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 | 1,600 | 162,430 | SH | SOLE | 162,430 | 0 | 0 | ||
ACER THERAPEUTICS INC | COM | 00444P108 | 2,256 | 777,820 | SH | SOLE | 777,820 | 0 | 0 | ||
ADTALEM GLOBAL ED INC | COM | 00737L103 | 14,855 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 7,361 | 3,200,593 | SH | SOLE | 3,200,593 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 693 | 965,800 | SH | Call | SOLE | 965,800 | 0 | 0 | |
AKUMIN INC | COM | 01021F109 | 6,193 | 5,578,992 | SH | SOLE | 5,578,992 | 0 | 0 | ||
ALECTOR INC | COM | 014442107 | 1,351 | 94,779 | SH | SOLE | 94,779 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 22,330 | 1,806,607 | SH | SOLE | 1,806,607 | 0 | 0 | ||
AMPHASTAR PHARMACEUTICALS IN | COM | 03209R103 | 35,900 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
AMRYT PHARMA PLC | SPONSORED ADS | 03217L106 | 8,862 | 1,071,536 | SH | SOLE | 1,071,536 | 0 | 0 | ||
ANGION BIOMEDICA CORP | COM | 03476J107 | 2,487 | 1,173,162 | SH | SOLE | 1,173,162 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 22,536 | 3,724,899 | SH | SOLE | 3,724,899 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 9,958 | 7,322,189 | SH | SOLE | 7,322,189 | 0 | 0 | ||
ARYA SCIENCES ACQU CORP IV | CL A | G31659108 | 3,193 | 325,848 | SH | SOLE | 325,848 | 0 | 0 | ||
ARYA SCIENCES ACQUISITN CORP | CLASS A ORD SHS | G31658100 | 8,423 | 865,633 | SH | SOLE | 865,633 | 0 | 0 | ||
AURA BIOSCIENCES INC | COM | 05153U107 | 6,644 | 301,990 | SH | SOLE | 301,990 | 0 | 0 | ||
AUTOLUS THERAPEUTICS PLC | SPON ADS | 05280R100 | 18,124 | 4,346,327 | SH | SOLE | 4,346,327 | 0 | 0 | ||
AVALO THERAPEUTICS INC | COM | 05338F108 | 4,804 | 6,849,547 | SH | SOLE | 6,849,547 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | *W EXP 03/01/202 | 05601V111 | 109 | 120,686 | SH | SOLE | 120,686 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | COM CL A | 05601V103 | 2,994 | 301,786 | SH | SOLE | 301,786 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 5,492 | 78,508 | SH | SOLE | 78,508 | 0 | 0 | ||
BBQ HLDGS INC | COM | 05551A109 | 14,407 | 951,559 | SH | SOLE | 951,559 | 0 | 0 | ||
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 1,598 | 2,420,789 | SH | SOLE | 2,420,789 | 0 | 0 | ||
CIDARA THERAPEUTICS INC | COM | 171757107 | 4,126 | 4,954,882 | SH | SOLE | 4,954,882 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 69,758 | 3,383,049 | SH | SOLE | 3,383,049 | 0 | 0 | ||
COGNITION THERAPEUTICS INC | COM | 19243B102 | 540 | 196,402 | SH | SOLE | 196,402 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 10,952 | 2,244,359 | SH | SOLE | 2,244,359 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 5,898 | 2,478,265 | SH | SOLE | 2,478,265 | 0 | 0 | ||
CYMABAY THERAPEUTICS INC | COM | 23257D103 | 5,890 | 1,893,997 | SH | SOLE | 1,893,997 | 0 | 0 | ||
DARDEN RESTAURANTS INC | COM | 237194105 | 13,295 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
DARIOHEALTH CORP | COM NEW | 23725P209 | 10,021 | 1,716,007 | SH | SOLE | 1,716,007 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 22,894 | 3,847,769 | SH | SOLE | 3,847,769 | 0 | 0 | ||
DXP ENTERPRISES INC | COM NEW | 233377407 | 32,215 | 1,189,179 | SH | SOLE | 1,189,179 | 0 | 0 | ||
ELOXX PHARMACEUTICALS INC | COM | 29014R103 | 434 | 774,767 | SH | SOLE | 774,767 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 144,835 | 2,149,201 | SH | SOLE | 2,149,201 | 0 | 0 | ||
EXAGEN INC | COM | 30068X103 | 1,279 | 159,253 | SH | SOLE | 159,253 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 256 | 674,561 | SH | SOLE | 674,561 | 0 | 0 | ||
FARADAY FUTRE INTLGT ELCTR I | COM | 307359109 | 1,746 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | *W EXP 12/31/202 | 31810Q115 | 317 | 333,331 | SH | SOLE | 333,331 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | COM CL A | 31810Q107 | 9,457 | 958,137 | SH | SOLE | 958,137 | 0 | 0 | ||
