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 |
AKORN INC | COM | 009728106 | 332 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ALERE INC | COM | 01449J105 | 637 | 12,500 | SH | SOLE | 12,500 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 8,269 | 157,600 | SH | Put | OTR | 157,600 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 1,307 | 24,900 | SH | Put | SOLE | 24,900 | 0 | 0 | |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 15,016 | 13,840,000 | PRN | OTR | 13,840,000 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 2,344 | 2,160,000 | PRN | SOLE | 2,160,000 | 0 | 0 | ||
ASB BANCORP INC N C | COM | 00213T109 | 361 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
ASTORIA FINL CORP | COM | 046265104 | 340 | 15,795 | SH | SOLE | 15,795 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 391 | 10,000 | SH | Put | SOLE | 10,000 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 8,796 | 1,278,500 | SH | Call | OTR | 1,278,500 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 1,353 | 196,700 | SH | Call | SOLE | 196,700 | 0 | 0 | |
BARD C R INC | COM | 067383109 | 801 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 22,047 | 346,000 | SH | Call | OTR | 346,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 3,441 | 54,000 | SH | Call | SOLE | 54,000 | 0 | 0 | |
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 239 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
CAESARS ACQUISITION CO | CL A | 12768T103 | 395 | 18,400 | SH | SOLE | 18,400 | 0 | 0 | ||
CAPITAL BK FINL CORP | CL A COM | 139794101 | 575 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
CHANGYOU COM LTD | ADS REP CL A | 15911M107 | 288 | 7,278 | SH | SOLE | 7,278 | 0 | 0 | ||
CHART INDS INC | NOTE 2.000% 8/0 | 16115QAC4 | 675 | 676,000 | PRN | SOLE | 676,000 | 0 | 0 | ||
CHART INDS INC | NOTE 2.000% 8/0 | 16115QAC4 | 4,319 | 4,324,000 | PRN | OTR | 4,324,000 | 0 | 0 | ||
CU BANCORP CALIF | COM | 126534106 | 504 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 1,930 | 45,500 | SH | Call | OTR | 45,500 | 0 | 0 | |
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 335 | 7,900 | SH | Call | SOLE | 7,900 | 0 | 0 | |
DERMIRA INC | COM | 24983L104 | 2,879 | 106,600 | SH | Put | OTR | 106,600 | 0 | 0 | |
DERMIRA INC | COM | 24983L104 | 365 | 13,500 | SH | Put | SOLE | 13,500 | 0 | 0 | |
DIMENSION THERAPEUTICS INC | COM | 25433V105 | 150 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | 223 | 11,000 | SH | Put | SOLE | 11,000 | 0 | 0 | |
DOMINION DIAMOND CORP | COM | 257287102 | 355 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
DYNEGY INC NEW DEL | COM | 26817R108 | 377 | 38,500 | SH | Put | OTR | 38,500 | 0 | 0 | |
DYNEGY INC NEW DEL | UNIT 07/01/20191 | 26817R405 | 4,384 | 64,875 | SH | OTR | 64,875 | 0 | 0 | ||
DYNEGY INC NEW DEL | UNIT 07/01/20191 | 26817R405 | 684 | 10,125 | SH | SOLE | 10,125 | 0 | 0 | ||
FIBROGEN INC | COM | 31572Q808 | 2,645 | 49,200 | SH | Call | OTR | 49,200 | 0 | 0 | |
FIBROGEN INC | COM | 31572Q808 | 419 | 7,800 | SH | Call | SOLE | 7,800 | 0 | 0 | |
FINISAR CORP | COM NEW | 31787A507 | 472 | 21,300 | SH | Put | OTR | 21,300 | 0 | 0 | |
FINISAR CORP | COM NEW | 31787A507 | 1,599 | 72,140 | SH | OTR | 72,140 | 0 | 0 | ||
FINISAR CORP | COM NEW | 31787A507 | 250 | 11,260 | SH | SOLE | 11,260 | 0 | 0 | ||
FIRST SOUTH BANCORP INC VA | COM | 33646W100 | 278 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
GENERAL COMMUNICATION INC | CL A | 369385109 | 306 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
GLOBALSTAR INC | COM | 378973408 | 41 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
IMMUNOMEDICS INC | COM | 452907108 | 8,708 | 622,900 | SH | Call | OTR | 622,900 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 1,362 | 97,400 | SH | Call | SOLE | 97,400 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 7,520 | 537,900 | SH | Put | OTR | 537,900 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 1,173 | 83,900 | SH | Put | SOLE | 83,900 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 1,151 | 36,890 | SH | SOLE | 36,890 | 0 | 0 | ||
INSMED INC | COM PAR $.01 | 457669307 | 1,728 | 55,400 | SH | Put | SOLE | 55,400 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 10,025 | 321,300 | SH | Put | OTR | 321,300 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 5,619 | 180,100 | SH | Call | OTR | 180,100 | 0 | 0 | |
INSMED INC | COM PAR $.01 | 457669307 | 6,358 | 203,710 | SH | OTR | 203,710 | 0 | 0 | ||
