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 |
ALLERGAN PLC | SHS | G0177J108 | 2,656 | 8,500 | SH | SOLE | 8,500 | 0 | 0 | ||
AVOLON HLDGS LTD | COM | G52237107 | 3,072 | 99,217 | SH | SOLE | 99,217 | 0 | 0 | ||
KING DIGITAL ENTMT PLC | ORD SHS | G5258J109 | 1,448 | 81,000 | SH | SOLE | 81,000 | 0 | 0 | ||
PARTNERRE LTD | COM | G6852T105 | 3,729 | 26,686 | SH | SOLE | 26,686 | 0 | 0 | ||
UTI WORLDWIDE INC | ORD | G87210103 | 363 | 51,700 | SH | SOLE | 51,700 | 0 | 0 | ||
EZCHIP SEMICONDUCTOR LIMITED | ORD | M4146Y108 | 791 | 32,000 | SH | SOLE | 32,000 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 712 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
NAVIGATOR HOLDINGS LTD | SHS | Y62132108 | 819 | 60,000 | SH | SOLE | 60,000 | 0 | 0 | ||
ADMA BIOLOGICS INC | COM | 000899104 | 365 | 45,000 | SH | SOLE | 45,000 | 0 | 0 | ||
AGL RES INC | COM | 001204106 | 2,172 | 34,042 | SH | SOLE | 34,042 | 0 | 0 | ||
ACCELERON PHARMA INC | COM | 00434H108 | 387 | 7,930 | SH | SOLE | 7,930 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | NOTE 2.000% 8/1 | 00767EAB8 | 7,633 | 11,500,000 | PRN | SOLE | 11,500,000 | 0 | 0 | ||
AIRGAS INC | COM | 009363102 | 539 | 3,900 | SH | SOLE | 3,900 | 0 | 0 | ||
ALCATEL-LUCENT | SPONSORED ADR | 013904305 | 678 | 176,900 | SH | SOLE | 176,900 | 0 | 0 | ||
ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 449 | 101,000 | SH | SOLE | 101,000 | 0 | 0 | ||
ARRAY BIOPHARMA INC | NOTE 3.000% 6/0 | 04269XAA3 | 4,952 | 5,350,000 | PRN | SOLE | 5,350,000 | 0 | 0 | ||
ARROWHEAD RESH CORP | COM NEW | 042797209 | 904 | 147,000 | SH | SOLE | 147,000 | 0 | 0 | ||
ASTORIA FINL CORP | COM | 046265104 | 190 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
AVANGRID INC | COM | 05351W103 | 730 | 19,000 | SH | SOLE | 19,000 | 0 | 0 | ||
BAKER HUGHES INC | COM | 057224107 | 1,952 | 42,300 | SH | SOLE | 42,300 | 0 | 0 | ||
BANCO SANTANDER SA | ADR | 05964H105 | 738 | 151,456 | SH | SOLE | 151,456 | 0 | 0 | ||
BANK AMER CORP | COM | 060505104 | 5,049 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
BIOMED REALTY TRUST INC | COM | 09063H107 | 1,232 | 52,000 | SH | SOLE | 52,000 | 0 | 0 | ||
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 714 | 55,382 | SH | SOLE | 55,382 | 0 | 0 | ||
BROADCOM CORP | CL A | 111320107 | 4,915 | 85,000 | SH | SOLE | 85,000 | 0 | 0 | ||
CIGNA CORPORATION | COM | 125509109 | 293 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
CLECO CORP NEW | COM | 12561W105 | 3,052 | 58,463 | SH | SOLE | 58,463 | 0 | 0 | ||
CABLEVISION SYS CORP | CL A NY CABLVS | 12686C109 | 271 | 8,500 | SH | SOLE | 8,500 | 0 | 0 | ||
CAMERON INTERNATIONAL CORP | COM | 13342B105 | 632 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
CAMPUS CREST CMNTYS INC | COM | 13466Y105 | 136 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
CELLDEX THERAPEUTICS INC NEW | COM | 15117B103 | 376 | 24,000 | SH | SOLE | 24,000 | 0 | 0 | ||
CHUBB CORP | COM | 171232101 | 2,350 | 17,719 | SH | SOLE | 17,719 | 0 | 0 | ||
CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 6,840 | 8,000,000 | PRN | SOLE | 8,000,000 | 0 | 0 | ||
COBALT INTL ENERGY INC | NOTE 2.625%12/0 | 19075FAA4 | 6,728 | 12,000,000 | PRN | SOLE | 12,000,000 | 0 | 0 | ||
DENBURY RES INC | COM NEW | 247916208 | 61 | 30,000 | SH | Put | SOLE | 30,000 | 0 | 0 | |
DOW CHEM CO | COM | 260543103 | 232 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
E M C CORP MASS | COM | 268648102 | 822 | 32,000 | SH | SOLE | 32,000 | 0 | 0 | ||
ENDOLOGIX INC | NOTE 2.250%12/1 | 29266SAA4 | 2,023 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 736 | 95,500 | SH | SOLE | 95,500 | 0 | 0 | ||
ESPERION THERAPEUTICS INC NE | COM | 29664W105 | 1,158 | 52,000 | SH | SOLE | 52,000 | 0 | 0 | ||
EXELIXIS INC | COM | 30161Q104 | 423 | 75,000 | SH | Call | SOLE | 75,000 | 0 | 0 | |
FATE THERAPEUTICS INC | COM | 31189P102 | 236 | 69,993 | SH | SOLE | 69,993 | 0 | 0 | ||
