The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
AKERNA CORP | *W EXP 06/17/202 | 00973W110 | 0 | 56 | SH | SOLE | 56 | 0 | 0 | ||
ALEXANDRIA REAL ESTATE EQ IN | PFD CONV SER D | 015271505 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 0 | 300 | SH | SOLE | 300 | 0 | 0 | ||
AMCI ACQUISITION CORP | *W EXP 05/20/202 | 00165R119 | 0 | 55 | SH | SOLE | 55 | 0 | 0 | ||
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 0 | 74 | SH | Put | SOLE | 0 | 0 | 0 | |
AMERICAN INTL GROUP INC | *W EXP 01/19/202 | 026874156 | 0 | 1 | SH | SOLE | 1 | 0 | 0 | ||
AMERICAN INTL GROUP INC | COM NEW | 026874784 | 0 | 8 | SH | Call | SOLE | 0 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 0 | 9 | SH | Call | SOLE | 0 | 0 | 0 | |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 0 | 6 | PRN | SOLE | 6 | 0 | 0 | ||
AQUA AMERICA INC | UNIT 04/30/2022 | 03836W202 | 2,092 | 34,522 | SH | SOLE | 34,522 | 0 | 0 | ||
ASSURANT INC | 6.50% CONV PFD D | 04621X207 | 0 | 22 | SH | SOLE | 22 | 0 | 0 | ||
AVANTOR INC | 6.25 PFD CNV SR | 05352A209 | 0 | 193 | SH | SOLE | 193 | 0 | 0 | ||
AVANTOR INC | COM | 05352A100 | 0 | 11 | SH | Call | SOLE | 0 | 0 | 0 | |
AVANTOR INC | COM | 05352A100 | 0 | 77 | SH | Put | SOLE | 0 | 0 | 0 | |
B RILEY FINL INC | COM | 05580M108 | 0 | 100 | SH | SOLE | 100 | 0 | 0 | ||
B RILEY PRINCIPAL MERGER COR | *W EXP 04/08/202 | 05586Y114 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L209 | 0 | 10 | SH | SOLE | 10 | 0 | 0 | ||
BECTON DICKINSON & CO | COM | 075887109 | 0 | 600 | SH | Call | SOLE | 0 | 0 | 0 | |
BECTON DICKINSON & CO | COM | 075887109 | 0 | 4 | SH | Put | SOLE | 0 | 0 | 0 | |
BECTON DICKINSON & CO | PFD SHS CONV A | 075887208 | 0 | 797 | SH | SOLE | 797 | 0 | 0 | ||
BLINK CHARGING CO | *W EXP 01/31/202 | 09354A118 | 0 | 146 | SH | SOLE | 146 | 0 | 0 | ||
BLUELINX HLDGS INC | COM NEW | 09624H208 | 0 | 82 | SH | SOLE | 82 | 0 | 0 | ||
BOXWOOD MERGER CORP | *W EXP 11/26/202 | 10319T119 | 0 | 38 | SH | SOLE | 38 | 0 | 0 | ||
BROADCOM INC | COM | 11135F101 | 0 | 1 | SH | Put | SOLE | 0 | 0 | 0 | |
BROADCOM INC | COM | 11135F101 | 0 | 1 | SH | Call | SOLE | 0 | 0 | 0 | |
CENTERPOINT ENERGY INC | DEP RP PFD CV B | 15189T503 | 0 | 89 | SH | SOLE | 89 | 0 | 0 | ||
CENTERPOINT ENERGY INC | COM | 15189T107 | 0 | 11 | SH | Put | SOLE | 0 | 0 | 0 | |
CF FIN ACQUISITION CORP | *W EXP 04/30/202 | 12528N115 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
