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 ORD | Common Stock | 002121101 | 488 | 78,590 | SH | SOLE | 0 | 78,590 | 0 | 0 | |
ACOR Jul0 2.0 P | Put | 00484M956 | 48 | 22,900 | SH | Put | OTR | 1 | 0 | 22,900 | 0 |
ACOR Jul0 2.0 P | Put | 00484M956 | 160 | 77,300 | SH | Put | OTR | 1 | 0 | 77,300 | 0 |
ADAMAS PHARMACEUTICALS ORD | Common Stock | 00548A106 | 343 | 118,780 | SH | SOLE | 0 | 118,780 | 0 | 0 | |
ADAMAS PHARMACEUTICALS ORD | Common Stock | 00548A106 | 111 | 38,362 | SH | OTR | 1 | 0 | 38,362 | 0 | |
AIRGAIN ORD | Common Stock | 00938A104 | 963 | 130,272 | SH | SOLE | 0 | 130,272 | 0 | 0 | |
ALIMERA SCIENCES ORD | New Common Stock | 016259202 | 390 | 97,535 | SH | SOLE | 0 | 97,535 | 0 | 0 | |
ALIMERA SCIENCES ORD | New Common Stock | 016259202 | 119 | 29,798 | SH | OTR | 1 | 0 | 29,798 | 0 | |
ALLENA PHARMACEUTICALS ORD | Common Stock | 018119107 | 88 | 91,728 | SH | SOLE | 0 | 91,728 | 0 | 0 | |
ALLENA PHARMACEUTICALS ORD | Common Stock | 018119107 | 11 | 11,066 | SH | OTR | 1 | 0 | 11,066 | 0 | |
ANNOVIS BIO ORD | Common Stock | 03615A108 | 325 | 108,240 | SH | SOLE | 0 | 108,240 | 0 | 0 | |
ANNOVIS BIO ORD | Common Stock | 03615A108 | 107 | 35,510 | SH | OTR | 1 | 0 | 35,510 | 0 | |
ANTMX 2.750 10/15/42 CVT | NOTE 2.750%10/1 | 94973VBG1 | 773 | 243,000 | PRN | OTR | 1 | 0 | 243,000 | 0 | |
ANTMX 2.750 10/15/42 CVT | NOTE 2.750%10/1 | 94973VBG1 | 7,306 | 2,297,000 | PRN | OTR | 1 | 0 | 2,297,000 | 0 | |
APLS Jul0 25.0 P | Put | 03753U956 | 47 | 11,700 | SH | Put | OTR | 1 | 0 | 11,700 | 0 |
APTEVO THERAPEUTICS ORD | New Common Stock | 03835L207 | 102 | 27,645 | SH | SOLE | 0 | 27,645 | 0 | 0 | |
APTEVO THERAPEUTICS ORD | New Common Stock | 03835L207 | 29 | 7,705 | SH | OTR | 1 | 0 | 7,705 | 0 | |
ARGAN ORD | Common Stock | 04010E109 | 484 | 6,488 | SH | SOLE | 0 | 6,488 | 0 | 0 | |
ARGAN ORD | Common Stock | 04010E109 | 12 | 3,839 | SH | SOLE | 0 | 3,839 | 0 | 0 | |
ASPEN AEROGELS ORD | Common Stock | 04523Y105 | 1,054 | 171,626 | SH | SOLE | 0 | 171,626 | 0 | 0 | |
ASPEN AEROGELS ORD | Common Stock | 04523Y105 | 224 | 36,518 | SH | OTR | 1 | 0 | 36,518 | 0 | |
ATEX Apr0 55.0 C | Call | 03676C900 | 2 | 800 | SH | Call | OTR | 1 | 0 | 800 | 0 |
ATEX May0 45.0 C | Call | 03676C900 | 13 | 1,800 | SH | Call | OTR | 1 | 0 | 1,800 | 0 |
ATEX May0 50.0 C | Call | 03676C900 | 691 | 116,100 | SH | Call | OTR | 1 | 0 | 116,100 | 0 |
AVDL Jun0 12.5 C | Call | 05337M904 | 219 | 186,000 | SH | Call | OTR | 1 | 0 | 186,000 | 0 |
