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 | 1,861 | 186,650 | SH | SOLE | 186,650 | 0 | 0 | ||
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 7,317 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
ACER THERAPEUTICS INC | COM | 00444P108 | 2,673 | 934,755 | SH | SOLE | 934,755 | 0 | 0 | ||
ADICET BIO INC | COM | 007002108 | 3,195 | 310,540 | SH | SOLE | 310,540 | 0 | 0 | ||
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 11,672 | 1,677,036 | SH | SOLE | 1,677,036 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 19,595 | 5,170,063 | SH | SOLE | 5,170,063 | 0 | 0 | ||
AKUMIN INC | COM | 01021F109 | 19,595 | 6,220,740 | SH | SOLE | 6,220,740 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 27,302 | 2,054,289 | SH | SOLE | 2,054,289 | 0 | 0 | ||
ANGION BIOMEDICA CORP | COM | 03476J107 | 1,628 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 18,772 | 2,317,491 | SH | SOLE | 2,317,491 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 25,038 | 7,541,497 | SH | SOLE | 7,541,497 | 0 | 0 | ||
ARYA SCIENCES ACQU CORP IV | CL A | G31659108 | 4,288 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
AT HOME GROUP INC | COM | 04650Y100 | 10,499 | 285,000 | SH | SOLE | 285,000 | 0 | 0 | ||
AUTOLUS THERAPEUTICS PLC | SPON ADS | 05280R100 | 11,909 | 1,793,500 | SH | SOLE | 1,793,500 | 0 | 0 | ||
AVENUE THERAPEUTICS INC | COM NEW | 05360L205 | 76 | 30,211 | SH | SOLE | 30,211 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 8,030 | 103,100 | SH | SOLE | 103,100 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | UNIT 99/99/9999 | 05601V202 | 3,799 | 375,000 | SH | SOLE | 375,000 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 7,162 | 94,858 | SH | SOLE | 94,858 | 0 | 0 | ||
BBQ HLDGS INC | COM | 05551A109 | 18,980 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
BOLT BIOTHERAPEUTICS INC | COM | 097702104 | 773 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
BUCKLE INC | COM | 118440106 | 19,900 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 61,481 | 203,700 | SH | Call | SOLE | 203,700 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 10,961 | 2,531,360 | SH | SOLE | 2,531,360 | 0 | 0 | ||
CERECOR INC | COM | 15671L109 | 20,685 | 6,325,677 | SH | SOLE | 6,325,677 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 87,496 | 3,861,232 | SH | SOLE | 3,861,232 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 31,195 | 2,677,666 | SH | SOLE | 2,677,666 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 16,814 | 2,083,536 | SH | SOLE | 2,083,536 | 0 | 0 | ||
CYREN LTD | SHS | M26895108 | 485 | 598,540 | SH | SOLE | 598,540 | 0 | 0 | ||
DARIOHEALTH CORP | COM NEW | 23725P209 | 22,717 | 1,063,515 | SH | SOLE | 1,063,515 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 12,773 | 3,778,900 | SH | SOLE | 3,778,900 | 0 | 0 | ||
DOVER MOTORSPORTS INC | COM | 260174107 | 5,843 | 2,597,086 | SH | SOLE | 2,597,086 | 0 | 0 | ||
DXP ENTERPRISES INC | COM NEW | 233377407 | 42,597 | 1,279,183 | SH | SOLE | 1,279,183 | 0 | 0 | ||
ELOXX PHARMACEUTICALS INC | COM | 29014R103 | 4,510 | 2,266,287 | SH | SOLE | 2,266,287 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 168,327 | 1,927,264 | SH | SOLE | 1,927,264 | 0 | 0 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 12,431 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
EXAGEN INC | COM | 30068X103 | 5,515 | 367,936 | SH | SOLE | 367,936 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 167 | 878,022 | SH | SOLE | 878,022 | 0 | 0 | ||
FALCON MINERALS CORP | CL A COM | 30607B109 | 13,344 | 2,626,748 | SH | SOLE | 2,626,748 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | UNIT 99/99/9999 | 31810Q305 | 13,080 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP VI | UNIT 06/24/2026 | 31811H205 | 10,090 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 26,879 | 7,529,169 | SH | SOLE | 7,529,169 | 0 | 0 | ||
