Location: Fort Lee, NJ
CIK: 0001696778 · Show all filings
Period: Q4 2018 (← Previous) (Next →)
Filing Date: Feb 15, 2019
Total Value: $132M (30.8% shares, 69.2% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | MOLINA HEALTHCARE INC | 9,128,000 | $25.9M | 19.6% | $2.44 | — | NOTE 1.125% 1/1 | 60855RAC4 |
| — | ADVANCED MICRO DEVICES INC | 4,824,000 | $11.64M | 8.8% | $3.88 | — | NOTE 2.125% 9/0 | 007903BD8 |
| — | CAESARS ENTMT CORP | 8,287,000 | $10.32M | 7.8% | $1.25 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | NEUROCRINE BIOSCIENCES INC | 7,086,000 | $8.421M | 6.4% | $1.19 | — | NOTE 2.250% 5/1 | 64125CAD1 |
| — | SQUARE INC | 3,209,000 | $7.853M | 5.9% | $2.45 | — | NOTE 0.375% 3/0 | 852234AB9 |
| — | CLEVELAND CLIFFS INC | 4,591,800 | $5.008M | 3.8% | $1.09 | — | DBCV 1.500% 1/1 | 185899AA9 |
| — | INTERCEPT PHARMACEUTICALS IN | 5,324,000 | $4.995M | 3.8% | $0.95 | — | NOTE 3.250% 7/0 | 45845PAA6 |
| QCOM | QUALCOMM INC | 67,444 | $3.838M | 2.9% | $50.85 | 0.0% | COM | 747525103 |
| — | MEDICINES CO | 4,078,000 | $3.482M | 2.6% | $1.12 | — | NOTE 2.500% 1/1 | 584688AE5 |
| — | WRIGHT MED GROUP N V | 2,500,000 | $3.434M | 2.6% | $1.37 | — | NOTE 2.250%11/1 | 98236JAB4 |
| IWM | ISHARES TR | 21,009 | $2.811M | 2.1% | $137.72 | — | RUSSELL 2000 ETF - looks right | 464287655 |
| — | Yahoo Inc | 2,288,000 | $2.624M | 2.0% | $1.15 | — | Note | 984332AF3 |
| SPSB | SPDR SERIES TRUST | 77,000 | $2.32M | 1.8% | $30.52 | — | PORTFOLIO SHORT | 78464A474 |
| — | INSMED INC | 2,792,000 | $1.986M | 1.5% | $0.91 | — | NOTE 1.750% 1/1 | 457669AA7 |
| AMSC | AMERICAN SUPERCONDUCTOR CORP | 168,000 | $1.873M | 1.4% | $7.09 | +20.6% | SHS NEW | 030111207 |
| — | REALPAGE INC | 1,358,000 | $1.743M | 1.3% | $1.64 | — | COM | 75606NAB5 |
| — | WEATHERFORD INTL LTD | 2,411,000 | $1.62M | 1.2% | $0.92 | — | NOTE 5.875% 7/0 | 947075AH0 |
| — | MEDICINES CO | 218,200 | $1.618M | 1.2% | — | — | Put | 584688955 |
| AIRG | AIRGAIN INC | 145,111 | $1.436M | 1.1% | $11.93 | +2.1% | COM | 00938A104 |
| XLV | SELECT SECTOR SPDR TR | 16,143 | $1.395M | 1.1% | $79.84 | — | SBI HEALTHCARE | 81369Y209 |
| — | ACORDA THERAPEUTICS INC | 1,562,000 | $1.312M | 1.0% | $0.89 | — | NOTE 1.750% 6/1 | 00484MAA4 |
| — | INTERCEPT PHARMACEUTICALS IN | 140,300 | $1.191M | 0.9% | — | — | Put | 45845P958 |
| — | HORIZON PHARMA PLC | 1,158,000 | $1.148M | 0.9% | $0.99 | — | NOTE 2.500% 3/1 | 44052TAB7 |
| CALX | CALIX INC | 113,996 | $1.11M | 0.8% | $8.33 | +4.5% | COM | 13100M509 |
| — | XILINX INC | 13,000 | $1.106M | 0.8% | $85.08 | — | COM | 983919101 |
| VCSH | VANGUARD SCOTTSDALE FDS | 13,000 | $1.013M | 0.8% | $79.36 | — | SHRT TRM CORP BD | 92206C409 |
| — | IMMUNOMEDICS INC | 128,100 | $999K | 0.8% | — | — | Call | 452907908 |
| XLY | SELECT SECTOR SPDR TR | 9,771 | $967K | 0.7% | $98.97 | — | SBI CONS DISCR | 81369Y407 |
| VUZI | VUZIX CORP | 200,000 | $961K | 0.7% | $6.28 | -7.1% | COM NEW | 92921W300 |
