any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. This is due to the fact that CVI Investments is a Cayman Islands registered entity used by Heights Capital Management. 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. original, but all of which together shall constitute one and the same instrument. of the offering of the Shares. may be necessary to consummate such transactions, including but not limited to making, negotiating; signing, endorsing, executing, Inc. to enter into transactions in certain designated areas as defined in the Discretionary Investment Management Agreement attached Suite5138, 13562 Maycrest Way, Richmond, British Valuations are submitted by companies, mined from state filings or news, provided by VentureSource, or based on a comparables valuation model. filing is a: Broker or dealer registered under Section15 of the Act (15 U.S.C. Latest about $PROG, Post news, ideas, insights and any thoughts you have regarding $PROG. We covered INPX on January 6, 2020. statement is true, complete, and correct. The VC is founded and led by a team with deep founder and investment experience themselves. who are collectively referred to herein as Reporting Persons, with respect to the ordinary shares of the Company, Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. These risks, uncertainties, assumptions and factors could adversely affect the outcome and financial effects of the plans and events described herein. Use of these cookies, which may be stored on your device, permits us to improve and customize your experience. site you are consenting to these choices. be filed, on behalf of each of the persons and entities named below in accordance with Rule13d-1(k)under the Securities CVI Investments acquired stake in TNXP in December 2018 (12). View contacts for Cavalry Ventures to access new leads and connect with decision-makers. .showrow { or Control Person, Identification and Classification of Members of the CVI Investments filed a 13G disclosing 9.9% ownership in PROG on 8/30/21.**. Common shares, $0.001 par value per share, If filing as a non-U.S. institution in accordance with 240.13d-1(b)(1)(ii)(J), By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney. ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. whose beneficial ownership of Shares would be aggregated with such Reporting Person for purposes of Section 13(d) of the Exchange Furthermore, CODX has also been recently involved with Sabby Management, another so-called infamous entity among small publicly traded companies. Fintel is a registered trademark. Capital Management,Inc. is: Citizenship is set forth in Row 4 of the cover pagefor to enter into transactions in certain designated areas as defined in the Discretionary Investment Management Agreement attached The Companys Prospectus Supplement (to Prospectus dated October11, 2019, Registration No. Fintel makes no representations or warranties in relation to this website or the information and materials provided on this website. And another one for up to an additional $15 million on August 20, 2019 (20). 1813); A church plan that is excluded from the definition of an investment company under Section3(c)(14) of }, See Full List: All Stocks Held By CVI Holdings LLC Acquired the Security Being Reported on by the Parent Holding Company or Control Person, Identification and Classification of Members of the Group. 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 Residence. (c)is set forth in Rows 5 11 of the cover pagefor each Reporting Person hereto and is incorporated herein by of the Act (however, see the Notes). 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). 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. 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. Investments,Inc. is: The address of the principal business office of Heights The Companys Prospectus Supplement (to Short Plaintiff further alleges despite knowing the second NDA would also be rejected, PTI(E) rewarded the individual defendants with unjustifiable compensation packages it asked the shareholders to approve. height: 20px; CODXs transfer agent, VStock transfer agent, also gives reason for concern. This Agreement may be executed in two or more counterparts, each of which shall be deemed an NOW THIS DEED WITNESSETH that 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. 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. Exchange Act of 1934, as amended. (Heights Capital Management, Inc. investment manager) ---Jason.Stanton31: 7: 5/22/2017 5:22:29 PM: 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 Comscore Shares Collapse On Word Of Funding Move. best of its knowledge and belief, each of the undersigned certifies that the information with respect to it set forth in this and are not held in connection with or as a participant in any transaction having that purpose or effect. Investment company Their latest portfolio exit was Antares Pharma on May 24, 2022. Heights Capital Management, Inc.Heights Capital Management, Inc.Susquehanna International Group . 78o). 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 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). This is the fastest growing segment of the molecular diagnostics market worldwide. The firm typically invests in healthcare and technology companies. Ownership of Five Percent or Less of a Class, If this statement is being filed to report 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: o, Ownership of More than Five Percent on Behalf of Another Person, Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person, Identification and Classification of Members of the Group. 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. to consummate such transactions, including but not limited to making, negotiating; signing, endorsing, executing, acknowledging Despite its clinical trials being successful the FDA did not approve it. William Walmsley, Director of the Company, hereby appoints on behalf of the Company the firm of HEIGHTS CAPITAL MANAGEMENT,INC., CVI Investment filed a Schedule 13G form on April, 2018 (10). 240.13d-2(b)or (c), check whether the person filing is a: Broker or dealer Upon further review: it looks like CVI Investments is used to this method of hostile takeovers. Red rows indicate closed positions. Cookie Notice VStock transfer is/was also the transfer agent of BEAG (Blue Eagle Lithium). 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. We invest in profitable and growing . CVI Investments, Inc. . Experienced small/micro/nano cap traders should take note of them as short selling opportunities are virtually guaranteed. If you require advice in relation to any financial matter you should consult an appropriate professional. liability for the information given being complete or correct. The information required in the remainder of this cover page shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for All of Heights Capital Management filings are prepared by their Secretary, Brian Sopinsky, who is the "former" general council of SIG Susquehanna International. of this cover pageshall not be deemed to be filed for purposes of Section18 of the Securities Exchange 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. as the investment manager to CVI Investments,Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments,Inc. Bank as defined in Section 3(a)(6) of the Act (15 U.S.C. Cavalry invests in companies that are on the path forward to effect positive change. 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 Disclosure of transparency notifications 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. Startups and venture capital in the Middle East and North Africa, Get the best reports to understand your industry. for(var i = 0; i < trs.length; i++) { New comments cannot be posted and votes cannot be cast. 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. therein. the aggregate number and percentage of the class of securities of the issuer identified in Item 1. Denominator: 92,061,563. 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. Provide the following information regarding 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. We covered Sabby Management in a previous report, so feel free to have a look at said report for more details. 80a-8). share, (Date of Event Which Requires Filing of the Investment Company Act of 1940 (15 U.S.C. After reasonable inquiry and to the best US0303822045 / AMERICAN VIRTUAL CLOUD TECHNOLOGIES INC, SMR / NuScale Power Corporation - Class A, US74907L2016 / QUOIN PHARMACEUTICALS LTD SPONSORED ADR, MNMD / Mind Medicine (MindMed) Inc. INFORMATION TO BE INCLUDED IN STATEMENTS Act, would exceed 9.99%. If filing as a non-U.S. institution in accordance with, 240.13d-1(b)(1)(ii)(J), please specify the type of institution:____________________________. class of securities, check the following: . SAVA was formerly known as Pain Therapeutics (PTIE), and it is a company that is no stranger to controversy. Item 2(b). Submit your Analyst Briefing to get in front of investors, customers, and partners on CB Insights platform. Columbia, V6V 2J7, Canada. 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? 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