AVDL Jun0 7.5 C | Call | 05337M904 | 228 | 81,500 | SH | Call | OTR | 1 | 0 | 81,500 | 0 |
AVDL Sep0 5.0 P | Call | 05337M954 | 23 | 13,400 | SH | Put | OTR | 1 | 0 | 13,400 | 0 |
AVDL Sep0 5.0 P | Call | 05337M954 | 80 | 45,400 | SH | Put | OTR | 1 | 0 | 45,400 | 0 |
BIODELIVERY SCIENCE INTERNATIONL ORD | Common Stock | 09060J106 | 422 | 111,435 | SH | SOLE | 111,435 | 0 | 0 | ||
BIODELIVERY SCIENCE INTERNATIONL ORD | Common Stock | 09060J106 | 129 | 34,115 | SH | OTR | 1 | 0 | 34,115 | 0 | |
BIOLASE ORD | New Common Stock | 090911207 | 173 | 460,329 | SH | SOLE | 0 | 460,329 | 0 | 0 | |
BIOLASE ORD | New Common Stock | 090911207 | 39 | 103,620 | SH | OTR | 1 | 0 | 103,620 | 0 | |
BIOMARIN PHARMACEUTICAL ORD | Common Stock | 09061G101 | 176 | 2,080 | SH | OTR | 1 | 0 | 2,080 | 0 | |
BIOMARIN PHARMACEUTICAL ORD | Common Stock | 09061G101 | 595 | 7,040 | SH | OTR | 1 | 0 | 7,040 | 0 | |
BJRI Apr0 17.5 C | Call | 09180C906 | 24 | 41,500 | SH | Call | OTR | 1 | 0 | 41,500 | 0 |
BMRN Apr0 65.0 P | Put | 09061G951 | 0 | 600 | SH | Put | OTR | 1 | 0 | 600 | 0 |
BMRN Apr0 65.0 P | Put | 09061G951 | 2 | 2,300 | SH | Put | OTR | 1 | 0 | 2,300 | 0 |
BMRN Apr0 70.0 P | Put | 09061G951 | 2 | 800 | SH | Put | OTR | 1 | 0 | 800 | 0 |
BMRN Apr0 70.0 P | Put | 09061G951 | 6 | 2,700 | SH | Put | OTR | 1 | 0 | 2,700 | 0 |
BMRN Apr0 75.0 P | Put | 09061G951 | 1 | 1,300 | SH | Put | OTR | 1 | 0 | 1,300 | 0 |
BMRN Apr0 75.0 P | Put | 09061G951 | 4 | 4,400 | SH | Put | OTR | 1 | 0 | 4,400 | 0 |
BMRN Apr0 100.0C | Call | 09061G901 | 0 | 700 | SH | Call | OTR | 1 | 0 | 700 | 0 |
BMRN Apr0 100.0C | Call | 09061G901 | 0 | 2,800 | SH | Call | OTR | 1 | 0 | 2,800 | 0 |
BMRN Apr0 95.0 C | Call | 09061G901 | 2 | 2,600 | SH | Call | OTR | 1 | 0 | 2,600 | 0 |
BMRN Apr0 95.0 C | Call | 09061G901 | 6 | 8,800 | SH | Call | OTR | 1 | 0 | 8,800 | 0 |
BOINGO WIRELESS ORD | Common Stock | 09739C102 | 666 | 62,755 | SH | SOLE | 0 | 62,755 | 0 | 0 | |
BOINGO WIRELESS ORD | Common Stock | 09739C102 | 205 | 19,308 | SH | OTR | 1 | 0 | 19,308 | 0 | |
CASSAVA SCIENCES ORD | Common Stock | 14817C107 | 12 | 2,925 | SH | SOLE | 0 | 2,925 | 0 | 0 | |
CASSAVA SCIENCES ORD | Common Stock | 14817C107 | 141 | 34,297 | SH | SOLE | 0 | 34,297 | 0 | 0 | |
CASSAVA SCIENCES ORD | Common Stock | 14817C107 | 43 | 10,413 | SH | OTR | 1 | 0 | 10,413 | 0 | |
CASSAVA SCIENCES ORD | Common Stock | 14817C107 | 4 | 900 | SH | OTR | 1 | 0 | 900 | 0 | |
