CIK: 0001696778 · Show all filings
Period: Q1 2020 (← Previous) (Next →)
Filing Date: May 15, 2020
Total Value ($000): $162,444 (25.0% shares, 75.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | FWONA 1.375 10/15/23 CVT | 23,726,000 | $22,925 | 14.1% | $1.29 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | SE 2.250 07/01/23 CVT | 9,119,000 | $21,172 | 13.0% | $2.32 | — | NOTE 2.250% 7/0 | 81141RAB6 |
| — | TDOC 1.375 05/15/25 CVT | 5,700,000 | $16,703 | 10.3% | $2.93 | — | NOTE 1.375% 5/1 | 87918AAC9 |
| — | WWE 3.375 12/15/23 CVT | 7,179,000 | $11,065 | 6.8% | $2.48 | — | NOTE 3.375%12/1 | 98156QAB4 |
| — | TSLA 2.000 05/15/24 CVT | 4,760,000 | $8,741 | 5.4% | $1.20 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| — | ANTMX 2.750 10/15/42 CVT | 2,540,000 | $8,079 | 5.0% | $3.89 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | ON 1.000 12/01/20 CVT | 5,757,000 | $5,753 | 3.5% | $1.00 | — | NOTE 1.000%12/0 | 682189AK1 |
| — | KBR 2.500 11/01/23 CVT | 4,927,000 | $5,244 | 3.2% | $1.06 | — | NOTE 2.500%11/0 | 48242WAB2 |
| — | ICPT 2.000 05/15/26 CVT | 5,814,000 | $5,191 | 3.2% | $0.89 | — | NOTE 2.000% 5/1 | 45845PAB4 |
| — | WDAY 1.500 07/15/20 CVT | 2,605,000 | $4,157 | 2.6% | $2.47 | — | NOTE 1.500% 7/1 | 98138HAD3 |
| — | RTRX 2.500 09/15/25 CVT | 4,838,000 | $3,854 | 2.4% | $0.92 | — | NOTE 2.500% 9/1 | 761299AB2 |
| — | CLF 1.500 01/15/25 CVT | 4,275,000 | $3,070 | 1.9% | $0.97 | — | DBCV 1.500% 1/1 | 185899AA9 |
| — | CZR 5.000 10/01/24 CVT | 2,223,000 | $2,405 | 1.5% | $1.51 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | WMGI 2.250 11/15/21 CVT | 1,425,000 | $1,987 | 1.2% | $1.34 | — | NOTE 2.250%11/1 | 98236JAB4 |
| DBX | DROPBOX CL A ORD | 105,750 | $1,914 | 1.2% | $18.19 | 0.0% | CL A | 26210C104 |
| — | LIMELIGHT NETWORKS ORD | 325,000 | $1,852 | 1.1% | $5.70 | — | Common Stock | 53261M104 |
| — | NAUTILUS GROUP ORD | 620,344 | $1,619 | 1.0% | $2.14 | — | Common Stock | 63910B102 |
| — | SYNCHRONOSS TECHNOLOGIES ORD | 471,128 | $1,437 | 0.9% | $3.42 | — | Common Stock | 87157B103 |
| ASPN | ASPEN AEROGELS ORD | 208,144 | $1,278 | 0.8% | $5.13 | +58.1% | Common Stock | 04523Y105 |
| SILC | SILICOM ORD | 43,561 | $1,176 | 0.7% | $31.78 | 0.0% | ORD | M84116108 |
| NTNX | NUTANIX CL A ORD | 72,150 | $1,140 | 0.7% | $25.56 | +9.9% | Call | 67059N108 |
| — | CYBEROPTICS ORD | 62,700 | $1,073 | 0.7% | $17.11 | — | Common Stock | 232517102 |