FIFTH STR ASSET MGMT INC | CL A COM | 31679P109 | 33 | 10,263 | SH | SOLE | 10,263 | 0 | 0 | ||
FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 768 | 18,500 | SH | SOLE | 18,500 | 0 | 0 | ||
FURMANITE CORPORATION | COM | 361086101 | 149 | 22,393 | SH | SOLE | 22,393 | 0 | 0 | ||
GLOBALSTAR INC | NOTE 8.000% 4/0 | 378973AD3 | 1,675 | 714,213 | PRN | SOLE | 714,213 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 3,044 | 2,114,221 | SH | SOLE | 2,114,221 | 0 | 0 | ||
GOODRICH PETE CORP | NOTE 5.000%10/0 | 382410AG3 | 471 | 3,016,000 | PRN | SOLE | 3,016,000 | 0 | 0 | ||
HAWAIIAN ELEC INDUSTRIES | COM | 419870100 | 1,013 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
HEALTH NET INC | COM | 42222G108 | 1,369 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
HEARTLAND PMT SYS INC | COM | 42235N108 | 379 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
HECLA MNG CO | COM | 422704106 | 102 | 54,145 | SH | SOLE | 54,145 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 5,409 | 30,300 | SH | SOLE | 30,300 | 0 | 0 | ||
HUTCHINSON TECHNOLOGY INC | COM | 448407106 | 241 | 67,000 | SH | SOLE | 67,000 | 0 | 0 | ||
INTEROIL CORP | COM | 460951106 | 3,079 | 98,000 | SH | SOLE | 98,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 5,332 | 165,651 | SH | SOLE | 165,651 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 5,626 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 3,626 | 45,000 | SH | SOLE | 45,000 | 0 | 0 | ||
JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | 103 | 10,600 | SH | SOLE | 10,600 | 0 | 0 | ||
JARDEN CORP | COM | 471109108 | 1,314 | 23,000 | SH | SOLE | 23,000 | 0 | 0 | ||
KLA-TENCOR CORP | COM | 482480100 | 867 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
KEURIG GREEN MTN INC | COM | 49271M100 | 1,717 | 19,087 | SH | SOLE | 19,087 | 0 | 0 | ||
LEXICON PHARMACEUTICALS INC | COM NEW | 528872302 | 339 | 25,500 | SH | SOLE | 25,500 | 0 | 0 | ||
MARKET VECTORS ETF TR | RUSSIA ETF | 57060U506 | 732 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
MEDASSETS INC | COM | 584045108 | 210 | 6,800 | SH | SOLE | 6,800 | 0 | 0 | ||
MEREDITH CORP | COM | 589433101 | 346 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
METRO BANCORP INC PA | COM | 59161R101 | 948 | 30,200 | SH | SOLE | 30,200 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 566 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 1,416 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
MITEL NETWORKS CORP | COM | 60671Q104 | 115 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
NII HLDGS INC | COM PAR $0.001 | 62913F508 | 505 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
NATIONAL PENN BANCSHARES INC | COM | 637138108 | 123 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NAUGATUCK VY FINL CORP MD | COM | 63906P107 | 110 | 10,073 | SH | SOLE | 10,073 | 0 | 0 | ||
NAVISTAR INTL CORP NEW | NOTE 4.750% 4/1 | 63934EAS7 | 1,432 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 46 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
NICHOLAS FINANCIAL INC | COM NEW | 65373J209 | 214 | 18,384 | SH | SOLE | 18,384 | 0 | 0 | ||
NISKA GAS STORAGE PARTNERS L | UNIT LTD LIABI | 654678101 | 66 | 21,000 | SH | SOLE | 21,000 | 0 | 0 | ||
NTELOS HLDGS CORP | COM NEW | 67020Q305 | 1,011 | 110,573 | SH | SOLE | 110,573 | 0 | 0 | ||
OCATA THERAPEUTICS INC | COM | 67457L100 | 101 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
OFFICE DEPOT INC | COM | 676220106 | 1,083 | 192,000 | SH | SOLE | 192,000 | 0 | 0 | ||
OMNIVISION TECHNOLOGIES INC | COM | 682128103 | 1,439 | 49,600 | SH | SOLE | 49,600 | 0 | 0 | ||
ONCOTHYREON INC | COM | 682324108 | 666 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | NOTE 2.750%12/0 | 686164AB0 | 5,473 | 9,426,000 | PRN | SOLE | 9,426,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | COM | 686164104 | 184 | 107,000 | SH | SOLE | 107,000 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 1,103 | 40,100 | SH | SOLE | 40,100 | 0 | 0 | ||