CATABASIS PHARMACEUTICALS ORD | New Common Stock | 14875P206 | 508 | 122,297 | SH | SOLE | 0 | 122,297 | 0 | 0 | |
CATABASIS PHARMACEUTICALS ORD | New Common Stock | 14875P206 | 166 | 40,114 | SH | OTR | 1 | 0 | 40,114 | 0 | |
CATALYST BIOSCIENCES ORD | New Common Stock | 14888D208 | 426 | 97,530 | SH | SOLE | 0 | 97,530 | 0 | 0 | |
CATALYST BIOSCIENCES ORD | New Common Stock | 14888D208 | 138 | 31,636 | SH | OTR | 1 | 0 | 31,636 | 0 | |
CATALYST PHARMACEUTICALS ORD | Common Stock | 14888U101 | 683 | 177,500 | SH | SOLE | 0 | 177,500 | 0 | 0 | |
CATALYST PHARMACEUTICALS ORD | Common Stock | 14888U101 | 220 | 57,125 | SH | OTR | 1 | 0 | 57,125 | 0 | |
CBAY Apr0 2.5 C | Call | 23257D903 | 4 | 166,900 | SH | Call | OTR | 1 | 0 | 166,900 | 0 |
CLEARFIELD ORD | Common Stock | 18482P103 | 890 | 75,089 | SH | SOLE | 0 | 75,089 | 0 | 0 | |
CLEARPOINT NEURO ORD | Common Stock | 18507C103 | 216 | 60,317 | SH | SOLE | 0 | 60,317 | 0 | 0 | |
CLEARPOINT NEURO ORD | Common Stock | 18507C103 | 74 | 20,594 | SH | OTR | 1 | 0 | 20,594 | 0 | |
CLF 1.500 01/15/25 CVT | DBCV 1.500% 1/1 | 185899AA9 | 700 | 975,000 | PRN | OTR | 1 | 0 | 975,000 | 0 | |
CLF 1.500 01/15/25 CVT | DBCV 1.500% 1/1 | 185899AA9 | 2,370 | 3,300,000 | PRN | OTR | 1 | 0 | 3,300,000 | 0 | |
COOP Apr0 7.5 C | Call | 62482R907 | 120 | 119,500 | SH | Call | OTR | 1 | 0 | 119,500 | 0 |
CYBEROPTICS ORD | Common Stock | 232517102 | 807 | 47,158 | SH | SOLE | 0 | 47,158 | 0 | 0 | |
CYBEROPTICS ORD | Common Stock | 232517102 | 266 | 15,542 | SH | OTR | 1 | 0 | 15,542 | 0 | |
CZR 5.000 10/01/24 CVT | NOTE 5.000%10/0 | 127686AA1 | 408 | 377,000 | PRN | OTR | 1 | 0 | 377,000 | 0 | |
CZR 5.000 10/01/24 CVT | NOTE 5.000%10/0 | 127686AA1 | 1,997 | 1,846,000 | PRN | OTR | 1 | 0 | 1,846,000 | 0 | |
CZR Jun0 4.0 P | Put | 127686953 | 2 | 2,900 | SH | Put | OTR | 1 | 0 | 2,900 | 0 |
CZR Jun0 4.0 P | Put | 127686953 | 5 | 9,800 | SH | Put | OTR | 1 | 0 | 9,800 | 0 |
CZR Jun0 7.0 P | Put | 127686953 | 10 | 6,800 | SH | Put | OTR | 1 | 0 | 6,800 | 0 |
CZR Jun0 7.0 P | Put | 127686953 | 47 | 31,300 | SH | Put | OTR | 1 | 0 | 31,300 | 0 |
DHI GROUP ORD | Common Stock | 23331S100 | 392 | 181,270 | SH | SOLE | 0 | 181,270 | 0 | 0 | |
DIAMEDICA THERAPEUTI ORD | New Common Stock | 25253X207 | 239 | 85,443 | SH | SOLE | 0 | 85,443 | 0 | 0 | |
DIAMEDICA THERAPEUTI ORD | New Common Stock | 25253X207 | 57 | 20,399 | SH | OTR | 1 | 0 | 20,399 | 0 | |