FTAC ATHENA ACQUISITION CORP | UNIT 99/99/9999 | G37283127 | 10,200 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | UNIT 02/28/2026 | G3728Y129 | 10,045 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FTAC PARNASSUS ACQUISITN COR | UNIT 03/10/2026 | 30319B207 | 10,050 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 2,872 | 944,631 | SH | SOLE | 944,631 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 32,526 | 726,027 | SH | SOLE | 726,027 | 0 | 0 | ||
HARPOON THERAPEUTICS INC | COM | 41358P106 | 6,148 | 443,247 | SH | SOLE | 443,247 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 7,360 | 35,600 | SH | SOLE | 35,600 | 0 | 0 | ||
HEALTHCOR CATALIO ACQU CORP | CL A SHS | G44125105 | 3,490 | 354,296 | SH | SOLE | 354,296 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 14,659 | 278,000 | SH | Call | SOLE | 278,000 | 0 | 0 | |
HOOKIPA PHARMA INC | COM | 43906K100 | 4,691 | 512,108 | SH | SOLE | 512,108 | 0 | 0 | ||
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 2,113 | 363,622 | SH | SOLE | 363,622 | 0 | 0 | ||
IKENA ONCOLOGY INC | COM | 45175G108 | 4,909 | 349,660 | SH | SOLE | 349,660 | 0 | 0 | ||
IMAC HLDGS INC | COM | 44967K104 | 4,898 | 2,473,637 | SH | SOLE | 2,473,637 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 12,900 | 600,000 | SH | Call | SOLE | 600,000 | 0 | 0 | |
IMAX CORP | COM | 45245E109 | 47,117 | 2,191,490 | SH | SOLE | 2,191,490 | 0 | 0 | ||
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 779 | 226,471 | SH | SOLE | 226,471 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 29,543 | 2,544,622 | SH | SOLE | 2,544,622 | 0 | 0 | ||
INSU ACQUISITION CORP III | UNIT 12/31/2026 | 457817302 | 10,050 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 25,575 | 1,722,240 | SH | SOLE | 1,722,240 | 0 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 173,220 | 1,200,000 | SH | Put | SOLE | 1,200,000 | 0 | 0 | |
ISHARES TR | RUS 2000 GRW ETF | 464287648 | 93,507 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 458,740 | 2,000,000 | SH | Put | SOLE | 2,000,000 | 0 | 0 | |
KEROS THERAPEUTICS INC | COM | 492327101 | 25,434 | 598,880 | SH | SOLE | 598,880 | 0 | 0 | ||
KINTARA THERAPEUTICS INC | COM | 49720K101 | 1,188 | 523,279 | SH | SOLE | 523,279 | 0 | 0 | ||
KIRKLANDS INC | COM | 497498105 | 3,032 | 132,500 | SH | Put | SOLE | 132,500 | 0 | 0 | |
LAVA THERAPEUTICS NV | SHS | N51517105 | 4,148 | 381,227 | SH | SOLE | 381,227 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 11,345 | 1,458,208 | SH | SOLE | 1,458,208 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 46,570 | 2,093,024 | SH | SOLE | 2,093,024 | 0 | 0 | ||
MEDIACO HLDG INC | CL A | 58450D104 | 373 | 103,680 | SH | SOLE | 103,680 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 3,655 | 571,946 | SH | SOLE | 571,946 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 54,373 | 1,073,936 | SH | SOLE | 1,073,936 | 0 | 0 | ||
METROMILE INC | *W EXP 02/09/202 | 591697115 | 1,234 | 558,296 | SH | SOLE | 558,296 | 0 | 0 | ||
METROMILE INC | COM | 591697107 | 25,006 | 2,732,851 | SH | SOLE | 2,732,851 | 0 | 0 | ||
MILLER HERMAN INC | COM | 600544100 | 23,570 | 500,000 | SH | Call | SOLE | 500,000 | 0 | 0 | |
MILLER HERMAN INC | COM | 600544100 | 64,406 | 1,366,266 | SH | SOLE | 1,366,266 | 0 | 0 | ||
NAUTILUS BIOTECHNOLOGY INC | COM | 63909J108 | 12,027 | 1,190,810 | SH | SOLE | 1,190,810 | 0 | 0 | ||
NEUROPACE INC | COM | 641288105 | 3,507 | 147,404 | SH | SOLE | 147,404 | 0 | 0 | ||
PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 698884AC7 | 10,884 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
PARTY CITY HOLDCO INC | COM | 702149105 | 9,330 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
PAYA HOLDINGS INC | COM CL A | 70434P103 | 16,465 | 1,494,116 | SH | SOLE | 1,494,116 | 0 | 0 | ||
PAYONEER GLOBAL INC | *W EXP 06/25/202 | 70451X112 | 790 | 333,327 | SH | SOLE | 333,327 | 0 | 0 | ||
