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 |
ACER THERAPEUTICS INC | COM | 00444P108 | 3,398 | 990,655 | SH | SOLE | 990,655 | 0 | 0 | ||
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 1,044 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 29,645 | 3,204,830 | SH | SOLE | 3,204,830 | 0 | 0 | ||
AIMMUNE THERAPEUTICS INC | COM | 00900T107 | 8,920 | 533,788 | SH | SOLE | 533,788 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 82,853 | 6,101,111 | SH | SOLE | 6,101,111 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 18,927 | 2,435,887 | SH | SOLE | 2,435,887 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 580 | 187,500 | SH | SOLE | 187,500 | 0 | 0 | ||
AMYRIS INC | COM NEW | 03236M200 | 12,582 | 1,664,171 | SH | SOLE | 1,664,171 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 3,023 | 1,848,672 | SH | SOLE | 1,848,672 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 37,714 | 5,976,852 | SH | SOLE | 5,976,852 | 0 | 0 | ||
ARMSTRONG FLOORING INC | COM | 04238R106 | 4,654 | 1,556,435 | SH | SOLE | 1,556,435 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | SHS CL A | G3165V109 | 17,504 | 1,112,087 | SH | SOLE | 1,112,087 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | UNIT 10/04/2023 | G3165V117 | 8,352 | 452,944 | SH | SOLE | 452,944 | 0 | 0 | ||
ARYA SCIENCES ACQUISTION CO | UNIT 06/09/2027 | G31655114 | 9,856 | 850,000 | SH | SOLE | 850,000 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 34,335 | 1,500,000 | SH | Put | SOLE | 1,500,000 | 0 | 0 | |
AVIS BUDGET GROUP | COM | 053774105 | 15,055 | 657,700 | SH | Call | SOLE | 657,700 | 0 | 0 | |
BANCORP INC DEL | COM | 05969A105 | 25,715 | 2,623,939 | SH | SOLE | 2,623,939 | 0 | 0 | ||
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 21,816 | 5,003,631 | SH | SOLE | 5,003,631 | 0 | 0 | ||
CAESARS ENTMT CORP | COM | 127686103 | 13,260 | 331,000 | SH | Call | SOLE | 331,000 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 70 | 583 | SH | SOLE | 583 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 92,266 | 767,600 | SH | Call | SOLE | 767,600 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 34,161 | 284,200 | SH | Call | SOLE | 284,200 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 90,222 | 750,600 | SH | Call | SOLE | 750,600 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 10,694 | 1,821,749 | SH | SOLE | 1,821,749 | 0 | 0 | ||
CATASYS INC | COM PAR | 149049504 | 10,323 | 417,249 | SH | SOLE | 417,249 | 0 | 0 | ||
CERECOR INC | COM | 15671L109 | 14,772 | 5,681,404 | SH | SOLE | 5,681,404 | 0 | 0 | ||
CHEMBIO DIAGNOSTICS INC | COM NEW | 163572209 | 815 | 250,793 | SH | SOLE | 250,793 | 0 | 0 | ||
CHEMOCENTRYX INC | COM | 16383L106 | 280 | 4,859 | SH | SOLE | 4,859 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 61,144 | 5,363,484 | SH | SOLE | 5,363,484 | 0 | 0 | ||
CRH MED CORP | COM | 12626F105 | 14,168 | 6,777,905 | SH | SOLE | 6,777,905 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 56,995 | 2,325,388 | SH | SOLE | 2,325,388 | 0 | 0 | ||
CYREN LTD | SHS | M26895108 | 1,254 | 1,062,786 | SH | SOLE | 1,062,786 | 0 | 0 | ||
DARIOHEALTH CORP | COM NEW | 23725P209 | 1,359 | 214,091 | SH | SOLE | 214,091 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 10,163 | 4,839,595 | SH | SOLE | 4,839,595 | 0 | 0 | ||
DIAMEDICA THERAPEUTICS INC | COM NEW | 25253X207 | 5,198 | 750,000 | SH | SOLE | 750,000 | 0 | 0 | ||
DOLBY LABORATORIES INC | COM CL A | 25659T107 | 61,272 | 930,193 | SH | SOLE | 930,193 | 0 | 0 | ||
DOVER MOTORSPORTS INC | COM | 260174107 | 2,628 | 1,695,541 | SH | SOLE | 1,695,541 | 0 | 0 | ||
DXP ENTERPRISES INC NEW | COM NEW | 233377407 | 31,846 | 1,599,482 | SH | SOLE | 1,599,482 | 0 | 0 | ||
EBIX INC | COM NEW | 278715206 | 1,498 | 66,997 | SH | SOLE | 66,997 | 0 | 0 | ||
EHEALTH INC | COM | 28238P109 | 3,031 | 30,849 | SH | SOLE | 30,849 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 35,636 | 1,907,713 | SH | SOLE | 1,907,713 | 0 | 0 | ||
EVERI HLDGS INC | COM | 30034T103 | 5,174 | 1,002,648 | SH | SOLE | 1,002,648 | 0 | 0 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 13,041 | 150,000 | SH | Put | SOLE | 150,000 | 0 | 0 | |
