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 |
ARTIUS ACQUISITION INC | Equity | 04316G105 | 760 | 80,004 | SH | SOLE | 80,004 | 0 | 0 | ||
THE AARONS COMPANY INC | Equity | 00258W108 | 1,138 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
ACACIA COMMUNICATIONS INC | Equity | 00401C108 | 65,910 | 903,369 | SH | SOLE | 849,451 | 0 | 53,918 | ||
AECOM | Equity | 00766T100 | 3,455 | 69,400 | SH | SOLE | 69,400 | 0 | 0 | ||
AEROJET ROCKETDYNE HLDGS INC | Equity | 007800105 | 29,273 | 553,880 | SH | SOLE | 520,847 | 0 | 33,033 | ||
ALEXION PHARMACEUTICALS INC | Equity | 015351109 | 75,189 | 481,238 | SH | SOLE | 438,542 | 0 | 40,821 | ||
AMARIN CORP PLC | Equity Call | 023111906 | 0 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
ALTIMAR ACQUISITION CORP | Equity | G03707125 | 1,688 | 140,004 | SH | SOLE | 140,004 | 0 | 0 | ||
BIOTELEMETRY INC | Equity Call | 090672906 | 48 | 321,300 | SH | Call | SOLE | 301,800 | 0 | 19,500 | |
BIOTELEMETRY INC | Equity | 090672106 | 15,747 | 218,471 | SH | SOLE | 205,402 | 0 | 13,069 | ||
BULL HORN HLDGS CORP | Equity | G1686P114 | 1,707 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
BMC STK HLDGS INC | Equity | 05591B109 | 25,604 | 476,970 | SH | SOLE | 473,136 | 0 | 0 | ||
BRISTOL-MYERS SQUIBB CO | Equity | 110122157 | 857 | 1,241,843 | SH | SOLE | 1,241,843 | 0 | 0 | ||
CARDLYTICS INC | Equity | 14161W105 | 8,047 | 227,950 | SH | SOLE | 227,950 | 0 | 0 | ||
CINCINNATI BELL INC NEW | Equity | 171871502 | 24,555 | 1,607,034 | SH | SOLE | 1,599,007 | 0 | 0 | ||
CHURCHILL CAPITAL CORP IV | Equity | 171439102 | 1,001 | 120,006 | SH | SOLE | 120,006 | 0 | 0 | ||
CHAMPIONX CORPORATION | Equity | 15872M104 | 1,132 | 73,960 | SH | SOLE | 73,960 | 0 | 0 | ||
CIT GROUP INC | Equity | 125581801 | 22,672 | 631,528 | SH | SOLE | 596,056 | 0 | 35,472 | ||
CORELOGIC INC | Equity | 21871D103 | 1,430 | 18,500 | SH | SOLE | 18,500 | 0 | 0 | ||
CNX RES CORP | Equity | 12653C108 | 151 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
CONCHO RES INC | Equity | 20605P101 | 41,670 | 714,135 | SH | SOLE | 712,433 | 0 | 0 | ||
ROMAN DBDR TECH ACQUISITION | Equity | 77584N200 | 1,040 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
DANIMER SCIENTIFIC INC | Equity | 236272100 | 7,053 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
DEVON ENERGY CORP NEW | Equity Call | 25179M903 | 160 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
ENDURANCE INTL GROUP HLDGS I | Equity | 29272B105 | 13,365 | 1,414,299 | SH | SOLE | 1,328,217 | 0 | 79,762 | ||
CALLAWAY GOLF CO | Equity | 131193104 | 800 | 33,332 | SH | SOLE | 33,332 | 0 | 0 | ||
EQT CORP | Equity | 26884L109 | 191 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
EATON VANCE CORP | Equity | 278265103 | 101,174 | 1,489,383 | SH | SOLE | 1,485,041 | 0 | 0 | ||
DIAMONDBACK ENERGY INC | Equity Call | 25278X909 | 76 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
FOUNDATION BLDG MATLS INC | Equity | 350392106 | 16,228 | 844,794 | SH | SOLE | 789,961 | 0 | 48,659 | ||
WHOLE EARTH BRANDS INC | Equity | 96684W100 | 1,744 | 160,000 | SH | SOLE | 160,000 | 0 | 0 | ||
FAST ACQUISITION CORP | Equity | 311875207 | 2,701 | 245,566 | SH | SOLE | 245,566 | 0 | 0 | ||
FUSION ACQUISITION CORP | Equity | 36118H204 | 2,470 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
GCM Grosvenor Inc | Equity | 36831E108 | 1,199 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
GOLDEN FALCON ACQUISITION CO | Equity | 38102H208 | 1,040 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