| — | SCPHARMACEUTICALS ORD | 143,646 | $1,063 | 0.7% | $5.89 | — | Common Stock | 810648105 |
| — | ALLOT ORD | 109,082 | $1,031 | 0.6% | $9.45 | — | Put | M0854Q955 |
| AIRG | AIRGAIN ORD | 130,272 | $963 | 0.6% | $10.67 | -18.5% | Common Stock | 00938A104 |
| CPRX | CATALYST PHARMACEUTICALS ORD | 234,625 | $903 | 0.6% | $4.10 | 0.0% | Common Stock | 14888U101 |
| CLFD | CLEARFIELD ORD | 75,089 | $890 | 0.5% | $12.98 | -7.4% | Common Stock | 18482P103 |
| — | BOINGO WIRELESS ORD | 82,063 | $871 | 0.5% | $10.78 | — | Common Stock | 09739C102 |
| APPS | DIGITAL TURBINE ORD | 196,727 | $848 | 0.5% | $4.04 | +52.9% | New Common Stock | 25400W102 |
| IWM | ISHARES RUSSELL 2000 ETF | 7,389 | $846 | 0.5% | $137.72 | — | RUSSELL 2000 ETF | 464287655 |
| — | DSP GROUP ORD | 62,231 | $834 | 0.5% | $13.78 | — | Common Stock | 23332B106 |
| — | PIXELWORKS ORD | 280,443 | $799 | 0.5% | $4.13 | — | New Common Stock | 72581M305 |
| — | RP 1.500 11/15/22 CVT | 570,000 | $778 | 0.5% | $1.36 | — | NOTE 1.500%11/1 | 75606NAB5 |
| BMRN | BIOMARIN PHARMACEUTICAL ORD | 9,120 | $771 | 0.5% | $93.44 | -7.8% | Common Stock | 09061G101 |
| MIRM | MIRUM PHARMACEUTICALS ORD | 53,912 | $755 | 0.5% | $13.52 | +21.4% | Common Stock | 604749101 |
| — | ATEX Apr0 55.0 C | 118,700 | $706 | 0.4% | — | — | Call | 03676C900 |
| — | CATABASIS PHARMACEUTICALS ORD | 162,411 | $674 | 0.4% | $4.15 | — | New Common Stock | 14875P206 |
| XLV | SELECT SECTOR HEALTH CARE SPDR ETF | 7,224 | $640 | 0.4% | $86.18 | — | SBI HEALTHCARE | 81369Y209 |
| — | NIOX 4.500 02/01/24 CVT PUT | 1,140,000 | $630 | 0.4% | $0.55 | — | NOTE 4.500% 2/0 ADDED | 62914VAB2 |
| — | MELLANOX TECHNOLOGIES ORD | 5,049 | $613 | 0.4% | $121.41 | — | SHS | M51363113 |
| — | CATALYST BIOSCIENCES ORD | 129,166 | $564 | 0.3% | $4.37 | — | New Common Stock | 14888D208 |
| — | BIODELIVERY SCIENCE INTERNATIONL ORD | 145,550 | $551 | 0.3% | $4.18 | — | Common Stock | 09060J106 |
| — | ZAFGEN ORD | 713,621 | $550 | 0.3% | $0.96 | — | Common Stock | 98885E103 |
| XBI | SPDR S&P BIOTECH ETF | 7,044 | $545 | 0.3% | $73.93 | — | S&P BIOTECH | 78464A870 |
| — | RIGEL PHARMACEUTICALS ORD | 333,389 | $520 | 0.3% | $1.58 | — | New Common Stock | 766559603 |
| — | ALIMERA SCIENCES ORD | 127,333 | $509 | 0.3% | $6.79 | — | New Common Stock | 016259202 |
| AGX | ARGAN ORD | 10,327 | $496 | 0.3% | $34.53 | +1.8% | Common Stock | 04010E109 |
| ATEN | A10 NETWORKS ORD | 78,590 | $488 | 0.3% | $6.53 | -8.5% | Common Stock | 002121101 |
