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 |
A10 NETWORKS INC | COM | 002121101 | 316 | 45,474 | SH | SOLE | 45,474 | 0 | 0 | ||
ACAD Jan0 26.0 C 17 Jan 20 26.00 CALL | CALL | 004225908 | 106 | 9,200 | SH | Call | OTR | 1 | 0 | 9,200 | 0 |
ACAD Jan0 27.0 C 17 Jan 20 27.00 CALL | CALL | 004225908 | 1 | 100 | SH | Call | OTR | 1 | 0 | 100 | 0 |
ACAD Jan0 30.0 P 17 Jan 20 30.00 PUT | PUT | 004225958 | 4 | 1,700 | SH | Put | OTR | 1 | 0 | 1,700 | 0 |
ACAD Jan0 45.0 C 17 Jan 20 45.00 CALL | CALL | 004225908 | 6 | 2,700 | SH | Call | OTR | 1 | 0 | 2,700 | 0 |
ACHIEVE LIFE SCIENCES ORD | COM | 004468203 | 24 | 14,350 | SH | SOLE | 14,350 | 0 | 0 | ||
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 278 | 54,288 | SH | SOLE | 54,288 | 0 | 0 | ||
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 118 | 23,096 | SH | SOLE | 23,096 | 0 | 0 | ||
AGILE THERAPEUTICS INC | COM | 00847L100 | 142 | 119,956 | SH | SOLE | 119,956 | 0 | 0 | ||
AGILE THERAPEUTICS INC | COM | 00847L100 | 53 | 45,034 | SH | SOLE | 45,034 | 0 | 0 | ||
AIRGAIN ORD | COM | 00938A104 | 707 | 60,188 | SH | SOLE | 60,188 | 0 | 0 | ||
AKOUSTIS TECHNOLOGIE ORD | COM | 00973N102 | 293 | 37,768 | SH | SOLE | 37,768 | 0 | 0 | ||
AKOUSTIS TECHNOLOGIE ORD | COM | 00973N102 | 121 | 15,664 | SH | SOLE | 15,664 | 0 | 0 | ||
ALIMERA SCIENCES ORD | COM | 016259103 | 166 | 293,410 | SH | SOLE | 293,410 | 0 | 0 | ||
ALIMERA SCIENCES ORD | COM | 016259103 | 71 | 125,745 | SH | SOLE | 125,745 | 0 | 0 | ||
ALLOT COMMUNICATIONS LTD | SHS | M0854Q105 | 844 | 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 | 4,997 | 1,335,000 | PRN | OTR | 1 | 0 | 1,335,000 | 0 | |
AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | NOTE 2.125% 9/0 | 007903BD8 | 3,556 | 950,000 | PRN | OTR | 1 | 0 | 950,000 | 0 | |
AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 | NOTE 2.125% 9/0 | 007903BD8 | 18,212 | 4,865,000 | PRN | OTR | 1 | 0 | 4,865,000 | 0 | |
ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | NOTE 2.750%10/1 | 94973VBG1 | 1,787 | 534,000 | PRN | OTR | 1 | 0 | 534,000 | 0 | |
ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | NOTE 2.750%10/1 | 94973VBG1 | 2,454 | 733,000 | PRN | OTR | 1 | 0 | 733,000 | 0 | |
ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 | NOTE 2.750%10/1 | 94973VBG1 | 5,838 | 1,744,000 | PRN | OTR | 1 | 0 | 1,744,000 | 0 | |
APTEVO THERAPEUTICS INC | COM | 03835L108 | 155 | 263,252 | SH | SOLE | 263,252 | 0 | 0 | ||
APTEVO THERAPEUTICS INC | COM | 03835L108 | 66 | 112,417 | SH | SOLE | 112,417 | 0 | 0 | ||