DIGITAL TURBINE ORD | New Common Stock | 25400W102 | 848 | 196,727 | SH | SOLE | 0 | 196,727 | 0 | 0 | |
DROPBOX CL A ORD | CL A | 26210C104 | 1,441 | 79,620 | SH | SOLE | 0 | 79,620 | 0 | 0 | |
DROPBOX CL A ORD | CL A | 26210C104 | 473 | 26,130 | SH | OTR | 1 | 0 | 26,130 | 0 | |
DSP GROUP ORD | Common Stock | 23332B106 | 834 | 62,231 | SH | SOLE | 0 | 62,231 | 0 | 0 | |
DUOS TECHNOLOGIES GROUP ORD | Common Stock | 266042407 | 118 | 24,940 | SH | SOLE | 0 | 24,940 | 0 | 0 | |
DUOS TECHNOLOGIES GROUP ORD | Common Stock | 266042407 | 46 | 9,699 | SH | OTR | 1 | 0 | 9,699 | 0 | |
FARO TECHNOLOGIES ORD | Common Stock | 311642102 | 388 | 8,718 | SH | SOLE | 0 | 8,718 | 0 | 0 | |
FWONA 1.375 10/15/23 CVT | NOTE 1.375%10/1 | 531229AB8 | 2,885 | 2,986,000 | PRN | OTR | 1 | 0 | 2,986,000 | 0 | |
FWONA 1.375 10/15/23 CVT | NOTE 1.375%10/1 | 531229AB8 | 4,810 | 4,978,000 | PRN | OTR | 1 | 0 | 4,978,000 | 0 | |
FWONA 1.375 10/15/23 CVT | NOTE 1.375%10/1 | 531229AB8 | 15,230 | 15,762,000 | PRN | OTR | 1 | 0 | 15,762,000 | 0 | |
ICPT 2.000 05/15/26 CVT | NOTE 2.000% 5/1 | 45845PAB4 | 1,084 | 1,214,000 | PRN | OTR | 1 | 0 | 1,214,000 | 0 | |
ICPT 2.000 05/15/26 CVT | NOTE 2.000% 5/1 | 45845PAB4 | 4,107 | 4,600,000 | PRN | OTR | 1 | 0 | 4,600,000 | 0 | |
ICPT Sep0 25.0 P | Put | 45845P958 | 16 | 6,400 | SH | Put | OTR | 1 | 0 | 6,400 | 0 |
ICPT Sep0 25.0 P | Put | 45845P958 | 60 | 23,900 | SH | Put | OTR | 1 | 0 | 23,900 | 0 |
IDEAL POWER ORD | New Common Stock | 451622203 | 60 | 30,968 | SH | SOLE | 0 | 30,968 | 0 | 0 | |
IDEAL POWER ORD | New Common Stock | 451622203 | 5 | 2,557 | SH | OTR | 1 | 0 | 2,557 | 0 | |
ISHARES RUSSELL 2000 ETF | RUSSELL 2000 ETF | 464287655 | 846 | 7,389 | SH | OTR | 1 | 0 | 7,389 | 0 | |
IWM JN0Q 153.0 C | Call | 464287905 | 4 | 19,500 | SH | Call | SOLE | 0 | 19,500 | 0 | 0 |
IWM JN0Q 153.0 C | Call | 464287905 | 1 | 6,000 | SH | Call | OTR | 1 | 0 | 6,000 | 0 |
KBR 2.500 11/01/23 CVT | NOTE 2.500%11/0 | 48242WAB2 | 5,244 | 4,927,000 | PRN | OTR | 1 | 0 | 4,927,000 | 0 | |
KBR Sep0 13.0 P | Put | 48242W956 | 39 | 39,100 | SH | Put | OTR | 1 | 0 | 39,100 | 0 |
LA JOLLA PHARMACEUTICAL ORD | COM PAR $.0001 2 | 503459604 | 274 | 65,325 | SH | SOLE | 0 | 65,325 | 0 | 0 | |
LA JOLLA PHARMACEUTICAL ORD | COM PAR $.0001 2 | 503459604 | 84 | 20,100 | SH | OTR | 1 | 0 | 20,100 | 0 | |
LIMELIGHT NETWORKS ORD | Common Stock | 53261M104 | 1,394 | 244,600 | SH | SOLE | 0 | 244,600 | 0 | 0 | |
LIMELIGHT NETWORKS ORD | Common Stock | 53261M104 | 458 | 80,400 | SH | OTR | 1 | 0 | 80,400 | 0 | |
