CIK: 0001696778 · Show all filings
Period: Q3 2020 (← Previous) (Next →)
Filing Date: Nov 16, 2020
Total Value ($000): $121,912 (58.6% shares, 41.4% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | NUANCE COMMUNICATIONS INC | 7,848,000 | $11,440 | 9.4% | $1.22 | — | DBCV 1.000%12/1 | 67020YAK6 |
| — | WAYFAIR INC | 4,434,000 | $9,190 | 7.5% | $2.07 | — | NOTE 1.000% 8/1 | 94419LAF8 |
| — | WORLD WRESTLING ENTMT INC | 4,731,000 | $8,374 | 6.9% | $2.48 | — | NOTE 3.375%12/1 | 98156QAB4 |
| — | WELLPOINT INC | 1,652,000 | $6,212 | 5.1% | $3.89 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | NAUTILUS GROUP INC | 290,813 | $4,991 | 4.1% | $2.14 | — | COM | 63910B102 |
| — | LIBERTY MEDIA CORP DEL | 4,278,000 | $4,683 | 3.8% | $1.29 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | GUESS INC | 4,338,000 | $3,501 | 2.9% | $0.81 | — | NOTE 2.000% 4/1 | 401617AD7 |
| RCL | ROYAL CARIBBEAN GROUP | 47,526 | $3,076 | 2.5% | $57.86 | 0.0% | COM | V7780T103 |
| — | REALPAGE INC | 1,920,000 | $2,820 | 2.3% | $1.47 | — | NOTE 1.500%11/1 | 75606NAB5 |
| MTSI | MACOM TECH SOLUTIONS HLDGS INC | 78,540 | $2,672 | 2.2% | $29.21 | +24.4% | COM | 55405Y100 |
| — | OCEAN BIO CHEM INC | 180,681 | $2,589 | 2.1% | $13.95 | — | COM | 674631106 |
| — | CLEVELAND-CLIFFS INC NEW | 2,497,000 | $2,588 | 2.1% | $0.97 | — | DBCV 1.500% 1/1 | 185899AA9 |
| — | AVAYA HLDGS CORP | 168,299 | $2,558 | 2.1% | $15.20 | — | COM | 05351X101 |
| MXL | MAXLINEAR INC | 106,847 | $2,483 | 2.0% | $17.25 | +43.0% | COM | 57776J100 |
| — | CYBEROPTICS CORP | 62,700 | $1,997 | 1.6% | $17.11 | — | COM | 232517102 |
| ASPN | ASPEN AEROGELS INC | 175,486 | $1,922 | 1.6% | $5.94 | +33.1% | COM | 04523Y105 |
| AIRG | AIRGAIN INC | 130,602 | $1,742 | 1.4% | $10.34 | +24.1% | COM | 00938A104 |
| MRAM | EVERSPIN TECHNOLOGIES INC | 267,586 | $1,517 | 1.2% | $4.92 | +29.5% | COM | 30041T104 |
| — | CARNIVAL CORP | 397,600 | $1,497 | 1.2% | — | — | Put | 143658950 |
| AAOI | APPLIED OPTOELECTRONICS INC | 132,017 | $1,485 | 1.2% | $12.12 | 0.0% | COM | 03823U102 |
| SILC | SILICOM LTD | 41,179 | $1,334 | 1.1% | $32.35 | +11.0% | ORD | M84116108 |
| — | SCPHARMACEUTICALS INC | 175,526 | $1,308 | 1.1% | $6.15 | — | COM | 810648105 |
| BKNG | BOOKING HOLDINGS INC | 671 | $1,148 | 0.9% | $1577.23 | +9.6% | COM | 09857L108 |
| — | SPIRIT AIRLS INC | 768,000 | $1,117 | 0.9% | $1.45 | — | NOTE 4.750% 5/1 | 848577AA0 |
| ATEN | A10 NETWORKS INC | 171,120 | $1,090 | 0.9% | $6.73 | +6.6% | COM | 002121101 |
| IPWR | IDEAL PWR INC | 175,451 | $1,087 | 0.9% | $6.10 | +9.9% | COM NEW | 451622203 |