CHANGE HEALTHCARE INC | COM | 15912K100 | 0 | 5 | SH | Call | SOLE | 0 | 0 | 0 | |
CHANGE HEALTHCARE INC | COM | 15912K100 | 0 | 29 | SH | Put | SOLE | 0 | 0 | 0 | |
CHANGE HEALTHCARE INC | UNIT 99/99/9999 | 15912K209 | 0 | 282 | SH | SOLE | 282 | 0 | 0 | ||
CLARIVATE ANALYTICS PLC | *W EXP 11/09/201 | G21810117 | 0 | 3 | SH | SOLE | 3 | 0 | 0 | ||
COLFAX CORP | COM | 194014106 | 0 | 5 | SH | Call | SOLE | 0 | 0 | 0 | |
COLFAX CORP | UNIT 01/15/2022T | 194014205 | 0 | 145 | SH | SOLE | 145 | 0 | 0 | ||
COUPA SOFTWARE INC | COM | 22266L106 | 0 | 1 | SH | Call | SOLE | 0 | 0 | 0 | |
COUPA SOFTWARE INC | COM | 22266L106 | 0 | 3 | SH | Put | SOLE | 0 | 0 | 0 | |
COUPA SOFTWARE INC | NOTE 0.375% 1/1 | 22266LAB2 | 0 | 3 | PRN | SOLE | 3 | 0 | 0 | ||
CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 0 | 16 | SH | SOLE | 16 | 0 | 0 | ||
CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 0 | 8 | SH | Put | SOLE | 0 | 0 | 0 | |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 0 | 7 | SH | SOLE | 7 | 0 | 0 | ||
DANAHER CORPORATION | DBCV 1/2 | 235851AF9 | 0 | 30 | PRN | SOLE | 30 | 0 | 0 | ||
DANAHER CORPORATION | 4.75 MND CV PFD | 235851300 | 0 | 2 | SH | SOLE | 2 | 0 | 0 | ||
DARLING INGREDIENTS INC | COM | 237266101 | 0 | 18 | SH | SOLE | 18 | 0 | 0 | ||
DD3 ACQUISITION CORP | *W EXP 10/20/202 | G2692M111 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
DEXCOM INC | NOTE 0.750% 5/1 | 252131AF4 | 0 | 1 | PRN | SOLE | 1 | 0 | 0 | ||
DOMINION ENERGY INC | UNIT 99/99/9999 | 25746U133 | 0 | 195 | SH | SOLE | 195 | 0 | 0 | ||
DTE ENERGY CO | UNIT 99/99/9999 | 233331883 | 0 | 1 | SH | SOLE | 1 | 0 | 0 | ||
DTE ENERGY CO | COM | 233331107 | 0 | 300 | SH | Put | SOLE | 0 | 0 | 0 | |
ENCORE CAP GROUP INC | COM | 292554102 | 0 | 300 | SH | Call | SOLE | 0 | 0 | 0 | |
ENCORE CAP GROUP INC | NOTE 3.000% 7/0 | 292554AF9 | 0 | 4 | PRN | SOLE | 4 | 0 | 0 | ||
ENERGIZER HLDGS INC NEW | COM | 29272W109 | 0 | 3 | SH | Call | SOLE | 0 | 0 | 0 | |
ENERGIZER HLDGS INC NEW | 7.5 MCNV PFD A | 29272W208 | 0 | 94 | SH | SOLE | 94 | 0 | 0 | ||
ENERGIZER HLDGS INC NEW | COM | 29272W109 | 0 | 35 | SH | Put | SOLE | 0 | 0 | 0 | |
ENVESTNET INC | NOTE 1.750%12/1 | 29404KAA4 | 0 | 4 | PRN | SOLE | 4 | 0 | 0 | ||
EPR PPTYS | COM SH BEN INT | 26884U109 | 0 | 39 | SH | Call | SOLE | 0 | 0 | 0 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 0 | 7 | SH | Put | SOLE | 0 | 0 | 0 | |
