CIK: 0001696778 · Show all filings
Period: Q3 2019 (← Previous) (Next →)
Filing Date: Nov 12, 2019
Total Value ($000): $175,377 (21.8% shares, 78.2% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | 10,698,000 | $29,140 | 16.6% | $2.99 | — | NOTE 0.375% 3/0 | 852234AB9 |
| — | AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | 7,150,000 | $26,765 | 15.3% | $3.82 | — | NOTE 2.125% 9/0 | 007903BD8 |
| — | CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | 8,523,080 | $14,744 | 8.4% | $1.43 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | 3,011,000 | $10,079 | 5.7% | $3.84 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | 5,207,000 | $9,305 | 5.3% | $1.71 | — | NOTE 1.250% 1/1 | 65366HAB9 |
| — | SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | 6,954,000 | $9,260 | 5.3% | $1.74 | — | DBCV 1.500%11/1 | 803607AB6 |
| — | WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | 4,128,000 | $8,626 | 4.9% | $2.47 | — | NOTE 1.500% 7/1 | 98138HAD3 |
| — | RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | 9,381,000 | $7,236 | 4.1% | $0.92 | — | NOTE 2.500% 9/1 | 761299AB2 |
| — | WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | 4,548,000 | $5,335 | 3.0% | $1.34 | — | NOTE 2.250%11/1 | 98236JAB4 |
| — | MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 | 3,111,000 | $4,731 | 2.7% | $1.52 | — | NOTE 2.500% 1/1 | 584688AE5 |
| — | CLF 1.500 01/15/25 CVT CONVERTIBLE 1.500 15 Jan 25 | 3,500,000 | $3,857 | 2.2% | $1.10 | — | DBCV 1.500% 1/1 | 185899AA9 |
| — | TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 | 3,000,000 | $3,058 | 1.7% | $0.98 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| ILMN | ILLUMINA INC | 7,200 | $2,190 | 1.2% | $294.76 | 0.0% | COM | 452327109 |
| TDOC | TELADOC INC | 31,000 | $2,099 | 1.2% | $65.81 | 0.0% | COM | 87918A105 |
| — | Liberty Media 1.375 10/15/23 CVT CONVERTIBLE 1.375 15 Oct 23 | 1,500,000 | $1,793 | 1.0% | $1.13 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | TWLO 0.250 06/01/23 CVT CONVERTIBLE 0.250 01 Jun 23 | 1,000,000 | $1,673 | 1.0% | $1.67 | — | NOTE 0.250% 6/0 | 90138FAB8 |
| — | AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 | 30,000 | $1,603 | 0.9% | $66.00 | — | 6.25 PFD CNV SR | 05352A209 |
| BMRN | BIOMARIN PHARMACEUTICAL INC | 22,800 | $1,536 | 0.9% | $93.44 | -17.6% | COM | 09061G101 |
| — | PCLN 0.350 06/15/20 CVT CONVERTIBLE 0.350 15 Jun 20 | 1,000,000 | $1,489 | 0.8% | $1.49 | — | NOTE 0.350% 6/1 | 741503AS5 |
| SILC | SILICOM LTD | 41,542 | $1,313 | 0.7% | $35.23 | -11.3% | ORD | M84116108 |
| IWM | ISHARES RUSSELL 2000 ETF | 8,114 | $1,228 | 0.7% | $137.72 | — | RUSSELL 2000 ETF | 464287655 |
| NTNX | NUTANIX INC - A | 44,100 | $1,158 | 0.7% | $23.57 | 0.0% | CL A | 67059N108 |
| — | BOINGO WIRELESS INC | 99,884 | $1,109 | 0.6% | $11.10 | — | COM | 09739C102 |
| — | SEACHANGE INTERNATIONAL INC | 381,972 | $1,100 | 0.6% | $2.88 | — | COM | 811699107 |
| ASPN | ASPEN AEROGELS INC | 173,509 | $1,028 | 0.6% | $4.54 | +40.1% | COM | 04523Y105 |
| — | SMITH MICRO SOFTWARE ORD | 178,680 | $971 | 0.6% | $5.43 | — | COM NEW | 832154207 |
| — | AVID TECHNOLOGY INC | 145,288 | $899 | 0.5% | $7.48 | — | COM | 05367P100 |
| — | LIQTECH INTERNATIONAL ORD | 112,339 | $887 | 0.5% | $9.66 | — | COM | 53632A201 |
