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 |
ATLAS AIR WORLDWIDE HLDGS IN | NOTE 1.875% 6/0 | 049164BJ4 | 8,028 | 9,500,000 | PRN | SOLE | 9,500,000 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 5,821 | 11,700,000 | PRN | SOLE | 11,700,000 | 0 | 0 | ||
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 4,863 | 4,057,000 | PRN | SOLE | 4,057,000 | 0 | 0 | ||
DISH NETWORK CORP | NOTE 2.375% 3/1 | 25470MAD1 | 2,784 | 3,039,000 | PRN | SOLE | 3,039,000 | 0 | 0 | ||
DYCOM INDS INC | NOTE 0.750% 9/1 | 267475AB7 | 17,280 | 17,792,000 | PRN | SOLE | 17,792,000 | 0 | 0 | ||
ENCORE CAP GROUP INC | NOTE 3.250% 3/1 | 292554AK8 | 6,996 | 6,750,000 | PRN | SOLE | 6,750,000 | 0 | 0 | ||
ENDOLOGIX INC | NOTE 3.250%11/0 | 29266SAB2 | 3,760 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
ENSCO JERSEY FIN LTD | NOTE 3.000% 1/3 | 29359WAB1 | 9,686 | 13,500,000 | PRN | SOLE | 13,500,000 | 0 | 0 | ||
FLEXION THERAPEUTICS INC | NOTE 3.375% 5/0 | 33938JAB2 | 26,750 | 25,000,000 | PRN | SOLE | 25,000,000 | 0 | 0 | ||
GOLAR LNG LTD | NOTE 2.750% 2/1 | 38046YAB7 | 26,179 | 29,250,000 | PRN | SOLE | 29,250,000 | 0 | 0 | ||
HARMONIC INC | NOTE 4.000%12/0 | 413160AB8 | 17,214 | 11,750,000 | PRN | SOLE | 11,750,000 | 0 | 0 | ||
ISTAR INC | NOTE 3.125% 9/1 | 45031UCB5 | 12,952 | 11,500,000 | PRN | SOLE | 11,500,000 | 0 | 0 | ||
INFINERA CORPORATION | NOTE 2.125% 9/0 | 45667GAC7 | 37,134 | 35,073,000 | PRN | SOLE | 35,073,000 | 0 | 0 | ||
INTELSAT S A | NOTE 4.500% 6/1 | 45790VAB6 | 3,661 | 5,590,000 | PRN | SOLE | 5,590,000 | 0 | 0 | ||
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 11,520 | 12,000,000 | PRN | SOLE | 12,000,000 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR SA | NOTE 5.000% 3/0 | 55932XAB0 | 12,389 | 8,225,000 | PRN | SOLE | 8,225,000 | 0 | 0 | ||
OSI SYSTEMS INC | NOTE 1.250% 9/0 | 671044AD7 | 29,921 | 27,325,000 | PRN | SOLE | 27,325,000 | 0 | 0 | ||
OMEROS CORP | NOTE 6.250%11/1 | 682143AE2 | 10,467 | 10,875,000 | PRN | SOLE | 10,875,000 | 0 | 0 | ||
PATRICK INDS INC | DBCV 1.000% 2/0 | 703343AB9 | 12,965 | 13,435,000 | PRN | SOLE | 13,435,000 | 0 | 0 | ||
PLUG POWER INC | NOTE 5.500% 3/1 | 72919PAB9 | 25,606 | 17,000,000 | PRN | SOLE | 17,000,000 | 0 | 0 | ||
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 32,595 | 26,527,000 | PRN | SOLE | 26,527,000 | 0 | 0 | ||
TTM TECHNOLOGIES INC | NOTE 1.750%12/1 | 87305RAD1 | 20,605 | 13,000,000 | PRN | SOLE | 13,000,000 | 0 | 0 | ||
TEAM INC | NOTE 5.000% 8/0 | 878155AE0 | 10,500 | 10,000,000 | PRN | SOLE | 10,000,000 | 0 | 0 | ||
TEEKAY CORPORATION | NOTE 5.000% 1/1 | 87900YAE3 | 9,254 | 10,516,000 | PRN | SOLE | 10,516,000 | 0 | 0 | ||
TELIGENT INC NEW | NOTE 4.750% 5/0 | 87960WAA2 | 3,548 | 8,157,000 | PRN | SOLE | 8,157,000 | 0 | 0 | ||
VIAVI SOLUTIONS INC | NOTE 1.000% 3/0 | 925550AB1 | 19,463 | 15,000,000 | PRN | SOLE | 15,000,000 | 0 | 0 | ||
WORKDAY INC | NOTE 0.250%10/0 | 98138HAF8 | 33,903 | 26,500,000 | PRN | SOLE | 26,500,000 | 0 | 0 | ||
MEDICINES CO | COM | 584688105 | 16,988 | 200,000 | SH | Call | SOLE | 200,000 | 0 | 0 | |
MEDICINES CO | COM | 584688105 | 16,988 | 200,000 | SH | Call | SOLE | 200,000 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 106,305 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 80,465 | 250,000 | SH | Call | SOLE | 250,000 | 0 | 0 | |
DYCOM INDS INC | COM | 267475101 | 943 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
INVACARE CORP | COM | 461203101 | 541 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
KINDRED BIOSCIENCES INC | COM | 494577109 | 4,585 | 540,678 | SH | SOLE | 540,678 | 0 | 0 | ||
RUMBLEON INC | COM CL B | 781386206 | 1,769 | 2,141,671 | SH | SOLE | 2,141,671 | 0 | 0 | ||
SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 449 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
UNIVERSAL TECHNICAL INST INC | COM | 913915104 | 386 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
ADESTO TECHNOLOGIES CORP | COM | 00687D101 | 848 | 99,800 | SH | SOLE | 99,800 | 0 | 0 | ||
AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 8,825 | 1,103,156 | SH | SOLE | 1,103,156 | 0 | 0 | ||
B RILEY PRINCIPAL MERGER COR | CL A | 05586Y106 | 3,754 | 375,000 | SH | SOLE | 375,000 | 0 | 0 | ||
CONTURA ENERGY INC | COM | 21241B100 | 2,381 | 263,107 | SH | SOLE | 263,107 | 0 | 0 | ||
FLUIDIGM CORP DEL | COM | 34385P108 | 552 | 158,698 | SH | SOLE | 158,698 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 | 6,379 | 549,459 | SH | SOLE | 549,459 | 0 | 0 | ||
SENSEONICS HLDGS INC | COM | 81727U105 | 2,503 | 2,732,086 | SH | SOLE | 2,732,086 | 0 | 0 | ||
SERVICESOURCE INTL INC | COM | 81763U100 | 2,505 | 1,500,000 | SH | SOLE | 1,500,000 | 0 | 0 | ||
TELIGENT INC NEW | COM | 87960W104 | 297 | 697,753 | SH | SOLE | 697,753 | 0 | 0 | ||
B RILEY PRINCIPAL MERGER COR | *W EXP 04/08/202 | 05586Y114 | 113 | 137,500 | SH | SOLE | 137,500 | 0 | 0 | ||
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 63 | 175,000 | SH | SOLE | 175,000 | 0 | 0 |