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 |
Adesto Technologies Corp | NOTE 4.2500% 15-Sep-2024 | 00687DAA9 | 10,792 | 9,550,000 | PRN | SOLE | 9,550,000 | 0 | 0 | ||
ATLAS AIR WORLDWIDE HLDGS IN | NOTE 1.875% 6/0 | 049164BJ4 | 11,600 | 14,500,000 | PRN | SOLE | 14,500,000 | 0 | 0 | ||
Chart Industries Inc | NOTE 1.0000% 15-Nov-2024 | 16115QAD2 | 14,447 | 18,462,000 | PRN | SOLE | 18,462,000 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 690 | 9,200,000 | PRN | SOLE | 9,200,000 | 0 | 0 | ||
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 2,757 | 4,047,000 | PRN | SOLE | 4,047,000 | 0 | 0 | ||
DISH NETWORK CORPORATION | NOTE 2.375% 3/1 | 25470MAD1 | 9,462 | 11,539,000 | PRN | SOLE | 11,539,000 | 0 | 0 | ||
DYCOM INDS INC | NOTE 0.750% 9/1 | 267475AB7 | 15,834 | 18,200,000 | PRN | SOLE | 18,200,000 | 0 | 0 | ||
ENCORE CAP GROUP INC | NOTE 3.250% 3/1 | 292554AK8 | 10,191 | 11,450,000 | PRN | SOLE | 11,450,000 | 0 | 0 | ||
ENSCO JERSEY FIN LTD | NOTE 3.000% 1/3 | 29359WAB1 | 3,000 | 12,000,000 | PRN | SOLE | 12,000,000 | 0 | 0 | ||
FLEXION THERAPEUTICS INC | NOTE 3.375% 5/0 | 33938JAB2 | 16,985 | 21,500,000 | PRN | SOLE | 21,500,000 | 0 | 0 | ||
FORTIVE CORP | NOTE 0.875% 2/1 | 34959JAK4 | 1,860 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
GOLAR LNG LTD | NOTE 2.750% 2/1 | 38046YAB7 | 24,743 | 38,066,000 | PRN | SOLE | 38,066,000 | 0 | 0 | ||
HARMONIC INC | NOTE 4.000%12/0 | 413160AB8 | 4,983 | 4,250,000 | PRN | SOLE | 4,250,000 | 0 | 0 | ||
ISTAR INC | NOTE 3.125% 9/1 | 45031UCB5 | 8,203 | 8,500,000 | PRN | SOLE | 8,500,000 | 0 | 0 | ||
INFINERA CORP | NOTE 2.125% 9/0 | 45667GAC7 | 28,621 | 33,573,000 | PRN | SOLE | 33,573,000 | 0 | 0 | ||
INTELSAT S A | NOTE 4.500% 6/1 | 45790VAB6 | 3,586 | 15,590,000 | PRN | SOLE | 15,590,000 | 0 | 0 | ||
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 10,810 | 11,500,000 | PRN | SOLE | 11,500,000 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR SA | NOTE 5.000% 3/0 | 55932XAB0 | 12,390 | 8,725,000 | PRN | SOLE | 8,725,000 | 0 | 0 | ||
NEW RELIC INC | NOTE 0.500% 5/0 | 64829BAB6 | 2,286 | 2,689,000 | PRN | SOLE | 2,689,000 | 0 | 0 | ||
OSI SYSTEMS INC | NOTE 1.250% 9/0 | 671044AD7 | 21,362 | 22,575,000 | PRN | SOLE | 22,575,000 | 0 | 0 | ||
PALO ALTO NETWORKS INC | NOTE 0.750% 7/0 | 697435AD7 | 2,888 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
PATRICK INDS INC | DBCV 1.000% 2/0 | 703343AB9 | 8,609 | 10,435,000 | PRN | SOLE | 10,435,000 | 0 | 0 | ||
PLUG POWER INC | NOTE 5.500% 3/1 | 72919PAB9 | 27,710 | 17,000,000 | PRN | SOLE | 17,000,000 | 0 | 0 | ||
Pluralsight Inc | NOTE 0.3750% 01-Mar-2024 | 72941BAA4 | 14,060 | 18,500,000 | PRN | SOLE | 18,500,000 | 0 | 0 | ||
