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 |
|
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 |
A10 NETWORKS INC | PUT | 002121951 | 6,755 | 38,600 | SH | Put | SOLE | 38,600 | 0 | 0 | |
ABEONA THERAPEUTICS INC | COM NEW | 00289Y206 | 984,159 | 196,439 | SH | OTR | 2 | 0 | 196,439 | 0 | |
ACLARION INC | *W EXP 04/21/202 | 655187110 | 15,291 | 286,276 | SH | SOLE | 286,276 | 0 | 0 | ||
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 590,456 | 784,346 | SH | OTR | 2 | 0 | 784,346 | 0 | |
AGREE RLTY CORP | COM | 008492100 | 223,473 | 3,550 | SH | SOLE | 3,550 | 0 | 0 | ||
ALIMERA SCIENCES INC | COM NEW | 016259202 | 2,404,693 | 556,642 | SH | OTR | 2 | 0 | 556,642 | 0 | |
AMYLYX PHARMACEUTICALS INC | CALL | 03237H901 | 5,018 | 22,300 | SH | Call | SOLE | 22,300 | 0 | 0 | |
APOLLO GLOBAL MGMT INC | COM | 03769M106 | 1,863,986 | 20,002 | SH | OTR | 3 | 0 | 20,002 | 0 | |
APPLIED THERAPEUTICS INC | COM | 03828A101 | 1,383,486 | 412,981 | SH | OTR | 2 | 0 | 412,981 | 0 | |
APREA THERAPEUTICS INC | COM NEW | 03836J201 | 409,694 | 87,169 | SH | OTR | 2 | 0 | 87,169 | 0 | |
APYX MEDICAL CORPORATION | COM | 03837C106 | 1,357,679 | 518,198 | SH | OTR | 2 | 0 | 518,198 | 0 | |
ARTERIS INC | COM | 04302A104 | 647,435 | 109,921 | SH | SOLE | 109,921 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 6,958,791 | 440,988 | SH | OTR | 2 | 0 | 440,988 | 0 | |
AUGMEDIX INC | COM | 05105P107 | 79,677 | 13,620 | SH | SOLE | 13,620 | 0 | 0 | ||
BANK AMERICA CORP | COM | 060505104 | 1,503,938 | 44,667 | SH | OTR | 3 | 0 | 44,667 | 0 | |
BARCLAYS PLC | PUT | 06738E954 | 837 | 52,800 | SH | Put | OTR | 1 | 0 | 52,800 | 0 |
BIODESIX INC | COM | 09075X108 | 2,100,901 | 1,141,794 | SH | OTR | 2 | 0 | 1,141,794 | 0 | |
BIOMARIN PHARMACEUTICAL INC | NOTE 0.599% 8/0 | 09061GAH4 | 899,444 | 910,000 | PRN | OTR | 1 | 0 | 910,000 | 0 | |
BK TECHNOLOGIES CORPORATION | COM NEW | 05587G203 | 1,002,203 | 81,951 | SH | OTR | 2 | 0 | 81,951 | 0 | |
BLOOMIN BRANDS INC | NOTE 5.000% 5/0 | 094235AB4 | 9,147,688 | 3,605,000 | PRN | OTR | 1 | 0 | 3,605,000 | 0 | |
BRAINSWAY LTD | SPONSORED ADS | 10501L106 | 1,675,300 | 258,534 | SH | OTR | 2 | 0 | 258,534 | 0 | |
BRANDYWINE RLTY TR | SH BEN INT NEW | 105368203 | 256,500 | 47,500 | SH | SOLE | 47,500 | 0 | 0 | ||
BREAD FINANCIAL HOLDINGS INC | PUT | 018581958 | 3,343 | 10,600 | SH | Put | OTR | 1 | 0 | 10,600 | 0 |
CAPITAL ONE FINL CORP | COM | 14040H105 | 2,717,200 | 20,723 | SH | OTR | 3 | 0 | 20,723 | 0 | |
CARDLYTICS INC | COM | 14161W105 | 439,695 | 47,741 | SH | OTR | 3 | 0 | 47,741 | 0 | |
CARNIVAL CORP | PUT | 143658950 | 821 | 82,100 | SH | Put | OTR | 1 | 0 | 82,100 | 0 |
