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 |
ACHIEVE LIFE SCIENCES ORD | COM | 004468203 | 111 | 57,436 | SH | SOLE | 57,436 | 0 | 0 | ||
ACHIEVE LIFE SCIENCES ORD | COM | 004468203 | 28 | 14,350 | SH | SOLE | 14,350 | 0 | 0 | ||
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 409 | 65,931 | SH | SOLE | 65,931 | 0 | 0 | ||
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 136 | 21,977 | SH | SOLE | 21,977 | 0 | 0 | ||
AIRGAIN ORD | COM | 00938A104 | 849 | 59,972 | SH | SOLE | 59,972 | 0 | 0 | ||
ALLOT COMMUNICATIONS LTD | SHS | M0854Q105 | 755 | 104,725 | SH | SOLE | 104,725 | 0 | 0 | ||
AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | NOTE 2.125% 9/0 | 007903BD8 | 4,657 | 1,202,000 | PRN | OTR | 1 | 0 | 1,202,000 | 0 | |
AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | NOTE 2.125% 9/0 | 007903BD8 | 3,084 | 796,000 | PRN | OTR | 1 | 0 | 796,000 | 0 | |
AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | NOTE 2.125% 9/0 | 007903BD8 | 16,978 | 4,382,000 | PRN | OTR | 1 | 0 | 4,382,000 | 0 | |
AMGN 1Jl9 177.5P 05 Jul 19 177.50 PUT | PUT | 031162950 | 5 | 6,800 | SH | Put | OTR | 1 | 0 | 6,800 | 0 |
ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | NOTE 2.750%10/1 | 94973VBG1 | 1,877 | 479,000 | PRN | OTR | 1 | 0 | 479,000 | 0 | |
ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | NOTE 2.750%10/1 | 94973VBG1 | 2,104 | 537,000 | PRN | OTR | 1 | 0 | 537,000 | 0 | |
ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | NOTE 2.750%10/1 | 94973VBG1 | 6,121 | 1,562,000 | PRN | OTR | 1 | 0 | 1,562,000 | 0 | |
APOLLO ENDOSURGERY ORD | COM | 22026V105 | 135 | 41,593 | SH | SOLE | 41,593 | 0 | 0 | ||
APOLLO ENDOSURGERY ORD | COM | 22026V105 | 45 | 13,807 | SH | SOLE | 13,807 | 0 | 0 | ||
APTEVO THERAPEUTICS INC | COM | 03835L108 | 298 | 335,752 | SH | SOLE | 335,752 | 0 | 0 | ||
APTEVO THERAPEUTICS INC | COM | 03835L108 | 99 | 111,917 | SH | SOLE | 111,917 | 0 | 0 | ||
AQUA METALS INC | COM | 03837J101 | 204 | 122,100 | SH | SOLE | 122,100 | 0 | 0 | ||
AQUA METALS INC | COM | 03837J101 | 68 | 40,700 | SH | SOLE | 40,700 | 0 | 0 | ||
ARGAN ORD | COM | 04010E109 | 232 | 3,343 | SH | SOLE | 3,343 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 1,111 | 155,857 | SH | SOLE | 155,857 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 370 | 51,952 | SH | SOLE | 51,952 | 0 | 0 | ||
AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 | 6.25 PFD CNV SR | 05352A209 | 465 | 7,050 | SH | OTR | 1 | 0 | 7,050 | 0 | |
AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 | 6.25 PFD CNV SR | 05352A209 | 1,515 | 22,950 | SH | OTR | 1 | 0 | 22,950 | 0 | |
