Location: Fort Lee, NJ
CIK: 0001696778 · Show all filings
Period: Q1 2021 (← Previous) (Next →)
Filing Date: May 17, 2021
Total Value: $206M (49.2% shares, 50.8% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | WAYFAIR INC | 5,309,000 | $11.82M | 5.7% | $2.14 | — | NOTE 1.000% 8/1 | 94419LAF8 |
| — | WORKDAY INC | 6,675,000 | $11.52M | 5.6% | $1.70 | — | NOTE 0.250%10/0 | 98138HAF8 |
| — | UNITED STATES STL CORP NEW | 5,074,000 | $11.04M | 5.4% | $1.56 | — | NOTE 5.000%11/0 | 912909AT5 |
| — | SPIRIT AIRLS INC | 3,402,000 | $10.47M | 5.1% | $2.51 | — | NOTE 4.750% 5/1 | 848577AA0 |
| — | WORLD WRESTLING ENTMT INC | 3,386,000 | $7.666M | 3.7% | $2.43 | — | NOTE 3.375%12/1 | 98156QAB4 |
| — | NUANCE COMMUNICATIONS INC | 3,080,000 | $7.033M | 3.4% | $2.28 | — | NOTE 1.250% 4/0 | 67020YAN0 |
| COHU | COHU INC | 165,499 | $6.924M | 3.4% | $29.16 | +51.1% | COM | 192576106 |
| — | SOUTHWEST AIRLS CO | 3,562,000 | $6.134M | 3.0% | $1.72 | — | NOTE 1.250% 5/0 | 844741BG2 |
| — | NUANCE COMMUNICATIONS INC | 2,867,000 | $5.303M | 2.6% | $1.46 | — | DBCV 1.000%12/1 | 67020YAK6 |
| — | LIBERTY MEDIA CORP DEL | 4,094,000 | $5.274M | 2.6% | $1.29 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | PALO ALTO NETWORKS INC | 3,832,000 | $5.074M | 2.5% | $1.34 | — | NOTE 0.750% 7/0 | 697435AD7 |
| AVNW | AVIAT NETWORKS INC | 69,487 | $4.936M | 2.4% | $15.97 | +64.8% | COM NEW | 05366Y201 |
| — | EMCORE CORP | 793,709 | $4.334M | 2.1% | $4.95 | — | COM NEW | 290846203 |
| — | TALEND S A | 65,800 | $4.188M | 2.0% | $63.65 | — | ADS | 874224207 |
| — | O2MICRO INTERNATIONAL LIMITE | 465,169 | $3.638M | 1.8% | $5.49 | — | SPONS ADR | 67107W100 |
| — | AMERICAN AIRLS GROUP INC | 2,050,000 | $3.529M | 1.7% | $1.72 | — | NOTE 6.500% 7/0 | 02376RAF9 |
| — | SAREPTA THERAPEUTICS INC | 2,584,000 | $3.397M | 1.6% | $1.31 | — | DBCV 1.500%11/1 | 803607AB6 |
| — | ALLSCRIPTS HEALTHCARE SOLUTN | 2,494,000 | $3.305M | 1.6% | $1.33 | — | NOTE 0.875% 1/0 | 01988PAF5 |
| — | THERATECHNOLGIES INC | 851,413 | $3.291M | 1.6% | $3.63 | — | COM | 88338H100 |
| — | ON SEMICONDUCTOR CORP | 1,568,000 | $3.271M | 1.6% | $2.09 | — | NOTE 1.625%10/1 | 682189AP0 |
| ASPN | ASPEN AEROGELS INC | 146,687 | $2.984M | 1.4% | $5.94 | +255.0% | COM | 04523Y105 |
| DZSIQ | DZS INC | 170,118 | $2.645M | 1.3% | $15.55 | — | COM | 268211109 |
| — | AVAYA HLDGS CORP | 92,279 | $2.587M | 1.3% | $15.20 | — | COM | 05351X101 |
| — | ADAMAS PHARMACEUTICALS INC | 538,395 | $2.584M | 1.3% | $3.95 | — | COM | 00548A106 |