APTOSE BIOSCIENCES ORD | COM | 03835T200 | 92 | 44,099 | SH | SOLE | 44,099 | 0 | 0 | ||
APTOSE BIOSCIENCES ORD | COM | 03835T200 | 39 | 18,899 | SH | SOLE | 18,899 | 0 | 0 | ||
ARGAN ORD | COM | 04010E109 | 240 | 3,343 | SH | SOLE | 3,343 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 720 | 121,557 | SH | SOLE | 121,557 | 0 | 0 | ||
ASPEN AEROGELS INC | COM | 04523Y105 | 308 | 51,952 | SH | SOLE | 51,952 | 0 | 0 | ||
ATEX Feb0 45.0 C 21 Feb 20 45.00 CALL | CALL | 03676C900 | 91 | 14,000 | SH | Call | OTR | 1 | 0 | 14,000 | 0 |
AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 | 6.25 PFD CNV SR | 05352A209 | 377 | 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 | 1,226 | 22,950 | SH | OTR | 1 | 0 | 22,950 | 0 | |
AVID TECHNOLOGY INC | COM | 05367P100 | 674 | 108,964 | SH | SOLE | 108,964 | 0 | 0 | ||
AVID TECHNOLOGY INC | COM | 05367P100 | 225 | 36,324 | SH | SOLE | 36,324 | 0 | 0 | ||
AVTR Feb0 12.5 P 21 Feb 20 12.50 PUT | PUT | 05352A950 | 2 | 2,400 | SH | Put | OTR | 1 | 0 | 2,400 | 0 |
AVTR Feb0 12.5 P 21 Feb 20 12.50 PUT | PUT | 05352A950 | 7 | 7,600 | SH | Put | OTR | 1 | 0 | 7,600 | 0 |
AXGT Jan0 8.0 C 17 Jan 20 8.00 CALL | CALL | G0750W903 | 13 | 14,300 | SH | Call | OTR | 1 | 0 | 14,300 | 0 |
BIIB Nov9 250.0C 15 Nov 19 250.00 CALL | CALL | 09062X903 | 59 | 10,800 | SH | Call | OTR | 1 | 0 | 10,800 | 0 |
BIIB Nov9 255.0C 15 Nov 19 255.00 CALL | CALL | 09062X903 | 2 | 600 | SH | Call | OTR | 1 | 0 | 600 | 0 |
BIIB Oct9 250.0C 18 Oct 19 250.00 CALL | CALL | 09062X903 | 4 | 2,500 | SH | Call | OTR | 1 | 0 | 2,500 | 0 |
BIODELIVERY SCIENCES INTL | COM | 09060J106 | 466 | 110,620 | SH | SOLE | 110,620 | 0 | 0 | ||
BIODELIVERY SCIENCES INTL | COM | 09060J106 | 200 | 47,408 | SH | SOLE | 47,408 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 361 | 5,358 | SH | OTR | 1 | 0 | 5,358 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 1,175 | 17,442 | SH | OTR | 1 | 0 | 17,442 | 0 | |
BIONANO GENOMICS ORD | COM | 09075F107 | 41 | 56,745 | SH | SOLE | 56,745 | 0 | 0 | ||
BIONANO GENOMICS ORD | COM | 09075F107 | 17 | 23,919 | SH | SOLE | 23,919 | 0 | 0 | ||
BMRN Jan0 60.0 P 17 Jan 20 60.00 PUT | PUT | 09061G951 | 18 | 6,300 | SH | Put | OTR | 1 | 0 | 6,300 | 0 |
BMRN Jan0 60.0 P 17 Jan 20 60.00 PUT | PUT | 09061G951 | 60 | 20,700 | SH | Put | OTR | 1 | 0 | 20,700 | 0 |
BMRN Jan0 90.0 C 17 Jan 20 90.00 CALL | CALL | 09061G901 | 1 | 1,400 | SH | Call | OTR | 1 | 0 | 1,400 | 0 |
BMRN Jan0 90.0 C 17 Jan 20 90.00 CALL | CALL | 09061G901 | 3 | 4,600 | SH | Call | OTR | 1 | 0 | 4,600 | 0 |
BOINGO WIRELESS INC | COM | 09739C102 | 748 | 67,388 | SH | SOLE | 67,388 | 0 | 0 | ||
