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 |
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 14,776 | 16,083,000 | PRN | SOLE | 16,083,000 | 0 | 0 | ||
AEGEAN MARINE PETE NETWORK I | NOTE 4.250%12/1 | 00773VAB2 | 14,124 | 22,554,000 | PRN | SOLE | 22,554,000 | 0 | 0 | ||
AMYRIS INC | NOTE 6.500% 5/1 | 03236MAC5 | 14,472 | 15,478,000 | PRN | SOLE | 15,478,000 | 0 | 0 | ||
ASCENT CAP GROUP INC | NOTE 4.000% 7/1 | 043632AA6 | 4,428 | 6,417,000 | PRN | SOLE | 6,417,000 | 0 | 0 | ||
AVID TECHNOLOGY INC | NOTE 2.000% 6/1 | 05367PAB6 | 16,768 | 20,082,000 | PRN | SOLE | 20,082,000 | 0 | 0 | ||
BLACKSTONE MTG TR INC | NOTE 4.750% 3/1 | 09257WAC4 | 4,913 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
CIENA CORP | NOTE 3.750%10/1 | 171779AJ0 | 13,881 | 10,500,000 | PRN | SOLE | 10,500,000 | 0 | 0 | ||
COMSTOCK RES INC | NOTE 7.750% 4/0 | 205768AM6 | 5,738 | 6,186,578 | PRN | SOLE | 6,186,578 | 0 | 0 | ||
CORNERSTONE ONDEMAND INC | NOTE 1.500% 7/0 | 21925YAB9 | 5,985 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
DISH NETWORK CORP | NOTE 3.375% 8/1 | 25470MAB5 | 16,157 | 16,700,000 | PRN | SOLE | 16,700,000 | 0 | 0 | ||
ENCORE CAP GROUP INC | NOTE 2.875% 3/1 | 292554AH5 | 10,464 | 10,396,000 | PRN | SOLE | 10,396,000 | 0 | 0 | ||
FINISAR CORP | NOTE 0.500%12/1 | 31787AAM3 | 16,542 | 16,730,000 | PRN | SOLE | 16,730,000 | 0 | 0 | ||
HARMONIC INC | NOTE 4.000%12/0 | 413160AB8 | 15,883 | 16,125,000 | PRN | SOLE | 16,125,000 | 0 | 0 | ||
HORIZON PHARMA INVT LTD | NOTE 2.500% 3/1 | 44052TAB7 | 12,036 | 13,033,000 | PRN | SOLE | 13,033,000 | 0 | 0 | ||
IGI LABORATORIES INC | NOTE 3.750%12/1 | 449575AB5 | 11,274 | 12,090,000 | PRN | SOLE | 12,090,000 | 0 | 0 | ||
INFINERA CORPORATION | DBCV 1.750% 6/0 | 45667GAB9 | 11,879 | 11,849,000 | PRN | SOLE | 11,849,000 | 0 | 0 | ||
INSULET CORP | NOTE 1.250% 9/1 | 45784PAF8 | 18,606 | 12,000,000 | PRN | SOLE | 12,000,000 | 0 | 0 | ||
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 17,588 | 14,000,000 | PRN | SOLE | 14,000,000 | 0 | 0 | ||
JDS UNIPHASE CORP | DBCV 0.625% 8/1 | 46612JAF8 | 12,656 | 12,500,000 | PRN | SOLE | 12,500,000 | 0 | 0 | ||
KEYW HLDG CORP | NOTE 2.500% 7/1 | 493723AA8 | 13,284 | 13,590,000 | PRN | SOLE | 13,590,000 | 0 | 0 | ||
LAYNE CHRISTENSEN CO | NOTE 8.000% 5/0 | 521050AD6 | 5,145 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 12,690 | 11,000,000 | PRN | SOLE | 11,000,000 | 0 | 0 | ||
PALO ALTO NETWORKS INC | NOTE 7/0 | 697435AB1 | 20,681 | 12,500,000 | PRN | SOLE | 12,500,000 | 0 | 0 | ||
