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 |
ADVERUM BIOTECHNOLOGIES INC | COM | 00773U108 | 60,500 | 10,000 | SH | | SOLE | | 60,500 | 0 | 0 |
ALLEGRO MERGER CORP | COM | 01749N103 | 2,134 | 224,446 | SH | | SOLE | | 2,134 | 0 | 0 |
ALLSCRIPTS HEALTHCARE SOLUTN | COM | 01988P108 | 970 | 68,076 | SH | | SOLE | | 970 | 0 | 0 |
ANDEAVOR | COM | 03349M105 | 14,371 | 93,624 | SH | | SOLE | | 14,371 | 0 | 0 |
APOLLO SR FLOATING RATE FD I | COM | 037636107 | 479 | 30,000 | SH | | SOLE | | 479 | 0 | 0 |
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 6,604 | 651,251 | SH | | SOLE | | 6,604 | 0 | 0 |
BIOMARIN PHARMACEUTICAL INC | NOTE 1.500%10/1 | 09061GAF8 | 1,195 | 1,000,000 | SH | | SOLE | | 1,195 | 0 | 0 |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 1,154 | 11,903 | SH | | SOLE | | 1,154 | 0 | 0 |
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 2,274 | 222,719 | SH | | SOLE | | 2,274 | 0 | 0 |
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 2,571 | 263,915 | SH | | SOLE | | 2,571 | 0 | 0 |
BLACKROCK DEBT STRAT FD INC | COM NEW | 09255R202 | 278 | 25,000 | SH | | SOLE | | 278 | 0 | 0 |
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 207 | 15,000 | SH | | SOLE | | 207 | 0 | 0 |
BOOKING HLDGS INC | COM | 09857L108 | 2,758 | 1,390 | SH | | SOLE | | 2,758 | 0 | 0 |
CABOT OIL & GAS CORP | COM | 127097103 | 1,126 | 50,000 | SH | | SOLE | | 1,126 | 0 | 0 |
CENTERPOINT ENERGY INC | COM | 15189T107 | 1,080 | 39,069 | SH | | SOLE | | 1,080 | 0 | 0 |
CLOVIS ONCOLOGY INC | NOTE 1.250% 5/0 | 189464AC4 | 1,548 | 2,000,000 | SH | | SOLE | | 1,548 | 0 | 0 |
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 10,981 | 1,091,543 | SH | | SOLE | | 10,981 | 0 | 0 |
COBIZ FINANCIAL INC | COM | 190897108 | 3,259 | 147,187 | SH | | SOLE | | 3,259 | 0 | 0 |
COLUMBIA PPTY TR INC | COM NEW | 198287203 | 1,182 | 50,000 | SH | | SOLE | | 1,182 | 0 | 0 |
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 10,345 | 1,041,775 | SH | | SOLE | | 10,345 | 0 | 0 |
CRONOS GROUP INC | COM | 22717L101 | 2 | 70,600 | SH | Call | SOLE | | 2 | 0 | 0 |
CRONOS GROUP INC | COM | 22717L101 | 1,005 | 70,600 | SH | Put | SOLE | | 1,005 | 0 | 0 |
CRONOS GROUP INC | COM | 22717L101 | 785 | 70,600 | SH | | SOLE | | 785 | 0 | 0 |
CROWN CASTLE INTL CORP NEW | COM | 22822V101 | 19,438 | 174,600 | SH | | SOLE | | 19,438 | 0 | 0 |
CROWN CASTLE INTL CORP NEW | 6.875% CON PFD A | 22822V309 | 6,163 | 5,700 | SH | | SOLE | | 6,163 | 0 | 0 |
CTRIP COM INTL LTD | NOTE 1.000% 7/0 | 22943FAF7 | 1,961 | 2,000,000 | SH | | SOLE | | 1,961 | 0 | 0 |
CTRIP COM INTL LTD | NOTE 1.250%10/1 | 22943FAD2 | 11,008 | 11,000,000 | SH | | SOLE | | 11,008 | 0 | 0 |
CYPRESS SEMICONDUCTOR CORP | NOTE 4.500% 1/1 | 232806AM1 | 5,519 | 4,375,000 | SH | | SOLE | | 5,519 | 0 | 0 |
