The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
ASPEN INSURANCE HOLDINGS LTD | SHS | G05384105 | 500 | 11,900 | SH | SOLE | 11,900 | 0 | 0 | ||
CERAGON NETWORKS LTD | ORD | M22013102 | 150 | 39,569 | SH | SOLE | 39,569 | 0 | 0 | ||
ORBOTECH LTD | ORD | M75253100 | 768 | 13,590 | SH | SOLE | 13,590 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 1,323 | 425,398 | SH | SOLE | 425,398 | 0 | 0 | ||
MYLAN N V | SHS EURO | N59465109 | 2,192 | 80,000 | SH | Call | SOLE | 80,000 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 1,254 | 17,110 | SH | SOLE | 17,110 | 0 | 0 | ||
AMAG PHARMACEUTICALS INC | NOTE 3.250% 6/0 | 00163UAD8 | 457 | 500,000 | PRN | SOLE | 500,000 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 249 | 8,710 | SH | SOLE | 8,710 | 0 | 0 | ||
ACLARIS THERAPEUTICS INC | COM | 00461U105 | 728 | 98,500 | SH | SOLE | 98,500 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 1,655 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | COM | 00484M106 | 234 | 15,000 | SH | Put | SOLE | 15,000 | 0 | 0 | |
ALAMOS GOLD INC NEW | COM CL A | 011532108 | 53 | 14,825 | SH | SOLE | 14,825 | 0 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 1,346 | 1,300 | SH | SOLE | 1,300 | 0 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 1,036 | 1,000 | SH | Call | SOLE | 1,000 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 1,036 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
AMARIN CORP PLC | SPONS ADR NEW | 023111206 | 354 | 26,000 | SH | Call | SOLE | 26,000 | 0 | 0 | |
ATHENAHEALTH INC | COM | 04685W103 | 528 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 262 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
AVISTA CORP | COM | 05379B107 | 552 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
BANCO SANTANDER SA | ADR | 05964H105 | 452 | 100,813 | SH | SOLE | 100,813 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 1,232 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
BARRICK GOLD CORP | COM | 067901108 | 230 | 16,980 | SH | SOLE | 16,980 | 0 | 0 | ||
BAUSCH HEALTH COS INC | COM | 071734107 | 277 | 15,000 | SH | Put | SOLE | 15,000 | 0 | 0 | |
BLACK BOX CORP DEL | COM | 091826107 | 47 | 43,128 | SH | SOLE | 43,128 | 0 | 0 | ||
BOX INC | CL A | 10316T104 | 1,182 | 70,000 | SH | Call | SOLE | 70,000 | 0 | 0 | |
C H ROBINSON WORLDWIDE INC | COM NEW | 12541W209 | 1,261 | 15,000 | SH | Put | SOLE | 15,000 | 0 | 0 | |
CIGNA CORP NEW | COM | 125523100 | 433 | 2,281 | SH | SOLE | 2,281 | 0 | 0 | ||
CVS HEALTH CORP | COM | 126650100 | 303 | 4,620 | SH | SOLE | 4,620 | 0 | 0 | ||
CELLDEX THERAPEUTICS INC NEW | COM | 15117B103 | 69 | 348,501 | SH | SOLE | 348,501 | 0 | 0 | ||
CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 1,252 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
CONNECTICUT WTR SVC INC | COM | 207797101 | 410 | 6,137 | SH | SOLE | 6,137 | 0 | 0 | ||
COREPOINT LODGING INC | COM | 21872L104 | 214 | 17,478 | SH | SOLE | 17,478 | 0 | 0 | ||
CORVUS PHARMACEUTICALS INC | COM | 221015100 | 496 | 135,123 | SH | SOLE | 135,123 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 18 | 26,212 | SH | SOLE | 26,212 | 0 | 0 | ||
DERMIRA INC | NOTE 3.000% 5/1 | 24983LAB0 | 1,929 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 822 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 822 | 7,500 | SH | Call | SOLE | 7,500 | 0 | 0 | |
DISNEY WALT CO | COM DISNEY | 254687106 | 822 | 7,500 | SH | Put | SOLE | 7,500 | 0 | 0 | |
DUN & BRADSTREET CORP DEL NE | COM | 26483E100 | 428 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 1,548 | 152,406 | SH | SOLE | 152,406 | 0 | 0 | ||
ENBRIDGE INC | COM | 29250N105 | 253 | 8,152 | SH | SOLE | 8,152 | 0 | 0 | ||
ENDOLOGIX INC | COM | 29266S106 | 79 | 110,000 | SH | SOLE | 110,000 | 0 | 0 | ||
ESSENDANT INC | COM | 296689102 | 554 | 44,004 | SH | SOLE | 44,004 | 0 | 0 | ||
