Location: Winnetka, IL
CIK: 0001597506 · Show all filings
Period: Q4 2020 (Next →)
Filing Date: Feb 16, 2021
Total Value: $408M (33.6% shares, 66.4% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| SPY | SPDR S&P 500 ETF TR | 144,000 | $53.84M | 13.2% | — | — | Put | 78462F103 |
| — | TESLA INC | 3,715,000 | $39.69M | 9.7% | $10.68 | — | NOTE 2.375% 3/1 | 88160RAD3 |
| — | HUBSPOT INC | 6,244,000 | $26.05M | 6.4% | $4.17 | — | NOTE 0.250% 6/0 | 443573AB6 |
| — | FIVE9 INC | 5,111,000 | $21.5M | 5.3% | $4.21 | — | NOTE 0.125% 5/0 | 338307AB7 |
| — | TESLA INC | 1,566,000 | $17.7M | 4.3% | $11.30 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| — | INPHI CORP | 5,084,000 | $14.43M | 3.5% | $2.84 | — | NOTE 0.750% 9/0 | 45772FAC1 |
| — | INSULET CORP | 4,684,000 | $12.83M | 3.1% | $2.74 | — | NOTE 1.375%11/1 | 45784PAH4 |
| — | TERADYNE INC | 3,355,000 | $12.71M | 3.1% | $3.79 | — | NOTE 1.250%12/1 | 880770AG7 |
| — | SEA LTD | 3,000,000 | $11.91M | 2.9% | $3.97 | — | NOTE 1.000%12/0 | 81141RAD2 |
| — | MICROCHIP TECHNOLOGY INC. | 5,615,000 | $11.86M | 2.9% | $2.11 | — | NOTE 1.625% 2/1 | 595017AD6 |
| — | NICE SYS INC | 3,495,000 | $11.86M | 2.9% | $3.39 | — | NOTE 1.250% 1/1 | 65366HAB9 |
| — | SQUARE INC | 3,630,000 | $10.2M | 2.5% | $2.81 | — | NOTE 0.500% 5/1 | 852234AD5 |
| — | MERCADOLIBRE INC | 2,000,000 | $7.608M | 1.9% | $3.80 | — | NOTE 2.000% 8/1 | 58733RAD4 |
| — | HANNON ARMSTRONG SUST INFR C | 3,199,000 | $7.495M | 1.8% | $2.34 | — | NOTE 4.125% 9/0 | 41068XAB6 |
| — | COUPA SOFTWARE INC | 3,445,000 | $7.49M | 1.8% | $2.17 | — | NOTE 0.125% 6/1 | 22266LAC0 |
| — | ZILLOW GROUP INC | 2,500,000 | $7.484M | 1.8% | $2.99 | — | NOTE 0.750% 9/0 | 98954MAE1 |
| — | WAYFAIR INC | 3,608,000 | $7.244M | 1.8% | $2.01 | — | NOTE 1.125%11/0 | 94419LAD3 |
| TSLA | TESLA INC | 10,000 | $7.057M | 1.7% | — | — | Put | 88160R101 |
| — | RH | 2,937,000 | $6.892M | 1.7% | $2.35 | — | NOTE 6/1 | 74967XAA1 |
| — | DEXCOM INC | 2,504,000 | $5.703M | 1.4% | $2.28 | — | NOTE 0.750%12/0 | 252131AH0 |
| — | J2 GLOBAL INC | 3,807,000 | $5.574M | 1.4% | $1.46 | — | NOTE 3.250% 6/1 | 48123VAC6 |
| — | CHEGG INC | 1,512,000 | $5.053M | 1.2% | $3.34 | — | NOTE 0.250% 5/1 | 163092AB5 |
| JPM | JPMORGAN CHASE & CO | 35,000 | $4.447M | 1.1% | — | — | Call | 46625H100 |
| CCL | CARNIVAL CORP | 173,300 | $3.754M | 0.9% | $17.78 | 0.0% | Put | 143658300 |
