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 | 254 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
MULTI PACKAGING SOLUTIONS IN | COM | G6331W109 | 834 | 46,484 | SH | SOLE | 46,484 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 112 | 48,717 | SH | SOLE | 48,717 | 0 | 0 | ||
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 1,228 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 2,970 | 28,700 | SH | SOLE | 28,700 | 0 | 0 | ||
ACCELERON PHARMA INC | COM | 00434H108 | 740 | 27,970 | SH | SOLE | 27,970 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 8,075 | 9,500,000 | PRN | SOLE | 9,500,000 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | NOTE 2.000% 8/1 | 00767EAB8 | 800 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 731 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
ARRAY BIOPHARMA INC | COM | 04269X105 | 89 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
ASTORIA FINL CORP | COM | 046265104 | 371 | 18,100 | SH | SOLE | 18,100 | 0 | 0 | ||
ASTRAZENECA PLC | SPONSORED ADR | 046353108 | 3,114 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 3,774 | 160,000 | SH | Call | SOLE | 160,000 | 0 | 0 | |
BARCLAYS PLC | ADR | 06738E204 | 169 | 15,000 | SH | Call | SOLE | 15,000 | 0 | 0 | |
BARCLAYS PLC | ADR | 06738E204 | 169 | 15,000 | SH | Put | SOLE | 15,000 | 0 | 0 | |
B/E AEROSPACE INC | COM | 073302101 | 321 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 137 | 11,000 | SH | SOLE | 11,000 | 0 | 0 | ||
CBRE GROUP INC | CL A | 12504L109 | 287 | 8,240 | SH | SOLE | 8,240 | 0 | 0 | ||
CEB INC | COM | 125134106 | 393 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
CIGNA CORPORATION | COM | 125509109 | 439 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
CST BRANDS INC | COM | 12646R105 | 673 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
CVS HEALTH CORP | COM | 126650100 | 754 | 9,600 | SH | Call | SOLE | 9,600 | 0 | 0 | |
CVS HEALTH CORP | COM | 126650100 | 754 | 9,600 | SH | Put | SOLE | 9,600 | 0 | 0 | |
CABELAS INC | COM | 126804301 | 1,508 | 28,400 | SH | SOLE | 28,400 | 0 | 0 | ||
CARDINAL FINL CORP | COM | 14149F109 | 470 | 15,700 | SH | SOLE | 15,700 | 0 | 0 | ||
CASCADIAN THERAPEUTICS INC | COM NEW | 14740B606 | 75 | 18,190 | SH | SOLE | 18,190 | 0 | 0 | ||
CHEMTURA CORP | COM NEW | 163893209 | 1,069 | 32,000 | SH | SOLE | 32,000 | 0 | 0 | ||
CITIGROUP INC | COM NEW | 172967424 | 7,178 | 120,000 | SH | Call | SOLE | 120,000 | 0 | 0 | |
CURIS INC | COM | 231269101 | 564 | 202,905 | SH | SOLE | 202,905 | 0 | 0 | ||
DOW CHEM CO | COM | 260543103 | 457 | 7,200 | SH | SOLE | 7,200 | 0 | 0 | ||
ENTRAVISION COMMUNICATIONS C | CL A | 29382R107 | 156 | 25,195 | SH | SOLE | 25,195 | 0 | 0 | ||
EVERBANK FINL CORP | COM | 29977G102 | 729 | 37,409 | SH | SOLE | 37,409 | 0 | 0 | ||
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 1,977 | 30,000 | SH | Put | SOLE | 30,000 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 820 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
FATE THERAPEUTICS INC | COM | 31189P102 | 682 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 983 | 27,200 | SH | SOLE | 27,200 | 0 | 0 | ||
FORTRESS INVESTMENT GROUP LL | CL A | 34958B106 | 1,408 | 177,123 | SH | SOLE | 177,123 | 0 | 0 | ||
GAS NAT INC | COM | 367204104 | 318 | 25,005 | SH | SOLE | 25,005 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 6,011 | 170,000 | SH | Call | SOLE | 170,000 | 0 | 0 | |
