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 |
ASPEN INSURANCE HOLDINGS LTD | SHS | G05384105 | 230 | 5,500 | SH | SOLE | 5,500 | 0 | 0 | ||
MEDTRONIC PLC | SHS | G5960L103 | 984 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
MEIRAGTX HOLDINGS PLC | COM | G59665102 | 250 | 18,399 | SH | SOLE | 18,399 | 0 | 0 | ||
OCEAN RIG UDW INC | COM CL A | G66964118 | 256 | 7,400 | SH | SOLE | 7,400 | 0 | 0 | ||
CERAGON NETWORKS LTD | ORD | M22013102 | 399 | 118,539 | SH | SOLE | 118,539 | 0 | 0 | ||
ORBOTECH LTD | ORD | M75253100 | 761 | 12,800 | SH | SOLE | 12,800 | 0 | 0 | ||
SODASTREAM INTERNATIONAL LTD | USD SHS | M9068E105 | 286 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
AFFIMED N V | COM | N01045108 | 812 | 186,679 | SH | SOLE | 186,679 | 0 | 0 | ||
MYLAN N V | SHS EURO | N59465109 | 3,843 | 105,000 | SH | Call | SOLE | 105,000 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 1,616 | 18,900 | SH | SOLE | 18,900 | 0 | 0 | ||
AMAG PHARMACEUTICALS INC | NOTE 3.250% 6/0 | 00163UAD8 | 1,050 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 319 | 9,500 | SH | SOLE | 9,500 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 709 | 7,500 | SH | Put | SOLE | 7,500 | 0 | 0 | |
ACLARIS THERAPEUTICS INC | COM | 00461U105 | 610 | 42,000 | SH | SOLE | 42,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 3,376 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | COM | 00484M106 | 295 | 15,000 | SH | Put | SOLE | 15,000 | 0 | 0 | |
AETNA INC NEW | COM | 00817Y108 | 3,367 | 16,600 | SH | SOLE | 16,600 | 0 | 0 | ||
ALAMOS GOLD INC NEW | COM CL A | 011532108 | 68 | 14,825 | SH | SOLE | 14,825 | 0 | 0 | ||
ALNYLAM PHARMACEUTICALS INC | COM | 02043Q107 | 875 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 1,193 | 1,000 | SH | Call | SOLE | 1,000 | 0 | 0 | |
ALPHABET INC | CAP STK CL C | 02079K107 | 1,193 | 1,000 | SH | Put | SOLE | 1,000 | 0 | 0 | |
AMTRUST FINL SVCS INC | COM | 032359309 | 218 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ANDEAVOR | COM | 03349M105 | 2,932 | 19,100 | SH | SOLE | 19,100 | 0 | 0 | ||
AQUINOX PHARMACEUTICALS INC | COM | 03842B101 | 133 | 45,470 | SH | SOLE | 45,470 | 0 | 0 | ||
AUTOMATIC DATA PROCESSING IN | COM | 053015103 | 301 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
AVISTA CORP | COM | 05379B107 | 814 | 16,097 | SH | SOLE | 16,097 | 0 | 0 | ||
BANCO SANTANDER SA | ADR | 05964H105 | 500 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
BARCLAYS PLC | ADR | 06738E204 | 448 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
BARRICK GOLD CORP | COM | 067901108 | 166 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
BELLEROPHON THERAPEUTICS INC | COM | 078771102 | 73 | 67,660 | SH | SOLE | 67,660 | 0 | 0 | ||
BOX INC | CL A | 10316T104 | 598 | 25,000 | SH | Call | SOLE | 25,000 | 0 | 0 | |
CELLDEX THERAPEUTICS INC NEW | COM | 15117B103 | 84 | 186,200 | SH | SOLE | 186,200 | 0 | 0 | ||
CONNECTICUT WTR SVC INC | COM | 207797101 | 468 | 6,740 | SH | SOLE | 6,740 | 0 | 0 | ||
COREPOINT LODGING INC | COM | 21872L104 | 330 | 16,978 | SH | SOLE | 16,978 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 57 | 32,212 | SH | SOLE | 32,212 | 0 | 0 | ||
DERMIRA INC | NOTE 3.000% 5/1 | 24983LAB0 | 2,946 | 3,550,000 | PRN | SOLE | 3,550,000 | 0 | 0 | ||
DISNEY WALT CO | COM DISNEY | 254687106 | 877 | 7,500 | SH | Call | SOLE | 7,500 | 0 | 0 | |
DISNEY WALT CO | COM DISNEY | 254687106 | 877 | 7,500 | SH | Put | SOLE | 7,500 | 0 | 0 | |
DOMINION ENERGY INC | COM | 25746U109 | 422 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
EIGER BIOPHARMACEUTICALS INC | COM | 28249U105 | 456 | 38,000 | SH | SOLE | 38,000 | 0 | 0 | ||