| — | O2MICRO INTERNATIONAL LIMITED | 304,369 | $1,077 | 0.9% | $3.54 | — | SPONS ADR | 67107W100 |
| ALLT | ALLOT LTD | 116,540 | $1,061 | 0.9% | $10.60 | -0.2% | SHS | M0854Q105 |
| KTCC | KEY TRONIC CORP | 107,201 | $1,056 | 0.9% | $6.47 | +19.9% | COM | 493144109 |
| IWM | ISHARES TR | 6,836 | $1,024 | 0.8% | $138.12 | — | RUSSELL 2000 ETF | 464287655 |
| — | QUOTIENT TECHNOLOGY INC | 136,863 | $1,010 | 0.8% | $7.38 | — | COM | 749119103 |
| MIRM | MIRUM PHARMACEUTICALS INC | 50,876 | $980 | 0.8% | $13.52 | +58.8% | COM | 604749101 |
| — | PARATEK PHARMACEUTICALS INC | 172,537 | $933 | 0.8% | $5.41 | — | COM | 699374302 |
| — | ADAMAS PHARMACEUTICALS INC | 225,106 | $927 | 0.8% | $2.77 | — | COM | 00548A106 |
| — | AERIE PHARMACEUTICALS INC | 77,038 | $907 | 0.7% | $11.77 | — | COM | 00771V108 |
| — | ISHARES TR | 110,100 | $816 | 0.7% | — | — | Put | 464287955 |
| VNDA | VANDA PHARMACEUTICALS INC | 82,789 | $799 | 0.7% | $10.69 | 0.0% | COM | 921659108 |
| CPRX | CATALYST PHARMACEUTICALS INC | 268,682 | $798 | 0.7% | $4.06 | -3.8% | COM | 14888U101 |
| VUZI | VUZIX CORP | 166,495 | $759 | 0.6% | $2.07 | +89.0% | COM NEW | 92921W300 |
| — | BRIGHTCOVE INC | 71,542 | $733 | 0.6% | $9.16 | — | COM | 10921T101 |
| — | ACER THERAPEUTICS INC | 250,518 | $722 | 0.6% | $3.23 | — | COM | 00444P108 |
| — | TECHTARGET INC | 16,407 | $721 | 0.6% | $22.94 | — | COM | 87874R100 |
| DGII | DIGI INTL INC | 44,870 | $701 | 0.6% | $13.11 | 0.0% | COM | 253798102 |
| — | SHARPSPRING INC | 62,282 | $694 | 0.6% | $11.14 | — | COM | 820054104 |
| XLV | SELECT SECTOR SPDR TR | 6,072 | $640 | 0.5% | $86.18 | — | SBI HEALTHCARE | 81369Y209 |
| MNST | MONSTER BEVERAGE CORP NEW | 7,749 | $621 | 0.5% | $39.50 | 0.0% | COM | 61174X109 |
| — | ALIMERA SCIENCES INC | 127,333 | $619 | 0.5% | $6.79 | — | COM NEW | 016259202 |
| — | DSP GROUP INC | 46,600 | $614 | 0.5% | $13.68 | — | COM | 23332B106 |
| — | FARO TECHNOLOGIES INC | 9,987 | $609 | 0.5% | $49.85 | — | COM | 311642102 |
| — | ALLENA PHARMACEUTICALS INC | 408,840 | $605 | 0.5% | $1.83 | — | COM | 018119107 |
| — | EMCORE CORP | 177,585 | $578 | 0.5% | $3.18 | — | COM NEW | 290846203 |
| ANVS | ANNOVIS BIO INC | 119,538 | $575 | 0.5% | $4.92 | +8.7% | COM | 03615A108 |
| XBI | SPDR SER TR | 5,121 | $571 | 0.5% | $75.44 | — | S&P BIOTECH | 78464A870 |
| SLS | SELLAS LIFE SCIENCES GROUP INC | 214,093 | $567 | 0.5% | $2.74 | 0.0% | COM NEW | 81642T209 |
| — | CHIMERIX INC | 227,273 | $566 | 0.5% | $3.10 | — | COM | 16934W106 |