CELLECTAR BIOSCIENCES INC | COM NEW | 15117F807 | 1,922,128 | 693,909 | SH | OTR | 2 | 0 | 693,909 | 0 | |
CERAGON NETWORKS LTD | ORD | M22013102 | 188,505 | 87,271 | SH | SOLE | 87,271 | 0 | 0 | ||
CHART INDS INC | NOTE 1.000%11/1 | 16115QAE0 | 6,029,434 | 2,574,000 | PRN | OTR | 1 | 0 | 2,574,000 | 0 | |
CINEMARK HLDGS INC | NOTE 4.500% 8/1 | 17243VAB8 | 2,701,450 | 2,228,000 | PRN | OTR | 1 | 0 | 2,228,000 | 0 | |
CINEMARK HLDGS INC | PUT | 17243V952 | 8,850 | 118,000 | SH | Put | OTR | 1 | 0 | 118,000 | 0 |
COGNITION THERAPEUTICS INC | COM | 19243B102 | 941,130 | 508,719 | SH | OTR | 2 | 0 | 508,719 | 0 | |
COYA THERAPEUTICS INC | COMMON STOCK | 22407B108 | 686,662 | 92,667 | SH | OTR | 2 | 0 | 92,667 | 0 | |
CTO RLTY GROWTH INC NEW | COM | 22948Q101 | 490,474 | 28,302 | SH | SOLE | 28,302 | 0 | 0 | ||
DELCATH SYS INC | COM NEW | 24661P807 | 1,224,072 | 294,248 | SH | OTR | 2 | 0 | 294,248 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 77,175 | 11,250 | SH | SOLE | 11,250 | 0 | 0 | ||
DISH NETWORK CORPORATION | NOTE 3.375% 8/1 | 25470MAB5 | 190,118 | 346,000 | PRN | OTR | 1 | 0 | 346,000 | 0 | |
EGAIN CORP | COM NEW | 28225C806 | 286,061 | 34,341 | SH | SOLE | 34,341 | 0 | 0 | ||
ELECTROVAYA INC | COM NEW | 28617B606 | 2,510,480 | 820,538 | SH | OTR | 2 | 0 | 820,538 | 0 | |
ELUTIA INC | CL A COM | 05479K106 | 1,033,651 | 478,542 | SH | OTR | 2 | 0 | 478,542 | 0 | |
EPR PPTYS | COM SH BEN INT | 26884U109 | 264,053 | 5,450 | SH | SOLE | 5,450 | 0 | 0 | ||
EQUITY COMWLTH | COM SH BEN INT | 294628102 | 346,618 | 18,053 | SH | SOLE | 18,053 | 0 | 0 | ||
EVOLV TECHNOLOGIES HLDNGS IN | COM CL A | 30049H102 | 53,001 | 11,229 | SH | SOLE | 11,229 | 0 | 0 | ||
EXPEDIA GROUP INC | NOTE 2/1 | 30212PBE4 | 1,567,934 | 1,651,000 | PRN | OTR | 1 | 0 | 1,651,000 | 0 | |
EXTRA SPACE STORAGE INC | COM | 30225T102 | 224,462 | 1,400 | SH | SOLE | 1,400 | 0 | 0 | ||
FENNEC PHARMACEUTICALS INC | COM | 31447P100 | 1,587,630 | 141,500 | SH | OTR | 2 | 0 | 141,500 | 0 | |
FIRSTENERGY CORP | PUT | 337932957 | 500 | 10,000 | SH | Put | OTR | 1 | 0 | 10,000 | 0 |
FRANKLIN COVEY CO | COM | 353469109 | 1,497,650 | 34,405 | SH | SOLE | 34,405 | 0 | 0 | ||
FRANKLIN WIRELESS CORP | COM | 355184102 | 335,020 | 98,826 | SH | OTR | 2 | 0 | 98,826 | 0 | |
GEO CORRECTIONS HOLDINGS INC | NOTE 6.500% 2/2 | 36166WAB9 | 3,575,764 | 2,553,000 | PRN | OTR | 1 | 0 | 2,553,000 | 0 | |
GEO GROUP INC NEW | COM | 36162J106 | 115,340 | 10,650 | SH | SOLE | 10,650 | 0 | 0 | ||
GEO GROUP INC NEW | PUT | 36162J956 | 2,965 | 115,400 | SH | Put | OTR | 1 | 0 | 115,400 | 0 |
