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 |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 196 | 14,995 | SH | SOLE | 14,995 | 0 | 0 | ||
AXOVANT SCIENCES LTD | COM | G0750W104 | 182 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
FLEETMATICS GROUP PLC | COM | G35569105 | 977 | 16,290 | SH | SOLE | 16,290 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 193 | 69,347 | SH | SOLE | 69,347 | 0 | 0 | ||
AVG TECHNOLOGIES N V | SHS | N07831105 | 2,059 | 82,339 | SH | SOLE | 82,339 | 0 | 0 | ||
MYLAN N V | SHS EURO | N59465109 | 303 | 7,947 | SH | SOLE | 7,947 | 0 | 0 | ||
NAVIGATOR HOLDINGS LTD | SHS | Y62132108 | 226 | 31,500 | SH | SOLE | 31,500 | 0 | 0 | ||
SUNEDISON SEMICONDUCTOR LTD | SHS | Y8213L102 | 629 | 55,236 | SH | SOLE | 55,236 | 0 | 0 | ||
ADMA BIOLOGICS INC | COM | 000899104 | 72 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
AEP INDS INC | COM | 001031103 | 1,542 | 14,100 | SH | SOLE | 14,100 | 0 | 0 | ||
ACCELERON PHARMA INC | COM | 00434H108 | 434 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 4,486 | 5,500,000 | PRN | SOLE | 5,500,000 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | NOTE 2.000% 8/1 | 00767EAB8 | 4,616 | 7,000,000 | PRN | SOLE | 7,000,000 | 0 | 0 | ||
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 245 | 6,500 | SH | SOLE | 6,500 | 0 | 0 | ||
AEGON N V | NY REGISTRY SH | 007924103 | 45 | 11,700 | SH | SOLE | 11,700 | 0 | 0 | ||
ALERE INC | COM | 01449J105 | 303 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
APOLLO ED GROUP INC | CL A | 037604105 | 720 | 90,507 | SH | SOLE | 90,507 | 0 | 0 | ||
ASTORIA FINL CORP | COM | 046265104 | 204 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
BANK OF THE OZARKS INC | COM | 063904106 | 254 | 6,619 | SH | SOLE | 6,619 | 0 | 0 | ||
BEST BUY INC | COM | 086516101 | 215 | 5,640 | SH | SOLE | 5,640 | 0 | 0 | ||
BIOGEN INC | COM | 09062X103 | 9,391 | 30,000 | SH | Call | SOLE | 30,000 | 0 | 0 | |
BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 248 | 17,900 | SH | SOLE | 17,900 | 0 | 0 | ||
CIFC LLC | COM UNIT | 12547R105 | 115 | 10,302 | SH | SOLE | 10,302 | 0 | 0 | ||
CIGNA CORPORATION | COM | 125509109 | 834 | 6,400 | SH | SOLE | 6,400 | 0 | 0 | ||
CST BRANDS INC | COM | 12646R105 | 529 | 11,000 | SH | SOLE | 11,000 | 0 | 0 | ||
CARDINAL FINL CORP | COM | 14149F109 | 384 | 14,700 | SH | SOLE | 14,700 | 0 | 0 | ||
CASCADIAN THERAPEUTICS INC | COM | 14740B101 | 233 | 142,000 | SH | SOLE | 142,000 | 0 | 0 | ||
CEPHEID | COM | 15670R107 | 422 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
CHEMTURA CORP | COM NEW | 163893209 | 525 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
COBALT INTL ENERGY INC | NOTE 2.625%12/0 | 19075FAA4 | 382 | 750,000 | PRN | SOLE | 750,000 | 0 | 0 | ||
COBALT INTL ENERGY INC | COM | 19075F106 | 186 | 150,000 | SH | Call | SOLE | 150,000 | 0 | 0 | |
CURIS INC | COM | 231269101 | 652 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
CVENT INC | COM | 23247G109 | 314 | 9,900 | SH | SOLE | 9,900 | 0 | 0 | ||
CYNAPSUS THERAPEUTICS INC | COM PAR NO PAR | 23257Y859 | 214 | 5,311 | SH | SOLE | 5,311 | 0 | 0 | ||
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 266 | 5,574 | SH | SOLE | 5,574 | 0 | 0 | ||
EGALET CORP | NOTE 5.500% 4/0 | 28226BAB0 | 1,874 | 2,200,000 | PRN | SOLE | 2,200,000 | 0 | 0 | ||
