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 |
ATLANTIC CAP BANCSHARES INC | Equity | 048269203 | 106 | 3,668 | SH | SOLE | 3,668 | 0 | 0 | ||
AECOM | Equity | 00766T100 | 155 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
AEROJET ROCKETDYNE HLDGS INC | Equity | 007800105 | 56,885 | 1,216,524 | SH | SOLE | 1,129,884 | 0 | 86,640 | ||
ADVANCED MICRO DEVICES INC | Equity Call | 007903907 | 26 | 4,000 | SH | Call | SOLE | 4,000 | 0 | 0 | |
AMERICAN NATIONAL GROUP INC | Equity | 02772A109 | 430 | 2,277 | SH | SOLE | 2,277 | 0 | 0 | ||
ARENA PHARMACEUTICALS INC | Equity | 040047607 | 13,086 | 140,800 | SH | SOLE | 133,300 | 0 | 7,500 | ||
ATOTECH LTD | Equity | G0625A105 | 18,191 | 712,801 | SH | SOLE | 712,801 | 0 | 0 | ||
ATHENE HOLDING LTD | Equity | G0684D107 | 17,068 | 204,824 | SH | SOLE | 204,824 | 0 | 0 | ||
BRICKELL BIOTECH INC | Equity | 10802T105 | 23 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
ALLBIRDS INC | Equity | 01675A109 | 30 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
BAKKT HOLDINGS INC | Equity | 05759B107 | 1,202 | 141,200 | SH | SOLE | 141,200 | 0 | 0 | ||
BLUEROCK RESIDENTIAL GWT REI | Equity | 09627J102 | 12,720 | 482,000 | SH | SOLE | 452,725 | 0 | 29,275 | ||
CMC MATERIALS INC | Equity | 12571T100 | 34,319 | 179,035 | SH | SOLE | 168,180 | 0 | 10,855 | ||
CERNER CORP | Equity | 156782104 | 52,777 | 568,292 | SH | SOLE | 534,297 | 0 | 33,995 | ||
CHANGE HEALTHCARE INC | Equity | 15912K100 | 71,160 | 3,328,322 | SH | SOLE | 3,075,569 | 0 | 252,753 | ||
COHERENT INC | Equity | 192479103 | 71,288 | 267,457 | SH | SOLE | 250,727 | 0 | 16,730 | ||
CYRUSONE INC | REIT | 23283R100 | 78,091 | 870,388 | SH | SOLE | 817,835 | 0 | 52,553 | ||
CANADIAN PAC RY LTD | Equity | 13645T100 | 93 | 1,293 | SH | SOLE | 1,293 | 0 | 0 | ||
COREPOINT LODGING INC | Equity | 21872L104 | 14,996 | 955,160 | SH | SOLE | 903,402 | 0 | 51,758 | ||
CASPER SLEEP INC | Equity | 147626105 | 4,218 | 631,390 | SH | SOLE | 529,908 | 0 | 101,482 | ||
DISCOVERY INC | Equity | 25470F104 | 59 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
BOTTOMLINE TECH DEL INC | Equity | 101388106 | 32,680 | 578,714 | SH | SOLE | 543,958 | 0 | 34,756 | ||
FLAGSTAR BANCORP INC | Equity | 337930705 | 365 | 7,620 | SH | SOLE | 7,620 | 0 | 0 | ||
1ST CONSTITUTION BANCORP | Equity | 31986N102 | 49 | 1,918 | SH | SOLE | 1,918 | 0 | 0 | ||
FIVE9 INC | Corporate Bond | 338307AD3 | 3,686 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
FIVE9 INC | Equity | 338307101 | 768 | 5,594 | SH | SOLE | 5,594 | 0 | 0 | ||
SPX FLOW INC | Equity | 78469X107 | 32,902 | 380,459 | SH | SOLE | 357,392 | 0 | 23,067 | ||
FIRST MIDWEST BANCORP DEL | Equity | 320867104 | 182 | 8,871 | SH | SOLE | 8,871 | 0 | 0 | ||
FERRO CORP | Equity | 315405100 | 248 | 11,363 | SH | SOLE | 11,363 | 0 | 0 | ||
FORTERRA INC | Equity | 34960W106 | 23,212 | 976,115 | SH | SOLE | 922,012 | 0 | 54,103 | ||
FTS INTERNATIONAL INC | Equity | 30283W302 | 106 | 4,023 | SH | SOLE | 4,023 | 0 | 0 | ||
GCP APPLIED TECHNOLOGIES INC | Equity | 36164Y101 | 19,528 | 616,799 | SH | SOLE | 582,904 | 0 | 33,895 | ||