| TSLA | TESLA INC | 5,000 | $3.528M | 0.9% | — | — | Call | 88160R101 |
| — | GSV CAP CORP | 2,400,000 | $3.389M | 0.8% | $1.41 | — | NOTE 4.750% 3/2 | 36191JAC5 |
| — | WIX COM LTD | 1,790,000 | $3.306M | 0.8% | $1.85 | — | NOTE 7/0 | 92940WAB5 |
| TLT | ISHARES TR | 20,000 | $3.155M | 0.8% | — | — | Put | 464287432 |
| — | CHEGG INC | 1,725,000 | $3.138M | 0.8% | $1.82 | — | NOTE 0.125% 3/1 | 163092AD1 |
| QQQ | INVESCO QQQ TR | 10,000 | $3.137M | 0.8% | — | — | Call | 46090E103 |
| IIPR | INNOVATIVE INDL PPTYS INC | 16,100 | $2.948M | 0.7% | — | — | Put | 45781V101 |
| XLF | SELECT SECTOR SPDR TR | 100,000 | $2.948M | 0.7% | — | — | Put | 81369Y605 |
| IWM | ISHARES TR | 15,000 | $2.941M | 0.7% | — | — | Put | 464287655 |
| GDX | VANECK VECTORS ETF TR | 80,000 | $2.882M | 0.7% | — | — | Call | 92189F106 |
| BLNK | BLINK CHARGING CO | 65,000 | $2.779M | 0.7% | — | — | Put | 09354A100 |
| — | NEXTERA ENERGY INC | 44,998 | $2.657M | 0.7% | $59.05 | — | UNIT 09/01/2022S | 65339F796 |
| CCL | CARNIVAL CORP | 122,000 | $2.643M | 0.6% | $17.78 | 0.0% | UNIT 99/99/9999 | 143658300 |
| — | MONGODB INC | 468,000 | $2.46M | 0.6% | $5.26 | — | NOTE 0.750% 6/1 | 60937PAB2 |
| NBR | NABORS INDUSTRIES LTD | 40,000 | $2.329M | 0.6% | — | — | Call | G6359F137 |
| QQQ | INVESCO QQQ TR | 7,000 | $2.196M | 0.5% | — | — | Put | 46090E103 |
| META | FACEBOOK INC | 7,000 | $1.912M | 0.5% | — | — | Put | 30303M102 |
| GRWG | GROWGENERATION CORP | 45,000 | $1.81M | 0.4% | $26.92 | 0.0% | Put | 39986L109 |
| SLV | ISHARES SILVER TR | 71,400 | $1.754M | 0.4% | — | — | Call | 46428Q109 |
| NCLH | NORWEGIAN CRUISE LINE HLDG L | 56,600 | $1.439M | 0.4% | $20.86 | 0.0% | Put | G66721104 |
| NCLH | NORWEGIAN CRUISE LINE HLDG L | 56,500 | $1.437M | 0.4% | $20.86 | 0.0% | SHS | G66721104 |
| AAPL | APPLE INC | 10,000 | $1.327M | 0.3% | — | — | Put | 037833100 |
| AAPL | APPLE INC | 10,000 | $1.327M | 0.3% | — | — | Call | 037833100 |
| — | BARCLAYS BANK PLC | 75,000 | $1.259M | 0.3% | $16.80 | — | Call | 06746P621 |
| SSSS | SURO CAPITAL CORP | 95,700 | $1.253M | 0.3% | — | — | Put | 86887Q109 |
| — | INSEEGO CORP | 73,200 | $1.132M | 0.3% | $15.48 | — | Put | 45782B104 |
| — | PERSHING SQUARE TONTINE HLDG | 39,900 | $1.106M | 0.3% | $27.72 | — | COM CL A | 71531R109 |
| — | RAPID7 INC | 505,000 | $1.101M | 0.3% | $2.18 | — | NOTE 1.250% 8/0 | 753422AB0 |
