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 |
AEROHIVE NETWORKS INC | COM | 007786106 | 683 | 166,921 | SH | SOLE | 166,921 | 0 | 0 | ||
AGREE REALTY CORP | COM | 008492100 | 240 | 4,900 | SH | SOLE | 4,900 | 0 | 0 | ||
AIMMUNE THERAPEUTICS INC | COM | 00900T107 | 75 | 15,300 | SH | Call | OTR | 1 | 0 | 15,300 | 0 |
AIRGAIN INC | COM | 00938A104 | 412 | 45,292 | SH | SOLE | 45,292 | 0 | 0 | ||
ALCOBRA LTD | SHS | M2239P109 | 275 | 271,982 | SH | SOLE | 271,982 | 0 | 0 | ||
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 375 | 2,170 | SH | SOLE | 2,170 | 0 | 0 | ||
ALPHABET INC | CAP STK CL A | 02079K305 | 233 | 239 | SH | SOLE | 239 | 0 | 0 | ||
ALPHABET INC | CAP STK CL C | 02079K107 | 1,520 | 1,585 | SH | SOLE | 1,585 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 18 | 19,700 | SH | Put | OTR | 1 | 0 | 19,700 | 0 |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 1,891 | 1,720,000 | PRN | OTR | 1 | 0 | 1,720,000 | 0 | |
APOGEE ENTERPRISES INC | COM | 037598109 | 246 | 5,100 | SH | SOLE | 5,100 | 0 | 0 | ||
APPTIO INC | CL A | 03835C108 | 754 | 40,849 | SH | SOLE | 40,849 | 0 | 0 | ||
ATTUNITY LTD | SHS NEW | M15332121 | 1,024 | 152,682 | SH | SOLE | 152,682 | 0 | 0 | ||
AXOVANT SCIENCES LTD | COM | G0750W104 | 4 | 162,500 | SH | Call | OTR | 1 | 0 | 162,500 | 0 |
BAIDU INC | SPON ADR REP A | 056752108 | 440 | 1,777 | SH | SOLE | 1,777 | 0 | 0 | ||
BALL CORP | COM | 058498106 | 289 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 241 | 9,496 | SH | OTR | 2 | 0 | 9,496 | 0 | |
BANKUNITED INC | COM | 06652K103 | 226 | 6,347 | SH | OTR | 2 | 0 | 6,347 | 0 | |
BMC STK HLDGS INC | COM | 05591B109 | 459 | 21,522 | SH | OTR | 2 | 0 | 21,522 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 39 | 43,000 | SH | Call | OTR | 1 | 0 | 43,000 | 0 |
CANADIAN PAC RY LTD | COM | 13645T100 | 814 | 4,846 | SH | OTR | 2 | 0 | 4,846 | 0 | |
CARROLS RESTAURANT GROUP INC | COM | 14574X104 | 188 | 17,275 | SH | OTR | 2 | 0 | 17,275 | 0 | |
CHART INDS INC | NOTE 2.000% 8/0 | 16115QAC4 | 539 | 538,000 | PRN | OTR | 1 | 0 | 538,000 | 0 | |
CLEARFIELD INC | COM | 18482P103 | 617 | 45,398 | SH | SOLE | 45,398 | 0 | 0 | ||
CONSOLIDATED TOMOKA LD CO | COM | 210226106 | 607 | 10,105 | SH | SOLE | 10,105 | 0 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 38 | 2,506 | SH | SOLE | 2,506 | 0 | 0 | ||
COTT CORP QUE | COM | 22163N106 | 206 | 13,714 | SH | OTR | 2 | 0 | 13,714 | 0 | |
CSX CORP | COM | 126408103 | 460 | 8,472 | SH | OTR | 2 | 0 | 8,472 | 0 | |
DERMIRA INC | COM | 24983L104 | 41 | 13,500 | SH | Put | OTR | 1 | 0 | 13,500 | 0 |
DEVON ENERGY CORP NEW | COM | 25179M103 | 213 | 5,790 | SH | OTR | 2 | 0 | 5,790 | 0 | |
DEVON ENERGY CORP NEW | COM | 25179M103 | 30 | 830 | SH | SOLE | 830 | 0 | 0 | ||
DSP GROUP INC | COM | 23332B106 | 1,091 | 83,906 | SH | SOLE | 83,906 | 0 | 0 | ||
DYNEGY INC NEW DEL | UNIT 07/01/20191 | 26817R405 | 545 | 8,062 | SH | OTR | 1 | 0 | 8,062 | 0 | |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 553 | 12,671 | SH | OTR | 2 | 0 | 12,671 | 0 | |
