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 |
AXOVANT SCIENCES LTD | COM | G0750W104 | 186 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ENDURANCE SPECIALTY HLDGS LT | SHS | G30397106 | 1,281 | 13,865 | SH | SOLE | 13,865 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 119 | 66,000 | SH | SOLE | 66,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 2,715 | 27,700 | SH | SOLE | 27,700 | 0 | 0 | ||
AEP INDS INC | COM | 001031103 | 1,753 | 15,100 | SH | SOLE | 15,100 | 0 | 0 | ||
ACCELERON PHARMA INC | COM | 00434H108 | 932 | 36,530 | SH | SOLE | 36,530 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 6,650 | 8,750,000 | PRN | SOLE | 8,750,000 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | NOTE 2.000% 8/1 | 00767EAB8 | 3,206 | 4,500,000 | PRN | SOLE | 4,500,000 | 0 | 0 | ||
AMAZON COM INC | COM | 023135106 | 1,950 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
APOLLO ED GROUP INC | CL A | 037604105 | 394 | 39,845 | SH | SOLE | 39,845 | 0 | 0 | ||
ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 368 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
ARIAD PHARMACEUTICALS INC | COM | 04033A100 | 218 | 17,500 | SH | SOLE | 17,500 | 0 | 0 | ||
ARRAY BIOPHARMA INC | NOTE 3.000% 6/0 | 04269XAA3 | 1,049 | 750,000 | PRN | SOLE | 750,000 | 0 | 0 | ||
ARRAY BIOPHARMA INC | COM | 04269X105 | 281 | 32,000 | SH | Call | SOLE | 32,000 | 0 | 0 | |
ASTORIA FINL CORP | COM | 046265104 | 300 | 16,100 | SH | SOLE | 16,100 | 0 | 0 | ||
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 2,732 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
BANK OF THE OZARKS INC | COM | 063904106 | 263 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
B/E AEROSPACE INC | COM | 073302101 | 301 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
BLUE NILE INC | COM | 09578R103 | 229 | 5,646 | SH | SOLE | 5,646 | 0 | 0 | ||
CIGNA CORPORATION | COM | 125509109 | 720 | 5,400 | SH | SOLE | 5,400 | 0 | 0 | ||
CST BRANDS INC | COM | 12646R105 | 530 | 11,000 | SH | SOLE | 11,000 | 0 | 0 | ||
CABELAS INC | COM | 126804301 | 902 | 15,400 | SH | SOLE | 15,400 | 0 | 0 | ||
CARDINAL FINL CORP | COM | 14149F109 | 482 | 14,700 | SH | SOLE | 14,700 | 0 | 0 | ||
CASCADIAN THERAPEUTICS INC | COM NEW | 14740B606 | 93 | 21,500 | SH | SOLE | 21,500 | 0 | 0 | ||
CATERPILLAR INC DEL | COM | 149123101 | 2,318 | 25,000 | SH | Put | SOLE | 25,000 | 0 | 0 | |
CHEMTURA CORP | COM NEW | 163893209 | 930 | 28,000 | SH | SOLE | 28,000 | 0 | 0 | ||
CLOUD PEAK ENERGY INC | COM | 18911Q102 | 280 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
COBALT INTL ENERGY INC | NOTE 2.625%12/0 | 19075FAA4 | 294 | 750,000 | PRN | SOLE | 750,000 | 0 | 0 | ||
COBALT INTL ENERGY INC | COM | 19075F106 | 183 | 150,000 | SH | Call | SOLE | 150,000 | 0 | 0 | |
CURIS INC | COM | 231269101 | 570 | 185,000 | SH | SOLE | 185,000 | 0 | 0 | ||
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 251 | 4,574 | SH | SOLE | 4,574 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 208 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
DOW CHEM CO | COM | 260543103 | 412 | 7,200 | SH | SOLE | 7,200 | 0 | 0 | ||
ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 175 | 25,015 | SH | SOLE | 25,015 | 0 | 0 | ||
EVERBANK FINL CORP | COM | 29977G102 | 644 | 33,112 | SH | SOLE | 33,112 | 0 | 0 | ||
FACEBOOK INC | CL A | 30303M102 | 748 | 6,500 | SH | SOLE | 6,500 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 310 | 123,500 | SH | SOLE | 123,500 | 0 | 0 | ||
FLUIDIGM CORP DEL | NOTE 2.750% 2/0 | 34385PAA6 | 345 | 500,000 | PRN | SOLE | 500,000 | 0 | 0 | ||
G & K SVCS INC | CL A | 361268105 | 579 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
GAS NAT INC | COM | 367204104 | 324 | 25,805 | SH | SOLE | 25,805 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 3,160 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
GENERAL MTRS CO | COM | 37045V100 | 13,197 | 378,800 | SH | Call | SOLE | 378,800 | 0 | 0 | |
GLOBALSTAR INC | NOTE 8.000% 4/0 | 378973AD3 | 1,311 | 480,372 | PRN | SOLE | 480,372 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 194 | 122,814 | SH | SOLE | 122,814 | 0 | 0 | ||
HARMAN INTL INDS INC | COM | 413086109 | 333 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
HEADWATERS INC | COM | 42210P102 | 485 | 20,618 | SH | SOLE | 20,618 | 0 | 0 | ||
HECLA MNG CO | COM | 422704106 | 105 | 20,087 | SH | SOLE | 20,087 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 3,020 | 14,800 | SH | SOLE | 14,800 | 0 | 0 | ||
IMMUNOMEDICS INC | NOTE 4.750% 2/1 | 452907AK4 | 2,970 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 1,040 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
