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 |
ALERE INC | COM | 01449J105 | 405 | 8,060 | SH | SOLE | 8,060 | 0 | 0 | ||
ALLIED WRLD ASSUR COM HLDG A | SHS | H01531104 | 825 | 15,598 | SH | SOLE | 15,598 | 0 | 0 | ||
ALON USA ENERGY INC | COM | 020520102 | 139 | 10,398 | SH | SOLE | 10,398 | 0 | 0 | ||
AMICUS THERAPEUTICS INC | COM | 03152W109 | 488 | 48,500 | SH | Put | OTR | 48,500 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 5,141 | 109,900 | SH | Put | OTR | 109,900 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 941 | 20,100 | SH | Put | SOLE | 20,100 | 0 | 0 | |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 1,694 | 1,600,000 | PRN | SOLE | 1,600,000 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 9,423 | 8,900,000 | PRN | OTR | 8,900,000 | 0 | 0 | ||
ARCONIC INC | COM | 03965L100 | 3,841 | 169,500 | SH | Put | OTR | 169,500 | 0 | 0 | |
ARCONIC INC | COM | 03965L100 | 691 | 30,500 | SH | Put | SOLE | 30,500 | 0 | 0 | |
ARI NETWORK SVCS INC | COM NEW | 001930205 | 183 | 25,994 | SH | SOLE | 25,994 | 0 | 0 | ||
ARISTA NETWORKS INC | COM | 040413106 | 12,606 | 84,159 | SH | OTR | 84,159 | 0 | 0 | ||
ARISTA NETWORKS INC | COM | 040413106 | 2,268 | 15,143 | SH | SOLE | 15,143 | 0 | 0 | ||
ARISTA NETWORKS INC | COM | 040413106 | 24,080 | 160,800 | SH | Put | OTR | 160,800 | 0 | 0 | |
ARISTA NETWORKS INC | COM | 040413106 | 4,297 | 28,700 | SH | Put | SOLE | 28,700 | 0 | 0 | |
ASB BANCORP INC N C | COM | 00213T109 | 229 | 5,200 | SH | SOLE | 5,200 | 0 | 0 | ||
ASTORIA FINL CORP | COM | 046265104 | 419 | 20,795 | SH | SOLE | 20,795 | 0 | 0 | ||
AXOVANT SCIENCES LTD | COM | G0750W104 | 2,857 | 123,200 | SH | Call | SOLE | 123,200 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 15,872 | 684,400 | SH | Call | OTR | 684,400 | 0 | 0 | |
BARD C R INC | COM | 067383109 | 527 | 1,666 | SH | SOLE | 1,666 | 0 | 0 | ||
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 393 | 31,192 | SH | SOLE | 31,192 | 0 | 0 | ||
CABELAS INC | COM | 126804301 | 297 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
CAESARS ACQUISITION CO | CL A | 12768T103 | 286 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
CARA THERAPEUTICS INC | COM | 140755109 | 529 | 34,400 | SH | Put | SOLE | 34,400 | 0 | 0 | |
CARA THERAPEUTICS INC | COM | 140755109 | 864 | 56,100 | SH | Call | OTR | 56,100 | 0 | 0 | |
CARA THERAPEUTICS INC | COM | 140755109 | 2,934 | 190,600 | SH | Put | OTR | 190,600 | 0 | 0 | |
CHANGYOU COM LTD | ADS REP CL A | 15911M107 | 282 | 7,278 | SH | SOLE | 7,278 | 0 | 0 | ||
CITRIX SYS INC | NOTE 0.500% 4/1 | 177376AD2 | 920 | 765,000 | PRN | SOLE | 765,000 | 0 | 0 | ||
CITRIX SYS INC | NOTE 0.500% 4/1 | 177376AD2 | 5,096 | 4,235,000 | PRN | OTR | 4,235,000 | 0 | 0 | ||
COLONY NORTHSTAR INC | CL A COM | 19625W104 | 1,323 | 93,900 | SH | Put | OTR | 93,900 | 0 | 0 | |
COLONY NORTHSTAR INC | CL A COM | 19625W104 | 241 | 17,100 | SH | Put | SOLE | 17,100 | 0 | 0 | |
COVISINT CORP | COM | 22357R103 | 29 | 10,398 | SH | SOLE | 10,398 | 0 | 0 | ||
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 6,992 | 195,700 | SH | Call | OTR | 195,700 | 0 | 0 | |
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 1,236 | 34,600 | SH | Call | SOLE | 34,600 | 0 | 0 | |
DYNEGY INC NEW DEL | COM | 26817R108 | 313 | 37,800 | SH | Put | OTR | 37,800 | 0 | 0 | |
