CIK: 0001696778 · Show all filings
Period: Q4 2019 (← Previous) (Next →)
Filing Date: Feb 14, 2020
Total Value ($000): $204,174 (21.5% shares, 78.5% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | SQURE 0.375 03/01/22 CVT | 10,698,000 | $29,396 | 14.4% | $2.99 | — | NOTE 0.375% 3/0 | 852234AB9 |
| — | FWONA 1.375 10/15/23 CVT | 20,812,000 | $28,031 | 13.7% | $1.33 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | CZR 5.000 10/01/24 CVT | 10,121,080 | $19,510 | 9.6% | $1.51 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | WWE 3.375 12/15/23 CVT | 5,844,000 | $15,741 | 7.7% | $2.69 | — | NOTE 3.375%12/1 | 98156QAB4 |
| — | ANTMX 2.750 10/15/42 CVT | 3,500,000 | $14,754 | 7.2% | $3.89 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | NICE 1.250 01/15/24 CVT | 4,207,000 | $8,050 | 3.9% | $1.71 | — | NOTE 1.250% 1/1 | 65366HAB9 |
| — | WDAY 1.500 07/15/20 CVT | 3,742,000 | $7,568 | 3.7% | $2.47 | — | NOTE 1.500% 7/1 | 98138HAD3 |
| — | RTRX 2.500 09/15/25 CVT | 9,381,000 | $7,426 | 3.6% | $0.92 | — | NOTE 2.500% 9/1 | 761299AB2 |
| — | TSLA 2.000 05/15/24 CVT | 4,500,000 | $6,810 | 3.3% | $1.16 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| — | HUBS 0.250 06/01/22 CVT | 3,500,000 | $6,072 | 3.0% | $1.73 | — | NOTE 0.250% 6/0 | 443573AB6 |
| — | W 1.125 11/01/24 CVT | 4,514,000 | $4,704 | 2.3% | $1.04 | — | NOTE 1.125%11/0 | 94419LAD3 |
| — | NUVA 2.250 03/15/21 CVT | 2,760,000 | $3,683 | 1.8% | $1.33 | — | NOTE 2.250% 3/1 | 670704AG0 |
| — | WMGI 2.250 11/15/21 CVT | 2,500,000 | $3,637 | 1.8% | $1.34 | — | NOTE 2.250%11/1 | 98236JAB4 |
| — | CLF 1.500 01/15/25 CVT | 2,825,000 | $3,387 | 1.7% | $1.10 | — | DBCV 1.500% 1/1 | 185899AA9 |
| TDOC | TELADOC HEALTH ORD | 38,800 | $3,248 | 1.6% | $67.88 | +12.1% | Common Stock | 87918A105 |
| — | ACAD Jan0 26.0 C | 180,600 | $3,124 | 1.5% | $17.30 | — | Call | 004225908 |
| ON | ON SEMICONDUCTOR ORD | 79,800 | $1,945 | 1.0% | $20.06 | +5.3% | Common Stock | 682189105 |
| BMRN | BIOMARIN PHARMACEUTICAL ORD | 23,000 | $1,945 | 1.0% | $93.44 | -19.2% | Common Stock | 09061G101 |
| NTNX | NUTANIX CL A ORD | 55,650 | $1,740 | 0.9% | $24.81 | +19.0% | CL A | 67059N108 |
| — | BKNG 0.350 06/15/20 CVT | 1,000,000 | $1,561 | 0.8% | $1.49 | — | NOTE 0.350% 6/1 | 741503AS5 |
| SAVA | CASSAVA SCIENCES ORD | 232,442 | $1,488 | 0.7% | $1.17 | +47.5% | Common Stock | 14817C107 |
| ASPN | ASPEN AEROGELS ORD | 173,509 | $1,346 | 0.7% | $4.54 | +52.1% | Common Stock | 04523Y105 |
| IWM | ISHARES RUSSELL 2000 ETF | 8,114 | $1,344 | 0.7% | $137.72 | — | RUSSELL 2000 ETF | 464287655 |
| AIRG | AIRGAIN ORD | 94,436 | $1,010 | 0.5% | $11.41 | -8.0% | Common Stock | 00938A104 |
| ARLO | ARLO TECHNOLOGIES ORD | 232,761 | $980 | 0.5% | $3.44 | 0.0% | Common Stock | 04206A101 |
| — | CONTRAFECT ORD | 1,546,091 | $960 | 0.5% | $0.62 | — | Common Stock | 212326102 |
