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Sphinx Trading

Filed: 12 Oct 21, 2:51pm

The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE

OMB APPROVAL
OMB Number:3235-0006
Expires:Oct 31, 2018
Estimated average burden
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COLUMN 1COLUMN 2COLUMN 3COLUMN 4COLUMN 5COLUMN 6COLUMN 7COLUMN 8
VALUESHRS ORSH/PUT/INVESTMENTOTHERVOTING AUTHORITY
NAME OF ISSUERTITLE OF CLASSCUSIP(x$1000)PRN AMTPRNCALLDISCRETIONMANAGERSOLESHAREDNONE
ACCEL ENTERTAINMENT INCCOM CL A100436Q1062,628216,500SH SOLE 216,50000
ACCELERON PHARMA INCCOM00434H108120700SH SOLE 70000
AEROJET ROCKETDYNE HLDGS INCCOM0078001051744,000SH SOLE 4,00000
AEROJET ROCKETDYNE HLDGS INCCOM007800105872,000SHPutSOLE 000
ALIBABA GROUP HLDG LTDSPONSORED ADS01609W10215100SH SOLE 10000
ALPHABET INCCAP STK CL A02079K30552SH SOLE 200
ALTA EQUIPMENT GROUP INCCOMMON STOCK02128L1061188,600SH SOLE 8,60000
AMAZON COM INCCOM023135106309SH SOLE 900
AMERICAN NATIONAL GROUP INCCOM NEW02772A10976400SH SOLE 40000
ANGEL OAK FINL STRATEGIES INCOM BEN INT03464A10012,700746,171SH SOLE 746,17100
ANGEL OAK FINL STRATEGIES INRIGHT 10/14/202103464A1182201,022,821SH SOLE 1,022,82100
ANGEL OAK FINL STRATEGIES INRIGHT 10/14/202103464A11805,700SH SOLE 5,70000
ANNALY CAPITAL MANAGEMENT INCOM03571040901SH SOLE 100
APOLLO COML REAL EST FIN INCCOM03762U105453,002SH SOLE 3,00200
APPLE INCCOM03783310001,500SHCallSOLE 000
ATHENE HOLDING LTDCL AG0684D1074136,000SH SOLE 6,00000
ATLANTIC CAP BANCSHARES INCCOM04826920340315,200SH SOLE 15,20000
ATOSSA THERAPEUTICS INCCOM04962H50661,900SH SOLE 1,90000
ATOTECH LTDCOMG0625A10524210,012SH SOLE 10,01200
AWARE INC MASSCOM05453N100287,000SH SOLE 7,00000
B RILEY PRIN 250 MERGER CORPUNIT 04/06/202605602L2034,446450,000SH SOLE 450,00000
B RILEY PRINCIPAL 150 MERGERCOM CL A05601V1031,323135,675SH SOLE 135,67500
B RILEY PRINCIPAL 150 MERGER*W EXP 03/01/20205601V1113545,225SH SOLE 45,22500
B. RILEY FINANCIAL INCCOM05580M1082955,000SH SOLE 5,00000
BABCOCK & WILCOX ENTERPRISESCOM05614L2093,802593,198SH SOLE 593,19800
BIOVENTUS INCCOM CL A09075A1089601SH SOLE 60100
BK OF AMERICA CORPCOM060505104421,000SH SOLE 1,00000
CADENCE BANCORPORATIONCL A12739A10027512,500SH SOLE 12,50000
CAI INTERNATIONAL INCCOM12477X1061683,000SH SOLE 3,00000
CECO ENVIRONMENTAL CORPCOM125141101426,000SH SOLE 6,00000
CHANGE HEALTHCARE INCCOM15912K1001577,500SH SOLE 7,50000
CHANGE HEALTHCARE INCCOM15912K10022410,700SHPutSOLE 000
CHESAPEAKE ENERGY CORPCOM165167735621,000SH SOLE 1,00000
CINER RESOURCES LPCOM UNIT LTD1724641091,590100,000SH SOLE 100,00000
CIRRUS LOGIC INCCOM1727551000200SHCallSOLE 000
CIT GROUP INCCOM NEW12558180152010,000SH SOLE 10,00000
CLEARWATER PAPER CORPCOM18538R10376720,000SH SOLE 20,00000
COCA COLA COCOM19121610008SH SOLE 800
COHERENT INCCOM1924791032501,000SHPutSOLE 000
COHERENT INCCOM1924791033001,200SH SOLE 1,20000
COLUMBIA PPTY TR INCCOM NEW19828720319010,000SH SOLE 10,00000
COVANTA HLDG CORPCOM22282E1021819,000SH SOLE 9,00000
COWEN INCCL A NEW22362260613374SH SOLE 37400
DOMTAR CORPCOM NEW2575592032785,100SH SOLE 5,10000