| VGT | VANGUARD WORLD FDS | 5,598 | $933K | 0.7% | $146.10 | — | INF TECH ETF | 92204A702 |
| BMRN | BIOMARIN PHARMACEUTICAL INC | 10,400 | $886K | 0.7% | $95.13 | 0.0% | COM | 09061G101 |
| — | BIODELIVERY SCIENCES INTL IN | 204,256 | $754K | 0.6% | $3.24 | — | COM | 09060J106 |
| LITE | LUMENTUM HLDGS INC | 17,950 | $754K | 0.6% | $52.19 | -5.6% | COM | 55024U109 |
| — | QUANTENNA COMMUNICATIONS INC | 52,609 | $754K | 0.6% | $12.76 | — | COM | 74766D100 |
| — | KEMET CORP | 42,000 | $735K | 0.6% | $17.50 | — | COM | 488360207 |
| MX | MAGNACHIP SEMICONDUCTOR SA | 111,300 | $690K | 0.5% | $9.51 | -18.1% | COM | 55933J203 |
| APPS | DIGITAL TURBINE INC | 370,579 | $678K | 0.5% | $1.58 | 0.0% | COM NEW | 25400W102 |
| — | PIXELWORKS INC | 201,847 | $585K | 0.4% | $4.64 | — | COM NEW | 72581M305 |
| XBI | SPDR SERIES TRUST | 7,994 | $573K | 0.4% | $70.00 | — | S&P BIOTECH | 78464A870 |
| PBYI | PUMA BIOTECHNOLOGY INC | 27,820 | $565K | 0.4% | $30.01 | 0.0% | COM | 74587V107 |
| — | ATTUNITY LTD | 28,504 | $560K | 0.4% | $18.89 | — | SHS NEW | M15332121 |
| XLI | SELECT SECTOR SPDR TR | 8,607 | $553K | 0.4% | $66.10 | — | SBI INT-INDS | 81369Y704 |
| XLF | SELECT SECTOR SPDR TR | 18,769 | $446K | 0.3% | $24.55 | — | SBI INT-FINL | 81369Y605 |
| KN | KNOWLES CORP | 32,838 | $437K | 0.3% | $14.87 | -1.5% | COM | 49926D109 |
| — | QUICKLOGIC CORP | 592,768 | $434K | 0.3% | $0.84 | — | COM | 74837P108 |
| — | BIONANO GENOMICS INC | 79,902 | $417K | 0.3% | $5.35 | — | COM | 09075F107 |
| LTRX | LANTRONIX INC | 142,500 | $414K | 0.3% | $3.70 | -8.4% | COM NEW | 516548203 |
| CLFD | CLEARFIELD INC | 41,647 | $413K | 0.3% | $13.39 | -11.3% | COM | 18482P103 |
| SMTC | SEMTECH CORP | 8,601 | $394K | 0.3% | $42.55 | +11.9% | COM | 816850101 |
| ALLT | ALLOT COMMUNICATIONS LTD | 64,375 | $390K | 0.3% | $5.86 | +11.7% | SHS | M0854Q105 |
| DMAC | DIAMEDICA THERAPEUTICS INC | 129,863 | $377K | 0.3% | $5.81 | 0.0% | COM NEW | 25253X207 |
| — | APOLLO ENDOSURGERY INC | 107,000 | $368K | 0.3% | $5.19 | — | COM | 03767D108 |
| — | DSP GROUP INC | 31,389 | $351K | 0.3% | $12.83 | — | COM | 23332B106 |
| — | QUALCOMM INC | 91,900 | $348K | 0.3% | — | — | Put | 747525953 |
| XLP | SELECT SECTOR SPDR TR | 6,863 | $347K | 0.3% | $50.56 | — | SBI CONS STPLS | 81369Y308 |
| — | QUANTUM CORP | 168,500 | $336K | 0.3% | $1.99 | — | COM NEW | 747906501 |
| — | PROGENICS PHARMACEUTICALS IN | 76,200 | $318K | 0.2% | $4.59 | — | COM | 743187106 |
| XPH | SPDR SERIES TRUST | 8,502 | $310K | 0.2% | $19.54 | — | S&P PHARMAC | 78464A722 |
| — | WESTPORT FUEL SYSTEMS INC | 200,000 | $265K | 0.2% | $2.16 | — | COM NEW | 960908309 |
| — | NEOS THERAPEUTICS INC | 150,586 | $248K | 0.2% | $2.07 | — | COM | 64052L106 |
| OSS | ONE STOP SYS INC | 120,000 | $232K | 0.2% | $3.59 | -20.9% | COM | 68247W109 |
