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 |
AECOM | Equity | 00766T100 | 224 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
Analog Devices Inc | Equity | 032654105 | 535 | 3,449 | SH | SOLE | 3,449 | 0 | 0 | ||
Aegion Corp | Equity | 00770F104 | 29,866 | 1,038,800 | SH | SOLE | 980,039 | 0 | 58,761 | ||
Aerojet Rocketdyne Holdings In | Equity | 007800105 | 28,787 | 613,018 | SH | SOLE | 576,402 | 0 | 34,338 | ||
Alexion Pharmaceuticals Inc | Equity | 015351109 | 83,557 | 546,445 | SH | SOLE | 504,570 | 0 | 40,821 | ||
Altimar Acquisition Corp | Equity | G03707109 | 1,383 | 140,004 | SH | SOLE | 140,004 | 0 | 0 | ||
Atlantic Power Corp | Equity | 04878Q863 | 39 | 13,600 | SH | SOLE | 0 | 0 | 0 | ||
Bull Horn Holdings Corp | Equity | G1686P114 | 1,559 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Boston Private Financial Holdi | Equity | 101119105 | 36,127 | 2,712,271 | SH | SOLE | 2,560,410 | 0 | 151,861 | ||
Cardtronics PLC | Equity | G1991C105 | 44,441 | 1,145,388 | SH | SOLE | 1,143,517 | 0 | 0 | ||
Churchill Capital Corp IV | Equity Put | 171439952 | 234 | 113,200 | SH | Put | SOLE | 106,700 | 0 | 6,500 | |
Change Healthcare Inc | Equity | 15912K100 | 58,669 | 2,654,720 | SH | SOLE | 2,448,391 | 0 | 200,274 | ||
ChargePoint Holdings Inc | Equity Put | 15961R955 | 195 | 104,900 | SH | Put | SOLE | 98,900 | 0 | 6,000 | |
Class Acceleration Corp | Equity | 18274B205 | 1,969 | 198,900 | SH | SOLE | 198,900 | 0 | 0 | ||
CoreLogic Inc/United States | Equity Call | 21871D903 | 325 | 464,000 | SH | Call | SOLE | 437,900 | 0 | 26,100 | |
Cantel Medical Corp | Equity | 138098108 | 36,304 | 454,707 | SH | SOLE | 427,775 | 0 | 25,525 | ||
Coherent Inc | Equity | 192479103 | 82,481 | 326,154 | SH | SOLE | 307,297 | 0 | 18,327 | ||
Cooper Tire & Rubber Co | Equity | 216831107 | 16,727 | 298,805 | SH | SOLE | 279,570 | 0 | 16,765 | ||
Cubic Corp | Equity | 229669106 | 52,525 | 704,374 | SH | SOLE | 663,577 | 0 | 39,259 | ||
Roman DBDR Tech Acquisition Co | Equity | 77584N200 | 441 | 43,239 | SH | SOLE | 43,239 | 0 | 0 | ||
Devon Energy Corp | Equity Call | 25179M903 | 209 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
NIC Inc | Equity | 62914B100 | 58,504 | 1,724,260 | SH | SOLE | 1,625,073 | 0 | 95,948 | ||
Callaway Golf Co | Equity | 131193104 | 670 | 25,032 | SH | SOLE | 25,032 | 0 | 0 | ||
Enable Midstream Partners LP | Equity | 292480100 | 12,643 | 1,951,094 | SH | SOLE | 1,826,520 | 0 | 110,427 | ||
Diamondback Energy Inc | Equity Call | 25278X909 | 17 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
FLIR Systems Inc | Equity | 302445101 | 30,131 | 533,568 | SH | SOLE | 501,098 | 0 | 29,935 | ||
Fly Leasing Ltd | Equity | 34407D109 | 5,796 | 344,000 | SH | SOLE | 324,604 | 0 | 19,396 | ||
Five Prime Therapeutics Inc | Equity | 33830X104 | 5,865 | 155,703 | SH | SOLE | 142,977 | 0 | 8,523 | ||
Whole Earth Brands Inc | Equity | 96684W100 | 1,735 | 133,083 | SH | SOLE | 133,083 | 0 | 0 | ||
Forterra Inc | Equity | 34960W106 | 23,106 | 993,813 | SH | SOLE | 933,729 | 0 | 55,377 | ||
Fintech Evolution Acquisition | Equity | G3R19A112 | 949 | 96,100 | SH | SOLE | 96,100 | 0 | 0 | ||
Golden Falcon Acquisition Corp | Equity | 38102H208 | 795 | 79,098 | SH | SOLE | 79,098 | 0 | 0 | ||
