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 | 4,569 | 24,900 | SH | SOLE | 24,900 | 0 | 0 | ||
AETNA INC NEW | COM | 00817Y108 | 4,110 | 22,400 | SH | Call | SOLE | 0 | 0 | 0 | |
AETNA INC NEW | COM | 00817Y108 | 8,368 | 45,600 | SH | Put | SOLE | 0 | 0 | 0 | |
AKORN INC | COM | 009728106 | 295 | 17,800 | SH | Call | SOLE | 0 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 6,384 | 87,200 | SH | SOLE | 87,200 | 0 | 0 | ||
ALTABA INC | COM | 021346101 | 4,993 | 68,200 | SH | Put | SOLE | 0 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 9,944 | 309,700 | SH | Call | SOLE | 0 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 5,606 | 174,600 | SH | Put | SOLE | 0 | 0 | 0 | |
B RILEY FINL INC | COM | 05580M108 | 6,172 | 273,704 | SH | SOLE | 273,704 | 0 | 0 | ||
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 70 | 29,600 | SH | Call | SOLE | 0 | 0 | 0 | |
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 128 | 53,900 | SH | Put | SOLE | 0 | 0 | 0 | |
BABCOCK & WILCOX ENTERPRIS I | COM | 05614L100 | 4,711 | 1,979,218 | SH | SOLE | 1,979,218 | 0 | 0 | ||
BLUELINX HLDGS INC | COM NEW | 09624H208 | 1,217 | 32,434 | SH | SOLE | 32,434 | 0 | 0 | ||
CVS HEALTH CORP | COM | 126650100 | 270 | 4,200 | SH | Call | SOLE | 0 | 0 | 0 | |
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 67,686 | 554,800 | SH | Put | SOLE | 0 | 0 | 0 | |
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 54,595 | 447,500 | SH | SOLE | 447,500 | 0 | 0 | ||
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 2,440 | 20,000 | SH | Call | SOLE | 0 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 1,853 | 24,000 | SH | Put | SOLE | 0 | 0 | 0 | |
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 1,455 | 18,842 | SH | SOLE | 18,842 | 0 | 0 | ||
FINANCIAL ENGINES INC | COM | 317485100 | 0 | 10,000 | SH | Put | SOLE | 0 | 0 | 0 | |
FINJAN HLDGS INC | COM NEW | 31788H303 | 1,191 | 350,168 | SH | SOLE | 350,168 | 0 | 0 | ||
FOUNDATION MEDICINE INC | COM | 350465100 | 11,612 | 84,943 | SH | SOLE | 84,943 | 0 | 0 | ||
FOUNDATION MEDICINE INC | COM | 350465100 | 13,069 | 95,600 | SH | Put | SOLE | 0 | 0 | 0 | |
GGP INC | COM | 36174X101 | 1,355 | 66,300 | SH | Call | SOLE | 0 | 0 | 0 | |
GGP INC | COM | 36174X101 | 3,191 | 156,200 | SH | SOLE | 156,200 | 0 | 0 | ||
GGP INC | COM | 36174X101 | 3,463 | 169,500 | SH | Put | SOLE | 0 | 0 | 0 | |
GREAT ELM CAP GROUP INC | COM NEW | 39036P209 | 91 | 25,300 | SH | SOLE | 25,300 | 0 | 0 | ||
HELIOS & MATHESON ANALYTICS | COM NEW | 42327L200 | 25 | 79,938 | SH | SOLE | 79,938 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 5,328 | 17,900 | SH | SOLE | 17,900 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 5,328 | 17,900 | SH | Put | SOLE | 0 | 0 | 0 | |
INTREXON CORP | COM | 46122T102 | 245 | 17,600 | SH | Put | SOLE | 0 | 0 | 0 | |
INTREXON CORP | COM | 46122T102 | 1,098 | 78,800 | SH | Call | SOLE | 0 | 0 | 0 | |
MANNKIND CORP | COM NEW | 56400P706 | 27 | 14,200 | SH | Call | SOLE | 0 | 0 | 0 | |
MCDERMOTT INTL INC | COM | 580037703 | 886 | 45,100 | SH | Put | SOLE | 0 | 0 | 0 | |
MCDERMOTT INTL INC | COM | 580037703 | 216 | 11,000 | SH | Call | SOLE | 0 | 0 | 0 | |
MCDERMOTT INTL INC | COM | 580037703 | 412 | 20,949 | SH | SOLE | 20,949 | 0 | 0 | ||
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 95 | 35,300 | SH | Call | SOLE | 0 | 0 | 0 | |
NORDIC AMERICAN TANKERS LIMI | COM | G65773106 | 27 | 10,079 | SH | SOLE | 10,079 | 0 | 0 | ||
NORDIC AMERN OFFSHORE LTD | SHS | G65772108 | 14 | 11,885 | SH | SOLE | 11,885 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 34,792 | 318,400 | SH | Put | SOLE | 0 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 99,403 | 909,700 | SH | Call | SOLE | 0 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 7,040 | 64,426 | SH | SOLE | 64,426 | 0 | 0 | ||
RENT A CTR INC NEW | COM | 76009N100 | 221 | 15,000 | SH | Put | SOLE | 0 | 0 | 0 | |
RITE AID CORP | COM | 767754104 | 0 | 187,200 | SH | Call | SOLE | 0 | 0 | 0 | |
ROCKWELL COLLINS INC | COM | 774341101 | 3,273 | 24,300 | SH | SOLE | 24,300 | 0 | 0 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 4,013 | 29,800 | SH | Put | SOLE | 0 | 0 | 0 | |
SALESFORCE COM INC | COM | 79466L302 | 1,569 | 11,500 | SH | Put | SOLE | 0 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 2,740 | 10,100 | SH | Put | SOLE | 0 | 0 | 0 | |
TELENAV INC | COM | 879455103 | 1,671 | 298,447 | SH | SOLE | 298,447 | 0 | 0 | ||
TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | 745 | 15,000 | SH | Put | SOLE | 0 | 0 | 0 | |
TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | 795 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | 745 | 15,000 | SH | Call | SOLE | 0 | 0 | 0 | |
UNITED TECHNOLOGIES CORP | COM | 913017109 | 250 | 2,000 | SH | Call | SOLE | 0 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 3,788 | 75,292 | SH | SOLE | 75,292 | 0 | 0 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 4,940 | 98,200 | SH | Put | SOLE | 0 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 996 | 19,800 | SH | Call | SOLE | 0 | 0 | 0 | |
ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 30 | 10,000 | SH | Put | SOLE | 0 | 0 | 0 | |
ZIOPHARM ONCOLOGY INC | COM | 98973P101 | 68 | 22,500 | SH | Call | SOLE | 0 | 0 | 0 |