manager to CVI Investments,Inc. and as such may exercise voting and dispositive power over these shares. We are a membership community of activist short sellers and veteran traders, some of whom have been active since the 1990s, Investor Warning: CVI Investments Inc. Related tickers: CODX, OPGN, SAVA, VIVE, OGEN, AMPE, MNKD, DARE, DSSI, ABEO, PHIO, VBLT, HEPA, RKDA, HTBX, AYTU, ACHV, RCON, LMFA, ALT, MBRX, BPTH, SESN, CREG, VUZI, ADMP, REXN, SEEL, NVIV, XBIO, NSPR, ADXS, RSLS, SINT, CHFS, TRNX, TNXP, INPX, SFET, TOPS, DMPI, CytoDyn, Inc. OTCQB: CYDY Short Report, 9:30am April 14, 2020, WLL Whiting Petroleum Corp. 12:05pm April 23, 2020. Get in touch with us. .mainrow { background-color: #FFFFEE; padding-top: 3px; padding-bottom: 3px; padding-left:0; padding-right:3px; border-top: 1px dotted #666666; } Which Acquired the Security Being Reported on by the Parent Holding Company For more information, please see our that the Schedule 13G filed with the Securities and Exchange Commission on or about the date hereof with respect to the beneficial IN WITNESS CUSIP No: 19249J109 Item 1. (c)is set forth in Rows 5 11 of the cover pagefor each Reporting Person hereto and is incorporated herein 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. 78o). INFORMATION TO BE INCLUDED IN STATEMENTS 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 firm typically invests in healthcare and technology companies. site you are consenting to these choices. 333-251330), (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions WHEREAS, by agreement dated July Check out what they did to ComScore 2 years ago. Insurance company as defined in Section3(a)(19) of the Act (15 U.S.C. This text provides general information. THIS who are collectively referred to herein as Reporting Persons, with respect to the common shares of the Company, Citizenship of the Group. church plan that is excluded from the definition of an investment company under Section3(c)(14) The address of the principal business office of CVI Investments, Inc. is: P.O. 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. Seed and angel investors really have no minimum size, but typically it's at least $10,000 to $100,000 and can be as high as a few million in some cases. were 48,060,190 Shares outstanding (excluding Shares underlying the Pre-Funded Warrants and other warrants issued at the same time Address of Principal Business Office or, if none, Residence The address of the principal business office of CVI Investments, Inc. is: P.O. Chatzipavlou Street, Hawaii Royal Gardens, 3036 Limassol, Cyprus. Their latest acquisition was US LEC on November 21, 2003. All CVI Investments, Inc. holdings are listed in the following tables. 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. proxies and any other instruments of whatever kind and nature as may be necessary or proper in connection with the entering into Well, Heights Capital Management is Capital Ventures International's (CVI Investments) investment manager. 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. of this cover pageshall not be deemed to be filed for purposes of Section18 of the Securities Exchange Their latest portfolio exit was Antares Pharma on May 24, 2022. the Securities Exchange Act of 1934, as amended. 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. The address of the principal business office of CVI Capital Management,Inc. is: Citizenship is set forth in Row 4 of the cover pagefor 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. Item 5. Cookie Notice Heights Capital Management, Inc. is a private equity firm specializing in private investments in public equity in emerging growth companies. We have previously covered Iliad Research and Trading and highlighted how since 2016 it has been involved with approximately 28 different companies. 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. Neither CVI Holdings nor China Investments Master Fund III disclosed 13G filing of PROG. 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 class of securities, check the following: x. 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. of the Investment Company Act of 1940 (15 U.S.C. Later on, we will give an overview of the rates of return generated by 41 different companies since CVI Investments purchased a stake in them. of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover for(var i = 0; i < trs.length; i++) { 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. SAVA was formerly known as Pain Therapeutics (PTIE), and it is a company that is no stranger to controversy. After reasonable inquiry and to the 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. Fintel makes no representations or warranties in relation to this website or the information and materials provided on this website. For more information, visit www.biocartis.com or follow Biocartis on Twitter @Biocartis_ , Facebook or LinkedIn. These risks, uncertainties, assumptions and factors could adversely affect the outcome and financial effects of the plans and events described herein. After reasonable inquiry and to the best Find your information in our database containing over 20,000 reports, investment into venture capital backed companies. 