FINTECH ACQUISITION CORP VI | *W EXP 03/31/202 | 31811H114 | 143 | 249,998 | SH | SOLE | 249,998 | 0 | 0 | ||
FINTECH ACQUISITION CORP VI | CLASS A COM | 31811H106 | 9,820 | 999,992 | SH | SOLE | 999,992 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 12,026 | 8,842,525 | SH | SOLE | 8,842,525 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | *W EXP 02/28/202 | G3728Y111 | 97 | 222,949 | SH | SOLE | 222,949 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | CLASS A ORD SHS | G3728Y103 | 7,832 | 800,001 | SH | SOLE | 800,001 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 412 | 258,957 | SH | SOLE | 258,957 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 40,103 | 690,606 | SH | SOLE | 690,606 | 0 | 0 | ||
GUARDFORCE AI CO LTD | *W EXP 10/01/202 | G4236L120 | 142 | 374,205 | SH | SOLE | 374,205 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 8,922 | 35,600 | SH | SOLE | 35,600 | 0 | 0 | ||
HELIOGEN INC | COMMON STOCK | 42329E105 | 3,385 | 643,599 | SH | SOLE | 643,599 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 8,127 | 267,700 | SH | Call | SOLE | 267,700 | 0 | 0 | |
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 397 | 285,963 | SH | SOLE | 285,963 | 0 | 0 | ||
HYPERFINE INC | COM CL A | 44916K106 | 2,112 | 596,480 | SH | SOLE | 596,480 | 0 | 0 | ||
IDW MEDIA HLDGS INC | CL B | 44951N106 | 2,047 | 1,118,406 | SH | SOLE | 1,118,406 | 0 | 0 | ||
IMAC HLDGS INC | COM | 44967K104 | 2,308 | 2,241,113 | SH | SOLE | 2,241,113 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 50,513 | 2,668,431 | SH | SOLE | 2,668,431 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 41,481 | 2,191,300 | SH | Call | SOLE | 2,191,300 | 0 | 0 | |
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 1,740 | 1,035,613 | SH | SOLE | 1,035,613 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 23,528 | 2,944,659 | SH | SOLE | 2,944,659 | 0 | 0 | ||
IMV INC | COM | 44974L103 | 2,632 | 1,866,491 | SH | SOLE | 1,866,491 | 0 | 0 | ||
IN8BIO INC | COM | 45674E109 | 1,226 | 352,753 | SH | SOLE | 352,753 | 0 | 0 | ||
INSU ACQUISITION CORP III | *W EXP 12/31/202 | 457817112 | 67 | 333,332 | SH | SOLE | 333,332 | 0 | 0 | ||
INSU ACQUISITION CORP III | COM CL A | 457817104 | 9,773 | 995,173 | SH | SOLE | 995,173 | 0 | 0 | ||
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 29,390 | 1,425,985 | SH | SOLE | 1,425,985 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 75,545 | 368,029 | SH | SOLE | 368,029 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 554,229 | 2,700,000 | SH | Put | SOLE | 2,700,000 | 0 | 0 | |
KEROS THERAPEUTICS INC | COM | 492327101 | 44,419 | 816,830 | SH | SOLE | 816,830 | 0 | 0 | ||
KEROS THERAPEUTICS INC | COM | 492327101 | 2,279 | 41,900 | SH | Call | SOLE | 41,900 | 0 | 0 | |
KINTARA THERAPEUTICS INC | COM | 49720K101 | 264 | 663,279 | SH | SOLE | 663,279 | 0 | 0 | ||
KURA ONCOLOGY INC | COM | 50127T109 | 3,874 | 240,900 | SH | Call | SOLE | 240,900 | 0 | 0 | |
LAVA THERAPEUTICS NV | SHS | N51517105 | 1,470 | 334,164 | SH | SOLE | 334,164 | 0 | 0 | ||
LUCID DIAGNOSTICS INC | COM | 54948X109 | 1,060 | 315,414 | SH | SOLE | 315,414 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 37,504 | 2,232,389 | SH | SOLE | 2,232,389 | 0 | 0 | ||
MEDIAALPHA INC | CL A | 58450V104 | 7,241 | 437,494 | SH | SOLE | 437,494 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 3,269 | 516,817 | SH | SOLE | 516,817 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 47,780 | 869,993 | SH | SOLE | 869,993 | 0 | 0 | ||
METROMILE INC | *W EXP 02/09/202 | 591697115 | 66 | 507,460 | SH | SOLE | 507,460 | 0 | 0 | ||
METROMILE INC | COM | 591697107 | 1,377 | 1,043,514 | SH | SOLE | 1,043,514 | 0 | 0 | ||
MILLERKNOLL INC | COM | 600544100 | 56,096 | 1,623,135 | SH | SOLE | 1,623,135 | 0 | 0 | ||
NAUTILUS BIOTECHNOLOGY INC | COM | 63909J108 | 3,878 | 893,561 | SH | SOLE | 893,561 | 0 | 0 | ||
NEURONETICS INC | COM | 64131A105 | 2,667 | 880,155 | SH | SOLE | 880,155 | 0 | 0 | ||
