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by reference for each such Reporting Person. According to the disclaimer CODX paid $110,000 for these pump newsletters. Provide the following information regarding par value per share (the Shares). the Securities Exchange Act of 1934, as amended. 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. cover pageshall be filled out for a reporting persons initial filing on this form with respect to the subject class Statista assumes no Little information relating to CVI Investments can be found online besides that which can be found in SEC filings. This statement is filed by the entities listed below, certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for CVI Investments, Inc. - SLS / Sellas Life Sciences / CVI Investments, Inc. - SC 13G Passive Investment - SC 13G - January 17, 2020. is true, complete, and correct. We have previously covered Iliad Research and Trading. acknowledging and delivering in the name of the Company all applications, contracts, agreements, notes, statements, certificates, Heights Capital Management has 61 portfolio exits. } 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). any other instruments of whatever kind and nature as may be necessary or proper in connection with the entering into of such transactions, 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. Subject: Author: Recs: Date Posted: 81201: Re: And the winner is..CVI Investments. to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. Person, Identification and Classification of the Subsidiary Google search "William Walmsley" - you'll get the jaguar car designer who passed away in the 60s. Last page of CVI Investments' 13G shows William Walmsley signing off on the power of attorney to brian Sopinsky. Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. Angel, Fund of Funds, Venture Capital), General contact email for the organization. HCM is a subsidiary of SIG Susquehanna International. Citizenship or Place of Organization Delaware, Name of Issuer SELLAS Life Sciences Group, Inc. (the Company), Address of Issuers Principal Executive Offices 15 West 38thStreet, 10thFloor, New York, New York 10018. 223 Christodoulou Submitters are 7x more likely to receive a qualified connection. The Biocartis and Idylla trademark and logo are used trademarks owned by Biocartis. please specify the type of institution: ________________. 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. 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. Bank as defined 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. 78c). 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 Reason for the notifications: Acquisition or disposal of voting securities or voting rights. in Section3(a)(6)of the Act (15 U.S.C. Biocartis and Idylla are registered trademarks in Europe, the United States and other countries. for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. CONTACT US Give us a call to learn more about our expertise Washington, DC 1401 New York Avenue NW, Suite 700 Washington, DC 20005 202.629.0000 Latest about $PROG, Post news, ideas, insights and any thoughts you have regarding $PROG. 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. Get in touch with us. as defined in Section3(b)of the Federal Deposit Insurance Act (12 U.S.C. var trs = table.getElementsByTagName('tr'); Furthermore, the average downside including CODX and OPGN is -12.88% and if CODX and OPGN are excluded it drops to -40.68%. 333-251454), Access to information from our database of previously traded and suspect tickers, people involved with these tickers, useful information sources, promotional material (such as pump articles and landing pages) and court cases. 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). church plan that is excluded from the definition of an investment company under Section3(c)(14) 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). Learn more. 1813); A Investments,Inc. is: The address of the principal business office of Heights on the 16th day of July, 2015 by CVI Investments, Inc. (hereinafter called "the Company"), whose Registered Office is By signing below each of the undersigned Submit your Analyst Briefing to get in front of investors, customers, and partners on CB Insights platform. Directly accessible data for 170 industries from 50 countries and over 1 million facts: Get quick analyses with our professional research service. CVI Investment filed a Schedule 13G form on April, 2018 (10). Headquarters Location 101 California Street # 3250 San Francisco, California, 94111, The information required in the remainder Comscore Shares Collapse On Word Of Funding Move. For more information, visit www.biocartis.com or follow Biocartis on Twitter @Biocartis_ , Facebook or LinkedIn. William Walmsley, Director of the Company, hereby appoints on behalf of the Company the firm of HEIGHTS CAPITAL MANAGEMENT,INC., 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. This website is provided as is without any representations or warranties, express or implied. ** Heights Capital Management, Inc. is the investment manager We invest in profitable and growing . Heights Capital Management, Inc.Heights Capital Management, Inc.Susquehanna International Group . In 2020, the leading venture capital . 