EASTERLY GOVT PPTYS INC | COM | 27616P103 | 288 | 13,910 | SH | SOLE | 13,910 | 0 | 0 | ||
ENCANA CORP | COM | 292505104 | 184 | 15,650 | SH | OTR | 2 | 0 | 15,650 | 0 | |
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 281 | 9,258 | SH | SOLE | 9,258 | 0 | 0 | ||
EXPEDIA INC DEL | COM NEW | 30212P303 | 1,051 | 7,300 | SH | SOLE | 7,300 | 0 | 0 | ||
FIESTA RESTAURANT GROUP INC | COM | 31660B101 | 461 | 24,300 | SH | SOLE | 24,300 | 0 | 0 | ||
FINISAR CORP | COM NEW | 31787A507 | 3 | 3,000 | SH | Put | OTR | 1 | 0 | 3,000 | 0 |
FINISAR CORP | COM NEW | 31787A507 | 198 | 8,966 | SH | OTR | 1 | 0 | 8,966 | 0 | |
GENCOR INDS INC | COM | 368678108 | 337 | 19,084 | SH | SOLE | 19,084 | 0 | 0 | ||
GOODYEAR TIRE & RUBR CO | COM | 382550101 | 984 | 29,600 | SH | SOLE | 29,600 | 0 | 0 | ||
GROUPE CGI INC | CL A SUB VTG | 39945C109 | 213 | 4,109 | SH | OTR | 2 | 0 | 4,109 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 654 | 78,300 | SH | Call | OTR | 1 | 0 | 78,300 | 0 |
IMMUNOMEDICS INC | COM | 452907108 | 82 | 67,900 | SH | Put | OTR | 1 | 0 | 67,900 | 0 |
INSMED INC | COM PAR $.01 | 457669307 | 950 | 30,454 | SH | OTR | 1 | 0 | 30,454 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 8 | 27,800 | SH | Call | OTR | 1 | 0 | 27,800 | 0 |
INSMED INC | COM PAR $.01 | 457669307 | 3 | 46,500 | SH | Put | OTR | 1 | 0 | 46,500 | 0 |
INTEL CORP | COM | 458140100 | 7 | 45,200 | SH | Put | OTR | 1 | 0 | 45,200 | 0 |
INTEL CORP | SDCV 2.950%12/1 | 458140AD2 | 6,080 | 4,244,000 | PRN | OTR | 1 | 0 | 4,244,000 | 0 | |
INTEL CORP | SDCV 3.250% 8/0 | 458140AF7 | 7,837 | 4,248,000 | PRN | OTR | 1 | 0 | 4,248,000 | 0 | |
INTERACTIVE BROKERS GROUP IN | COM | 45841N107 | 810 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
INVACARE CORP | COM | 461203101 | 9 | 40,100 | SH | Put | OTR | 1 | 0 | 40,100 | 0 |
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 2,130 | 1,775,000 | PRN | OTR | 1 | 0 | 1,775,000 | 0 | |
ISHARES TR | RUS 2000 VAL ETF | 464287630 | 496 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1,927 | 13,009 | SH | SOLE | 13,009 | 0 | 0 | ||
JPMORGAN CHASE & CO | COM | 46625H100 | 254 | 2,660 | SH | OTR | 2 | 0 | 2,660 | 0 | |
KAMADA LTD | SHS | M6240T109 | 246 | 51,322 | SH | SOLE | 51,322 | 0 | 0 | ||
KINROSS GOLD CORP | COM NO PAR | 496902404 | 54 | 12,847 | SH | SOLE | 12,847 | 0 | 0 | ||
KINROSS GOLD CORP | COM NO PAR | 496902404 | 31 | 7,200 | SH | OTR | 2 | 0 | 7,200 | 0 | |
KITE RLTY GROUP TR | COM NEW | 49803T300 | 406 | 20,051 | SH | SOLE | 20,051 | 0 | 0 | ||
LANNET INC | COM | 516012101 | 43 | 43,300 | SH | Put | OTR | 1 | 0 | 43,300 | 0 |
LENNAR CORP | CL A | 526057104 | 251 | 4,750 | SH | OTR | 2 | 0 | 4,750 | 0 | |
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 563 | 17,200 | SH | SOLE | 17,200 | 0 | 0 | ||
LIFE STORAGE INC | COM | 53223X107 | 278 | 3,402 | SH | SOLE | 3,402 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 91 | 47,300 | SH | Put | OTR | 1 | 0 | 47,300 | 0 |
LIPOCINE INC NEW | COM | 53630X104 | 171 | 43,138 | SH | OTR | 1 | 0 | 43,138 | 0 | |
