0000950123-20-012027.txt : 20201116 0000950123-20-012027.hdr.sgml : 20201116 20201116120039 ACCESSION NUMBER: 0000950123-20-012027 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200930 FILED AS OF DATE: 20201116 DATE AS OF CHANGE: 20201116 EFFECTIVENESS DATE: 20201116 FILER: COMPANY DATA: COMPANY CONFORMED NAME: PRECEPT MANAGEMENT LLC CENTRAL INDEX KEY: 0001135631 IRS NUMBER: 752828851 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-06383 FILM NUMBER: 201314791 BUSINESS ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1450 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 214-880-7444 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1450 CITY: DALLAS STATE: TX ZIP: 75201 13F-HR 1 primary_doc.xml 13F-HR LIVE 0001135631 XXXXXXXX 09-30-2020 09-30-2020 false Precept Management LLC

200 Crescent Court Suite 1450 Dallas TX 75201

13F HOLDINGS REPORT 028-06383 N Nick Roossien 214-880-7444 /s/ Nick Roossien Dallas TX 11-16-2020 1 66 407516 false 1 028-17846 Precept Capital Management, L.P. INFORMATION TABLE 2 1773.xml INFORMATION TABLE FOR FORM 13F ADVANCED MICRO DEVICES INC COM 007903107 8199 100000 SH DFND 1 0 100000 0 ADVANCED MICRO DEVICES INC COM 007903107 12299 150000 SH Call DFND 1 0 0 0 ADVANCED MICRO DEVICES INC COM 007903107 4100 50000 SH Put DFND 1 0 50000 0 AKOUSTIS TECHNOLOGIES INC COM 00973N102 163 20000 SH DFND 1 0 20000 0 AMAZON COM INC COM 023135106 15744 5000 SH DFND 1 0 5000 0 AMAZON COM INC COM 023135106 15744 5000 SH Put DFND 1 0 5000 0 AMERICAN TOWER CORP NEW COM 03027X100 1450 6000 SH DFND 1 0 6000 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 3577 596196 SH DFND 1 0 596196 0 B. RILEY FINANCIAL INC COM 05580M108 501 20000 SH DFND 1 0 20000 0 BJS WHSL CLUB HLDGS INC COM 05550J101 3490 84000 SH DFND 1 0 84000 0 BK OF AMERICA CORP COM 060505104 2 100 SH DFND 1 0 100 0 BK OF AMERICA CORP COM 060505104 2409 100000 SH Call DFND 1 0 0 0 BOOKING HOLDINGS INC COM 09857L108 1796 1050 SH DFND 1 0 1050 0 CHARLES RIV LABS INTL INC COM 159864107 19248 85000 SH DFND 1 0 85000 0 CHARLES RIV LABS INTL INC COM 159864107 22645 100000 SH Call DFND 1 0 0 0 CHARLES RIV LABS INTL INC COM 159864107 15852 70000 SH Put DFND 1 0 70000 0 CROWN CASTLE INTL CORP NEW COM 22822V101 1499 9000 SH DFND 1 0 9000 0 CRYOPORT INC COM PAR $0.001 229050307 1446 30500 SH DFND 1 0 30500 0 CRYOPORT INC COM PAR $0.001 229050307 1422 30000 SH Put DFND 1 0 30000 0 CUE BIOPHARMA INC COM 22978P106 2258 150000 SH DFND 1 0 150000 0 ENTERPRISE PRODS PARTNERS L COM 293792107 11647 737600 SH DFND 1 0 737600 0 FATHOM HOLDINGS INC COM 31189V109 787 50000 SH DFND 1 0 50000 0 FIDELITY NATL INFORMATION SV COM 31620M106 2944 20000 SH DFND 1 0 20000 0 FISERV INC COM 337738108 4122 40000 SH DFND 1 0 40000 0 FIVE9 