AVID TECHNOLOGY INC | NOTE 2.000% 6/1 | 05367P100 | 1,763 | 193,266 | SH | SOLE | 193,266 | 0 | 0 | ||
AVID TECHNOLOGY INC | NOTE 2.000% 6/1 | 05367P100 | 588 | 64,423 | SH | SOLE | 64,423 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 550 | 6,416 | SH | OTR | 1 | 0 | 6,416 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 1,789 | 20,884 | SH | OTR | 1 | 0 | 20,884 | 0 | |
BIONANO GENOMICS EQY WARRANT WRNT 6.13 21 Sep 23 | *W EXP 08/21/202 | 09075F115 | 46 | 62,423 | SH | SOLE | 62,423 | 0 | 0 | ||
BIONANO GENOMICS EQY WARRANT WRNT 6.13 21 Sep 23 | *W EXP 08/21/202 | 09075F115 | 19 | 26,023 | SH | SOLE | 26,023 | 0 | 0 | ||
BIONANO GENOMICS ORD | COM | 09075F107 | 152 | 61,882 | SH | SOLE | 61,882 | 0 | 0 | ||
BIONANO GENOMICS ORD | COM | 09075F107 | 63 | 25,631 | SH | SOLE | 25,631 | 0 | 0 | ||
BKNG Jan0 1500P 17 Jan 20 1500.00 PUT | PUT | 09857L958 | 30 | 1,000 | SH | Put | OTR | 1 | 0 | 1,000 | 0 |
BMRN Aug9 70.0 P 16 Aug 19 70.00 PUT | PUT | 09061G951 | 0 | 200 | SH | Put | OTR | 1 | 0 | 200 | 0 |
BMRN Aug9 70.0 P 16 Aug 19 70.00 PUT | PUT | 09061G951 | 0 | 800 | SH | Put | OTR | 1 | 0 | 800 | 0 |
BMRN Jul9 75.0 P 19 Jul 19 75.00 PUT | PUT | 09061G951 | 1 | 4,700 | SH | Put | OTR | 1 | 0 | 4,700 | 0 |
BMRN Jul9 75.0 P 19 Jul 19 75.00 PUT | PUT | 09061G951 | 0 | 100 | SH | Put | OTR | 1 | 0 | 100 | 0 |
BMRN Jul9 75.0 P 19 Jul 19 75.00 PUT | PUT | 09061G951 | 4 | 15,300 | SH | Put | OTR | 1 | 0 | 15,300 | 0 |
BMRN Jul9 95.0 C 19 Jul 19 95.00 CALL | CALL | 09061G901 | 1 | 2,300 | SH | Call | OTR | 1 | 0 | 2,300 | 0 |
BMRN Jul9 95.0 C 19 Jul 19 95.00 CALL | CALL | 09061G901 | 4 | 8,200 | SH | Call | OTR | 1 | 0 | 8,200 | 0 |
BOOKING HOLDINGS ORD | COM | 09857L108 | 1,712 | 913 | SH | OTR | 1 | 0 | 913 | 0 | |
CALIX INC | COM | 13100M509 | 553 | 84,291 | SH | SOLE | 84,291 | 0 | 0 | ||
CALIX INC | COM | 13100M509 | 184 | 28,093 | SH | SOLE | 28,093 | 0 | 0 | ||
CASSAVA SCIENCES ORD | COM | 14817C107 | 269 | 221,940 | SH | SOLE | 221,940 | 0 | 0 | ||
CASSAVA SCIENCES ORD | COM | 14817C107 | 90 | 74,683 | SH | SOLE | 74,683 | 0 | 0 | ||
CHK Jul9 4.0 C 19 Jul 19 4.00 CALL | CALL | 165167907 | 0 | 4,700 | SH | Call | OTR | 1 | 0 | 4,700 | 0 |
CHK Jul9 4.0 C 19 Jul 19 4.00 CALL | CALL | 165167907 | 0 | 15,300 | SH | Call | OTR | 1 | 0 | 15,300 | 0 |
CLEARFIELD INC | COM | 18482P103 | 590 | 44,498 | SH | SOLE | 44,498 | 0 | 0 | ||
CNAT Jul9 5.0 C 19 Jul 19 5.00 CALL | CALL | 20600T908 | 0 | 600 | SH | Call | OTR | 1 | 0 | 600 | 0 |
COHERENT ORD | COM | 192479103 | 1,895 | 13,893 | SH | SOLE | 13,893 | 0 | 0 | ||
COHERENT ORD | COM | 192479103 | 632 | 4,631 | SH | SOLE | 4,631 | 0 | 0 | ||
