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 |
ADVANCED ACCELERATOR APPLIC | SPONSORED ADS | 00790T100 | 612 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
AETNA INC NEW | COM | 00817Y108 | 631 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
AMPLIFY SNACK BRANDS | COM | 03211L102 | 128 | 10,666 | SH | SOLE | 10,666 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | COM | 00182C103 | 13,298 | 206,400 | SH | Put | OTR | 206,400 | 0 | 0 | |
ANI PHARMACEUTICALS INC | COM | 00182C103 | 1,952 | 30,300 | SH | Put | SOLE | 30,300 | 0 | 0 | |
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 10,291 | 8,867,000 | PRN | OTR | 8,867,000 | 0 | 0 | ||
ANI PHARMACEUTICALS INC | NOTE 3.000%12/0 | 00182CAA1 | 1,605 | 1,383,000 | PRN | SOLE | 1,383,000 | 0 | 0 | ||
ATLANTIC COAST FINL CORP | COM | 048426100 | 94 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
BAY BANCORP INC | COM | 07203T106 | 122 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
BROADSOFT INC | COM | 11133B409 | 275 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
BUFFALO WILD WINGS INC | COM | 119848109 | 303 | 1,936 | SH | SOLE | 1,936 | 0 | 0 | ||
CALATLANTIC GROUP INC | COM | 128195104 | 992 | 17,600 | SH | SOLE | 17,600 | 0 | 0 | ||
CALGON CARBON CORP | COM | 129603106 | 375 | 17,600 | SH | SOLE | 17,600 | 0 | 0 | ||
CALPINE CORP | COM NEW | 131347304 | 378 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
CAVIUM INC | COM | 14964U108 | 419 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 11,976 | 168,600 | SH | Put | SOLE | 168,600 | 0 | 0 | |
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 76,634 | 1,078,900 | SH | Put | OTR | 1,078,900 | 0 | 0 | |
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 44,643 | 628,591 | SH | OTR | 628,591 | 0 | 0 | ||
COGNIZANT TECHNOLOGY SOLUTIO | CL A | 192446102 | 6,971 | 98,149 | SH | SOLE | 98,149 | 0 | 0 | ||
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 18,998 | 8,650,000 | PRN | OTR | 8,650,000 | 0 | 0 | ||
CONVERGYS CORP | SDCV 5.750% 9/1 | 212485AE6 | 2,965 | 1,350,000 | PRN | SOLE | 1,350,000 | 0 | 0 | ||
DERMIRA INC | COM | 24983L104 | 4,352 | 156,500 | SH | Put | OTR | 156,500 | 0 | 0 | |
DERMIRA INC | COM | 24983L104 | 542 | 19,500 | SH | Put | SOLE | 19,500 | 0 | 0 | |
DYNEGY INC NEW DEL | COM | 26817R108 | 457 | 38,500 | SH | Put | OTR | 38,500 | 0 | 0 | |
GENERAL CABLE CORP DEL NEW | FRNT 4.500%11/1 | 369300AL2 | 9,160 | 8,650,000 | PRN | OTR | 8,650,000 | 0 | 0 | ||
GENERAL CABLE CORP DEL NEW | FRNT 4.500%11/1 | 369300AL2 | 1,430 | 1,350,000 | PRN | SOLE | 1,350,000 | 0 | 0 | ||
GENERAL COMMUNICATION INC | CL A | 369385109 | 390 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
GGP INC | COM | 36174X101 | 211 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
HRG GROUP INC | COM | 40434J100 | 288 | 17,000 | SH | SOLE | 17,000 | 0 | 0 | ||
HSN INC | COM | 404303109 | 426 | 10,560 | SH | SOLE | 10,560 | 0 | 0 | ||