EPR PPTYS | PFD C CNV 5.75% | 26884U208 | 0 | 156 | SH | SOLE | 156 | 0 | 0 | ||
EPR PPTYS | CONV PFD 9% SR E | 26884U307 | 0 | 1 | SH | SOLE | 1 | 0 | 0 | ||
FAR PT ACQUISITION CORP | *W EXP 06/01/202 | 30734W117 | 0 | 25 | SH | SOLE | 25 | 0 | 0 | ||
FIRST MAJESTIC SILVER CORP | NOTE 1.875% 3/0 | 32076VAB9 | 0 | 2 | PRN | SOLE | 2 | 0 | 0 | ||
FORTIVE CORP | 5% PFD CNV SER A | 34959J207 | 0 | 18 | SH | SOLE | 18 | 0 | 0 | ||
FORTIVE CORP | COM | 34959J108 | 0 | 2 | SH | Call | SOLE | 0 | 0 | 0 | |
FORTIVE CORP | COM | 34959J108 | 0 | 37 | SH | Put | SOLE | 0 | 0 | 0 | |
FORUM MERGER II CORP | *W EXP 09/30/202 | 34986F111 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
GIGCAPITAL INC | *W EXP 06/08/202 | 37518N122 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
GRAF INDL CORP | *W EXP 12/31/202 | 384278115 | 0 | 100 | SH | SOLE | 100 | 0 | 0 | ||
GREEN PLAINS INC | COM | 393222104 | 0 | 3 | SH | SOLE | 3 | 0 | 0 | ||
HC2 HLDGS INC | COM | 404139107 | 0 | 945 | SH | SOLE | 945 | 0 | 0 | ||
HENNESSY CAP ACQUSTION CORP | *W EXP 09/05/202 | 42589C112 | 0 | 40 | SH | SOLE | 40 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 3,288 | 1,922,991 | SH | SOLE | 1,922,991 | 0 | 0 | ||
HOSTESS BRANDS INC | CL A | 44109J106 | 334 | 23,900 | SH | Call | SOLE | 0 | 0 | 0 | |
INOVIO PHARMACEUTICALS INC | COM NEW | 45773H201 | 0 | 11 | SH | Put | SOLE | 0 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 0 | 2 | SH | SOLE | 2 | 0 | 0 | ||
INTERNATIONAL FLAVORS&FRAGRA | UNIT 09/15/2021 | 459506309 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
INVITAE CORP | COM | 46185L103 | 0 | 1 | SH | SOLE | 1 | 0 | 0 | ||
INVITAE CORP | COM | 46185L103 | 0 | 1 | SH | Put | SOLE | 0 | 0 | 0 | |
LEGACY ACQUISITION CORP | *W EXP 11/30/202 | 524643111 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
LF CAP ACQUISITION CORP | *W EXP 06/22/202 | 50200K116 | 0 | 109 | SH | SOLE | 109 | 0 | 0 | ||
LIBERTY MEDIA CORP | DEB 3.500% 1/1 | 530715AN1 | 0 | 12 | PRN | SOLE | 12 | 0 | 0 | ||
LYFT INC | CL A COM | 55087P104 | 0 | 16 | SH | SOLE | 16 | 0 | 0 | ||
MAGNOLIA OIL & GAS CORP | CL A | 559663109 | 0 | 3 | SH | Call | SOLE | 0 | 0 | 0 | |
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 0 | 3 | PRN | SOLE | 3 | 0 | 0 | ||
MEDICINES CO | COM | 584688105 | 0 | 27 | SH | Call | SOLE | 0 | 0 | 0 | |
MEDICINES CO | COM | 584688105 | 0 | 200 | SH | Put | SOLE | 0 | 0 | 0 | |
MEGALITH FINL ACQUISITION CO | *W EXP 08/26/202 | 58518F117 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
