Location: Fort Lee, NJ
CIK: 0001696778 · Show all filings
Period: Q2 2019 (← Previous) (Next →)
Filing Date: Aug 14, 2019
Total Value: $181M (25.1% shares, 74.9% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | 10,163,000 | $32.25M | 17.9% | $3.01 | — | NOTE 0.375% 3/0 | 852234AB9 |
| — | AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | 6,380,000 | $24.72M | 13.7% | $3.82 | — | NOTE 2.125% 9/0 | 007903BD8 |
| — | CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | 7,829,000 | $13.55M | 7.5% | $1.40 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | 5,930,000 | $13.21M | 7.3% | $1.81 | — | DBCV 1.500%11/1 | 803607AB6 |
| — | ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | 2,578,000 | $10.1M | 5.6% | $3.92 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | 3,610,000 | $9.113M | 5.0% | $2.52 | — | NOTE 1.500% 7/1 | 98138HAD3 |
| — | RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | 9,056,000 | $8.177M | 4.5% | $0.93 | — | NOTE 2.500% 9/1 | 761299AB2 |
| — | NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | 4,561,000 | $7.766M | 4.3% | $1.70 | — | NOTE 1.250% 1/1 | 65366HAB9 |
| — | MDCO 2.750 07/15/23 CVT CONVERTIBLE 2.750 15 Jul 23 | 5,650,000 | $5.661M | 3.1% | $0.85 | — | NOTE 2.750% 7/1 | 584688AG0 |
| — | WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | 3,312,000 | $4.915M | 2.7% | $1.40 | — | NOTE 2.250%11/1 | 98236JAB4 |
| — | TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 | 3,000,000 | $2.944M | 1.6% | $0.98 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| — | COHERENT ORD | 18,524 | $2.527M | 1.4% | $136.42 | — | COM | 192479103 |
| — | AVID TECHNOLOGY INC | 257,689 | $2.351M | 1.3% | $7.48 | — | NOTE 2.000% 6/1 | 05367P100 |
| BMRN | BIOMARIN PHARMACEUTICAL INC | 27,300 | $2.339M | 1.3% | $93.44 | -8.5% | COM | 09061G101 |
| — | AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 | 30,000 | $1.98M | 1.1% | $66.00 | — | 6.25 PFD CNV SR | 05352A209 |
| — | DASAN ZHONE SOLUTION ORD | 151,074 | $1.963M | 1.1% | $12.99 | — | COM | 23305L206 |
| IWM | ISHARES RUSSELL 2000 ETF | 11,414 | $1.775M | 1.0% | $137.72 | — | RUSSELL 2000 ETF | 464287655 |
| BKNG | BOOKING HOLDINGS ORD | 913 | $1.712M | 0.9% | $1755.46 | +0.7% | COM | 09857L108 |
| — | Liberty Media 1.375 10/15/23 CVT CONVERTIBLE 1.375 15 Oct 23 | 1,500,000 | $1.688M | 0.9% | $1.13 | — | NOTE 1.375%10/1 | 531229AB8 |
| ASPN | ASPEN AEROGELS INC | 207,809 | $1.481M | 0.8% | $4.54 | 0.0% | COM | 04523Y105 |
| XLV | HEALTH CARE SELECT SECTOR HEDGEFUND | 15,725 | $1.456M | 0.8% | $80.74 | — | SBI HEALTHCARE | 81369Y209 |
| — | HZNP 2.500 03/15/22 CVT CONVERTIBLE 2.500 15 Mar 22 | 1,103,000 | $1.227M | 0.7% | $1.09 | — | NOTE 2.500% 3/1 | 44052TAB7 |
| MX | MAGNACHIP SEMICONDUCT | 116,000 | $1.201M | 0.7% | $9.36 | -2.4% | COM | 55933J203 |
| SILC | SILICOM LTD | 35,619 | $1.157M | 0.6% | $35.89 | -8.1% | ORD | M84116108 |
| MU | MICRON TECHNOLOGY INC | 28,600 | $1.104M | 0.6% | $37.18 | 0.0% | COM | 595112103 |
| — | LIQTECH INTERNATIONAL ORD | 98,339 | $975K | 0.5% | $9.91 | — | COM | 53632A201 |
| KN | KNOWLES CORP | 50,809 | $930K | 0.5% | $15.22 | +15.9% | COM | 49926D109 |
| VUZI | VUZIX CORP | 218,600 | $895K | 0.5% | $6.08 | -53.0% | COM NEW | 92921W300 |