MAGNACHIP SEMICONDUCTR ORD | Common Stock | 55933J203 | 154 | 13,945 | SH | SOLE | 0 | 13,945 | 0 | 0 | |
MAGNACHIP SEMICONDUCTR ORD | Common Stock | 55933J203 | 47 | 4,291 | SH | OTR | 1 | 0 | 4,291 | 0 | |
MELLANOX TECHNOLOGIES ORD | SHS | M51363113 | 613 | 5,049 | SH | SOLE | 0 | 5,049 | 0 | 0 | |
MIRUM PHARMACEUTICALS ORD | Common Stock | 604749101 | 577 | 41,210 | SH | SOLE | 0 | 41,210 | 0 | 0 | |
MIRUM PHARMACEUTICALS ORD | Common Stock | 604749101 | 178 | 12,702 | SH | OTR | 1 | 0 | 12,702 | 0 | |
MR COOPER GROUP ORD | Common Stock | 62482R107 | 152 | 20,750 | SH | OTR | 1 | 0 | 20,750 | 0 | |
NANO DIMENSION 1 ADR REP 50 ORD | SPONSORD ADS NEW | 63008G203 | 21 | 22,333 | SH | SOLE | 0 | 22,333 | 0 | 0 | |
NANO DIMENSION 1 ADR REP 50 ORD | SPONSORD ADS NEW | 63008G203 | 27 | 28,771 | SH | OTR | 1 | 0 | 28,771 | 0 | |
NANOVIBRONIX ORD | Common Stock | 63008J108 | 167 | 77,557 | SH | SOLE | 0 | 77,557 | 0 | 0 | |
NANOVIBRONIX ORD | Common Stock | 63008J108 | 4 | 1,755 | SH | SOLE | 0 | 1,755 | 0 | 0 | |
NANOVIBRONIX ORD | Common Stock | 63008J108 | 59 | 27,500 | SH | OTR | 1 | 0 | 27,500 | 0 | |
NANOVIBRONIX ORD | Common Stock | 63008J108 | 6 | 2,795 | SH | OTR | 1 | 0 | 2,795 | 0 | |
NAUTILUS GROUP ORD | Common Stock | 63910B102 | 1,235 | 473,104 | SH | SOLE | 0 | 473,104 | 0 | 0 | |
NAUTILUS GROUP ORD | Common Stock | 63910B102 | 384 | 147,240 | SH | OTR | 1 | 0 | 147,240 | 0 | |
NIO Apr0 1.5 P | Put | 62914V956 | 1 | 27,300 | SH | Put | OTR | 1 | 0 | 27,300 | 0 |
NIO Apr0 1.5 P | Put | 62914V956 | 2 | 92,400 | SH | Put | OTR | 1 | 0 | 92,400 | 0 |
NIO Aug0 1.5 P | Put | 62914V956 | 1 | 3,200 | SH | Put | OTR | 1 | 0 | 3,200 | 0 |
NIO Aug0 1.5 P | Put | 62914V956 | 3 | 11,100 | SH | Put | OTR | 1 | 0 | 11,100 | 0 |
NIO Aug0 3.0 P | Put | 62914V956 | 6 | 6,500 | SH | Put | OTR | 1 | 0 | 6,500 | 0 |
NIO Aug0 3.0 P | Put | 62914V956 | 21 | 22,000 | SH | Put | OTR | 1 | 0 | 22,000 | 0 |
NIO Jan1 1.5 P | Put | 62914V956 | 8 | 16,200 | SH | Put | OTR | 1 | 0 | 16,200 | 0 |
NIO Jan1 1.5 P | Put | 62914V956 | 26 | 55,100 | SH | Put | OTR | 1 | 0 | 55,100 | 0 |
NIO Jan2 1.5 P | Put | 62914V956 | 0 | 100 | SH | Put | OTR | 1 | 0 | 100 | 0 |
NIO Jan2 1.5 P | Put | 62914V956 | 0 | 500 | SH | Put | OTR | 1 | 0 | 500 | 0 |
NIOX 4.500 02/01/24 CVT PUT | NOTE 4.500% 2/0 ADDED | 62914VAB2 | 144 | 260,000 | PRN | OTR | 1 | 0 | 260,000 | 0 | |