| — | SMITH MICRO SOFTWARE ORD | 114,592 | $483 | 0.3% | $4.21 | — | New Common Stock | 832154207 |
| VGT | VANGUARD INFORMATION TECHNOLOGY ETF | 2,272 | $481 | 0.3% | $161.02 | — | INF TECH ETF | 92204A702 |
| — | QUANTUM ORD | 158,914 | $468 | 0.3% | $2.94 | — | New Common Stock | 747906501 |
| — | ADAMAS PHARMACEUTICALS ORD | 157,142 | $454 | 0.3% | $2.89 | — | Common Stock | 00548A106 |
| — | TECHTARGET ORD | 21,908 | $452 | 0.3% | $22.94 | — | Common Stock | 87874R100 |
| — | AVDL Jun0 12.5 C | 267,500 | $447 | 0.3% | — | — | Call | 05337M904 |
| — | OPTINOSE ORD | 98,864 | $444 | 0.3% | $4.49 | — | Common Stock | 68404V100 |
| ANVS | ANNOVIS BIO ORD | 143,750 | $432 | 0.3% | $4.92 | 0.0% | Common Stock | 03615A108 |
| ORGO | ORGANOGENESIS HOLDINGS CL A ORD | 121,858 | $393 | 0.2% | $6.34 | -32.5% | Common Stock | 68621F102 |
| DHX | DHI GROUP ORD | 181,270 | $392 | 0.2% | $3.41 | -21.3% | Common Stock | 23331S100 |
| — | FARO TECHNOLOGIES ORD | 8,718 | $388 | 0.2% | $47.63 | — | Common Stock | 311642102 |
| — | LA JOLLA PHARMACEUTICAL ORD | 85,425 | $358 | 0.2% | $5.50 | — | COM PAR $.0001 2 | 503459604 |
| — | ROST Jan1 80.0 C | 19,500 | $356 | 0.2% | — | — | Call | 778296903 |
| XLY | SPDR FUND CONSUMER DISCRE SELECT ETF | 3,268 | $320 | 0.2% | $101.48 | — | SBI CONS DISCR | 81369Y407 |
| DMAC | DIAMEDICA THERAPEUTI ORD | 105,842 | $296 | 0.2% | $5.43 | -23.9% | New Common Stock | 25253X207 |
| CLPT | CLEARPOINT NEURO ORD | 80,911 | $290 | 0.2% | $4.91 | 0.0% | Common Stock | 18507C103 |
| XLF | SELECT STR FINANCIAL SELECT SPDR ETF | 13,920 | $290 | 0.2% | $23.35 | — | SBI INT-FINL | 81369Y605 |
| — | SPY 1Ap0 245.0 P | 124,500 | $284 | 0.2% | — | — | Put | 78462F953 |
| XLI | SELECT SECTOR INDUSTRIAL SPDR ETF | 4,604 | $272 | 0.2% | $65.64 | — | SBI INT-INDS | 81369Y704 |
| RFIL | RF INDUSTRIES ORD | 65,372 | $259 | 0.2% | $7.37 | -21.2% | COM PAR $0.01 | 749552105 |
| XPH | SPDR S&P PHARMACEUTICALS ETF | 6,577 | $237 | 0.1% | $22.50 | — | S&P PHARMAC | 78464A722 |
| — | NANOVIBRONIX ORD | 109,607 | $236 | 0.1% | $2.53 | — | Common Stock | 63008J108 |
| — | RESONANT ORD | 148,491 | $219 | 0.1% | $1.47 | — | Common Stock | 76118L102 |
| — | SONIM TECHNOLOGIES ORD | 311,415 | $218 | 0.1% | $2.67 | — | Common Stock | 83548F101 |
| — | X Jan2 3.0 P | 177,900 | $215 | 0.1% | — | — | Put | 912909958 |
| — | BIOLASE ORD | 563,949 | $212 | 0.1% | $0.54 | — | New Common Stock | 090911207 |
| — | ACOR Jul0 2.0 P | 100,200 | $208 | 0.1% | — | — | Put | 00484M956 |
