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 |
AEROJET ROCKETDYNE HLDGS INC | Equity | 007800105 | 45,555 | 1,046,040 | SH | SOLE | 972,969 | 0 | 73,071 | ||
AMERICAN NATIONAL GROUP INC | Equity | 02772A109 | 4,215 | 22,300 | SH | SOLE | 22,300 | 0 | 0 | ||
ATOTECH LTD | Equity | G0625A105 | 28,951 | 1,198,797 | SH | SOLE | 1,198,797 | 0 | 0 | ||
ATHENE HOLDING LTD | Equity | G0684D107 | 4,247 | 61,669 | SH | SOLE | 61,669 | 0 | 0 | ||
BULL HORN HLDGS CORP | Equity | G1686P114 | 1,527 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
CHANGE HEALTHCARE INC | Equity | 15912K100 | 67,317 | 3,214,759 | SH | SOLE | 2,970,389 | 0 | 244,370 | ||
CIT Group Inc | Corporate Bond | 125581GR3 | 54 | 50,000 | PRN | SOLE | 50,000 | 0 | 0 | ||
CANADIAN NATL RY CO | Equity Call | 136375102 | 216 | 297,400 | SH | Call | SOLE | 277,000 | 0 | 20,400 | |
COHERENT INC | Equity | 192479103 | 88,233 | 352,804 | SH | SOLE | 330,803 | 0 | 22,001 | ||
CORNERSTONE ONDEMAND INC | Equity | 21925Y103 | 45,702 | 798,143 | SH | SOLE | 750,927 | 0 | 47,216 | ||
COVANTA HLDG CORP | Equity | 22282E102 | 33,503 | 1,665,163 | SH | SOLE | 1,560,177 | 0 | 104,986 | ||
COLUMBIA PPTY TR INC | Equity | 198287203 | 32,691 | 1,718,772 | SH | SOLE | 1,616,944 | 0 | 101,828 | ||
DIVERSEY HLDGS LTD | Equity Call | G28923103 | 9 | 13,000 | SH | Call | SOLE | 13,000 | 0 | 0 | |
DSP GROUPS INC | Equity | 23332B106 | 26,144 | 1,193,259 | SH | SOLE | 1,122,386 | 0 | 70,873 | ||
ECHO GLOBAL LOGISTICS INC | Equity | 27875T101 | 15,396 | 322,703 | SH | SOLE | 322,703 | 0 | 0 | ||
FIVE9 INC | Corporate Bond | 338307AD3 | 4,051 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
FIVE9 INC | Equity | 338307101 | 109,709 | 686,798 | SH | SOLE | 643,622 | 0 | 43,176 | ||
FERRO CORP | Equity | 315405100 | 20,708 | 1,018,104 | SH | SOLE | 954,622 | 0 | 63,482 | ||
FORTERRA INC | Equity | 34960W106 | 23,509 | 997,824 | SH | SOLE | 943,721 | 0 | 54,103 | ||
GOLDEN NUGGET ONLINE GAMIN | Equity | 38113L107 | 7,534 | 433,747 | SH | SOLE | 433,747 | 0 | 0 | ||
GREENSKY INC | Equity | 39572G100 | 24,713 | 2,210,506 | SH | SOLE | 2,079,740 | 0 | 130,766 | ||
HARTFORD FINL SVCS GROUP INC | Equity | 416515104 | 1,257 | 17,900 | SH | SOLE | 17,900 | 0 | 0 | ||
HILL-ROM HLDGS INC | Equity | 431475102 | 52,614 | 350,757 | SH | SOLE | 328,761 | 0 | 21,996 | ||
IHS MARKIT LTD | Equity | G47567105 | 133,995 | 1,148,987 | SH | SOLE | 1,076,778 | 0 | 72,209 | ||
INOVALON HLDGS INC | Equity | 45781D101 | 25,984 | 644,922 | SH | SOLE | 606,776 | 0 | 38,146 | ||
ITAMAR MED LTD | Equity | 465437101 | 5,063 | 167,525 | SH | SOLE | 167,525 | 0 | 0 | ||
51JOB INC | Equity | 316827104 | 6,482 | 93,225 | SH | SOLE | 87,286 | 0 | 5,939 | ||
KAMAN CORP | Corporate Bond | 483548AF0 | 3,083 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
KAR AUCTION SVCS INC | Equity Call | 48238T909 | 20 | 21,500 | SH | Call | SOLE | 21,500 | 0 | 0 | |
KADMON HLDGS INC | Equity | 48283N106 | 179 | 20,534 | SH | SOLE | 20,534 | 0 | 0 | ||
KALEYRA INC | Equity | 483379103 | 2,642 | 240,000 | SH | SOLE | 240,000 | 0 | 0 | ||
CORVUS GOLD INC | Equity | 221013105 | 36 | 11,172 | SH | SOLE | 11,172 | 0 | 0 | ||
KRATON CORP | Equity Call | 50077C906 | 9 | 13,200 | SH | Call | SOLE | 13,200 | 0 | 0 | |
KRATON CORP | Equity | 50077C106 | 16,317 | 357,518 | SH | SOLE | 336,193 | 0 | 21,325 | ||
KANSAS CITY SOUTHERN | Equity | 485170302 | 123,354 | 455,788 | SH | SOLE | 425,025 | 0 | 30,763 | ||
