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 |
ACCELERON PHARMA INC | COM | 00434H108 | 28,528 | 498,300 | SH | Call | SOLE | 498,300 | 0 | 0 | |
ACORDA THERAPEUTICS INC | COM | 00484M106 | 5,327 | 271,500 | SH | Put | SOLE | 271,500 | 0 | 0 | |
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 9,432 | 11,000,000 | PRN | SOLE | 11,000,000 | 0 | 0 | ||
ACTINIUM PHARMACEUTICALS INC | COM | 00507W107 | 974 | 1,313,431 | SH | SOLE | 1,313,431 | 0 | 0 | ||
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 125,311 | 32,250,000 | PRN | SOLE | 32,250,000 | 0 | 0 | ||
AETNA INC NEW | COM | 00817Y108 | 44,894 | 221,318 | SH | SOLE | 221,318 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 88 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
AKORN INC | COM | 009728106 | 2,596 | 200,000 | SH | Call | SOLE | 200,000 | 0 | 0 | |
ANADARKO PETE CORP | COM | 032511107 | 6,079 | 90,179 | SH | SOLE | 90,179 | 0 | 0 | ||
ANADARKO PETE CORP | COM | 032511107 | 15,167 | 225,000 | SH | Put | SOLE | 225,000 | 0 | 0 | |
ANDEAVOR | COM | 03349M105 | 46,050 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
AQUINOX PHARMACEUTICALS INC | COM | 03842B101 | 65 | 22,100 | SH | Call | SOLE | 22,100 | 0 | 0 | |
ASPEN INSURANCE HOLDINGS LTD | SHS | G05384105 | 7,222 | 172,773 | SH | SOLE | 172,773 | 0 | 0 | ||
ASPEN INSURANCE HOLDINGS LTD | SHS | G05384105 | 660 | 15,800 | SH | Put | SOLE | 15,800 | 0 | 0 | |
ATHENAHEALTH INC | COM | 04685W103 | 16,700 | 125,000 | SH | SOLE | 125,000 | 0 | 0 | ||
AV HOMES INC | COM | 00234P102 | 7,204 | 360,200 | SH | SOLE | 360,200 | 0 | 0 | ||
AVEO PHARMACEUTICALS INC | COM | 053588109 | 3,539 | 1,075,500 | SH | Call | SOLE | 1,075,500 | 0 | 0 | |
CA INC | COM | 12673P105 | 26,764 | 606,207 | SH | SOLE | 606,207 | 0 | 0 | ||
CAESARS ENTMT CORP | COM | 127686103 | 7,196 | 700,000 | SH | Put | SOLE | 700,000 | 0 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 145,222 | 88,753,000 | PRN | SOLE | 88,753,000 | 0 | 0 | ||
CHESAPEAKE ENERGY CORP | NOTE 5.500% 9/1 | 165167CY1 | 2,954 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
COASTWAY BANCORP INC | COM | 190632109 | 367 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
COBIZ FINANCIAL INC | COM | 190897108 | 2,546 | 115,000 | SH | SOLE | 115,000 | 0 | 0 | ||
CONATUS PHARMACEUTICALS INC | COM | 20600T108 | 2,020 | 348,300 | SH | Call | SOLE | 348,300 | 0 | 0 | |
CONVERGYS CORP | COM | 212485106 | 1,234 | 52,000 | SH | Put | SOLE | 52,000 | 0 | 0 | |
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 22,150 | 10,000,000 | PRN | SOLE | 10,000,000 | 0 | 0 | ||
CTRIP COM INTL LTD | AMERICAN DEP SHS | 22943F100 | 1,412 | 38,000 | SH | Put | SOLE | 38,000 | 0 | 0 | |
DAVITA INC | COM | 23918K108 | 6,159 | 85,988 | SH | SOLE | 85,988 | 0 | 0 | ||
DAVITA INC | COM | 23918K108 | 13,510 | 188,600 | SH | Put | SOLE | 188,600 | 0 | 0 | |
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 21,852 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
DISCOVERY INC | COM SER C | 25470F302 | 18,156 | 850,700 | SH | SOLE | 850,700 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 20,580 | 176,000 | SH | Put | SOLE | 176,000 | 0 | 0 | |
DUN & BRADSTREET CORP DEL NE | COM | 26483E100 | 25,383 | 178,111 | SH | SOLE | 178,111 | 0 | 0 | ||
ENERGEN CORP | COM | 29265N108 | 17,234 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
ENERGY TRANSFER PARTNERS LP | UNIT LTD PRT INT | 29278N103 | 4,452 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