Communication Services Select Sector SPDR Fund | COMMUNICATION | 81369Y852 | 17 | 343 | SH | SOLE | 343 | 0 | 0 | ||
Communication Services Select Sector SPDR Fund | COMMUNICATION | 81369Y852 | 85 | 1,721 | SH | SOLE | 1,721 | 0 | 0 | ||
Consumer Discretionary Select Sector SPDR Fund HEDGEFUND | SBI CONS DISCR | 81369Y407 | 129 | 1,086 | SH | SOLE | 1,086 | 0 | 0 | ||
Consumer Discretionary Select Sector SPDR Fund HEDGEFUND | SBI CONS DISCR | 81369Y407 | 650 | 5,457 | SH | SOLE | 5,457 | 0 | 0 | ||
Consumer Staples Select Sector SPDR Fund HEDGEFUND | SBI CONS STPLS | 81369Y308 | 53 | 905 | SH | SOLE | 905 | 0 | 0 | ||
Consumer Staples Select Sector SPDR Fund HEDGEFUND | SBI CONS STPLS | 81369Y308 | 264 | 4,545 | SH | SOLE | 4,545 | 0 | 0 | ||
CORREVIO PHARMA ORD | COM | 22026V105 | 52 | 23,894 | SH | SOLE | 23,894 | 0 | 0 | ||
CORREVIO PHARMA ORD | COM | 22026V105 | 17 | 7,963 | SH | SOLE | 7,963 | 0 | 0 | ||
CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | NOTE 5.000%10/0 | 127686AA1 | 2,060 | 1,190,000 | PRN | OTR | 1 | 0 | 1,190,000 | 0 | |
CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | NOTE 5.000%10/0 | 127686AA1 | 4,773 | 2,757,000 | PRN | OTR | 1 | 0 | 2,757,000 | 0 | |
CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | NOTE 5.000%10/0 | 127686AA1 | 6,720 | 3,882,000 | PRN | OTR | 1 | 0 | 3,882,000 | 0 | |
DASAN ZHONE SOLUTION ORD | COM | 23305L206 | 1,472 | 113,308 | SH | SOLE | 113,308 | 0 | 0 | ||
DASAN ZHONE SOLUTION ORD | COM | 23305L206 | 491 | 37,766 | SH | SOLE | 37,766 | 0 | 0 | ||
DERMIRA INC | COM | 24983L104 | 512 | 53,530 | SH | SOLE | 53,530 | 0 | 0 | ||
DERMIRA INC | COM | 24983L104 | 171 | 17,842 | SH | SOLE | 17,842 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 488 | 136,810 | SH | SOLE | 136,810 | 0 | 0 | ||
DIAMEDICA THERAPEUTI ORD | COM | 25253X207 | 493 | 99,356 | SH | SOLE | 99,356 | 0 | 0 | ||
DIAMEDICA THERAPEUTI ORD | COM | 25253X207 | 164 | 33,158 | SH | SOLE | 33,158 | 0 | 0 | ||
DIGITAL TURBINE INC | COM | 25400W102 | 790 | 157,949 | SH | SOLE | 157,949 | 0 | 0 | ||
DSP GROUP INC | COM | 23332B106 | 441 | 30,721 | SH | SOLE | 30,721 | 0 | 0 | ||
DURECT ORD | COM | 266605104 | 129 | 198,088 | SH | SOLE | 198,088 | 0 | 0 | ||
DURECT ORD | COM | 266605104 | 43 | 66,029 | SH | SOLE | 66,029 | 0 | 0 | ||
ENERGY SELECT SECTOR SPDR HEDGEFUND | ENERGY | 81369Y506 | 3 | 53 | SH | SOLE | 53 | 0 | 0 | ||
ENERGY SELECT SECTOR SPDR HEDGEFUND | ENERGY | 81369Y506 | 17 | 268 | SH | SOLE | 268 | 0 | 0 | ||
ENTERA BIO EQY WARRANT WRNT | *W EXP 06/27/202 | M40527117 | 6 | 14,030 | SH | OTR | 1 | 0 | 14,030 | 0 | |