GILEAD SCIENCES INC | COM | 375558103 | 3,396 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
GLOBALSTAR INC | NOTE 8.000% 4/0 | 378973AD3 | 1,328 | 480,372 | PRN | SOLE | 480,372 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 460 | 287,209 | SH | SOLE | 287,209 | 0 | 0 | ||
HEADWATERS INC | COM | 42210P102 | 559 | 23,818 | SH | SOLE | 23,818 | 0 | 0 | ||
HECLA MNG CO | COM | 422704106 | 106 | 20,087 | SH | SOLE | 20,087 | 0 | 0 | ||
HERITAGE OAKS BANCORP | COM | 42724R107 | 179 | 13,422 | SH | SOLE | 13,422 | 0 | 0 | ||
HUMANA INC | COM | 444859102 | 1,326 | 6,434 | SH | SOLE | 6,434 | 0 | 0 | ||
IXIA | COM | 45071R109 | 236 | 12,000 | SH | SOLE | 12,000 | 0 | 0 | ||
IGNYTA INC | COM | 451731103 | 460 | 53,489 | SH | SOLE | 53,489 | 0 | 0 | ||
IMMUNOMEDICS INC | COM | 452907108 | 194 | 30,000 | SH | Call | SOLE | 30,000 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | NOTE 5.750% 8/0 | 45780VAB8 | 590 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
INTERNATIONAL BUSINESS MACHS | COM | 459200101 | 1,306 | 7,500 | SH | Call | SOLE | 7,500 | 0 | 0 | |
INVENSENSE INC | COM | 46123D205 | 183 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 34,370 | 250,000 | SH | Put | SOLE | 250,000 | 0 | 0 | |
JA SOLAR HOLDINGS CO LTD | SPON ADR REP5ORD | 466090206 | 92 | 14,109 | SH | SOLE | 14,109 | 0 | 0 | ||
JANUS CAP GROUP INC | COM | 47102X105 | 739 | 56,000 | SH | SOLE | 56,000 | 0 | 0 | ||
KADMON HLDGS INC | COM | 48283N106 | 4,512 | 1,246,456 | SH | SOLE | 1,246,456 | 0 | 0 | ||
L BRANDS INC | COM | 501797104 | 519 | 11,019 | SH | SOLE | 11,019 | 0 | 0 | ||
LMI AEROSPACE INC | COM | 502079106 | 240 | 17,430 | SH | SOLE | 17,430 | 0 | 0 | ||
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 286 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
MSCI INC | COM | 55354G100 | 408 | 4,200 | SH | SOLE | 4,200 | 0 | 0 | ||
MEAD JOHNSON NUTRITION CO | COM | 582839106 | 3,373 | 37,864 | SH | SOLE | 37,864 | 0 | 0 | ||
METALDYNE PERFORMANCE GROUP | COM | 59116R107 | 231 | 10,100 | SH | SOLE | 10,100 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 2,312 | 80,000 | SH | Call | SOLE | 80,000 | 0 | 0 | |
MIDCOAST ENERGY PARTNERS L P | COM UT LTD PTN | 59564N103 | 255 | 31,700 | SH | SOLE | 31,700 | 0 | 0 | ||
MONEYGRAM INTL INC | COM NEW | 60935Y208 | 577 | 34,308 | SH | SOLE | 34,308 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 2,887 | 25,500 | SH | SOLE | 25,500 | 0 | 0 | ||
NII HLDGS INC | COM PAR $0.001 | 62913F508 | 459 | 353,000 | SH | SOLE | 353,000 | 0 | 0 | ||
NEUSTAR INC | CL A | 64126X201 | 265 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
NEW GOLD INC CDA | COM | 644535106 | 79 | 26,518 | SH | SOLE | 26,518 | 0 | 0 | ||
NIKE INC | CL B | 654106103 | 279 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
NIKE INC | CL B | 654106103 | 279 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
NIMBLE STORAGE INC | COM | 65440R101 | 762 | 61,000 | SH | SOLE | 61,000 | 0 | 0 | ||
ONEOK PARTNERS LP | UNIT LTD PARTN | 68268N103 | 459 | 8,500 | SH | SOLE | 8,500 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | NOTE 2.750%12/0 | 686164AC8 | 4,883 | 9,401,000 | PRN | SOLE | 9,401,000 | 0 | 0 | ||
OREXIGEN THERAPEUTICS INC | COM NEW | 686164302 | 304 | 88,269 | SH | SOLE | 88,269 | 0 | 0 | ||
OVERSEAS SHIPHOLDING GROUP I | CL A NEW | 69036R863 | 88 | 22,700 | SH | SOLE | 22,700 | 0 | 0 | ||