DIAMOND OFFSHORE DRILLING IN | COM | 25271C102 | 705 | 83,000 | SH | Put | SOLE | | 705 | 0 | 0 |
DIAMOND OFFSHORE DRILLING IN | COM | 25271C102 | 1,660 | 83,000 | SH | | SOLE | | 1,660 | 0 | 0 |
DISH NETWORK CORP | CL A | 25470M109 | 1,252 | 35,000 | SH | | SOLE | | 1,252 | 0 | 0 |
DOCUSIGN INC | COM | 256163106 | 400 | 25,200 | SH | Put | SOLE | | 400 | 0 | 0 |
DOCUSIGN INC | COM | 256163106 | 1,325 | 25,200 | SH | | SOLE | | 1,325 | 0 | 0 |
DOMINION ENERGY MIDSTRM PRTN | COM UT REP LTD | 257454108 | 996 | 55,668 | SH | | SOLE | | 996 | 0 | 0 |
DRAPER OAKWOOD TECHNOLOGY | COM CL A | 26146L103 | 3,286 | 350,000 | SH | | SOLE | | 3,286 | 0 | 0 |
DROPBOX INC | CL A | 26210C104 | 1,022 | 77,300 | SH | Put | SOLE | | 1,022 | 0 | 0 |
DROPBOX INC | CL A | 26210C104 | 2,074 | 77,300 | SH | | SOLE | | 2,074 | 0 | 0 |
EASTERLY ACQUISITION CORP | COM | 27616L102 | 17,634 | 1,720,412 | SH | | SOLE | | 17,634 | 0 | 0 |
ENSCO JERSEY FIN LTD | NOTE 3.000% 1/3 | 29359WAB1 | 3,549 | 3,575,000 | SH | | SOLE | | 3,549 | 0 | 0 |
EURONET WORLDWIDE INC | NOTE 1.500%10/0 | 298736AH2 | 1,391 | 1,000,000 | SH | | SOLE | | 1,391 | 0 | 0 |
EXPEDIA GROUP INC | COM NEW | 30212P303 | 300 | 2,300 | SH | | SOLE | | 300 | 0 | 0 |
FASTENAL CO | COM | 311900104 | 3,319 | 57,200 | SH | | SOLE | | 3,319 | 0 | 0 |
FOREST CITY RLTY TR INC | COM CL A | 345605109 | 878 | 35,000 | SH | | SOLE | | 878 | 0 | 0 |
GIGCAPITAL INC | COM | 37518N106 | 2,875 | 288,960 | SH | | SOLE | | 2,875 | 0 | 0 |
GORDON POINTE ACQUISITION CO | COM CLASS A | 382788107 | 1,478 | 150,000 | SH | | SOLE | | 1,478 | 0 | 0 |
GREENLAND ACQUISITIN CORPORA | SHS | G40981139 | 1,642 | 169,764 | SH | | SOLE | | 1,642 | 0 | 0 |
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 4,310 | 425,000 | SH | | SOLE | | 4,310 | 0 | 0 |
GUIDEWIRE SOFTWARE INC | COM | 40171V100 | 434 | 4,300 | SH | | SOLE | | 434 | 0 | 0 |
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 3,459 | 347,294 | SH | | SOLE | | 3,459 | 0 | 0 |
HERBALIFE LTD | NOTE 2.000% 8/1 | 42703MAB9 | 5,865 | 4,500,000 | SH | | SOLE | | 5,865 | 0 | 0 |
HERCULES CAPITAL INC | DBCV 4.375% 2/0 | 427096AF9 | 293 | 300,000 | SH | | SOLE | | 293 | 0 | 0 |
HL ACQUISITIONS CORP | SHS | G4603R106 | 954 | 100,400 | SH | | SOLE | | 954 | 0 | 0 |
HORIZON PHARMA PLC | SHS | G4617B105 | 529 | 27,000 | SH | | SOLE | | 529 | 0 | 0 |
HUNTER MARITIME ACQUISITION | CL A | Y37828111 | 3,398 | 341,475 | SH | | SOLE | | 3,398 | 0 | 0 |
I AM CAP ACQUISITION CO | COM | 45074Q108 | 4,582 | 450,124 | SH | | SOLE | | 4,582 | 0 | 0 |
ILLUMINA INC | NOTE 6/1 | 452327AF6 | 7,979 | 5,500,000 | SH | | SOLE | | 7,979 | 0 | 0 |
IMPINJ INC | COM | 453204109 | 6 | 17,200 | SH | Put | SOLE | | 6 | 0 | 0 |
IMPINJ INC | COM | 453204109 | 315 | 12,700 | SH | | SOLE | | 315 | 0 | 0 |