GigCapital4 Inc | Equity | 37518G200 | 2,221 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
Glu Mobile Inc | Equity | 379890106 | 34,400 | 2,756,442 | SH | SOLE | 2,591,717 | 0 | 155,973 | ||
GenMark Diagnostics Inc | Equity | 372309104 | 40,467 | 1,693,162 | SH | SOLE | 1,593,061 | 0 | 94,273 | ||
Canoo Inc | Equity | 13803R102 | 1,517 | 168,000 | SH | SOLE | 168,000 | 0 | 0 | ||
Grubhub Inc | Equity | 400110102 | 53,210 | 886,831 | SH | SOLE | 817,819 | 0 | 66,838 | ||
G Squared Ascend I Inc | Equity | G4204R109 | 1,000 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
GW Pharmaceuticals PLC | Equity | 36197T103 | 17,871 | 82,394 | SH | SOLE | 77,799 | 0 | 4,595 | ||
Hudson Executive Investment Co | Equity | 443761101 | 992 | 100,002 | SH | SOLE | 100,002 | 0 | 0 | ||
II-VI Inc | Equity Call | 902104908 | 241 | 275,700 | SH | Call | SOLE | 260,200 | 0 | 15,500 | |
IHS Markit Ltd | Equity | G47567105 | 86,280 | 891,506 | SH | SOLE | 839,835 | 0 | 50,292 | ||
JAZZ INVESTMENTS I LTD | Convertible Bond | 472145AB7 | 1,533 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
Kansas City Southern | Equity | 485170302 | 24,247 | 91,873 | SH | SOLE | 86,722 | 0 | 5,151 | ||
Kingswood Acquisition Corp | Equity | 496861204 | 766 | 74,372 | SH | SOLE | 74,372 | 0 | 0 | ||
Lefteris Acquisition Corp | Equity | 52470X208 | 820 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Live Oak Acquisition Corp II | Equity | 53804W205 | 513 | 49,052 | SH | SOLE | 49,052 | 0 | 0 | ||
Magellan Health Inc | Equity | 559079207 | 45,170 | 484,449 | SH | SOLE | 456,330 | 0 | 27,306 | ||
Michaels Cos Inc/The | Equity | 59408Q106 | 45,887 | 2,091,482 | SH | SOLE | 1,967,543 | 0 | 116,607 | ||
MedTech Acquisition Corp/NY | Equity | 58507N204 | 379 | 37,662 | SH | SOLE | 37,662 | 0 | 0 | ||
MTS Systems Corp | Equity | 553777103 | 480 | 8,251 | SH | SOLE | 6,629 | 0 | 400 | ||
Maxim Integrated Products Inc | Equity | 57772K101 | 81,448 | 891,414 | SH | SOLE | 860,850 | 0 | 28,775 | ||
NUANCE COMMUNICATIONS | Convertible Bond | 67020YAK6 | 1,846 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
Oaktree Acquisition Corp II | Equity | G6715X103 | 714 | 70,000 | SH | SOLE | 70,000 | 0 | 0 | ||
Omnichannel Acquisition Corp | Equity | 68218L207 | 609 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
Pandion Therapeutics Inc | Equity | 698340106 | 5,701 | 94,934 | SH | SOLE | 89,516 | 0 | 5,418 | ||
Par Pacific Holdings Inc | Equity Call | 69888T907 | 34 | 35,000 | SH | Call | SOLE | 35,000 | 0 | 0 | |
People's United Financial Inc | Equity | 712704105 | 4,448 | 248,502 | SH | SOLE | 239,690 | 0 | 0 | ||
PRA Health Sciences Inc | Equity | 69354M108 | 11,599 | 75,646 | SH | SOLE | 70,568 | 0 | 4,229 | ||
CC Neuberger Principal Holding | Equity | G1992N100 | 473 | 48,004 | SH | SOLE | 48,004 | 0 | 0 | ||
Perspecta Inc | Equity | 715347100 | 46,168 | 1,589,274 | SH | SOLE | 1,494,210 | 0 | 90,116 | ||
Paratek Pharmaceuticals Inc | Corporate Bond | 699374AB0 | 1,371 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
Pluralsight Inc | Equity Call | 72941B906 | 14 | 188,100 | SH | Call | SOLE | 179,600 | 0 | 8,500 | |