RETROPHIN INC | NOTE 2.500% 9/1 | 761299AB2 | 5,460 | 7,000,000 | PRN | SOLE | 7,000,000 | 0 | 0 | ||
SCORPIO TANKERS INC | NOTE 3.000% 5/1 | 80918TAB5 | 28,530 | 34,530,000 | PRN | SOLE | 34,530,000 | 0 | 0 | ||
SOLARCITY CORP | NOTE 12/0 | 83416TAE0 | 17,950 | 10,000,000 | PRN | SOLE | 10,000,000 | 0 | 0 | ||
SYNAPTICS INC | NOTE 0.500% 6/1 | 87157DAD1 | 15,125 | 14,500,000 | PRN | SOLE | 14,500,000 | 0 | 0 | ||
TTM TECHNOLOGIES INC | NOTE 1.750%12/1 | 87305RAD1 | 9,695 | 8,500,000 | PRN | SOLE | 8,500,000 | 0 | 0 | ||
TEAM INC | NOTE 5.000% 8/0 | 878155AE0 | 10,123 | 13,408,000 | PRN | SOLE | 13,408,000 | 0 | 0 | ||
TEEKAY CORPORATION | NOTE 5.000% 1/1 | 87900YAE3 | 16,482 | 20,100,000 | PRN | SOLE | 20,100,000 | 0 | 0 | ||
TELIGENT INC NEW | NOTE 4.750% 5/0 | 87960WAA2 | 3,589 | 8,157,000 | PRN | SOLE | 8,157,000 | 0 | 0 | ||
TESLA INC | NOTE 2.000% 5/1 | 88160RAG6 | 17,876 | 9,732,000 | PRN | SOLE | 9,732,000 | 0 | 0 | ||
VIAVI SOLUTIONS INC | NOTE 1.000% 3/0 | 925550AB1 | 7,490 | 7,000,000 | PRN | SOLE | 7,000,000 | 0 | 0 | ||
WORKDAY INC | NOTE 0.250%10/0 | 98138HAF8 | 19,991 | 18,000,000 | PRN | SOLE | 18,000,000 | 0 | 0 | ||
Wright Medical Group Inc (Exchange) | NOTE 1.6250% 15-Jun-2023 | 98235TAG2 | 11,615 | 11,500,000 | PRN | SOLE | 11,500,000 | 0 | 0 | ||
MEDICINES CO | COM | 584688105 | 12,888 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
AKOUSTIS TECHNOLOGIES INC | COM | 00973N102 | 6,433 | 1,197,889 | SH | SOLE | 1,197,889 | 0 | 0 | ||
AMYRIS INC | COM NEW | 03236M200 | 3,107 | 1,213,558 | SH | SOLE | 1,213,558 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 1,373 | 223,580 | SH | SOLE | 223,580 | 0 | 0 | ||
CONTURA ENERGY INC | COM | 21241B100 | 586 | 249,307 | SH | SOLE | 249,307 | 0 | 0 | ||
DYCOM INDS INC | COM | 267475101 | 626 | 24,400 | SH | SOLE | 24,400 | 0 | 0 | ||
FLUIDIGM CORP DEL | COM | 34385P108 | 951 | 374,469 | SH | SOLE | 374,469 | 0 | 0 | ||
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 32 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
KINDRED BIOSCIENCES INC | COM | 494577109 | 2,108 | 526,988 | SH | SOLE | 526,988 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 | 6,444 | 583,180 | SH | SOLE | 583,180 | 0 | 0 | ||
RUMBLEON INC | COM CL B | 781386206 | 448 | 2,141,671 | SH | SOLE | 2,141,671 | 0 | 0 | ||
SENSEONICS HLDGS INC | COM | 81727U105 | 341 | 538,198 | SH | SOLE | 538,198 | 0 | 0 | ||
SERVICESOURCE INTL INC | COM | 81763U100 | 1,535 | 1,750,000 | SH | SOLE | 1,750,000 | 0 | 0 | ||
TELIGENT INC NEW | COM | 87960W104 | 195 | 697,753 | SH | SOLE | 697,753 | 0 | 0 | ||
BROADMARK RLTY CAP INC | COM | 11135B100 | 1,015 | 135,000 | SH | SOLE | 135,000 | 0 | 0 |