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 |
AECOM | Equity | 00766T100 | 285 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
AEROJET ROCKETDYNE HLDGS INC | Equity | 007800105 | 32,723 | 677,632 | SH | SOLE | 628,867 | 0 | 46,591 | ||
ALEXION PHARMACEUTICALS INC | Equity | 015351109 | 104,944 | 571,247 | SH | SOLE | 529,265 | 0 | 40,821 | ||
AON PLC | Equity Call | G0403H908 | 762 | 222,700 | SH | Call | SOLE | 211,600 | 0 | 11,100 | |
BULL HORN HLDGS CORP | Equity | G1686P114 | 1,547 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
CADENCE BANCORPORATION | Equity | 12739A100 | 7,713 | 369,400 | SH | SOLE | 369,400 | 0 | 0 | ||
CAI INTERNATIONAL INC | Equity | 12477X106 | 25,873 | 462,026 | SH | SOLE | 462,026 | 0 | 0 | ||
CHANGE HEALTHCARE INC | Equity | 15912K100 | 69,906 | 3,034,093 | SH | SOLE | 2,798,428 | 0 | 229,392 | ||
CHARGEPOINT HOLDINGS INC | Equity Put | 15961R955 | 10 | 104,900 | SH | Put | SOLE | 98,900 | 0 | 6,000 | |
CLOUDERA INC | Equity | 18914U100 | 43,383 | 2,735,365 | SH | SOLE | 2,569,242 | 0 | 155,218 | ||
CANADIAN NATL RY CO | Equity Call | 136375902 | 461 | 255,900 | SH | Call | SOLE | 241,800 | 0 | 14,100 | |
CONSTELLATION PHARMCETICLS I | Equity Call | 210373906 | 23 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
CONSTELLATION PHARMCETICLS I | Equity | 210373106 | 17,378 | 514,137 | SH | SOLE | 509,070 | 0 | 0 | ||
CABOT OIL & GAS CORP | Equity Call | 127097903 | 610 | 787,400 | SH | Call | SOLE | 736,800 | 0 | 50,600 | |
COHERENT INC | Equity | 192479103 | 97,718 | 369,667 | SH | SOLE | 342,732 | 0 | 26,452 | ||
CORE-MARK HLDG CO INC | Equity | 218681104 | 28,351 | 629,881 | SH | SOLE | 591,101 | 0 | 35,823 | ||
DISCOVERY INC | Equity | 25470F104 | 382 | 12,450 | SH | SOLE | 12,450 | 0 | 0 | ||
DUN & BRADSTREET HLDGS INC | Equity Call | 26484T906 | 1 | 11,400 | SH | Call | SOLE | 11,400 | 0 | 0 | |
FERRO CORP | Equity | 315405100 | 32,610 | 1,511,822 | SH | SOLE | 1,412,014 | 0 | 94,914 | ||
FORTERRA INC | Equity | 34960W106 | 23,376 | 994,307 | SH | SOLE | 936,179 | 0 | 55,377 | ||
GRACE W R & CO DEL NEW | Equity | 38388F108 | 73,509 | 1,063,494 | SH | SOLE | 1,001,545 | 0 | 59,895 | ||
HARTFORD FINL SVCS GROUP INC | Equity | 416515104 | 1,199 | 19,345 | SH | SOLE | 19,345 | 0 | 0 | ||
AT HOME GROUP INC | Equity Call | 04650Y900 | 45 | 600,000 | SH | Call | SOLE | 568,500 | 0 | 31,500 | |
AT HOME GROUP INC | Equity | 04650Y100 | 41,686 | 1,131,545 | SH | SOLE | 1,068,990 | 0 | 58,998 | ||
IHS MARKIT LTD | Equity | G47567105 | 119,707 | 1,062,549 | SH | SOLE | 997,631 | 0 | 63,205 | ||
JAZZ INVESTMENTS I LTD | Convertible Bond | 472145AB7 | 1,502 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
KINDRED BIOSCIENCES INC | Equity | 494577109 | 104 | 11,387 | SH | SOLE | 0 | 0 | 0 | ||
KALEYRA INC | Equity | 483379103 | 2,938 | 240,000 | SH | SOLE | 240,000 | 0 | 0 | ||
KNOLL INC | Equity | 498904200 | 8,353 | 321,378 | SH | SOLE | 301,086 | 0 | 17,701 | ||
KANSAS CITY SOUTHERN | Equity | 485170302 | 84,374 | 297,751 | SH | SOLE | 280,902 | 0 | 16,235 | ||
LYDALL INC | Equity | 550819106 | 8,520 | 140,777 | SH | SOLE | 140,777 | 0 | 0 | ||
LUMINEX CORP DEL | Equity | 55027E102 | 32,206 | 875,166 | SH | SOLE | 816,676 | 0 | 55,639 | ||
MEREDITH CORP | Equity Call | 589433901 | 30 | 11,500 | SH | Call | SOLE | 11,500 | 0 | 0 | |
MIDDLEBY CORP | Equity Call | 596278901 | 654 | 146,800 | SH | Call | SOLE | 137,500 | 0 | 9,300 | |
MONMOUTH REAL ESTATE INVT CO | Equity | 609720107 | 31,651 | 1,690,760 | SH | SOLE | 1,590,730 | 0 | 100,030 | ||
MAGNACHIP SEMICONDUCTOR CORP | Equity | 55933J203 | 12,972 | 543,678 | SH | SOLE | 517,428 | 0 | 26,250 | ||