ENTERA BIO ORD | SHS | M40527109 | 49 | 16,012 | SH | OTR | 1 | 0 | 16,012 | 0 | |
FINANCIAL SELECT SECTOR SPDR HEDGEFUND | SBI INT-FINL | 81369Y605 | 69 | 2,515 | SH | SOLE | 2,515 | 0 | 0 | ||
FINANCIAL SELECT SECTOR SPDR HEDGEFUND | SBI INT-FINL | 81369Y605 | 345 | 12,515 | SH | SOLE | 12,515 | 0 | 0 | ||
FOAMIX PHARMACEUTICALS ORD | SHS | M46135105 | 56 | 23,627 | SH | OTR | 1 | 0 | 23,627 | 0 | |
HEALTH CARE SELECT SECTOR HEDGEFUND | SBI HEALTHCARE | 81369Y209 | 242 | 2,616 | SH | SOLE | 2,616 | 0 | 0 | ||
HEALTH CARE SELECT SECTOR HEDGEFUND | SBI HEALTHCARE | 81369Y209 | 1,214 | 13,109 | SH | SOLE | 13,109 | 0 | 0 | ||
HZNP 2.500 03/15/22 CVT CONVERTIBLE 2.500 15 Mar 22 | NOTE 2.500% 3/1 | 44052TAB7 | 240 | 216,000 | PRN | OTR | 1 | 0 | 216,000 | 0 | |
HZNP 2.500 03/15/22 CVT CONVERTIBLE 2.500 15 Mar 22 | NOTE 2.500% 3/1 | 44052TAB7 | 987 | 887,000 | PRN | OTR | 1 | 0 | 887,000 | 0 | |
ICAD INC | COM | 44934S206 | 69 | 10,767 | SH | SOLE | 10,767 | 0 | 0 | ||
ICAD INC | COM | 44934S206 | 23 | 3,591 | SH | SOLE | 3,591 | 0 | 0 | ||
ICPT Jan0 40.0 P 17 Jan 20 40.00 PUT | PUT | 45845P958 | 1 | 700 | SH | Call | OTR | 1 | 0 | 700 | 0 |
INDUSTRIAL SELECT SECT SPDR HEDGEFUND | SBI INT-INDS | 81369Y704 | 117 | 1,512 | SH | SOLE | 1,512 | 0 | 0 | ||
INDUSTRIAL SELECT SECT SPDR HEDGEFUND | SBI INT-INDS | 81369Y704 | 589 | 7,602 | SH | SOLE | 7,602 | 0 | 0 | ||
INTEVAC ORD | COM | 461148108 | 203 | 41,974 | SH | SOLE | 41,974 | 0 | 0 | ||
INTEVAC ORD | COM | 461148108 | 68 | 13,990 | SH | SOLE | 13,990 | 0 | 0 | ||
ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 464287655 | 295 | 1,898 | SH | SOLE | 1,898 | 0 | 0 | ||
ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 464287655 | 1,480 | 9,516 | SH | SOLE | 9,516 | 0 | 0 | ||
ITCI Aug9 20.0 C 16 Aug 19 20.00 CALL | CALL | 46116X901 | 15 | 6,800 | SH | Call | OTR | 1 | 0 | 6,800 | 0 |
ITCI Jul9 12.5 C 19 Jul 19 12.50 CALL | CALL | 46116X901 | 43 | 12,500 | SH | Call | OTR | 1 | 0 | 12,500 | 0 |
ITCI Jul9 17.5 C 19 Jul 19 17.50 CALL | CALL | 46116X901 | 0 | 200 | SH | Call | OTR | 1 | 0 | 200 | 0 |
ITCI Jul9 20.0 C 19 Jul 19 20.00 CALL | CALL | 46116X901 | 16 | 10,000 | SH | Call | OTR | 1 | 0 | 10,000 | 0 |
ITCI Jul9 22.5 C 19 Jul 19 22.50 CALL | CALL | 46116X901 | 25 | 21,700 | SH | Call | OTR | 1 | 0 | 21,700 | 0 |
IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT | PUT | 464287955 | 194 | 37,500 | SH | Put | SOLE | 37,500 | 0 | 0 | |
IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT | PUT | 464287955 | 65 | 12,500 | SH | Put | SOLE | 12,500 | 0 | 0 | |
IZEA WORLDWIDE ORD | COM | 46604H105 | 145 | 282,810 | SH | SOLE | 282,810 | 0 | 0 | ||
