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 | 1,554 | 157,044 | SH | SOLE | 157,044 | 0 | 0 | ||
ACER THERAPEUTICS INC | COM | 00444P108 | 934 | 741,010 | SH | SOLE | 741,010 | 0 | 0 | ||
ADTALEM GLOBAL ED INC | COM | 00737L103 | 32,373 | 900,000 | SH | Put | SOLE | 900,000 | 0 | 0 | |
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 1,958 | 3,877,311 | SH | SOLE | 3,877,311 | 0 | 0 | ||
AKUMIN INC | COM | 01021F109 | 3,325 | 5,545,233 | SH | SOLE | 5,545,233 | 0 | 0 | ||
ALECTOR INC | COM | 014442107 | 937 | 92,176 | SH | SOLE | 92,176 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 15,003 | 1,672,545 | SH | SOLE | 1,672,545 | 0 | 0 | ||
AMPHASTAR PHARMACEUTICALS IN | COM | 03209R103 | 34,790 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
AMRYT PHARMA PLC | SPONSORED ADS | 03217L106 | 10,922 | 1,562,458 | SH | SOLE | 1,562,458 | 0 | 0 | ||
ANGION BIOMEDICA CORP | COM | 03476J107 | 1,289 | 1,131,001 | SH | SOLE | 1,131,001 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 13,589 | 3,723,010 | SH | SOLE | 3,723,010 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 5,840 | 1,600,000 | SH | Call | SOLE | 1,600,000 | 0 | 0 | |
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 5,367 | 7,232,676 | SH | SOLE | 7,232,676 | 0 | 0 | ||
ARYA SCIENCES ACQU CORP IV | CL A | G31659108 | 3,168 | 322,929 | SH | SOLE | 322,929 | 0 | 0 | ||
ARYA SCIENCES ACQUISITN CORP | CLASS A ORD SHS | G31658100 | 8,384 | 862,566 | SH | SOLE | 862,566 | 0 | 0 | ||
AURA BIOSCIENCES INC | COM | 05153U107 | 4,863 | 343,215 | SH | SOLE | 343,215 | 0 | 0 | ||
AUTOLUS THERAPEUTICS PLC | SPON ADS | 05280R100 | 14,554 | 5,142,855 | SH | SOLE | 5,142,855 | 0 | 0 | ||
AVALO THERAPEUTICS INC | COM | 05338F108 | 3,355 | 6,710,327 | SH | SOLE | 6,710,327 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | *W EXP 03/01/202 | 05601V111 | 69 | 185,653 | SH | SOLE | 185,653 | 0 | 0 | ||
B RILEY PRINCIPAL 150 MERGER | COM CL A | 05601V103 | 2,965 | 297,727 | SH | SOLE | 297,727 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 3,257 | 77,083 | SH | SOLE | 77,083 | 0 | 0 | ||
BBQ HLDGS INC | COM | 05551A109 | 9,881 | 948,254 | SH | SOLE | 948,254 | 0 | 0 | ||
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 4,906 | 2,755,903 | SH | SOLE | 2,755,903 | 0 | 0 | ||
CIDARA THERAPEUTICS INC | COM | 171757107 | 2,355 | 4,819,090 | SH | SOLE | 4,819,090 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 43,096 | 4,120,098 | SH | SOLE | 4,120,098 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 523 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
COGNITION THERAPEUTICS INC | COM | 19243B102 | 407 | 192,752 | SH | SOLE | 192,752 | 0 | 0 | ||
CONCERT PHARMACEUTICALS INC | COM | 206022105 | 6,988 | 1,659,840 | SH | SOLE | 1,659,840 | 0 | 0 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 34,266 | 71,495 | SH | SOLE | 71,495 | 0 | 0 | ||
COSTCO WHSL CORP NEW | COM | 22160K105 | 47,928 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