EXELA TECHNOLOGIES INC | COM | 30162V102 | 8,751 | 15,790,720 | SH | SOLE | 15,790,720 | 0 | 0 | ||
FALCON MINERALS CORP | CL A COM | 30607B109 | 6,386 | 1,995,603 | SH | SOLE | 1,995,603 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 282 | 878,022 | SH | SOLE | 878,022 | 0 | 0 | ||
FINTECH ACQUISITION CORP III | UNIT 12/01/2023 | 31811A309 | 12,278 | 977,022 | SH | SOLE | 977,022 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 11,859 | 4,424,938 | SH | SOLE | 4,424,938 | 0 | 0 | ||
FRANCHISE GROUP INC | COM | 35180X105 | 25,336 | 1,157,965 | SH | SOLE | 1,157,965 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 9,908 | 2,072,745 | SH | SOLE | 2,072,745 | 0 | 0 | ||
GLOBAL EAGLE ENTMT INC | COM NEW | 37951D300 | 5,504 | 1,161,255 | SH | SOLE | 1,161,255 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 18,980 | 2,127,788 | SH | SOLE | 2,127,788 | 0 | 0 | ||
HALLIBURTON CO | COM | 406216101 | 14,099 | 1,086,200 | SH | Call | SOLE | 1,086,200 | 0 | 0 | |
HCA HEALTHCARE INC | COM | 40412C101 | 28,827 | 296,999 | SH | SOLE | 296,999 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 14,559 | 150,000 | SH | Put | SOLE | 150,000 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 705 | 500,000 | SH | Call | SOLE | 500,000 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 1,128 | 800,000 | SH | Call | SOLE | 800,000 | 0 | 0 | |
HTG MOLECULAR DIAGNOSTICS IN | COM | 40434H104 | 3,643 | 5,060,160 | SH | SOLE | 5,060,160 | 0 | 0 | ||
INMODE LTD | SHS | M5425M103 | 14,496 | 511,856 | SH | SOLE | 511,856 | 0 | 0 | ||
INSURANCE ACQUISITION CORP | UNIT 03/31/2024 | 457867307 | 7,500 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 36,292 | 2,912,690 | SH | SOLE | 2,912,690 | 0 | 0 | ||
ISHARES TR | IBOXX HI YD ETF | 464288513 | 97,944 | 1,200,000 | SH | Put | SOLE | 1,200,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 33,586 | 234,569 | SH | SOLE | 234,569 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 85,908 | 600,000 | SH | Call | SOLE | 600,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 85,908 | 600,000 | SH | Call | SOLE | 600,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 357,950 | 2,500,000 | SH | Put | SOLE | 2,500,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 85,908 | 600,000 | SH | Put | SOLE | 600,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 143,180 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 12,962 | 848,881 | SH | SOLE | 848,881 | 0 | 0 | ||
KEROS THERAPEUTICS INC | COM A | 492327101 | 10,315 | 275,000 | SH | SOLE | 275,000 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 9,504 | 2,436,805 | SH | SOLE | 2,436,805 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 31,887 | 2,253,472 | SH | SOLE | 2,253,472 | 0 | 0 | ||
MARRIOTT VACTINS WORLDWID CO | COM | 57164Y107 | 44,528 | 541,633 | SH | SOLE | 541,633 | 0 | 0 | ||
MEDIACO HLDG INC | CL A | 58450D104 | 515 | 98,894 | SH | SOLE | 98,894 | 0 | 0 | ||
MEDIFAST INC | COM | 58470H101 | 37,878 | 272,957 | SH | SOLE | 272,957 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 2,490 | 747,635 | SH | SOLE | 747,635 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 32,701 | 1,799,727 | SH | SOLE | 1,799,727 | 0 | 0 | ||
MOTUS GI HLDGS INC | COM | 62014P108 | 551 | 417,708 | SH | SOLE | 417,708 | 0 | 0 | ||
NANTKWEST INC | COM | 63016Q102 | 614 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
NATURES SUNSHINE PRODS INC | COM | 639027101 | 5,382 | 597,310 | SH | SOLE | 597,310 | 0 | 0 | ||
NELNET INC | CL A | 64031N108 | 1,666 | 34,900 | SH | SOLE | 34,900 | 0 | 0 | ||
NEOS THERAPEUTICS INC | COM | 64052L106 | 3,158 | 4,610,000 | SH | SOLE | 4,610,000 | 0 | 0 | ||
NN INC | COM | 629337106 | 1,972 | 415,988 | SH | SOLE | 415,988 | 0 | 0 | ||
ON DECK CAP INC | COM | 682163100 | 3,366 | 4,685,269 | SH | SOLE | 4,685,269 | 0 | 0 | ||
PAR TECHNOLOGY CORP | COM | 698884103 | 16,687 | 557,528 | SH | SOLE | 557,528 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 17,331 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
PENN NATL GAMING INC | COM | 707569109 | 9,162 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