DYNEGY INC NEW DEL | UNIT 07/01/20191 | 26817R405 | 699 | 11,439 | SH | SOLE | 11,439 | 0 | 0 | ||
DYNEGY INC NEW DEL | UNIT 07/01/20191 | 26817R405 | 3,884 | 63,561 | SH | OTR | 63,561 | 0 | 0 | ||
FELCOR LODGING TR INC | COM | 31430F101 | 187 | 25,995 | SH | SOLE | 25,995 | 0 | 0 | ||
FIDELITY & GTY LIFE | COM | 315785105 | 274 | 8,839 | SH | SOLE | 8,839 | 0 | 0 | ||
FIRST SOUTH BANCORP INC VA | COM | 33646W100 | 172 | 10,398 | SH | SOLE | 10,398 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 32 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
IMMUNOMEDICS INC | COM | 452907108 | 617 | 69,800 | SH | Call | SOLE | 69,800 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 3,350 | 379,000 | SH | Put | OTR | 379,000 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 3,460 | 391,400 | SH | Call | OTR | 391,400 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 603 | 68,200 | SH | Put | SOLE | 68,200 | 0 | 0 | |
IMMUNOMEDICS INC | NOTE 4.750% 2/1 | 452907AK4 | 15,596 | 8,474,000 | PRN | OTR | 8,474,000 | 0 | 0 | ||
IMMUNOMEDICS INC | NOTE 4.750% 2/1 | 452907AK4 | 2,808 | 1,526,000 | PRN | SOLE | 1,526,000 | 0 | 0 | ||
INOTEK PHARMACEUTICALS CORP | COM | 45780V102 | 793 | 421,700 | SH | Call | OTR | 421,700 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | COM | 45780V102 | 141 | 75,000 | SH | Call | SOLE | 75,000 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 4,312 | 251,300 | SH | Put | OTR | 251,300 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 750 | 43,700 | SH | Put | SOLE | 43,700 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 1,407 | 81,970 | SH | OTR | 81,970 | 0 | 0 | ||
INSMED INC | COM PAR $.01 | 457669307 | 253 | 14,760 | SH | SOLE | 14,760 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 5,714 | 169,300 | SH | Put | OTR | 169,300 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 1,036 | 30,700 | SH | Put | SOLE | 30,700 | 0 | 0 | |
INTEL CORP | SDCV 12/1 | 458140AD2 | 72,121 | 55,080,000 | PRN | OTR | 55,080,000 | 0 | 0 | ||
INTEL CORP | SDCV 12/1 | 458140AD2 | 12,989 | 9,920,000 | PRN | SOLE | 9,920,000 | 0 | 0 | ||
INVACARE CORP | COM | 461203101 | 1,116 | 84,700 | SH | Put | OTR | 84,700 | 0 | 0 | |
INVACARE CORP | COM | 461203101 | 202 | 15,300 | SH | Put | SOLE | 15,300 | 0 | 0 | |
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 5,033 | 4,660,000 | PRN | OTR | 4,660,000 | 0 | 0 | ||
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 907 | 840,000 | PRN | SOLE | 840,000 | 0 | 0 | ||
KATE SPADE & CO | COM | 485865109 | 381 | 20,600 | SH | SOLE | 20,600 | 0 | 0 | ||
LATTICE SEMICONDUCTOR CORP | COM | 518415104 | 69 | 10,300 | SH | Call | SOLE | 10,300 | 0 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 1,044 | 17,600 | SH | SOLE | 17,600 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 105 | 26,000 | SH | Put | SOLE | 26,000 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 619 | 154,075 | SH | OTR | 154,075 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 111 | 27,725 | SH | SOLE | 27,725 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 657 | 163,100 | SH | Call | OTR | 163,100 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 119 | 29,500 | SH | Call | SOLE | 29,500 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 632 | 156,800 | SH | Put | OTR | 156,800 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 3,795 | 84,700 | SH | Put | OTR | 84,700 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 685 | 15,300 | SH | Put | SOLE | 15,300 | 0 | 0 | |