ENTERA BIO LTD | SHS | M40527109 | 1,627 | 280,112 | SH | SOLE | 280,112 | 0 | 0 | ||
ENVISION HEALTHCARE CORP | COM | 29414D100 | 12,347 | 270,000 | SH | SOLE | 270,000 | 0 | 0 | ||
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 4,914 | 110,800 | SH | Put | SOLE | 110,800 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 24,703 | 260,000 | SH | SOLE | 260,000 | 0 | 0 | ||
EXTRACTION OIL AND GAS INC | COM | 30227M105 | 1,055 | 93,475 | SH | SOLE | 93,475 | 0 | 0 | ||
EXTRACTION OIL AND GAS INC | COM | 30227M105 | 3,033 | 268,400 | SH | Put | SOLE | 268,400 | 0 | 0 | |
FIRST CONN BANCORP INC MD | COM | 319850103 | 2,955 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
FOREST CITY RLTY TR INC | COM CL A | 345605109 | 12,545 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
GAMESTOP CORP NEW | CL A | 36467W109 | 1,680 | 110,000 | SH | SOLE | 110,000 | 0 | 0 | ||
GRAMERCY PPTY TR | COM NEW | 385002308 | 17,201 | 626,863 | SH | SOLE | 626,863 | 0 | 0 | ||
ILLUMINA INC | COM | 452327109 | 5,506 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ILLUMINA INC | COM | 452327109 | 4,404 | 12,000 | SH | Put | SOLE | 12,000 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 54,784 | 2,628,800 | SH | Call | SOLE | 2,628,800 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 70,918 | 3,403,000 | SH | Put | SOLE | 3,403,000 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 11,643 | 576,100 | SH | Put | SOLE | 576,100 | 0 | 0 | |
INSMED INC | NOTE 1.750% 1/1 | 457669AA7 | 20,911 | 24,500,000 | PRN | SOLE | 24,500,000 | 0 | 0 | ||
INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | 8,697 | 185,000 | SH | SOLE | 185,000 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 62,340 | 493,000 | SH | Put | SOLE | 493,000 | 0 | 0 | |
INTERCEPT PHARMACEUTICALS IN | NOTE 3.250% 7/0 | 45845PAA6 | 19,218 | 19,000,000 | PRN | SOLE | 19,000,000 | 0 | 0 | ||
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 28,824 | 1,328,300 | SH | Call | SOLE | 1,328,300 | 0 | 0 | |
K2M GROUP HLDGS INC | COM | 48273J107 | 6,158 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
KLX INC | COM | 482539103 | 6,574 | 104,710 | SH | SOLE | 104,710 | 0 | 0 | ||
KMG CHEMICALS INC | COM | 482564101 | 5,999 | 79,400 | SH | SOLE | 79,400 | 0 | 0 | ||
LASALLE HOTEL PPTYS | COM SH BEN INT | 517942108 | 18,333 | 530,000 | SH | SOLE | 530,000 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 4,264 | 147,383 | SH | SOLE | 147,383 | 0 | 0 | ||
MB FINANCIAL INC NEW | COM | 55264U108 | 4,611 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
MEDICINES CO | COM | 584688105 | 19,337 | 646,500 | SH | Put | SOLE | 646,500 | 0 | 0 | |
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 25,993 | 24,000,000 | PRN | SOLE | 24,000,000 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | NOTE 1.625% 2/1 | 595017AD6 | 15,169 | 10,000,000 | PRN | SOLE | 10,000,000 | 0 | 0 | ||
MITEL NETWORKS CORP | COM | 60671Q104 | 6,879 | 624,255 | SH | SOLE | 624,255 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 239,182 | 65,494,000 | PRN | SOLE | 65,494,000 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 1,636 | 265,591 | SH | SOLE | 265,591 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 194 | 31,500 | SH | Call | SOLE | 31,500 | 0 | 0 | |
