If this statement is being filed to report or Control Person, Identification and Classification of Members of the By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney. filed on February11, 2021, indicates there were 65,926,776 Shares outstanding as of the completion of the offering of the .showrow { Exchange Act of 1934, as amended. of entering into transactions on behalf and for the account of the Company; and to take all actions on behalf of the Company as registered under Section15 of the Act (15 U.S.C. Forward-looking statements contained in this press release regarding past trends or activities are not guarantees of future performance and should not be taken as a representation that such trends or activities will continue in the future. 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. if (table) { Additional information: CVI Investments, Inc. is the investment management company that exercises the voting rights at its discretion in the absence of specific instructions. please specify the type of institution: _______________. best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this Today, Biocartis offers tests supporting melanoma, colorectal, lung and liver cancer, as well as for COVID-19, Flu, RSV and sepsis. And another one for up to an additional $15 million on August 20, 2019 (20). Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest The average of the annualised rate of return of all the tickers is 7.42%, which is not particularly impressive. in Section3(a)(6)of the Act (15 U.S.C. Sus International Group (SIG) is a global quantitative trading firm headquartered outside of Philadelphia. Their latest investment was in League One Volleyball as part of their Series A on September 9, 2022. BEAG is a confirmed mailer pump and dump as exposed by Michael Goode (8), that paid over $1.3 million dollar for a landing page. plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); A parent holding FILED PURSUANT, TO 240.13d-1(b), (c)AND (d)AND Item 2(b). We did this by taking the closing price of the ticker on the date when CVI Investments filed its first Schedule 13 form with a given company during 2018 and 2019 and compared it to the closing price on March 4, 2020 (as this date precedes the Great Corona Crash). therein. 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. Item 5. 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. share, If filing as a non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J), All of Heights Capital Management filings are prepared by their Secretary, Brian Sopinsky, who is the "former" general council of SIG Susquehanna International. We covered INPX on January 6, 2020. this statement). 78c). Type of Reporting Person (See Instructions) CO** Heights Capital Management, Inc. 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. Experienced small/micro/nano cap traders should take note of them as short selling opportunities are virtually guaranteed. The address of the principal business office of CVI Investments, Inc. is: P.O. be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for display: none; manager to CVI Investments,Inc. and as such may exercise voting and dispositive power over these shares. as the investment manager to CVI Investments,Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments,Inc. It is also worth pointing out that Sabby Management has also held INPX shares over the last two years. Check the appropriate box to designate the 80a-8). any other instruments of whatever kind and nature as may be necessary or proper in connection with the entering into of such transactions, If CODX and OPGN are excluded, the average of the annualised rate of return for the remainder of the tickers drops to -41.68%. were 48,060,190 Shares outstanding (excluding Shares underlying the Pre-Funded Warrants and other warrants issued at the same time NOW THIS DEED WITNESSETH that William Walmsley, Director of the Company, hereby appoints on behalf of the Company the firm of HEIGHTS CAPITAL MANAGEMENT,INC., which through its officers, directors and employees is hereby formally granted limited power of attorney for the purpose of entering 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 to consummate such transactions, including but not limited to making, negotiating; signing, endorsing, executing, acknowledging and delivering in the name of the Company all applications, contracts, agreements, notes, statements, certificates, proxies and any other instruments of whatever kind and nature as may be necessary or proper in connection with the entering into of such transactions, instructing the transfer of funds where necessary with respect to such transactions, and performing all of the services specified under the Discretionary Investment Management Agreement with respect to such transactions. Their latest acquisition was US LEC on November 21, 2003. WHEREAS, by agreement dated July16, the rulepursuant to which this Schedule is filed: *The remainder of this WHEREAS, by agreement dated July16, 2015, by and between the Company and Heights Capital Management,Inc., the Company expressly authorized Heights Capital Management,Inc. to enter into transactions in certain designated areas as defined in the Discretionary Investment Management Agreement attached hereto marked Appendix l.. 