SENSEONICS HLDGS INC | NOTE 5.250% 2/0 | 81727UAA3 | 7,700 | 7,000,000 | PRN | SOLE | 7,000,000 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 4/1 | 92240MBC1 | 14,277 | 13,000,000 | PRN | SOLE | 13,000,000 | 0 | 0 | ||
WORKDAY INC | NOTE 0.750% 7/1 | 98138HAC5 | 22,701 | 14,922,000 | PRN | SOLE | 14,922,000 | 0 | 0 | ||
FLUIDIGM CORP DEL | NOTE 2.750% 2/0 | 34385PAD0 | 6,413 | 6,750,000 | PRN | SOLE | 6,750,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 26,315 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 26,315 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
GORDON POINTE ACQUISITION CO | UNIT 01/18/2023 | 382788206 | 1,808 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
ALTA MESA RES INC | CL A | 02133L109 | 5,125 | 640,668 | SH | SOLE | 640,668 | 0 | 0 | ||
AMYRIS INC | COM NEW | 03236M200 | 4,112 | 614,597 | SH | SOLE | 614,597 | 0 | 0 | ||
BBX CAP CORP NEW | CL A | 05491N104 | 461 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
FLUIDIGM CORP DEL | COM | 34385P108 | 116 | 19,898 | SH | SOLE | 19,898 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 | 5,279 | 549,921 | SH | SOLE | 549,921 | 0 | 0 | ||
NII HLDGS INC | COM PAR | 62913F508 | 2,062 | 977,111 | SH | SOLE | 977,111 | 0 | 0 | ||
SANOFI | RIGHT 12/31/2020 | 80105N113 | 190 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
SERVICESOURCE INTL INC | COM | 81763U100 | 3,787 | 993,930 | SH | SOLE | 993,930 | 0 | 0 | ||
Calpine Corp. | Note 5.2500% 01-Jun-2026 | 131347CK0 | 12,023 | 12,475,000 | PRN | SOLE | 12,475,000 | 0 | 0 | ||
Comstock Res Inc | Note 10.0000% 15-Mar-2020 | 205768AP9 | 5,163 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
Magnachip Semiconductor | Note 6.6250% 15-Jul-2021 | 55933JAB0 | 8,035 | 8,283,000 | PRN | SOLE | 8,283,000 | 0 | 0 | ||
Energy XXI Gulf Coast Inc | WARRANTS | 29276K119 | 1,196 | 311,389 | SH | SOLE | 311,389 | 0 | 0 | ||
Midstates Petroleum 24 2020 | WARRANTS | 59804T126 | 235 | 17,615 | SH | SOLE | 17,615 | 0 | 0 | ||
Sandridge Energy Inc $41.34 | WARRANTS | 80007P117 | 11,141 | 767,811 | SH | SOLE | 767,811 | 0 | 0 | ||
Sandridge Energy Inc $42.03 | WARRANTS | 80007P125 | 4,276 | 294,702 | SH | SOLE | 294,702 | 0 | 0 | ||
Team Inc | Note 5.0000% 01-Aug-2023 | 878155AD2 | 12,408 | 12,552,000 | PRN | SOLE | 12,552,000 | 0 | 0 | ||
Flexion Therapeutics | Note 3.3750% 01-May-2024 | 33938JAA4 | 10,271 | 9,000,000 | PRN | SOLE | 9,000,000 | 0 | 0 | ||
Golar LNG Limited | Note 2.7500% 15-Feb-2022 | 38046YAA9 | 25,861 | 25,245,000 | PRN | SOLE | 25,245,000 | 0 | 0 | ||
Bonanza Creek Energy Inc 71.23 Wrts due 2020 | WARRANTS | 097793111 | 2,763 | 99,725 | SH | SOLE | 99,725 | 0 | 0 |