| — | PIXELWORKS INC | 233,880 | $865 | 0.5% | $4.53 | — | COM NEW | 72581M305 |
| ON | ON SEMICONDUCTOR ORD | 44,900 | $863 | 0.5% | $19.23 | 0.0% | COM | 682189105 |
| ALLT | ALLOT COMMUNICATIONS LTD | 104,725 | $844 | 0.5% | $6.40 | +19.0% | SHS | M0854Q105 |
| KN | KNOWLES CORP | 39,862 | $811 | 0.5% | $15.22 | +28.9% | COM | 49926D109 |
| AIRG | AIRGAIN ORD | 60,188 | $707 | 0.4% | $11.93 | +4.3% | COM | 00938A104 |
| APPS | DIGITAL TURBINE INC | 106,835 | $689 | 0.4% | $1.58 | +293.2% | COM NEW | 25400W102 |
| — | FLEXION THERAPEUTICS INC | 49,350 | $676 | 0.4% | $13.70 | — | COM | 33938J106 |
| — | BIODELIVERY SCIENCES INTL | 158,028 | $666 | 0.4% | $4.21 | — | COM | 09060J106 |
| — | DSP GROUP INC | 45,975 | $648 | 0.4% | $13.53 | — | COM | 23332B106 |
| CLFD | CLEARFIELD INC | 51,959 | $616 | 0.4% | $13.21 | -7.4% | COM | 18482P103 |
| DHX | DHI GROUP INC | 158,954 | $612 | 0.3% | $3.50 | +6.0% | COM | 23331S100 |
| XLV | HEALTH CARE SELECT SECTOR HEDGEFUND | 6,501 | $586 | 0.3% | $80.74 | — | SBI HEALTHCARE | 81369Y209 |
| — | CHIASMA ORD | 103,227 | $510 | 0.3% | $4.94 | — | COM | 16706W102 |
| — | IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT | 100,000 | $504 | 0.3% | — | — | Put | 464287955 |
| XLY | Consumer Discretionary Select Sector SPDR Fund HEDGEFUND | 4,112 | $496 | 0.3% | $98.97 | — | SBI CONS DISCR | 81369Y407 |
| VGT | VANGUARD INFORMATION TECHNOLOGY ETF | 2,220 | $478 | 0.3% | $150.19 | — | INF TECH ETF | 92204A702 |
| — | RIGEL PHARMACEUTICALS INC | 250,693 | $469 | 0.3% | $2.21 | — | COM NEW | 766559603 |
| RFIL | RF INDUSTRIES ORD | 65,372 | $463 | 0.3% | $7.37 | +4.1% | COM PAR $0.01 | 749552105 |
| XBI | SPDR S&P BIOTECH ETF HEDGEFUND | 5,885 | $449 | 0.3% | $72.69 | — | S&P BIOTECH | 78464A870 |
| — | LA JOLLA PHARMACEUTICAL CO | 49,300 | $434 | 0.2% | $7.75 | — | COM PAR $.0001 2 | 503459604 |
| SAVA | CASSAVA SCIENCES ORD | 359,621 | $431 | 0.2% | $1.17 | +9.7% | COM | 14817C107 |
| NOK | NOKIA CORP-SPON ADR | 84,000 | $426 | 0.2% | $5.07 | — | SPONSORED ADR | 654902204 |
| — | NEWLINK GENETICS CORP | 263,670 | $419 | 0.2% | $1.82 | — | COM | 651511107 |
| VUZI | VUZIX CORP | 182,600 | $417 | 0.2% | $6.08 | -62.1% | COM NEW | 92921W300 |
| AKTSQ | AKOUSTIS TECHNOLOGIE ORD | 53,432 | $414 | 0.2% | $6.57 | 0.0% | COM | 00973N102 |
| — | SONIM TECHNOLOGIES ORD | 138,667 | $406 | 0.2% | $2.93 | — | COM | 83548F101 |
| — | ADAMAS PHARMACEUTICALS INC | 77,384 | $396 | 0.2% | $6.82 | — | COM | 00548A106 |
| — | ORION ENERGY SYSTEMS INC | 129,394 | $368 | 0.2% | $2.97 | — | COM | 686275108 |
| — | ZAFGEN INC | 458,447 | $338 | 0.2% | $1.00 | — | COM | 98885E103 |
| ATEN | A10 NETWORKS INC | 45,474 | $316 | 0.2% | $6.73 | 0.0% | COM | 002121101 |
| BKNG | BOOKING HOLDINGS ORD | 153 | $300 | 0.2% | $1755.46 | +8.5% | COM | 09857L108 |
| DMAC | DIAMEDICA THERAPEUTI ORD | 141,801 | $294 | 0.2% | $5.43 | -40.5% | COM NEW | 25253X207 |
| XLI | INDUSTRIAL SELECT SECT SPDR HEDGEFUND | 3,789 | $294 | 0.2% | $67.17 | — | SBI INT-INDS | 81369Y704 |
| — | QUMU ORD | 87,159 | $284 | 0.2% | $4.15 | — | COM | 749063103 |
| XLF | FINANCIAL SELECT SECTOR SPDR HEDGEFUND | 9,775 | $274 | 0.2% | $24.64 | — | SBI INT-FINL | 81369Y605 |
| AGX | ARGAN ORD | 3,343 | $240 | 0.1% | $38.99 | -13.3% | COM | 04010E109 |