MICRON TECHNOLOGY INC | NOTE 2.125% 2/1 | 595112AV5 | 0 | 1 | PRN | SOLE | 1 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 0 | 1 | PRN | SOLE | 1 | 0 | 0 | ||
MONOCLE ACQUISITION CORP | *W EXP 12/06/202 | 609754114 | 0 | 60 | SH | SOLE | 60 | 0 | 0 | ||
MUDRICK CAP ACQUISITION CORP | *W EXP 02/12/202 | 624745113 | 0 | 63 | SH | SOLE | 63 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 0 | 106 | SH | Call | SOLE | 0 | 0 | 0 | |
NABORS INDUSTRIES LTD | 6% PFD CNV SR A | G6359F129 | 0 | 27 | SH | SOLE | 27 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 0 | 41 | SH | Put | SOLE | 0 | 0 | 0 | |
NATIONAL HOLDINGS CORP | COM NEW | 636375206 | 0 | 399 | SH | SOLE | 399 | 0 | 0 | ||
NESCO HLDGS INC | *W EXP 01/01/202 | 64083J112 | 0 | 66 | SH | SOLE | 66 | 0 | 0 | ||
NETFIN ACQUISITION CORP | *W EXP 08/01/202 | G6455A115 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 0 | 3 | SH | SOLE | 3 | 0 | 0 | ||
NEW MEDIA INVT GROUP INC | COM | 64704V106 | 0 | 36 | SH | SOLE | 36 | 0 | 0 | ||
NEW SR INVT GROUP INC | COM | 648691103 | 0 | 194 | SH | SOLE | 194 | 0 | 0 | ||
NEXTERA ENERGY INC | UNIT 09/01/2022S | 65339F796 | 0 | 182 | SH | SOLE | 182 | 0 | 0 | ||
NIO INC | SPON ADS | 62914V106 | 0 | 4 | SH | SOLE | 4 | 0 | 0 | ||
NIO INC | SPON ADS | 62914V106 | 0 | 17 | SH | Call | SOLE | 0 | 0 | 0 | |
NIO INC | SPON ADS | 62914V106 | 0 | 10 | SH | Put | SOLE | 0 | 0 | 0 | |
NOVELLUS SYS INC | NOTE 2.625% 5/1 | 670008AD3 | 0 | 1 | PRN | SOLE | 1 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 0 | 33 | SH | Call | SOLE | 0 | 0 | 0 | |
NXP SEMICONDUCTORS N V | NOTE 1.000%12/0 | 62952QAB6 | 0 | 6 | PRN | SOLE | 6 | 0 | 0 | ||
OPES ACQUISITION CORP | *W EXP 03/13/202 | 68373P118 | 0 | 27 | SH | SOLE | 27 | 0 | 0 | ||
PIVOTAL ACQUISITION CORP | *W EXP 12/01/202 | 72583A119 | 0 | 66 | SH | SOLE | 66 | 0 | 0 | ||
POTBELLY CORP | COM | 73754Y100 | 0 | 5 | SH | SOLE | 5 | 0 | 0 | ||
PROS HOLDINGS INC | COM | 74346Y103 | 0 | 2 | SH | Put | SOLE | 0 | 0 | 0 | |
PROS HOLDINGS INC | NOTE 2.000%12/0 | 74346YAB9 | 0 | 3 | PRN | SOLE | 3 | 0 | 0 | ||
PRUDENTIAL FINL INC | COM | 744320102 | 0 | 8 | SH | SOLE | 8 | 0 | 0 | ||
PURE ACQUISITION CORP | *W EXP 04/17/202 | 74621Q114 | 0 | 24 | SH | SOLE | 24 | 0 | 0 | ||
RANPAK HLDGS CORP | *W EXP 06/03/202 | 75321W111 | 0 | 22 | SH | SOLE | 22 | 0 | 0 | ||