INDUSTREA ACQUISITION CORP | CL A | 45579J104 | 1,073 | 105,200 | SH | | SOLE | | 1,073 | 0 | 0 |
INNOVIVA INC | NOTE 2.500% 8/1 | 45781MAB7 | 890 | 800,000 | SH | | SOLE | | 890 | 0 | 0 |
INSMED INC | NOTE 1.750% 1/1 | 457669AA7 | 426 | 500,000 | SH | | SOLE | | 426 | 0 | 0 |
INSULET CORP | NOTE 1.250% 9/1 | 45784PAF8 | 1,839 | 1,000,000 | SH | | SOLE | | 1,839 | 0 | 0 |
INTERCEPT PHARMACEUTICALS IN | COM | 45845P108 | 600 | 4,750 | SH | | SOLE | | 600 | 0 | 0 |
INTERDIGITAL INC | NOTE 1.500% 3/0 | 458660AD9 | 2,589 | 2,205,000 | SH | | SOLE | | 2,589 | 0 | 0 |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 253,223 | 1,363,415 | SH | | SOLE | | 253,223 | 0 | 0 |
IONIS PHARMACEUTICALS INC | COM | 462222100 | 279 | 5,400 | SH | | SOLE | | 279 | 0 | 0 |
IRONWOOD PHARMACEUTICALS INC | COM CL A | 46333X108 | 2,599 | 140,788 | SH | | SOLE | | 2,599 | 0 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 331 | 368,200 | SH | Call | SOLE | | 331 | 0 | 0 |
ISHARES TR | U.S. REAL ES ETF | 464287739 | 29,463 | 368,200 | SH | | SOLE | | 29,463 | 0 | 0 |
J2 GLOBAL INC | NOTE 3.250% 6/1 | 48123VAC6 | 1,168 | 900,000 | SH | | SOLE | | 1,168 | 0 | 0 |
JAZZ INVESTMENTS I LTD | NOTE 1.500% 8/1 | 472145AD3 | 2,851 | 2,795,000 | SH | | SOLE | | 2,851 | 0 | 0 |
JD COM INC | SPON ADR CL A | 47215P106 | 522 | 20,000 | SH | | SOLE | | 522 | 0 | 0 |
KBL MERGER CORP IV | COM | 48242A104 | 8,045 | 812,597 | SH | | SOLE | | 8,045 | 0 | 0 |
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 1,008 | 100,189 | SH | | SOLE | | 1,008 | 0 | 0 |
MEGALITH FINL ACQUISITION CO | CL A COM | 58518F109 | 2,856 | 300,200 | SH | | SOLE | | 2,856 | 0 | 0 |
MICROCHIP TECHNOLOGY INC | NOTE 1.625% 2/1 | 595017AD6 | 11,244 | 7,430,000 | SH | | SOLE | | 11,244 | 0 | 0 |
MICROCHIP TECHNOLOGY INC | NOTE 1.625% 2/1 | 595017AF1 | 5,426 | 5,083,000 | SH | | SOLE | | 5,426 | 0 | 0 |
MICRON TECHNOLOGY INC | NOTE 3.000%11/1 | 595112AY9 | 7,119 | 4,589,000 | SH | | SOLE | | 7,119 | 0 | 0 |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 9,038 | 908,323 | SH | | SOLE | | 9,038 | 0 | 0 |
MONGODB INC | CL A | 60937P106 | 359 | 4,400 | SH | | SOLE | | 359 | 0 | 0 |
MUDRICK CAP ACQUISITION CORP | COM CLASS A | 624745105 | 2,182 | 225,390 | SH | | SOLE | | 2,182 | 0 | 0 |
NAVISTAR INTL CORP NEW | NOTE 4.750% 4/1 | 63934EAS7 | 1,612 | 1,588,000 | SH | | SOLE | | 1,612 | 0 | 0 |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 1,512 | 12,300 | SH | | SOLE | | 1,512 | 0 | 0 |
NEXTERA ENERGY INC | COM | 65339F101 | 4,056 | 24,200 | SH | | SOLE | | 4,056 | 0 | 0 |
NISOURCE INC | COM | 65473P105 | 1,123 | 45,074 | SH | | SOLE | | 1,123 | 0 | 0 |