| — | ALIMERA SCIENCES ORD | 419,155 | $237 | 0.1% | $0.57 | — | COM | 016259103 |
| — | TECHTARGET | 9,993 | $225 | 0.1% | $21.26 | — | COM | 87874R100 |
| XPH | SPDR S&P PHARMACEUTICALS ETF | 6,214 | $221 | 0.1% | $19.88 | — | S&P PHARMAC | 78464A722 |
| — | APTEVO THERAPEUTICS INC | 375,669 | $221 | 0.1% | $0.90 | — | COM | 03835L108 |
| XLP | Consumer Staples Select Sector SPDR Fund HEDGEFUND | 3,347 | $206 | 0.1% | $50.56 | — | SBI CONS STPLS | 81369Y308 |
| — | CORREVIO PHARMA ORD | 101,364 | $203 | 0.1% | $3.00 | — | COM | 22026V105 |
| — | AGILE THERAPEUTICS INC | 164,990 | $195 | 0.1% | $1.18 | — | COM | 00847L100 |
| — | NTNX Jan1 30.0 C 15 Jan 21 30.00 CALL | 32,400 | $188 | 0.1% | — | — | Call | 67059N908 |
| — | PROGENICS PHARMACEUTICALS | 32,956 | $167 | 0.1% | $4.61 | — | COM | 743187106 |
| — | NANO DIMENSION ADR | 395,036 | $159 | 0.1% | $0.33 | — | SPONS ADR | 63008G104 |
| — | APTOSE BIOSCIENCES ORD | 62,998 | $131 | 0.1% | $2.08 | — | COM | 03835T200 |
| — | MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | 461,700 | $123 | 0.1% | — | — | Put | 584688955 |
| — | ACAD Jan0 26.0 C 17 Jan 20 26.00 CALL | 12,000 | $113 | 0.1% | — | — | Call | 004225908 |
| — | ATEX Feb0 45.0 C 21 Feb 20 45.00 CALL | 14,000 | $91 | 0.1% | — | — | Call | 03676C900 |
| XLC | Communication Services Select Sector SPDR Fund | 1,594 | $79 | 0.0% | $49.42 | — | COMMUNICATION | 81369Y852 |
| — | BMRN Jan0 60.0 P 17 Jan 20 60.00 PUT | 27,000 | $78 | 0.0% | — | — | Put | 09061G951 |
| — | LOGM Dec9 75.0 C 20 Dec 19 75.00 CALL | 21,100 | $77 | 0.0% | — | — | Call | 54142L909 |
| — | FOAMIX PHARMACEUTICALS ORD | 23,627 | $72 | 0.0% | $3.05 | — | SHS | M46135105 |
| — | BIIB Nov9 250.0C 15 Nov 19 250.00 CALL | 13,900 | $65 | 0.0% | — | — | Call | 09062X903 |
| — | BIONANO GENOMICS ORD | 80,664 | $58 | 0.0% | $5.26 | — | COM | 09075F107 |
| — | NANOVIBRONIX ORD | 19,925 | $50 | 0.0% | $4.60 | — | COM | 63008J108 |
| ENTX | ENTERA BIO ORD | 16,454 | $39 | 0.0% | $5.10 | -43.0% | SHS | M40527109 |
| — | GOSS Oct9 17.5 P 18 Oct 19 17.50 PUT | 11,900 | $29 | 0.0% | — | — | Put | 38341P952 |
| — | RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT | 107,400 | $26 | 0.0% | — | — | Put | 761299956 |
| — | ACHIEVE LIFE SCIENCES ORD | 14,350 | $24 | 0.0% | $2.27 | — | COM | 004468203 |
| — | SPR Oct9 85.0 P 18 Oct 19 85.00 PUT | 22,900 | $14 | 0.0% | — | — | Put | 78462F953 |
| — | AXGT Jan0 8.0 C 17 Jan 20 8.00 CALL | 14,300 | $13 | 0.0% | — | — | Call | G0750W903 |
| — | CLF Jan0 7.0 P 17 Jan 20 7.00 PUT | 15,000 | $12 | 0.0% | — | — | Put | 185899951 |
| — | W Jan0 100.0 P 17 Jan 20 100.00 PUT | 1,400 | $11 | 0.0% | — | — | Put | 94419L951 |
| — | AVTR Feb0 12.5 P 21 Feb 20 12.50 PUT | 10,000 | $9 | 0.0% | — | — | Put | 05352A950 |
| — | ENTERA BIO EQY WARRANT WRNT | 14,606 | $7 | 0.0% | $0.91 | — | *W EXP 06/27/202 | M40527117 |
| — | TWLO Apr0 100.0P 17 Apr 20 100.00 PUT | 500 | $5 | 0.0% | — | — | Put | 90138F952 |
| — | ACAD Jan0 30.0 P 17 Jan 20 30.00 PUT | 1,700 | $4 | 0.0% | — | — | Put | 004225958 |
| — | BMRN Jan0 90.0 C 17 Jan 20 90.00 CALL | 6,000 | $4 | 0.0% | — | — | Call | 09061G901 |
| — | SPY 1Oc9 301.0 C 04 Oct 19 301.00 CALL | 11,300 | $4 | 0.0% | — | — | Call | 78462F903 |
| — | OESX 12/20/19 P3050 20 Dec 19 3050 PUT | 120 | $2 | 0.0% | — | — | Put | 686275958 |