GOLDEN NUGGET ONLINE GAMIN | Equity | 38113L107 | 201 | 20,176 | SH | SOLE | 20,176 | 0 | 0 | ||
GREENSKY INC | Equity | 39572G100 | 647 | 56,926 | SH | SOLE | 56,926 | 0 | 0 | ||
GOLDEN STAR RES LTD CDA | Equity | 38119T807 | 231 | 60,405 | SH | SOLE | 60,405 | 0 | 0 | ||
TURTLE BEACH CORP | Equity Call | 900450906 | 0 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
HARTFORD FINL SVCS GROUP INC | Equity | 416515104 | 1,296 | 18,775 | SH | SOLE | 18,775 | 0 | 0 | ||
INDEPENDENCE HLDG CO NEW | Equity | 453440307 | 101 | 1,777 | SH | SOLE | 1,777 | 0 | 0 | ||
IHS MARKIT LTD | Equity | G47567105 | 153,022 | 1,151,232 | SH | SOLE | 1,079,023 | 0 | 72,209 | ||
INVESTORS BANCORP INC NEW | Equity | 46146L101 | 386 | 25,484 | SH | SOLE | 25,484 | 0 | 0 | ||
KAMAN CORP | Corporate Bond | 483548AF0 | 3,112 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
KAR AUCTION SVCS INC | Equity Call | 48238T909 | 4 | 21,500 | SH | Call | SOLE | 21,500 | 0 | 0 | |
KIRKLAND LAKE GOLD LTD | Equity | 49741E100 | 184 | 4,396 | SH | SOLE | 4,396 | 0 | 0 | ||
KALEYRA INC | Equity | 483379103 | 2,338 | 232,895 | SH | SOLE | 232,895 | 0 | 0 | ||
CORVUS GOLD INC | Equity | 221013105 | 87 | 26,953 | SH | SOLE | 26,953 | 0 | 0 | ||
KRATON CORP | Equity | 50077C106 | 16,881 | 364,443 | SH | SOLE | 343,118 | 0 | 21,325 | ||
MCAFEE CORP | Equity | 579063108 | 41,488 | 1,608,673 | SH | SOLE | 1,510,472 | 0 | 98,201 | ||
MAGELLAN HEALTH INC | Equity | 559079207 | 294 | 3,099 | SH | SOLE | 3,099 | 0 | 0 | ||
MIMECAST LTD | Equity | G14838109 | 27,107 | 340,666 | SH | SOLE | 319,301 | 0 | 21,365 | ||
MONEYLION INC | Equity | 60938K106 | 10,450 | 2,933,000 | SH | SOLE | 2,933,000 | 0 | 0 | ||
MONMOUTH REAL ESTATE INVT CO | Equity | 609720107 | 55,328 | 2,633,425 | SH | SOLE | 2,466,231 | 0 | 167,194 | ||
MOMENTIVE GLOBAL INC | Equity | 60878Y108 | 33,882 | 1,602,000 | SH | SOLE | 1,503,291 | 0 | 98,709 | ||
MAGNACHIP SEMICONDUCTOR CORP | Equity | 55933J203 | 24,699 | 1,177,839 | SH | SOLE | 1,103,791 | 0 | 74,048 | ||
NEOPHOTONICS CORP | Equity | 64051T100 | 25,217 | 1,640,632 | SH | SOLE | 1,553,168 | 0 | 87,464 | ||
NUANCE COMMUNICATIONS INC | Convertible Bond | 67020YAK6 | 2,285 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
NUANCE COMMUNICATIONS INC | Equity | 67020Y100 | 120,077 | 2,170,581 | SH | SOLE | 2,038,976 | 0 | 131,605 | ||
OCCIDENTAL PETE CORP | Equity | 674599105 | 348 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
PAE INC | Equity | 69290Y109 | 235 | 23,649 | SH | SOLE | 23,649 | 0 | 0 | ||
PENN NATL GAMING INC | Equity | 707569109 | 53 | 1,014 | SH | SOLE | 1,014 | 0 | 0 | ||
PINTEREST INC | Equity | 72352L106 | 214 | 5,900 | SH | SOLE | 5,900 | 0 | 0 | ||
PNM RES INC | Equity | 69349H107 | 40,779 | 894,081 | SH | SOLE | 839,758 | 0 | 54,323 | ||
PARATEK PHARMACEUTICALS INC | Corporate Bond | 699374AB0 | 2,071 | 2,250,000 | PRN | SOLE | 2,250,000 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | Equity | 699374302 | 251 | 55,972 | SH | SOLE | 55,972 | 0 | 0 | ||
PURE STORAGE INC | Convertible Bond | 74624MAB8 | 2,003 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
PAYPAL HLDGS INC | Equity | 70450Y103 | 377 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