ESSENDANT INC | COM | 296689102 | 130 | 10,126 | SH | SOLE | 10,126 | 0 | 0 | ||
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 1,083 | 11,400 | SH | SOLE | 11,400 | 0 | 0 | ||
EXXON MOBIL CORP | COM | 30231G102 | 850 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
EXXON MOBIL CORP | COM | 30231G102 | 850 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
FIFTH THIRD BANCORP | COM | 316773100 | 223 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
FLEX PHARMA INC | COM | 33938A105 | 44 | 93,791 | SH | SOLE | 93,791 | 0 | 0 | ||
FOREST CITY RLTY TR INC | COM CL A | 345605109 | 204 | 8,116 | SH | SOLE | 8,116 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 144 | 12,760 | SH | SOLE | 12,760 | 0 | 0 | ||
GENERAL ELECTRIC CO | COM | 369604103 | 113 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
GENERAL ELECTRIC CO | COM | 369604103 | 113 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
GENERAL MTRS CO | COM | 37045V100 | 673 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
GENERAL MTRS CO | COM | 37045V100 | 4,377 | 130,000 | SH | Call | SOLE | 130,000 | 0 | 0 | |
GENWORTH FINL INC | COM CL A | 37247D106 | 46 | 11,100 | SH | SOLE | 11,100 | 0 | 0 | ||
GLOBALSTAR INC | NOTE 5.750% 4/0 | 378973AD3 | 423 | 496,766 | PRN | SOLE | 496,766 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 636 | 1,251,396 | SH | SOLE | 1,251,396 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 3,050 | 13,600 | SH | SOLE | 13,600 | 0 | 0 | ||
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 1,121 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
GOLDMAN SACHS GROUP INC | COM | 38141G104 | 1,121 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
GOVERNMENT PPTYS INCOME TR | COM SHS BEN INT | 38376A103 | 295 | 26,115 | SH | SOLE | 26,115 | 0 | 0 | ||
HARTFORD FINL SVCS GROUP INC | COM | 416515104 | 210 | 4,201 | SH | SOLE | 4,201 | 0 | 0 | ||
IMMUNE DESIGN CORP | COM | 45252L103 | 274 | 79,555 | SH | SOLE | 79,555 | 0 | 0 | ||
IMMUNOGEN INC | COM | 45253H101 | 474 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
INTEGRATED DEVICE TECHNOLOGY | COM | 458118106 | 406 | 8,633 | SH | SOLE | 8,633 | 0 | 0 | ||
INVUITY INC | COM NEW | 46187J205 | 148 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 687 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 858 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 858 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 19,383 | 115,000 | SH | Put | SOLE | 115,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 28,525 | 330,000 | SH | Put | SOLE | 330,000 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 691 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
JOHNSON & JOHNSON | COM | 478160104 | 691 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
KLX INC | COM | 482539103 | 885 | 14,100 | SH | SOLE | 14,100 | 0 | 0 | ||
K2M GROUP HLDGS INC | COM | 48273J107 | 205 | 7,497 | SH | SOLE | 7,497 | 0 | 0 | ||
KADMON HLDGS INC | COM | 48283N106 | 4,870 | 1,458,172 | SH | SOLE | 1,458,172 | 0 | 0 | ||
KALVISTA PHARMACEUTICALS INC | COM | 483497103 | 354 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
LASALLE HOTEL PPTYS | COM SH BEN INT | 517942108 | 225 | 6,500 | SH | SOLE | 6,500 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 1,357 | 30,000 | SH | Call | SOLE | 30,000 | 0 | 0 | |
MONEYGRAM INTL INC | COM NEW | 60935Y208 | 262 | 48,968 | SH | SOLE | 48,968 | 0 | 0 | ||
NETFLIX INC | COM | 64110L106 | 1,871 | 5,000 | SH | Put | SOLE | 5,000 | 0 | 0 | |
NOVAVAX INC | NOTE 3.750% 2/0 | 670002AB0 | 4,101 | 6,750,000 | PRN | SOLE | 6,750,000 | 0 | 0 | ||