CUE BIOPHARMA INC | COM | 22978P106 | 250 | 100,464 | SH | SOLE | 100,464 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 3,572 | 3,628,162 | SH | SOLE | 3,628,162 | 0 | 0 | ||
CYMABAY THERAPEUTICS INC | COM | 23257D103 | 7,801 | 2,644,306 | SH | SOLE | 2,644,306 | 0 | 0 | ||
DARDEN RESTAURANTS INC | COM | 237194105 | 22,624 | 200,000 | SH | Put | SOLE | 200,000 | 0 | 0 | |
DARIOHEALTH CORP | COM NEW | 23725P209 | 10,627 | 1,730,810 | SH | SOLE | 1,730,810 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 20,568 | 4,138,483 | SH | SOLE | 4,138,483 | 0 | 0 | ||
DXP ENTERPRISES INC | COM NEW | 233377407 | 36,910 | 1,205,031 | SH | SOLE | 1,205,031 | 0 | 0 | ||
EARGO INC | COM | 270087109 | 774 | 1,028,965 | SH | SOLE | 1,028,965 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 109,162 | 2,007,385 | SH | SOLE | 2,007,385 | 0 | 0 | ||
EXAGEN INC | COM | 30068X103 | 896 | 156,135 | SH | SOLE | 156,135 | 0 | 0 | ||
FARADAY FUTRE INTLGT ELCTR I | COM | 307359109 | 910 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | *W EXP 12/31/202 | 31810Q115 | 30 | 333,331 | SH | SOLE | 333,331 | 0 | 0 | ||
FINTECH ACQUISITION CORP VI | *W EXP 03/31/202 | 31811H114 | 39 | 240,600 | SH | SOLE | 240,600 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 7,356 | 8,758,648 | SH | SOLE | 8,758,648 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | *W EXP 02/28/202 | G3728Y111 | 53 | 222,949 | SH | SOLE | 222,949 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | CLASS A ORD SHS | G3728Y103 | 7,714 | 787,130 | SH | SOLE | 787,130 | 0 | 0 | ||
GOGO INC | COM | 38046C109 | 8,095 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
GOLDEN ENTMT INC | COM | 381013101 | 19,181 | 484,974 | SH | SOLE | 484,974 | 0 | 0 | ||
GUARDFORCE AI CO LTD | *W EXP 10/01/202 | G4236L120 | 19 | 154,205 | SH | SOLE | 154,205 | 0 | 0 | ||
HELIOGEN INC | COMMON STOCK | 42329E105 | 916 | 433,909 | SH | SOLE | 433,909 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 17,744 | 867,700 | SH | Call | SOLE | 867,700 | 0 | 0 | |
HYPERFINE INC | COM CL A | 44916K106 | 1,215 | 544,930 | SH | SOLE | 544,930 | 0 | 0 | ||
IDW MEDIA HLDGS INC | CL B | 44951N106 | 1,411 | 1,052,852 | SH | SOLE | 1,052,852 | 0 | 0 | ||
IMAC HLDGS INC | COM | 44967K104 | 1,044 | 1,259,379 | SH | SOLE | 1,259,379 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 46,100 | 2,729,441 | SH | SOLE | 2,729,441 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 37,011 | 2,191,300 | SH | Call | SOLE | 2,191,300 | 0 | 0 | |
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 2,113 | 1,035,613 | SH | SOLE | 1,035,613 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 27,191 | 3,121,759 | SH | SOLE | 3,121,759 | 0 | 0 | ||
IMV INC | COM | 44974L103 | 933 | 1,424,676 | SH | SOLE | 1,424,676 | 0 | 0 | ||
IN8BIO INC | COM | 45674E109 | 359 | 148,801 | SH | SOLE | 148,801 | 0 | 0 | ||
INMODE LTD | SHS | M5425M103 | 3,544 | 158,154 | SH | SOLE | 158,154 | 0 | 0 | ||
