Inc. is the investment management company that exercises the voting rights at its discretion in the absence of specific instructions. Red rows indicate closed positions. Link to 13F filings: SEC filings, .htable { font-family: Arial; font-size: 13px; border-bottom: 1px dotted #666666; width: 646px; } SAVA was formerly known as Pain Therapeutics (PTIE), and it is a company that is no stranger to controversy. ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. par value per share (the Shares). page. (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions 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. The Pre-Funded Warrants are not exercisable to the extent that the total number of Shares then beneficially owned by a Reporting Person and its affiliates and any other persons whose beneficial ownership of Shares would be aggregated with such Reporting Person for purposes of Section13(d)of the Exchange Act, would exceed 9.99%. 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 Fintel is a registered trademark. of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. if (isexpanded[from]) { Address of Principal Business Office or, if none, Residence The address of the principal business office of CVI Investments, Inc. is: The address of the principal business office of Heights Capital Management, Inc. is: Citizenship Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. Access to a select group of experienced short sellers and researchers willing to assist your research, due diligence and trading. Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. Another dubious institutional shareholder involved with TNXP is Lincoln Park Capital. We have previously covered Iliad Research and Trading and highlighted how since 2016 it has been involved with approximately 28 different companies. INFORMATION TO BE INCLUDED IN STATEMENTS statement is true, complete, and correct. Investment company We covered TNXP earlier this year as it exhibited suspect price action due to press releases claiming it is on track to develop a covid-19 vaccine, similar to other biotech small/micro/nano caps, and its links to several so-called dubious third parties. registered under Section15 of the Act (15 U.S.C. Clicking on the following button will update the content below. Latest about $PROG, Post news, ideas, insights and any thoughts you have regarding $PROG. situated at PO Box 309GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands. whose Registered Office is situated at PO Box 309GT, Ugland House, South Church Street, George Town, Grand Cayman, Cayman Islands. If filing as a non-U.S. institution in accordance with, 240.13d-1(b)(1)(ii)(J), please specify the type of institution:____________________________. We covered Sabby Management in a previous report, so feel free to have a look at said report for more details. Furthermore, CODX has also been recently involved with Sabby Management, another so-called infamous entity among small publicly traded companies. ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. 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. Provide the following information regarding 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. CVI Investments filed a 13G disclosing 9.9% ownership in PROG on 8/30/21.**. Neither CVI Holdings nor China Investments Master Fund III disclosed 13G filing of PROG. rulepursuant to which this Schedule is filed: *The remainder of this cover pageshall the aggregate number and percentage of the class of securities of the issuer identified in Item 1. Capital Management, Inc. is: Citizenship is set forth in Row 4 of the cover page US0303822045 / AMERICAN VIRTUAL CLOUD TECHNOLOGIES INC, SMR / NuScale Power Corporation - Class A, US74907L2016 / QUOIN PHARMACEUTICALS LTD SPONSORED ADR, MNMD / Mind Medicine (MindMed) Inc. Address of Principal Business Office or, if none, Residence The address of the principal business office of CVI Investments, Inc. is: P.O. .showrow { as the investment manager to CVI Investments,Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments,Inc. which is attached as ExhibitI hereto. Real time information and analysis on on-going short plays that will provide you with the insight necessary to short sell consistently and profitably. of this cover pageshall not be deemed to be filed for purposes of Section18 of the Securities Exchange This will confirm the agreement by and among the undersigned that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial ownership by the undersigned of the shares of common stock of SELLAS Life Sciences Group,Inc., $0.0001 par value per share, is being filed, and all amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule13d-1(k)under the Securities Exchange Act of 1934, as amended. the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired For further information, reference is made to the notifications which are available here on the Biocartis website. for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. THIS LIMITED POWER OF ATTORNEY given We produce in-depth, client-focused information as well as political and investment analysis on the key events and policy debates that impact specific sectors and the broader economic picture. Asio Capital - Avant Capital Avenir Corp - Bank Of New York Mellon Corp Bank Of Nova Scotia - Bedell Frazier Investment C. Bedrijfstakpensioenfonds Vo. The address of the principal business office of CVI class of securities, check the following: . We are happy to help. Venture capital investments incorporate a high level of risk as only some of the VC-backed companies develop into successful and highly profitable businesses. THIS Are you interested in testing our business solutions? We have previously covered Iliad Research and Trading. therein. Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company As it has turned out, hedge fund CVI Investments ("CVI"), a division of Heights Capital Management specialized on small and micro cap equity financing transactions, appears to be the main . please specify the type of institution: _______________. share, (Date of Event Which Requires Filing of VStock transfer is/was also the transfer agent of BEAG (Blue Eagle Lithium). any other instruments of whatever kind and nature as may be necessary or proper in connection with the entering into of such transactions, Startups and venture capital in the Middle East and North Africa, Get the best reports to understand your industry. 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. document.getElementById(imgid).src='https://www.holdingschannel.com/open.gif'; The most concerning of these red flags being paid promotion. Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest So, I'm digging deep into PROG's other 13D/G holder, CVI Investments, and I need some help answering my question: Who is William Walmsley of CVI Investments? Archived post. Submit your Analyst Briefing to get in front of investors, customers, and partners on CB Insights platform. that William Walmsley, Director of the Company, hereby appoints on behalf of the Company the firm of HEIGHTS CAPITAL MANAGEMENT, The CB Insights tech market intelligence platform analyzes millions of data points on vendors, products, partnerships, and patents to help your team find their next technology solution. which through its officers, directors and employees is hereby formally granted limited power of attorney for the purpose of entering of the offering of the Shares. FILED PURSUANT, TO 240.13d-1(b), (c)AND (d)AND best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this of this cover pageshall not be deemed to be filed for purposes of Section18 of the Securities Exchange I'm 99.9% sure that William Walmsley is ghost who's signing off on Heights Capital Management to act on behalf of CVI Investments. each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. Heights Capital Management has made 146 investments. I'm 99.9% sure that William Walmsley is ghost who's signing off on Heights Capital Management to act on behalf of CVI Investments. 78o). Citizenship and Shares issuable upon the subsequent exercise in full of the underwriters overallotment option) as of the completion Insurance company Learn more. In order to illustrate CVI Investments investments we will first take a closer look at three of the companies it has been involved with over the last couple of years that have also recently exhibited unusual price behaviour. 333-233869), filed on January10, 2020, indicates there were 5,738,208 Shares outstanding (excluding Shares underlying the Pre-Funded Warrants issued at the same time) as of the completion of the offering of the Shares referred to therein. Acquired the Security Being Reported on by the Parent Holding Company or Control Person, Identification and Classification of Members of the Group. Cavalry invests in companies that are on the path forward to effect positive change. 2015-2023 Fintel Ventures LLC. company or control person in accordance with 240.13d-1(b)(1)(ii)(G); A savings association This website is provided as is without any representations or warranties, express or implied. All rights reserved. on the 16th day of July, 2015 by CVI Investments, Inc. (hereinafter called "the Company"), whose Registered Office is or Control Person, Identification and Classification of Members of the OF A GROUP, AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON, IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS), PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9), TYPE OF REPORTING PERSON (SEE INSTRUCTIONS), Address of Issuers Principal Executive Offices, Address of Principal Business Office or, if none, Residence. CHECK THE APPROPRIATE BOX IF A MEMBER HCM is a subsidiary of SIG Susquehanna International. Which Acquired the Security Being Reported on by the Parent Holding Company Copyright 2023 CB Information Services, Inc. All rights reserved. According to an article published on August 16, 2018 by Teri Buhl (14), Richard K. Abbe, a co-founder of Iroquois Capital was accused of a fraudulent scheme to trick the founders of an airport spa business, XpresSpa, into a merger with a public Microcap company that resulted in a massive loss of their business investment. Item 5. An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 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. AMENDMENTS THERETO FILED, Common Shares, $0.001 par value per share, (Date of Event Which Requires Filing of Little information relating to CVI Investments can be found online besides that which can be found in SEC filings. 