CIK: 0001696778 · Show all filings
Period: Q4 2020 (← Previous) (Next →)
Filing Date: Feb 17, 2021
Total Value ($000): $126,274 (66.9% shares, 33.1% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | UNITED STATES STL CORP NEW | 4,625,000 | $6,955 | 5.5% | $1.50 | — | NOTE 5.000%11/0 | 912909AT5 |
| — | WORKDAY INC | 3,614,000 | $6,051 | 4.8% | $1.67 | — | NOTE 0.250%10/0 | 98138HAF8 |
| COHU | COHU INC | 146,971 | $5,611 | 4.4% | $27.28 | 0.0% | COM | 192576106 |
| — | WORLD WRESTLING ENTMT INC | 2,543,000 | $5,156 | 4.1% | $2.48 | — | NOTE 3.375%12/1 | 98156QAB4 |
| — | WAYFAIR INC | 3,061,000 | $5,149 | 4.1% | $2.07 | — | NOTE 1.000% 8/1 | 94419LAF8 |
| — | O2MICRO INTERNATIONAL LIMITE | 465,169 | $4,270 | 3.4% | $5.49 | — | SPONS ADR | 67107W100 |
| BLBD | BLUE BIRD CORP | 207,618 | $3,791 | 3.0% | $14.64 | 0.0% | COM | 095306106 |
| — | NUANCE COMMUNICATIONS INC | 1,610,000 | $3,673 | 2.9% | $2.28 | — | NOTE 1.250% 4/0 | 67020YAN0 |
| — | CLOUDERA INC | 253,400 | $3,525 | 2.8% | $13.91 | — | COM | 18914U100 |
| FFIV | F5 NETWORKS INC | 19,005 | $3,344 | 2.6% | $151.81 | 0.0% | COM | 315616102 |
| — | NUANCE COMMUNICATIONS INC | 1,776,000 | $3,308 | 2.6% | $1.22 | — | DBCV 1.000%12/1 | 67020YAK6 |
| — | GUESS INC | 2,904,000 | $3,259 | 2.6% | $0.81 | — | NOTE 2.000% 4/1 | 401617AD7 |
| — | AVAYA HLDGS CORP | 168,299 | $3,223 | 2.6% | $15.20 | — | COM | 05351X101 |
| — | SPIRIT AIRLS INC | 1,497,000 | $3,217 | 2.5% | $1.79 | — | NOTE 4.750% 5/1 | 848577AA0 |
| — | EMCORE CORP | 585,833 | $3,193 | 2.5% | $4.76 | — | COM NEW | 290846203 |
| — | NAUTILUS GROUP INC | 165,608 | $3,004 | 2.4% | $2.14 | — | COM | 63910B102 |
| — | COHERENT INC | 19,969 | $2,996 | 2.4% | $150.03 | — | COM | 192479103 |
| ASPN | ASPEN AEROGELS INC | 169,041 | $2,821 | 2.2% | $5.94 | +121.3% | COM | 04523Y105 |
| — | LIBERTY MEDIA CORP DEL | 1,884,000 | $2,387 | 1.9% | $1.29 | — | NOTE 1.375%10/1 | 531229AB8 |
| AIRG | AIRGAIN INC | 128,105 | $2,278 | 1.8% | $10.34 | +34.6% | COM | 00938A104 |
| — | OCEAN BIO CHEM INC | 156,274 | $2,088 | 1.7% | $13.95 | — | COM | 674631106 |
| AVNW | AVIAT NETWORKS INC | 59,382 | $2,028 | 1.6% | $14.21 | 0.0% | COM NEW | 05366Y201 |
| SILC | SILICOM LTD | 46,364 | $1,940 | 1.5% | $32.93 | +14.0% | ORD | M84116108 |
| LPTH | LIGHTPATH TECHNOLOGIES INC | 469,878 | $1,842 | 1.5% | $2.88 | 0.0% | COM CL A | 532257805 |
| — | RAPID7 INC | 826,000 | $1,798 | 1.4% | $2.18 | — | NOTE 1.250% 8/0 | 753422AB0 |
| ATEN | A10 NETWORKS INC | 171,376 | $1,690 | 1.3% | $6.73 | +9.3% | COM | 002121101 |
| IPWR | IDEAL PWR INC | 174,870 | $1,429 | 1.1% | $6.10 | +17.1% | COM NEW | 451622203 |
| — | BRIGHTCOVE INC | 68,542 | $1,261 | 1.0% | $9.16 | — | COM | 10921T101 |
| — | ISHARES TR | 1,476 | $1,255 | 1.0% | — | — | Put | 464287955 |
| — | PIXELWORKS INC | 425,351 | $1,199 | 0.9% | $3.24 | — | COM NEW | 72581M305 |
| — | PARATEK PHARMACEUTICALS INC | 191,093 | $1,196 | 0.9% | $5.49 | — | COM | 699374302 |