DOUBLELINE INCOME SOLUTIONSCOM258622109362,000SH SOLE 2,00000
DOUYU INTL HLDGS LTDSPONSORED ADS25985W105103,064SH SOLE 3,06400
EASTERN COCOM27631710437715,000SH SOLE 15,00000
ECHO GLOBAL LOGISTICS INCCOM27875T1011433,000SH SOLE 3,00000
EDIFY ACQUISITION CORPCL A28059Q1032,668273,114SH SOLE 273,11400
EDIFY ACQUISITION CORP*W EXP 11/25/20228059Q111144248,350SH SOLE 248,35000
EDIFY ACQUISITION CORPUNIT 11/25/202528059Q2022,212221,417SH SOLE 221,41700
ELECTROMED INCCOM28540910832530,018SH SOLE 30,01800
ETFIS SER TR IVIRTUS INFRCAP26923G82215600SH SOLE 60000
EVO ACQUISITION CORPUNIT 99/99/999930052G2071,546155,208SH SOLE 155,20800
EXONE COCOM3021041041054,500SH SOLE 4,50000
FERRO CORPCOM315405100834,100SH SOLE 4,10000
FERROGLOBE PLCSHSG3385610843550,000SH SOLE 50,00000
FIRST MIDWEST BANCORP DELCOM32086710470637,137SH SOLE 37,13700
FORTERRA INCCOM34960W106713,000SH SOLE 3,00000
FORTRESS TRANS INFRST INVS LCOM REP LTD LIAB34960P10178731,000SH SOLE 31,00000
GALATA ACQUISITION CORP*W EXP 99/99/999G3R23A116176400,000SH SOLE 400,00000
GALATA ACQUISITION CORPSHS CL AG3R23A1083,960400,000SH SOLE 400,00000
GOODYEAR TIRE & RUBR COCOM382550101291SH SOLE 9100
GRANITE PT MTG TR INCCOM STK38741L107262,000SH SOLE 2,00000
GREAT ELM GROUP INCCOM NEW39037G1092769SH SOLE 76900
GREAT WESTERN BANCORP INCCOM3914161042959,000SH SOLE 9,00000
GREEN PLAINS INCCOM3932221043,887119,044SH SOLE 119,04400
GREENIDGE GENERATION HLDGS ICLASS A COM39531G10015578SH SOLE 57800
GREENSKY INCCL A39572G10022420,000SH SOLE 20,00000
HEALTHCARE SERVICES ACQU COR*W EXP 99/99/99942227K112108164,132SH SOLE 164,13200
HILL-ROM HLDGS INCCOM4314751021501,000SH SOLE 1,00000
IHS MARKIT LTDSHSG475671054664,000SH SOLE 4,00000
IHS MARKIT LTDSHSG475671054664,000SHPutSOLE 000
INOVALON HLDGS INCCOM CL A45781D1011814,500SH SOLE 4,50000
INTERNATIONAL BUSINESS MACHSCOM45920010128200SH SOLE 20000
INTERSECT ENT INCCOM46071F1031907,000SH SOLE 7,00000
INVESTORS BANCORP INC NEWCOM46146L10130220,000SH SOLE 20,00000
ISHARES SILVER TRISHARES46428Q10971835,000SH SOLE 35,00000
ISHARES TRIBOXX HI YD ETF464288513010,000SHPutSOLE 000
ITERIS INC NEWCOM46564T107142,708SH SOLE 2,70800
KADMON HLDGS INCCOM48283N10617420,000SH SOLE 20,00000
KANSAS CITY SOUTHERNCOM NEW4851703022711,000SH SOLE 1,00000
KIMBALL INTL INCCL B49427410344840,000SH SOLE 40,00000
KLA CORPCOM NEW4824801000100SHCallSOLE 000
LARGO RES LTDCOM517103602212,000SH SOLE 2,00000
LUMOS PHARMA INCCOM55028X1093277SH SOLE 27700
MACONDRAY CAP ACQUISITN CORPUNIT 05/31/2028G5853A1231,497150,000SH SOLE 150,00000
MAGELLAN HEALTH INCCOM NEW5590792072362,500SH SOLE 2,50000
MAGNITE INCCOM55955D10070025,000SH SOLE 25,00000
MEDALLIA INCCOM5840211091354,000SH SOLE 4,00000
MERIDIAN BANCORP INC MDCOM58958U103371,804SH SOLE 1,80400
META FINL GROUP INCCOM59100U10852510,000SH SOLE 10,00000
MGM GROWTH PPTYS LLCCL A COM55303A1052145,600SH SOLE 5,60000
MONMOUTH REAL ESTATE INVT COCL A609720107754,000SHPutSOLE 000
MONMOUTH REAL ESTATE INVT COCL A6097201071317,000SH SOLE 7,00000
MOUNTAIN CREST ACQSTN CORP IUNIT 99/99/999962402U20690088,300SH SOLE 88,30000