NIOX 4.500 02/01/24 CVT PUT | NOTE 4.500% 2/0 ADDED | 62914VAB2 | 486 | 880,000 | PRN | OTR | 1 | 0 | 880,000 | 0 | |
NTNX Jan1 30.0 C | Call | 67059N908 | 38 | 26,800 | SH | Call | SOLE | 0 | 26,800 | 0 | 0 |
NTNX Jan1 30.0 C | Call | 67059N908 | 11 | 8,100 | SH | Call | OTR | 1 | 0 | 8,100 | 0 |
NUTANIX CL A ORD | Call | 67059N108 | 877 | 55,485 | SH | SOLE | 0 | 55,485 | 0 | 0 | |
NUTANIX CL A ORD | Call | 67059N108 | 263 | 16,665 | SH | OTR | 1 | 0 | 16,665 | 0 | |
ON 1.000 12/01/20 CVT | NOTE 1.000%12/0 | 682189AK1 | 1,312 | 1,313,000 | PRN | OTR | 1 | 0 | 1,313,000 | 0 | |
ON 1.000 12/01/20 CVT | NOTE 1.000%12/0 | 682189AK1 | 4,441 | 4,444,000 | PRN | OTR | 1 | 0 | 4,444,000 | 0 | |
OPTINOSE ORD | Common Stock | 68404V100 | 332 | 74,000 | SH | SOLE | 0 | 74,000 | 0 | 0 | |
OPTINOSE ORD | Common Stock | 68404V100 | 112 | 24,864 | SH | OTR | 1 | 0 | 24,864 | 0 | |
ORGANOGENESIS HOLDINGS CL A ORD | Common Stock | 68621F102 | 275 | 85,217 | SH | SOLE | 0 | 85,217 | 0 | 0 | |
ORGANOGENESIS HOLDINGS CL A ORD | Common Stock | 68621F102 | 118 | 36,641 | SH | OTR | 1 | 0 | 36,641 | 0 | |
PDS BIOTECHNOLOGY ORD | Common Stock | 70465T107 | 83 | 113,760 | SH | OTR | 0 | 113,760 | 0 | 0 | |
PDS BIOTECHNOLOGY ORD | Common Stock | 70465T107 | 35 | 48,240 | SH | OTR | 1 | 0 | 48,240 | 0 | |
PIXELWORKS ORD | New Common Stock | 72581M305 | 799 | 280,443 | SH | SOLE | 0 | 280,443 | 0 | 0 | |
QCOM Apr0 95.0 C | Call | 747525903 | 2 | 41,500 | SH | Call | OTR | 1 | 0 | 41,500 | 0 |
QUANTUM ORD | New Common Stock | 747906501 | 379 | 128,624 | SH | SOLE | 0 | 128,624 | 0 | 0 | |
QUANTUM ORD | New Common Stock | 747906501 | 89 | 30,290 | SH | OTR | 1 | 0 | 30,290 | 0 | |
QUMU ORD | Common Stock | 749063103 | 78 | 46,896 | SH | SOLE | 0 | 46,896 | 0 | 0 | |
RESONANT ORD | Common Stock | 76118L102 | 165 | 111,715 | SH | SOLE | 0 | 111,715 | 0 | 0 | |
RESONANT ORD | Common Stock | 76118L102 | 54 | 36,776 | SH | OTR | 1 | 0 | 36,776 | 0 | |
RF INDUSTRIES ORD | COM PAR $0.01 | 749552105 | 158 | 39,848 | SH | SOLE | 0 | 39,848 | 0 | 0 | |
RF INDUSTRIES ORD | COM PAR $0.01 | 749552105 | 101 | 25,524 | SH | OTR | 1 | 0 | 25,524 | 0 | |
RIGEL PHARMACEUTICALS ORD | New Common Stock | 766559603 | 392 | 251,039 | SH | SOLE | 0 | 251,039 | 0 | 0 | |
RIGEL PHARMACEUTICALS ORD | New Common Stock | 766559603 | 128 | 82,350 | SH | OTR | 1 | 0 | 82,350 | 0 | |
ROST Jan1 80.0 C | Call | 778296903 | 356 | 19,500 | SH | Call | OTR | 1 | 0 | 19,500 | 0 |