PLURALSIGHT INC | Convertible Bond | 72941BAB2 | 2,451 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
Pluralsight Inc | Equity | 72941B106 | 87,545 | 3,918,735 | SH | SOLE | 3,601,202 | 0 | 311,108 | ||
PURE STORAGE INC | Convertible Bond | 74624MAB8 | 1,659 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
Roth Ch Acquisition II Co | Equity | 778673202 | 1,212 | 115,000 | SH | SOLE | 115,000 | 0 | 0 | ||
Roth Ch Acquisition III Co | Equity | 77867Q201 | 600 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
RealPage Inc | Equity | 75606N109 | 84,364 | 967,472 | SH | SOLE | 905,401 | 0 | 60,210 | ||
Seaport Global Acquisition Cor | Equity | 812227205 | 909 | 88,000 | SH | SOLE | 88,000 | 0 | 0 | ||
Scientific Games Corp | Equity Call | 80874P909 | 7 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
Sustainable Opportunities Acqu | Equity | G8598Y109 | 427 | 43,000 | SH | SOLE | 43,000 | 0 | 0 | ||
Defiance NextGen SPAC Derived | Equity Put | G65305957 | 501 | 290,200 | SH | Put | SOLE | 273,400 | 0 | 16,800 | |
S&P Global Inc | Equity | 78409V104 | 218 | 617 | SH | SOLE | 617 | 0 | 0 | ||
SPDR S&P 500 ETF Trust | Equity Call | 78462F903 | 44 | 15,000 | SH | Call | SOLE | 15,000 | 0 | 0 | |
Extended Stay America Inc | Equity | 30224P200 | 56,355 | 2,853,416 | SH | SOLE | 2,685,390 | 0 | 160,610 | ||
TCF Financial Corp | Equity | 872307103 | 264 | 5,675 | SH | SOLE | 3,525 | 0 | 0 | ||
Triumph Group Inc | Equity | 896818101 | 294 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
TEGNA Inc | Equity Call | 87901J905 | 89 | 77,600 | SH | Call | SOLE | 77,600 | 0 | 0 | |
TEGNA Inc | Equity | 87901J105 | 991 | 52,655 | SH | SOLE | 52,655 | 0 | 0 | ||
Talend SA | Equity Call | 874224907 | 34 | 103,800 | SH | Call | SOLE | 97,900 | 0 | 5,900 | |
Talend SA | Equity | 874224207 | 11,357 | 178,455 | SH | SOLE | 166,448 | 0 | 9,806 | ||
Spartacus Acquisition Corp | Equity | 84677L208 | 664 | 65,382 | SH | SOLE | 65,382 | 0 | 0 | ||
Tribune Publishing Co | Equity | 89609W107 | 512 | 28,480 | SH | SOLE | 23,500 | 0 | 0 | ||
Trebia Acquisition Corp | Equity | G9027T109 | 777 | 78,033 | SH | SOLE | 78,033 | 0 | 0 | ||
Tailwind International Acquisi | Equity | G8662F127 | 791 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
Twitter Inc | Convertible Bond | 90184LAF9 | 1,993 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
VPC Impact Acquisition Holding | Equity | G9441E100 | 198 | 15,250 | SH | SOLE | 15,250 | 0 | 0 | ||
Vy Global Growth | Equity | G9444H100 | 1,021 | 98,208 | SH | SOLE | 98,208 | 0 | 0 | ||
Waddell & Reed Financial Inc | Equity | 930059100 | 418 | 16,685 | SH | SOLE | 16,685 | 0 | 0 | ||
Boingo Wireless Inc | Equity | 09739C102 | 30,621 | 2,176,348 | SH | SOLE | 2,053,133 | 0 | 123,215 | ||
Willis Towers Watson PLC | Equity | G96629103 | 95,417 | 416,888 | SH | SOLE | 393,521 | 0 | 23,367 | ||
Slack Technologies Inc | Equity | 83088V102 | 69,946 | 1,721,538 | SH | SOLE | 1,615,211 | 0 | 102,336 | ||
Watford Holdings Ltd | Equity | G94787101 | 265 | 7,660 | SH | SOLE | 7,660 | 0 | 0 | ||
Xilinx Inc | Equity | 983919101 | 57,692 | 465,633 | SH | SOLE | 422,515 | 0 | 42,258 | ||
DPCM Capital Inc | Equity | 23344P200 | 1,025 | 100,000 | SH | SOLE | 100,000 | 0 | 0 |