| DHX | DHI GROUP INC | 248,675 | $562 | 0.5% | $3.17 | -21.8% | COM | 23331S100 |
| APPS | DIGITAL TURBINE INC | 17,034 | $558 | 0.5% | $4.04 | +432.6% | COM NEW | 25400W102 |
| — | CATALYST BIOSCIENCES INC | 127,983 | $550 | 0.5% | $4.37 | — | COM NEW | 14888D208 |
| LUNA | LUNA INNOVATIONS | 88,360 | $528 | 0.4% | $5.92 | 0.0% | COM | 550351100 |
| AGX | ARGAN INC | 7,447 | $526 | 0.4% | $34.53 | +10.9% | COM | 04010E109 |
| XLY | SELECT SECTOR SPDR TR | 3,528 | $519 | 0.4% | $103.82 | — | SBI CONS DISCR | 81369Y407 |
| — | PIXELWORKS INC | 245,738 | $504 | 0.4% | $3.54 | — | COM NEW | 72581M305 |
| — | ENERGY FOCUS INC | 71,283 | $489 | 0.4% | $6.93 | — | COM | 29268T409 |
| — | STRONGBRIDGE BIOPHARMA PLC | 226,720 | $476 | 0.4% | $3.47 | — | SHS USD | G85347105 |
| SPG | SIMON PPTY GROUP INC NEW | 7,260 | $470 | 0.4% | $48.49 | 0.0% | COM | 828806109 |
| — | MICROCHIP TECHNOLOGY INC. | 204,000 | $454 | 0.4% | $2.24 | — | NOTE 1.625% 2/1 | 595017AD6 |
| — | SONIM TECHNOLOGIES INC | 543,769 | $422 | 0.3% | $1.87 | — | COM | 83548F101 |
| PSTL | POSTAL REALTY TRUST INC | 27,840 | $421 | 0.3% | $15.12 | — | CL A | 73757R102 |
| VGT | VANGUARD WORLD FDS | 1,290 | $402 | 0.3% | $161.02 | — | INF TECH ETF | 92204A702 |
| TTI | TETRA TECHNOLOGIES INC DEL | 763,473 | $390 | 0.3% | $0.61 | 0.0% | COM | 88162F105 |
| — | BOINGO WIRELESS INC | 38,250 | $390 | 0.3% | $10.20 | — | COM | 09739C102 |
| — | SUN BIOPHARMA INC | 123,635 | $372 | 0.3% | $3.01 | — | COM NEW | 86664M206 |
| — | CIDARA THERAPEUTICS INC | 122,478 | $349 | 0.3% | $2.85 | — | COM | 171757107 |
| PINE | ALPINE INCOME PPTY TR INC | 22,071 | $343 | 0.3% | $16.09 | — | COM | 02083X103 |
| — | CTO REALTY GROWTH INC | 7,348 | $324 | 0.3% | $40.44 | — | COM | 22948P103 |
| — | STAMPS COM INC | 1,322 | $319 | 0.3% | $241.30 | — | COM NEW | 852857200 |
| — | ANTERIX INC | 511,900 | $316 | 0.3% | — | — | Call | 03676C900 |
| — | YIELD10 BIOSCIENCE INC | 39,524 | $307 | 0.3% | $7.77 | — | COM | 98585K862 |
| HIW | HIGHWOODS PPTYS INC | 8,725 | $293 | 0.2% | $33.58 | — | COM | 431284108 |
| — | COLUMBIA PPTY TR INC | 26,525 | $290 | 0.2% | $12.37 | — | COM NEW | 198287203 |
| — | EQUITY COMWLTH | 10,053 | $268 | 0.2% | $30.54 | — | COM SH BEN INT | 294628102 |
| DCTH | DELCATH SYS INC | 22,598 | $263 | 0.2% | $9.55 | +17.0% | COM NEW | 24661P807 |
| XLI | SELECT SECTOR SPDR TR | 3,371 | $259 | 0.2% | $65.64 | — | SBI INT-INDS | 81369Y704 |
| KRG | KITE RLTY GROUP TR | 22,107 | $256 | 0.2% | $11.53 | — | COM NEW | 49803T300 |