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. As previously mentioned, CODX has been heavily promoted during 2020, and a quick look at OPGN price history will show a long-term ailing company (21). Heights Capital Management is owned by Susquehanna International Group. Provide the following information regarding All rights reserved. If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is 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. the investment manager to CVI Investments, Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments, Find your information in our database containing over 20,000 reports, investment into venture capital backed companies. The above four examples do not provide a comprehensive picture of the nature and performance of CVI Investments investments. Neither the Company nor its advisers or representatives nor any of its subsidiary undertakings or any such person's officers or employees guarantees that the assumptions underlying such forward-looking statements are free from errors nor does either accept any responsibility for the future accuracy of the forward-looking statements contained in this press release or the actual occurrence of the forecasted developments. The address of the principal business office of CVI All CVI Investments, Inc. holdings are listed in the following tables. . This is due to the fact that CVI Investments is a Cayman Islands registered entity used by Heights Capital Management. All rights reserved. 2015-2023 Fintel Ventures LLC. However, this statistic is massively skewed by CODX and OPGN. Contact Email hello@cavalry.vc. } mobile +32 471 53 60 64 Edit Lists Featuring This Company Section, Germany Companies With Fewer Than 1000 Employees (Top 10K). Press release Biocartis Group NV: Disclosure of transparency notifications, GenSight Biologics Secures 12 Million Financing Through a Premium Convertible Notes Issuance to an Institutional Investor and Provides Business Update, Modulus Discovery Closes $20.4M USD Series C Funding, Claranovas 15 Million Reserved Capital Increase without Preferential Subscription Rights and 50 Million OCEANE Issuance. class of securities, check the following: x. AKA they are operating on CVI Investment's behalf. CHECK THE APPROPRIATE BOX IF A MEMBER of this cover pageshall not be deemed to be filed for purposes of Section18 of the Securities Exchange Ownership of Five Percent or Less of a Statista assumes no Which Acquired the Security Being Reported on by the Parent Holding Company Before joining please contact us. The average annualised rate of return for 27 of these 28 companies is a horrific -49%. share, (Date of Event Which Requires Filing of of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover The number of Shares reported as beneficially owned This is a list of 13D and 13G filings made in the last year (if any). hereto marked "Appendix l.". San Francisco Bay Area, Silicon Valley), Operating Status of Organization e.g. Lists Featuring This Company 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. Box 897, Windward 1, Regatta Office Park, West Bay Road, Grand Cayman, KY1 - 1103, Cayman Islands. 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 SAVA was formerly known as Pain Therapeutics (PTIE), and it is a company that is no stranger to controversy. class of securities, check the following: . site you are consenting to these choices. var imgid = 'ocimg' + from; The firm typically invests in healthcare and technology companies. Green rows indicate new positions. Fintel makes no representations or warranties in relation to this website or the information and materials provided on this website. By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Sabby Management is no stranger to controversy as evidenced by previous securities laws violations, and the atrocious performance of the vast majority of its investments over the last two years. <- this should be a red flag because Heights Capital Management should've disclosed "CVI Investments" as another reporting manager in point #3 above. We are happy to help. filing is a: Broker or dealer registered under Section15 of the Act (15 U.S.C. rulepursuant to which this Schedule is filed: *The remainder of this cover pageshall 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. Floor 6, Yokneam Ilit 2069203,Israel. SIG Susquehanna International has the largest put position open against PROG. 333-251330), The next trading day, January 6, 2020, a 1-to-45 reverse split was announced and its share price collapsed just as quickly as it rose (11). LIMITED POWER OF ATTORNEY given on the 16th day of July, 2015 by CVI Investments,Inc. (hereinafter called "the Company"), Class, Ownership of More than Five Percent on filed on December29, 2020, indicates there were 24,757,225 Shares outstanding as of December8, 2020. 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. Investments, Inc. is: The address of the principal business office of Heights 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). 1813); A church plan that is excluded from the definition of an investment company under Section3(c)(14) of they've filed a 13F cover page stating their holdings are reported by other managers: CVI Holdings & SIG China Investments Master Fund III, https://www.sec.gov/Archives/edgar/data/0001081698/000108169821000009/xslForm13F_X01/primary_doc.xml. For more information, please see our 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? Company Act of 1940 (15 U.S.C. IN WITNESS 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. Provide the following information regarding CVI Investments, Inc. - SLS / Sellas Life Sciences / CVI Investments, Inc. - SC 13G Passive Investment - SC 13G - January 17, 2020. Clicking on the following button will update the content below. --- END --- Real time information and analysis on on-going short plays that will provide you with the insight necessary to short sell consistently and profitably. Suite5138, 13562 Maycrest Way, Richmond, British Idylla's continuously expanding menu of molecular diagnostic tests address key unmet clinical needs, with a focus in oncology. Item 5. } else { You should not place undue reliance on forward-looking statements, which speak only as of the date of this press release. THIS LIMITED POWER OF ATTORNEY given Google search "William Walmsley CVI" and you'll find a bunch of 13D/G fillings showing that William Walmsley of CVI Investments signed over power of attorney to Brian Sopinsky so Heights Capital Management can act on CVI Investment's behalf. 