INC COM 338307101 6484 50000 SH DFND 1 0 50000 0 GAMESTOP CORP NEW CL A 36467W109 1295 127000 SH DFND 1 0 127000 0 GENERAC HLDGS INC COM 368736104 4647 24000 SH DFND 1 0 24000 0 GLU MOBILE INC COM 379890106 4298 560000 SH DFND 1 0 560000 0 GLU MOBILE INC COM 379890106 4989 650000 SH Call DFND 1 0 0 0 GRAND CANYON ED INC COM 38526M106 2398 30000 SH DFND 1 0 30000 0 HARROW HEALTH INC COM 415858109 471 84264 SH DFND 1 0 84264 0 HEICO CORP NEW COM 422806109 7389 70600 SH DFND 1 0 70600 0 INVESCO QQQ TR UNIT SER 1 46090E103 18060 65000 SH Put DFND 1 0 65000 0 ISHARES TR RUSSELL 2000 ETF 464287655 10485 70000 SH Put DFND 1 0 70000 0 LGI HOMES INC COM 50187T106 3485 30000 SH DFND 1 0 30000 0 LGI HOMES INC COM 50187T106 1162 10000 SH Put DFND 1 0 10000 0 LHC GROUP INC COM 50187A107 999 4700 SH DFND 1 0 4700 0 MASTERCRAFT BOAT HLDGS INC COM 57637H103 1312 75000 SH DFND 1 0 75000 0 MICROSOFT CORP COM 594918104 11147 53000 SH DFND 1 0 53000 0 MICROSOFT CORP COM 594918104 6310 30000 SH Call DFND 1 0 0 0 MICROSOFT CORP COM 594918104 6310 30000 SH Put DFND 1 0 30000 0 NETFLIX INC COM 64110L106 4000 8000 SH DFND 1 0 8000 0 NEXPOINT REAL ESTATE FIN INC COM 65342V101 881 60000 SH DFND 1 0 60000 0 NEXPOINT RESIDENTIAL TR INC COM 65341D102 3725 84000 SH DFND 1 0 84000 0 NEXTERA ENERGY PARTNERS LP COM UNIT PART IN 65341B106 3058 51000 SH DFND 1 0 51000 0 NORTHROP GRUMMAN CORP COM 666807102 1104 3500 SH DFND 1 0 3500 0 PENNYMAC FINL SVCS INC NEW COM 70932M107 639 11000 SH DFND 1 0 11000 0 PURPLE INNOVATION INC COM 74640Y106 1492 60000 SH DFND 1 0 60000 0 PURPLE INNOVATION INC COM 74640Y106 1989 80000 SH Call DFND 1 0 0 0 REATA PHARMACEUTICALS INC CL A 75615P103 2046 21000 SH DFND 1 0 21000 0 SALESFORCE COM INC COM 79466L302 25383 101000 SH DFND 1 0 101000 0 SALESFORCE COM INC COM 79466L302 25132 100000 SH Call DFND 1 0 0 0 SALESFORCE COM INC COM 79466L302 22619 90000 SH Put DFND 1 0 90000 0 SCIPLAY CORP CL A 809087109 16 1000 SH DFND 1 0 1000 0 SCIPLAY CORP CL A 809087109 8110 500000 SH Call DFND 1 0 0 0 SERVICENOW INC COM 81762P102 17945 37000 SH DFND 1 0 37000 0 SERVICENOW INC COM 81762P102 17945 37000 SH Put DFND 1 0 37000 0 SMITH & WESSON BRANDS INC COM 831754106 621 40000 SH DFND 1 0 40000 0 STAMPS COM INC COM NEW 852857200 4819 20000 SH DFND 1 0 20000 0 STRYKER CORPORATION COM 863667101 208 1000 SH DFND 1 0 1000 0 TFF PHARMACEUTICALS INC COM 87241J104 4346 235294 SH DFND 1 0 235294 0 TYLER TECHNOLOGIES INC COM 902252105 6797 19500 SH DFND 1 0 19500 0 UNIQURE NV SHS N90064101 1105 30000 SH DFND 1 0 30000 0 UPLAND SOFTWARE INC COM 91544A109 8077 214248 SH DFND 1 0 214248 0 USA COMPRESSION PARTNERS LP COMUNIT LTDPAR 90290N109 370 37000 SH DFND 1 0 37000 0 WALKER & DUNLOP INC COM 93148P102 504 9500 SH DFND 1 0 9500 0