| KN | KNOWLES ORD | 45,376 | $959 | 0.5% | $15.98 | +34.4% | Common Stock | 49926D109 |
| XLV | SELECT SECTOR HEALTH CARE SPDR ETF | 8,758 | $892 | 0.4% | $86.18 | — | SBI HEALTHCARE | 81369Y209 |
| — | SONIM TECHNOLOGIES ORD | 242,176 | $879 | 0.4% | $3.23 | — | Common Stock | 83548F101 |
| CLFD | CLEARFIELD ORD | 62,760 | $875 | 0.4% | $13.16 | -1.8% | Common Stock | 18482P103 |
| — | DSP GROUP ORD | 53,575 | $843 | 0.4% | $13.84 | — | Common Stock | 23332B106 |
| — | BIODELIVERY SCIENCE INTERNATIONL ORD | 133,050 | $841 | 0.4% | $4.21 | — | Common Stock | 09060J106 |
| — | PIXELWORKS ORD | 214,387 | $840 | 0.4% | $4.53 | — | New Common Stock | 72581M305 |
| ORGO | ORGANOGENESIS HOLDINGS CL A ORD | 168,000 | $808 | 0.4% | $6.34 | 0.0% | Common Stock | 68621F102 |
| — | ALIMERA SCIENCES ORD | 99,333 | $753 | 0.4% | $7.58 | — | New Common Stock | 016259202 |
| — | SCPHARMACEUTICALS ORD | 124,505 | $704 | 0.3% | $5.65 | — | Common Stock | 810648105 |
| — | ALLENA PHARMACEUTICALS ORD | 244,186 | $667 | 0.3% | $2.73 | — | Common Stock | 018119107 |
| MIRM | MIRUM PHARMACEUTICALS ORD | 27,148 | $666 | 0.3% | $10.66 | 0.0% | Common Stock | 604749101 |
| APPS | DIGITAL TURBINE ORD | 91,431 | $652 | 0.3% | $1.58 | +371.1% | New Common Stock | 25400W102 |
| — | CASA SYSTEMS ORD | 157,500 | $644 | 0.3% | $4.09 | — | Common Stock | 14713L102 |
| AGX | ARGAN ORD | 10,269 | $634 | 0.3% | $34.53 | -6.2% | Common Stock | 04010E109 |
| VGT | VANGUARD INFORMATION TECHNOLOGY ETF | 2,506 | $614 | 0.3% | $161.02 | — | INF TECH ETF | 92204A702 |
| — | ZAFGEN ORD | 542,374 | $602 | 0.3% | $1.02 | — | Common Stock | 98885E103 |
| DMAC | DIAMEDICA THERAPEUTI ORD | 122,156 | $593 | 0.3% | $5.43 | -42.7% | New Common Stock | 25253X207 |
| — | NAUTILUS GROUP ORD | 335,997 | $588 | 0.3% | $1.75 | — | Common Stock | 63910B102 |
| XBI | SPDR S&P BIOTECH ETF | 6,072 | $578 | 0.3% | $73.38 | — | S&P BIOTECH | 78464A870 |
| — | SEACHANGE INTERNATIONAL ORD | 137,798 | $577 | 0.3% | $2.88 | — | Common Stock | 811699107 |
| XLY | SPDR FUND CONSUMER DISCRE SELECT ETF | 4,541 | $570 | 0.3% | $101.48 | — | SBI CONS DISCR | 81369Y407 |
| AQST | AQUESTIVE THERAPEUTICS ORD | 94,500 | $550 | 0.3% | $5.20 | 0.0% | Common Stock | 03843E104 |
| ATEN | A10 NETWORKS ORD | 75,790 | $521 | 0.3% | $6.55 | -4.0% | Common Stock | 002121101 |
| — | SYNCHRONOSS TECHNOLOGIES ORD | 102,390 | $486 | 0.2% | $4.75 | — | Common Stock | 87157B103 |
| DHX | DHI GROUP ORD | 160,489 | $483 | 0.2% | $3.50 | -3.0% | Common Stock | 23331S100 |
| DOMO | DOMO CL B ORD | 22,017 | $478 | 0.2% | $18.47 | 0.0% | Class B Common Stock | 257554105 |
| — | TECHTARGET ORD | 18,137 | $473 | 0.2% | $23.42 | — | Common Stock | 87874R100 |
| RFIL | RF INDUSTRIES ORD | 65,372 | $442 | 0.2% | $7.37 | -16.3% | COM PAR $0.01 | 749552105 |