IZEA WORLDWIDE ORD | COM | 46604H105 | 48 | 94,270 | SH | SOLE | 94,270 | 0 | 0 | ||
KNOWLES CORP | COM | 49926D109 | 930 | 50,809 | SH | SOLE | 50,809 | 0 | 0 | ||
LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 153 | 16,500 | SH | SOLE | 16,500 | 0 | 0 | ||
LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 3 | 503459604 | 51 | 5,500 | SH | SOLE | 5,500 | 0 | 0 | ||
Liberty Media 1.375 10/15/23 CVT CONVERTIBLE 1.375 15 Oct 23 | NOTE 1.375%10/1 | 531229AB8 | 1,688 | 1,500,000 | PRN | OTR | 1 | 0 | 1,500,000 | 0 | |
LIQTECH INTERNATIONAL ORD | COM | 53632A201 | 731 | 73,754 | SH | SOLE | 73,754 | 0 | 0 | ||
LIQTECH INTERNATIONAL ORD | COM | 53632A201 | 244 | 24,585 | SH | SOLE | 24,585 | 0 | 0 | ||
MAGNACHIP SEMICONDUCT | COM | 55933J203 | 914 | 88,263 | SH | SOLE | 88,263 | 0 | 0 | ||
MAGNACHIP SEMICONDUCT | COM | 55933J203 | 287 | 27,737 | SH | SOLE | 27,737 | 0 | 0 | ||
MATERIALS SELECT SECTOR SPDR HEDGEFUND | SBI MATERIALS | 81369Y100 | 14 | 238 | SH | SOLE | 238 | 0 | 0 | ||
MATERIALS SELECT SECTOR SPDR HEDGEFUND | SBI MATERIALS | 81369Y100 | 70 | 1,197 | SH | SOLE | 1,197 | 0 | 0 | ||
MDCO 2.750 07/15/23 CVT CONVERTIBLE 2.750 15 Jul 23 | NOTE 2.750% 7/1 | 584688AG0 | 911 | 909,000 | PRN | OTR | 1 | 0 | 909,000 | 0 | |
MDCO 2.750 07/15/23 CVT CONVERTIBLE 2.750 15 Jul 23 | NOTE 2.750% 7/1 | 584688AG0 | 1,512 | 1,509,000 | PRN | OTR | 1 | 0 | 1,509,000 | 0 | |
MDCO 2.750 07/15/23 CVT CONVERTIBLE 2.750 15 Jul 23 | NOTE 2.750% 7/1 | 584688AG0 | 3,238 | 3,232,000 | PRN | OTR | 1 | 0 | 3,232,000 | 0 | |
MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | PUT | 584688955 | 41 | 34,400 | SH | Put | OTR | 1 | 0 | 34,400 | 0 |
MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | PUT | 584688955 | 70 | 58,100 | SH | Put | OTR | 1 | 0 | 58,100 | 0 |
MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | PUT | 584688955 | 148 | 123,100 | SH | Put | OTR | 1 | 0 | 123,100 | 0 |
MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT | PUT | 584688955 | 74 | 34,300 | SH | Put | OTR | 1 | 0 | 34,300 | 0 |
MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT | PUT | 584688955 | 127 | 59,200 | SH | Put | OTR | 1 | 0 | 59,200 | 0 |
MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT | PUT | 584688955 | 262 | 122,000 | SH | Put | OTR | 1 | 0 | 122,000 | 0 |
MICRON TECHNOLOGY INC | COM | 595112103 | 828 | 21,450 | SH | SOLE | 21,450 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 276 | 7,150 | SH | SOLE | 7,150 | 0 | 0 | ||
NANO DIMENSION ADR | SPONS ADR | 63008G104 | 189 | 393,497 | SH | SOLE | 393,497 | 0 | 0 | ||
NANO DIMENSION ADR | SPONS ADR | 63008G104 | 63 | 131,166 | SH | SOLE | 131,166 | 0 | 0 | ||