| ALLT | ALLOT LTD | 111,740 | $1,176 | 0.9% | $10.60 | -4.3% | SHS | M0854Q105 |
| VNDA | VANDA PHARMACEUTICALS INC | 89,124 | $1,171 | 0.9% | $10.78 | +11.6% | COM | 921659108 |
| CPRX | CATALYST PHARMACEUTICALS INC | 344,702 | $1,151 | 0.9% | $3.91 | -14.1% | COM | 14888U101 |
| LUNA | LUNA INNOVATIONS | 112,712 | $1,114 | 0.9% | $6.36 | +25.3% | COM | 550351100 |
| — | STRONGBRIDGE BIOPHARMA PLC | 449,046 | $1,091 | 0.9% | $2.96 | — | SHS USD | G85347105 |
| IWM | ISHARES TR | 5,211 | $1,022 | 0.8% | $138.12 | — | RUSSELL 2000 ETF | 464287655 |
| — | ADAMAS PHARMACEUTICALS INC | 225,106 | $975 | 0.8% | $2.77 | — | COM | 00548A106 |
| — | TECHTARGET INC | 15,630 | $924 | 0.7% | $22.94 | — | COM | 87874R100 |
| ANVS | ANNOVIS BIO INC | 119,538 | $901 | 0.7% | $4.92 | +10.0% | COM | 03615A108 |
| — | PALO ALTO NETWORKS INC | 620,000 | $877 | 0.7% | $1.41 | — | NOTE 0.750% 7/0 | 697435AD7 |
| — | SCPHARMACEUTICALS INC | 162,875 | $862 | 0.7% | $6.15 | — | COM | 810648105 |
| BKNG | BOOKING HOLDINGS INC | 369 | $822 | 0.7% | $1577.23 | +20.4% | COM | 09857L108 |
| APPS | DIGITAL TURBINE INC | 13,429 | $760 | 0.6% | $4.04 | +914.1% | COM NEW | 25400W102 |
| — | SHARPSPRING INC | 46,082 | $750 | 0.6% | $11.14 | — | COM | 820054104 |
| — | DSP GROUP INC | 44,700 | $742 | 0.6% | $13.68 | — | COM | 23332B106 |
| MYO | MYOMO INC | 109,864 | $739 | 0.6% | $5.68 | 0.0% | COM NEW | 62857J201 |
| RCL | ROYAL CARIBBEAN GROUP | 9,863 | $737 | 0.6% | $57.86 | +18.4% | COM | V7780T103 |
| ETSY | ETSY INC | 4,048 | $720 | 0.6% | $150.38 | 0.0% | COM | 29786A106 |
| — | 9 METERS BIOPHARMA INC | 789,341 | $678 | 0.5% | $0.86 | — | COM | 654405109 |
| — | FARO TECHNOLOGIES INC | 9,527 | $673 | 0.5% | $49.85 | — | COM | 311642102 |
| — | ZUORA INC | 47,682 | $664 | 0.5% | $13.93 | — | COM CL A | 98983V106 |
| — | ACER THERAPEUTICS INC | 250,518 | $656 | 0.5% | $3.23 | — | COM | 00444P108 |
| — | ALLENA PHARMACEUTICALS INC | 510,200 | $653 | 0.5% | $1.72 | — | COM | 018119107 |
| — | CATALYST BIOSCIENCES INC | 99,297 | $627 | 0.5% | $4.37 | — | COM NEW | 14888D208 |
| — | RIGEL PHARMACEUTICALS INC | 177,810 | $622 | 0.5% | $3.50 | — | COM NEW | 766559603 |
| XLV | SELECT SECTOR SPDR TR | 4,813 | $546 | 0.4% | $86.18 | — | SBI HEALTHCARE | 81369Y209 |
| — | ALIMERA SCIENCES INC | 127,333 | $537 | 0.4% | $6.79 | — | COM NEW | 016259202 |
| ARDS | ARIDIS PHARMACEUTICALS INC | 87,932 | $534 | 0.4% | $6.99 | 0.0% | COM | 040334104 |
| EDAP | EDAP TMS S A | 101,082 | $523 | 0.4% | $5.17 | — | SPONSORED ADR | 268311107 |
| — | HEPION PHARMACEUTICALS INC | 233,947 | $512 | 0.4% | $2.19 | — | COM | 426897104 |
| AGX | ARGAN INC | 7,513 | $508 | 0.4% | $34.53 | +14.9% | COM | 04010E109 |
| XLY | SELECT SECTOR SPDR TR | 2,755 | $443 | 0.4% | $103.82 | — | SBI CONS DISCR | 81369Y407 |
| PSTL | POSTAL REALTY TRUST INC | 13,605 | $436 | 0.3% | $15.12 | — | CL A | 73757R102 |
| XBI | SPDR SER TR | 2,824 | $398 | 0.3% | $75.44 | — | S&P BIOTECH | 78464A870 |