| — | INSEEGO CORP | 66,300 | $1.026M | 0.3% | $15.48 | — | COM | 45782B104 |
| — | PERSHING SQUARE TONTINE HLDG | 36,700 | $1.017M | 0.2% | $27.72 | — | Put | 71531R109 |
| — | NUANCE COMMUNICATIONS INC | 2,781,000 | $986K | 0.2% | $0.35 | — | DEBT 1.500%11/0 | 67020YAG5 |
| — | NATIONAL HEALTH INVS INC | 880,000 | $939K | 0.2% | $1.07 | — | NOTE 3.250% 4/0 | 63633DAE4 |
| TMV | DIREXION SHS ETF TR | 15,000 | $810K | 0.2% | — | — | Call | 25460G849 |
| — | INFRA AND ENERGY ALTRNTIVE I | 679,331 | $804K | 0.2% | $1.18 | — | *W EXP 05/20/202 | 45686J112 |
| — | ETSY INC | 1,656,000 | $744K | 0.2% | $0.45 | — | NOTE 3/0 | 29786AAC0 |
| — | ARBOR REALTY TRUST INC | 1,000,000 | $639K | 0.2% | $0.64 | — | NOTE 5.250% 7/0 | 038923AF5 |
| NIO | NIO INC | 13,000 | $634K | 0.2% | — | — | Put | 62914V106 |
| — | ILLUMINA INC | 427,000 | $625K | 0.2% | $1.46 | — | NOTE 0.500% 6/1 | 452327AH2 |
| ARKK | ARK ETF TR | 5,000 | $622K | 0.2% | — | — | Put | 00214Q104 |
| — | HOSTESS BRANDS INC | 1,093,437 | $610K | 0.1% | $0.56 | — | *W EXP 11/04/202 | 44109J114 |
| — | PALO ALTO NETWORKS INC | 428,000 | $605K | 0.1% | $1.41 | — | NOTE 0.750% 7/0 | 697435AD7 |
| GRWG | GROWGENERATION CORP | 15,000 | $603K | 0.1% | $26.92 | 0.0% | COM | 39986L109 |
| — | SPIRIT AIRLS INC | 24,000 | $587K | 0.1% | — | — | Call | 848577102 |
| — | NIKOLA CORP | 36,000 | $549K | 0.1% | — | — | Put | 654110105 |
| — | WORKDAY INC | 325,000 | $544K | 0.1% | $1.67 | — | NOTE 0.250%10/0 | 98138HAF8 |
| — | GFL ENVIRONMENTAL INC | 7,638 | $536K | 0.1% | $70.18 | — | UNIT 99/99/9999T | 36168Q120 |
| PAAS | PAN AMERN SILVER CORP | 15,000 | $518K | 0.1% | — | — | Call | 697900108 |
| — | VELODYNE LIDAR INC | 19,900 | $454K | 0.1% | $22.82 | — | Put | 92259F101 |
| UTZ | UTZ BRANDS INC | 19,000 | $419K | 0.1% | — | — | Put | 918090101 |
| — | SAILPOINT TECHNOLOGIES HLDGS | 200,000 | $389K | 0.1% | $1.95 | — | NOTE 0.125% 9/1 | 78781PAB1 |
| — | ALTA EQUIPMENT GROUP INC | 319,800 | $356K | 0.1% | $1.11 | — | *W EXP 02/14/202 | 02128L114 |
| — | VELODYNE LIDAR INC | 14,375 | $328K | 0.1% | $22.82 | — | COM | 92259F101 |
| GOTU | GSX TECHEDU INC | 6,000 | $310K | 0.1% | — | — | Put | 36257Y109 |
| SKT | TANGER FACTORY OUTLET CTRS I | 29,000 | $289K | 0.1% | — | — | Call | 875465106 |
| — | RINGCENTRAL INC | 56,000 | $260K | 0.1% | $4.64 | — | NOTE 3/1 | 76680RAD9 |