| — | ORION ENERGY SYSTEMS ORD | 123,925 | $416 | 0.2% | $2.97 | — | Common Stock | 686275108 |
| — | MRI INTERVENTIONS ORD | 86,725 | $416 | 0.2% | $4.80 | — | New Common Stock | 55347P209 |
| VUZI | VUZIX ORD | 182,600 | $367 | 0.2% | $6.08 | -62.8% | New Common Stock | 92921W300 |
| — | QUMU ORD | 133,359 | $348 | 0.2% | $3.62 | — | Common Stock | 749063103 |
| BKNG | BOOKING HOLDINGS ORD | 153 | $314 | 0.2% | $1755.46 | +10.0% | Common Stock | 09857L108 |
| XLI | SELECT SECTOR INDUSTRIAL SPDR ETF | 3,736 | $304 | 0.1% | $67.17 | — | SBI INT-INDS | 81369Y704 |
| — | BOINGO WIRELESS ORD | 27,510 | $301 | 0.1% | $11.10 | — | Common Stock | 09739C102 |
| — | BIOLASE ORD | 525,000 | $290 | 0.1% | $0.55 | — | New Common Stock | 090911207 |
| XLF | SELECT STR FINANCIAL SELECT SPDR ETF | 9,203 | $283 | 0.1% | $24.64 | — | SBI INT-FINL | 81369Y605 |
| — | NUTANIX INC | 32,400 | $259 | 0.1% | — | — | Call | 67059N908 |
| XPH | SPDR S&P PHARMACEUTICALS ETF | 5,511 | $252 | 0.1% | $19.88 | — | S&P PHARMAC | 78464A722 |
| — | APTEVO THERAPEUTICS ORD | 375,669 | $246 | 0.1% | $0.90 | — | Common Stock | 03835L108 |
| — | FARO TECHNOLOGIES ORD | 4,714 | $237 | 0.1% | $50.28 | — | Common Stock | 311642102 |
| XLP | SPDR FUND CONSUMER STAPLES ETF | 3,683 | $232 | 0.1% | $51.70 | — | SBI CONS STPLS | 81369Y308 |
| — | ATEX Feb0 45.0 C | 24,700 | $210 | 0.1% | — | — | Call | 03676C900 |
| — | CHIASMA ORD | 40,961 | $204 | 0.1% | $4.94 | — | Common Stock | 16706W102 |
| — | CHKP Jan1 100.0P | 22,500 | $126 | 0.1% | — | — | Put | M22465954 |
| — | LA JOLLA PHARMACEUTICAL ORD | 31,498 | $124 | 0.1% | $7.75 | — | COM PAR $.0001 2 | 503459604 |
| — | APPLIED DNA SCIENCES ORD | 29,400 | $123 | 0.1% | $4.18 | — | Common Stock | 03815U300 |
| — | BIOMARIN PHARMACEUTICAL INC | 22,000 | $117 | 0.1% | — | — | Call | 09061G951 |
| — | X Jan2 5.0 P | 146,000 | $95 | 0.0% | — | — | Put | 912909958 |
| — | ENTERA BIO EQY WARRANT | 279,819 | $53 | 0.0% | $0.23 | — | *W EXP 06/27/202 | M40527117 |
| — | NANOVIBRONIX ORD | 16,756 | $47 | 0.0% | $4.60 | — | Common Stock | 63008J108 |
| — | CVM Jan0 5.0 P | 76,600 | $36 | 0.0% | — | — | Put | 150837957 |
| — | RIGEL PHARMACEUTICALS ORD | 12,664 | $27 | 0.0% | $2.21 | — | New Common Stock | 766559603 |
| — | BIOMARIN PHARMACEUTICAL INC | 41,000 | $23 | 0.0% | — | — | Put | 09061G951 |
| — | W Jan0 80.0 P | 8,600 | $13 | 0.0% | — | — | Put | 94419L951 |
| — | RTRX Mar0 7.5 P | 21,500 | $13 | 0.0% | — | — | Put | 761299956 |
| — | MDCO Jan0 10.0 P | 443,400 | $12 | 0.0% | — | — | Put | 584688955 |
| — | CLF Apr0 6.0 P | 85,900 | $8 | 0.0% | — | — | Put | 185899951 |
| — | MDCO Jan0 40.0 C | 100 | $4 | 0.0% | — | — | Call | 584688905 |
| — | AXGT Jan0 7.0 C | 27,700 | $2 | 0.0% | — | — | Call | G0750W903 |
| — | SRPT Jun0 50.0 P | 1,500 | $0 | 0.0% | — | — | Put | 803607950 |