RAYONIER ADVANCED MATLS INC | COM | 75508B104 | 0 | 44 | SH | Call | SOLE | 0 | 0 | 0 | |
RESTORATION HARDWARE HLDGS I | DBCV 7/1 | 761283AC4 | 0 | 2 | PRN | SOLE | 2 | 0 | 0 | ||
REXNORD CORP NEW | COM | 76169B102 | 0 | 76 | SH | Call | SOLE | 0 | 0 | 0 | |
REXNORD CORP NEW | COM | 76169B102 | 0 | 131 | SH | Put | SOLE | 0 | 0 | 0 | |
SB FINL GROUP INC | DEP SHS PFD 6.5% | 78408D204 | 0 | 700 | SH | SOLE | 700 | 0 | 0 | ||
SCHULTZE SPL PURP ACQUSTN CO | *W EXP 12/31/202 | 80821R117 | 0 | 50 | SH | SOLE | 50 | 0 | 0 | ||
SEMPRA ENERGY | COM | 816851109 | 0 | 400 | SH | Call | SOLE | 0 | 0 | 0 | |
SEMPRA ENERGY | 6% PFD CONV A | 816851406 | 0 | 225 | SH | SOLE | 225 | 0 | 0 | ||
SEMPRA ENERGY | 6.75% CNV PFD B | 816851505 | 0 | 7 | SH | SOLE | 7 | 0 | 0 | ||
SENTINEL ENERGY SVCS INC | *W EXP 11/02/202 | 81728P113 | 0 | 28 | SH | SOLE | 28 | 0 | 0 | ||
SILVER STD RES INC | NOTE 2.875% 2/0 | 82823LAC0 | 0 | 6 | PRN | SOLE | 6 | 0 | 0 | ||
SOCIAL CAP HEDOSOPHIA HLDGS | *W EXP 09/14/202 | G8250R129 | 0 | 25 | SH | SOLE | 25 | 0 | 0 | ||
SONIM TECHNOLOGIES INC | COM | 83548F101 | 0 | 2 | SH | SOLE | 2 | 0 | 0 | ||
SOUTH JERSEY INDS INC | UNIT 99/99/9999 | 838518116 | 0 | 231 | SH | SOLE | 231 | 0 | 0 | ||
SOUTHERN CO | UNIT 08/01/2022 | 842587602 | 0 | 177 | SH | SOLE | 177 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 0 | 1 | SH | SOLE | 1 | 0 | 0 | ||
TESLA INC | COM | 88160R101 | 265 | 1,100 | SH | SOLE | 1,100 | 0 | 0 | ||
TESLA INC | NOTE 1.250% 3/0 | 88160RAC5 | 2,719 | 2,787,000 | PRN | SOLE | 2,787,000 | 0 | 0 | ||
TIBERIUS ACQUISITION CORP | *W EXP 02/28/202 | 88633A115 | 30 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
TKK SYMPHONY ACQUISITION COR | *W EXP 02/20/202 | G88950129 | 9 | 99,728 | SH | SOLE | 99,728 | 0 | 0 | ||
TRIDENT ACQUISITIONS CORP | *W EXP 05/09/202 | 89615T114 | 9 | 59,914 | SH | SOLE | 59,914 | 0 | 0 | ||
TRINE ACQUISITION CORP | *W EXP 03/31/202 | 89628U116 | 20 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
TRINITY MERGER CORP | *W EXP 05/11/202 | 89653L114 | 292 | 229,700 | SH | SOLE | 229,700 | 0 | 0 | ||
TTM TECHNOLOGIES INC | NOTE 1.750%12/1 | 87305RAD1 | 3,616 | 2,712,000 | PRN | SOLE | 2,712,000 | 0 | 0 | ||
VECTOIQ ACQUISITION CORP | *W EXP 05/11/202 | 92243N111 | 13 | 29,300 | SH | SOLE | 29,300 | 0 | 0 | ||
VIRTUS INVT PARTNERS INC | PFD CV SER D | 92828Q208 | 492 | 5,109 | SH | SOLE | 5,109 | 0 | 0 | ||
XENCOR INC | COM | 98401F105 | 185 | 5,489 | SH | SOLE | 5,489 | 0 | 0 |