INTELIQUENT INC | COM | 45825N107 | 360 | 15,706 | SH | SOLE | 15,706 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 4,913 | 29,600 | SH | Call | SOLE | 29,600 | 0 | 0 | |
INTERSIL CORP | CL A | 46069S109 | 1,115 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
INTEROIL CORP | COM | 460951106 | 2,474 | 52,000 | SH | SOLE | 52,000 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 32,364 | 240,000 | SH | Put | SOLE | 240,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 2,596 | 30,000 | SH | Put | SOLE | 30,000 | 0 | 0 | |
JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | 95 | 20,009 | SH | SOLE | 20,009 | 0 | 0 | ||
JANUS CAP GROUP INC | COM | 47102X105 | 664 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
JOY GLOBAL INC | COM | 481165108 | 426 | 15,200 | SH | SOLE | 15,200 | 0 | 0 | ||
KADMON HLDGS INC | COM | 48283N106 | 107 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 282 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
LILLY ELI & CO | COM | 532457108 | 1,839 | 25,000 | SH | Call | SOLE | 25,000 | 0 | 0 | |
LINEAR TECHNOLOGY CORP | COM | 535678106 | 935 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
MEDIA GEN INC NEW | COM | 58441K100 | 188 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
MENTOR GRAPHICS CORP | COM | 587200106 | 480 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
METALDYNE PERFORMANCE GROUP | COM | 59116R107 | 230 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 1,160 | 52,900 | SH | Call | SOLE | 52,900 | 0 | 0 | |
MONSANTO CO NEW | COM | 61166W101 | 4,051 | 38,500 | SH | SOLE | 38,500 | 0 | 0 | ||
NII HLDGS INC | COM PAR $0.001 | 62913F508 | 441 | 205,000 | SH | SOLE | 205,000 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 122 | 35,000 | SH | SOLE | 35,000 | 0 | 0 | ||
OFFICE DEPOT INC | COM | 676220106 | 181 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | NOTE 2.750%12/0 | 686164AB0 | 2,723 | 9,901,000 | PRN | SOLE | 9,901,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | COM NEW | 686164302 | 18 | 10,250 | SH | SOLE | 10,250 | 0 | 0 | ||
OVERSEAS SHIPHOLDING GROUP I | CL A NEW | 69036R863 | 51 | 13,300 | SH | SOLE | 13,300 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 428 | 19,000 | SH | SOLE | 19,000 | 0 | 0 | ||
PDL BIOPHARMA INC | NOTE 2.750%12/0 | 69329YAG9 | 2,409 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
PTC THERAPEUTICS INC | NOTE 3.000% 8/1 | 69366JAB7 | 2,978 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
PTC THERAPEUTICS INC | COM | 69366J200 | 218 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 2,070 | 9,000,000 | PRN | SOLE | 9,000,000 | 0 | 0 | ||
PRIVATEBANCORP INC | COM | 742962103 | 1,355 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 719 | 38,000 | SH | SOLE | 38,000 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 379 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 361 | 151,686 | SH | SOLE | 151,686 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 1,204 | 146,169 | SH | SOLE | 146,169 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 29,059 | 130,000 | SH | Put | SOLE | 130,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 5,327 | 90,000 | SH | Put | SOLE | 90,000 | 0 | 0 | |
ST JUDE MED INC | COM | 790849103 | 241 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
SPANISH BROADCASTING SYS INC | CL A NEW | 846425833 | 137 | 45,000 | SH | SOLE | 45,000 | 0 | 0 | ||
STEMLINE THERAPEUTICS INC | COM | 85858C107 | 268 | 25,016 | SH | SOLE | 25,016 | 0 | 0 | ||
SUFFOLK BANCORP | COM | 864739107 | 680 | 15,880 | SH | SOLE | 15,880 | 0 | 0 | ||
SUNESIS PHARMACEUTICALS INC | COM PAR | 867328700 | 437 | 120,807 | SH | SOLE | 120,807 | 0 | 0 | ||
SYNGENTA AG | SPONSORED ADR | 87160A100 | 1,313 | 16,615 | SH | SOLE | 16,615 | 0 | 0 | ||
TARGA RES CORP | COM | 87612G101 | 224 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 1,110 | 11,500 | SH | SOLE | 11,500 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 350 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
UNITED STATES OIL FUND LP | UNITS | 91232N108 | 1,172 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
VALEANT PHARMACEUTICALS INTL | COM | 91911K102 | 1,016 | 70,000 | SH | Call | SOLE | 70,000 | 0 | 0 | |
VALSPAR CORP | COM | 920355104 | 260 | 2,510 | SH | SOLE | 2,510 | 0 | 0 | ||
VANECK VECTORS ETF TR | JR GOLD MINERS E | 92189F791 | 284 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
VIVINT SOLAR INC | COM | 92854Q106 | 53 | 20,799 | SH | SOLE | 20,799 | 0 | 0 | ||
WESTAR ENERGY INC | COM | 95709T100 | 696 | 12,360 | SH | SOLE | 12,360 | 0 | 0 | ||
WHITEWAVE FOODS CO | COM | 966244105 | 1,835 | 33,000 | SH | SOLE | 33,000 | 0 | 0 | ||
YADKIN FINL CORP | COM | 984305102 | 480 | 14,000 | SH | SOLE | 14,000 | 0 | 0 |