PMC-SIERRA INC | COM | 69344F106 | 589 | 50,688 | SH | SOLE | 50,688 | 0 | 0 | ||
PEPCO HOLDINGS INC | COM | 713291102 | 1,132 | 43,504 | SH | SOLE | 43,504 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 3,228 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
PIEDMONT NAT GAS INC | COM | 720186105 | 513 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
PINNACLE ENTMT INC | COM | 723456109 | 249 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
PLUM CREEK TIMBER CO INC | COM | 729251108 | 239 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
POWERSHS DB US DOLLAR INDEX | DOLL INDX BULL | 73936D107 | 1,188 | 46,300 | SH | Put | SOLE | 46,300 | 0 | 0 | |
PRECISION CASTPARTS CORP | COM | 740189105 | 6,792 | 29,273 | SH | SOLE | 29,273 | 0 | 0 | ||
PROSHARES TR II | ULTRASHORT YEN N | 74347W569 | 439 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 3,472 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 758 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 592 | 75,500 | SH | SOLE | 75,500 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 95,828 | 470,000 | SH | Put | SOLE | 470,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P HOMEBUILD | 78464A888 | 5,127 | 150,000 | SH | Call | SOLE | 150,000 | 0 | 0 | |
SANDISK CORP | COM | 80004C101 | 228 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
SANOFI | RIGHT 12/31/2020 | 80105N113 | 23 | 206,004 | SH | SOLE | 206,004 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-ENERGY | 81369Y506 | 3,028 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 9,512 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 6,492 | 150,000 | SH | Put | SOLE | 150,000 | 0 | 0 | |
SEQUENOM INC | NOTE 5.000% 1/0 | 817337AC2 | 6,090 | 8,040,000 | PRN | SOLE | 8,040,000 | 0 | 0 | ||
SOLARWINDS INC | COM | 83416B109 | 427 | 7,250 | SH | SOLE | 7,250 | 0 | 0 | ||
SOLERA HOLDINGS INC | COM | 83421A104 | 1,151 | 21,000 | SH | SOLE | 21,000 | 0 | 0 | ||
SPANISH BROADCASTING SYS INC | CL A NEW | 846425833 | 244 | 75,326 | SH | SOLE | 75,326 | 0 | 0 | ||
SPECTRANETICS CORP | MTNF 2.625% 6/0 | 84760CAA5 | 377 | 500,000 | PRN | SOLE | 500,000 | 0 | 0 | ||
STANCORP FINL GROUP INC | COM | 852891100 | 717 | 6,300 | SH | SOLE | 6,300 | 0 | 0 | ||
STARWOOD HOTELS&RESORTS WRLD | COM | 85590A401 | 208 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
STEMLINE THERAPEUTICS INC | COM | 85858C107 | 505 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
SUNEDISON INC | COM | 86732Y109 | 127 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
SYMETRA FINL CORP | COM | 87151Q106 | 637 | 20,037 | SH | SOLE | 20,037 | 0 | 0 | ||
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 319 | 56,300 | SH | SOLE | 56,300 | 0 | 0 | ||
TECO ENERGY INC | COM | 872375100 | 666 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
TARGA RESOURCES PARTNERS LP | COM UNIT | 87611X105 | 364 | 22,000 | SH | SOLE | 22,000 | 0 | 0 | ||
TELECOMMUNICATION SYS INC | CL A | 87929J103 | 59 | 11,955 | SH | SOLE | 11,955 | 0 | 0 | ||
TETRALOGIC PHARMACEUTICALS C | NOTE 8.000% 6/1 | 88165UAB5 | 1,002 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
TIME WARNER CABLE INC | COM | 88732J207 | 4,176 | 22,500 | SH | SOLE | 22,500 | 0 | 0 | ||
TOWERS WATSON & CO | CL A | 891894107 | 1,826 | 14,214 | SH | SOLE | 14,214 | 0 | 0 | ||
WAUSAU PAPER CORP | COM | 943315101 | 366 | 35,800 | SH | SOLE | 35,800 | 0 | 0 | ||
WILLIAMS COS INC DEL | COM | 969457100 | 617 | 24,000 | SH | SOLE | 24,000 | 0 | 0 | ||
WISDOMTREE TR | EUROPE HEDGED EQ | 97717X701 | 5,650 | 105,000 | SH | SOLE | 105,000 | 0 | 0 | ||
XPO LOGISTICS INC | COM | 983793100 | 1,008 | 37,000 | SH | SOLE | 37,000 | 0 | 0 | ||
YOUKU TUDOU INC | SPONSORED ADR | 98742U100 | 285 | 10,500 | SH | SOLE | 10,500 | 0 | 0 |