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CVI Holdings Portfolio holdings

AUM $116M
1-Year Est. Return 5.68%
This Fund
S&P 500
This Quarter Est. Return
+20.55%
1 Year Est. Return
+5.68%
3 Year Est. Return
+25.77%
5 Year Est. Return
+327.29%
10 Year Est. Return
–
AUM
$246M
AUM Growth
-$23.7M
Cap. Flow
+$30.4M
Cap. Flow %
12.36%
Top 10 Hldgs %
61.43%
Holding
135
New
66
Increased
–
Reduced
6
Closed
52

Top Buys

Rank Stock Value
1
FCEL icon
FuelCell Energy
FCEL
+$50.4M
2
VLDR
Velodyne Lidar, Inc. Common Stock
VLDR
+$29.4M
3
PENN icon
PENN Entertainment
PENN
+$19.6M
4
TALK
Talkspace
TALK
+$11.8M
5
RMTI icon
Rockwell Medical
RMTI
+$8.34M

Top Sells

Rank Stock Value
1
NKLA
Nikola Corporation Common Stock
NKLA
+$33.8M
2
TME icon
Tencent Music
TME
+$13.5M
3
TBIO
Translate Bio, Inc. Common Stock
TBIO
+$13.4M
4
IIPR icon
Innovative Industrial Properties
IIPR
+$12.4M
5
HECCU
Hudson Executive Investment Corp. Units
HECCU
+$12.2M

Sector Composition

Rank Sector Weight
1 Industrials 30.85%
2 Miscellaneous 30.84%
3 Healthcare 20.17%
4 Consumer Discretionary 11.82%
5 Financials 4.45%
Name Market Value Portfolio Weight Shares or Principal Change
in Stake 		Capital Flow
UEC icon
51
Uranium Energy
UEC
$5.04B
$377K 0.15%
+377,804
New +$389K
USIO icon
52
Usio Inc
USIO
$65.5M
$339K 0.14%
+220,267
New +$496K
GSAH.WS
53
DELISTED
GS Acquisition Holdings Corp II Redeemable Warrants, each whole warrant exercisable for one share of
GSAH.WS
$269K 0.11%
+125,000
New +$270K
FATBW
54
DELISTED
FAT Brands Inc. Warrant
FATBW
$250K 0.1%
+190,770
New +$231K
NEPT
55
DELISTED
Neptune Wellness Solutions Inc. Ordinary Shares
NEPT
$238K 0.1%
+81
New +$309K
PBLA
56
DELISTED
Panbela Therapeutics, Inc. Common Stock
PBLA
$238K 0.1%
+3
New +$210K
NCNA
57
NuCana
NCNA
$5.41M
$175K 0.07%
+7
New +$190K
APM
58
DELISTED
Aptorum Group
APM
$174K 0.07%
+6,475
New +$185K
UAMY icon
59
United States Antimony
UAMY
$697M
$174K 0.07%
+600,000
New +$274K
ABLLW
60
DELISTED
Abacus Life Warrant
ABLLW
$167K 0.07%
+245,150
New +$176K
ROCHW
61
DELISTED
Roth CH Acquisition I Co. Warrant
ROCHW
$155K 0.06%
+150,000
New +$152K
CVM icon
62
PUT
CEL-SCI Corp
CVM
$26M
$153K 0.06%
+400
New +$158K
ALT icon
63
Altimmune
ALT
$628M
$140K 0.06%
10,600
-18,800
-64% -$376K
CWBR
64
DELISTED
CohBar, Inc. Common Stock
CWBR
$100K 0.04%
+3,516
New +$141K
VERBW
65
DELISTED
Verb Technology Company, Inc. Warrant
VERBW
$93K 0.04%
240,000
– –
VRMEW
66
DELISTED
VerifyMe, Inc. Warrant
VRMEW
$76K 0.03%
68,970
-5,530
-7% -$6.15K
GOVXW
67
DELISTED
GeoVax Labs Warrants
GOVXW
$70K 0.03%
+80,000
New +$67.6K
ZGYHR
68
DELISTED
Yunhong International Right
ZGYHR
$70K 0.03%
+350,000
New +$76K
SYTAW
69
DELISTED
Siyata Mobile Warrant
SYTAW
$63K 0.03%
+55,000
New +$61.9K
TOON icon
70
Kartoon Studios
TOON
$34.8M
$62K 0.03%
5,217
-590,021
-99% -$9.23M
ZGYHW
71
DELISTED
Yunhong International Warrant
ZGYHW
$32K 0.01%
+175,000
New +$38.4K
TOON icon
72
CALL
Kartoon Studios
TOON
$34.8M
$30K 0.01%
+2,500
New +$39.1K
CMAXW
73
DELISTED
CareMax, Inc. Warrant
CMAXW
$21K 0.01%
+15,040
New +$21.2K
MDGSW
74
DELISTED
Medigus Ltd. Series C Warrant
MDGSW
$10K ﹤0.01%
57,986
– –
SGLBW
75
DELISTED
Sigma Labs, Inc. Warrant
SGLBW
$8K ﹤0.01%
45,100
-3,000
-6% -$581
1 2
3
4 5

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CVI Holdings's Q3 2020 Portfolio in Review

As of Q3 2020, CVI Holdings held 135 positions worth $246M, down 8.8% from $270M the previous quarter. Its ten largest holdings account for 61% of the portfolio.

CVI Holdings deployed $30.4M of net new capital in Q3 2020, opening 66 new positions. Its largest new stake was FuelCell Energy: 633,333 shares worth $40.7M.

By sector, the portfolio is most concentrated in Industrials at 31% of assets, up from 1.7% a quarter earlier, followed by Miscellaneous and Healthcare.

On the sell side, the largest reduction was Kartoon Studios, an estimated $9.23M trimmed.

  • CVI Holdings's largest Q3 2020 buy was FuelCell Energy: 633,333 shares worth $40.7M.
  • CVI Holdings's biggest Q3 2020 reduction was Kartoon Studios, cutting an estimated $9.23M.
  • CVI Holdings fully exited Nikola Corporation Common Stock in Q3 2020, selling an estimated $33.8M.
  • CVI Holdings's ten largest holdings make up 61% of its $246M portfolio in Q3 2020.
  • CVI Holdings opened 66 new positions and closed 52 in Q3 2020.
  • CVI Holdings's portfolio value fell 8.8% quarter-over-quarter to $246M.

Based on CVI Holdings's 13F filing for Q3 2020, filed 16 Nov 2020.