GILAT SATELLITE NETWORKS LTD | SHS NEW | M51474118 | 462,179 | 75,643 | SH | SOLE | 75,643 | 0 | 0 | ||
GSI TECHNOLOGY INC | COM | 36241U106 | 629,030 | 238,269 | SH | OTR | 2 | 0 | 238,269 | 0 | |
GUESS INC | PUT | 401617955 | 10,465 | 18,200 | SH | Put | OTR | 1 | 0 | 18,200 | 0 |
HANNON ARMSTRONG SUST INFR C | PUT | 41068X950 | 4,713 | 37,700 | SH | Put | OTR | 1 | 0 | 37,700 | 0 |
HILTON GRAND VACATIONS INC | COM | 43283X105 | 2,650,916 | 65,976 | SH | OTR | 3 | 0 | 65,976 | 0 | |
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 4,545,201 | 560,444 | SH | OTR | 2 | 0 | 560,444 | 0 | |
INDIE SEMICONDUCTOR INC | CLASS A COM | 45569U101 | 81,651 | 10,068 | SH | SOLE | 10,068 | 0 | 0 | ||
INFINERA CORP | COM | 45667G103 | 53,438 | 11,250 | SH | SOLE | 11,250 | 0 | 0 | ||
INTEGRA LIFESCIENCES HLDGS C | NOTE 0.500% 8/1 | 457985AM1 | 1,470,869 | 1,558,000 | PRN | OTR | 1 | 0 | 1,558,000 | 0 | |
IRONWOOD PHARMACEUTICALS INC | NOTE 0.750% 6/1 | 46333XAF5 | 1,734,160 | 1,636,000 | PRN | OTR | 1 | 0 | 1,636,000 | 0 | |
ISHARES TR | PUT | 464287957 | 570 | 11,400 | SH | Put | OTR | 1 | 0 | 11,400 | 0 |
ITERIS INC NEW | COM | 46564T107 | 1,449,708 | 278,790 | SH | SOLE | 278,790 | 0 | 0 | ||
KARUNA THERAPEUTICS INC | CALL | 48576A900 | 292,790 | 3,800 | SH | Call | SOLE | 3,800 | 0 | 0 | |
KITE RLTY GROUP TR | COM NEW | 49803T300 | 217,170 | 9,500 | SH | SOLE | 9,500 | 0 | 0 | ||
KORE GROUP HLDGS INC | COMMON STOCK | 50066V107 | 36,305 | 37,038 | SH | SOLE | 37,038 | 0 | 0 | ||
KWESST MICRO SYSTEMS INC | *W EXP 12/09/202 | 501506133 | 25,761 | 282,092 | SH | OTR | 2 | 0 | 282,092 | 0 | |
KWESST MICRO SYSTEMS INC | COM NEW | 501506604 | 255,390 | 283,767 | SH | OTR | 2 | 0 | 283,767 | 0 | |
LANTRONIX INC | COM NEW | 516548203 | 73,039 | 12,464 | SH | SOLE | 12,464 | 0 | 0 | ||
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,171,310 | 929,611 | SH | OTR | 2 | 0 | 929,611 | 0 | |
LIVENT CORP | NOTE 4.125% 7/1 | 53814LAB4 | 8,904,168 | 4,228,000 | PRN | OTR | 1 | 0 | 4,228,000 | 0 | |
LIVEPERSON INC | COM | 538146101 | 1,518,668 | 400,704 | SH | OTR | 2 | 0 | 400,704 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 | 116,208 | 115,000 | PRN | OTR | 1 | 0 | 115,000 | 0 | |
MAMAS CREATIONS INC | COM | 56146T103 | 62,632 | 12,756 | SH | SOLE | 12,756 | 0 | 0 | ||
MARRIOTT VACATIONS WORLDWIDE | NOTE 1/1 | 57164YAD9 | 2,132,588 | 2,414,000 | PRN | OTR | 1 | 0 | 2,414,000 | 0 | |
MICROCHIP TECHNOLOGY INC. | COM | 595017104 | 1,188,572 | 13,180 | SH | OTR | 1 | 0 | 13,180 | 0 | |
MICROSTRATEGY INC | NOTE 0.750%12/1 | 594972AC5 | 1,567,630 | 944,000 | PRN | OTR | 1 | 0 | 944,000 | 0 | |
