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 |
Acacia Communications Inc | Equity | 00401C108 | 77,075 | 1,143,544 | SH | SOLE | 1,055,525 | 0 | 88,019 | ||
AECOM | Equity | 00766T100 | 3,897 | 93,150 | SH | SOLE | 93,150 | 0 | 0 | ||
Alpha Healthcare Acquisition C | Equity | 020751202 | 1,666 | 167,971 | SH | SOLE | 167,971 | 0 | 0 | ||
Aimmune Therapeutics Inc | Equity | 00900T107 | 36,594 | 1,062,245 | SH | SOLE | 996,705 | 0 | 59,055 | ||
Akcea Therapeutics Inc | Equity | 00972L107 | 3,955 | 218,000 | SH | SOLE | 218,000 | 0 | 0 | ||
Amarin Corp PLC | Equity Call | 023111906 | 1 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
Amarin Corp PLC | Equity | 023111206 | 42 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
TD Ameritrade Holding Corp | Equity | 87236Y108 | 91,974 | 2,349,279 | SH | SOLE | 2,342,730 | 0 | 0 | ||
Arch Resources Inc | Equity | 03940R107 | 527 | 12,400 | SH | SOLE | 12,400 | 0 | 0 | ||
Avaya Holdings Corp | Equity | 05351X101 | 198 | 36,455 | SH | SOLE | 36,455 | 0 | 0 | ||
BMC Stock Holdings Inc | Equity | 05591B109 | 16,679 | 389,422 | SH | SOLE | 384,000 | 0 | 0 | ||
Bristol-Myers Squibb Co | Equity | 110122157 | 23 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
Baytex Energy Corp | Equity | 07317Q105 | 169 | 480,000 | SH | SOLE | 480,000 | 0 | 0 | ||
BorgWarner Inc | Equity | 099724106 | 519 | 13,395 | SH | SOLE | 13,395 | 0 | 0 | ||
Cincinnati Bell Inc | Equity | 171871502 | 31,461 | 2,097,432 | SH | SOLE | 1,980,115 | 0 | 112,605 | ||
Cellular Biomedicine Group Inc | Equity | 15117P102 | 2,444 | 133,286 | SH | SOLE | 101,854 | 0 | 31,432 | ||
Churchill Capital Corp IV | Equity | 171439201 | 1,002 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
CF Finance Acquisition Corp | Equity | 12528N107 | 936 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
ChampionX Corp | Equity | 15872M104 | 1,593 | 199,419 | SH | SOLE | 199,419 | 0 | 0 | ||
Cloudera Inc | Equity | 18914U100 | 479 | 44,000 | SH | SOLE | 44,000 | 0 | 0 | ||
CoreLogic Inc/United States | Equity | 21871D103 | 1,252 | 18,500 | SH | SOLE | 18,500 | 0 | 0 | ||
CNX Resources Corp | Equity | 12653C108 | 208 | 22,000 | SH | SOLE | 22,000 | 0 | 0 | ||
Concho Resources Inc | Equity | 20605P101 | 441 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
Delphi Technologies PLC | Equity | G2709G107 | 59,186 | 3,541,969 | SH | SOLE | 3,312,024 | 0 | 216,598 | ||
Callaway Golf Co | Equity | 131193104 | 1,276 | 66,665 | SH | SOLE | 66,665 | 0 | 0 | ||
ETRADE Financial Corp | Equity | 269246401 | 127,877 | 2,554,978 | SH | SOLE | 2,396,683 | 0 | 152,932 | ||
Flying Eagle Acquisition Corp | Equity | 34407Y103 | 1,824 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Fitbit Inc | Equity | 33812L102 | 151 | 21,699 | SH | SOLE | 0 | 0 | 0 | ||
Whole Earth Brands Inc | Equity | 96684W100 | 1,334 | 160,000 | SH | SOLE | 160,000 | 0 | 0 | ||
Fast Acquisition Corp | Equity | 311875207 | 4,874 | 488,913 | SH | SOLE | 488,913 | 0 | 0 | ||
Fusion Acquisition Corp | Equity | 36118H204 | 2,060 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
Fortress Value Acquisition Cor | Warrant | 34962V114 | 390 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