| — | BARCLAYS BANK PLC | 15,000 | $252K | 0.1% | $16.80 | — | IPTH SR B S&P | 06746P621 |
| — | INTL GNRL INSURANCE HLDNGS L | 630,521 | $249K | 0.1% | $0.39 | — | *W EXP 03/17/202 | G4809J114 |
| BDX | BECTON DICKINSON & CO | 979 | $245K | 0.1% | $214.58 | 0.0% | COM | 075887109 |
| — | PROPERTY SOLUTIONS ACQUISITI | 24,075 | $241K | 0.1% | $10.01 | — | COM | 74348Q108 |
| — | NEWHOLD INVESTMENT CORP | 23,900 | $239K | 0.1% | $10.00 | — | COM CL A | 651448102 |
| WSC | WILLSCOT MOBIL MINI HLDNG CO | 10,000 | $232K | 0.1% | — | — | Put | 971378104 |
| NEN | NEW ENGLAND RLTY ASSOC LTD P | 4,586 | $230K | 0.1% | $50.15 | — | DEPOSITRY RCPT | 644206104 |
| — | VIKING THERAPEUTICS INC | 163,536 | $219K | 0.1% | $1.34 | — | *W EXP 04/13/202 | 92686J114 |
| SA | SEABRIDGE GOLD INC | 10,000 | $211K | 0.1% | — | — | Call | 811916105 |
| — | PINDUODUO INC | 50,000 | $208K | 0.1% | $4.16 | — | NOTE 10/0 | 722304AB8 |
| TTCFQ | TATTOOED CHEF INC | 9,000 | $206K | 0.1% | — | — | Put | 87663X102 |
| — | VISTAS MEDIA ACQUISITION CO | 20,000 | $202K | 0.0% | $10.10 | — | COM CL A | 92840T107 |
| — | MALACCA STRAITS ACQUISITION | 19,400 | $192K | 0.0% | $9.90 | — | COM CL A | G5859B117 |
| F | FORD MTR CO DEL | 20,000 | $176K | 0.0% | — | — | Call | 345370860 |
| RIOT | RIOT BLOCKCHAIN INC | 10,000 | $170K | 0.0% | — | — | Put | 767292105 |
| — | FISKER INC | 11,000 | $161K | 0.0% | — | — | Call | 33813J106 |
| — | CHARDAN HEALTHCR ACQSTN 2 CO | 15,577 | $159K | 0.0% | $10.21 | — | COM | 15957T107 |
| NG | NOVAGOLD RES INC | 15,700 | $152K | 0.0% | — | — | Call | 66987E206 |
| — | TATTOOED CHEF INC | 40,112 | $151K | 0.0% | $3.76 | — | *W EXP 10/15/202 | 87663X110 |
| — | INSEEGO CORP | 110,000 | $149K | 0.0% | $1.35 | — | NOTE 3.250% 5/0 | 45782BAD6 |
| — | FISKER INC | 116,000 | $148K | 0.0% | $1.28 | — | *W EXP 12/01/202 | 33813J114 |
| — | VPC IMPACT ACQUISITION HLDNG | 14,400 | $145K | 0.0% | $10.07 | — | SHS CL A | G9441E100 |
| — | DELWINDS INS ACQUISITION COR | 14,000 | $144K | 0.0% | $10.29 | — | UNIT 99/99/9999 | 24803C201 |
| — | INDUSTRIAL TECH ACQU INC | 14,000 | $142K | 0.0% | $10.14 | — | COM CL A | 456357102 |
| — | MONTES ARCHIMEDES ACQUISITIO | 13,900 | $141K | 0.0% | $10.14 | — | COM CL A | 612657106 |
| — | ALPHA HEALTHCARE ACQUISTN CO | 12,999 | $132K | 0.0% | $10.15 | — | CL A | 020751103 |
| — | IG ACQUISITION CORP | 12,800 | $130K | 0.0% | $10.16 | — | COM CL A | 449534106 |