MYOMO INC | COM NEW | 62857J201 | 7,003,284 | 1,397,861 | SH | OTR | 2 | 0 | 1,397,861 | 0 | |
NATIONAL STORAGE AFFILIATES | COM SHS BEN IN | 637870106 | 327,613 | 7,900 | SH | SOLE | 7,900 | 0 | 0 | ||
NEURONETICS INC | COM | 64131A105 | 30,175 | 10,405 | SH | SOLE | 10,405 | 0 | 0 | ||
NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 665531AJ8 | 2,350,612 | 1,985,000 | PRN | OTR | 1 | 0 | 1,985,000 | 0 | |
NUVASIVE INC | NOTE 0.375% 3/1 | 670704AJ4 | 1,989,763 | 2,129,000 | PRN | OTR | 1 | 0 | 2,129,000 | 0 | |
ONEMAIN HLDGS INC | COM | 68268W103 | 2,382,904 | 48,433 | SH | OTR | 3 | 0 | 48,433 | 0 | |
OPERA LTD | SPONSORED ADS | 68373M107 | 170,985 | 12,924 | SH | SOLE | 12,924 | 0 | 0 | ||
OUSTER INC | COM NEW | 68989M202 | 3,599,623 | 469,312 | SH | OTR | 2 | 0 | 469,312 | 0 | |
PARSONS CORP DEL | NOTE 0.250% 8/1 | 70202LAB8 | 1,561,634 | 1,088,000 | PRN | OTR | 1 | 0 | 1,088,000 | 0 | |
PATRICK INDS INC | NOTE 1.750%12/0 | 703343AG8 | 3,406,003 | 2,982,000 | PRN | OTR | 1 | 0 | 2,982,000 | 0 | |
PLYMOUTH INDL REIT INC | COM | 729640102 | 298,468 | 12,400 | SH | SOLE | 12,400 | 0 | 0 | ||
POST HLDGS INC | NOTE 2.500% 8/1 | 737446AT1 | 2,062,603 | 2,034,000 | PRN | OTR | 1 | 0 | 2,034,000 | 0 | |
POWERFLEET INC | COM | 73931J109 | 156,773 | 45,840 | SH | SOLE | 45,840 | 0 | 0 | ||
PROFOUND MED CORP | COM NEW | 74319B502 | 1,366,644 | 160,971 | SH | OTR | 2 | 0 | 160,971 | 0 | |
PROGRESS SOFTWARE CORP | NOTE 1.000% 4/1 | 743312AB6 | 5,571,143 | 5,262,000 | PRN | OTR | 1 | 0 | 5,262,000 | 0 | |
PROGRESSIVE CORP | COM | 743315103 | 2,249,034 | 14,120 | SH | OTR | 3 | 0 | 14,120 | 0 | |
RAYMOND JAMES FINL INC | COM | 754730109 | 1,411,590 | 12,660 | SH | OTR | 3 | 0 | 12,660 | 0 | |
RED CAT HLDGS INC | COM | 75644T100 | 1,100,877 | 1,250,997 | SH | OTR | 2 | 0 | 1,250,997 | 0 | |
RIBBON COMMUNICATIONS INC | COM | 762544104 | 96,231 | 33,183 | SH | SOLE | 33,183 | 0 | 0 | ||
ROYAL CARIBBEAN GROUP | NOTE 6.000% 8/1 | 780153BQ4 | 8,312,627 | 3,118,000 | PRN | OTR | 1 | 0 | 3,118,000 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 520,722 | 5,400 | SH | SOLE | 5,400 | 0 | 0 | ||
SAREPTA THERAPEUTICS INC | CALL | 803607900 | 237,583 | 65,400 | SH | Call | SOLE | 65,400 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | PUT | 803607950 | 55,260 | 49,800 | SH | Put | SOLE | 49,800 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | DBCV 1.500%11/1 | 803607AB6 | 3,955,915 | 2,792,000 | PRN | OTR | 1 | 0 | 2,792,000 | 0 | |
SAVERONE 2014 LTD | *W EXP 06/02/202 | 80516T113 | 16,904 | 140,864 | SH | OTR | 2 | 0 | 140,864 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 4,836,327 | 771,344 | SH | OTR | 2 | 0 | 771,344 | 0 | |
