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 |
ACORDA THERAPEUTICS INC | COM | 00484M106 | 897 | 42,700 | SH | SOLE | 42,700 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | COM | 00484M106 | 5,018 | 239,200 | SH | Put | OTR | 239,200 | 0 | 0 | |
ACORDA THERAPEUTICS INC | COM | 00484M106 | 896 | 42,700 | SH | Put | SOLE | 42,700 | 0 | 0 | |
ACORDA THERAPEUTICS INC | COM | 00484M106 | 5,023 | 239,200 | SH | OTR | 239,200 | 0 | 0 | ||
AEVI GENOMIC MEDICINE INC | COM | 00835P105 | 372 | 201,400 | SH | Call | OTR | 201,400 | 0 | 0 | |
AEVI GENOMIC MEDICINE INC | COM | 00835P105 | 66 | 35,700 | SH | Call | SOLE | 35,700 | 0 | 0 | |
ALON USA ENERGY INC | COM | 020520102 | 122 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 7,209 | 145,600 | SH | Put | OTR | 145,600 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 1,505 | 30,400 | SH | Put | SOLE | 30,400 | 0 | 0 | |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 2,587 | 2,440,000 | PRN | SOLE | 2,440,000 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 14,379 | 13,560,000 | PRN | OTR | 13,560,000 | 0 | 0 | ||
ASTORIA FINL CORP | COM | 046265104 | 308 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
AXOVANT SCIENCES LTD | COM | G0750W104 | 6,665 | 446,400 | SH | Call | OTR | 446,400 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 1,199 | 80,300 | SH | Call | SOLE | 80,300 | 0 | 0 | |
B/E AEROSPACE INC | COM | 073302101 | 898 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 374 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
CAESARS ACQUISITION CO | CL A | 12768T103 | 170 | 11,069 | SH | SOLE | 11,069 | 0 | 0 | ||
CASCADE BANCORP | COM NEW | 147154207 | 154 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
CEB INC | COM | 125134106 | 314 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
COLONY CAP INC | NOTE 3.875% 1/1 | 19624RAB2 | 9,210 | 9,319,000 | PRN | OTR | 9,319,000 | 0 | 0 | ||
COLONY CAP INC | NOTE 3.875% 1/1 | 19624RAB2 | 1,661 | 1,681,000 | PRN | SOLE | 1,681,000 | 0 | 0 | ||
COLONY NORTHSTAR INC | CL A COM | 19625W104 | 2,524 | 195,500 | SH | Put | OTR | 195,500 | 0 | 0 | |
COLONY NORTHSTAR INC | CL A COM | 19625W104 | 459 | 35,500 | SH | Put | SOLE | 35,500 | 0 | 0 | |
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 3,766 | 106,900 | SH | Call | OTR | 106,900 | 0 | 0 | |
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 676 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
DU PONT E I DE NEMOURS & CO | COM | 263534109 | 402 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
EVERBANK FINL CORP | COM | 29977G102 | 351 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
FBR & CO | COM NEW | 30247C400 | 182 | 10,073 | SH | SOLE | 10,073 | 0 | 0 | ||
FELCOR LODGING TR INC | COM | 31430F101 | 83 | 11,100 | SH | SOLE | 11,100 | 0 | 0 | ||
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 397 | 80,100 | SH | Call | SOLE | 80,100 | 0 | 0 | |
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 51 | 10,300 | SH | Put | SOLE | 10,300 | 0 | 0 | |
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 290 | 58,400 | SH | Put | OTR | 58,400 | 0 | 0 | |
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 58 | 11,700 | SH | SOLE | 11,700 | 0 | 0 | ||
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 327 | 66,100 | SH | OTR | 66,100 | 0 | 0 | ||
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 2,201 | 443,800 | SH | Call | OTR | 443,800 | 0 | 0 | |
HEADWATERS INC | COM | 42210P102 | 376 | 16,000 | SH | SOLE | 16,000 | 0 | 0 | ||
IMMUNE DESIGN CORP | COM | 45252L103 | 694 | 102,400 | SH | Call | OTR | 102,400 | 0 | 0 | |
IMMUNE DESIGN CORP | COM | 45252L103 | 120 | 17,700 | SH | Call | SOLE | 17,700 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 587 | 90,900 | SH | Call | OTR | 90,900 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 105 | 16,300 | SH | Call | SOLE | 16,300 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | COM | 45780V102 | 739 | 373,400 | SH | Call | OTR | 373,400 | 0 | 0 | |
INOTEK PHARMACEUTICALS CORP | COM | 45780V102 | 131 | 66,100 | SH | Call | SOLE | 66,100 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 4,906 | 280,500 | SH | Put | OTR | 280,500 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 873 | 49,900 | SH | Put | SOLE | 49,900 | 0 | 0 | |
INTEL CORP | SDCV 12/1 | 458140AD2 | 42,664 | 31,356,000 | PRN | OTR | 31,356,000 | 0 | 0 | ||
INTEL CORP | SDCV 12/1 | 458140AD2 | 7,679 | 5,644,000 | PRN | SOLE | 5,644,000 | 0 | 0 | ||
INVENSENSE INC | COM | 46123D205 | 265 | 21,000 | SH | SOLE | 21,000 | 0 | 0 | ||
ISLE OF CAPRI CASINOS INC | COM | 464592104 | 376 | 14,280 | SH | SOLE | 14,280 | 0 | 0 | ||
IXIA | COM | 45071R109 | 393 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
LATTICE SEMICONDUCTOR CORP | COM | 518415104 | 69 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 286 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 251 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 271 | 69,400 | SH | Call | OTR | 69,400 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 50 | 12,700 | SH | Call | SOLE | 12,700 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 247 | 63,400 | SH | Put | OTR | 63,400 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 45 | 11,600 | SH | Put | SOLE | 11,600 | 0 | 0 | |
LMI AEROSPACE INC | COM | 502079106 | 262 | 19,000 | SH | SOLE | 19,000 | 0 | 0 | ||