NEUROPACE INC | COM | 641288105 | 3,984 | 485,303 | SH | SOLE | 485,303 | 0 | 0 | ||
OCUGEN INC | COM | 67577C105 | 55 | 16,571 | SH | SOLE | 16,571 | 0 | 0 | ||
ON24 INC | COM | 68339B104 | 5,051 | 384,088 | SH | SOLE | 384,088 | 0 | 0 | ||
PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 698884AC7 | 6,953 | 5,785,000 | PRN | SOLE | 5,785,000 | 0 | 0 | ||
PAYA HOLDINGS INC | COM CL A | 70434P103 | 24,085 | 4,110,073 | SH | SOLE | 4,110,073 | 0 | 0 | ||
PAYA HOLDINGS INC | COM CL A | 70434P103 | 1,758 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
PAYONEER GLOBAL INC | COM | 70451X104 | 1,719 | 385,366 | SH | SOLE | 385,366 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 15,597 | 590,330 | SH | SOLE | 590,330 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 23,477 | 888,600 | SH | Call | SOLE | 888,600 | 0 | 0 | |
PERELLA WEINBERG PARTNERS | *W EXP 12/31/202 | 71367G110 | 822 | 409,128 | SH | SOLE | 409,128 | 0 | 0 | ||
PERELLA WEINBERG PARTNERS | CLASS A COM | 71367G102 | 4,750 | 502,676 | SH | SOLE | 502,676 | 0 | 0 | ||
QUALTEK SERVICES INC | *W EXP 02/14/202 | 74760R113 | 56 | 96,244 | SH | SOLE | 96,244 | 0 | 0 | ||
READING INTL INC | CL A | 755408101 | 13,810 | 3,226,656 | SH | SOLE | 3,226,656 | 0 | 0 | ||
RED VIOLET INC | COM | 75704L104 | 35,946 | 1,261,251 | SH | SOLE | 1,261,251 | 0 | 0 | ||
RMR GROUP INC | CL A | 74967R106 | 29,914 | 961,851 | SH | SOLE | 961,851 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 67,246 | 1,144,613 | SH | SOLE | 1,144,613 | 0 | 0 | ||
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 7,585 | 772,437 | SH | SOLE | 772,437 | 0 | 0 | ||
SEMLER SCIENTIFIC INC | COM | 81684M104 | 17,687 | 356,875 | SH | SOLE | 356,875 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 8,208 | 3,730,912 | SH | SOLE | 3,730,912 | 0 | 0 | ||
SILVERBACK THERAPEUTICS INC | COM | 82835W108 | 3,152 | 913,597 | SH | SOLE | 913,597 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 2,104 | 9,436,512 | SH | SOLE | 9,436,512 | 0 | 0 | ||
SPDR SER TR | S&P BIOTECH | 78464A870 | 22,470 | 250,000 | SH | Put | SOLE | 250,000 | 0 | 0 | |
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 6,726 | 4,575,812 | SH | SOLE | 4,575,812 | 0 | 0 | ||
STRYKER CORPORATION | COM | 863667101 | 18,100 | 67,700 | SH | Put | SOLE | 67,700 | 0 | 0 | |
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 46,792 | 2,692,303 | SH | SOLE | 2,692,303 | 0 | 0 | ||
TANGO THERAPEUTICS INC | COM | 87583X109 | 749 | 98,794 | SH | SOLE | 98,794 | 0 | 0 | ||
TAYSHA GENE THERAPIES INC | COM SHS | 877619106 | 8,697 | 1,333,947 | SH | SOLE | 1,333,947 | 0 | 0 | ||
TC BIOPHARM HOLDINGS PLC | *W EXP 02/08/202 | 87807D111 | 117 | 235,294 | SH | SOLE | 235,294 | 0 | 0 | ||
TRANSACT TECHNOLOGIES INC | COM | 892918103 | 504 | 71,335 | SH | SOLE | 71,335 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 50,261 | 867,464 | SH | SOLE | 867,464 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 53,253 | 919,100 | SH | Call | SOLE | 919,100 | 0 | 0 | |
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 54,670 | 1,272,570 | SH | SOLE | 1,272,570 | 0 | 0 | ||
UNICYCIVE THERAPEUTICS INC | COM | 90466Y103 | 826 | 640,633 | SH | SOLE | 640,633 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 50,803 | 2,811,459 | SH | SOLE | 2,811,459 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 16,082 | 890,000 | SH | Call | SOLE | 890,000 | 0 | 0 | |
VIEMED HEALTHCARE INC | COM | 92663R105 | 6,443 | 1,293,812 | SH | SOLE | 1,293,812 | 0 | 0 | ||
VROOM INC | COM | 92918V109 | 3,990 | 1,500,000 | SH | Call | SOLE | 1,500,000 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 1,638 | 819,101 | SH | SOLE | 819,101 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 3,843 | 34,688 | SH | SOLE | 34,688 | 0 | 0 | ||
WEJO GROUP LIMITED | COMMON SHARES | G9525W109 | 857 | 214,966 | SH | SOLE | 214,966 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 2,144 | 2,613,763 | SH | SOLE | 2,613,763 | 0 | 0 |