NAVIGATORS GROUP INC | COM | 638904102 | 3,453 | 49,970 | SH | SOLE | 49,970 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 22,459 | 262,673 | SH | SOLE | 262,673 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 24,342 | 285,000 | SH | Put | SOLE | 285,000 | 0 | 0 | |
OCEAN RIG UDW INC | COM CL A | G66964118 | 10,448 | 301,780 | SH | SOLE | 301,780 | 0 | 0 | ||
ORBOTECH LTD | ORD | M75253100 | 9,788 | 164,673 | SH | SOLE | 164,673 | 0 | 0 | ||
PDC ENERGY INC | COM | 69327R101 | 9,046 | 184,763 | SH | SOLE | 184,763 | 0 | 0 | ||
PDC ENERGY INC | COM | 69327R101 | 19,293 | 393,900 | SH | Put | SOLE | 393,900 | 0 | 0 | |
PINNACLE ENTMT INC NEW | COM | 72348Y105 | 2,350 | 69,767 | SH | SOLE | 69,767 | 0 | 0 | ||
PINNACLE FOODS INC DEL | COM | 72348P104 | 28,110 | 433,722 | SH | SOLE | 433,722 | 0 | 0 | ||
PRAXAIR INC | COM | 74005P104 | 52,963 | 329,500 | SH | Put | SOLE | 329,500 | 0 | 0 | |
PRAXAIR INC | COM | 74005P104 | 14,000 | 87,102 | SH | SOLE | 87,102 | 0 | 0 | ||
QUALCOMM INC | COM | 747525103 | 130,627 | 1,813,500 | SH | Call | SOLE | 1,813,500 | 0 | 0 | |
REALPAGE INC | NOTE 1.500%11/1 | 75606NAB5 | 4,079 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
REIS INC | COM | 75936P105 | 230 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
RENT A CTR INC NEW | COM | 76009N100 | 1,436 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
RITE AID CORP | COM | 767754104 | 896 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 41,439 | 295,000 | SH | SOLE | 295,000 | 0 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 2,397 | 31,100 | SH | SOLE | 31,100 | 0 | 0 | ||
ROYAL GOLD INC | COM | 780287108 | 1,079 | 14,000 | SH | Call | SOLE | 14,000 | 0 | 0 | |
ROYAL GOLD INC | COM | 780287108 | 1,079 | 14,000 | SH | Put | SOLE | 14,000 | 0 | 0 | |
SANOFI | RIGHT 12/31/2020 | 80105N113 | 330 | 600,293 | SH | SOLE | 600,293 | 0 | 0 | ||
SELECT INCOME REIT | COM SH BEN INT | 81618T100 | 2,852 | 130,000 | SH | SOLE | 130,000 | 0 | 0 | ||
SHIP FINANCE INTERNATIONAL L | SHS | G81075106 | 694 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
SHIRE PLC | SPONSORED ADR | 82481R106 | 8,701 | 48,000 | SH | SOLE | 48,000 | 0 | 0 | ||
SODASTREAM INTERNATIONAL LTD | USD SHS | M9068E105 | 21,288 | 148,783 | SH | SOLE | 148,783 | 0 | 0 | ||
STEWART INFORMATION SVCS COR | COM | 860372101 | 4,665 | 103,638 | SH | SOLE | 103,638 | 0 | 0 | ||
TRANSOCEAN LTD | REG SHS | H8817H100 | 1,745 | 125,000 | SH | Put | SOLE | 125,000 | 0 | 0 | |
TRIBUNE MEDIA CO | CL A | 896047503 | 3,555 | 92,500 | SH | SOLE | 92,500 | 0 | 0 | ||
TRUPANION INC | COM | 898202106 | 14,238 | 398,500 | SH | Put | SOLE | 398,500 | 0 | 0 | |
TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | 41,697 | 900,000 | SH | SOLE | 900,000 | 0 | 0 | ||
U S G CORP | COM NEW | 903293405 | 13,430 | 310,100 | SH | SOLE | 310,100 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 7,771 | 563,500 | SH | Put | SOLE | 563,500 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 41,301 | 38,000,000 | PRN | SOLE | 38,000,000 | 0 | 0 | ||
VECTREN CORP | COM | 92240G101 | 7,864 | 110,000 | SH | SOLE | 110,000 | 0 | 0 | ||
VIKING THERAPEUTICS INC | COM | 92686J106 | 2,147 | 123,300 | SH | Call | SOLE | 123,300 | 0 | 0 | |
WEATHERFORD INTL LTD | NOTE 5.875% 7/0 | 947075AH0 | 11,304 | 12,000,000 | PRN | SOLE | 12,000,000 | 0 | 0 | ||
WEATHERFORD INTL PLC | ORD SHS | G48833100 | 623 | 230,000 | SH | Put | SOLE | 230,000 | 0 | 0 | |
YAHOO INC | NOTE 12/0 | 984332AF3 | 76,610 | 60,000,000 | PRN | SOLE | 60,000,000 | 0 | 0 |