NOVAVAX INC | COM | 670002104 | 320 | 170,000 | SH | Call | SOLE | 170,000 | 0 | 0 | |
NXSTAGE MEDICAL INC | COM | 67072V103 | 282 | 10,128 | SH | SOLE | 10,128 | 0 | 0 | ||
PERNIX THERAPEUTICS HLDGS IN | DBCV 4.250% 4/0 | 71426VAK4 | 4,131 | 10,000,000 | PRN | SOLE | 10,000,000 | 0 | 0 | ||
PFIZER INC | COM | 717081103 | 820 | 18,600 | SH | Put | SOLE | 18,600 | 0 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 681 | 10,500 | SH | SOLE | 10,500 | 0 | 0 | ||
RENT A CTR INC NEW | COM | 76009N100 | 259 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
RETROPHIN INC | NOTE 2.500% 9/1 | 761299AB2 | 2,049 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 388 | 121,000 | SH | SOLE | 121,000 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 51 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 1,208 | 8,600 | SH | SOLE | 8,600 | 0 | 0 | ||
ROSEHILL RES INC | CL A | 777385105 | 152 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
ROSEHILL RES INC | *W EXP 09/16/202 | 777385113 | 370 | 325,000 | SH | SOLE | 325,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 7,268 | 25,000 | SH | Call | SOLE | 25,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 18,897 | 65,000 | SH | Put | SOLE | 65,000 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 1,466 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
SPDR SERIES TRUST | S&P OILGAS EXP | 78464A730 | 216 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 25,597 | 267,000 | SH | Put | SOLE | 267,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 14,748 | 155,000 | SH | Put | SOLE | 155,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 227 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
SENOMYX INC | COM | 81724Q107 | 15 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SENSEONICS HLDGS INC | NOTE 5.250% 2/0 | 81727UAA3 | 2,435 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
SONIC CORP | COM | 835451105 | 217 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
SPARTON CORP | COM | 847235108 | 652 | 45,205 | SH | SOLE | 45,205 | 0 | 0 | ||
SPECTRA ENERGY PARTNERS LP | COM | 84756N109 | 214 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
STRYKER CORP | COM | 863667101 | 215 | 1,210 | SH | SOLE | 1,210 | 0 | 0 | ||
SUNESIS PHARMACEUTICALS INC | COM PAR | 867328700 | 102 | 50,759 | SH | SOLE | 50,759 | 0 | 0 | ||
SYNERGY PHARMACEUTICALS DEL | COM NEW | 871639308 | 136 | 80,000 | SH | SOLE | 80,000 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 186 | 23,053 | SH | SOLE | 23,053 | 0 | 0 | ||
TRACON PHARMACEUTICALS INC | COM | 89237H100 | 782 | 381,409 | SH | SOLE | 381,409 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 538 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
VACCINEX INC | COM | 918640103 | 85 | 11,654 | SH | SOLE | 11,654 | 0 | 0 | ||
VANECK VECTORS ETF TR | GOLD MINERS ETF | 92189F106 | 1,298 | 70,100 | SH | SOLE | 70,100 | 0 | 0 | ||
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 2,661 | 25,000 | SH | Put | SOLE | 25,000 | 0 | 0 | |
VERIZON COMMUNICATIONS INC | COM | 92343V104 | 8,008 | 150,000 | SH | Call | SOLE | 150,000 | 0 | 0 | |
VIEWRAY INC | COM | 92672L107 | 1,198 | 128,000 | SH | SOLE | 128,000 | 0 | 0 | ||
VIEWRAY INC | COM | 92672L107 | 468 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
VULCAN MATLS CO | COM | 929160109 | 278 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
XERIUM TECHNOLOGIES INC | COM NEW | 98416J118 | 375 | 27,842 | SH | SOLE | 27,842 | 0 | 0 | ||
XTANT MED HLDGS INC | COM NEW | 98420P308 | 2,825 | 733,747 | SH | SOLE | 733,747 | 0 | 0 | ||
ZOSANO PHARMA CORP | COM NEW | 98979H202 | 650 | 158,971 | SH | SOLE | 158,971 | 0 | 0 |