LULULEMON ATHLETICA INC | COM | 550021109 | 415 | 8,000 | SH | Call | SOLE | 8,000 | 0 | 0 | |
MEAD JOHNSON NUTRITION CO | COM | 582839106 | 534 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 3,603 | 124,667 | SH | OTR | 124,667 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 648 | 22,433 | SH | SOLE | 22,433 | 0 | 0 | ||
MIDDLEBURG FINANCIAL CORP | COM | 596094102 | 360 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 319 | 5,200 | SH | SOLE | 5,200 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 26,543 | 20,761,000 | PRN | OTR | 20,761,000 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 4,780 | 3,739,000 | PRN | SOLE | 3,739,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 14,710 | 12,708,000 | PRN | OTR | 12,708,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 2,653 | 2,292,000 | PRN | SOLE | 2,292,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 15,711 | 151,800 | SH | Call | OTR | 151,800 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 2,753 | 26,600 | SH | Call | SOLE | 26,600 | 0 | 0 | |
PACIFIC CONTINENTAL CORP | COM | 69412V108 | 270 | 11,000 | SH | SOLE | 11,000 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 729 | 37,891 | SH | SOLE | 37,891 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 3,043 | 157,900 | SH | Put | SOLE | 157,900 | 0 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 16,917 | 877,900 | SH | Put | OTR | 877,900 | 0 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,079 | 56,000 | SH | Call | OTR | 56,000 | 0 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 4,052 | 210,515 | SH | OTR | 210,515 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 195 | 10,100 | SH | Call | SOLE | 10,100 | 0 | 0 | |
PRIVATEBANCORP INC | COM | 742962103 | 534 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
REYNOLDS AMERICAN INC | COM | 761713106 | 1,071 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 42 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 14,844 | 208,900 | SH | Call | OTR | 208,900 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 2,622 | 36,900 | SH | Call | SOLE | 36,900 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 13,317 | 187,400 | SH | Put | OTR | 187,400 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 2,338 | 32,900 | SH | Put | SOLE | 32,900 | 0 | 0 | |
STILLWATER MNG CO | COM | 86074Q102 | 5,945 | 344,200 | SH | Put | OTR | 344,200 | 0 | 0 | |
STILLWATER MNG CO | COM | 86074Q102 | 1,068 | 61,800 | SH | Put | SOLE | 61,800 | 0 | 0 | |
STILLWATER MNG CO | NOTE 1.750%10/1 | 86074QAL6 | 8,208 | 6,175,000 | PRN | SOLE | 6,175,000 | 0 | 0 | ||
STILLWATER MNG CO | NOTE 1.750%10/1 | 86074QAL6 | 51,604 | 38,825,000 | PRN | OTR | 38,825,000 | 0 | 0 | ||
STONEGATE BK FT LAUDERDALE F | COM | 861811107 | 235 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
SUFFOLK BANCORP | COM | 864739107 | 202 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
SYNGENTA AG | SPONSORED ADR | 87160A100 | 487 | 5,500 | SH | SOLE | 5,500 | 0 | 0 | ||
SYNUTRA INTL INC | COM | 87164C102 | 90 | 15,100 | SH | SOLE | 15,100 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 96 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 86,415 | 19,493,000 | PRN | OTR | 19,493,000 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 15,547 | 3,507,000 | PRN | SOLE | 3,507,000 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 332 | 3,400 | SH | SOLE | 3,400 | 0 | 0 | ||
VALSPAR CORP | COM | 920355104 | 499 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
VCA INC | COM | 918194101 | 366 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 395 | 19,000 | SH | Put | OTR | 19,000 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 42,466 | 29,239,000 | PRN | OTR | 29,239,000 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 7,641 | 5,261,000 | PRN | SOLE | 5,261,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 86,564 | 33,897,000 | PRN | OTR | 33,897,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 15,586 | 6,103,000 | PRN | SOLE | 6,103,000 | 0 | 0 | ||
VERSARTIS INC | COM | 92529L102 | 352 | 16,500 | SH | Call | SOLE | 16,500 | 0 | 0 | |
VERSARTIS INC | COM | 92529L102 | 1,982 | 92,900 | SH | Call | OTR | 92,900 | 0 | 0 | |
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 15,373 | 8,463,000 | PRN | OTR | 8,463,000 | 0 | 0 | ||
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 2,767 | 1,523,000 | PRN | SOLE | 1,523,000 | 0 | 0 | ||
WHITEWAVE FOODS CO | COM | 966244105 | 657 | 11,700 | SH | SOLE | 11,700 | 0 | 0 | ||
WILLIAMS CLAYTON ENERGY INC | COM | 969490101 | 528 | 4,000 | SH | SOLE | 4,000 | 0 | 0 | ||
WRIGHT MED GROUP N V | RIGHT 03/01/2019 | N96617126 | 47 | 30,541 | SH | SOLE | 30,541 | 0 | 0 | ||
ZELTIQ AESTHETICS INC | COM | 98933Q108 | 306 | 5,500 | SH | SOLE | 5,500 | 0 | 0 | ||
ZOGENIX INC | COM NEW | 98978L204 | 5,067 | 468,300 | SH | Call | OTR | 468,300 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 909 | 84,000 | SH | Call | SOLE | 84,000 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 452 | 22,500 | SH | Put | SOLE | 22,500 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 1,748 | 87,000 | SH | Call | OTR | 87,000 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 309 | 15,400 | SH | Call | SOLE | 15,400 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 2,529 | 125,900 | SH | Put | OTR | 125,900 | 0 | 0 |