QAD INC | CL A | 74727D306 | 48,457 | 1,173,868 | SH | SOLE | 1,173,868 | 0 | 0 | ||
RAFAEL HLDGS INC | COM CL B | 75062E106 | 6,763 | 470,604 | SH | SOLE | 470,604 | 0 | 0 | ||
READING INTERNATIONAL INC | CL A | 755408101 | 6,650 | 1,564,634 | SH | SOLE | 1,564,634 | 0 | 0 | ||
RENT A CTR INC NEW | COM | 76009N100 | 4,883 | 175,510 | SH | SOLE | 175,510 | 0 | 0 | ||
RESTORBIO INC | COM | 76133L103 | 6,249 | 2,906,340 | SH | SOLE | 2,906,340 | 0 | 0 | ||
RH | COM | 74967X103 | 39,306 | 157,920 | SH | SOLE | 157,920 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 9,227 | 596,834 | SH | SOLE | 596,834 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 38,650 | 2,500,000 | SH | Call | SOLE | 2,500,000 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 2,607 | 168,600 | SH | Call | SOLE | 168,600 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 10,204 | 660,000 | SH | Call | SOLE | 660,000 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 15,460 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
SCIPLAY CORP | CL A | 809087109 | 20,243 | 1,365,032 | SH | SOLE | 1,365,032 | 0 | 0 | ||
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 5,730 | 753,885 | SH | SOLE | 753,885 | 0 | 0 | ||
SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 7,136 | 2,038,767 | SH | SOLE | 2,038,767 | 0 | 0 | ||
SIGA TECHNOLOGIES INC | COM | 826917106 | 6,947 | 1,175,438 | SH | SOLE | 1,175,438 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 16,487 | 7,426,368 | SH | SOLE | 7,426,368 | 0 | 0 | ||
SPDR SER TR | S&P REGL BKG | 78464A698 | 38,390 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 123,344 | 400,000 | SH | Put | SOLE | 400,000 | 0 | 0 | |
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 5,388 | 4,685,062 | SH | SOLE | 4,685,062 | 0 | 0 | ||
STREAMLINE HEALTH SOLUTIONS | COM | 86323X106 | 3,662 | 2,753,599 | SH | SOLE | 2,753,599 | 0 | 0 | ||
SUNESIS PHARMACEUTICALS INC | COM | 867328700 | 2,520 | 9,566,844 | SH | SOLE | 9,566,844 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 40,659 | 2,245,124 | SH | SOLE | 2,245,124 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 4,528 | 250,000 | SH | Call | SOLE | 250,000 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 10,866 | 600,000 | SH | Call | SOLE | 600,000 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 10,006 | 552,500 | SH | Call | SOLE | 552,500 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 18,110 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
TFF PHARMACEUTICALS INC | COM | 87241J104 | 4,934 | 856,517 | SH | SOLE | 856,517 | 0 | 0 | ||
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 5,196 | 337,390 | SH | SOLE | 337,390 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 70,661 | 1,568,149 | SH | SOLE | 1,568,149 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 14,081 | 312,500 | SH | Call | SOLE | 312,500 | 0 | 0 | |
UNIQURE NV | SHS | N90064101 | 33,795 | 750,000 | SH | Call | SOLE | 750,000 | 0 | 0 | |
UPLAND SOFTWARE INC | COM | 91544A109 | 18,212 | 523,946 | SH | SOLE | 523,946 | 0 | 0 | ||
VIEMED HEALTHCARE INC | COM | 92663R105 | 14,382 | 1,498,100 | SH | SOLE | 1,498,100 | 0 | 0 | ||
VONAGE HLDGS CORP | COM | 92886T201 | 51,641 | 5,133,300 | SH | SOLE | 5,133,300 | 0 | 0 | ||
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 18,193 | 1,747,679 | SH | SOLE | 1,747,679 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 32 | 164 | SH | SOLE | 164 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 98,074 | 496,300 | SH | Call | SOLE | 496,300 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 100,327 | 507,700 | SH | Call | SOLE | 507,700 | 0 | 0 | |
WAYFAIR INC | CL A | 94419L101 | 59,283 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
WORLD ACCEP CORP DEL | COM | 981419104 | 24,273 | 370,469 | SH | SOLE | 370,469 | 0 | 0 | ||
WYNDHAM DESTINATIONS INC | COM | 98310W108 | 28,009 | 993,939 | SH | SOLE | 993,939 | 0 | 0 | ||
YATRA ONLINE INC | ORD SHS | G98338109 | 3,613 | 5,320,000 | SH | SOLE | 5,320,000 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 8,118 | 2,653,087 | SH | SOLE | 2,653,087 | 0 | 0 |