| — | GUESS INC | 2,226,000 | $2.569M | 1.2% | $0.81 | — | NOTE 2.000% 4/1 | 401617AD7 |
| RMNI | RIMINI STR INC DEL | 277,555 | $2.49M | 1.2% | $7.74 | 0.0% | COM | 76674Q107 |
| — | LUMENTUM HLDGS INC | 1,512,000 | $2.447M | 1.2% | $1.62 | — | NOTE 0.250% 3/1 | 55024UAB5 |
| — | ILLUMINA INC | 1,514,000 | $2.284M | 1.1% | $1.51 | — | NOTE 0.500% 6/1 | 452327AH2 |
| PBYI | PUMA BIOTECHNOLOGY INC | 226,758 | $2.204M | 1.1% | $11.17 | 0.0% | COM | 74587V107 |
| EDAP | EDAP TMS S A | 254,818 | $2.14M | 1.0% | $7.12 | — | SPONSORED ADR | 268311107 |
| SILC | SILICOM LTD | 45,427 | $2.05M | 1.0% | $32.93 | +41.9% | ORD | M84116108 |
| — | NUVVE HOLDING ORD | 202,720 | $1.931M | 0.9% | $9.53 | — | COM | 67079Y100 |
| GRTX | GALERA THERAPEUTICS INC | 214,242 | $1.89M | 0.9% | $10.98 | 0.0% | COM | 36338D108 |
| — | TWITTER INC | 1,692,000 | $1.759M | 0.9% | $1.04 | — | NOTE 1.000% 9/1 | 90184LAD4 |
| BWAY | BRAINSWAY LTD | 178,600 | $1.613M | 0.8% | $9.03 | — | SPONSORED ADS | 10501L106 |
| CDLX | CARDLYTICS INC | 14,130 | $1.55M | 0.8% | $132.04 | 0.0% | COM | 14161W105 |
| — | ISHARES TR | 164,900 | $1.537M | 0.7% | — | — | Put | 464287958 |
| — | STRONGBRIDGE BIOPHARMA PLC | 550,196 | $1.519M | 0.7% | $2.92 | — | SHS USD | G85347105 |
| ALLT | ALLOT LTD | 92,329 | $1.474M | 0.7% | $10.60 | +37.5% | SHS | M0854Q105 |
| LPTH | LIGHTPATH TECHNOLOGIES INC | 469,878 | $1.457M | 0.7% | $2.88 | +31.8% | COM CL A | 532257805 |
| AIRG | AIRGAIN INC | 68,169 | $1.445M | 0.7% | $10.34 | +118.5% | COM | 00938A104 |
| — | BRIGHTCOVE INC | 70,984 | $1.428M | 0.7% | $9.54 | — | COM | 10921T101 |
| — | SCPHARMACEUTICALS INC | 214,060 | $1.423M | 0.7% | $6.27 | — | COM | 810648105 |
| — | ALLENA PHARMACEUTICALS | 980,200 | $1.362M | 0.7% | $1.56 | — | COM | 018119107 |
| CVNA | CARVANA CO | 5,183 | $1.36M | 0.7% | $275.59 | 0.0% | CL A | 146869102 |
| — | PARATEK PHARMACEUTICALS INC | 191,093 | $1.349M | 0.7% | $5.49 | — | COM | 699374302 |
| OMF | ONEMAIN HLDGS INC | 24,431 | $1.312M | 0.6% | $51.63 | 0.0% | COM | 68268W103 |
| — | AT HOME GROUP INC | 43,899 | $1.26M | 0.6% | $28.70 | — | COM | 04650Y100 |
| INFIQ | INFINITY PHARMACEUTICALS INC | 387,141 | $1.25M | 0.6% | $3.34 | 0.0% | COM | 45665G303 |
| — | ALIMERA SCIENCES INC | 127,333 | $1.225M | 0.6% | $6.79 | — | COM NEW | 016259202 |
| LUNA | LUNA INNOVATIONS | 113,604 | $1.196M | 0.6% | $6.36 | +75.7% | COM | 550351100 |
| RJF | RAYMOND JAMES FINL INC | 9,688 | $1.187M | 0.6% | $69.45 | 0.0% | COM | 754730109 |
