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 |
5 01 ACQUISITION CORP | COM CL A | 33836P105 | 1,862 | 186,650 | SH | SOLE | 186,650 | 0 | 0 | ||
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 7,740 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
ACER THERAPEUTICS INC | COM | 00444P108 | 2,907 | 934,755 | SH | SOLE | 934,755 | 0 | 0 | ||
ADICET BIO INC | COM | 007002108 | 5,178 | 395,875 | SH | SOLE | 395,875 | 0 | 0 | ||
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 13,560 | 1,712,088 | SH | SOLE | 1,712,088 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 17,436 | 5,150,819 | SH | SOLE | 5,150,819 | 0 | 0 | ||
AKUMIN INC | COM | 01021F109 | 21,366 | 5,774,470 | SH | SOLE | 5,774,470 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | *W EXP 02/14/202 | 02128L114 | 1,633 | 179,300 | SH | SOLE | 179,300 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 26,339 | 2,026,045 | SH | SOLE | 2,026,045 | 0 | 0 | ||
ANGION BIOMEDICA CORP | COM A | 03476J107 | 2,259 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 12,563 | 2,279,970 | SH | SOLE | 2,279,970 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 46,240 | 7,738,892 | SH | SOLE | 7,738,892 | 0 | 0 | ||
ARK ETF TR | GENOMIC REV ETF | 00214Q302 | 44,365 | 500,000 | SH | Call | SOLE | 500,000 | 0 | 0 | |
ARMSTRONG FLOORING INC | COM | 04238R106 | 2,980 | 609,349 | SH | SOLE | 609,349 | 0 | 0 | ||
ARYA SCIENCES ACQU CORP IV | CL A | G31659108 | 4,189 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | COM CL A | G3166W106 | 9,739 | 706,770 | SH | SOLE | 706,770 | 0 | 0 | ||
AVENUE THERAPEUTICS INC | COM NEW | 05360L205 | 183 | 30,211 | SH | SOLE | 30,211 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 45,236 | 623,600 | SH | SOLE | 623,600 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | UNIT 99/99/9999 | 05601V202 | 3,750 | 375,000 | SH | SOLE | 375,000 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 5,724 | 101,532 | SH | SOLE | 101,532 | 0 | 0 | ||
BANCORP INC DEL | COM | 05969A105 | 2,893 | 139,629 | SH | SOLE | 139,629 | 0 | 0 | ||
BCTG ACQUISITION CORP | COM | 05492W103 | 1,956 | 175,915 | SH | SOLE | 175,915 | 0 | 0 | ||
BOLT BIOTHERAPEUTICS INC | COM | 097702104 | 1,646 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 53,451 | 203,700 | SH | Call | SOLE | 203,700 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 12,909 | 2,561,334 | SH | SOLE | 2,561,334 | 0 | 0 | ||
CELCUITY INC | COM | 15102K100 | 1,912 | 133,367 | SH | SOLE | 133,367 | 0 | 0 | ||
CERECOR INC | COM | 15671L109 | 23,106 | 7,650,928 | SH | SOLE | 7,650,928 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 95,951 | 4,191,834 | SH | SOLE | 4,191,834 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 1,229 | 53,700 | SH | Call | SOLE | 53,700 | 0 | 0 | |
CUE BIOPHARMA INC | COM | 22978P106 | 32,989 | 2,703,983 | SH | SOLE | 2,703,983 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 18,822 | 1,662,711 | SH | SOLE | 1,662,711 | 0 | 0 | ||
CYREN LTD | SHS | M26895108 | 487 | 598,540 | SH | SOLE | 598,540 | 0 | 0 | ||
DARIOHEALTH CORP | COM NEW | 23725P209 | 14,449 | 750,194 | SH | SOLE | 750,194 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 16,115 | 4,810,513 | SH | SOLE | 4,810,513 | 0 | 0 | ||
DOVER MOTORSPORTS INC | COM | 260174107 | 5,350 | 2,597,086 | SH | SOLE | 2,597,086 | 0 | 0 | ||
DXP ENTERPRISES INC | COM NEW | 233377407 | 38,119 | 1,263,480 | SH | SOLE | 1,263,480 | 0 | 0 | ||
EHEALTH INC | COM | 28238P109 | 20,405 | 280,562 | SH | SOLE | 280,562 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 128,790 | 2,059,654 | SH | SOLE | 2,059,654 | 0 | 0 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 26,356 | 200,000 | SH | Put | SOLE | 200,000 | 0 | 0 | |