MAXIM INTEGRATED PRODS INC | Equity | 57772K101 | 104,512 | 991,949 | SH | SOLE | 949,378 | 0 | 40,782 | ||
NUANCE COMMUNICATIONS INC | Convertible Bond | 67020YAK6 | 2,250 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
NUANCE COMMUNICATIONS INC | Equity | 67020Y100 | 78,824 | 1,447,902 | SH | SOLE | 1,344,975 | 0 | 99,589 | ||
ORBCOMM INC | Equity | 68555P100 | 34,669 | 3,084,462 | SH | SOLE | 2,905,362 | 0 | 169,908 | ||
PAR PAC HOLDINGS INC | Equity Call | 69888T907 | 21 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
PERFORMANCE FOOD GROUP CO | Equity Call | 71377A903 | 269 | 275,700 | SH | Call | SOLE | 259,900 | 0 | 15,800 | |
PROOFPOINT INC | Equity | 743424103 | 56,189 | 323,370 | SH | SOLE | 303,335 | 0 | 18,982 | ||
PPD INC | Equity | 69355F102 | 78,053 | 1,693,500 | SH | SOLE | 1,592,699 | 0 | 96,855 | ||
PRA HEALTH SCIENCES INC | Equity | 69354M108 | 31,476 | 190,523 | SH | SOLE | 181,602 | 0 | 8,200 | ||
PARATEK PHARMACEUTICALS INC | Corporate Bond | 699374AB0 | 1,399 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | Equity | 699374302 | 231 | 33,846 | SH | SOLE | 33,846 | 0 | 0 | ||
PURE STORAGE INC | Convertible Bond | 74624MAB8 | 1,569 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
QAD INC | Equity | 74727D306 | 17,093 | 196,422 | SH | SOLE | 196,422 | 0 | 0 | ||
QTS RLTY TR INC | Equity | 74736A103 | 21,253 | 274,939 | SH | SOLE | 272,717 | 0 | 0 | ||
RAVEN INDS INC | Equity | 754212108 | 10,695 | 184,870 | SH | SOLE | 184,870 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | Equity Call | 80874P909 | 106 | 22,500 | SH | Call | SOLE | 22,500 | 0 | 0 | |
NEW SR INVT GROUP INC | Equity | 648691103 | 5,252 | 598,227 | SH | SOLE | 598,227 | 0 | 0 | ||
SOLITON INC | Equity | 834251100 | 7,086 | 315,069 | SH | SOLE | 253,480 | 0 | 58,520 | ||
ETF SER SOLUTIONS | Equity Put | 26922A959 | 69 | 290,200 | SH | Put | SOLE | 273,400 | 0 | 16,800 | |
SPDR S&P 500 ETF TR | Equity Call | 78462F903 | 87 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
STEM INC | Equity Put | 85859N952 | 17 | 135,000 | SH | Put | SOLE | 127,100 | 0 | 7,900 | |
SYKES ENTERPRISES INC | Equity | 871237103 | 21,431 | 399,086 | SH | SOLE | 397,112 | 0 | 0 | ||
TALEND S A | Equity | 874224207 | 39,212 | 597,749 | SH | SOLE | 570,977 | 0 | 25,192 | ||
TWITTER INC | Convertible Bond | 90184LAF9 | 2,058 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
DOMTAR CORP | Equity | 257559203 | 34,722 | 631,763 | SH | SOLE | 598,530 | 0 | 29,897 | ||
UPHEALTH INC | Equity | 91532B101 | 606 | 97,623 | SH | SOLE | 97,623 | 0 | 0 | ||
U S CONCRETE INC | Equity Call | 90333L201 | 23 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
U S CONCRETE INC | Equity | 90333L201 | 17,196 | 233,014 | SH | SOLE | 231,250 | 0 | 0 | ||
VEREIT INC | Equity | 92339V308 | 56,763 | 1,235,857 | SH | SOLE | 1,154,151 | 0 | 77,997 | ||
VPC IMPACT ACQUISITION HLDNG | Equity | G9441E100 | 202 | 20,200 | SH | SOLE | 20,200 | 0 | 0 | ||
WELBILT INC | Equity | 949090104 | 59,793 | 2,582,857 | SH | SOLE | 2,422,684 | 0 | 160,173 | ||
WILLIS TOWERS WATSON PLC LTD | Equity | G96629103 | 98,337 | 427,516 | SH | SOLE | 406,570 | 0 | 20,946 | ||
SLACK TECHNOLOGIES INC | Convertible Bond | 83088VAB8 | 2,273 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
SLACK TECHNOLOGIES INC | Equity | 83088V102 | 100,051 | 2,258,495 | SH | SOLE | 2,111,380 | 0 | 142,873 | ||
CIMAREX ENERGY CO | Equity | 171798101 | 28,444 | 392,600 | SH | SOLE | 367,386 | 0 | 25,214 | ||
XILINX INC | Equity | 983919101 | 73,884 | 510,812 | SH | SOLE | 466,751 | 0 | 42,772 |