INSMED INC | COM PAR $.01 | 457669307 | 1,026 | 32,900 | SH | Call | SOLE | 32,900 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 13,103 | 344,000 | SH | Put | OTR | 344,000 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 2,133 | 56,000 | SH | Put | SOLE | 56,000 | 0 | 0 | |
INTEL CORP | SDCV 2.950%12/1 | 458140AD2 | 48,677 | 34,171,000 | PRN | OTR | 34,171,000 | 0 | 0 | ||
INTEL CORP | SDCV 2.950%12/1 | 458140AD2 | 7,591 | 5,329,000 | PRN | SOLE | 5,329,000 | 0 | 0 | ||
INTEL CORP | SDCV 3.250% 8/0 | 458140AF7 | 62,862 | 34,164,000 | PRN | OTR | 34,164,000 | 0 | 0 | ||
INTEL CORP | SDCV 3.250% 8/0 | 458140AF7 | 9,818 | 5,336,000 | PRN | SOLE | 5,336,000 | 0 | 0 | ||
INVACARE CORP | COM | 461203101 | 4,473 | 284,500 | SH | Put | OTR | 284,500 | 0 | 0 | |
INVACARE CORP | COM | 461203101 | 768 | 48,800 | SH | Put | SOLE | 48,800 | 0 | 0 | |
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 17,106 | 14,270,000 | PRN | OTR | 14,270,000 | 0 | 0 | ||
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 2,673 | 2,230,000 | PRN | SOLE | 2,230,000 | 0 | 0 | ||
IXYS CORP | COM | 46600W106 | 403 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
KITE PHARMA INC | COM | 49803L109 | 701 | 3,900 | SH | SOLE | 3,900 | 0 | 0 | ||
LANDAUER INC | COM | 51476K103 | 236 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
LANNET INC | COM | 516012101 | 5,313 | 287,500 | SH | Put | OTR | 287,500 | 0 | 0 | |
LANNET INC | COM | 516012101 | 957 | 51,800 | SH | Put | SOLE | 51,800 | 0 | 0 | |
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 1,013 | 19,000 | SH | SOLE | 19,000 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 1,378 | 347,119 | SH | OTR | 347,119 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 215 | 54,176 | SH | SOLE | 54,176 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 1,393 | 351,700 | SH | Put | OTR | 351,700 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 231 | 58,300 | SH | Put | SOLE | 58,300 | 0 | 0 | |
MAXPOINT INTERACTIVE INC | COM NEW | 57777M201 | 208 | 15,001 | SH | SOLE | 15,001 | 0 | 0 | ||
MEDICINOVA INC | COM NEW | 58468P206 | 279 | 43,800 | SH | Put | OTR | 43,800 | 0 | 0 | |
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 5,855 | 3,376,000 | PRN | SOLE | 3,376,000 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 37,505 | 21,624,000 | PRN | OTR | 21,624,000 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 1,141 | 141,341 | SH | OTR | 141,341 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 142 | 17,559 | SH | SOLE | 17,559 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 752 | 93,300 | SH | Call | OTR | 93,300 | 0 | 0 | |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 715 | 88,600 | SH | Put | OTR | 88,600 | 0 | 0 | |
NABORS INDUSTRIES LTD | SHS | G6359F103 | 92 | 11,400 | SH | Put | SOLE | 11,400 | 0 | 0 | |
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 5,658 | 92,331 | SH | OTR | 92,331 | 0 | 0 | ||
NEUROCRINE BIOSCIENCES INC | COM | 64125C109 | 703 | 11,469 | SH | SOLE | 11,469 | 0 | 0 | ||
NEURODERM LTD | ORD SHS | M74231107 | 739 | 19,000 | SH | SOLE | 19,000 | 0 | 0 | ||
NUMEREX CORP PA | CL A | 67053A102 | 38 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 6,532 | 5,398,000 | PRN | SOLE | 5,398,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 41,868 | 34,602,000 | PRN | OTR | 34,602,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 33,799 | 298,900 | SH | Call | OTR | 298,900 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 5,247 | 46,400 | SH | Call | SOLE | 46,400 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 16,182 | 143,100 | SH | Put | OTR | 143,100 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 2,544 | 22,500 | SH | Put | SOLE | 22,500 | 0 | 0 | |
ORBITAL ATK INC | COM | 68557N103 | 266 | 2,000 | SH | SOLE | 2,000 | 0 | 0 | ||
OTONOMY INC | COM | 68906L105 | 665 | 204,684 | SH | OTR | 204,684 | 0 | 0 | ||
OTONOMY INC | COM | 68906L105 | 123 | 37,916 | SH | SOLE | 37,916 | 0 | 0 | ||
OVERSTOCK COM INC DEL | COM | 690370101 | 1,738 | 58,535 | SH | OTR | 58,535 | 0 | 0 | ||
OVERSTOCK COM INC DEL | COM | 690370101 | 271 | 9,135 | SH | SOLE | 9,135 | 0 | 0 | ||
OVERSTOCK COM INC DEL | COM | 690370101 | 35,209 | 1,184,300 | SH | Call | OTR | 1,184,300 | 0 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 5,491 | 184,700 | SH | Call | SOLE | 184,700 | 0 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 17,924 | 602,900 | SH | Put | OTR | 602,900 | 0 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 2,640 | 88,800 | SH | Put | SOLE | 88,800 | 0 | 0 | |