INSU ACQUISITION CORP III | *W EXP 12/31/202 | 457817112 | 30 | 333,332 | SH | SOLE | 333,332 | 0 | 0 | ||
INSU ACQUISITION CORP III | COM CL A | 457817104 | 9,655 | 980,183 | SH | SOLE | 980,183 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 4,043 | 23,873 | SH | SOLE | 23,873 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 423,400 | 2,500,000 | SH | Put | SOLE | 2,500,000 | 0 | 0 | |
KEROS THERAPEUTICS INC | COM | 492327101 | 25,196 | 911,901 | SH | SOLE | 911,901 | 0 | 0 | ||
KEROS THERAPEUTICS INC | COM | 492327101 | 1,158 | 41,900 | SH | Call | SOLE | 41,900 | 0 | 0 | |
KINTARA THERAPEUTICS INC | COM | 49720K101 | 32 | 116,234 | SH | SOLE | 116,234 | 0 | 0 | ||
KROGER CO | COM | 501044101 | 2,366 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
LAVA THERAPEUTICS NV | SHS | N51517105 | 953 | 322,980 | SH | SOLE | 322,980 | 0 | 0 | ||
LIGHT & WONDER INC | COM | 80874P109 | 52,222 | 1,111,338 | SH | SOLE | 1,111,338 | 0 | 0 | ||
LILLY ELI & CO | COM | 532457108 | 113,480 | 350,000 | SH | Put | SOLE | 350,000 | 0 | 0 | |
LUCID DIAGNOSTICS INC | COM | 54948X109 | 698 | 308,978 | SH | SOLE | 308,978 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 35,196 | 2,327,801 | SH | SOLE | 2,327,801 | 0 | 0 | ||
LYRA THERAPEUTICS INC | COM | 55234L105 | 13,389 | 2,369,668 | SH | SOLE | 2,369,668 | 0 | 0 | ||
MEDIAALPHA INC | CL A | 58450V104 | 16,160 | 1,640,624 | SH | SOLE | 1,640,624 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 2,924 | 491,509 | SH | SOLE | 491,509 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 38,108 | 985,459 | SH | SOLE | 985,459 | 0 | 0 | ||
METROMILE INC | *W EXP 02/09/202 | 591697115 | 57 | 507,460 | SH | SOLE | 507,460 | 0 | 0 | ||
METROMILE INC | COM | 591697107 | 298 | 325,002 | SH | SOLE | 325,002 | 0 | 0 | ||
MILLERKNOLL INC | COM | 600544100 | 44,862 | 1,707,739 | SH | SOLE | 1,707,739 | 0 | 0 | ||
NAUTILUS BIOTECHNOLOGY INC | COM | 63909J108 | 2,111 | 784,798 | SH | SOLE | 784,798 | 0 | 0 | ||
NEURONETICS INC | COM | 64131A105 | 2,463 | 767,400 | SH | SOLE | 767,400 | 0 | 0 | ||
NEUROPACE INC | COM | 641288105 | 2,368 | 478,438 | SH | SOLE | 478,438 | 0 | 0 | ||
ON24 INC | COM | 68339B104 | 5,413 | 570,403 | SH | SOLE | 570,403 | 0 | 0 | ||
PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 698884AC7 | 6,675 | 5,785,000 | PRN | SOLE | 5,785,000 | 0 | 0 | ||
PAYA HOLDINGS INC | COM CL A | 70434P103 | 19,445 | 2,959,599 | SH | SOLE | 2,959,599 | 0 | 0 | ||
PAYONEER GLOBAL INC | COM | 70451X104 | 1,511 | 385,366 | SH | SOLE | 385,366 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 22,481 | 2,448,878 | SH | SOLE | 2,448,878 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 10,452 | 1,138,600 | SH | Call | SOLE | 1,138,600 | 0 | 0 | |
PERDOCEO ED CORP | COM | 71363P106 | 5,890 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
PERELLA WEINBERG PARTNERS | *W EXP 12/31/202 | 71367G110 | 264 | 409,128 | SH | SOLE | 409,128 | 0 | 0 | ||
PERELLA WEINBERG PARTNERS | CLASS A COM | 71367G102 | 2,931 | 502,676 | SH | SOLE | 502,676 | 0 | 0 | ||