NANOVIBRONIX ORD | COM | 63008J108 | 29 | 9,950 | SH | SOLE | 9,950 | 0 | 0 | ||
NANOVIBRONIX ORD | COM | 63008J108 | 29 | 9,975 | SH | SOLE | 9,975 | 0 | 0 | ||
NEWLINK GENETICS CORP | COM | 651511107 | 362 | 244,883 | SH | SOLE | 244,883 | 0 | 0 | ||
NEWLINK GENETICS CORP | COM | 651511107 | 121 | 81,624 | SH | SOLE | 81,624 | 0 | 0 | ||
NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | NOTE 1.250% 1/1 | 65366HAB9 | 1,425 | 837,000 | PRN | OTR | 1 | 0 | 837,000 | 0 | |
NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | NOTE 1.250% 1/1 | 65366HAB9 | 1,689 | 992,000 | PRN | OTR | 1 | 0 | 992,000 | 0 | |
NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | NOTE 1.250% 1/1 | 65366HAB9 | 4,652 | 2,732,000 | PRN | OTR | 1 | 0 | 2,732,000 | 0 | |
ONCOSEC MEDICAL ORD | COM | 68234L306 | 74 | 29,430 | SH | SOLE | 29,430 | 0 | 0 | ||
ONCOSEC MEDICAL ORD | COM | 68234L306 | 25 | 9,811 | SH | SOLE | 9,811 | 0 | 0 | ||
ORION ENERGY SYSTEMS INC | COM | 686275108 | 345 | 116,246 | SH | SOLE | 116,246 | 0 | 0 | ||
ORION ENERGY SYSTEMS INC | COM | 686275108 | 115 | 38,748 | SH | SOLE | 38,748 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 107 | 2,257 | SH | OTR | 1 | 0 | 2,257 | 0 | |
PIXELWORKS INC | COM NEW | 72581M305 | 690 | 233,880 | SH | SOLE | 233,880 | 0 | 0 | ||
PROGENICS PHARMACEUTICALS | COM | 743187106 | 640 | 103,768 | SH | SOLE | 103,768 | 0 | 0 | ||
PROGENICS PHARMACEUTICALS | COM | 743187106 | 213 | 34,589 | SH | SOLE | 34,589 | 0 | 0 | ||
QUICKLOGIC CORP | COM | 74837P108 | 488 | 848,505 | SH | SOLE | 848,505 | 0 | 0 | ||
QUICKLOGIC CORP | COM | 74837P108 | 163 | 282,836 | SH | SOLE | 282,836 | 0 | 0 | ||
QUMU ORD | COM | 749063103 | 325 | 78,270 | SH | SOLE | 78,270 | 0 | 0 | ||
QUMU ORD | COM | 749063103 | 108 | 26,089 | SH | SOLE | 26,089 | 0 | 0 | ||
REAL ESTATE SELECT SECT SPDR HEDGEFUND | RL EST SEL SEC | 81369Y860 | 13 | 362 | SH | SOLE | 362 | 0 | 0 | ||
REAL ESTATE SELECT SECT SPDR HEDGEFUND | RL EST SEL SEC | 81369Y860 | 66 | 1,805 | SH | SOLE | 1,805 | 0 | 0 | ||
RF INDUSTRIES ORD | COM PAR $0.01 | 749552105 | 431 | 51,048 | SH | SOLE | 51,048 | 0 | 0 | ||
RF INDUSTRIES ORD | COM PAR $0.01 | 749552105 | 215 | 25,524 | SH | SOLE | 25,524 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 446 | 170,958 | SH | SOLE | 170,958 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 149 | 56,985 | SH | SOLE | 56,985 | 0 | 0 | ||
RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | NOTE 2.500% 9/1 | 761299AB2 | 1,608 | 1,781,000 | PRN | OTR | 1 | 0 | 1,781,000 | 0 | |
RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | NOTE 2.500% 9/2 | 761299AB2 | 1,331 | 1,474,000 | PRN | OTR | 1 | 0 | 1,474,000 | 0 | |
RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | NOTE 2.500% 9/3 | 761299AB2 | 5,238 | 5,801,000 | PRN | OTR | 1 | 0 | 5,801,000 | 0 | |
RTRX Sep9 12.5 P 20 Sep 19 12.50 PUT | PUT | 761299956 | 51 | 33,700 | SH | Put | OTR | 1 | 0 | 33,700 | 0 |
RTRX Sep9 12.5 P 20 Sep 19 12.50 PUT | PUT | 761299956 | 44 | 29,100 | SH | Put | OTR | 1 | 0 | 29,100 | 0 |
RTRX Sep9 12.5 P 20 Sep 19 12.50 PUT | PUT | 761299956 | 165 | 109,800 | SH | Put | OTR | 1 | 0 | 109,800 | 0 |
RTRX Sep9 15.0 P 20 Sep 19 15.00 PUT | PUT | 761299956 | 5 | 2,400 | SH | Put | OTR | 1 | 0 | 2,400 | 0 |
RTRX Sep9 15.0 P 20 Sep 19 15.00 PUT | PUT | 761299956 | 7 | 3,100 | SH | Put | OTR | 1 | 0 | 3,100 | 0 |
RTRX Sep9 15.0 P 20 Sep 19 15.00 PUT | PUT | 761299956 | 17 | 7,700 | SH | Put | OTR | 1 | 0 | 7,700 | 0 |
SANOFI CONTINGENT VALUE RTS RIGHTS | RIGHT 12/31/2020 | 80105N113 | 15 | 28,979 | SH | OTR | 1 | 0 | 28,979 | 0 | |
SILICOM LTD | ORD | M84116108 | 1,157 | 35,619 | SH | SOLE | 35,619 | 0 | 0 | ||
SPDR S&P BIOTECH ETF HEDGEFUND | S&P BIOTECH | 78464A870 | 133 | 1,522 | SH | SOLE | 1,522 | 0 | 0 | ||
SPDR S&P BIOTECH ETF HEDGEFUND | S&P BIOTECH | 78464A870 | 673 | 7,669 | SH | SOLE | 7,669 | 0 | 0 | ||
SPDR S&P PHARMACEUTICALS ETF | S&P PHARMAC | 78464A722 | 46 | 1,163 | SH | SOLE | 1,163 | 0 | 0 | ||
SPDR S&P PHARMACEUTICALS ETF | S&P PHARMAC | 78464A722 | 233 | 5,848 | SH | SOLE | 5,848 | 0 | 0 | ||
SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | NOTE 0.375% 3/0 | 852234AB9 | 3,056 | 963,000 | PRN | OTR | 1 | 0 | 963,000 | 0 | |
SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | NOTE 0.375% 3/1 | 852234AB9 | 4,722 | 1,488,000 | PRN | OTR | 1 | 0 | 1,488,000 | 0 | |
SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | NOTE 0.375% 3/2 | 852234AB9 | 24,472 | 7,712,000 | PRN | OTR | 1 | 0 | 7,712,000 | 0 | |
SRDX Aug9 45.0 C 16 Aug 19 45.00 CALL | CALL | 868873900 | 95 | 19,000 | SH | Call | OTR | 1 | 0 | 19,000 | 0 |
SRDX Jul9 45.0 C 19 Jul 19 45.00 CALL | CALL | 868873900 | 11 | 4,300 | SH | Call | OTR | 1 | 0 | 4,300 | 0 |
SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | DBCV 1.500%11/1 | 803607AB6 | 1,441 | 647,000 | PRN | OTR | 1 | 0 | 647,000 | 0 | |
SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | DBCV 1.500%11/2 | 803607AB6 | 7,153 | 3,212,000 | PRN | OTR | 1 | 0 | 3,212,000 | 0 | |
SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | DBCV 1.500%11/3 | 803607AB6 | 4,612 | 2,071,000 | PRN | OTR | 1 | 0 | 2,071,000 | 0 | |
SURMODICS INC | COM | 868873100 | 1 | 34 | SH | OTR | 1 | 0 | 34 | 0 | |