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 691 | 11,000 | SH | SOLE | 11,000 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 44,554 | 25,420,000 | PRN | OTR | 25,420,000 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 8,027 | 4,580,000 | PRN | SOLE | 4,580,000 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 355 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
NEURALSTEM INC | COM NEW | 64127R401 | 1,458 | 249,700 | SH | Put | OTR | 249,700 | 0 | 0 | |
NEURALSTEM INC | COM NEW | 64127R401 | 144 | 24,700 | SH | Put | SOLE | 24,700 | 0 | 0 | |
NEURALSTEM INC | COM NEW | 64127R401 | 287 | 49,100 | SH | Call | SOLE | 49,100 | 0 | 0 | |
NEURALSTEM INC | COM NEW | 64127R401 | 1,814 | 310,600 | SH | Call | OTR | 310,600 | 0 | 0 | |
NEW YORK REIT INC | COM | 64976L109 | 207 | 24,000 | SH | SOLE | 24,000 | 0 | 0 | ||
NEXVET BIOPHARMA PUB LTD CO | ORD SHS | G6503X109 | 174 | 26,000 | SH | SOLE | 26,000 | 0 | 0 | ||
NORSAT INTL INC NEW | COM NEW | 656512209 | 167 | 14,663 | SH | SOLE | 14,663 | 0 | 0 | ||
NUTRACEUTICAL INTL CORP | COM | 67060Y101 | 208 | 4,996 | SH | SOLE | 4,996 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 42,952 | 36,009,000 | PRN | OTR | 36,009,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 7,742 | 6,491,000 | PRN | SOLE | 6,491,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 5,075 | 46,400 | SH | Call | OTR | 46,400 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 2,034 | 18,600 | SH | Put | SOLE | 18,600 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 11,157 | 102,000 | SH | Put | OTR | 102,000 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 722 | 6,600 | SH | Call | SOLE | 6,600 | 0 | 0 | |
OTONOMY INC | COM | 68906L105 | 4,907 | 260,600 | SH | Call | OTR | 260,600 | 0 | 0 | |
OTONOMY INC | COM | 68906L105 | 883 | 46,900 | SH | Call | SOLE | 46,900 | 0 | 0 | |
PACIFIC CONTINENTAL CORP | COM | 69412V108 | 465 | 18,200 | SH | SOLE | 18,200 | 0 | 0 | ||
PANERA BREAD CO | CL A | 69840W108 | 491 | 1,560 | SH | SOLE | 1,560 | 0 | 0 | ||
PAREXEL INTL CORP | COM | 699462107 | 226 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
REYNOLDS AMERICAN INC | COM | 761713106 | 1,150 | 17,675 | SH | SOLE | 17,675 | 0 | 0 | ||
RICE ENERGY INC | COM | 762760106 | 277 | 10,400 | SH | SOLE | 10,400 | 0 | 0 | ||
RTI INTL METALS INC | NOTE 1.625%10/1 | 74973WAB3 | 1,715 | 1,603,000 | PRN | SOLE | 1,603,000 | 0 | 0 | ||
RTI INTL METALS INC | NOTE 1.625%10/1 | 74973WAB3 | 9,516 | 8,897,000 | PRN | OTR | 8,897,000 | 0 | 0 | ||
RUBY TUESDAY INC | COM | 781182100 | 20 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SAGE THERAPEUTICS INC | COM | 78667J108 | 20,823 | 261,500 | SH | Call | OTR | 261,500 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 3,623 | 45,500 | SH | Call | SOLE | 45,500 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 430 | 5,400 | SH | Put | OTR | 5,400 | 0 | 0 | |
SAJAN INC | COM NEW | 79379T202 | 91 | 15,600 | SH | SOLE | 15,600 | 0 | 0 | ||
SCICLONE PHARMACEUTICALS INC | COM | 80862K104 | 190 | 17,300 | SH | SOLE | 17,300 | 0 | 0 | ||
