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 | 1,792 | 181,927 | SH | SOLE | 181,927 | 0 | 0 | ||
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 7,002 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
ACER THERAPEUTICS INC | COM | 00444P108 | 2,055 | 901,290 | SH | SOLE | 901,290 | 0 | 0 | ||
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 13,364 | 2,813,560 | SH | SOLE | 2,813,560 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 11,116 | 4,918,565 | SH | SOLE | 4,918,565 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 2,260 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
AKUMIN INC | COM | 01021F109 | 11,061 | 6,320,740 | SH | SOLE | 6,320,740 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 28,497 | 1,946,541 | SH | SOLE | 1,946,541 | 0 | 0 | ||
ANGION BIOMEDICA CORP | COM | 03476J107 | 3,674 | 1,267,029 | SH | SOLE | 1,267,029 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 31,712 | 3,761,783 | SH | SOLE | 3,761,783 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 10,266 | 7,604,693 | SH | SOLE | 7,604,693 | 0 | 0 | ||
ARYA SCIENCES ACQU CORP IV | CL A | G31659108 | 3,959 | 399,248 | SH | SOLE | 399,248 | 0 | 0 | ||
ARYA SCIENCES ACQUISITN CORP | CLASS A ORD SHS | G31658100 | 9,698 | 999,811 | SH | SOLE | 999,811 | 0 | 0 | ||
AURA BIOSCIENCES INC | COM | 05153U107 | 1,683 | 99,146 | SH | SOLE | 99,146 | 0 | 0 | ||
AUTOLUS THERAPEUTICS PLC | SPON ADS | 05280R100 | 21,162 | 4,077,509 | SH | SOLE | 4,077,509 | 0 | 0 | ||
AVALO THERAPEUTICS INC | COM | 05338F108 | 12,148 | 7,145,874 | SH | SOLE | 7,145,874 | 0 | 0 | ||
AVENUE THERAPEUTICS INC | COM NEW | 05360L205 | 1,319 | 1,453,166 | SH | SOLE | 1,453,166 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | *W EXP 03/01/202 | 05601V111 | 181 | 124,997 | SH | SOLE | 124,997 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | COM CL A | 05601V103 | 3,538 | 349,649 | SH | SOLE | 349,649 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | UNIT 99/99/9999 | 05601V202 | 0 | 9 | SH | SOLE | 9 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 8,297 | 93,377 | SH | SOLE | 93,377 | 0 | 0 | ||
BAKKT HOLDINGS INC | COM CL A | 05759B107 | 447 | 52,499 | SH | SOLE | 52,499 | 0 | 0 | ||
BBQ HLDGS INC | COM | 05551A109 | 15,840 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
BIG 5 SPORTING GOODS CORP | COM | 08915P101 | 3,802 | 200,000 | SH | Put | SOLE | 200,000 | 0 | 0 | |
CABALETTA BIO INC | COM | 12674W109 | 1,294 | 341,538 | SH | SOLE | 341,538 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 47,216 | 203,700 | SH | Call | SOLE | 203,700 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 2,524 | 2,761,660 | SH | SOLE | 2,761,660 | 0 | 0 | ||
CIDARA THERAPEUTICS INC | COM | 171757107 | 6,693 | 5,270,458 | SH | SOLE | 5,270,458 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 100,505 | 3,214,097 | SH | SOLE | 3,214,097 | 0 | 0 | ||
COGNITION THERAPEUTICS INC | COM | 19243B102 | 1,325 | 209,588 | SH | SOLE | 209,588 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 28,724 | 2,539,700 | SH | SOLE | 2,539,700 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 11,384 | 2,391,691 | SH | SOLE | 2,391,691 | 0 | 0 | ||
CYMABAY THERAPEUTICS INC | COM | 23257D103 | 6,760 | 2,000,142 | SH | SOLE | 2,000,142 | 0 | 0 | ||