| — | PROGENICS PHARMACEUTICALS | 138,357 | $853K | 0.5% | $4.61 | — | COM | 743187106 |
| AIRG | AIRGAIN ORD | 59,972 | $849K | 0.5% | $11.93 | +21.0% | COM | 00938A104 |
| XBI | SPDR S&P BIOTECH ETF HEDGEFUND | 9,191 | $806K | 0.4% | $72.69 | — | S&P BIOTECH | 78464A870 |
| APPS | DIGITAL TURBINE INC | 157,949 | $790K | 0.4% | $1.58 | +154.8% | COM | 25400W102 |
| XLY | Consumer Discretionary Select Sector SPDR Fund HEDGEFUND | 6,543 | $779K | 0.4% | $98.97 | — | SBI CONS DISCR | 81369Y407 |
| ALLT | ALLOT COMMUNICATIONS LTD | 104,725 | $755K | 0.4% | $6.40 | +15.9% | SHS | M0854Q105 |
| CALX | CALIX INC | 112,384 | $737K | 0.4% | $6.75 | 0.0% | COM | 13100M509 |
| — | MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | 431,100 | $722K | 0.4% | — | — | Put | 584688955 |
| XLI | INDUSTRIAL SELECT SECT SPDR HEDGEFUND | 9,114 | $706K | 0.4% | $67.17 | — | SBI INT-INDS | 81369Y704 |
| — | PIXELWORKS INC | 233,880 | $690K | 0.4% | $4.53 | — | COM NEW | 72581M305 |
| — | DERMIRA INC | 71,372 | $683K | 0.4% | $12.02 | — | COM | 24983L104 |
| VGT | VANGUARD INFORMATION TECHNOLOGY ETF | 3,225 | $680K | 0.4% | $150.19 | — | INF TECH ETF | 92204A702 |
| DMAC | DIAMEDICA THERAPEUTI ORD | 132,514 | $657K | 0.4% | $5.59 | -38.1% | COM | 25253X207 |
| — | QUICKLOGIC CORP | 1,131,341 | $651K | 0.4% | $0.60 | — | COM | 74837P108 |
| RFIL | RF INDUSTRIES ORD | 76,572 | $646K | 0.4% | $7.37 | -0.6% | COM PAR $0.01 | 749552105 |
| — | RIGEL PHARMACEUTICALS INC | 227,943 | $595K | 0.3% | $2.24 | — | COM NEW | 766559603 |
| CLFD | CLEARFIELD INC | 44,498 | $590K | 0.3% | $13.38 | +5.9% | COM | 18482P103 |
| — | ADAMAS PHARMACEUTICALS INC | 87,908 | $545K | 0.3% | $6.82 | — | COM | 00548A106 |
| DHX | DHI GROUP INC | 136,810 | $488K | 0.3% | $3.47 | 0.0% | COM | 23331S100 |
| — | NEWLINK GENETICS CORP | 326,507 | $483K | 0.3% | $1.82 | — | COM | 651511107 |
| — | ORION ENERGY SYSTEMS INC | 154,994 | $460K | 0.3% | $2.97 | — | COM | 686275108 |
| — | DSP GROUP INC | 30,721 | $441K | 0.2% | $13.25 | — | COM | 23332B106 |
| — | QUMU ORD | 104,359 | $433K | 0.2% | $4.15 | — | COM | 749063103 |
| XLF | FINANCIAL SELECT SECTOR SPDR HEDGEFUND | 15,030 | $414K | 0.2% | $24.64 | — | SBI INT-FINL | 81369Y605 |
| — | APTEVO THERAPEUTICS INC | 447,669 | $397K | 0.2% | $0.90 | — | COM | 03835L108 |
| SAVA | CASSAVA SCIENCES ORD | 296,623 | $359K | 0.2% | $1.15 | -1.1% | COM | 14817C107 |
| XLP | Consumer Staples Select Sector SPDR Fund HEDGEFUND | 5,450 | $317K | 0.2% | $50.56 | — | SBI CONS STPLS | 81369Y308 |
| — | ZAFGEN INC | 265,553 | $316K | 0.2% | $1.19 | — | COM | 98885E103 |
| — | RTRX Sep9 12.5 P 20 Sep 19 12.50 PUT | 185,800 | $289K | 0.2% | — | — | Put | 761299956 |
| XPH | SPDR S&P PHARMACEUTICALS ETF | 7,011 | $279K | 0.2% | $19.88 | — | S&P PHARMAC | 78464A722 |
| — | AQUA METALS INC | 162,800 | $272K | 0.2% | $1.67 | — | COM | 03837J101 |
| — | INTEVAC ORD | 55,964 | $271K | 0.2% | $5.12 | — | COM | 461148108 |
| — | IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT | 50,000 | $259K | 0.1% | — | — | Put | 464287955 |
| — | NANO DIMENSION ADR | 524,663 | $252K | 0.1% | $0.33 | — | SPONS ADR | 63008G104 |
| — | APOLLO ENDOSURGERY ORD | 87,257 | $249K | 0.1% | $3.16 | — | COM | 22026V105 |
| AGX | ARGAN ORD | 3,343 | $232K | 0.1% | $38.99 | 0.0% | COM | 04010E109 |