SINOVAC BIOTECH LTD | SHS | P8696W104 | 68 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SPECTRANETICS CORP | COM | 84760C107 | 346 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
STAPLES INC | COM | 855030102 | 252 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
STONEGATE BK FT LAUDERDALE F | COM | 861811107 | 240 | 5,200 | SH | SOLE | 5,200 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 105 | 20,795 | SH | SOLE | 20,795 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 79,430 | 19,666,000 | PRN | OTR | 19,666,000 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 14,290 | 3,538,000 | PRN | SOLE | 3,538,000 | 0 | 0 | ||
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 250 | 35,075 | SH | SOLE | 35,075 | 0 | 0 | ||
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 3,440 | 483,100 | SH | Put | OTR | 483,100 | 0 | 0 | |
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 1,390 | 194,925 | SH | OTR | 194,925 | 0 | 0 | ||
TETRAPHASE PHARMACEUTICALS I | COM | 88165N105 | 619 | 86,900 | SH | Put | SOLE | 86,900 | 0 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 470 | 4,680 | SH | SOLE | 4,680 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 347 | 8,500 | SH | SOLE | 8,500 | 0 | 0 | ||
VCA INC | COM | 918194101 | 597 | 6,470 | SH | SOLE | 6,470 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 2,522 | 118,400 | SH | Put | OTR | 118,400 | 0 | 0 | |
VECTOR GROUP LTD | COM | 92240M108 | 460 | 21,600 | SH | Put | SOLE | 21,600 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 8,841 | 6,025,000 | PRN | SOLE | 6,025,000 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 49,119 | 33,475,000 | PRN | OTR | 33,475,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 18,714 | 6,866,000 | PRN | SOLE | 6,866,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 103,939 | 38,134,000 | PRN | OTR | 38,134,000 | 0 | 0 | ||
VERSARTIS INC | COM | 92529L102 | 2,576 | 147,900 | SH | Call | OTR | 147,900 | 0 | 0 | |
VERSARTIS INC | COM | 92529L102 | 453 | 26,000 | SH | Call | SOLE | 26,000 | 0 | 0 | |
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 16,285 | 8,463,000 | PRN | OTR | 8,463,000 | 0 | 0 | ||
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 2,931 | 1,523,000 | PRN | SOLE | 1,523,000 | 0 | 0 | ||
WEST CORP | COM | 952355204 | 364 | 15,600 | SH | SOLE | 15,600 | 0 | 0 | ||
WHOLE FOODS MKT INC | COM | 966837106 | 337 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
WOLVERINE BANCORP INC | COM | 977880103 | 313 | 7,800 | SH | SOLE | 7,800 | 0 | 0 | ||
YAHOO INC | NOTE 12/0 | 984332AF3 | 11,554 | 10,172,000 | PRN | OTR | 10,172,000 | 0 | 0 | ||
YAHOO INC | NOTE 12/0 | 984332AF3 | 2,076 | 1,828,000 | PRN | SOLE | 1,828,000 | 0 | 0 | ||
ZOGENIX INC | COM NEW | 98978L204 | 373 | 25,800 | SH | Call | OTR | 25,800 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 2,473 | 170,900 | SH | Put | OTR | 170,900 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 443 | 30,600 | SH | Put | SOLE | 30,600 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 1,258 | 74,100 | SH | Put | SOLE | 74,100 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 5,247 | 309,000 | SH | Call | OTR | 309,000 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 939 | 55,300 | SH | Call | SOLE | 55,300 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 6,992 | 411,800 | SH | Put | OTR | 411,800 | 0 | 0 |