DARIOHEALTH CORP | COM NEW | 23725P209 | 18,310 | 1,411,681 | SH | SOLE | 1,411,681 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 23,251 | 3,726,184 | SH | SOLE | 3,726,184 | 0 | 0 | ||
DXP ENTERPRISES INC | COM NEW | 233377407 | 31,401 | 1,223,258 | SH | SOLE | 1,223,258 | 0 | 0 | ||
ELOXX PHARMACEUTICALS INC | COM | 29014R103 | 632 | 894,659 | SH | SOLE | 894,659 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 143,510 | 2,123,236 | SH | SOLE | 2,123,236 | 0 | 0 | ||
EXAGEN INC | COM | 30068X103 | 2,174 | 186,936 | SH | SOLE | 186,936 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 122 | 878,022 | SH | SOLE | 878,022 | 0 | 0 | ||
FALCON MINERALS CORP | CL A COM | 30607B109 | 11,565 | 2,374,707 | SH | SOLE | 2,374,707 | 0 | 0 | ||
FARADAY FUTRE INTLGT ELCTR I | COM | 307359109 | 1,862 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | *W EXP 12/31/202 | 31810Q115 | 490 | 333,331 | SH | SOLE | 333,331 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | COM CL A | 31810Q107 | 9,835 | 991,432 | SH | SOLE | 991,432 | 0 | 0 | ||
FINTECH ACQUISITION CORP VI | UNIT 06/24/2026 | 31811H205 | 10,005 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 22,715 | 9,086,005 | SH | SOLE | 9,086,005 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | *W EXP 02/28/202 | G3728Y111 | 237 | 249,997 | SH | SOLE | 249,997 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | CLASS A ORD SHS | G3728Y103 | 9,098 | 931,191 | SH | SOLE | 931,191 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | UNIT 02/28/2026 | G3728Y129 | 0 | 9 | SH | SOLE | 9 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 542 | 297,947 | SH | SOLE | 297,947 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 54,134 | 1,071,315 | SH | SOLE | 1,071,315 | 0 | 0 | ||
GUARDFORCE AI CO LTD | *W EXP 09/01/202 | G4236L120 | 333 | 600,000 | SH | SOLE | 600,000 | 0 | 0 | ||
HARPOON THERAPEUTICS INC | COM | 41358P106 | 3,590 | 475,467 | SH | SOLE | 475,467 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 9,146 | 35,600 | SH | SOLE | 35,600 | 0 | 0 | ||
HELIOGEN INC | COMMON STOCK | 42329E105 | 12,021 | 775,001 | SH | SOLE | 775,001 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 11,379 | 278,000 | SH | Call | SOLE | 278,000 | 0 | 0 | |
HOOKIPA PHARMA INC | COM | 43906K100 | 1,103 | 473,566 | SH | SOLE | 473,566 | 0 | 0 | ||
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 1,816 | 335,015 | SH | SOLE | 335,015 | 0 | 0 | ||
HYPERFINE INC | COM CL A | 44916K106 | 5,210 | 718,637 | SH | SOLE | 718,637 | 0 | 0 | ||
IDW MEDIA HLDGS INC | CL B | 44951N106 | 2,458 | 1,229,243 | SH | SOLE | 1,229,243 | 0 | 0 | ||
IMAC HLDGS INC | COM | 44967K104 | 2,727 | 2,392,094 | SH | SOLE | 2,392,094 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 49,907 | 2,797,490 | SH | SOLE | 2,797,490 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 42,816 | 2,400,000 | SH | Call | SOLE | 2,400,000 | 0 | 0 | |
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 4,704 | 1,071,466 | SH | SOLE | 1,071,466 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 39,227 | 2,918,662 | SH | SOLE | 2,918,662 | 0 | 0 | ||
IMV INC | COM | 44974L103 | 2,507 | 2,055,212 | SH | SOLE | 2,055,212 | 0 | 0 | ||
IN8BIO INC | COM | 45674E109 | 1,638 | 373,169 | SH | SOLE | 373,169 | 0 | 0 | ||