| — | TECHTARGET | 10,490 | $223K | 0.1% | $21.26 | — | COM | 87874R100 |
| — | BIONANO GENOMICS ORD | 87,513 | $215K | 0.1% | $5.26 | — | COM | 09075F107 |
| — | LA JOLLA PHARMACEUTICAL CO | 22,000 | $204K | 0.1% | $6.43 | — | COM PAR $.0001 2 | 503459604 |
| — | IZEA WORLDWIDE ORD | 377,080 | $193K | 0.1% | $0.51 | — | COM | 46604H105 |
| — | DURECT ORD | 264,117 | $172K | 0.1% | $0.65 | — | COM | 266605104 |
| — | XLNX Jan0 140.0C 17 Jan 20 140.00 CALL | 30,000 | $169K | 0.1% | — | — | Call | 983919901 |
| — | ACHIEVE LIFE SCIENCES ORD | 71,786 | $139K | 0.1% | $2.27 | — | COM | 004468203 |
| — | PDVWIRELESS INC | 2,257 | $107K | 0.1% | $36.13 | — | COM | 69290R104 |
| — | SRDX Aug9 45.0 C 16 Aug 19 45.00 CALL | 23,300 | $106K | 0.1% | — | — | Call | 868873900 |
| XLC | Communication Services Select Sector SPDR Fund | 2,064 | $102K | 0.1% | $49.42 | — | COMMUNICATION | 81369Y852 |
| — | ONCOSEC MEDICAL ORD | 39,241 | $99,000 | 0.1% | $2.52 | — | COM | 68234L306 |
| — | ITCI Aug9 20.0 C 16 Aug 19 20.00 CALL | 51,200 | $99,000 | 0.1% | — | — | Call | 46116X901 |
| — | ICAD INC | 14,358 | $92,000 | 0.1% | $6.41 | — | COM | 44934S206 |
| XLB | MATERIALS SELECT SECTOR SPDR HEDGEFUND | 1,435 | $84,000 | 0.0% | $58.54 | — | SBI MATERIALS | 81369Y100 |
| XLU | UTILITIES SELECT SECTOR SPDR HEDGEFUND | 1,322 | $79,000 | 0.0% | $54.12 | — | SBI INT-UTILS | 81369Y886 |
| XLRE | REAL ESTATE SELECT SECT SPDR HEDGEFUND | 2,167 | $79,000 | 0.0% | $36.46 | — | RL EST SEL SEC | 81369Y860 |
| — | BIONANO GENOMICS EQY WARRANT WRNT 6.13 21 Sep 23 | 88,446 | $65,000 | 0.0% | $1.27 | — | *W EXP 08/21/202 | 09075F115 |
| — | NANOVIBRONIX ORD | 19,925 | $58,000 | 0.0% | $4.60 | — | COM | 63008J108 |
| — | FOAMIX PHARMACEUTICALS ORD | 23,627 | $56,000 | 0.0% | $3.05 | — | SHS | M46135105 |
| ENTX | ENTERA BIO ORD | 16,012 | $49,000 | 0.0% | $5.16 | -24.3% | SHS | M40527109 |
| — | BKNG Jan0 1500P 17 Jan 20 1500.00 PUT | 1,000 | $30,000 | 0.0% | — | — | Put | 09857L958 |
| XLE | ENERGY SELECT SECTOR SPDR HEDGEFUND | 321 | $20,000 | 0.0% | $62.31 | — | ENERGY | 81369Y506 |
| — | TDG Jul9 440.0 P 19 Jul 19 440.00 PUT | 7,485 | $19,000 | 0.0% | — | — | Put | 893641950 |
| — | SANOFI CONTINGENT VALUE RTS RIGHTS | 28,979 | $15,000 | 0.0% | $0.51 | — | RIGHT 12/31/2020 | 80105N113 |
| — | ENTERA BIO EQY WARRANT WRNT | 14,030 | $6,000 | 0.0% | $0.93 | — | *W EXP 06/27/202 | M40527117 |
| — | BMRN Aug9 70.0 P 16 Aug 19 70.00 PUT | 21,100 | $5,000 | 0.0% | — | — | Put | 09061G951 |
| — | AMGN 1Jl9 177.5P 05 Jul 19 177.50 PUT | 6,800 | $5,000 | 0.0% | — | — | Put | 031162950 |
| — | BMRN Jul9 95.0 C 19 Jul 19 95.00 CALL | 10,500 | $5,000 | 0.0% | — | — | Call | 09061G901 |
| — | ZGNX Jul9 35.0 P 19 Jul 19 35.00 PUT | 14,500 | $4,000 | 0.0% | — | — | Put | 98978L954 |
| — | ICPT Jan0 40.0 P 17 Jan 20 40.00 PUT | 700 | $1,000 | 0.0% | — | — | Call | 45845P958 |
| — | SURMODICS INC | 34 | $1,000 | 0.0% | $29.41 | — | COM | 868873100 |
| — | SVRA Jul9 12.5 C 19 Jul 19 12.50 CALL | 8,100 | $0 | 0.0% | — | — | Call | 805111901 |
| — | CNAT Jul9 5.0 C 19 Jul 19 5.00 CALL | 600 | $0 | 0.0% | — | — | Call | 20600T908 |
| — | CHK Jul9 4.0 C 19 Jul 19 4.00 CALL | 20,000 | $0 | 0.0% | — | — | Call | 165167907 |