IGNYTA INC | COM | 451731103 | 374 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
IMMERSION CORP | COM | 452521107 | 1,099 | 155,600 | SH | Call | SOLE | 155,600 | 0 | 0 | |
IMMERSION CORP | COM | 452521107 | 874 | 123,800 | SH | Call | OTR | 123,800 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 24,652 | 1,525,500 | SH | Call | OTR | 1,525,500 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 3,843 | 237,800 | SH | Call | SOLE | 237,800 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 20,531 | 1,270,500 | SH | Put | OTR | 1,270,500 | 0 | 0 | |
IMMUNOMEDICS INC | COM | 452907108 | 3,196 | 197,800 | SH | Put | SOLE | 197,800 | 0 | 0 | |
INFOSYS LTD | SPONSORED ADR | 456788108 | 37,484 | 2,311,000 | SH | Put | OTR | 2,311,000 | 0 | 0 | |
INFOSYS LTD | SPONSORED ADR | 456788108 | 5,781 | 356,400 | SH | Put | SOLE | 356,400 | 0 | 0 | |
INFOSYS LTD | SPONSORED ADR | 456788108 | 702 | 43,250 | SH | OTR | 43,250 | 0 | 0 | ||
INTEL CORP | COM | 458140100 | 2,499 | 54,100 | SH | Put | SOLE | 54,100 | 0 | 0 | |
INTEL CORP | COM | 458140100 | 15,977 | 345,900 | SH | Put | OTR | 345,900 | 0 | 0 | |
INTERDIGITAL INC | NOTE 1.500% 3/0 | 458660AD9 | 10,336 | 8,648,000 | PRN | OTR | 8,648,000 | 0 | 0 | ||
INTERDIGITAL INC | NOTE 1.500% 3/0 | 458660AD9 | 1,616 | 1,352,000 | PRN | SOLE | 1,352,000 | 0 | 0 | ||
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 5,295 | 365,700 | SH | Call | OTR | 365,700 | 0 | 0 | |
INTRA CELLULAR THERAPIES INC | COM | 46116X101 | 825 | 57,000 | SH | Call | SOLE | 57,000 | 0 | 0 | |
INVACARE CORP | COM | 461203101 | 4,306 | 255,100 | SH | Put | OTR | 255,100 | 0 | 0 | |
INVACARE CORP | COM | 461203101 | 609 | 36,100 | SH | Put | SOLE | 36,100 | 0 | 0 | |
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 16,061 | 12,972,000 | PRN | OTR | 12,972,000 | 0 | 0 | ||
INVACARE CORP | NOTE 5.000% 2/1 | 461203AF8 | 2,511 | 2,028,000 | PRN | SOLE | 2,028,000 | 0 | 0 | ||
IXYS CORP | COM | 46600W106 | 958 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
KANSAS CITY SOUTHERN | COM NEW | 485170302 | 26,310 | 250,000 | SH | Put | SOLE | 250,000 | 0 | 0 | |
KANSAS CITY SOUTHERN | COM NEW | 485170302 | 27,225 | 258,740 | SH | OTR | 258,740 | 0 | 0 | ||
KANSAS CITY SOUTHERN | COM NEW | 485170302 | 4,249 | 40,385 | SH | SOLE | 40,385 | 0 | 0 | ||
KANSAS CITY SOUTHERN | COM NEW | 485170302 | 168,689 | 1,602,900 | SH | Put | OTR | 1,602,900 | 0 | 0 | |
KRONOS WORLDWIDE INC | COM | 50105F105 | 23,945 | 929,200 | SH | Put | OTR | 929,200 | 0 | 0 | |
KRONOS WORLDWIDE INC | COM | 50105F105 | 3,673 | 142,500 | SH | Put | SOLE | 142,500 | 0 | 0 | |
LANNET INC | COM | 516012101 | 5,269 | 227,400 | SH | Call | OTR | 227,400 | 0 | 0 | |
LANNET INC | COM | 516012101 | 823 | 35,500 | SH | Call | SOLE | 35,500 | 0 | 0 | |
LANNET INC | COM | 516012101 | 35,981 | 1,552,900 | SH | Put | OTR | 1,552,900 | 0 | 0 | |