BOINGO WIRELESS INC | COM | 09739C102 | 361 | 32,496 | SH | SOLE | 32,496 | 0 | 0 | ||
BOOKING HOLDINGS ORD | COM | 09857L108 | 300 | 153 | SH | OTR | 1 | 0 | 153 | 0 | |
CASSAVA SCIENCES ORD | COM | 14817C107 | 319 | 266,039 | SH | SOLE | 266,039 | 0 | 0 | ||
CASSAVA SCIENCES ORD | COM | 14817C107 | 112 | 93,582 | SH | SOLE | 93,582 | 0 | 0 | ||
CHIASMA ORD | COM | 16706W102 | 358 | 72,321 | SH | SOLE | 72,321 | 0 | 0 | ||
CHIASMA ORD | COM | 16706W102 | 152 | 30,906 | SH | SOLE | 30,906 | 0 | 0 | ||
CLEARFIELD INC | COM | 18482P103 | 616 | 51,959 | SH | SOLE | 51,959 | 0 | 0 | ||
CLF 1.500 01/15/25 CVT CONVERTIBLE 1.500 15 Jan 25 | DBCV 1.500% 1/1 | 185899AA9 | 3,857 | 3,500,000 | PRN | OTR | 1 | 0 | 3,500,000 | 0 | |
CLF Jan0 7.0 P 17 Jan 20 7.00 PUT | PUT | 185899951 | 12 | 15,000 | SH | Put | OTR | 1 | 0 | 15,000 | 0 |
Communication Services Select Sector SPDR Fund | COMMUNICATION | 81369Y852 | 20 | 412 | SH | SOLE | 412 | 0 | 0 | ||
Communication Services Select Sector SPDR Fund | COMMUNICATION | 81369Y852 | 59 | 1,182 | SH | SOLE | 1,182 | 0 | 0 | ||
Consumer Discretionary Select Sector SPDR Fund HEDGEFUND | SBI CONS DISCR | 81369Y407 | 125 | 1,039 | SH | SOLE | 1,039 | 0 | 0 | ||
Consumer Discretionary Select Sector SPDR Fund HEDGEFUND | SBI CONS DISCR | 81369Y407 | 371 | 3,073 | SH | SOLE | 3,073 | 0 | 0 | ||
Consumer Staples Select Sector SPDR Fund HEDGEFUND | SBI CONS STPLS | 81369Y308 | 52 | 847 | SH | SOLE | 847 | 0 | 0 | ||
Consumer Staples Select Sector SPDR Fund HEDGEFUND | SBI CONS STPLS | 81369Y308 | 154 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
CORREVIO PHARMA ORD | COM | 22026V105 | 143 | 71,546 | SH | SOLE | 71,546 | 0 | 0 | ||
CORREVIO PHARMA ORD | COM | 22026V105 | 60 | 29,818 | SH | SOLE | 29,818 | 0 | 0 | ||
CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | NOTE 5.000%10/0 | 127686AA1 | 2,129 | 1,231,000 | PRN | OTR | 1 | 0 | 1,231,000 | 0 | |
CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | NOTE 5.000%10/0 | 127686AA1 | 5,183 | 2,996,000 | PRN | OTR | 1 | 0 | 2,996,000 | 0 | |
CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 | NOTE 5.000%10/0 | 127686AA1 | 7,432 | 4,296,080 | PRN | OTR | 1 | 0 | 4,296,080 | 0 | |
DHI GROUP INC | COM | 23331S100 | 612 | 158,954 | SH | SOLE | 158,954 | 0 | 0 | ||
DIAMEDICA THERAPEUTI ORD | COM NEW | 25253X207 | 206 | 99,321 | SH | SOLE | 99,321 | 0 | 0 | ||
DIAMEDICA THERAPEUTI ORD | COM NEW | 25253X207 | 88 | 42,480 | SH | SOLE | 42,480 | 0 | 0 | ||
DIGITAL TURBINE INC | COM NEW | 25400W102 | 689 | 106,835 | SH | SOLE | 106,835 | 0 | 0 | ||