PDVWIRELESS INC | COM | 69290R104 | 415 | 19,000 | SH | SOLE | 19,000 | 0 | 0 | ||
PDL BIOPHARMA INC | NOTE 2.750%12/0 | 69329YAG9 | 3,473 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
PTC THERAPEUTICS INC | NOTE 3.000% 8/1 | 69366JAB7 | 3,141 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
PACIFIC CONTINENTAL CORP | COM | 69412V108 | 368 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 1,530 | 9,000,000 | PRN | SOLE | 9,000,000 | 0 | 0 | ||
POWERSHS DB US DOLLAR INDEX | DOLL INDX BULL | 73936D107 | 1,298 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
PRIVATEBANCORP INC | COM | 742962103 | 356 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
PRUDENTIAL FINL INC | COM | 744320102 | 384 | 3,600 | SH | SOLE | 3,600 | 0 | 0 | ||
RETROPHIN INC | COM | 761299106 | 812 | 44,000 | SH | SOLE | 44,000 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 563 | 170,000 | SH | SOLE | 170,000 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 400 | 94,169 | SH | SOLE | 94,169 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 3,300 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 44,201 | 187,500 | SH | Put | SOLE | 187,500 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 8,182 | 118,000 | SH | Put | SOLE | 118,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 10,031 | 134,900 | SH | Put | SOLE | 134,900 | 0 | 0 | |
SILVER BAY RLTY TR CORP | COM | 82735Q102 | 335 | 15,608 | SH | SOLE | 15,608 | 0 | 0 | ||
STEMLINE THERAPEUTICS INC | COM | 85858C107 | 201 | 23,530 | SH | SOLE | 23,530 | 0 | 0 | ||
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 288 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
SUFFOLK BANCORP | COM | 864739107 | 642 | 15,880 | SH | SOLE | 15,880 | 0 | 0 | ||
SUCAMPO PHARMACEUTICALS INC | DBCV 3.250%12/1 | 864909AA4 | 5,936 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
SUNESIS PHARMACEUTICALS INC | COM PAR | 867328700 | 492 | 119,881 | SH | SOLE | 119,881 | 0 | 0 | ||
SYNGENTA AG | SPONSORED ADR | 87160A100 | 1,470 | 16,615 | SH | SOLE | 16,615 | 0 | 0 | ||
TARGET CORP | COM | 87612E106 | 287 | 5,200 | SH | SOLE | 5,200 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 638 | 133,000 | SH | SOLE | 133,000 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 1,710 | 17,500 | SH | SOLE | 17,500 | 0 | 0 | ||
UNITED STATES OIL FUND LP | UNITS | 91232N108 | 638 | 60,000 | SH | Put | SOLE | 60,000 | 0 | 0 | |
UNITEDHEALTH GROUP INC | COM | 91324P102 | 2,291 | 13,966 | SH | SOLE | 13,966 | 0 | 0 | ||
VCA INC | COM | 918194101 | 2,507 | 27,400 | SH | SOLE | 27,400 | 0 | 0 | ||
VALSPAR CORP | COM | 920355104 | 278 | 2,510 | SH | SOLE | 2,510 | 0 | 0 | ||
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 244 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 244 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
WGL HLDGS INC | COM | 92924F106 | 1,098 | 13,309 | SH | SOLE | 13,309 | 0 | 0 | ||
WAL-MART STORES INC | COM | 931142103 | 360 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
WAL-MART STORES INC | COM | 931142103 | 360 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
WESTAR ENERGY INC | COM | 95709T100 | 725 | 13,360 | SH | SOLE | 13,360 | 0 | 0 | ||
WHITEWAVE FOODS CO | COM | 966244105 | 1,853 | 33,000 | SH | SOLE | 33,000 | 0 | 0 | ||
ZELTIQ AESTHETICS INC | COM | 98933Q108 | 1,112 | 20,000 | SH | SOLE | 20,000 | 0 | 0 |