RP 1.500 11/15/22 CVT | NOTE 1.500%11/1 | 75606NAB5 | 177 | 130,000 | PRN | OTR | 1 | 0 | 130,000 | 0 | |
RP 1.500 11/15/22 CVT | NOTE 1.500%11/1 | 75606NAB5 | 601 | 440,000 | PRN | OTR | 1 | 0 | 440,000 | 0 | |
RTRX 2.500 09/15/25 CVT | NOTE 2.500% 9/1 | 761299AB2 | 827 | 1,038,000 | PRN | OTR | 1 | 0 | 1,038,000 | 0 | |
RTRX 2.500 09/15/25 CVT | NOTE 2.500% 9/1 | 761299AB2 | 3,027 | 3,800,000 | PRN | OTR | 1 | 0 | 3,800,000 | 0 | |
RTRX Sep0 7.5 P | Put | 761299956 | 19 | 12,700 | SH | Put | OTR | 1 | 0 | 12,700 | 0 |
RTRX Sep0 7.5 P | Put | 761299956 | 87 | 59,100 | SH | Put | OTR | 1 | 0 | 59,100 | 0 |
SALARIUS PHARMACEUTICALS ORD | New Common Stock | 79400X107 | 156 | 228,608 | SH | SOLE | 0 | 228,608 | 0 | 0 | |
SALARIUS PHARMACEUTICALS ORD | New Common Stock | 79400X107 | 52 | 75,739 | SH | OTR | 1 | 0 | 75,739 | 0 | |
SCPHARMACEUTICALS ORD | Common Stock | 810648105 | 817 | 110,391 | SH | SOLE | 0 | 110,391 | 0 | 0 | |
SCPHARMACEUTICALS ORD | Common Stock | 810648105 | 246 | 33,255 | SH | OTR | 1 | 0 | 33,255 | 0 | |
SE 2.250 07/01/23 CVT | NOTE 2.250% 7/0 | 81141RAB6 | 4,829 | 2,080,000 | PRN | OTR | 1 | 0 | 2,080,000 | 0 | |
SE 2.250 07/01/23 CVT | NOTE 2.250% 7/0 | 81141RAB6 | 16,343 | 7,039,000 | PRN | OTR | 1 | 0 | 7,039,000 | 0 | |
SELECT SECTOR HEALTH CARE SPDR ETF | SBI HEALTHCARE | 81369Y209 | 640 | 7,224 | SH | OTR | 1 | 0 | 7,224 | 0 | |
SELECT SECTOR INDUSTRIAL SPDR ETF | SBI INT-INDS | 81369Y704 | 272 | 4,604 | SH | OTR | 1 | 0 | 4,604 | 0 | |
SELECT STR FINANCIAL SELECT SPDR ETF | SBI INT-FINL | 81369Y605 | 290 | 13,920 | SH | OTR | 1 | 0 | 13,920 | 0 | |
SILICOM ORD | ORD | M84116108 | 1,176 | 43,561 | SH | SOLE | 0 | 43,561 | 0 | 0 | |
SMITH MICRO SOFTWARE ORD | New Common Stock | 832154207 | 364 | 86,382 | SH | SOLE | 0 | 86,382 | 0 | 0 | |
SMITH MICRO SOFTWARE ORD | New Common Stock | 832154207 | 119 | 28,210 | SH | OTR | 1 | 0 | 28,210 | 0 | |
SONIM TECHNOLOGIES ORD | Common Stock | 83548F101 | 218 | 311,415 | SH | SOLE | 0 | 311,415 | 0 | 0 | |
SPDR FUND CONSUMER DISCRE SELECT ETF | SBI CONS DISCR | 81369Y407 | 320 | 3,268 | SH | OTR | 1 | 0 | 3,268 | 0 | |
SPDR S&P BIOTECH ETF | S&P BIOTECH | 78464A870 | 545 | 7,044 | SH | OTR | 1 | 0 | 7,044 | 0 | |
SPDR S&P PHARMACEUTICALS ETF | S&P PHARMAC | 78464A722 | 237 | 6,577 | SH | OTR | 1 | 0 | 6,577 | 0 | |
SPY 1Ap0 245.0 P | Put | 78462F953 | 284 | 124,500 | SH | Put | OTR | 1 | 0 | 124,500 | 0 |
SUNESIS PHARMACEUTICALS ORD | Common Stock | 867328700 | 113 | 272,900 | SH | SOLE | 0 | 272,900 | 0 | 0 | |