| XLC | SELECT SECTOR SPDR TR | 5,388 | $221K | 0.2% | $41.02 | — | COMMUNICATION | 81369Y852 |
| — | MILLENDO THERAPEUTICS INC | 25,951 | $206K | 0.2% | $7.94 | — | COM | 60040X103 |
| — | INSMED INC | 95,500 | $206K | 0.2% | — | — | Put | 457669957 |
| — | RIGEL PHARMACEUTICALS INC | 87,400 | $200K | 0.2% | $2.39 | — | COM NEW | 766559603 |
| AGX | ARGAN INC | 5,211 | $197K | 0.1% | $34.78 | 0.0% | COM | 04010E109 |
| — | VIVUS INC | 50,292 | $111K | 0.1% | $2.21 | — | NOTE 4.500% 5/0 | 928551100 |
| — | ACHIEVE LIFE SCIENCE INC | 89,632 | $108K | 0.1% | $1.90 | — | COM NEW | 004468203 |
| XLU | SELECT SECTOR SPDR TR | 2,042 | $107K | 0.1% | $52.38 | — | SBI INT-UTILS | 81369Y886 |
| — | CAESARS ENTMT CORP | 73,800 | $99,000 | 0.1% | — | — | Put | 127686953 |
| AXSM | AXSOME THERAPEUTICS INC | 34,448 | $96,000 | 0.1% | $2.96 | +11.0% | COM | 05464T104 |
| XLRE | SELECT SECTOR SPDR TR | 2,948 | $91,000 | 0.1% | $32.29 | — | RL EST SEL SEC | 81369Y860 |
| — | IMMUNOMEDICS INC | 157,100 | $88,000 | 0.1% | — | — | Put | 452907958 |
| — | NANOVIBRONIX INC | 20,000 | $72,000 | 0.1% | $4.60 | — | COM | 63008J108 |
| ENTX | ENTERA BIO LTD | 26,947 | $53,000 | 0.0% | $5.25 | -4.1% | SHS | M40527109 |
| — | FOAMIX PHARMACEUTICALS LTD | 13,500 | $48,000 | 0.0% | $3.56 | — | SHS | M46135105 |
| — | IEC ELECTRS CORP NEW | 8,800 | $48,000 | 0.0% | $5.45 | — | COM | 44949L105 |
| — | PDVWIRELESS INC | 1,128 | $42,000 | 0.0% | $37.23 | — | COM | 69290R104 |
| XLE | SELECT SECTOR SPDR TR | 705 | $39,000 | 0.0% | $75.67 | — | ENERGY | 81369Y506 |
| — | WEATHERFORD INTL PLC | 39,500 | $38,000 | 0.0% | — | — | Put | G48833950 |
| — | WIRELESS TELECOM GROUP INC | 18,099 | $32,000 | 0.0% | $1.83 | — | COM | 976524108 |
| — | ACTINIUM PHARMACEUTICALS INC | 59,056 | $22,000 | 0.0% | $0.37 | — | COM | 00507W107 |
| — | KBR INC | 44,100 | $20,000 | 0.0% | — | — | Put | 48242W956 |
| — | CONATUS PHARMACEUTICALS INC | 40,000 | $13,000 | 0.0% | — | — | Call | 20600T908 |
| — | APHRIA INC | 2,309 | $12,000 | 0.0% | $5.20 | — | COM | 03765K104 |
| — | SANOFI | 27,035 | $12,000 | 0.0% | $0.52 | — | RIGHT 12/31/2020 | 80105N113 |
| — | WEATHERFORD INTL PLC | 17,000 | $9,000 | 0.0% | $0.53 | — | ORD SHS | G48833100 |
| — | PAIN THERAPEUTICS INC | 8,178 | $6,000 | 0.0% | $0.73 | — | COM NEW | 69562K506 |
| — | PUMA BIOTECHNOLOGY INC | 20,000 | $5,000 | 0.0% | — | — | Call | 74587V907 |
| — | INTERCEPT PHARMACEUTICALS IN | 700 | $4,000 | 0.0% | — | — | Call | 45845P958 |
| — | INTRA CELLULAR THERAPIES INC | 101,100 | $2,000 | 0.0% | — | — | Call | 46116X901 |
| SPY | SPDR S&P 500 ETF TR | 1 | $0 | 0.0% | — | — | TR UNIT | 78462F103 |
| — | PANDORA MEDIA INC | 300 | $0 | 0.0% | — | — | Put | 698354957 |
| — | QUALCOMM INC | 100 | $0 | 0.0% | — | — | Call | 747525903 |
| — | WEATHERFORD INTL PLC | 14,700 | $0 | 0.0% | — | — | Call | G48833900 |
| — | SPDR S&P 500 ETF TR | 13,500 | $0 | 0.0% | — | — | Put | 78462F953 |