INSU ACQUISITION CORP III | *W EXP 12/31/202 | 457817112 | 185 | 333,332 | SH | SOLE | 333,332 | 0 | 0 | ||
INSU ACQUISITION CORP III | COM CL A | 457817104 | 9,800 | 999,996 | SH | SOLE | 999,996 | 0 | 0 | ||
INSU ACQUISITION CORP III | UNIT 12/31/2026 | 457817302 | 0 | 4 | SH | SOLE | 4 | 0 | 0 | ||
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 25,719 | 1,611,488 | SH | SOLE | 1,611,488 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 9,483 | 42,630 | SH | SOLE | 42,630 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 478,268 | 2,150,000 | SH | Put | SOLE | 2,150,000 | 0 | 0 | |
KEROS THERAPEUTICS INC | COM | 492327101 | 46,615 | 796,698 | SH | SOLE | 796,698 | 0 | 0 | ||
KEROS THERAPEUTICS INC | COM | 492327101 | 2,323 | 39,700 | SH | Call | SOLE | 39,700 | 0 | 0 | |
KINTARA THERAPEUTICS INC | COM | 49720K101 | 338 | 663,279 | SH | SOLE | 663,279 | 0 | 0 | ||
KURA ONCOLOGY INC | COM | 50127T109 | 3,500 | 250,000 | SH | Call | SOLE | 250,000 | 0 | 0 | |
LAVA THERAPEUTICS NV | SHS | N51517105 | 1,984 | 360,808 | SH | SOLE | 360,808 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 7,493 | 1,003,024 | SH | SOLE | 1,003,024 | 0 | 0 | ||
LUCID DIAGNOSTICS INC | COM | 54948X109 | 2,336 | 435,055 | SH | SOLE | 435,055 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 40,903 | 2,118,233 | SH | SOLE | 2,118,233 | 0 | 0 | ||
MEDIAALPHA INC | CL A | 58450V104 | 5,719 | 370,404 | SH | SOLE | 370,404 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 2,229 | 569,971 | SH | SOLE | 569,971 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 53,443 | 895,792 | SH | SOLE | 895,792 | 0 | 0 | ||
METROMILE INC | *W EXP 02/09/202 | 591697115 | 78 | 558,296 | SH | SOLE | 558,296 | 0 | 0 | ||
METROMILE INC | COM | 591697107 | 2,452 | 1,119,612 | SH | SOLE | 1,119,612 | 0 | 0 | ||
MILLERKNOLL INC | COM | 600544100 | 57,394 | 1,464,507 | SH | SOLE | 1,464,507 | 0 | 0 | ||
NAUTILUS BIOTECHNOLOGY INC | COM | 63909J108 | 5,335 | 1,029,872 | SH | SOLE | 1,029,872 | 0 | 0 | ||
NEUROPACE INC | COM | 641288105 | 3,084 | 305,906 | SH | SOLE | 305,906 | 0 | 0 | ||
OCUGEN INC | COM | 67577C105 | 289 | 63,606 | SH | SOLE | 63,606 | 0 | 0 | ||
PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 698884AC7 | 8,820 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
PARTY CITY HOLDCO INC | COM | 702149105 | 5,570 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
PAYA HOLDINGS INC | COM CL A | 70434P103 | 24,092 | 3,799,961 | SH | SOLE | 3,799,961 | 0 | 0 | ||
PAYONEER GLOBAL INC | COM | 70451X104 | 2,930 | 398,684 | SH | SOLE | 398,684 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 3,660 | 102,342 | SH | SOLE | 102,342 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 32,184 | 900,000 | SH | Call | SOLE | 900,000 | 0 | 0 | |
PERELLA WEINBERG PARTNERS | *W EXP 12/31/202 | 71367G110 | 1,412 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
PERELLA WEINBERG PARTNERS | CLASS A COM | 71367G102 | 3,577 | 278,140 | SH | SOLE | 278,140 | 0 | 0 | ||
READING INTL INC | CL A | 755408101 | 14,042 | 3,475,832 | SH | SOLE | 3,475,832 | 0 | 0 | ||
RED VIOLET INC | COM | 75704L104 | 40,621 | 1,023,459 | SH | SOLE | 1,023,459 | 0 | 0 | ||
RMR GROUP INC | CL A | 74967R106 | 33,422 | 963,726 | SH | SOLE | 963,726 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | *W EXP 02/26/202 | 77867Q110 | 109 | 99,749 | SH | SOLE | 99,749 | 0 | 0 | ||