NUTANIX INC | CL A | 67059N108 | 970 | 22,700 | SH | | SOLE | | 970 | 0 | 0 |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 1,069 | 12,500 | SH | | SOLE | | 1,069 | 0 | 0 |
OKTA INC | CL A | 679295105 | 1,203 | 17,100 | SH | | SOLE | | 1,203 | 0 | 0 |
ON SEMICONDUCTOR CORP | NOTE 1.000%12/0 | 682189AK1 | 4,065 | 3,500,000 | SH | | SOLE | | 4,065 | 0 | 0 |
OPES ACQUISITION CORP | COM | 68373P100 | 2,985 | 303,079 | SH | | SOLE | | 2,985 | 0 | 0 |
PACIRA PHARMACEUTICALS INC | COM | 695127100 | 1,155 | 23,500 | SH | | SOLE | | 1,155 | 0 | 0 |
PENSARE ACQUISITION CORP | COM | 70957E105 | 5,441 | 546,256 | SH | | SOLE | | 5,441 | 0 | 0 |
PG&E CORP | COM | 69331C108 | 1,020 | 22,169 | SH | | SOLE | | 1,020 | 0 | 0 |
PINDUODUO INC | SPONSORED ADS | 722304102 | 25 | 20,100 | SH | Put | SOLE | | 25 | 0 | 0 |
PINDUODUO INC | SPONSORED ADS | 722304102 | 528 | 20,100 | SH | | SOLE | | 528 | 0 | 0 |
PURE ACQUISITION CORP | CL A | 74621Q106 | 2,912 | 300,000 | SH | | SOLE | | 2,912 | 0 | 0 |
QUDIAN INC | ADR | 747798106 | 1,554 | 157,800 | SH | Put | SOLE | | 1,554 | 0 | 0 |
QUDIAN INC | ADR | 747798106 | 822 | 157,800 | SH | | SOLE | | 822 | 0 | 0 |
REDFIN CORP | COM | 75737F108 | 297 | 56,500 | SH | Put | SOLE | | 297 | 0 | 0 |
REDFIN CORP | COM | 75737F108 | 1,057 | 56,500 | SH | | SOLE | | 1,057 | 0 | 0 |
RESTORATION HARDWARE HLDGS I | NOTE 6/1 | 761283AD2 | 9,868 | 8,160,000 | SH | | SOLE | | 9,868 | 0 | 0 |
RESTORATION HARDWARE HLDGS I | DBCV 7/1 | 761283AC4 | 1,841 | 1,488,000 | SH | | SOLE | | 1,841 | 0 | 0 |
ROKU INC | COM CL A | 77543R102 | 18 | 40,800 | SH | Put | SOLE | | 18 | 0 | 0 |
ROKU INC | COM CL A | 77543R102 | 2,980 | 40,800 | SH | | SOLE | | 2,980 | 0 | 0 |
ROYAL GOLD INC | NOTE 2.875% 6/1 | 780287AA6 | 2,070 | 2,052,000 | SH | | SOLE | | 2,070 | 0 | 0 |
KBL MERGER CORP IV | RIGHT 03/22/2019 | 48242A120 | 23 | 50,000 | SH | | SOLE | | 23 | 0 | 0 |
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 11 | 26,120 | SH | | SOLE | | 11 | 0 | 0 |
SNAP INC | CL A | 83304A106 | 4 | 341,600 | SH | Call | SOLE | | 4 | 0 | 0 |
SNAP INC | CL A | 83304A106 | 3,695 | 341,600 | SH | Put | SOLE | | 3,695 | 0 | 0 |
SNAP INC | CL A | 83304A106 | 2,897 | 341,600 | SH | | SOLE | | 2,897 | 0 | 0 |
SOGOU INC | ADR REPSTG A | 83409V104 | 1,359 | 199,700 | SH | Put | SOLE | | 1,359 | 0 | 0 |
SOGOU INC | ADR REPSTG A | 83409V104 | 1,484 | 199,700 | SH | | SOLE | | 1,484 | 0 | 0 |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 233,254 | 882,345 | SH | | SOLE | | 233,254 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 357,743 | 1,231,045 | SH | | SOLE | | 357,743 | 0 | 0 |
SPLUNK INC | COM | 848637104 | 4,848 | 40,100 | SH | | SOLE | | 4,848 | 0 | 0 |
STANLEY BLACK & DECKER INC | COM | 854502101 | 2,577 | 17,600 | SH | | SOLE | | 2,577 | 0 | 0 |
STELLAR ACQUISITION III INC | COM | Y8172W107 | 1,053 | 101,741 | SH | | SOLE | | 1,053 | 0 | 0 |