| — | SPARTACUS ACQUISITION CORP | 12,600 | $127K | 0.0% | $10.08 | — | CL A | 84677L109 |
| — | ATLANTIC AVE ACQUISITION COR | 12,350 | $124K | 0.0% | $10.04 | — | COM CL A | 04906P101 |
| OPHC | OPTIMUMBANK HLDGS INC | 36,213 | $122K | 0.0% | $2.98 | 0.0% | COM | 68401P403 |
| — | AEQUI ACQUISITION CORP | 11,777 | $119K | 0.0% | $10.10 | — | UNIT 11/30/2027 | 00775W201 |
| — | NEW FRONTIER HEALTH CORP | 54,313 | $118K | 0.0% | $2.17 | — | *W EXP 11/30/202 | G6461G114 |
| — | PTK ACQUISITION CORP | 11,000 | $112K | 0.0% | $10.18 | — | COM | 69375F108 |
| — | CO-DIAGNOSTICS INC | 12,000 | $112K | 0.0% | — | — | Put | 189763105 |
| — | LIONHEART ACQUISITION CORP I | 10,610 | $107K | 0.0% | $10.08 | — | COM CL A | 53625R104 |
| — | MCEWEN MNG INC | 108,750 | $107K | 0.0% | $0.98 | — | COM | 58039P107 |
| — | LANDCADIA HOLDINGS III INC | 10,143 | $106K | 0.0% | $10.45 | — | COM CL A | 51476H100 |
| — | TAILWIND ACQUISITION CORP | 10,160 | $106K | 0.0% | $10.43 | — | COM CL A | 87403Q102 |
| — | ZANITE ACQUISITION CORP | 10,000 | $105K | 0.0% | $10.50 | — | UNIT 10/08/2025 | 98907K202 |
| — | HYCROFT MINING HOLDING CORP | 13,282 | $104K | 0.0% | $7.83 | — | COM CL A | 44862P109 |
| — | ONCTERNAL THERAPEUTICS INC | 21,000 | $103K | 0.0% | — | — | Call | 68236P107 |
| — | DIGITAL MEDIA SOLUTIONS INC | 126,637 | $98,000 | 0.0% | $0.77 | — | *W EXP 07/15/202 | 25401G114 |
| — | ELECTRAMECCANICA VEHS CORP | 18,205 | $69,000 | 0.0% | $3.79 | — | *W EXP 08/03/202 | 284849114 |
| — | HC2 HLDGS INC | 20,000 | $65,000 | 0.0% | — | — | Call | 404139107 |
| — | BAUDAX BIO INC | 63,000 | $64,000 | 0.0% | — | — | Call | 07160F107 |
| GCMGW | GCM GROSVENOR INC | 189,714 | $60,000 | 0.0% | $0.32 | — | *W EXP 11/17/202 | 36831E116 |
| — | SIERRA METALS INC | 18,000 | $60,000 | 0.0% | $3.33 | — | COM | 82639W106 |
| — | CBDMD INC | 20,000 | $59,000 | 0.0% | $2.95 | — | COM | 12482W101 |
| — | HISTOGEN INC | 74,000 | $56,000 | 0.0% | $0.76 | — | COM | 43358Y103 |
| — | DOCUSIGN INC | 16,000 | $50,000 | 0.0% | $3.13 | — | NOTE 0.500% 9/1 | 256163AB2 |
| — | FAT BRANDS INC | 17,900 | $48,000 | 0.0% | $2.68 | — | *W EXP 06/30/202 | 30258N121 |
| VRMEW | VERIFYME INC | 40,107 | $41,000 | 0.0% | $1.02 | — | *W EXP 06/22/202 | 92346X115 |
| — | AMPCO-PITTSBURG CORP | 92,900 | $40,000 | 0.0% | $0.43 | — | *W EXP 08/01/202 | 032037111 |