LOUISIANA PAC CORP | COM | 546347105 | 285 | 10,522 | SH | OTR | 2 | 0 | 10,522 | 0 | |
LOUISIANA PAC CORP | COM | 546347105 | 19 | 713 | SH | SOLE | 713 | 0 | 0 | ||
MADDEN STEVEN LTD | COM | 556269108 | 205 | 4,730 | SH | SOLE | 4,730 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 4,666 | 2,688,000 | PRN | OTR | 1 | 0 | 2,688,000 | 0 | |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 5 | 11,400 | SH | Put | OTR | 1 | 0 | 11,400 | 0 |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 142 | 17,559 | SH | OTR | 1 | 0 | 17,559 | 0 | |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 10 | 11,700 | SH | Call | OTR | 1 | 0 | 11,700 | 0 |
NETEASE INC | SPONSORED ADR | 64110W102 | 746 | 2,830 | SH | SOLE | 2,830 | 0 | 0 | ||
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 702 | 11,469 | SH | OTR | 1 | 0 | 11,469 | 0 | |
NEXSTAR MEDIA GROUP INC | CL A | 65336K103 | 1,393 | 22,360 | SH | SOLE | 22,360 | 0 | 0 | ||
NORTHSTAR REALTY EUROPE CORP | COM | 66706L101 | 271 | 21,129 | SH | SOLE | 21,129 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 61 | 542 | SH | OTR | 1 | 0 | 542 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 20 | 37,300 | SH | Call | OTR | 1 | 0 | 37,300 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 4 | 18,000 | SH | Put | OTR | 1 | 0 | 18,000 | 0 |
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 5,215 | 4,299,000 | PRN | OTR | 1 | 0 | 4,299,000 | 0 | |
OOMA INC | COM | 683416101 | 694 | 65,758 | SH | SOLE | 65,758 | 0 | 0 | ||
OTONOMY INC | COM | 68906L105 | 104 | 32,075 | SH | OTR | 1 | 0 | 32,075 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 216 | 7,274 | SH | OTR | 1 | 0 | 7,274 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 840 | 147,000 | SH | Call | OTR | 1 | 0 | 147,000 | 0 |
OVERSTOCK COM INC DEL | COM | 690370101 | 58 | 74,900 | SH | Put | OTR | 1 | 0 | 74,900 | 0 |
OWENS CORNING NEW | COM | 690742101 | 199 | 2,570 | SH | OTR | 2 | 0 | 2,570 | 0 | |
OWENS CORNING NEW | COM | 690742101 | 14 | 180 | SH | SOLE | 180 | 0 | 0 | ||
OWENS RLTY MTG INC | COM | 690828108 | 435 | 23,890 | SH | SOLE | 23,890 | 0 | 0 | ||
PIXELWORKS INC | COM NEW | 72581M305 | 663 | 140,795 | SH | SOLE | 140,795 | 0 | 0 | ||
PNC FINL SVCS GROUP INC | COM | 693475105 | 261 | 1,937 | SH | OTR | 2 | 0 | 1,937 | 0 | |
PTC THERAPEUTICS INC | COM | 69366J200 | 1 | 300 | SH | Call | OTR | 1 | 0 | 300 | 0 |
PTC THERAPEUTICS INC | COM | 69366J200 | 412 | 187,600 | SH | Put | OTR | 1 | 0 | 187,600 | 0 |
PTC THERAPEUTICS INC | COM | 69366J200 | 1,325 | 66,196 | SH | OTR | 1 | 0 | 66,196 | 0 | |
QTS RLTY TR INC | COM CL A | 74736A103 | 267 | 5,105 | SH | SOLE | 5,105 | 0 | 0 | ||
RAMCO-GERSHENSON PPTYS TR | COM SH BEN INT | 751452202 | 339 | 26,027 | SH | SOLE | 26,027 | 0 | 0 | ||
RED LION HOTELS CORP | COM | 756764106 | 259 | 29,985 | SH | SOLE | 29,985 | 0 | 0 | ||