RELIANT BANCORP INC | Equity | 75956B101 | 92 | 2,580 | SH | SOLE | 2,580 | 0 | 0 | ||
RINGCENTRAL INC | Equity | 76680R206 | 187 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
ROGERS CORP | Equity | 775133101 | 85,202 | 312,097 | SH | SOLE | 293,295 | 0 | 18,802 | ||
DONNELLEY R R & SONS CO | Equity | 257867200 | 29,087 | 2,583,244 | SH | SOLE | 2,440,779 | 0 | 142,465 | ||
SANDERSON FARMS INC | Equity | 800013104 | 40,266 | 210,727 | SH | SOLE | 198,161 | 0 | 12,566 | ||
SCIENTIFIC GAMES CORP | Equity Call | 80874P909 | 3 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
SHAW COMMUNICATIONS INC | Equity | 82028K200 | 218 | 7,160 | SH | SOLE | 7,160 | 0 | 0 | ||
STRYVE FOODS INC | Equity | 863685103 | 1,185 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | Equity Call | 78462F903 | 151 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
BLOCK INC | Corporate Bond | 852234AF0 | 2,968 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
BLOCK INC | Equity | 852234103 | 65 | 400 | SH | SOLE | 400 | 0 | 0 | ||
STATE AUTO FINL CORP | Equity | 855707105 | 106 | 2,054 | SH | SOLE | 2,054 | 0 | 0 | ||
STERLING BANCORP DEL | Equity | 85917A100 | 196 | 7,586 | SH | SOLE | 7,586 | 0 | 0 | ||
DEL TACO RESTAURANTS INC NEW | Equity | 245496104 | 12,870 | 1,033,768 | SH | SOLE | 978,655 | 0 | 55,113 | ||
TEEKAY LNG PARTNERS L P | Equity | Y8564M105 | 12,571 | 742,531 | SH | SOLE | 702,897 | 0 | 39,634 | ||
TERMINIX GLOBAL HOLDINGS INC | Equity Put | 88087E950 | 180 | 135,000 | SH | Put | SOLE | 127,400 | 0 | 7,600 | |
TERMINIX GLOBAL HOLDINGS INC | Equity | 88087E100 | 6,106 | 135,000 | SH | SOLE | 127,400 | 0 | 7,600 | ||
TRISTATE CAP HLDGS INC | Equity | 89678F100 | 17,433 | 576,122 | SH | SOLE | 576,122 | 0 | 0 | ||
TWITTER INC | Convertible Bond | 90184LAF9 | 1,634 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
UPHEALTH INC | Equity | 91532B101 | 201 | 97,623 | SH | SOLE | 97,623 | 0 | 0 | ||
VONAGE HLDGS CORP | Corporate Bond | 92886TAJ1 | 7,353 | 5,500,000 | PRN | SOLE | 5,500,000 | 0 | 0 | ||
VONAGE HLDGS CORP | Equity | 92886T201 | 52,385 | 2,519,713 | SH | SOLE | 2,368,793 | 0 | 150,920 | ||
VEONEER INC | Equity | 92336X109 | 23,883 | 673,152 | SH | SOLE | 633,720 | 0 | 39,432 | ||
VERSO CORP | Equity | 92531L207 | 12,726 | 471,000 | SH | SOLE | 442,364 | 0 | 28,636 | ||
WELBILT INC | Equity | 949090104 | 78,391 | 3,297,912 | SH | SOLE | 3,120,161 | 0 | 177,751 | ||
WILLIS TOWERS WATSON PLC LTD | Equity | G96629103 | 139,101 | 585,714 | SH | SOLE | 550,060 | 0 | 35,654 | ||
INTERSECT ENT INC | Equity | 46071F103 | 106 | 3,886 | SH | SOLE | 3,886 | 0 | 0 | ||
XILINX INC | Equity | 983919101 | 149,728 | 706,166 | SH | SOLE | 658,309 | 0 | 47,857 | ||
ZENDESK INC | Equity Call | 98936J901 | 1,632 | 253,100 | SH | Call | SOLE | 237,500 | 0 | 15,600 | |
ZENDESK INC | Convertible Bond | 98936JAD3 | 4,176 | 3,500,000 | PRN | SOLE | 3,500,000 | 0 | 0 | ||
Lightning eMotors Inc | Convertible Bond | 53228RAA3 | 4,786 | 5,950,000 | PRN | SOLE | 5,950,000 | 0 | 0 | ||
ZAI LAB LTD | Equity | 98887Q104 | 63 | 1,000 | SH | SOLE | 1,000 | 0 | 0 |