GILAT SATELLITE NETWORKS LTD | Equity | M51474118 | 65 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
CANOO INC | Equity Put | 13803R952 | 57 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
CANOO INC | Equity | 13803R102 | 3,726 | 270,000 | SH | SOLE | 270,000 | 0 | 0 | ||
GRUBHUB INC | Equity | 400110102 | 60,223 | 810,868 | SH | SOLE | 745,755 | 0 | 62,121 | ||
HUDSON EXECUTIVE INVT CORP | Equity | 443761101 | 1,368 | 150,003 | SH | SOLE | 150,003 | 0 | 0 | ||
HMS HLDGS CORP | Equity | 40425J101 | 20,930 | 569,531 | SH | SOLE | 535,356 | 0 | 34,175 | ||
IHS MARKIT LTD | Equity | G47567105 | 26,522 | 295,244 | SH | SOLE | 277,757 | 0 | 16,866 | ||
ISHARES TR | Equity Put | 464287955 | 3 | 62,700 | SH | Put | SOLE | 57,200 | 0 | 5,500 | |
JAZZ INVESTMENTS I LTD | Convertible Bond | 472145AB7 | 1,534 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
KINGSWOOD ACQUISITION CORP | Equity | 496861204 | 1,040 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
LEFTERIS ACQUISITION CORP | Equity | 52470X208 | 1,084 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
LONGVIEW ACQUISITION CORP | Equity | 543195101 | 693 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
LIVE OAK ACQUISITION CORP II | Equity | 53804W205 | 543 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
ISHARES TR | Equity Put | 464287952 | 26 | 270,500 | SH | Put | SOLE | 245,400 | 0 | 25,100 | |
MEDTECH ACQUISITION CORP | Equity | 58507N204 | 525 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
MTS SYS CORP | Equity | 553777103 | 21,604 | 371,456 | SH | SOLE | 347,307 | 0 | 21,387 | ||
MAXIM INTEGRATED PRODS INC | Equity | 57772K101 | 79,656 | 898,548 | SH | SOLE | 867,142 | 0 | 29,017 | ||
NATIONAL GEN HLDGS CORP | Equity | 636220303 | 84,719 | 2,478,615 | SH | SOLE | 2,388,991 | 0 | 82,049 | ||
NUANCE COMMUNICATIONS INC | Convertible Bond | 67020YAK6 | 1,861 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
OAKTREE ACQUISITION CORP II | Equity | G6715X103 | 1,071 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
OMNICHANNEL ACQUISITION CORP | Equity | 68218L207 | 1,030 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
NORBORD INC | Equity | 65548P403 | 5,823 | 134,849 | SH | SOLE | 130,976 | 0 | 0 | ||
OXFORD IMMUNOTEC GLOBAL PLC | Equity | G6855A103 | 1,125 | 64,400 | SH | SOLE | 64,400 | 0 | 0 | ||
PARSLEY ENERGY INC | Equity | 701877102 | 12,241 | 862,009 | SH | SOLE | 850,836 | 0 | 0 | ||
PNM RES INC | Equity | 69349H107 | 69,407 | 1,430,182 | SH | SOLE | 1,378,267 | 0 | 46,616 | ||
PRGX GLOBAL INC | Equity | 69357C503 | 3,918 | 513,434 | SH | SOLE | 513,434 | 0 | 0 | ||
CC NEUBERGER PRINCIPAL HLDNG | Equity | G1992Y114 | 709 | 75,005 | SH | SOLE | 75,005 | 0 | 0 | ||
PERSPECTA INC | Equity Call | 715347900 | 38 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
PERSPECTA INC | Equity | 715347100 | 1,408 | 58,492 | SH | SOLE | 58,492 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | Corporate Bond | 699374AB0 | 1,303 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | Equity | 699374302 | 494 | 78,859 | SH | SOLE | 78,859 | 0 | 0 | ||
PREVAIL THERAPEUTICS INC | Equity | 74140Y101 | 2,183 | 94,608 | SH | SOLE | 89,089 | 0 | 5,519 | ||
PLURALSIGHT INC | Convertible Bond | 72941BAB2 | 2,465 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
PLURALSIGHT INC | Equity | 72941B106 | 69,834 | 3,331,760 | SH | SOLE | 3,020,652 | 0 | 311,108 | ||
PURE STORAGE INC | Convertible Bond | 74624MAB8 | 1,649 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