ESTERLINE TECHNOLOGIES CORP | COM | 297425100 | 364 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 733 | 10,755 | SH | SOLE | 10,755 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 682 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 682 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
FEDEX CORP | COM | 31428X106 | 1,028 | 6,370 | SH | SOLE | 6,370 | 0 | 0 | ||
FLEX PHARMA INC | COM | 33938A105 | 5 | 13,969 | SH | SOLE | 13,969 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 76 | 10,100 | SH | SOLE | 10,100 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 76 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 76 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
GENERAL MTRS CO | COM | 37045V100 | 602 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 4,014 | 120,000 | SH | Call | SOLE | 120,000 | 0 | 0 | |
GLOBALSTAR INC | NOTE 5.750% 4/0 | 378973AD3 | 544 | 502,354 | PRN | SOLE | 502,354 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 589 | 921,521 | SH | SOLE | 921,521 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 1,754 | 10,500 | SH | SOLE | 10,500 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 835 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 835 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
GOVERNMENT PPTYS INCOME TR | COM SHS BEN INT | 38376A103 | 182 | 26,500 | SH | SOLE | 26,500 | 0 | 0 | ||
IMMUNOGEN INC | COM | 45253H101 | 120 | 25,000 | SH | Call | SOLE | 25,000 | 0 | 0 | |
INFRAREIT INC | COM | 45685L100 | 326 | 15,500 | SH | SOLE | 15,500 | 0 | 0 | ||
INSMED INC | NOTE 1.750% 1/1 | 457669AA7 | 1,246 | 1,750,000 | PRN | SOLE | 1,750,000 | 0 | 0 | ||
INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | 1,096 | 22,633 | SH | SOLE | 22,633 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 249 | 5,300 | SH | SOLE | 5,300 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 262 | 1,700 | SH | SOLE | 1,700 | 0 | 0 | ||
INTERSECTIONS INC | COM | 460981301 | 48 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
INVESTMENT TECHNOLOGY GRP NE | COM | 46145F105 | 499 | 16,500 | SH | SOLE | 16,500 | 0 | 0 | ||
ISHARES INC | MSCI BRAZIL ETF | 464286400 | 458 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
ISHARES INC | MSCI MEXICO ETF | 464286822 | 988 | 24,000 | SH | SOLE | 24,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 2,773 | 71,000 | SH | SOLE | 71,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 781 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 781 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 2,678 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 6,488 | 80,000 | SH | Put | SOLE | 80,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 1,542 | 15,800 | SH | SOLE | 15,800 | 0 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 883 | 6,845 | SH | SOLE | 6,845 | 0 | 0 | ||
JOHNSON & JOHNSON | COM | 478160104 | 645 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 645 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
KADMON HLDGS INC | COM | 48283N106 | 6,145 | 2,954,478 | SH | SOLE | 2,954,478 | 0 | 0 | ||
KALVISTA PHARMACEUTICALS INC | COM | 483497103 | 491 | 24,883 | SH | SOLE | 24,883 | 0 | 0 | ||
MARATHON PETE CORP | COM | 56585A102 | 264 | 4,472 | SH | SOLE | 4,472 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 223 | 2,200 | SH | SOLE | 2,200 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 3,808 | 120,000 | SH | Call | SOLE | 120,000 | 0 | 0 | |
MONEYGRAM INTL INC | COM NEW | 60935Y208 | 87 | 43,568 | SH | SOLE | 43,568 | 0 | 0 | ||
NII HLDGS INC | COM PAR | 62913F508 | 110 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
NAVIGATORS GROUP INC | COM | 638904102 | 208 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 268 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 3,613 | 13,500 | SH | Put | SOLE | 13,500 | 0 | 0 | |
NEWFIELD EXPL CO | COM | 651290108 | 594 | 40,500 | SH | SOLE | 40,500 | 0 | 0 | ||
NEXEO SOLUTIONS INC | COM SHS | 65342H102 | 209 | 24,300 | SH | SOLE | 24,300 | 0 | 0 | ||