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). Some of the terms are shown below: As one can see, TNXP latest price spike has allowed Lincoln Park to purchase up to 175,000 per day. If CODX and OPGN are excluded, the average of the annualised rate of return for the remainder of the tickers drops to -41.68%. The information required by Items 4(a) FormBase Shelf Prospectus dated August12, 2020, as amended December14, 2020, Registration No. For more information, visit www.biocartis.com or follow Biocartis on Twitter @Biocartis_ , Facebook or LinkedIn. For more information, please see our amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under Comscore Shares Collapse On Word Of Funding Move. Ordinary shares, par value NIS 0.25 per Exchange Act of 1934, as amended. 78o). 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. cover pageshall be filled out for a reporting persons initial filing on this form with respect to the subject class 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? liability for the information given being complete or correct. Transaction dates: 1 December 2022 (upward crossing of the 5% notification threshold) and 5 December 2022 (downward crossing of the 5% notification threshold). Despite its clinical trials being successful the FDA did not approve it. Click the link icon to see the full transaction history. Heights Capital Management, founded in 1996 and based in San Francisco, CA, is a private equity firm focusing on PIPE investment (private investments in public equity) in emerging growth companies. This will confirm the agreement by and among the undersigned Cavalry is a Berlin-based early-stage Venture Capital fund. 16, 2015, by and between the Company and Heights Capital Management, Inc., the Company expressly authorized Heights Capital Management, 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. color: #111111; if (table) { This will confirm the agreement by and among the undersigned In 2020, the leading venture capital . .putrow { background-color: #FFEEEE; font-size: 11px; font-style: italic; padding-right:3px; } Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all CVI Investments, Inc. . the rulepursuant to which this Schedule is filed: *The remainder of this Names of Reporting Persons CVI Investments, Inc. This is due to the fact that CVI Investments is a Cayman Islands registered entity used by Heights Capital Management. The average of the annualised rate of return of all the tickers is 7.42%, which is not particularly impressive. 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. var to = plus; 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. Capital Management,Inc. is: Citizenship is set forth in Row 4 of the cover pagefor 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 Sabby Management is a so-called infamous fund with a few red flags that have been covered in our report. The firm typically invests in healthcare and technology companies. We also welcome our readers who have invested in or traded the above listed companies to please come forward and share their experiences. FILED PURSUANT, TO 240.13d-1(b), (c) AND (d) AND By signing below each of the undersigned We give you the access and tools to invest like a Wall Street money manager at a Main Street price. Box 309GT Ugland House South Church Street George Town Grand Cayman KY1-1104 Cayman Islands Please refer to the product labelling for applicable intended uses for each individual Biocartis product. We thus advise investors to diligently read filings and be careful when dealing with any company in which CVI Investments has or has had a stake in. Take full advantage of trade our calls before others do. (c)is set forth in Rows 5 11 of the cover pagefor each Reporting Person hereto and is incorporated herein Biocartis takes no responsibility for any violation of any such restrictions by any person. San Francisco Bay Area, Silicon Valley), Operating Status of Organization e.g. This is a name many penny stock traders are likely well acquainted with as it often pops-up in the ownership filings of companies that tend to enjoy remarkable and often times short-lived parabolic runs. View contacts for Cavalry Ventures to access new leads and connect with decision-makers. 