| POWW | AMMO INC | 10,000 | $33,000 | 0.0% | $2.67 | 0.0% | COM | 00175J107 |
| — | BENITEC BIOPHARMA INC | 10,000 | $30,000 | 0.0% | $3.00 | — | COM | 08205P100 |
| RENO | BIOHITECH GLOBAL INC | 24,000 | $27,000 | 0.0% | $1.26 | 0.0% | COM | 09074B107 |
| — | 9 METERS BIOPHARMA INC | 31,888 | $27,000 | 0.0% | $0.85 | — | COM | 654405109 |
| — | MEDIGUS LTD | 13,000 | $25,000 | 0.0% | $1.92 | — | SPONSORED ADS | 58471G300 |
| — | ENTERA BIO LTD | 288,725 | $25,000 | 0.0% | $0.09 | — | *W EXP 07/02/202 | M40527117 |
| — | CNS PHARMACEUTICALS INC | 14,000 | $25,000 | 0.0% | $1.79 | — | COM | 18978H102 |
| — | IMAC HLDGS INC | 105,360 | $24,000 | 0.0% | $0.23 | — | *W EXP 02/12/202 | 44967K112 |
| — | GLRY STR NW MDIA GRUP HLDG L | 280,000 | $23,000 | 0.0% | $0.08 | — | *W EXP 02/13/202 | G39973113 |
| — | PROPERTY SOLUTIONS ACQUISITI | 21,740 | $23,000 | 0.0% | $1.06 | — | *W EXP 03/20/202 | 74348Q116 |
| — | CITIUS PHARMACEUTICALS INC | 20,000 | $20,000 | 0.0% | $1.00 | — | COM NEW | 17322U207 |
| — | DASEKE INC | 915,000 | $17,000 | 0.0% | $0.02 | — | *W EXP 02/27/202 | 23753F115 |
| — | ENDRA LIFE SCIENCES INC | 20,374 | $15,000 | 0.0% | $0.74 | — | COM | 29273B104 |
| — | VISTAS MEDIA ACQUISITION CO | 17,740 | $15,000 | 0.0% | $0.85 | — | *W EXP 08/01/202 | 92840T115 |
| — | GEOVAX LABS INC | 26,975 | $14,000 | 0.0% | $0.52 | — | *W EXP 09/29/202 | 373678119 |
| — | CREATD INC | 12,600 | $12,000 | 0.0% | $0.95 | — | *W EXP 09/15/202 | 225265115 |
| — | LIXTE BIOTECHNOLOGY HLDGS IN | 13,001 | $12,000 | 0.0% | $0.92 | — | *W EXP 01/01/202 | 539319111 |
| — | LIBERTY MEDIA CORP DEL | 11,968 | $11,000 | 0.0% | $0.92 | — | DEB 3.500% 1/1 | 530715AN1 |
| — | MEDIGUS LTD | 54,000 | $10,000 | 0.0% | $0.19 | — | *W EXP 07/23/202 | 58471G128 |
| CLNNW | CLENE INC | 14,000 | $7,000 | 0.0% | $0.50 | — | *W EXP 11/07/202 | 185634110 |
| — | ARTELO BIOSCIENCES INC | 16,403 | $4,000 | 0.0% | $0.24 | — | *W EXP 06/25/202 | 04301G128 |
| — | HYCROFT MINING HOLDING CORP | 73,155 | $4,000 | 0.0% | $0.05 | — | *W EXP 02/12/202 | 44862P117 |
| — | GLOBAL BLUE GROUP HOLDING AG | 15,450 | $4,000 | 0.0% | $0.26 | — | *W EXP 08/28/202 | H33700115 |
| PXSAW | PYXIS TANKERS INC | 21,828 | $3,000 | 0.0% | $0.14 | — | *W EXP 09/15/202 | Y71726122 |
| — | BROADMARK RLTY CAP INC | 10,000 | $1,000 | 0.0% | $0.10 | — | *W EXP 11/15/202 | 11135B118 |