ENCANA CORP | COM | 292505104 | 197 | 18,800 | SH | SOLE | 18,800 | 0 | 0 | ||
ENERGY TRANSFER EQUITY L P | COM UT LTD PTN | 29273V100 | 190 | 11,300 | SH | SOLE | 11,300 | 0 | 0 | ||
ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 229 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
EVERBANK FINL CORP | COM | 29977G102 | 380 | 19,612 | SH | SOLE | 19,612 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 332 | 106,550 | SH | SOLE | 106,550 | 0 | 0 | ||
FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 367 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
FLUIDIGM CORP DEL | NOTE 2.750% 2/0 | 34385PAA6 | 1,210 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
G & K SVCS INC | CL A | 361268105 | 573 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 2,962 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
GLOBALSTAR INC | NOTE 8.000% 4/0 | 378973AD3 | 1,505 | 722,247 | PRN | SOLE | 722,247 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 157 | 130,000 | SH | Call | SOLE | 130,000 | 0 | 0 | |
HECLA MNG CO | COM | 422704106 | 167 | 29,237 | SH | SOLE | 29,237 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 5,094 | 28,800 | SH | SOLE | 28,800 | 0 | 0 | ||
HUTCHINSON TECHNOLOGY INC | COM | 448407106 | 289 | 72,620 | SH | SOLE | 72,620 | 0 | 0 | ||
INCONTACT INC | COM | 45336E109 | 168 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
INCYTE CORP | COM | 45337C102 | 1,792 | 19,000 | SH | Call | SOLE | 19,000 | 0 | 0 | |
INGRAM MICRO INC | CL A | 457153104 | 3,156 | 88,500 | SH | SOLE | 88,500 | 0 | 0 | ||
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 673 | 500,000 | PRN | SOLE | 500,000 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 7,879 | 49,600 | SH | Call | SOLE | 49,600 | 0 | 0 | |
INTERSIL CORP | CL A | 46069S109 | 768 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
INTEROIL CORP | COM | 460951106 | 2,648 | 52,000 | SH | SOLE | 52,000 | 0 | 0 | ||
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 152 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 37,263 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 4,363 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | 90 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
JOY GLOBAL INC | COM | 481165108 | 598 | 21,563 | SH | SOLE | 21,563 | 0 | 0 | ||
KLA-TENCOR CORP | COM | 482480100 | 3,242 | 46,500 | SH | SOLE | 46,500 | 0 | 0 | ||
KROGER CO | COM | 501044101 | 326 | 11,000 | SH | SOLE | 11,000 | 0 | 0 | ||
LEXMARK INTL INC | CL A | 529771107 | 875 | 21,900 | SH | SOLE | 21,900 | 0 | 0 | ||
LILLY ELI & CO | COM | 532457108 | 4,013 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
LINEAR TECHNOLOGY CORP | COM | 535678106 | 237 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
LINKEDIN CORP | COM CL A | 53578A108 | 6,880 | 36,000 | SH | SOLE | 36,000 | 0 | 0 | ||
MACROGENICS INC | COM | 556099109 | 204 | 6,829 | SH | SOLE | 6,829 | 0 | 0 | ||
MEDIA GEN INC NEW | COM | 58441K100 | 184 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 711 | 40,000 | SH | Call | SOLE | 40,000 | 0 | 0 | |
MONSANTO CO NEW | COM | 61166W101 | 3,322 | 32,500 | SH | SOLE | 32,500 | 0 | 0 | ||
NII HLDGS INC | COM PAR $0.001 | 62913F508 | 575 | 172,800 | SH | SOLE | 172,800 | 0 | 0 | ||