SUNESIS PHARMACEUTICALS ORD | Common Stock | 867328700 | 37 | 89,430 | SH | OTR | 1 | 0 | 89,430 | 0 | |
SYK Jun0 150.0 P | Put | 863667951 | 160 | 16,600 | SH | Put | OTR | 1 | 0 | 16,600 | 0 |
SYNCHRONOSS TECHNOLOGIES ORD | Common Stock | 87157B103 | 1,091 | 357,821 | SH | SOLE | 0 | 357,821 | 0 | 0 | |
SYNCHRONOSS TECHNOLOGIES ORD | Common Stock | 87157B103 | 346 | 113,307 | SH | OTR | 1 | 0 | 113,307 | 0 | |
TDOC 1.375 05/15/25 CVT | NOTE 1.375% 5/1 | 87918AAC9 | 16,703 | 5,700,000 | PRN | OTR | 1 | 0 | 5,700,000 | 0 | |
TECHTARGET ORD | Common Stock | 87874R100 | 452 | 21,908 | SH | SOLE | 0 | 21,908 | 0 | 0 | |
TRUECAR ORD | Common Stock | 89785L107 | 123 | 50,650 | SH | SOLE | 0 | 50,650 | 0 | 0 | |
TRUECAR ORD | Common Stock | 89785L107 | 40 | 16,400 | SH | OTR | 1 | 0 | 16,400 | 0 | |
TSLA 2.000 05/15/24 CVT | NOTE 2.000% 5/1 | 88160RAG6 | 801 | 436,000 | PRN | OTR | 1 | 0 | 436,000 | 0 | |
TSLA 2.000 05/15/24 CVT | NOTE 2.000% 5/1 | 88160RAG6 | 7,940 | 4,324,000 | PRN | OTR | 1 | 0 | 4,324,000 | 0 | |
VANGUARD INFORMATION TECHNOLOGY ETF | INF TECH ETF | 92204A702 | 481 | 2,272 | SH | OTR | 1 | 0 | 2,272 | 0 | |
WDAY 1.500 07/15/20 CVT | NOTE 1.500% 7/1 | 98138HAD3 | 4,157 | 2,605,000 | PRN | OTR | 1 | 0 | 2,605,000 | 0 | |
WMGI 2.250 11/15/21 CVT | NOTE 2.250%11/1 | 98236JAB4 | 453 | 325,000 | PRN | OTR | 1 | 0 | 325,000 | 0 | |
WMGI 2.250 11/15/21 CVT | NOTE 2.250%11/1 | 98236JAB4 | 1,534 | 1,100,000 | PRN | OTR | 1 | 0 | 1,100,000 | 0 | |
WWE 3.375 12/15/23 CVT | NOTE 3.375%12/1 | 98156QAB4 | 2,395 | 1,554,000 | PRN | OTR | 1 | 0 | 1,554,000 | 0 | |
WWE 3.375 12/15/23 CVT | NOTE 3.375%12/1 | 98156QAB4 | 567 | 368,000 | PRN | OTR | 1 | 0 | 368,000 | 0 | |
WWE 3.375 12/15/23 CVT | NOTE 3.375%12/1 | 98156QAB4 | 8,103 | 5,257,000 | PRN | OTR | 1 | 0 | 5,257,000 | 0 | |
X Jan2 3.0 P | Put | 912909958 | 20 | 20,100 | SH | Put | OTR | 1 | 0 | 20,100 | 0 |
X Jan2 3.0 P | Put | 912909958 | 101 | 100,800 | SH | Put | OTR | 1 | 0 | 100,800 | 0 |
X Jan2 5.0 P | Put | 912909958 | 32 | 19,300 | SH | Put | OTR | 1 | 0 | 19,300 | 0 |
X Jan2 5.0 P | Put | 912909958 | 62 | 37,700 | SH | Put | OTR | 1 | 0 | 37,700 | 0 |
ZAFGEN ORD | Common Stock | 98885E103 | 418 | 542,475 | SH | SOLE | 0 | 542,475 | 0 | 0 | |
ZAFGEN ORD | Common Stock | 98885E103 | 132 | 171,146 | SH | OTR | 1 | 0 | 171,146 | 0 | |
ALLOT ORD | Put | M0854Q955 | 1,031 | 109,082 | SH | SOLE | 0 | 109,082 | 0 | 0 |