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. In 2020, the leading venture capital . of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this statement By signing below each of the undersigned Insurance company as defined in Section 3(a)(19) of the Act (15 U.S.C. 2015-2023 Fintel Ventures LLC. Title of Class of Securities Common stock, $0.0001 par value per share. 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). San Francisco Bay Area, Silicon Valley), Operating Status of Organization e.g. 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. Cavalry is a Berlin-based early-stage Venture Capital fund. 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). ** Heights Capital Management, Inc. is the investment manager Subordinate Voting Shares, AMAO / American Acquisition Opportunity Inc. Class A, ADRA / Adara Acquisition Corp. Class A Common Stock. par value per share (the Shares). class of securities, check the following: . Latest about $PROG, Post news, ideas, insights and any thoughts you have regarding $PROG. } If filing as a non-U.S. institution in accordance with, 240.13d-1(b)(1)(ii)(J), please specify the type of institution:____________________________. be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for Details of the notifications: The notifications set out that they concern first an upward crossing of the 5% notification threshold (on 1 December 2022), followed by a downward crossing of the 5% notification threshold (on 5 December 2022). 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? This is the fastest growing segment of the molecular diagnostics market worldwide. AKA they are operating on CVI Investment's behalf. 1813); A 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. 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). company or control person in accordance with 240.13d-1(b)(1)(ii)(G); A savings association <- this should be a red flag because Heights Capital Management should've disclosed "CVI Investments" as another reporting manager in point #3 above. Provide the following information regarding At the time INPXs share price stood over $700, on March 4, 2020 it had dropped to less than $3. the extent that the total number of Shares then beneficially owned by a Reporting Person and its affiliates and any other persons 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. ownership by the undersigned of the common shares of Neovasc Inc., no par value, is being filed, and all amendments thereto will Disclosure of transparency notifications --- END --- 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). CVI Investments, Inc. - SLS / Sellas Life Sciences / CVI Investments, Inc. - SC 13G Passive Investment - SC 13G - January 17, 2020. Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all Use of these cookies, which may be stored on your device, permits us to improve and customize your experience. on the 16th day of July, 2015 by CVI Investments, Inc. (hereinafter called "the Company"), whose Registered Office is Data is sourced from 13D/13G, 13F, and N-Q filings. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. CVI Investments first acquired a stake CODX in early 2018 (6), which had been entirely sold off by the end of 2019 (7). About Biocartis The information required by Items 4(a) Heights Capital Management, Inc.Heights Capital Management, Inc.Susquehanna International Group . } Denominator: 92,061,563. FormBase Shelf Prospectus dated August12, 2020, as amended December14, 2020, Registration No. any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. other provisions of the Act (however, see the Notes). Citizenship Floor 6, Yokneam Ilit 2069203,Israel. therein. 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. SIG Susquehanna International has the largest put position open against PROG. cover pageshall be filled out for a reporting persons initial filing on this form with respect to the subject class Biocartis and Idylla are registered trademarks in Europe, the United States and other countries. Please refer to the product labelling for applicable intended uses for each individual Biocartis product. therein. similar to other biotech small/micro/nano caps, Lincoln Park Capital is yet another so-called vulture fund that we have previously covered in a report due to its the horrific performance of the vast majority of its investments, https://therealdeal.com/miami/2018/08/14/sabby-management-fund-manager-pays-10m-for-palazzo-del-sol-unit/, https://www.sec.gov/litigation/admin/2015/34-76141.pdf, https://www.sec.gov/news/pressrelease/2015-239.html, https://www.globenewswire.com/news-release/2020/01/06/1966746/0/en/InpixonAnnounces-Reverse-Stock-Split-for-NASDAQ-Compliance.html, https://www.goodetrades.com/2019/06/blue-eagle-lithium-beag-is-newest-mailer-pump-dump/, https://www.sec.gov/litigation/suspensions/2019/34-86271-o.pdf, r/shares - CVI Investments - GOLDEN CIRCLE WEB DESIGN, FuelCell Energy Inc. 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