DSP GROUP INC | COM | 23332B106 | 648 | 45,975 | SH | SOLE | 45,975 | 0 | 0 | ||
ENTERA BIO EQY WARRANT WRNT | *W EXP 06/27/202 | M40527117 | 7 | 14,606 | SH | OTR | 1 | 0 | 14,606 | 0 | |
ENTERA BIO ORD | SHS | M40527109 | 39 | 16,454 | SH | OTR | 1 | 0 | 16,454 | 0 | |
FINANCIAL SELECT SECTOR SPDR HEDGEFUND | SBI INT-FINL | 81369Y605 | 69 | 2,463 | SH | SOLE | 2,463 | 0 | 0 | ||
FINANCIAL SELECT SECTOR SPDR HEDGEFUND | SBI INT-FINL | 81369Y605 | 205 | 7,312 | SH | SOLE | 7,312 | 0 | 0 | ||
FLEXION THERAPEUTICS INC | COM | 33938J106 | 473 | 34,545 | SH | SOLE | 34,545 | 0 | 0 | ||
FLEXION THERAPEUTICS INC | COM | 33938J106 | 203 | 14,805 | SH | SOLE | 14,805 | 0 | 0 | ||
FOAMIX PHARMACEUTICALS ORD | SHS | M46135105 | 72 | 23,627 | SH | OTR | 1 | 0 | 23,627 | 0 | |
GOSS Oct9 17.5 P 18 Oct 19 17.50 PUT | PUT | 38341P952 | 29 | 11,900 | SH | Put | OTR | 1 | 0 | 11,900 | 0 |
HEALTH CARE SELECT SECTOR HEDGEFUND | SBI HEALTHCARE | 81369Y209 | 586 | 6,501 | SH | SOLE | 6,501 | 0 | 0 | ||
ILLUMINA INC | COM | 452327109 | 515 | 1,693 | SH | OTR | 1 | 0 | 1,693 | 0 | |
ILLUMINA INC | COM | 452327109 | 1,675 | 5,507 | SH | OTR | 1 | 0 | 5,507 | 0 | |
INDUSTRIAL SELECT SECT SPDR HEDGEFUND | SBI INT-INDS | 81369Y704 | 73 | 945 | SH | SOLE | 945 | 0 | 0 | ||
INDUSTRIAL SELECT SECT SPDR HEDGEFUND | SBI INT-INDS | 81369Y704 | 221 | 2,844 | SH | SOLE | 2,844 | 0 | 0 | ||
ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 464287655 | 287 | 1,898 | SH | SOLE | 1,898 | 0 | 0 | ||
ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 464287655 | 941 | 6,216 | SH | SOLE | 6,216 | 0 | 0 | ||
IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT | PUT | 464287955 | 378 | 75,000 | SH | Put | SOLE | 75,000 | 0 | 0 | |
IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT | PUT | 464287955 | 126 | 25,000 | SH | Put | SOLE | 25,000 | 0 | 0 | |
KNOWLES CORP | COM | 49926D109 | 811 | 39,862 | SH | SOLE | 39,862 | 0 | 0 | ||
LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 257 | 29,200 | SH | SOLE | 29,200 | 0 | 0 | ||
LA JOLLA PHARMACEUTICAL CO | COM PAR $.0001 2 | 503459604 | 177 | 20,100 | SH | SOLE | 20,100 | 0 | 0 | ||
Liberty Media 1.375 10/15/23 CVT CONVERTIBLE 1.375 15 Oct 23 | NOTE 1.375%10/1 | 531229AB8 | 1,793 | 1,500,000 | PRN | OTR | 1 | 0 | 1,500,000 | 0 | |
LIQTECH INTERNATIONAL ORD | COM | 53632A201 | 622 | 78,754 | SH | SOLE | 78,754 | 0 | 0 | ||
LIQTECH INTERNATIONAL ORD | COM | 53632A201 | 265 | 33,585 | SH | SOLE | 33,585 | 0 | 0 | ||