Gilat Satellite Networks Ltd | Equity | M51474118 | 8,645 | 1,586,173 | SH | SOLE | 1,404,684 | 0 | 181,489 | ||
GCI Liberty Inc | Equity | 36164V305 | 44,625 | 544,468 | SH | SOLE | 521,310 | 0 | 20,463 | ||
Grubhub Inc | Equity | 400110102 | 39,954 | 552,378 | SH | SOLE | 499,537 | 0 | 49,564 | ||
Hennessy Capital Acquisition C | Equity | 42589C104 | 1,011 | 90,750 | SH | SOLE | 90,750 | 0 | 0 | ||
Hudson Executive Investment Co | Equity | 443761101 | 1,202 | 150,003 | SH | SOLE | 150,003 | 0 | 0 | ||
Hudson Ltd | Equity | G46408103 | 2,737 | 360,100 | SH | SOLE | 264,812 | 0 | 77,188 | ||
IAC/InterActiveCorp | Equity | 44891N109 | 1,797 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
Immunomedics Inc | Equity Call | 452907908 | 5 | 187,500 | SH | Call | SOLE | 177,100 | 0 | 10,400 | |
Immunomedics Inc | Equity | 452907108 | 31,308 | 368,202 | SH | SOLE | 345,473 | 0 | 20,027 | ||
iShares Russell 2000 ETF | Equity Put | 464287955 | 490 | 62,100 | SH | Put | SOLE | 56,800 | 0 | 5,300 | |
JAZZ INVESTMENTS I LTD | Convertible Bond | 472145AB7 | 1,520 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
LF Capital Acquisition Corp | Equity | 50200K108 | 1,476 | 140,000 | SH | SOLE | 140,000 | 0 | 0 | ||
Live Oak Acquisition Corp | Equity | 53804F103 | 1,160 | 170,001 | SH | SOLE | 170,001 | 0 | 0 | ||
iShares iBoxx $ Investment Gra | Equity Put | 464287952 | 457 | 269,900 | SH | Put | SOLE | 245,400 | 0 | 24,500 | |
Livongo Health Inc | Equity | 539183103 | 238 | 1,699 | SH | SOLE | 0 | 0 | 0 | ||
Momenta Pharmaceuticals Inc | Equity | 60877T100 | 32,304 | 615,540 | SH | SOLE | 575,360 | 0 | 34,260 | ||
MobileIron Inc | Equity | 60739U204 | 5,300 | 755,995 | SH | SOLE | 713,770 | 0 | 42,225 | ||
Marathon Petroleum Corp | Equity | 56585A102 | 675 | 23,000 | SH | SOLE | 23,000 | 0 | 0 | ||
Montage Resources Corp | Equity | 61179L100 | 2,067 | 470,799 | SH | SOLE | 352,037 | 0 | 106,273 | ||
Matinas BioPharma Holdings Inc | Equity | 576810105 | 268 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Maxim Integrated Products Inc | Equity | 57772K101 | 25,986 | 384,354 | SH | SOLE | 347,683 | 0 | 34,538 | ||
Navistar International Corp | Equity | 638901306 | 261 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
Noble Energy Inc | Equity | 655044105 | 72,393 | 8,467,038 | SH | SOLE | 7,817,107 | 0 | 618,828 | ||
National General Holdings Corp | Equity | 636220303 | 64,818 | 1,920,524 | SH | SOLE | 1,772,665 | 0 | 143,554 | ||
Nielsen Holdings PLC | Equity Call | G6518L908 | 18 | 25,000 | SH | Call | SOLE | 25,000 | 0 | 0 | |
NUANCE COMMUNICATIONS | Convertible Bond | 67020YAK6 | 1,455 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
Oaktree Acquisition Corp II | Equity | G67145105 | 1,029 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
ON SEMICONDUCTOR CORP | Convertible Bond | 682189AK1 | 2,397 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
Oxford Immunotec Global PLC | Equity | G6855A103 | 1,755 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Occidental Petroleum Corp | Equity | 674599105 | 219 | 23,187 | SH | SOLE | 23,187 | 0 | 0 | ||
Pacific Biosciences of Califor | Equity | 69404D108 | 15,001 | 1,519,832 | SH | SOLE | 1,397,609 | 0 | 122,223 | ||