| MYO | MYOMO INC | 91,664 | $1.173M | 0.6% | $5.68 | +113.1% | COM NEW | 62857J201 |
| — | YIELD10 BIOSCIENCE INC | 89,300 | $1.12M | 0.5% | $12.54 | — | COM | 98585K862 |
| BKNG | BOOKING HOLDINGS INC | 461 | $1.074M | 0.5% | $1698.56 | +28.6% | COM | 09857L108 |
| — | ENVESTNET INC | 804,000 | $983K | 0.5% | $1.22 | — | NOTE 1.750% 6/0 | 29404KAB2 |
| — | PROCESSA PHARMACEUTICALS INC | 90,968 | $942K | 0.5% | $10.36 | — | COM NEW | 74275C205 |
| MCHP | MICROCHIP TECHNOLOGY INC. | 5,679 | $881K | 0.4% | $67.53 | 0.0% | COM | 595017104 |
| — | ENVESTNET INC | 11,728 | $847K | 0.4% | $72.22 | — | COM | 29404K106 |
| — | ZUORA INC | 56,845 | $841K | 0.4% | $14.07 | — | COM CL A | 98983V106 |
| ANVS | ANNOVIS BIO INC | 29,968 | $836K | 0.4% | $4.92 | +334.6% | COM | 03615A108 |
| — | DSP GROUP INC | 56,831 | $810K | 0.4% | $13.80 | — | COM | 23332B106 |
| — | PIXELWORKS INC | 244,300 | $809K | 0.4% | $3.24 | — | COM NEW | 72581M305 |
| MDNAF | MEDICENNA THERAPEUTICS CORP | 197,900 | $807K | 0.4% | $4.07 | 0.0% | COM | 58490H107 |
| FC | FRANKLIN COVEY CO | 28,379 | $803K | 0.4% | $26.15 | 0.0% | COM | 353469109 |
| — | TECHTARGET INC | 11,400 | $792K | 0.4% | $22.94 | — | COM | 87874R100 |
| — | FARO TECHNOLOGIES INC | 9,127 | $790K | 0.4% | $49.85 | — | COM | 311642102 |
| ETSY | ETSY INC | 3,836 | $774K | 0.4% | $150.38 | +39.2% | COM | 29786A106 |
| BAC | BK OF AMERICA CORP | 19,229 | $744K | 0.4% | $30.64 | 0.0% | COM | 060505104 |
| — | CHF SOLUTIONS INC | 118,000 | $697K | 0.3% | $5.91 | — | COM | 12542Q870 |
| NVVEW | NUVVE HOLDING CORP | 385,168 | $694K | 0.3% | $1.80 | — | *W EXP 03/19/202 | 67079Y118 |
| — | HANCOCK JAFFE LABORATORIES I | 100,714 | $671K | 0.3% | $6.66 | — | COM NEW | 41015N304 |
| — | SALARIUS PHARMACEUTICALS INC | 424,800 | $629K | 0.3% | $0.86 | — | COM NEW | 79400X107 |
| ATEN | A10 NETWORKS INC | 65,382 | $628K | 0.3% | $6.73 | +36.1% | COM | 002121101 |
| ARDS | ARIDIS PHARMACEUTICALS INC | 105,413 | $622K | 0.3% | $6.95 | -2.7% | COM | 040334104 |
| — | EVOKE PHARMA INC | 336,516 | $616K | 0.3% | $1.83 | — | COM | 30049G104 |
| — | EXFO INC | 123,732 | $527K | 0.3% | $4.26 | — | SUB VTG SHS | 302046107 |
| BMRN | BIOMARIN PHARMACEUTICAL INC | 6,820 | $515K | 0.2% | $81.69 | 0.0% | COM | 09061G101 |
| WFC | WELLS FARGO CO NEW | 12,938 | $505K | 0.2% | $31.62 | 0.0% | COM | 949746101 |
| DAIO | DATA I O CORP | 89,963 | $488K | 0.2% | $4.50 | +18.4% | COM | 237690102 |
| — | HELIUS MED TECHNOLOGIES INC | 23,785 | $428K | 0.2% | $17.99 | — | COM CL A NEW | 42328V603 |