Medallia Inc | Convertible Bond | 584021AB5 | 5,345 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
MEDALLIA INC | Equity | 584021109 | 39,103 | 1,154,515 | SH | SOLE | 1,085,716 | 0 | 68,799 | ||
MGM GROWTH PPTYS LLC | Equity | 55303A105 | 22,836 | 596,247 | SH | SOLE | 563,652 | 0 | 32,595 | ||
Moneylion Inc | Equity | 60938K106 | 11,529 | 1,703,000 | SH | SOLE | 1,703,000 | 0 | 0 | ||
MONMOUTH REAL ESTATE INVT CO | Equity | 609720107 | 39,297 | 2,107,070 | SH | SOLE | 1,972,671 | 0 | 134,399 | ||
MAGNACHIP SEMICONDUCTOR CORP | Equity | 55933J203 | 21,096 | 1,187,839 | SH | SOLE | 1,113,791 | 0 | 74,048 | ||
NUANCE COMMUNICATIONS INC | Convertible Bond | 67020YAK6 | 2,271 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
NUANCE COMMUNICATIONS INC | Equity | 67020Y100 | 108,313 | 1,967,894 | SH | SOLE | 1,850,121 | 0 | 117,773 | ||
PPD INC | Equity | 69355F102 | 101,666 | 2,172,818 | SH | SOLE | 2,055,076 | 0 | 117,742 | ||
PARATEK PHARMACEUTICALS INC | Corporate Bond | 699374AB0 | 2,016 | 2,250,000 | PRN | SOLE | 2,250,000 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | Equity | 699374302 | 212 | 43,596 | SH | SOLE | 43,596 | 0 | 0 | ||
PURE STORAGE INC | Convertible Bond | 74624MAB8 | 1,735 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
QAD INC | Equity | 74727D306 | 20,916 | 239,336 | SH | SOLE | 239,336 | 0 | 0 | ||
SANDERSON FARMS INC | Equity | 800013104 | 39,096 | 207,739 | SH | SOLE | 195,371 | 0 | 12,368 | ||
SCORE MEDIA & GAMING INC | Equity | 80919D202 | 6,704 | 195,861 | SH | SOLE | 184,239 | 0 | 11,622 | ||
SCIENTIFIC GAMES CORP | Equity Call | 80874P909 | 63 | 11,500 | SH | Call | SOLE | 11,500 | 0 | 0 | |
Stryve Foods Inc | Equity | 863685103 | 1,605 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
S&P GLOBAL INC | Equity Call | 78409V904 | 341 | 197,900 | SH | Call | SOLE | 185,200 | 0 | 12,700 | |
SPDR S&P 500 ETF TR | Equity Call | 78462F903 | 19 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
STAMPS COM INC | Equity | 852857200 | 1,091 | 3,308 | SH | SOLE | 3,308 | 0 | 0 | ||
TRILLIUM THERAPEUTICS INC | Equity Call | 89620X906 | 7 | 273,200 | SH | Call | SOLE | 258,100 | 0 | 15,100 | |
TRILLIUM THERAPEUTICS INC | Equity | 89620X506 | 7,433 | 423,290 | SH | SOLE | 400,743 | 0 | 22,547 | ||
TWITTER INC | Convertible Bond | 90184LAF9 | 1,889 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
DOMTAR CORP | Equity | 257559203 | 543 | 9,953 | SH | SOLE | 9,953 | 0 | 0 | ||
UPHEALTH INC | Equity | 91532B101 | 285 | 97,623 | SH | SOLE | 97,623 | 0 | 0 | ||
VEREIT INC | Equity | 92339V308 | 232 | 5,132 | SH | SOLE | 5,132 | 0 | 0 | ||
VICI PPTYS INC | Equity Call | 925652909 | 79 | 451,000 | SH | Call | SOLE | 426,100 | 0 | 24,900 | |
VEONEER INC | Equity | 92336X109 | 12,249 | 359,619 | SH | SOLE | 338,003 | 0 | 21,616 | ||
WELBILT INC | Equity | 949090104 | 76,118 | 3,275,296 | SH | SOLE | 3,097,562 | 0 | 177,734 | ||
WILLIS LEASE FIN CORP | Equity | 970646105 | 138,033 | 593,794 | SH | SOLE | 558,140 | 0 | 35,654 | ||
XILINX INC | Equity | 983919101 | 99,640 | 659,912 | SH | SOLE | 612,250 | 0 | 47,662 | ||
ACCELERON PHARMA INC | Equity Call | 00434H908 | 66 | 73,000 | SH | Call | SOLE | 68,600 | 0 | 4,400 | |
ACCELERON PHARMA INC | Equity | 00434H108 | 15,346 | 89,140 | SH | SOLE | 83,739 | 0 | 5,401 | ||
Lightning eMotors Inc | Convertible Bond | 53228RAA3 | 5,067 | 5,700,000 | PRN | SOLE | 5,700,000 | 0 | 0 | ||
ZOOM VIDEO COMMUNICATIONS IN | Equity Call | 98980L901 | 32 | 374,600 | SH | Call | SOLE | 350,700 | 0 | 23,900 |