PAYONEER GLOBAL INC | COM | 70451X104 | 18,758 | 1,808,889 | SH | SOLE | 1,808,889 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 24,804 | 200,000 | SH | Call | SOLE | 200,000 | 0 | 0 | |
PERELLA WEINBERG PARTNERS | *W EXP 12/31/202 | 71367G110 | 1,112 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
PERELLA WEINBERG PARTNERS | CLASS A COM | 71367G102 | 19,431 | 1,510,996 | SH | SOLE | 1,510,996 | 0 | 0 | ||
QAD INC | CL A | 74727D306 | 80,646 | 926,756 | SH | SOLE | 926,756 | 0 | 0 | ||
READING INTL INC | CL A | 755408101 | 16,148 | 2,316,739 | SH | SOLE | 2,316,739 | 0 | 0 | ||
RED VIOLET INC | COM | 75704L104 | 23,520 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
REGIS CORP MINN | COM | 758932107 | 5,148 | 550,000 | SH | Put | SOLE | 550,000 | 0 | 0 | |
RMR GROUP INC | CL A | 74967R106 | 25,540 | 660,984 | SH | SOLE | 660,984 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | UNIT 02/26/2026 | 77867Q201 | 4,110 | 399,006 | SH | SOLE | 399,006 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 120,752 | 1,559,300 | SH | Call | SOLE | 1,559,300 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 18,402 | 237,628 | SH | SOLE | 237,628 | 0 | 0 | ||
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 9,481 | 779,349 | SH | SOLE | 779,349 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 42,917 | 5,001,932 | SH | SOLE | 5,001,932 | 0 | 0 | ||
SIGA TECHNOLOGIES INC | COM | 826917106 | 312 | 49,605 | SH | SOLE | 49,605 | 0 | 0 | ||
SILVERBACK THERAPEUTICS INC | COM | 82835W108 | 39,115 | 1,266,266 | SH | SOLE | 1,266,266 | 0 | 0 | ||
SOARING EAGLE ACQUISITION CO | CL A SHS | G8354H126 | 9,754 | 979,358 | SH | SOLE | 979,358 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 11,132 | 9,765,129 | SH | SOLE | 9,765,129 | 0 | 0 | ||
SPDR SER TR | S&P BIOTECH | 78464A870 | 54,160 | 400,000 | SH | Put | SOLE | 400,000 | 0 | 0 | |
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 7,151 | 4,583,908 | SH | SOLE | 4,583,908 | 0 | 0 | ||
SUSTAINABLE OPPORTNTS ACQ CO | *W EXP 99/99/999 | G8598Y117 | 1,156 | 802,758 | SH | SOLE | 802,758 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 44,528 | 2,593,337 | SH | SOLE | 2,593,337 | 0 | 0 | ||
TAYSHA GENE THERAPIES INC | COM SHS | 877619106 | 9,160 | 432,072 | SH | SOLE | 432,072 | 0 | 0 | ||
TELADOC HEALTH INC | COM | 87918A105 | 39,910 | 240,000 | SH | Put | SOLE | 240,000 | 0 | 0 | |
TELIGENT INC NEW | COM NEW | 87960W203 | 1,294 | 2,418,987 | SH | SOLE | 2,418,987 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 58,676 | 875,900 | SH | Call | SOLE | 875,900 | 0 | 0 | |
TFF PHARMACEUTICALS INC | COM | 87241J104 | 3,535 | 367,817 | SH | SOLE | 367,817 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 49,349 | 830,092 | SH | SOLE | 830,092 | 0 | 0 | ||
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 37,746 | 1,290,898 | SH | SOLE | 1,290,898 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 64,862 | 2,105,900 | SH | Call | SOLE | 2,105,900 | 0 | 0 | |
UNIQURE NV | SHS | N90064101 | 54,293 | 1,762,766 | SH | SOLE | 1,762,766 | 0 | 0 | ||
VIEMED HEALTHCARE INC | COM | 92663R105 | 12,159 | 1,700,596 | SH | SOLE | 1,700,596 | 0 | 0 | ||
VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 | 18,400 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
VONAGE HLDGS CORP | COM | 92886T201 | 18,012 | 1,250,000 | SH | Call | SOLE | 1,250,000 | 0 | 0 | |
VONAGE HLDGS CORP | COM | 92886T201 | 61,489 | 4,267,140 | SH | SOLE | 4,267,140 | 0 | 0 | ||
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 11,950 | 1,794,232 | SH | SOLE | 1,794,232 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 411,686 | 1,304,000 | SH | Call | SOLE | 1,304,000 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 6,682 | 386,696 | SH | SOLE | 386,696 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 8,136 | 3,141,286 | SH | SOLE | 3,141,286 | 0 | 0 |