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 |
AETNA INC NEW | COM | 00817Y108 | 2,096 | 12,400 | SH | Call | SOLE | 0 | 0 | 0 | |
AETNA INC NEW | COM | 00817Y108 | 2,451 | 14,500 | SH | Put | SOLE | 0 | 0 | 0 | |
AKORN INC | COM | 009728106 | 37 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
AKORN INC | COM | 009728106 | 148 | 7,900 | SH | Call | SOLE | 0 | 0 | 0 | |
AKORN INC | COM | 009728106 | 37 | 2,000 | SH | Put | SOLE | 0 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 1,279 | 7,500 | SH | Put | SOLE | 0 | 0 | 0 | |
AMGEN INC | COM | 031162100 | 1,278 | 7,498 | SH | SOLE | 7,498 | 0 | 0 | ||
AQUABOUNTY TECHNOLOGIES INC | COM NEW | 03842K200 | 1 | 449 | SH | SOLE | 449 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 0 | 40,300 | SH | Call | SOLE | 0 | 0 | 0 | |
B RILEY FINL INC | COM | 05580M108 | 8,378 | 429,661 | SH | SOLE | 429,661 | 0 | 0 | ||
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 480 | 109,800 | SH | Put | SOLE | 0 | 0 | 0 | |
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 5 | 1,100 | SH | Call | SOLE | 0 | 0 | 0 | |
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 206 | 47,140 | SH | SOLE | 47,140 | 0 | 0 | ||
BLUE BUFFALO PET PRODS INC | COM | 09531U102 | 0 | 5,000 | SH | Call | SOLE | 0 | 0 | 0 | |
BOOKING HLDGS INC | COM | 09857L108 | 832 | 400 | SH | SOLE | 400 | 0 | 0 | ||
CIGNA CORPORATION | COM | 125509109 | 34 | 200 | SH | SOLE | 200 | 0 | 0 | ||
DIGITAL TURBINE INC | COM NEW | 25400W102 | 78 | 38,800 | SH | SOLE | 38,800 | 0 | 0 | ||
DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | 0 | 5,000 | SH | Call | SOLE | 0 | 0 | 0 | |
DISNEY WALT CO | COM DISNEY | 254687106 | 50 | 500 | SH | SOLE | 500 | 0 | 0 | ||
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 37,609 | 317,700 | SH | Put | SOLE | 0 | 0 | 0 | |
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 29,050 | 245,400 | SH | SOLE | 245,400 | 0 | 0 | ||
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 118 | 1,000 | SH | Call | SOLE | 0 | 0 | 0 | |
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 7 | 100 | SH | Call | SOLE | 0 | 0 | 0 | |
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 246 | 3,400 | SH | Put | SOLE | 0 | 0 | 0 | |
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 108 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 35 | 500 | SH | SOLE | 500 | 0 | 0 | ||
FINJAN HLDGS INC | COM NEW | 31788H303 | 488 | 150,168 | SH | SOLE | 150,168 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 92 | 6,800 | SH | SOLE | 6,800 | 0 | 0 | ||
GGP INC | COM | 36174X101 | 205 | 10,000 | SH | Put | SOLE | 0 | 0 | 0 | |
GGP INC | COM | 36174X101 | 49 | 2,400 | SH | SOLE | 2,400 | 0 | 0 | ||
GGP INC | COM | 36174X101 | 352 | 17,200 | SH | Call | SOLE | 0 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 101 | 25,300 | SH | SOLE | 25,300 | 0 | 0 | ||
HELIOS & MATHESON ANALYTICS | COM NEW | 42327L200 | 63 | 22,299 | SH | SOLE | 22,299 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 4,812 | 17,900 | SH | SOLE | 17,900 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 4,812 | 17,900 | SH | Put | SOLE | 0 | 0 | 0 | |
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 2,274 | 114,000 | SH | Put | SOLE | 0 | 0 | 0 | |
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 511 | 25,600 | SH | Call | SOLE | 0 | 0 | 0 | |
IKANG HEALTHCARE GROUP INC | SPONSORED ADR | 45174L108 | 483 | 24,200 | SH | SOLE | 24,200 | 0 | 0 | ||
INTREXON CORP | COM | 46122T102 | 1,853 | 120,900 | SH | Call | SOLE | 0 | 0 | 0 | |
INTREXON CORP | COM | 46122T102 | 457 | 29,800 | SH | Put | SOLE | 0 | 0 | 0 | |
INVESTORS BANCORP INC NEW | COM | 46146L101 | 0 | 1 | SH | SOLE | 1 | 0 | 0 | ||
