Size of Investment - Private Equity vs. Venture Capital / Seed Investors. Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 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). The notifications contain the following information: The plaintiffs in the lawsuit claimed that PTI(E) and the individual defendants caused shares in PTI(E) to trade at an artificially high price by concealing certain information from the public regarding the REMOXY FDA-approval process. CHECK THE APPROPRIATE BOX IF A MEMBER as the investment manager to CVI Investments,Inc., may be deemed to be the beneficial owner of all Shares owned by CVI Investments,Inc. statement is true, complete, and correct. Neither CVI Holdings nor China Investments Master Fund III disclosed 13G filing of PROG. the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired 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. 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. Nothing on this website constitutes, or is meant to constitute, advice of any kind. amendments thereto will be filed, on behalf of each of the persons and entities named below in accordance with Rule 13d-1(k) under Clicking on the following button will update the content below. 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. Additional information: CVI Investments, Inc. is the investment management company that exercises the voting rights at its discretion in the absence of specific instructions. Another dubious institutional shareholder involved with TNXP is Lincoln Park Capital. Google search "William Walmsley" - you'll get the jaguar car designer who passed away in the 60s. certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for please specify the type of institution: _______________. and our Sound familiar??? } else { page. cover pageshall be filled out for a reporting persons initial filing on this form with respect to the subject class Chatzipavlou Street, Hawaii Royal Gardens, 3036 Limassol, Cyprus. Use of these cookies, which may be stored on your device, permits us to improve and customize your experience. No representations and warranties are made as to the accuracy or fairness of such forward-looking statements. Their latest acquisition was US LEC on November 21, 2003. Bank as defined in Section3(a)(6)of the Act (15 U.S.C. filing is a: Broker or dealer registered under Section15 of the Act (15 U.S.C. And another one for up to an additional $15 million on August 20, 2019 (20). Any persons reading this press release should inform themselves of and observe any such restrictions. 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. 78c). manager to CVI Investments,Inc. and as such may exercise voting and dispositive power over these shares. CVI Investment filed a Schedule 13G form on April, 2018 (10). display: none; of the Group. }, See Full List: All Stocks Held By CVI Holdings LLC Angel, Fund of Funds, Venture Capital), This describes the stage of investments made by this organization (e.g. Upon further review: it looks like CVI Investments is used to this method of hostile takeovers. BEAG now dwells in the grey market (also known as the OTC cemetery) where it currently trades at less than $0.05 after having reached $3.50 pre SEC suspension. Combined Holding Report Includes: is set forth in Rows 5 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for Subordinate Voting Shares, AMAO / American Acquisition Opportunity Inc. Class A, ADRA / Adara Acquisition Corp. Class A Common Stock. <- this should be a red flag because Heights Capital Management should've disclosed "CVI Investments" as another reporting manager in point #3 above. Forward-looking statements INFORMATION TO BE INCLUDED IN STATEMENTS 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. Heights Capital Management, Inc.Heights Capital Management, Inc.Susquehanna International Group . 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. Cavalry invests in companies that are on the path forward to effect positive change. Overview and forecasts on trending topics, Industry and market insights and forecasts, Key figures and rankings about companies and products, Consumer and brand insights and preferences in various industries, Detailed information about political and social topics, All key figures about countries and regions, Market forecast and expert KPIs for 600+ segments in 150+ countries, Insights on consumer attitudes and behavior worldwide, Business information on 70m+ public and private companies, Detailed information for 35,000+ online stores and marketplaces. Data is sourced from 13D/13G, 13F, and N-Q filings. pursuant to a Limited Power of Attorney, a copy of 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). Cookie Notice 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. William Walmsley, Director of the Company, hereby appoints on behalf of the Company the firm of HEIGHTS CAPITAL MANAGEMENT,INC., ** Heights Capital Management, Inc. is the investment manager to CVI Investments, Inc. and as such may exercise voting and dispositive power over these shares. The address of the principal business office of CVI 3 Hatnufa St., 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). THIS This statement is filed by the entities listed below, Each of the Reporting Persons hereby disclaims any beneficial ownership of any such Shares, except for their pecuniary interest 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. After reasonable inquiry and to the VStock transfer is/was also the transfer agent of BEAG (Blue Eagle Lithium). The address of the principal business office of CVI a: Broker or dealer registered under Section 15 of the Act (15 U.S.C. IN WITNESS Names of Reporting Persons CVI Investments, Inc. registered under Section15 of the Act (15 U.S.C. 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 Reason for the notifications: Acquisition or disposal of voting securities or voting rights. original, but all of which together shall constitute one and the same instrument. As already mentioned, Sabby Management is a so-called infamous fund with a few red flags that have been covered in our report. plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); A parent holding CODXs transfer agent, VStock transfer agent, also gives reason for concern. Person, Identification and Classification of the Subsidiary var tableid = 'hldtable'; 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 Ownership of Five Percent or Less of a Class, Ownership of More than Five Percent on Behalf of Another Little information relating to CVI Investments can be found online besides that which can be found in SEC filings. The VC is founded and led by a team with deep founder and investment experience themselves. Investment company registered under Section8 of the Investment Company Act of 1940 (15 U.S.C. Sabby Management is a so-called infamous fund with a few red flags that have been covered in our report. } to consummate such transactions, including but not limited to making, negotiating; signing, endorsing, executing, acknowledging You should not place undue reliance on forward-looking statements, which speak only as of the date of this press release. 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 WHEREAS, by agreement dated July Item 5. Notifications by: A parent undertaking or a controlling person. Use of these cookies, which may be stored on your device, permits us to improve and customize your experience. The number of Shares reported as beneficially owned At the time its share price stood at $431 on March 4, 2020 it stood at little above $1. (c)is set forth in Rows 5 11 of the cover pagefor each Reporting Person hereto and is incorporated herein 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. Headquarters Location 101 California Street # 3250 San Francisco, California, 94111, Heights Capital Management, Inc., which serves as or Control Person, Identification and Classification of Members CODX has exhibited highly unusual behaviour in recent months and raises several red flags. Principal Executive Offices, Address of Principal Business Office 1813); A Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. Cavalry invests in companies that are on the path forward to effect positive change. of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover CBI websites generally use certain cookies to enable better interactions with our sites and services. 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). Investment company research@utopiacap.com. which through its officers, directors and employees is hereby formally granted limited power of attorney for the purpose of entering By: Heights Capital Management,Inc. pursuant to a Limited Power of Attorney, a copy of which is attached as ExhibitI hereto. For more information, visit www.biocartis.com or follow Biocartis on Twitter @Biocartis_ , Facebook or LinkedIn. 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. document.getElementById(imgid).src='https://www.holdingschannel.com/closed.gif'; 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. 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. 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. var imgid = 'ocimg' + from; Insurance company trs[i].className = 'showrow'; This website is provided as is without any representations or warranties, express or implied. Company Act of 1940 (15 U.S.C. Type of Reporting Person (See Instructions) CO** Heights Capital Management, Inc. However, there is a bit more colour to PTIE/SAVAs history. NOW THIS DEED WITNESSETH Ordinary shares, par value NIS 0.25 per be deemed an 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. 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