SVRA Jul9 12.5 C 19 Jul 19 12.50 CALL | CALL | 805111901 | 0 | 4,500 | SH | Call | OTR | 1 | 0 | 4,500 | 0 |
SVRA Jul9 5.0 C 19 Jul 19 5.00 CALL | CALL | 805111901 | 0 | 3,600 | SH | Call | OTR | 1 | 0 | 3,600 | 0 |
TDG Jul9 440.0 P 19 Jul 19 440.00 PUT | PUT | 893641950 | 19 | 7,485 | SH | Put | OTR | 1 | 0 | 7,485 | 0 |
TECHTARGET | COM | 87874R100 | 223 | 10,490 | SH | SOLE | 10,490 | 0 | 0 | ||
TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 | NOTE 2.000% 5/1 | 88160RAG6 | 461 | 470,000 | PRN | OTR | 1 | 0 | 470,000 | 0 | |
TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 | NOTE 2.000% 5/1 | 88160RAG6 | 2,483 | 2,530,000 | PRN | OTR | 1 | 0 | 2,530,000 | 0 | |
UTILITIES SELECT SECTOR SPDR HEDGEFUND | SBI INT-UTILS | 81369Y886 | 13 | 221 | SH | SOLE | 221 | 0 | 0 | ||
UTILITIES SELECT SECTOR SPDR HEDGEFUND | SBI INT-UTILS | 81369Y886 | 66 | 1,101 | SH | SOLE | 1,101 | 0 | 0 | ||
VANGUARD INFORMATION TECHNOLOGY ETF | INF TECH ETF | 92204A702 | 113 | 537 | SH | SOLE | 537 | 0 | 0 | ||
VANGUARD INFORMATION TECHNOLOGY ETF | INF TECH ETF | 92204A702 | 567 | 2,688 | SH | SOLE | 2,688 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 671 | 163,949 | SH | SOLE | 163,949 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 224 | 54,651 | SH | SOLE | 54,651 | 0 | 0 | ||
WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | NOTE 1.500% 7/1 | 98138HAD3 | 1,762 | 698,000 | PRN | OTR | 1 | 0 | 698,000 | 0 | |
WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | NOTE 1.500% 7/2 | 98138HAD3 | 1,623 | 643,000 | PRN | OTR | 1 | 0 | 643,000 | 0 | |
WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | NOTE 1.500% 7/3 | 98138HAD3 | 5,728 | 2,269,000 | PRN | OTR | 1 | 0 | 2,269,000 | 0 | |
WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | NOTE 2.250%11/1 | 98236JAB4 | 871 | 587,000 | PRN | OTR | 1 | 0 | 587,000 | 0 | |
WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | NOTE 2.250%11/1 | 98236JAB4 | 463 | 312,000 | PRN | OTR | 1 | 0 | 312,000 | 0 | |
WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | NOTE 2.250%11/1 | 98236JAB4 | 3,581 | 2,413,000 | PRN | OTR | 1 | 0 | 2,413,000 | 0 | |
XLNX Jan0 140.0C 17 Jan 20 140.00 CALL | CALL | 983919901 | 138 | 24,500 | SH | Call | SOLE | 24,500 | 0 | 0 | |
XLNX Jan0 140.0C 17 Jan 20 140.00 CALL | CALL | 983919901 | 31 | 5,500 | SH | Call | SOLE | 5,500 | 0 | 0 | |
ZAFGEN INC | COM | 98885E103 | 237 | 199,168 | SH | SOLE | 199,168 | 0 | 0 | ||
ZAFGEN INC | COM | 98885E103 | 79 | 66,385 | SH | SOLE | 66,385 | 0 | 0 | ||
ZGNX Jul9 35.0 P 19 Jul 19 35.00 PUT | PUT | 98978L954 | 4 | 14,500 | SH | Put | OTR | 1 | 0 | 14,500 | 0 |