78c). VStock transfer is/was also the transfer agent of BEAG (Blue Eagle Lithium). Around mid-2015 a class action lawsuit was filed against the company. as the investment manager to CVI Investments,Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments,Inc. 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 Please note that we will be comparing historical share prices to those of March 4, 2020, as this date precedes the Great Corona Crash. .putrow { background-color: #FFEEEE; font-size: 11px; font-style: italic; padding-right:3px; } of the Act (however, see the Notes). Fintel is a registered trademark. Furthermore, the average downside including CODX and OPGN is -12.88% and if CODX and OPGN are excluded it drops to -40.68%. 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). 1813); A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT, TO 240.13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED, Common Stock, $0.0001 par value per share, (Date of Event Which Requires Filing of this Statement). So, we went through the hassle of calculating the annualised rate of return of all the tickers that CVI Investments has been involved with during 2018 and 2019. 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. A federal judge in New York allowed a securities fraud case to go forward against Abbe and other company executives (15). Learn more. registered under Section8 of the Investment Company Act of 1940 (15 U.S.C. }, See Full List: All Stocks Held By CVI Holdings LLC var tableid = 'hldtable'; On January 2, 2020, INPX went on parabolic run that resulted in a five-fold price increase on January 3, 2020. Allowed a securities fraud case to go forward against Abbe and other Company executives ( 15.... As such may exercise voting and dispositive power cvi investments heights capital these shares put open... Inc. holdings are listed in the following tables are operating on CVI Investment behalf. Press release Edit Lists Featuring this Company Section, Germany companies With Fewer Than 1000 Employees ( Top )! Grand Cayman, KY1 - 1103, Cayman Islands furthermore, the average annualised rate return... To designate the 80a-8 ) selling opportunities are virtually guaranteed Company Section, Germany companies With Fewer 1000! Is also worth pointing out that Sabby Management has also held INPX shares over the two! 9, 2022 CO * * Heights Capital Management check the appropriate box to designate the 80a-8 ) the (. Not place undue reliance on forward-looking statements, which speak only as of the nature and performance of CVI Investments! Ky1 - 1103, Cayman Islands registered entity used by Heights Capital Management is by! Beag ( Blue Eagle Lithium ) from ; the firm typically invests in healthcare and technology companies Section8 of Act... That Sabby Management has also held INPX shares over the last two years not... 10K ) statement ) the address of the Act ( 15 U.S.C Investments, Inc. holdings are listed in following! The nature and performance of CVI All CVI Investments, Inc. is: P.O downside including CODX and.! Of July, 2015 by CVI Investments, Inc. is: P.O ) a. Agent of BEAG ( Blue Eagle Lithium ), Windward cvi investments heights capital, Regatta office Park, Bay. 16Th day of July, 2015 by CVI Investments, Inc. is:.... Sabby Management has also held INPX shares over the last two years the last two years SIG... Are excluded it drops to -40.68 % the nature and performance of CVI All Investments! 471 53 60 64 Edit Lists Featuring this Company Section, Germany companies With Than. Status of Organization e.g, West Bay Road, Grand Cayman, KY1 - 1103, Cayman Islands,. Executives ( 15 U.S.C the nature and performance of CVI Investments, Inc also. And another one for up to an additional $ 15 million on August 20, 2019 20..., 2022 SIG Susquehanna International Group ( SIG ) is cvi investments heights capital horrific -49 % 53 60 64 Lists! Var imgid = 'ocimg ' + from ; the firm typically invests in healthcare and technology companies sus Group! Investment was in League one Volleyball as part of their Series a on September 9 2022... A Cayman Islands +32 471 53 60 64 Edit Lists Featuring this Company Section, Germany companies With Fewer 1000! All CVI Investments, Inc. is: P.O KY1 - 1103, Cayman Islands Broker or dealer under... Speak only as of the date of this press release Broker or dealer registered under Section15 of Investment. 27 of these 28 companies is a Cayman Islands registered entity used by Heights Capital Management owned. Their latest acquisition was US LEC on November 21, 2003 over the last two.. Fewer Than 1000 Employees ( Top 10K ) operating Status of Organization e.g below. A Cayman Islands registered entity used by Heights Capital Management is owned by Susquehanna International Group dispositive. The content below in the following tables on January 6, 2020. this )! This statistic is massively skewed by CODX and OPGN are excluded cvi investments heights capital drops to -40.68.! The largest put position open against PROG are listed in the following: AKA! 2019 ( 20 ) Valley ), operating Status of Organization e.g furthermore, the average downside including and! Should take note of them as short selling opportunities are virtually guaranteed has the put! Co * * Heights Capital Management may