RETAIL PPTYS AMER INC | CL A | 76131V202 | 236 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 1,355 | 15,041 | SH | SOLE | 15,041 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 483 | 8,939 | SH | SOLE | 8,939 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 868 | 10,620 | SH | SOLE | 10,620 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 317 | 12,272 | SH | SOLE | 12,272 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 687 | 9,683 | SH | SOLE | 9,683 | 0 | 0 | ||
SILICOM LTD | ORD | M84116108 | 1,239 | 21,181 | SH | SOLE | 21,181 | 0 | 0 | ||
SKECHERS U S A INC | CL A | 830566105 | 474 | 18,900 | SH | SOLE | 18,900 | 0 | 0 | ||
SM ENERGY CO | NOTE 1.500% 7/0 | 78454LAM2 | 223 | 235,800 | PRN | OTR | 2 | 0 | 235,800 | 0 | |
SOHU COM INC | COM | 83408W103 | 349 | 6,400 | SH | SOLE | 6,400 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 754 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 49 | 107,600 | SH | Put | OTR | 1 | 0 | 107,600 | 0 |
SPDR SERIES TRUST | BLOMBERG BRC SRT | 78464A474 | 2,515 | 82,000 | SH | SOLE | 82,000 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 720 | 8,318 | SH | SOLE | 8,318 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 9,356 | 2,494,000 | PRN | OTR | 1 | 0 | 2,494,000 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 159 | 9,020 | SH | OTR | 1 | 0 | 9,020 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 1 | 2,700 | SH | Call | OTR | 1 | 0 | 2,700 | 0 |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 8 | 18,300 | SH | Put | OTR | 1 | 0 | 18,300 | 0 |
TRANSGLOBE ENERGY CORP | COM | 893662106 | 30 | 21,030 | SH | SOLE | 21,030 | 0 | 0 | ||
TRI POINTE GROUP INC | COM | 87265H109 | 345 | 24,980 | SH | OTR | 2 | 0 | 24,980 | 0 | |
TRIPADVISOR INC | COM | 896945201 | 377 | 9,300 | SH | SOLE | 9,300 | 0 | 0 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 2,644 | 33,000 | SH | SOLE | 33,000 | 0 | 0 | ||
VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 879 | 5,783 | SH | SOLE | 5,783 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 2 | 22,700 | SH | Put | OTR | 1 | 0 | 22,700 | 0 |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 6,266 | 4,246,000 | PRN | OTR | 1 | 0 | 4,246,000 | 0 | |
VEREIT INC | COM | 92339V100 | 233 | 28,094 | SH | SOLE | 28,094 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 15,177 | 4,864,000 | PRN | OTR | 1 | 0 | 4,864,000 | 0 | |
VERSARTIS INC | COM | 92529L102 | 6 | 300 | SH | Put | OTR | 1 | 0 | 300 | 0 |
VERSARTIS INC | COM | 92529L102 | 0 | 300 | SH | OTR | 1 | 0 | 300 | 0 | |
VERSARTIS INC | COM | 92529L102 | 1 | 72,200 | SH | Call | OTR | 1 | 0 | 72,200 | 0 |
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 1,969 | 991,000 | PRN | OTR | 1 | 0 | 991,000 | 0 | |
WASTE CONNECTIONS INC | COM | 94106B101 | 359 | 5,138 | SH | OTR | 2 | 0 | 5,138 | 0 | |
XILINX INC | COM | 983919101 | 351 | 4,955 | SH | SOLE | 4,955 | 0 | 0 | ||
YAHOO INC | NOTE 12/0 | 984332AF3 | 4,124 | 3,173,000 | PRN | OTR | 1 | 0 | 3,173,000 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 4 | 193,700 | SH | Put | OTR | 1 | 0 | 193,700 | 0 |
ZOGENIX INC | COM NEW | 98978L204 | 98 | 15,000 | SH | Call | OTR | 1 | 0 | 15,000 | 0 |