CC Neuberger Principal Holding | Equity | G1992Y114 | 1,230 | 126,664 | SH | SOLE | 126,664 | 0 | 0 | ||
Parsley Energy Inc | Equity | 701877102 | 131 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
Pfenex Inc | Equity | 717071104 | 16,249 | 1,274,452 | SH | SOLE | 1,274,452 | 0 | 0 | ||
Pivotal Investment Corp II | Equity | 72582K100 | 576 | 49,947 | SH | SOLE | 49,947 | 0 | 0 | ||
Perspecta Inc | Equity | 715347100 | 1,352 | 69,492 | SH | SOLE | 69,492 | 0 | 0 | ||
Paratek Pharmaceuticals Inc | Equity | 699374302 | 1,219 | 225,409 | SH | SOLE | 225,409 | 0 | 0 | ||
PURE STORAGE INC | Convertible Bond | 74624MAB8 | 1,454 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
QIAGEN NV | Equity | N72482123 | 17,792 | 342,651 | SH | SOLE | 323,512 | 0 | 19,139 | ||
Front Yard Residential Corp | Equity | 35904G107 | 4,644 | 531,333 | SH | SOLE | 531,333 | 0 | 0 | ||
Rosetta Stone Inc | Equity | 777780107 | 16,262 | 542,432 | SH | SOLE | 504,757 | 0 | 29,658 | ||
Reinvent Technology Partners | Equity | G7496G103 | 1,149 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Scientific Games Corp | Equity Call | 80874P909 | 53 | 11,000 | SH | Call | SOLE | 11,000 | 0 | 0 | |
Sustainable Opportunities Acqu | Equity | G8598Y109 | 915 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
SPDR S&P 500 ETF Trust | Equity Put | 78462F953 | 120 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
Synaptics Inc | Convertible Bond | 87157DAD1 | 1,652 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
Teladoc Health Inc | Equity | 87918A105 | 13,363 | 60,950 | SH | SOLE | 57,587 | 0 | 3,363 | ||
Triumph Group Inc | Equity Call | 896818901 | 49 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
TEGNA Inc | Equity | 87901J105 | 1,466 | 124,800 | SH | SOLE | 124,800 | 0 | 0 | ||
Tiffany & Co | Equity | 886547108 | 12,592 | 108,690 | SH | SOLE | 101,643 | 0 | 5,857 | ||
Trebia Acquisition Corp | Equity | G9027T109 | 951 | 106,668 | SH | SOLE | 106,668 | 0 | 0 | ||
Trine Acquisition Corp | Equity | 89628U108 | 2,052 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
Unilever NV | Equity | 904784709 | 18,199 | 301,303 | SH | SOLE | 301,303 | 0 | 0 | ||
Varian Medical Systems Inc | Equity | 92220P105 | 40,696 | 236,602 | SH | SOLE | 213,264 | 0 | 21,372 | ||
Velodyne Lidar Inc | Equity | 92259F101 | 7,196 | 385,000 | SH | SOLE | 385,000 | 0 | 0 | ||
VERINT SYSTEMS INC | Convertible Bond | 92343XAA8 | 2,030 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
Virtusa Corp | Equity | 92827P102 | 25,098 | 510,530 | SH | SOLE | 481,981 | 0 | 23,699 | ||
Vivint Solar Inc | Equity | 92854Q106 | 18,574 | 438,579 | SH | SOLE | 409,220 | 0 | 25,580 | ||
WESCO International Inc | Equity | 95082P105 | 352 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
Willis Towers Watson PLC | Equity | 970646105 | 65,256 | 312,498 | SH | SOLE | 294,613 | 0 | 16,236 | ||
Wright Medical Group NV | Equity | N96617118 | 48,050 | 1,573,338 | SH | SOLE | 1,476,959 | 0 | 88,555 | ||
Foley Trasimene Acquisition Co | Equity | 34431F104 | 996 | 106,668 | SH | SOLE | 106,668 | 0 | 0 | ||
WPX Energy Inc | Equity | 98212B103 | 21,011 | 4,287,871 | SH | SOLE | 4,048,595 | 0 | 239,276 | ||
Xerox Holdings Corp | Equity Call | 98421M906 | 1 | 35,000 | SH | Call | SOLE | 35,000 | 0 | 0 |