QUALTEK SERVICES INC | *W EXP 02/14/202 | 74760R113 | 15 | 96,244 | SH | SOLE | 96,244 | 0 | 0 | ||
RAFAEL HLDGS INC | COM CL B | 75062E106 | 36 | 19,435 | SH | SOLE | 19,435 | 0 | 0 | ||
READING INTL INC | CL A | 755408101 | 11,578 | 3,207,247 | SH | SOLE | 3,207,247 | 0 | 0 | ||
RED VIOLET INC | COM | 75704L104 | 24,595 | 1,291,771 | SH | SOLE | 1,291,771 | 0 | 0 | ||
RH | COM | 74967X103 | 19,103 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
RINGCENTRAL INC | CL A | 76680R206 | 7,839 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
RMR GROUP INC | CL A | 74967R106 | 27,517 | 970,623 | SH | SOLE | 970,623 | 0 | 0 | ||
RUMBLEON INC | COM CL B | 781386305 | 2,942 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 6,189 | 771,196 | SH | SOLE | 771,196 | 0 | 0 | ||
SEMLER SCIENTIFIC INC | COM | 81684M104 | 9,767 | 346,606 | SH | SOLE | 346,606 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 1,792 | 2,662,933 | SH | SOLE | 2,662,933 | 0 | 0 | ||
SILVERBACK THERAPEUTICS INC | COM | 82835W108 | 5,877 | 1,386,138 | SH | SOLE | 1,386,138 | 0 | 0 | ||
SITIO ROYALTIES CORP | *W EXP 08/23/202 | 82982V119 | 93 | 582,350 | SH | SOLE | 582,350 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 1,675 | 9,436,512 | SH | SOLE | 9,436,512 | 0 | 0 | ||
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 4,397 | 4,575,812 | SH | SOLE | 4,575,812 | 0 | 0 | ||
STRYKER CORPORATION | COM | 863667101 | 4,575 | 23,000 | SH | SOLE | 23,000 | 0 | 0 | ||
STRYKER CORPORATION | COM | 863667101 | 23,872 | 120,000 | SH | Put | SOLE | 120,000 | 0 | 0 | |
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 51,238 | 2,663,087 | SH | SOLE | 2,663,087 | 0 | 0 | ||
TAYSHA GENE THERAPIES INC | COM SHS | 877619106 | 6,114 | 1,643,438 | SH | SOLE | 1,643,438 | 0 | 0 | ||
TC BIOPHARM HOLDINGS PLC | *W EXP 02/08/202 | 87807D111 | 56 | 235,294 | SH | SOLE | 235,294 | 0 | 0 | ||
TRANSACT TECHNOLOGIES INC | COM | 892918103 | 279 | 69,991 | SH | SOLE | 69,991 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 37,860 | 975,281 | SH | SOLE | 975,281 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 35,679 | 919,100 | SH | Call | SOLE | 919,100 | 0 | 0 | |
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 43,865 | 1,272,570 | SH | SOLE | 1,272,570 | 0 | 0 | ||
UNICYCIVE THERAPEUTICS INC | COM | 90466Y103 | 606 | 729,680 | SH | SOLE | 729,680 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 57,612 | 3,090,757 | SH | SOLE | 3,090,757 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 14,912 | 800,000 | SH | Call | SOLE | 800,000 | 0 | 0 | |
VIEMED HEALTHCARE INC | COM | 92663R105 | 9,226 | 1,714,926 | SH | SOLE | 1,714,926 | 0 | 0 | ||
VROOM INC | COM | 92918V109 | 1,875 | 1,500,000 | SH | Call | SOLE | 1,500,000 | 0 | 0 | |
WEJO GROUP LIMITED | COMMON SHARES | G9525W109 | 158 | 132,728 | SH | SOLE | 132,728 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 1,606 | 1,655,335 | SH | SOLE | 1,655,335 | 0 | 0 |