SUPERNUS PHARMACEUTICALS INC | COM | 868459108 | 584 | 11,600 | SH | | SOLE | | 584 | 0 | 0 |
TELADOC HEALTH INC | COM | 87918A105 | 1,364 | 15,800 | SH | | SOLE | | 1,364 | 0 | 0 |
TELLURIAN INC NEW | COM | 87968A104 | 227 | 25,279 | SH | | SOLE | | 227 | 0 | 0 |
TESARO INC | COM | 881569107 | 2,586 | 66,300 | SH | | SOLE | | 2,586 | 0 | 0 |
THUNDER BRIDGE ACQUISITION L | SHS CLASS A | G8857R100 | 2,904 | 299,100 | SH | | SOLE | | 2,904 | 0 | 0 |
TIBERIUS ACQUISITION CORP | COM | 88633A107 | 2,926 | 303,491 | SH | | SOLE | | 2,926 | 0 | 0 |
TOTTENHAM ACQUISITION I LTD | SHS | G8959N106 | 485 | 50,000 | SH | | SOLE | | 485 | 0 | 0 |
TRANSENTERIX INC | COM NEW | 89366M201 | 157 | 173,100 | SH | Put | SOLE | | 157 | 0 | 0 |
TRANSENTERIX INC | COM NEW | 89366M201 | 1,004 | 173,100 | SH | | SOLE | | 1,004 | 0 | 0 |
TRIDENT ACQUISITIONS CORP | COM | 89615T106 | 4,664 | 475,000 | SH | | SOLE | | 4,664 | 0 | 0 |
TRINITY MERGER CORP | COM CL A | 89653L106 | 3,925 | 400,100 | SH | | SOLE | | 3,925 | 0 | 0 |
TURQUOISE HILL RES LTD | COM | 900435108 | 530 | 250,000 | SH | | SOLE | | 530 | 0 | 0 |
TWELVE SEAS INVESTMENT COMPA | SHS | G9145A107 | 1,995 | 209,535 | SH | | SOLE | | 1,995 | 0 | 0 |
TWITTER INC | NOTE 1.000% 9/1 | 90184LAD4 | 4,602 | 5,000,000 | SH | | SOLE | | 4,602 | 0 | 0 |
UNION ACQUISITION CORP | SHS | G9366W101 | 4,887 | 501,240 | SH | | SOLE | | 4,887 | 0 | 0 |
UNION PAC CORP | COM | 907818108 | 9,118 | 56,000 | SH | | SOLE | | 9,118 | 0 | 0 |
VECTOIQ ACQUISITION CORP | COM | 92243N103 | 1,108 | 116,300 | SH | | SOLE | | 1,108 | 0 | 0 |
VIRNETX HLDG CORP | COM | 92823T108 | 350 | 98,500 | SH | Put | SOLE | | 350 | 0 | 0 |
VIRNETX HLDG CORP | COM | 92823T108 | 458 | 98,500 | SH | | SOLE | | 458 | 0 | 0 |
WAYFAIR INC | CL A | 94419L101 | 4,607 | 31,200 | SH | | SOLE | | 4,607 | 0 | 0 |
WILLIAMS COS INC DEL | COM | 969457100 | 1,361 | 50,069 | SH | | SOLE | | 1,361 | 0 | 0 |
WIX COM LTD | SHS | M98068105 | 754 | 6,300 | SH | | SOLE | | 754 | 0 | 0 |
WPX ENERGY INC | COM | 98212B103 | 605 | 30,068 | SH | | SOLE | | 605 | 0 | 0 |
MODERN MEDIA ACQUISITION | *W EXP 05/17/202 | 60765P111 | 22 | 39,455 | SH | | SOLE | | 22 | 0 | 0 |
SABAN CAP ACQUISITION CORP | *W EXP 09/21/202 | 78516C114 | 142 | 129,200 | SH | | SOLE | | 142 | 0 | 0 |
TIBERIUS ACQUISITION CORP | *W EXP 02/28/202 | 88633A115 | 32 | 54,900 | SH | | SOLE | | 32 | 0 | 0 |
YAHOO INC | NOTE 12/0 | 984332AF3 | 6,374 | 5,000,000 | SH | | SOLE | | 6,374 | 0 | 0 |
ZILLOW GROUP INC | NOTE 2.000%12/0 | 98954MAB7 | 3,798 | 3,500,000 | SH | | SOLE | | 3,798 | 0 | 0 |
ZUORA INC | COM CL A | 98983V106 | 604 | 40,100 | SH | Put | SOLE | | 604 | 0 | 0 |
ZUORA INC | COM CL A | 98983V106 | 927 | 40,100 | SH | | SOLE | | 927 | 0 | 0 |