| — | SALARIUS PHARMACEUTICALS ORD | 304,347 | $208 | 0.1% | $0.68 | — | New Common Stock | 79400X107 |
| MX | MAGNACHIP SEMICONDUCTR ORD | 18,236 | $201 | 0.1% | $12.13 | 0.0% | Common Stock | 55933J203 |
| SAVA | CASSAVA SCIENCES ORD | 48,535 | $200 | 0.1% | $1.17 | +465.6% | Common Stock | 14817C107 |
| DUOT | DUOS TECHNOLOGIES GROUP ORD | 34,639 | $164 | 0.1% | $6.05 | 0.0% | Common Stock | 266042407 |
| — | TRUECAR ORD | 67,050 | $163 | 0.1% | $2.43 | — | Common Stock | 89785L107 |
| — | SYK Jun0 150.0 P | 16,600 | $160 | 0.1% | — | — | Put | 863667951 |
| — | MR COOPER GROUP ORD | 20,750 | $152 | 0.1% | $7.33 | — | Common Stock | 62482R107 |
| — | SUNESIS PHARMACEUTICALS ORD | 362,330 | $150 | 0.1% | $0.41 | — | Common Stock | 867328700 |
| — | APTEVO THERAPEUTICS ORD | 35,350 | $131 | 0.1% | $3.71 | — | New Common Stock | 03835L207 |
| — | COOP Apr0 7.5 C | 119,500 | $120 | 0.1% | — | — | Call | 62482R907 |
| PDSB | PDS BIOTECHNOLOGY ORD | 162,000 | $118 | 0.1% | $1.73 | 0.0% | Common Stock | 70465T107 |
| — | RTRX Sep0 7.5 P | 71,800 | $106 | 0.1% | — | — | Put | 761299956 |
| — | AVDL Sep0 5.0 P | 58,800 | $103 | 0.1% | — | — | Put | 05337M954 |
| — | ALLENA PHARMACEUTICALS ORD | 102,794 | $99 | 0.1% | $2.73 | — | Common Stock | 018119107 |
| — | QUMU ORD | 46,896 | $78 | 0.0% | $3.62 | — | Common Stock | 749063103 |
| — | ICPT Sep0 25.0 P | 30,300 | $76 | 0.0% | — | — | Put | 45845P958 |
| — | NIO Apr0 1.5 P | 234,400 | $68 | 0.0% | — | — | Put | 62914V956 |
| IPWR | IDEAL POWER ORD | 33,525 | $65 | 0.0% | $2.31 | 0.0% | New Common Stock | 451622203 |
| — | CZR Jun0 4.0 P | 50,800 | $64 | 0.0% | — | — | Put | 127686953 |
| — | NTNX Jan1 30.0 C | 34,900 | $49 | 0.0% | — | — | Call | 67059N908 |
| NNDM | NANO DIMENSION 1 ADR REP 50 ORD | 51,104 | $48 | 0.0% | $0.94 | — | SPONSORD ADS NEW | 63008G203 |
| — | APLS Jul0 25.0 P | 11,700 | $47 | 0.0% | — | — | Put | 03753U956 |
| — | KBR Sep0 13.0 P | 39,100 | $39 | 0.0% | — | — | Put | 48242W956 |
| — | BJRI Apr0 17.5 C | 41,500 | $24 | 0.0% | — | — | Call | 09180C906 |
| — | BMRN Apr0 65.0 P | 12,100 | $15 | 0.0% | — | — | Put | 09061G951 |
| — | BMRN Apr0 100.0C | 14,900 | $8 | 0.0% | — | — | Call | 09061G901 |
| — | IWM JN0Q 153.0 C | 25,500 | $5 | 0.0% | — | — | Call | 464287905 |
| — | CBAY Apr0 2.5 C | 166,900 | $4 | 0.0% | — | — | Call | 23257D903 |
| — | QCOM Apr0 95.0 C | 41,500 | $2 | 0.0% | — | — | Call | 747525903 |