KAPSTONE PAPER & PACKAGING C | COM | 48562P103 | 69 | 2,000 | SH | Call | SOLE | 0 | 0 | 0 | |
KAPSTONE PAPER & PACKAGING C | COM | 48562P103 | 1 | 23 | SH | SOLE | 23 | 0 | 0 | ||
LENNAR CORP | CL A | 526057104 | 0 | 2,100 | SH | Call | SOLE | 0 | 0 | 0 | |
MANNKIND CORP | COM NEW | 56400P706 | 36 | 15,700 | SH | Call | SOLE | 0 | 0 | 0 | |
MONSANTO CO NEW | COM | 61166W101 | 6,558 | 56,200 | SH | Call | SOLE | 0 | 0 | 0 | |
MONSANTO CO NEW | COM | 61166W101 | 9,003 | 77,150 | SH | SOLE | 77,150 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 24,108 | 206,600 | SH | Put | SOLE | 0 | 0 | 0 | |
MULESOFT INC | CL A | 625207105 | 0 | 39,000 | SH | Call | SOLE | 0 | 0 | 0 | |
NATIONSTAR MTG HLDGS INC | COM | 63861C109 | 162 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 1,536 | 5,200 | SH | SOLE | 5,200 | 0 | 0 | ||
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 47 | 24,000 | SH | Call | SOLE | 0 | 0 | 0 | |
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 24 | 12,297 | SH | SOLE | 12,297 | 0 | 0 | ||
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 4 | 2,000 | SH | Put | SOLE | 0 | 0 | 0 | |
NORDIC AMERN OFFSHORE LTD | SHS | G65772108 | 13 | 11,885 | SH | SOLE | 11,885 | 0 | 0 | ||
NVIDIA CORP | COM | 67066G104 | 69 | 300 | SH | SOLE | 300 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 52,580 | 449,400 | SH | Put | SOLE | 0 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 3,592 | 30,700 | SH | Call | SOLE | 0 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 33,886 | 289,626 | SH | SOLE | 289,626 | 0 | 0 | ||
ORBITAL ATK INC | COM | 68557N103 | 9,800 | 73,900 | SH | Call | SOLE | 0 | 0 | 0 | |
ORBITAL ATK INC | COM | 68557N103 | 14,118 | 106,466 | SH | SOLE | 106,466 | 0 | 0 | ||
ORBITAL ATK INC | COM | 68557N103 | 14,216 | 107,200 | SH | Put | SOLE | 0 | 0 | 0 | |
POWERSHS DB MULTI SECT COMM | PS DB AGRICUL FD | 73936B408 | 66 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
RIOT BLOCKCHAIN INC | COM | 767292105 | 127 | 19,200 | SH | SOLE | 19,200 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 0 | 210,400 | SH | Call | SOLE | 0 | 0 | 0 | |
ROCKWELL COLLINS INC | COM | 774341101 | 2,023 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 3,169 | 23,500 | SH | Put | SOLE | 0 | 0 | 0 | |
SCHULMAN A INC | COM | 808194104 | 13 | 300 | SH | Put | SOLE | 0 | 0 | 0 | |
SCHULMAN A INC | COM | 808194104 | 9 | 200 | SH | SOLE | 200 | 0 | 0 | ||
SEAWORLD ENTMT INC | COM | 81282V100 | 130 | 8,741 | SH | SOLE | 8,741 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 1,237 | 4,700 | SH | Put | SOLE | 0 | 0 | 0 | |
TELENAV INC | COM | 879455103 | 1,634 | 302,647 | SH | SOLE | 302,647 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 14,376 | 152,000 | SH | Put | SOLE | 0 | 0 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 14,726 | 155,700 | SH | Call | SOLE | 0 | 0 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 3,351 | 35,430 | SH | SOLE | 35,430 | 0 | 0 | ||
TURQUOISE HILL RES LTD | COM | 900435108 | 28 | 9,200 | SH | SOLE | 9,200 | 0 | 0 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 4,811 | 100,600 | SH | Put | SOLE | 0 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 3,132 | 65,500 | SH | Call | SOLE | 0 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 7,465 | 156,116 | SH | SOLE | 156,116 | 0 | 0 | ||
XPRESSPA GROUP INC | COM | 98420U109 | 4 | 5,629 | SH | SOLE | 5,629 | 0 | 0 | ||
ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 74 | 19,000 | SH | Put | SOLE | 0 | 0 | 0 | |
ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 94 | 24,100 | SH | Call | SOLE | 0 | 0 | 0 | |
ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 80 | 20,342 | SH | SOLE | 20,342 | 0 | 0 |