NET 1 UEPS TECHNOLOGIES INCCOM NEW64107N206337,200SH SOLE 7,20000
NGL ENERGY PARTNERS LPCOM UNIT REPST62913M10762,500SH SOLE 2,50000
NORTHERN TECHNOLOGIES INTL CCOM6658091091298,501SH SOLE 8,50100
NUANCE COMMUNICATIONS INCCOM67020Y1002865,200SH SOLE 5,20000
NUVEEN ENHANCED MUN VALUE FDCOM67074M101241,500SH SOLE 1,50000
OCCIDENTAL PETE CORP*W EXP 08/03/202674599162187SH SOLE 8700
ORION ENGINEERED CARBONS S ACOML729671095,792317,744SH SOLE 317,74400
OTONOMO TECHNOLOGIES LTD*W EXP 08/13/202M7571L1115771,141SH SOLE 71,14100
OVINTIV INCCOM69047Q102391,200SH SOLE 1,20000
OVINTIV INCCOM69047Q102391,200SHPutSOLE 000
PARABELLUM ACQUISITION CORPUNIT 99/99/999969901P2081,053105,590SH SOLE 105,59000
PENNANTPARK FLOATING RATE CACOM70806A106131,000SH SOLE 1,00000
PEOPLES UNITED FINANCIAL INCCOM71270410552129,797SH SOLE 29,79700
PIMCO INCOME STRATEGY FD IICOM72201J104818,000SH SOLE 8,00000
PNM RES INCCOM69349H1071984,000SH SOLE 4,00000
PPD INCCOM69355F1021874,000SH SOLE 4,00000
PROSHARES TRPSHS ULTSH 20YRS74347B201482,625SH SOLE 2,62500
QAD INCCL A74727D306961,100SH SOLE 1,10000
QUANTUM CORPCOM NEW74790650112424,025SH SOLE 24,02500
QUANTUM FINTECH ACQUISTIN CO*W EXP 01/30/20274767A11379292,700SH SOLE 292,70000
QUANTUM FINTECH ACQUISTIN COCOMMON STOCK74767A1052,670271,087SH SOLE 271,08700
QUOTIENT TECHNOLOGY INCCOM749119103173,000SH SOLE 3,00000
RICE ACQUISITION CORP IIUNIT 99/99/9999G7552911851550,000SH SOLE 50,00000
ROMAN DBDR TECH ACQUISITION*W EXP 10/31/20277584N11915394,850SH SOLE 94,85000
SANDERSON FARMS INCCOM800013104151800SH SOLE 80000
SCORE MEDIA & GAMING INCCL A SUB VTG SHS80919D2021233,600SH SOLE 3,60000
SEAPORT GLOBAL ACQUISITN COR*W EXP 12/15/202812227114852906,773SH SOLE 906,77300
SIERRA METALS INCCOM82639W106555308,204SH SOLE 308,20400
SIERRA WIRELESS INCCOM826516106136SH SOLE 3600
SIGNATURE BK NEW YORK N YCOM82669G10454200SH SOLE 20000
SOLITON INCCOM8342511001025,000SH SOLE 5,00000
SPARTACUS ACQUISITION CORP*W EXP 10/31/20284677L117231145,274SH SOLE 145,27400
SPDR S&P 500 ETF TRTR UNIT78462F10317,68141,200SHCallSOLE 000
SPDR S&P 500 ETF TRTR UNIT78462F1038151,900SHPutSOLE 000
SPDR S&P 500 ETF TRTR UNIT78462F103172400SH SOLE 40000
STAMPS COM INCCOM NEW852857200264800SH SOLE 80000
STARWOOD PPTY TR INCCOM85571B105241,000SH SOLE 1,00000
STATE AUTO FINL CORPCOM8557071051022,000SH SOLE 2,00000
STATE AUTO FINL CORPCOM8557071051022,000SHPutSOLE 000
STERLING BANCORP DELCOM85917A1002459,799SH SOLE 9,79900
TILRAY INCCOM CL 288688T100242,091SH SOLE 2,09100
TRILLIUM THERAPEUTICS INCCOM NEW89620X50617610,000SH SOLE 10,00000
TRILLIUM THERAPEUTICS INCCOM NEW89620X5061237,000SHPutSOLE 000
UNISYS CORPCOM NEW9092143062,13785,000SH SOLE 85,00000
UNIVERSAL TECHNICAL INST INCCOM91391510471,000SH SOLE 1,00000
VEONEER INCCOM92336X10920600SHPutSOLE 000
VEONEER INCCOM92336X10920600SH SOLE 60000
VEREIT INCCOM92339V3081453,201SH SOLE 3,20100
WABTECCOM929740108116SH SOLE 1600
WELBILT INCCOM9490901041868,000SH SOLE 8,00000
XENCOR INCCOM98401F1052748,382SH SOLE 8,38200
YELLOW CORPCOM985510106053SH SOLE 5300