EXAGEN INC | COM | 30068X103 | 6,551 | 374,315 | SH | SOLE | 374,315 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 714 | 878,022 | SH | SOLE | 878,022 | 0 | 0 | ||
FALCON MINERALS CORP | CL A COM | 30607B109 | 12,072 | 2,688,653 | SH | SOLE | 2,688,653 | 0 | 0 | ||
FINTECH ACQUISITION CORP IV | UNIT 12/31/2025 | 31810N302 | 13,776 | 1,200,000 | SH | SOLE | 1,200,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | UNIT 99/99/9999 | 31810Q305 | 11,950 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 30,368 | 8,602,693 | SH | SOLE | 8,602,693 | 0 | 0 | ||
FTAC ATHENA ACQUISITION CORP | UNIT 99/99/9999 | G37283127 | 10,000 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | UNIT 02/28/2026 | G3728Y129 | 9,990 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FTAC OLYMPUS ACQUISITION COR | *W EXP 08/28/202 | G37288126 | 2,035 | 333,327 | SH | SOLE | 333,327 | 0 | 0 | ||
FTAC OLYMPUS ACQUISITION COR | CL A SHS | G37288100 | 15,949 | 1,508,889 | SH | SOLE | 1,508,889 | 0 | 0 | ||
FTAC PARNASSUS ACQUISITN COR | UNIT 03/10/2026 | 30319B207 | 9,930 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 4,162 | 1,213,540 | SH | SOLE | 1,213,540 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 22,944 | 908,323 | SH | SOLE | 908,323 | 0 | 0 | ||
HARPOON THERAPEUTICS INC | COM | 41358P106 | 9,473 | 452,813 | SH | SOLE | 452,813 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 6,705 | 35,600 | SH | SOLE | 35,600 | 0 | 0 | ||
HEALTHCOR CATALIO ACQU CORP | CL A SHS | G44125105 | 2,906 | 290,596 | SH | SOLE | 290,596 | 0 | 0 | ||
HOOKIPA PHARMA INC | COM | 43906K100 | 12,105 | 900,000 | SH | SOLE | 900,000 | 0 | 0 | ||
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 1,989 | 363,622 | SH | SOLE | 363,622 | 0 | 0 | ||
IKENA ONCOLOGY INC | COM | 45175G108 | 9,181 | 325,000 | SH | SOLE | 325,000 | 0 | 0 | ||
IMAC HLDGS INC | COM | 44967K104 | 4,125 | 2,500,000 | SH | SOLE | 2,500,000 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 29,196 | 1,452,523 | SH | SOLE | 1,452,523 | 0 | 0 | ||
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 1,614 | 226,471 | SH | SOLE | 226,471 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 27,372 | 2,441,765 | SH | SOLE | 2,441,765 | 0 | 0 | ||
INSU ACQUISITION CORP III | UNIT 12/31/2026 | 457817302 | 10,100 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 22,643 | 1,508,518 | SH | SOLE | 1,508,518 | 0 | 0 | ||
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 191,478 | 600,000 | SH | Put | SOLE | 600,000 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 81,270 | 600,000 | SH | Put | SOLE | 600,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 60,481 | 273,745 | SH | SOLE | 273,745 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 88,376 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 530,256 | 2,400,000 | SH | Put | SOLE | 2,400,000 | 0 | 0 | |
KEROS THERAPEUTICS INC | COM | 492327101 | 28,336 | 460,372 | SH | SOLE | 460,372 | 0 | 0 | ||
KINTARA THERAPEUTICS INC | COM | 49720K101 | 1,571 | 902,677 | SH | SOLE | 902,677 | 0 | 0 | ||
LAVA THERAPEUTICS NV | SHS | N51517105 | 5,791 | 381,227 | SH | SOLE | 381,227 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 9,578 | 1,494,298 | SH | SOLE | 1,494,298 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 46,823 | 2,200,347 | SH | SOLE | 2,200,347 | 0 | 0 | ||
MEDIACO HLDG INC | CL A | 58450D104 | 346 | 103,680 | SH | SOLE | 103,680 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 3,824 | 608,974 | SH | SOLE | 608,974 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 44,756 | 987,784 | SH | SOLE | 987,784 | 0 | 0 | ||
METROMILE INC | *W EXP 02/09/202 | 591697115 | 3,405 | 524,964 | SH | SOLE | 524,964 | 0 | 0 | ||