NRG ENERGY INC | COM NEW | 629377508 | 127 | 11,300 | SH | SOLE | 11,300 | 0 | 0 | ||
NVR INC | COM | 62944T105 | 328 | 200 | SH | SOLE | 200 | 0 | 0 | ||
NAVISTAR INTL CORP NEW | NOTE 4.750% 4/1 | 63934EAS7 | 928 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 112 | 25,770 | SH | SOLE | 25,770 | 0 | 0 | ||
NICHOLAS FINANCIAL INC | COM NEW | 65373J209 | 127 | 12,518 | SH | SOLE | 12,518 | 0 | 0 | ||
OCEAN SHORE HLDG CO NEW | COM | 67501R103 | 226 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
OFFICE DEPOT INC | COM | 676220106 | 268 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | NOTE 2.750%12/0 | 686164AB0 | 2,358 | 9,826,000 | PRN | SOLE | 9,826,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | COM NEW | 686164302 | 34 | 10,250 | SH | SOLE | 10,250 | 0 | 0 | ||
OVERSEAS SHIPHOLDING GROUP I | CL A NEW | 69036R863 | 141 | 13,300 | SH | SOLE | 13,300 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 790 | 34,500 | SH | SOLE | 34,500 | 0 | 0 | ||
PTC THERAPEUTICS INC | NOTE 3.000% 8/1 | 69366JAB7 | 4,240 | 8,000,000 | PRN | SOLE | 8,000,000 | 0 | 0 | ||
PTC THERAPEUTICS INC | COM | 69366J200 | 140 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 2,085 | 8,000,000 | PRN | SOLE | 8,000,000 | 0 | 0 | ||
PRIVATEBANCORP INC | COM | 742962103 | 1,469 | 32,000 | SH | SOLE | 32,000 | 0 | 0 | ||
RACKSPACE HOSTING INC | COM | 750086100 | 1,008 | 31,800 | SH | SOLE | 31,800 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 767 | 34,266 | SH | SOLE | 34,266 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 327 | 89,000 | SH | SOLE | 89,000 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 1,539 | 200,169 | SH | SOLE | 200,169 | 0 | 0 | ||
ROFIN SINAR TECHNOLOGIES INC | COM | 775043102 | 389 | 12,100 | SH | SOLE | 12,100 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 663 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
SILICON GRAPHICS INTL CORP | COM | 82706L108 | 92 | 11,910 | SH | SOLE | 11,910 | 0 | 0 | ||
SKULLCANDY INC | COM | 83083J104 | 171 | 27,000 | SH | SOLE | 27,000 | 0 | 0 | ||
SPANISH BROADCASTING SYS INC | CL A NEW | 846425833 | 288 | 75,326 | SH | SOLE | 75,326 | 0 | 0 | ||
STARZ | COM SER A | 85571Q102 | 717 | 23,000 | SH | SOLE | 23,000 | 0 | 0 | ||
STEMLINE THERAPEUTICS INC | COM | 85858C107 | 249 | 23,000 | SH | SOLE | 23,000 | 0 | 0 | ||
SUFFOLK BANCORP | COM | 864739107 | 552 | 15,880 | SH | SOLE | 15,880 | 0 | 0 | ||
SYNGENTA AG | SPONSORED ADR | 87160A100 | 1,981 | 22,615 | SH | SOLE | 22,615 | 0 | 0 | ||
TETRALOGIC PHARMACEUTICALS C | NOTE 8.000% 6/1 | 88165UAB5 | 193 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 438 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 736 | 30,000 | SH | Call | SOLE | 30,000 | 0 | 0 | |
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 1,890 | 71,500 | SH | Call | SOLE | 71,500 | 0 | 0 | |
VIRGIN AMER INC | COM VTG | 92765X208 | 3,352 | 62,642 | SH | SOLE | 62,642 | 0 | 0 | ||
VIVINT SOLAR INC | COM | 92854Q106 | 66 | 20,799 | SH | SOLE | 20,799 | 0 | 0 | ||
WESTAR ENERGY INC | COM | 95709T100 | 361 | 6,360 | SH | SOLE | 6,360 | 0 | 0 | ||
WHITEWAVE FOODS CO | COM | 966244105 | 1,959 | 36,000 | SH | SOLE | 36,000 | 0 | 0 | ||
YAMANA GOLD INC | COM | 98462Y100 | 102 | 23,700 | SH | SOLE | 23,700 | 0 | 0 |