SANTANDER CONSUMER USA HLDGS | COM | 80283M101 | 16,605 | 395,176 | SH | SOLE | 395,176 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 6,251 | 93,533 | SH | SOLE | 93,533 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 104,208 | 1,559,300 | SH | Call | SOLE | 1,559,300 | 0 | 0 | |
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 7,151 | 807,089 | SH | SOLE | 807,089 | 0 | 0 | ||
SEMLER SCIENTIFIC INC | COM | 81684M104 | 25,578 | 279,085 | SH | SOLE | 279,085 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 14,039 | 4,116,943 | SH | SOLE | 4,116,943 | 0 | 0 | ||
SHOCKWAVE MED INC | COM | 82489T104 | 14,266 | 80,000 | SH | Put | SOLE | 80,000 | 0 | 0 | |
SILVERBACK THERAPEUTICS INC | COM | 82835W108 | 6,703 | 1,006,462 | SH | SOLE | 1,006,462 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 4,004 | 9,765,129 | SH | SOLE | 9,765,129 | 0 | 0 | ||
SPDR SER TR | S&P BIOTECH | 78464A870 | 72,774 | 650,000 | SH | Put | SOLE | 650,000 | 0 | 0 | |
SPDR SER TR | S&P BIOTECH | 78464A870 | 44,784 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 6,704 | 4,575,812 | SH | SOLE | 4,575,812 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 62,399 | 2,850,559 | SH | SOLE | 2,850,559 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 4,378 | 200,000 | SH | Call | SOLE | 200,000 | 0 | 0 | |
TANGO THERAPEUTICS INC | COM | 87583X109 | 1,094 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
TAYSHA GENE THERAPIES INC | COM SHS | 877619106 | 16,964 | 1,456,147 | SH | SOLE | 1,456,147 | 0 | 0 | ||
TELADOC HEALTH INC | COM | 87918A105 | 9,182 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 71,552 | 875,900 | SH | Call | SOLE | 875,900 | 0 | 0 | |
TRANSACT TECHNOLOGIES INC | COM | 892918103 | 835 | 76,583 | SH | SOLE | 76,583 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 52,023 | 941,252 | SH | SOLE | 941,252 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 55,270 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 65,690 | 1,272,570 | SH | SOLE | 1,272,570 | 0 | 0 | ||
UNICYCIVE THERAPEUTICS INC | COM | 90466Y103 | 1,415 | 686,756 | SH | SOLE | 686,756 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 49,015 | 2,363,313 | SH | SOLE | 2,363,313 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 43,676 | 2,105,900 | SH | Call | SOLE | 2,105,900 | 0 | 0 | |
VIEMED HEALTHCARE INC | COM | 92663R105 | 7,431 | 1,423,538 | SH | SOLE | 1,423,538 | 0 | 0 | ||
VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 | 5,352 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
VROOM INC | COM | 92918V109 | 16,185 | 1,500,000 | SH | Call | SOLE | 1,500,000 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 2,848 | 907,094 | SH | SOLE | 907,094 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 153,439 | 807,700 | SH | Call | SOLE | 807,700 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 7,829 | 481,782 | SH | SOLE | 481,782 | 0 | 0 | ||
ZOGENIX INC | COM NEW | 98978L204 | 3,842 | 236,400 | SH | Call | SOLE | 236,400 | 0 | 0 | |
ZOGENIX INC | NOTE 2.750%10/0 | 98978LAB1 | 13,864 | 14,000,000 | PRN | SOLE | 14,000,000 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 3,786 | 2,980,767 | SH | SOLE | 2,980,767 | 0 | 0 |