| — | PIONEER NAT RES CO | 3,489 | $397 | 0.3% | $113.79 | — | COM | 723787107 |
| — | CTO REALTY GROWTH INC | 9,280 | $391 | 0.3% | $40.79 | — | COM | 22948P103 |
| — | CYCLO THERAPEUTICS INC | 88,690 | $386 | 0.3% | $4.35 | — | COM NEW | 23254X201 |
| — | THERATECHNOLGIES INC | 146,162 | $365 | 0.3% | $2.50 | — | COM | 88338H100 |
| — | SALARIUS PHARMACEUTICALS INC | 360,556 | $328 | 0.3% | $0.75 | — | COM NEW | 79400X107 |
| — | CARNIVAL CORP | 256,500 | $290 | 0.2% | — | — | Put | 143658950 |
| MIRM | MIRUM INC | 16,420 | $287 | 0.2% | $13.52 | +45.4% | COM | 604749101 |
| — | ENERGY FOCUS INC | 71,283 | $287 | 0.2% | $6.93 | — | COM | 29268T409 |
| VGT | VANGUARD INFORMATION WORLD FDS | 806 | $285 | 0.2% | $161.02 | — | INF TECH ETF | 92204A702 |
| PINE | ALPINE INCOME PPTY TR INC | 18,821 | $282 | 0.2% | $16.09 | — | COM | 02083X103 |
| — | ENDRA LIFE SCIENCES INC | 329,420 | $247 | 0.2% | $0.75 | — | COM | 29273B104 |
| — | CITY OFFICE REIT INC | 24,900 | $243 | 0.2% | $7.52 | — | COM | 178587101 |
| XLI | SELECT SECTOR SPDR TR | 2,626 | $233 | 0.2% | $65.64 | — | SBI INT-INDS | 81369Y704 |
| — | ANNALY CAPITAL MANAGEMENT IN | 27,200 | $230 | 0.2% | $6.96 | — | COM | 035710409 |
| — | EQUITY COMWLTH REIT ORD | 7,853 | $214 | 0.2% | $30.54 | — | COM SH BEN INT | 294628102 |
| DAIO | DATA I O CORP | 50,387 | $208 | 0.2% | $3.85 | 0.0% | COM | 237690102 |
| KRG | KITE RLTY GROUP TR | 13,457 | $201 | 0.2% | $11.53 | — | COM NEW | 49803T300 |
| — | COLUMBIA PPTY TR INC | 12,947 | $186 | 0.1% | $12.37 | — | COM NEW | 198287203 |
| — | FORD MTR CO DEL | 380,100 | $139 | 0.1% | — | — | Call | 345370900 |
| — | CEDAR REALTY TRUST INC | 11,055 | $112 | 0.1% | $10.13 | — | COM NEW | 150602605 |
| — | CYCLO THERAPEUTICS INC | 88,690 | $96 | 0.1% | $1.08 | — | *W EXP 11/14/202 | 23254X110 |
| KTCC | KEY TRONIC CORP | 12,590 | $87 | 0.1% | $6.47 | +26.5% | COM | 493144109 |
| — | PANBELA THERAPEUTICS INC | 21,794 | $78 | 0.1% | $3.58 | — | COM | 69833Q100 |
| — | ISHARES TR | 103,800 | $64 | 0.1% | — | — | Put | 464288954 |
| — | GENERAL MTRS CO | 114,000 | $60 | 0.0% | — | — | Call | 37045V900 |
| — | NORWEGIAN CRUISE LINE HLDG L | 102,500 | $26 | 0.0% | — | — | Put | G66721954 |
| — | SPIRIT AIRLS INC | 55,900 | $24 | 0.0% | — | — | Put | 848577952 |
| — | CINEMARK HLDGS INC | 130,700 | $18 | 0.0% | — | — | Put | 17243V952 |
| — | UNITED STATES STL CORP NEW | 74,900 | $12 | 0.0% | — | — | Put | 912909958 |
| — | VERITONE INC | 14,600 | $7 | 0.0% | — | — | Put | 92347M950 |
| — | GUESS INC | 80,900 | $7 | 0.0% | — | — | Put | 401617955 |
| — | LIVENT CORP | 10,300 | $2 | 0.0% | — | — | Put | 53814L958 |
| — | BLOOMIN BRANDS INC | 27,500 | $1 | 0.0% | — | — | Put | 094235958 |
| — | AMERICAN EAGLE OUTFITTERS IN | 18,300 | $0 | 0.0% | — | — | Put | 02553E956 |
| — | CLEVELAND-CLIFFS INC NEW | 49,000 | $0 | 0.0% | — | — | Put | 185899951 |
| — | NIO INC | 71,200 | $0 | 0.0% | — | — | Put | 62914V956 |