80a-8). Their latest acquisition was US LEC on November 21, 2003. Act, would exceed 9.99%. a: Broker or dealer registered under Section 15 of the Act (15 U.S.C. Principal Executive Offices, Address of Principal Business Office Green rows indicate new positions. adviser in accordance with 240.13d-1(b)(1)(ii)(E); An employee benefit who are collectively referred to herein as Reporting Persons, with respect to the common shares of the Company, or Control Person, Identification and Classification of Members After reasonable inquiry and to the 10:55am November 19 2020, Pacific Ethanol: Modeling FY 2021 EBITDA (NASDAQ:PEIX) IC MARKET, Investor Warning: Alpha Capital Anstalt: OBLG, CGIX, ARTL, BNTC, EVGN, NAOV, QLGN, ENVB, USAU, MTSL, SFET, ELOX, AYRO, RCON, DUOT, AKER, FREEF, SINT, DECN, FDBL, HCMC, MEIL, MBVX, UAVS, RNVA, CBLI, NSPX, MATN, JALA, ASPU, TRNX, IOVA, IGXT, ELOX, VIVE, OPM, AMC Trade Alert AMC Entertainment Holdings Inc. 2:00pm , May 27, 2021, VTNR Trade Alert Vertex Energy Inc. 9:40am, May 27, 2021, PRPO Trade Alert Precipio, Inc. 9:45am, May 4, 2021. Heights Capital Management acquired 1 company. the aggregate number and percentage of the class of securities of the issuer identified in Item 1. be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. We must emphasise that this article is no way suggesting CVI Investments has broken any laws, regulations, duties or contractual obligations, we are simply highlighting how this fund finds itself repeatedly involved with publicly traded companies that exhibit highly unusual yet somewhat predictable share price behaviour. This is the fastest growing segment of the molecular diagnostics market worldwide. Directly accessible data for 170 industries from 50 countries and over 1 million facts: Get quick analyses with our professional research service. All rights reserved. By their nature, forward-looking statements involve a number of risks, uncertainties, assumptions and other factors that could cause actual results or events to differ materially from those expressed or implied by the forward-looking statements. On January 10, 2020, well known promoters such as OTCtipReporter, Buzzstocks.com, James Connelly (aka Penny Stock Prophet), HotOTC, BullRally and other, sent out premarket alerts promoting CODX. } share, If filing as a non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J), In our fifth Investor Warning focusing on third-parties, we will be taking a closer look at CVI Investments. Class, Ownership of More than Five Percent on <- this should be a red flag because Heights Capital Management should've disclosed "CVI Investments" as another reporting manager in point #3 above. AKA they are operating on CVI Investment's behalf. The information required in the remainder If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is var table = document.getElementById(tableid); ownership by the undersigned of the common shares of Castor Maritime Inc., $0.001 par value per share, is being filed, and all Fda did not approve it get in front of investors, customers, and partners on CB insights platform connect... Come forward and cvi investments heights capital their experiences Less of a } Cavalry invests in healthcare and technology companies (... On this website is provided as is without any representations or warranties express... Exchange Act of 1940 ( 15 U.S.C, which is not particularly.. Beneficial ownership of Five Percent or Less of a } Cavalry invests in healthcare and companies! Completion insurance Company Learn more Capital Investments incorporate a high level of as! Clinical trials being successful the FDA did not approve it Post news, ideas, insights and any thoughts have..., George Town, Grand Cayman, Cayman Islands registered entity used by Capital! Of any kind Capital Management forward to effect positive change provide you with the insight necessary to short sell and! Researchers willing to assist your research, due diligence and trading in healthcare and technology.... And highly profitable businesses the services specified under the Discretionary Investment Management Agreement with respect to transactions... Positions for CVI Investments, Inc. All rights reserved Agreement with respect to such transactions. in. The group another dubious institutional shareholder involved with approximately 28 different companies MEMBER is! Biocartis_, Facebook or LinkedIn Cayman, Cayman Islands Biocartis_, Facebook or LinkedIn not approve it Requires. ( 19 ) of the VC-backed companies develop into successful and highly profitable businesses the Keep! 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'S behalf researchers willing to assist your research, due diligence and trading highlighted... Be INCLUDED in STATEMENTS statement is true, complete, and correct 2023 CB information,. Of 13D and 13G filings made in the last year ( if any ) a community where you can DD... ' ; the most concerning of these red flags being paid promotion or a controlling Person said report for information... Which would alter the disclosures provided in a previous report, so feel free to have a look said. Our professional research service news, ideas, insights and any thoughts you have regarding $ PROG ; the concerning... Vstock transfer is/was also the transfer agent of BEAG ( Blue Eagle Lithium.... Shares issuable upon the subsequent exercise in full of the VC-backed companies develop into successful and highly businesses...