| APPS | DIGITAL TURBINE INC | 5,247 | $422K | 0.2% | $4.04 | +1707.2% | COM NEW | 25400W102 |
| PGR | PROGRESSIVE CORP | 3,546 | $339K | 0.2% | $81.00 | 0.0% | COM | 743315103 |
| — | CYCLO THERAPEUTICS INC | 88,690 | $333K | 0.2% | $1.08 | — | *W EXP 11/14/202 | 23254X110 |
| CTO | CTO REALTY GROWTH INC | 6,055 | $315K | 0.2% | $52.02 | — | COM | 22948Q101 |
| — | HTG MOLECULAR DIAGNOSTICS IN | 54,747 | $299K | 0.1% | $5.46 | — | COM NEW | 40434H203 |
| — | CITY OFFICE REIT INC | 24,900 | $264K | 0.1% | $7.52 | — | COM | 178587101 |
| PSTL | POSTAL REALTY TRUST INC | 15,113 | $260K | 0.1% | $15.33 | — | CL A | 73757R102 |
| COLD | AMERICOLD RLTY TR | 6,750 | $260K | 0.1% | $38.52 | — | COM | 03064D108 |
| — | EQUITY COMWLTH | 8,853 | $246K | 0.1% | $30.23 | — | COM SH BEN INT | 294628102 |
| — | ANNALY CAPITAL MANAGEMENT IN | 27,200 | $234K | 0.1% | $6.96 | — | COM | 035710409 |
| GANX | GAIN THERAPEUTICS INC | 15,532 | $232K | 0.1% | $13.34 | 0.0% | COM | 36269B105 |
| — | QTS RLTY TR INC | 3,525 | $219K | 0.1% | $62.13 | — | COM CL A | 74736A103 |
| — | AVAYA HLDGS CORP | 70,500 | $208K | 0.1% | — | — | Call | 05351X901 |
| — | COLUMBIA PPTY TR INC | 11,847 | $203K | 0.1% | $12.37 | — | COM NEW | 198287203 |
| — | NLS PHARMACEUTICS EQY LTD | 194,560 | $185K | 0.1% | $0.95 | — | *W EXP 09/25/202 | H57830111 |
| BLIN | BRIDGELINE DIGITAL INC | 41,693 | $120K | 0.1% | $3.21 | 0.0% | COM | 10807Q700 |
| — | EYENOVIA INC | 18,833 | $96,000 | 0.0% | $5.10 | — | COM | 30234E104 |
| — | INVESCO EXCHANGE TRADED FD T | 23,500 | $89,000 | 0.0% | — | — | Put | 46137V954 |
| — | CARNIVAL CORP | 73,600 | $47,000 | 0.0% | — | — | Put | 143658950 |
| — | ISHARES TR | 103,800 | $39,000 | 0.0% | — | — | Put | 464288954 |
| — | GUESS INC | 66,500 | $38,000 | 0.0% | — | — | Put | 401617955 |
| — | AMERICAN AIRLS GROUP INC | 55,600 | $33,000 | 0.0% | — | — | Put | 02376R952 |
| — | NORWEGIAN CRUISE LINE HLDG L | 149,800 | $31,000 | 0.0% | — | — | Put | G66721954 |
| — | BLOOMIN BRANDS INC | 23,200 | $19,000 | 0.0% | — | — | Put | 094235958 |
| — | CINEMARK HLDGS INC | 95,500 | $19,000 | 0.0% | — | — | Put | 17243V952 |
| — | BIOMARIN PHARMACEUTICAL INC | 4,500 | $13,000 | 0.0% | — | — | Call | 09061G901 |
| — | PIXELWORKS INC | 12,800 | $12,000 | 0.0% | — | — | Call | 72581M905 |
| — | UNITED STATES STL CORP NEW | 64,500 | $9,000 | 0.0% | — | — | Put | 912909958 |
| — | SPIRIT AIRLS INC | 59,100 | $7,000 | 0.0% | — | — | Put | 848577952 |
| — | TALEND S A | 15,100 | $5,000 | 0.0% | — | — | Call | 874224907 |