NOVAVAX INC | NOTE 3.750% 2/0 | 670002AB0 | 2,711 | 4,500,000 | PRN | SOLE | 4,500,000 | 0 | 0 | ||
NOVAVAX INC | COM | 670002104 | 60 | 32,600 | SH | Call | SOLE | 32,600 | 0 | 0 | |
PACIFIC BIOSCIENCES CALIF IN | COM | 69404D108 | 148 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
PANDORA MEDIA INC | COM | 698354107 | 344 | 42,500 | SH | SOLE | 42,500 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 113 | 22,000 | SH | SOLE | 22,000 | 0 | 0 | ||
PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 1,000 | 10,000,000 | PRN | SOLE | 10,000,000 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 3,056 | 70,000 | SH | Put | SOLE | 70,000 | 0 | 0 | |
RED HAT INC | COM | 756577102 | 2,493 | 14,195 | SH | SOLE | 14,195 | 0 | 0 | ||
RETROPHIN INC | NOTE 2.500% 9/1 | 761299AB2 | 2,240 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 598 | 260,000 | SH | SOLE | 260,000 | 0 | 0 | ||
ROCKET PHARMACEUTICALS INC | COM | 77313F106 | 489 | 33,000 | SH | SOLE | 33,000 | 0 | 0 | ||
ROSEHILL RES INC | CL A | 777385105 | 555 | 249,033 | SH | SOLE | 249,033 | 0 | 0 | ||
ROSEHILL RES INC | *W EXP 09/16/202 | 777385113 | 117 | 325,000 | SH | SOLE | 325,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 14,995 | 60,000 | SH | Call | SOLE | 60,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 6,873 | 27,500 | SH | Put | SOLE | 27,500 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 1,516 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 10,762 | 150,000 | SH | Put | SOLE | 150,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 488 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 1,301 | 40,000 | SH | Call | SOLE | 40,000 | 0 | 0 | |
SCANA CORP NEW | COM | 80589M102 | 1,677 | 35,100 | SH | SOLE | 35,100 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 1,730 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 229 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 4,168 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
SENSEONICS HLDGS INC | COM | 81727U105 | 151 | 58,463 | SH | SOLE | 58,463 | 0 | 0 | ||
SPARTON CORP | COM | 847235108 | 1,436 | 78,954 | SH | SOLE | 78,954 | 0 | 0 | ||
SPRINT CORP | COM SER 1 | 85207U105 | 357 | 61,397 | SH | SOLE | 61,397 | 0 | 0 | ||
STEMLINE THERAPEUTICS INC | COM | 85858C107 | 395 | 41,588 | SH | SOLE | 41,588 | 0 | 0 | ||
STRYKER CORP | COM | 863667101 | 220 | 1,403 | SH | SOLE | 1,403 | 0 | 0 | ||
SUNESIS PHARMACEUTICALS INC | COM PAR | 867328700 | 10 | 23,706 | SH | SOLE | 23,706 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 222 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
TESARO INC | COM | 881569107 | 1,077 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 609 | 966,975 | SH | SOLE | 966,975 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 1,066 | 23,500 | SH | SOLE | 23,500 | 0 | 0 | ||
U S G CORP | COM NEW | 903293405 | 378 | 8,854 | SH | SOLE | 8,854 | 0 | 0 | ||
UNITED TECHNOLOGIES CORP | COM | 913017109 | 232 | 2,175 | SH | SOLE | 2,175 | 0 | 0 | ||
VACCINEX INC | COM | 918640103 | 54 | 14,720 | SH | SOLE | 14,720 | 0 | 0 | ||
VALERO ENERGY PARTNERS LP | COM UNT REP LP | 91914J102 | 822 | 19,500 | SH | SOLE | 19,500 | 0 | 0 | ||
VERASTEM INC | NOTE 5.000%11/0 | 92337CAA2 | 1,560 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
VERASTEM INC | COM | 92337C104 | 168 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
VIEWRAY INC | COM | 92672L107 | 1,062 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
VIEWRAY INC | COM | 92672L107 | 304 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
VULCAN MATLS CO | COM | 929160109 | 247 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
XPO LOGISTICS INC | COM | 983793100 | 5,681 | 99,600 | SH | Call | SOLE | 99,600 | 0 | 0 | |
XTANT MED HLDGS INC | COM NEW | 98420P308 | 1,283 | 796,826 | SH | SOLE | 796,826 | 0 | 0 | ||
ZOSANO PHARMA CORP | COM NEW | 98979H202 | 464 | 219,040 | SH | SOLE | 219,040 | 0 | 0 |