SIGA TECHNOLOGIES INC | CALL | 826917906 | 7,550 | 75,500 | SH | Call | SOLE | 75,500 | 0 | 0 | |
SILICOM LTD | ORD | M84116108 | 738,661 | 40,810 | SH | SOLE | 40,810 | 0 | 0 | ||
SIMON PPTY GROUP INC NEW | COM | 828806109 | 235,356 | 1,650 | SH | SOLE | 1,650 | 0 | 0 | ||
SOUNDTHINKING INC | COM | 82536T107 | 1,052,784 | 41,221 | SH | SOLE | 41,221 | 0 | 0 | ||
SOUTHWEST AIRLS CO | PUT | 844741958 | 1,814 | 41,000 | SH | Put | OTR | 1 | 0 | 41,000 | 0 |
SOUTHWEST AIRLS CO | COM | 844741108 | 561,225 | 19,433 | SH | OTR | 1 | 0 | 19,433 | 0 | |
SPLUNK INC | NOTE 1.125% 9/1 | 848637AD6 | 955,317 | 865,000 | PRN | OTR | 1 | 0 | 865,000 | 0 | |
SPRUCE BIOSCIENCES INC | COM | 85209E109 | 1,543,914 | 526,933 | SH | OTR | 2 | 0 | 526,933 | 0 | |
STARWOOD PPTY TR INC | NOTE 6.750% 7/1 | 85571BBA2 | 2,781,744 | 2,552,000 | PRN | OTR | 1 | 0 | 2,552,000 | 0 | |
TANDEM DIABETES CARE INC | NOTE 1.500% 5/0 | 875372AB0 | 1,929,765 | 2,026,000 | PRN | OTR | 1 | 0 | 2,026,000 | 0 | |
TANDEM DIABETES CARE INC | PUT | 875372953 | 9,360 | 62,400 | SH | Put | OTR | 1 | 0 | 62,400 | 0 |
TELA BIO INC | COM | 872381108 | 2,286,091 | 345,331 | SH | OTR | 2 | 0 | 345,331 | 0 | |
THERATECHNOLOGIES INC | COM NEW | 88338H704 | 1,468,622 | 906,557 | SH | OTR | 2 | 0 | 906,557 | 0 | |
TRANSOCEAN INC | DEB 4.625% 9/3 | 893830BW8 | 4,010,974 | 1,922,000 | PRN | OTR | 1 | 0 | 1,922,000 | 0 | |
TRANSPHORM INC | COM | 89386L100 | 4,211,290 | 1,153,778 | SH | OTR | 2 | 0 | 1,153,778 | 0 | |
TYLER TECHNOLOGIES INC | COM | 902252105 | 696,588 | 1,666 | SH | OTR | 1 | 0 | 1,666 | 0 | |
VACCINEX INC | COM NEW | 918640202 | 434,832 | 654,079 | SH | OTR | 2 | 0 | 654,079 | 0 | |
VAREX IMAGING CORP | NOTE 4.000% 6/0 | 92214XAB2 | 3,057,615 | 2,552,000 | PRN | OTR | 1 | 0 | 2,552,000 | 0 | |
VERADIGM INC | NOTE 0.875% 1/0 | 01988PAF5 | 4,496,650 | 4,448,000 | PRN | OTR | 1 | 0 | 4,448,000 | 0 | |
VERADIGM INC | PUT | 01988P958 | 62,625 | 120,400 | SH | Put | OTR | 1 | 0 | 120,400 | 0 |
VERONA PHARMA PLC | PUT | 925050956 | 5,700 | 15,200 | SH | Put | SOLE | 15,200 | 0 | 0 | |
VERU INC | COM | 92536C103 | 616,216 | 855,855 | SH | OTR | 2 | 0 | 855,855 | 0 | |
WAYFAIR INC | PUT | 94419L951 | 8,075 | 46,700 | SH | Put | OTR | 1 | 0 | 46,700 | 0 |
WEAVE COMMUNICATIONS INC | COM | 94724R108 | 1,088,549 | 94,904 | SH | SOLE | 94,904 | 0 | 0 | ||
WHITESTONE REIT | COM | 966084204 | 325,071 | 26,450 | SH | SOLE | 26,450 | 0 | 0 | ||
ZIFF DAVIS INC | NOTE 1.750%11/0 | 48123VAE2 | 2,180,774 | 2,299,000 | PRN | OTR | 1 | 0 | 2,299,000 | 0 |