METROMILE INC | COM | 591697107 | 25,030 | 2,432,490 | SH | SOLE | 2,432,490 | 0 | 0 | ||
PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 698884AC7 | 7,506 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
PAYA HOLDINGS INC | COM CL A | 70434P103 | 15,280 | 1,394,116 | SH | SOLE | 1,394,116 | 0 | 0 | ||
QAD INC | CL A | 74727D306 | 63,895 | 959,666 | SH | SOLE | 959,666 | 0 | 0 | ||
READING INTL INC | CL A | 755408101 | 11,760 | 2,118,875 | SH | SOLE | 2,118,875 | 0 | 0 | ||
REGIS CORP MINN | COM | 758932107 | 5,024 | 400,000 | SH | Put | SOLE | 400,000 | 0 | 0 | |
RMR GROUP INC | CL A | 74967R106 | 26,490 | 649,096 | SH | SOLE | 649,096 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | UNIT 02/26/2026 | 77867Q201 | 4,000 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 51,813 | 1,345,087 | SH | SOLE | 1,345,087 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 79,324 | 2,059,300 | SH | Call | SOLE | 2,059,300 | 0 | 0 | |
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 6,487 | 743,953 | SH | SOLE | 743,953 | 0 | 0 | ||
SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 1,127 | 156,573 | SH | SOLE | 156,573 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 41,411 | 5,006,840 | SH | SOLE | 5,006,840 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 3,328 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
SIGA TECHNOLOGIES INC | COM | 826917106 | 681 | 104,702 | SH | SOLE | 104,702 | 0 | 0 | ||
SILVERBACK THERAPEUTICS INC | COM | 82835W108 | 42,697 | 992,242 | SH | SOLE | 992,242 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 9,849 | 7,816,729 | SH | SOLE | 7,816,729 | 0 | 0 | ||
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 7,655 | 4,583,908 | SH | SOLE | 4,583,908 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 44,774 | 2,002,410 | SH | SOLE | 2,002,410 | 0 | 0 | ||
TAYSHA GENE THERAPIES INC | COM SHS | 877619106 | 750 | 36,956 | SH | SOLE | 36,956 | 0 | 0 | ||
TELADOC HEALTH INC | COM | 87918A105 | 18,175 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
TELIGENT INC NEW | COM NEW | 87960W203 | 2,584 | 4,155,045 | SH | SOLE | 4,155,045 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 853 | 16,408 | SH | SOLE | 16,408 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 45,547 | 875,900 | SH | Call | SOLE | 875,900 | 0 | 0 | |
TFF PHARMACEUTICALS INC | COM | 87241J104 | 5,191 | 382,553 | SH | SOLE | 382,553 | 0 | 0 | ||
THE AARONS COMPANY INC | COM | 00258W108 | 899 | 35,026 | SH | SOLE | 35,026 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 51,168 | 836,626 | SH | SOLE | 836,626 | 0 | 0 | ||
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 35,025 | 1,291,003 | SH | SOLE | 1,291,003 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 56,360 | 1,672,891 | SH | SOLE | 1,672,891 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 50,535 | 1,500,000 | SH | Call | SOLE | 1,500,000 | 0 | 0 | |
VIEMED HEALTHCARE INC | COM | 92663R105 | 19,538 | 1,930,590 | SH | SOLE | 1,930,590 | 0 | 0 | ||
VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 | 12,252 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
VONAGE HLDGS CORP | COM | 92886T201 | 54,817 | 4,637,611 | SH | SOLE | 4,637,611 | 0 | 0 | ||
VONAGE HLDGS CORP | COM | 92886T201 | 14,775 | 1,250,000 | SH | Call | SOLE | 1,250,000 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 16,172 | 2,882,786 | SH | SOLE | 2,882,786 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 410,434 | 1,304,000 | SH | Call | SOLE | 1,304,000 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 9,234 | 473,055 | SH | SOLE | 473,055 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 12,551 | 3,091,286 | SH | SOLE | 3,091,286 | 0 | 0 |