FRONT YD RESIDENTIAL CORP | Equity | 35904G107 | 21,944 | 1,354,568 | SH | SOLE | 1,354,568 | 0 | 0 | ||
ROMEO POWER INC | Equity Call | 776153908 | 109 | 75,000 | SH | Call | SOLE | 75,000 | 0 | 0 | |
ROMEO POWER INC | Equity Put | 776153958 | 234 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
ROMEO POWER INC | Equity | 776153108 | 6,747 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
ROTH CH ACQUISITION II CO | Equity | 778673202 | 1,196 | 115,000 | SH | SOLE | 115,000 | 0 | 0 | ||
REALPAGE INC | Equity | 75606N109 | 75,456 | 864,928 | SH | SOLE | 807,862 | 0 | 57,066 | ||
RODGERS SILICON VALLEY AQ CO | Equity | 774873202 | 1,001 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
SEAPORT GLOBAL ACQUISITN COR | Equity | 812227205 | 1,150 | 110,000 | SH | SOLE | 110,000 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | Equity Call | 80874P909 | 102 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
SUSTAINABLE OPPORTNTS ACQ CO | Equity | G8598Y109 | 1,018 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
S&P GLOBAL INC | Equity Call | 78409V904 | 8 | 15,300 | SH | Call | SOLE | 14,400 | 0 | 900 | |
SPORTSMANS WHSE HLDGS INC | Equity | 84920Y106 | 12,336 | 702,919 | SH | SOLE | 660,519 | 0 | 42,400 | ||
SPDR S&P 500 ETF TR | Equity Put | 78462F953 | 81 | 14,500 | SH | Put | SOLE | 14,500 | 0 | 0 | |
SYNAPTICS INC | Convertible Bond | 87157DAD1 | 1,980 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
TCF FINL CORP | Equity | 872307103 | 8,346 | 225,433 | SH | SOLE | 220,889 | 0 | 0 | ||
TRIUMPH GROUP INC NEW | Equity Call | 896818901 | 93 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
TEGNA INC | Equity | 87901J105 | 1,551 | 111,152 | SH | SOLE | 111,152 | 0 | 0 | ||
THUNDER BRDG ACQUISTION II L | Equity | G8857S116 | 1,586 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
TIFFANY & CO NEW | Equity | 886547108 | 1,135 | 8,632 | SH | SOLE | 5,660 | 0 | 0 | ||
SPARTACUS ACQUISITION CORP | Equity | 84677L208 | 1,058 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
TELENAV INC | Equity | 879455103 | 1,574 | 334,975 | SH | SOLE | 248,263 | 0 | 75,737 | ||
TREBIA ACQUISITION CORP | Equity | G9027T109 | 1,031 | 106,668 | SH | SOLE | 106,668 | 0 | 0 | ||
TWITTER INC | Convertible Bond | 90184LAF9 | 1,813 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
VARIAN MED SYS INC | Equity | 92220P105 | 8,797 | 50,263 | SH | SOLE | 48,827 | 0 | 0 | ||
VERINT SYS INC | Convertible Bond | 92343XAA8 | 2,193 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
VIRTUSA CORP | Equity | 92827P102 | 511 | 9,997 | SH | SOLE | 7,055 | 0 | 0 | ||
VY GLOBAL GROWTH | Equity | G9444H100 | 1,076 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
WADDELL & REED FINL INC | Equity | 930059100 | 14,359 | 563,763 | SH | SOLE | 530,318 | 0 | 33,445 | ||
BOINGO WIRELESS INC | Equity | 09739C102 | 355 | 27,900 | SH | SOLE | 27,900 | 0 | 0 | ||
WILLIS TOWERS WATSON PLC LTD | Equity | G96629103 | 95,397 | 452,803 | SH | SOLE | 425,286 | 0 | 26,100 | ||
SLACK TECHNOLOGIES INC | Equity | 83088V102 | 82,352 | 1,949,629 | SH | SOLE | 1,782,387 | 0 | 160,448 | ||
FOLEY TRASIMENE ACQUISTN COR | Equity | 34431F104 | 1,081 | 106,668 | SH | SOLE | 106,668 | 0 | 0 | ||
WPX ENERGY INC | Equity | 98212B103 | 8,488 | 1,041,500 | SH | SOLE | 1,012,436 | 0 | 0 | ||
WATFORD HLDGS LTD | Equity | G94787101 | 29,069 | 840,142 | SH | SOLE | 796,181 | 0 | 43,961 | ||
XILINX INC | Equity | 983919101 | 79,164 | 558,395 | SH | SOLE | 505,155 | 0 | 51,702 | ||
DPCM CAP INC | Equity | 23344P200 | 1,378 | 125,000 | SH | SOLE | 125,000 | 0 | 0 |