PACIFIC CONTINENTAL CORP | COM | 69412V108 | 490 | 18,200 | SH | SOLE | 18,200 | 0 | 0 | ||
PARAGON COML CORP | COM NEW | 69911U403 | 282 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
PAREXEL INTL CORP | COM | 699462107 | 705 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
PROSHARES TR | SHRT RUSSELL2000 | 74348A210 | 262 | 6,000 | SH | SOLE | 6,000 | 0 | 0 | ||
PTC THERAPEUTICS INC | COM | 69366J200 | 10,602 | 529,837 | SH | OTR | 529,837 | 0 | 0 | ||
PTC THERAPEUTICS INC | COM | 69366J200 | 1,655 | 82,706 | SH | SOLE | 82,706 | 0 | 0 | ||
PTC THERAPEUTICS INC | COM | 69366J200 | 30,032 | 1,500,100 | SH | Put | OTR | 1,500,100 | 0 | 0 | |
PTC THERAPEUTICS INC | COM | 69366J200 | 4,709 | 235,200 | SH | Put | SOLE | 235,200 | 0 | 0 | |
RICE ENERGY INC | COM | 762760106 | 446 | 15,400 | SH | SOLE | 15,400 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 20 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
RUBY TUESDAY INC | COM | 781182100 | 21 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SCICLONE PHARMACEUTICALS INC | COM | 80862K104 | 308 | 27,500 | SH | SOLE | 27,500 | 0 | 0 | ||
SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | 773 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
SINOVAC BIOTECH LTD | SHS | P8696W104 | 106 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
SOUTHWEST BANCORP INC OKLA | COM | 844767103 | 241 | 8,752 | SH | SOLE | 8,752 | 0 | 0 | ||
SPARTON CORP | COM | 847235108 | 384 | 16,554 | SH | SOLE | 16,554 | 0 | 0 | ||
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 813 | 4,500 | SH | SOLE | 4,500 | 0 | 0 | ||
TERRAFORM GLOBAL INC | CL A | 88104M101 | 99 | 20,795 | SH | SOLE | 20,795 | 0 | 0 | ||
TERRAFORM PWR INC | CL A COM | 88104R100 | 132 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 75,170 | 20,072,000 | PRN | OTR | 20,072,000 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 11,729 | 3,132,000 | PRN | SOLE | 3,132,000 | 0 | 0 | ||
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 199 | 11,328 | SH | SOLE | 11,328 | 0 | 0 | ||
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 380 | 21,600 | SH | Call | OTR | 21,600 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 2,247 | 127,700 | SH | Put | OTR | 127,700 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 257 | 14,600 | SH | Put | SOLE | 14,600 | 0 | 0 | |
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 1,277 | 72,572 | SH | OTR | 72,572 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 1,025 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 592 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 3,541 | 172,900 | SH | Put | OTR | 172,900 | 0 | 0 | |
VECTOR GROUP LTD | COM | 92240M108 | 555 | 27,100 | SH | Put | SOLE | 27,100 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 50,350 | 34,168,000 | PRN | OTR | 34,168,000 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 7,857 | 5,332,000 | PRN | SOLE | 5,332,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 121,979 | 39,141,000 | PRN | OTR | 39,141,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 19,038 | 6,109,000 | PRN | SOLE | 6,109,000 | 0 | 0 | ||
VERSARTIS INC | COM | 92529L102 | 1,165 | 481,600 | SH | Call | OTR | 481,600 | 0 | 0 | |
VERSARTIS INC | COM | 92529L102 | 207 | 85,700 | SH | Call | SOLE | 85,700 | 0 | 0 | |
VWR CORP | COM | 91843L103 | 331 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 15,756 | 7,988,000 | PRN | OTR | 7,988,000 | 0 | 0 | ||
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 2,456 | 1,245,000 | PRN | SOLE | 1,245,000 | 0 | 0 | ||
WEST CORP | COM | 952355204 | 493 | 21,000 | SH | SOLE | 21,000 | 0 | 0 | ||
WOLVERINE BANCORP INC | COM | 977880103 | 335 | 7,800 | SH | SOLE | 7,800 | 0 | 0 | ||
YAHOO INC | NOTE 12/0 | 984332AF3 | 33,168 | 25,514,000 | PRN | OTR | 25,514,000 | 0 | 0 | ||
YAHOO INC | NOTE 12/0 | 984332AF3 | 5,182 | 3,986,000 | PRN | SOLE | 3,986,000 | 0 | 0 | ||
YUME INC | COM | 98872B104 | 46 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
ZOGENIX INC | COM NEW | 98978L204 | 8,475 | 241,800 | SH | Put | SOLE | 241,800 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 4,209 | 120,100 | SH | Call | OTR | 120,100 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 487 | 13,900 | SH | Call | SOLE | 13,900 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 54,272 | 1,548,400 | SH | Put | OTR | 1,548,400 | 0 | 0 |