| SHO | SUNSTONE HOTEL INVS INC NEW | 31,900 | $254 | 0.2% | $7.96 | — | COM | 867892101 |
| NYMXF | NYMOX PHARMACEUTICAL CORP | 101,999 | $250 | 0.2% | $2.91 | 0.0% | COM | P73398102 |
| — | CEDAR REALTY TRUST INC | 291,750 | $236 | 0.2% | $0.81 | — | COM NEW | 150602209 |
| — | SALARIUS PHARMACEUTICALS INC | 258,249 | $218 | 0.2% | $0.68 | — | COM NEW | 79400X107 |
| — | CELLECTAR BIOSCIENCES INC | 175,350 | $218 | 0.2% | $1.28 | — | COM PAR | 15117F500 |
| — | APTEVO THERAPEUTICS INC | 27,645 | $210 | 0.2% | $3.71 | — | COM NEW | 03835L207 |
| — | CITY OFFICE REIT INC | 27,400 | $206 | 0.2% | $7.52 | — | COM | 178587101 |
| RLJ | RLJ LODGING TR | 23,154 | $201 | 0.2% | $8.68 | — | COM | 74965L101 |
| — | NORWEGIAN CRUISE LINE HLDG L | 105,600 | $194 | 0.2% | — | — | Put | G66721954 |
| — | ROSS STORES INC | 10,800 | $190 | 0.2% | — | — | Call | 778296903 |
| DMAC | DIAMEDICA THERAPEUTICS INC | 42,887 | $182 | 0.1% | $5.29 | 0.0% | COM NEW | 25253X207 |
| MCS | MARCUS CORP DEL | 22,679 | $175 | 0.1% | $13.42 | +0.3% | COM | 566330106 |
| RFIL | RF INDS LTD | 35,677 | $158 | 0.1% | $7.37 | -39.1% | COM PAR $0.01 | 749552105 |
| — | ANNALY CAPITAL MANAGEMENT INC | 21,500 | $153 | 0.1% | $6.56 | — | COM | 035710409 |
| — | CINEMARK HLDGS INC | 115,200 | $95 | 0.1% | — | — | Put | 17243V952 |
| DUOT | DUOS TECHNOLOGIES GROUP INC | 24,277 | $92 | 0.1% | $6.05 | -27.7% | COM | 266042407 |
| — | GUESS INC | 124,500 | $90 | 0.1% | — | — | Put | 401617955 |
| FSP | FRANKLIN STR PPTYS CORP | 24,663 | $90 | 0.1% | $3.65 | — | COM | 35471R106 |
| — | UNITED STATES STL CORP NEW | 136,000 | $84 | 0.1% | — | — | Put | 912909958 |
| — | MONSTER BEVERAGE CORP NEW | 16,200 | $70 | 0.1% | — | — | Put | 61174X959 |
| — | ENTERA BIO LTD | 284,914 | $40 | 0.0% | $0.27 | — | *W EXP 06/27/202 | M40527117 |
| — | SPIRIT AIRLS INC | 38,300 | $37 | 0.0% | — | — | Put | 848577952 |
| — | EMBRAER S.A. | 145,700 | $25 | 0.0% | — | — | Call | 29082A907 |
| — | CLEVELAND-CLIFFS INC NEW | 115,200 | $24 | 0.0% | — | — | Put | 185899951 |
| — | PDC ENERGY INC | 27,800 | $24 | 0.0% | — | — | Call | 69327R901 |
| — | MARRIOTT VACTINS WORLDWID CO | 18,300 | $22 | 0.0% | — | — | Put | 57164Y957 |
| — | STAMPS COM INC | 6,800 | $17 | 0.0% | — | — | Put | 852857950 |
| — | AMERICAN EAGLE OUTFITTERS INC | 76,800 | $16 | 0.0% | — | — | Put | 02553E956 |
| — | CEL-SCI CORP | 17,000 | $9 | 0.0% | — | — | Put | 150837957 |
| — | BLOOMIN BRANDS INC | 49,900 | $5 | 0.0% | — | — | Put | 094235958 |
| — | NIO INC | 70,600 | $3 | 0.0% | — | — | Put | 62914V956 |