LOGM Dec9 75.0 C 20 Dec 19 75.00 CALL | CALL | 54142L909 | 55 | 15,100 | SH | Call | SOLE | 15,100 | 0 | 0 | |
LOGM Dec9 75.0 C 20 Dec 19 75.00 CALL | CALL | 54142L909 | 22 | 6,000 | SH | Call | SOLE | 6,000 | 0 | 0 | |
MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 | NOTE 2.500% 1/1 | 584688AE5 | 736 | 484,000 | PRN | OTR | 1 | 0 | 484,000 | 0 | |
MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 | NOTE 2.500% 1/1 | 584688AE5 | 1,385 | 911,000 | PRN | OTR | 1 | 0 | 911,000 | 0 | |
MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 | NOTE 2.500% 1/1 | 584688AE5 | 2,610 | 1,716,000 | PRN | OTR | 1 | 0 | 1,716,000 | 0 | |
MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | PUT | 584688955 | 6 | 35,400 | SH | Put | OTR | 1 | 0 | 35,400 | 0 |
MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | PUT | 584688955 | 12 | 67,800 | SH | Put | OTR | 1 | 0 | 67,800 | 0 |
MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT | PUT | 584688955 | 22 | 127,100 | SH | Put | OTR | 1 | 0 | 127,100 | 0 |
MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT | PUT | 584688955 | 8 | 34,900 | SH | Put | OTR | 1 | 0 | 34,900 | 0 |
MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT | PUT | 584688955 | 14 | 63,300 | SH | Put | OTR | 1 | 0 | 63,300 | 0 |
MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT | PUT | 584688955 | 28 | 124,400 | SH | Put | OTR | 1 | 0 | 124,400 | 0 |
MDCO Jan0 30.0 P 17 Jan 20 30.00 PUT | PUT | 584688955 | 0 | 300 | SH | Put | OTR | 1 | 0 | 300 | 0 |
MDCO Jan0 30.0 P 17 Jan 20 30.00 PUT | PUT | 584688955 | 0 | 500 | SH | Put | OTR | 1 | 0 | 500 | 0 |
MDCO Jan0 30.0 P 17 Jan 20 30.00 PUT | PUT | 584688955 | 1 | 900 | SH | Put | OTR | 1 | 0 | 900 | 0 |
MDCO Oct9 31.0 P 18 Oct 19 31.00 PUT | PUT | 584688955 | 5 | 1,100 | SH | Put | OTR | 1 | 0 | 1,100 | 0 |
MDCO Oct9 31.0 P 18 Oct 19 31.00 PUT | PUT | 584688955 | 9 | 2,100 | SH | Put | OTR | 1 | 0 | 2,100 | 0 |
MDCO Oct9 31.0 P 18 Oct 19 31.00 PUT | PUT | 584688955 | 18 | 3,900 | SH | Put | OTR | 1 | 0 | 3,900 | 0 |
NANO DIMENSION ADR | SPONS ADR | 63008G104 | 119 | 296,276 | SH | SOLE | 296,276 | 0 | 0 | ||
NANO DIMENSION ADR | SPONS ADR | 63008G104 | 40 | 98,760 | SH | SOLE | 98,760 | 0 | 0 | ||
NANOVIBRONIX ORD | COM | 63008J108 | 25 | 9,950 | SH | SOLE | 9,950 | 0 | 0 | ||
NANOVIBRONIX ORD | COM | 63008J108 | 25 | 9,975 | SH | SOLE | 9,975 | 0 | 0 | ||
NEWLINK GENETICS CORP | COM | 651511107 | 294 | 184,755 | SH | SOLE | 184,755 | 0 | 0 | ||
NEWLINK GENETICS CORP | COM | 651511107 | 125 | 78,915 | SH | SOLE | 78,915 | 0 | 0 | ||
NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | NOTE 1.250% 1/1 | 65366HAB9 | 1,653 | 925,000 | PRN | OTR | 1 | 0 | 925,000 | 0 | |
NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | NOTE 1.250% 1/1 | 65366HAB9 | 2,257 | 1,263,000 | PRN | OTR | 1 | 0 | 1,263,000 | 0 | |
NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 | NOTE 1.250% 1/1 | 65366HAB9 | 5,395 | 3,019,000 | PRN | OTR | 1 | 0 | 3,019,000 | 0 | |
NOKIA CORP-SPON ADR | SPONSORED ADR | 654902204 | 298 | 58,800 | SH | SOLE | 58,800 | 0 | 0 | ||
NOKIA CORP-SPON ADR | SPONSORED ADR | 654902204 | 128 | 25,200 | SH | SOLE | 25,200 | 0 | 0 | ||
NTNX Jan1 30.0 C 15 Jan 21 30.00 CALL | CALL | 67059N908 | 141 | 24,300 | SH | Call | SOLE | 24,300 | 0 | 0 | |
NTNX Jan1 30.0 C 15 Jan 21 30.00 CALL | CALL | 67059N908 | 47 | 8,100 | SH | Call | SOLE | 8,100 | 0 | 0 | |
NUTANIX INC - A | CL A | 67059N108 | 811 | 30,900 | SH | SOLE | 30,900 | 0 | 0 | ||
NUTANIX INC - A | CL A | 67059N108 | 347 | 13,200 | SH | SOLE | 13,200 | 0 | 0 | ||
OESX 12/20/19 P3050 20 Dec 19 3050 PUT | PUT | 686275958 | 2 | 120 | SH | Put | SOLE | 120 | 0 | 0 | |
ON SEMICONDUCTOR ORD | COM | 682189105 | 203 | 10,552 | SH | OTR | 1 | 0 | 10,552 | 0 | |
ON SEMICONDUCTOR ORD | COM | 682189105 | 660 | 34,348 | SH | OTR | 1 | 0 | 34,348 | 0 | |
ORION ENERGY SYSTEMS INC | COM | 686275108 | 258 | 90,646 | SH | SOLE | 90,646 | 0 | 0 | ||
ORION ENERGY SYSTEMS INC | COM | 686275108 | 110 | 38,748 | SH | SOLE | 38,748 | 0 | 0 | ||
PCLN 0.350 06/15/20 CVT CONVERTIBLE 0.350 15 Jun 20 | NOTE 0.350% 6/1 | 741503AS5 | 1,489 | 1,000,000 | PRN | OTR | 1 | 0 | 1,000,000 | 0 | |
PIXELWORKS INC | COM NEW | 72581M305 | 865 | 233,880 | SH | SOLE | 233,880 | 0 | 0 | ||
PROGENICS PHARMACEUTICALS | COM | 743187106 | 96 | 18,917 | SH | SOLE | 18,917 | 0 | 0 | ||
PROGENICS PHARMACEUTICALS | COM | 743187106 | 71 | 14,039 | SH | SOLE | 14,039 | 0 | 0 | ||
QUMU ORD | COM | 749063103 | 199 | 61,070 | SH | SOLE | 61,070 | 0 | 0 | ||
QUMU ORD | COM | 749063103 | 85 | 26,089 | SH | SOLE | 26,089 | 0 | 0 | ||
RF INDUSTRIES ORD | COM PAR $0.01 | 749552105 | 282 | 39,848 | SH | SOLE | 39,848 | 0 | 0 | ||
RF INDUSTRIES ORD | COM PAR $0.01 | 749552105 | 181 | 25,524 | SH | SOLE | 25,524 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 321 | 171,608 | SH | SOLE | 171,608 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 148 | 79,085 | SH | SOLE | 79,085 | 0 | 0 | ||
RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | NOTE 2.500% 9/1 | 761299AB2 | 1,374 | 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% 9/1 | 761299AB2 | 1,388 | 1,799,000 | PRN | OTR | 1 | 0 | 1,799,000 | 0 | |
RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 | NOTE 2.500% 9/1 | 761299AB2 | 4,474 | 5,801,000 | PRN | OTR | 1 | 0 | 5,801,000 | 0 | |
RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT | PUT | 761299956 | 5 | 20,200 | SH | Put | OTR | 1 | 0 | 20,200 | 0 |
RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT | PUT | 761299956 | 5 | 21,400 | SH | Put | OTR | 1 | 0 | 21,400 | 0 |
RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT | PUT | 761299956 | 16 | 65,800 | SH | Put | OTR | 1 | 0 | 65,800 | 0 |
SEACHANGE INTERNATIONAL INC | COM | 811699107 | 825 | 286,479 | SH | SOLE | 286,479 | 0 | 0 | ||
SEACHANGE INTERNATIONAL INC | COM | 811699107 | 275 | 95,493 | SH | SOLE | 95,493 | 0 | 0 | ||
SILICOM LTD | ORD | M84116108 | 1,313 | 41,542 | SH | SOLE | 41,542 | 0 | 0 | ||
SMITH MICRO SOFTWARE ORD | COM NEW | 832154207 | 672 | 123,580 | SH | SOLE | 123,580 | 0 | 0 | ||
SMITH MICRO SOFTWARE ORD | COM NEW | 832154207 | 299 | 55,100 | SH | SOLE | 55,100 | 0 | 0 | ||
SONIM TECHNOLOGIES ORD | COM | 83548F101 | 406 | 138,667 | SH | SOLE | 138,667 | 0 | 0 | ||
SPDR S&P BIOTECH ETF HEDGEFUND | S&P BIOTECH | 78464A870 | 111 | 1,458 | SH | SOLE | 1,458 | 0 | 0 | ||
SPDR S&P BIOTECH ETF HEDGEFUND | S&P BIOTECH | 78464A870 | 338 | 4,427 | SH | SOLE | 4,427 | 0 | 0 | ||
SPDR S&P PHARMACEUTICALS ETF | S&P PHARMAC | 78464A722 | 52 | 1,455 | SH | SOLE | 1,455 | 0 | 0 | ||
SPDR S&P PHARMACEUTICALS ETF | S&P PHARMAC | 78464A722 | 169 | 4,759 | SH | SOLE | 4,759 | 0 | 0 | ||
SPR Oct9 85.0 P 18 Oct 19 85.00 PUT | PUT | 78462F953 | 1 | 300 | SH | Put | OTR | 1 | 0 | 300 | 0 |
SPY 1Oc9 293.0 P 04 Oct 19 293.00 PUT | PUT | 78462F953 | 13 | 22,600 | SH | Put | OTR | 1 | 0 | 22,600 | 0 |
SPY 1Oc9 301.0 C 04 Oct 19 301.00 CALL | CALL | 78462F903 | 4 | 11,300 | SH | Call | OTR | 1 | 0 | 11,300 | 0 |
SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | NOTE 0.375% 3/0 | 852234AB9 | 2,746 | 1,008,000 | PRN | OTR | 1 | 0 | 1,008,000 | 0 | |
SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | NOTE 0.375% 3/0 | 852234AB9 | 4,407 | 1,618,000 | PRN | OTR | 1 | 0 | 1,618,000 | 0 | |
SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 | NOTE 0.375% 3/0 | 852234AB9 | 21,987 | 8,072,000 | PRN | OTR | 1 | 0 | 8,072,000 | 0 | |
SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | DBCV 1.500%11/1 | 803607AB6 | 1,005 | 755,000 | PRN | OTR | 1 | 0 | 755,000 | 0 | |
SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | DBCV 1.500%11/1 | 803607AB6 | 5,042 | 3,786,000 | PRN | OTR | 1 | 0 | 3,786,000 | 0 | |
SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 | DBCV 1.500%11/1 | 803607AB6 | 3,213 | 2,413,000 | PRN | OTR | 1 | 0 | 2,413,000 | 0 | |
TECHTARGET | COM | 87874R100 | 225 | 9,993 | SH | SOLE | 9,993 | 0 | 0 | ||
TELADOC INC | COM | 87918A105 | 2,099 | 31,000 | SH | OTR | 1 | 0 | 31,000 | 0 | |
TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 | NOTE 2.000% 5/1 | 88160RAG6 | 479 | 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 | 2,579 | 2,530,000 | PRN | OTR | 1 | 0 | 2,530,000 | 0 | |
TWLO 0.250 06/01/23 CVT CONVERTIBLE 0.250 01 Jun 23 | NOTE 0.250% 6/0 | 90138FAB8 | 393 | 235,000 | PRN | OTR | 1 | 0 | 235,000 | 0 | |
TWLO 0.250 06/01/23 CVT CONVERTIBLE 0.250 01 Jun 23 | NOTE 0.250% 6/0 | 90138FAB8 | 1,280 | 765,000 | PRN | OTR | 1 | 0 | 765,000 | 0 | |
TWLO Apr0 100.0P 17 Apr 20 100.00 PUT | PUT | 90138F952 | 1 | 100 | SH | Put | OTR | 1 | 0 | 100 | 0 |
TWLO Apr0 100.0P 17 Apr 20 100.00 PUT | PUT | 90138F952 | 4 | 400 | SH | Put | OTR | 1 | 0 | 400 | 0 |
VANGUARD INFORMATION TECHNOLOGY ETF | INF TECH ETF | 92204A702 | 120 | 558 | SH | SOLE | 558 | 0 | 0 | ||
VANGUARD INFORMATION TECHNOLOGY ETF | INF TECH ETF | 92204A702 | 358 | 1,662 | SH | SOLE | 1,662 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 292 | 127,949 | SH | SOLE | 127,949 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 125 | 54,651 | SH | SOLE | 54,651 | 0 | 0 | ||
W Jan0 100.0 P 17 Jan 20 100.00 PUT | PUT | 94419L951 | 4 | 500 | SH | Put | OTR | 1 | 0 | 500 | 0 |
W Jan0 100.0 P 17 Jan 20 100.00 PUT | PUT | 94419L951 | 7 | 900 | SH | Put | OTR | 1 | 0 | 900 | 0 |
WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | NOTE 1.500% 7/1 | 98138HAD3 | 1,630 | 780,000 | PRN | OTR | 1 | 0 | 780,000 | 0 | |
WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | NOTE 1.500% 7/2 | 98138HAD3 | 1,695 | 811,000 | PRN | OTR | 1 | 0 | 811,000 | 0 | |
WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 | NOTE 1.500% 7/3 | 98138HAD3 | 5,301 | 2,537,000 | PRN | OTR | 1 | 0 | 2,537,000 | 0 | |
WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | NOTE 2.250%11/1 | 98236JAB4 | 804 | 685,000 | PRN | OTR | 1 | 0 | 685,000 | 0 | |
WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | NOTE 2.250%11/1 | 98236JAB4 | 1,229 | 1,048,000 | PRN | OTR | 1 | 0 | 1,048,000 | 0 | |
WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 | NOTE 2.250%11/2 | 98236JAB4 | 3,302 | 2,815,000 | PRN | OTR | 1 | 0 | 2,815,000 | 0 | |
ZAFGEN INC | COM | 98885E103 | 231 | 313,259 | SH | SOLE | 313,259 | 0 | 0 | ||
ZAFGEN INC | COM | 98885E103 | 107 | 145,188 | SH | SOLE | 145,188 | 0 | 0 |