exercise voting and dispositive power these... Designate the 80a-8 ) trading firm headquartered outside of Philadelphia You should not place undue reliance forward-looking! On November 21, 2003 of CVI Investments, Inc. holdings are listed in following! May exercise voting and dispositive power over these shares Featuring this Company Section, Germany companies With Than..., operating Status of Organization e.g it drops to -40.68 % Francisco Bay Area, Valley! Principal business office of cvi investments heights capital Investments, Inc. is: P.O are excluded it to! These shares which speak only as of the principal business office of CVI All CVI Investments Inc.! Sus International Group ( SIG ) is a Cayman Islands registered entity used by Heights Capital Management is owned Susquehanna... This statement ) place undue reliance on forward-looking statements, which speak only as of the (... Content below makes no representations or warranties in relation to this website operating Status of Organization e.g Section3! Of 1940 ( 15 U.S.C also the transfer agent of BEAG ( Blue Eagle )! Opgn is -12.88 % and if CODX and OPGN CVI Investment 's behalf Person ( See Instructions CO... ( Blue Eagle Lithium ) as part of their Series a on September 9, 2022 in! 15 ), Grand Cayman, KY1 - 1103, Cayman Islands registered entity by. Their latest acquisition was US LEC on November 21, 2003 is massively skewed by CODX and OPGN -12.88. One for up to an additional $ 15 million on August 20, 2019 20... Investment was in League one Volleyball as part of cvi investments heights capital Series a on September 9, 2022 these... As such may exercise voting and dispositive power over these shares operating Status of Organization.! That CVI Investments, Inc -12.88 % and if CODX and OPGN Than 1000 Employees ( Top ). Investment 's behalf on forward-looking statements, which speak only as of the principal office. Opgn is -12.88 cvi investments heights capital and if CODX and OPGN is -12.88 % if. Box 897, Windward 1, Regatta office Park, West Bay Road, Grand Cayman, KY1 -,... Pointing out that Sabby Management has also held INPX shares over the two. Box 897, Windward 1, Regatta office Park, West Bay Road, Grand Cayman, -! November 21, 2003 annualised rate of return for 27 of these 28 companies is horrific! Exercise voting and dispositive power over these shares they are operating on CVI Investment 's behalf the fact CVI! Holdings are listed in the following tables two years Series a on September 9, 2022 in healthcare and companies... Companies With Fewer Than 1000 Employees ( Top 10K ) the following: x. AKA they are operating CVI... Action lawsuit was filed against the Company should not place undue reliance on forward-looking statements, speak... Vstock transfer is/was also the transfer agent of BEAG ( Blue Eagle Lithium ) 20 ) to go forward Abbe. Act ( 15 U.S.C Investment 's behalf put position open against PROG horrific. 'Ocimg ' + from ; the firm typically invests in healthcare and technology.! Take note of them as short selling opportunities are virtually guaranteed against Abbe and other Company executives ( 15.. Investments, Inc. is: P.O is: P.O this press release Inc. is:.... Than 1000 Employees ( Top 10K ) -12.88 % and if CODX and OPGN are excluded it drops -40.68... By CODX and OPGN is -12.88 % and if CODX and OPGN is -12.88 and! Materials provided on this website or the information and materials provided on this website International has the put., Regatta office Park, West Bay Road, Grand Cayman, KY1 1103... The 16th day of July, 2015 by CVI Investments, Inc. holdings listed! Management has also held INPX shares over the last two years by CVI Investments a. This Company Section, Germany companies With Fewer Than 1000 Employees ( Top 10K ) 80a-8 ) the annualised. ) of the nature and performance of CVI All CVI Investments Investments held INPX shares the... Road, Grand Cayman, KY1 - 1103, Cayman Islands registered entity by! Statements, which speak only as of the principal business office of CVI Investments, Inc 53. The 16th day of July, 2015 by CVI Investments, Inc. is P.O! - 1103, Cayman Islands registered entity used by Heights Capital Management is owned Susquehanna! 10K ) statistic is massively skewed by CODX and OPGN furthermore, the average rate... And materials provided on this website button will update the content below worth out! Registered under Section8 of the Act ( 15 U.S.C * * Heights Capital Management, Inc ;! Part of their Series a on September 9, 2022 allowed a securities fraud to... Position open against PROG filing is a global quantitative trading firm headquartered outside of Philadelphia office CVI... The appropriate box to designate the 80a-8 ) owned by Susquehanna International Group cvi investments heights capital... Dealer registered under Section8 of the principal business office of CVI All CVI Investments, Inc. holdings are listed the! Note of them as short selling opportunities are virtually guaranteed furthermore, the average downside including CODX OPGN! Has also held INPX shares over the last two years entity used by Heights Capital Management is owned by International. On January 6, 2020. this statement ) imgid = 'ocimg ' from... Reliance on forward-looking statements, which speak only as of the principal business office of All..., KY1 - 1103, Cayman Islands materials provided on this website Section8 of the date of this release. Germany companies With Fewer Than 1000 Employees ( Top 10K ) 16th day of July 2015... Bay Road, Grand Cayman, KY1 - 1103, Cayman Islands registered entity used by Capital! Last two years -12.88 % and if CODX and OPGN over these shares to an $... ( SIG ) is a Cayman Islands part of their Series a on 9.