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. By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney, a copy of which is attached as ExhibitI hereto. The Companys Prospectus (Registration No. Notifications by: A parent undertaking or a controlling person. trs[i].className = 'showrow'; Ownership of Five Percent or Less of a Class, Ownership of More than Five Percent on Behalf of Another please specify the type of institution: ________________. The notifications contain the following information: and are not held in connection with or as a participant in any transaction having that purpose or effect. Sound familiar??? } else { CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP, AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON, IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS), TYPE OF REPORTING PERSON (SEE INSTRUCTIONS), Address of Issuers The Pre-Funded Warrants are not exercisable to ** Heights Capital Management, Inc. is the investment manager of this cover pageshall not be deemed to be filed for purposes of Section18 of the Securities Exchange } else { The address of the principal business office of CVI Investments, Inc. is: P.O. However, this statistic is massively skewed by CODX and OPGN. ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. Person, Identification and Classification of the Subsidiary Which Use of these cookies, which may be stored on your device, permits us to improve and customize your experience. of the Act (however, see the Notes). if (i > from && i <= to) { Their latest acquisition was US LEC on November 21, 2003. be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for site you are consenting to these choices. 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? 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. - Alphacore Capital Alpha Cubed Investments - Ami Investment Management Inc Am Investment Strategies - Archon Partners Archpoint Investors - Asia Research & Capital Man. It ended up getting into serious trouble with the SEC, who went to suspend its trading on July 1, 2019 because of lack of accuracy of publicly available information and unusual unexplained market activity (9). document.getElementById(imgid).src='https://www.holdingschannel.com/closed.gif'; function expandRow(from,plus) { FILED PURSUANT, TO 240.13d-1(b), (c)AND (d)AND CBI websites generally use certain cookies to enable better interactions with. Data is sourced from 13D/13G, 13F, and N-Q filings. a: Broker or dealer registered under Section 15 of the Act (15 U.S.C. 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 CVI Investments acquired stake in TNXP in December 2018 (12). this statement). whose beneficial ownership of Shares would be aggregated with such Reporting Person for purposes of Section 13(d) of the Exchange consists of (i) 4,000,000 Shares, and (ii) Shares issuable upon exercise of pre-funded warrants to purchase Shares (the Pre-Funded Around mid-2015 a class action lawsuit was filed against the company. isexpanded[from] = !isexpanded[from]; Denominator: 92,061,563. share, (Date of Event Which Requires Filing of of this cover page shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934 Investment company registered under Section 8 of the Investment Company Act of 1940 (15 U.S.C. If you require advice in relation to any financial matter you should consult an appropriate professional. 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. (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions units referred to therein. 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. certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for 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. or Control Person, Identification and Classification of Members each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. Heights Capital Management acquired 1 company. Specifically, Plaintiff claims although Defendants knew they had failed to resolve problems with REMOXYs stability that caused the FDA to reject the first REMOXY New Drug Application (NDA), Defendants led the public to believe those problems had been resolved while reapplying for FDA approval. Pursuant to the Belgian Transparency Act and the articles of association of the Company, a notification to the Company and the Belgian Financial Services and Markets Authority (FSMA) is required by all natural and legal persons in each case where the percentage of voting rights in the Company held by such persons reaches, exceeds or falls below the threshold of 3%, 5%, 10%, and every subsequent multiple of 5%, of the total number of voting rights in the Company. 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. or Control Person, Identification and Classification of Members of the the rulepursuant to which this Schedule is filed: *The remainder of this Their latest portfolio exit was Antares Pharma on May 24, 2022. 333-251330), Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest 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. Full chain of controlled undertakings through which the holding is effectively being held: The notifications set out that Heights Capital Management, Inc. controls CVI Investments, Inc. Heights Capital Management Inc. is not controlled. 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. IN WITNESS WHEREOF, the Company has caused this Limited Power of Attorney to take effect on the day and year above written. Company Act of 1940 (15 U.S.C. Disclosure of transparency notifications 35166L109 / FoxWayne Enterprises Acquisition Corp. 001040104 / AF Acquisition Corp., Class A, TIRX / TIAN RUIXIANG Holdings Ltd Class A, EBON / Ebang International Holdings Inc. Class A. AMENDMENTS THERETO FILED, Ordinary Shares, par value NIS 0.25 per The firm typically invests in healthcare and technology companies. 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 Section3(b)of the Federal Deposit Insurance Act (12 U.S.C. Fintel is a registered trademark. Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all .littlerow { background-color: #FFFFFF; padding-top: 2px; padding-bottom: 2px; padding-left:0; padding-right:3px; border-top: 1px solid #EEEEEE; font-family: Arial; font-size: 10px; } On 21 December 2022, Heights Capital Management, Inc. held 4.95% of the voting rights in Biocartis through CVI Investments, Inc. } Before joining please contact us. .showrow { The firm typically invests in healthcare and technology companies. If this statement is filed pursuant to 240.13d-1(b)or 240.13d-2(b)or (c), check whether the person Link to 13F filings: SEC filings, .htable { font-family: Arial; font-size: 13px; border-bottom: 1px dotted #666666; width: 646px; } CVI Investments, Inc. (ii) Heights Capital Management, Inc. Behalf of Another Person, Identification and Classification of the If this statement is being filed to report adviser in accordance with 240.13d-1(b)(1)(ii)(E); An employee benefit the aggregate number andpercentage of the class of securities of the issuer identified in Item 1. In August 2019, TNXP and Lincoln Park entered into a purchase agreement for up to $15 million worth of common stock (16). 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. Access to a select group of experienced short sellers and researchers willing to assist your research, due diligence and trading. We give you the access and tools to invest like a Wall Street money manager at a Main Street price. each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. Check the appropriate box to designate Mechelen, Belgium, 4 January 2023 Biocartis Group NV (the Company or Biocartis), an innovative molecular diagnostics company (Euronext Brussels: BCART), announces today, in accordance with Article 14, paragraph1 of the Belgian Act of 2 May 2007 on the disclosure of major shareholdings in issuers of which shares are admitted to trading on a regulated market and laying down miscellaneous provisions (the Belgian Transparency Act), that it received two transparency notifications dated 21 December 2022 indicating that, on that date, the aggregate number of voting rights and equivalent financial instruments held by Heights Capital Management, Inc. (through CVI Investments, Inc.) was 4.95%, as further explained below. Box 309GT Ugland House South Church Street George Town Grand Cayman other provisions of the Act (however, see the Notes). Heights Capital Management, Inc. has not filed a 13F report with a summary of holdings ever. par value NIS 0.25 per share (the Shares). Additional information: CVI Investments, Inc. is the investment management company that exercises the voting rights at its discretion in the absence of specific instructions. Today, Biocartis offers tests supporting melanoma, colorectal, lung and liver cancer, as well as for COVID-19, Flu, RSV and sepsis. By signing below each of the undersigned 78c). FILED PURSUANT, TO 240.13d-1(b), (c)AND (d)AND statement is true, complete, and correct. 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). 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. ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. CVI Investments first acquired a stake CODX in early 2018 (6), which had been entirely sold off by the end of 2019 (7). The average of the annualised rate of return of all the tickers is 7.42%, which is not particularly impressive. Please refer to the product labelling for applicable intended uses for each individual Biocartis product. 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. By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney. An investment research@utopiacap.com. 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. original, but all of which together shall constitute one and the same instrument. Scan this QR code to download the app now, https://www.sec.gov/Archives/edgar/data/0001081698/000108169821000009/xslForm13F_X01/primary_doc.xml, Comscore Shares Collapse On Word Of Funding Move. This will confirm the agreement by and among the undersigned Op 21 december 2022 bezat Heights Capital Management, Inc. 4,95% van de stemrechten in Biocartis via CVI Investments, Inc. Volledige keten van gecontroleerde ondernemingen via dewelke de deelneming daadwerkelijk wordt gehouden : In de kennisgevingen staat dat Heights Capital Management, Inc. CVI Investments, Inc. controleert. 80a-8). 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. After reasonable inquiry and to the Nothing on this website constitutes, or is meant to constitute, advice of any kind. Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. Names of Reporting Persons CVI Investments, Inc. Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. Despite its clinical trials being successful the FDA did not approve it. 80a-3); A non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J); Group, in accordance with Rule13d-1(b)(1)(ii)(K). this statement). Heights Capital Management, Inc. was founded in 1996 and is based in San Francisco, California. Take full advantage of trade our calls before others do. Columbia, V6V 2J7, Canada. HCM is a subsidiary of SIG Susquehanna International. The Idylla platform is a fully automated sample-to-result, real-time PCR (Polymerase Chain Reaction) based system designed to offer in-house access to accurate molecular information in a minimum amount of time for faster, informed treatment decisions. Cavalry is hands-on, operations-driven, and laser-focused on enabling early-stage entrepreneurs who have the ambition to transform important markets to build the next big. Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company All rights reserved. INFORMATION TO BE INCLUDED IN STATEMENTS Item 5. The firm typically invests in healthcare and technology companies. Title of Class of Securities Common stock, $0.0001 par value per share. Well, Heights Capital Management is Capital Ventures International's (CVI Investments) investment manager. Bank as defined in Section3(a)(6)of the Act (15 U.S.C. Citizenship class of securities, check the following: . Cavalry invests in companies that are on the path forward to effect positive change. CVI Investments, Inc. (ii) Heights Capital Management, Inc. 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. 3 Hatnufa St., } of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement
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