LANNET INC | COM | 516012101 | 5,616 | 242,400 | SH | Put | SOLE | 242,400 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 127 | 37,000 | SH | Put | SOLE | 37,000 | 0 | 0 | |
LIPOCINE INC NEW | COM | 53630X104 | 354 | 102,919 | SH | OTR | 102,919 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 55 | 16,076 | SH | SOLE | 16,076 | 0 | 0 | ||
LIPOCINE INC NEW | COM | 53630X104 | 832 | 241,900 | SH | Put | OTR | 241,900 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 3,858 | 170,997 | SH | OTR | 170,997 | 0 | 0 | ||
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 602 | 26,685 | SH | SOLE | 26,685 | 0 | 0 | ||
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 15,194 | 673,800 | SH | Put | OTR | 673,800 | 0 | 0 | |
MALLINCKRODT PUB LTD CO | SHS | G5785G107 | 2,318 | 102,800 | SH | Put | SOLE | 102,800 | 0 | 0 | |
MONSANTO CO NEW | COM | 61166W101 | 409 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
NABORS INDUSTRIES LTD | SHS | G6359F103 | 182 | 26,700 | SH | Call | OTR | 26,700 | 0 | 0 | |
NIC INC | COM | 62914B100 | 851 | 51,300 | SH | Put | SOLE | 51,300 | 0 | 0 | |
NIC INC | COM | 62914B100 | 6,142 | 370,400 | SH | Put | OTR | 370,400 | 0 | 0 | |
NIC INC | COM | 62914B100 | 2,178 | 131,400 | SH | Call | OTR | 131,400 | 0 | 0 | |
NIC INC | COM | 62914B100 | 244 | 14,700 | SH | Call | SOLE | 14,700 | 0 | 0 | |
NL INDS INC | COM NEW | 629156407 | 1,443 | 100,800 | SH | Call | SOLE | 100,800 | 0 | 0 | |
NL INDS INC | COM NEW | 629156407 | 1,717 | 120,507 | SH | OTR | 120,507 | 0 | 0 | ||
NL INDS INC | COM NEW | 629156407 | 267 | 18,748 | SH | SOLE | 18,748 | 0 | 0 | ||
NL INDS INC | COM NEW | 629156407 | 9,278 | 647,900 | SH | Call | OTR | 647,900 | 0 | 0 | |
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 6,702 | 5,397,000 | PRN | SOLE | 5,397,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 42,970 | 34,603,000 | PRN | OTR | 34,603,000 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 57,617 | 492,200 | SH | Call | OTR | 492,200 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 9,061 | 77,400 | SH | Call | SOLE | 77,400 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 16,810 | 143,600 | SH | Put | OTR | 143,600 | 0 | 0 | |
NXP SEMICONDUCTORS N V | COM | N6596X109 | 2,739 | 23,400 | SH | Put | SOLE | 23,400 | 0 | 0 | |
OTONOMY INC | COM | 68906L105 | 375 | 67,513 | SH | SOLE | 67,513 | 0 | 0 | ||
OTONOMY INC | COM | 68906L105 | 2,456 | 442,487 | SH | OTR | 442,487 | 0 | 0 | ||
OVERSTOCK COM INC DEL | COM | 690370101 | 14,398 | 855,100 | SH | Call | OTR | 855,100 | 0 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 2,244 | 133,400 | SH | Call | SOLE | 133,400 | 0 | 0 | |
PACIRA PHARMACEUTICALS INC | COM | 695127100 | 3,512 | 76,943 | SH | OTR | 76,943 | 0 | 0 | ||
PACIRA PHARMACEUTICALS INC | COM | 695127100 | 436 | 9,557 | SH | SOLE | 9,557 | 0 | 0 | ||
PACIRA PHARMACEUTICALS INC | COM | 695127100 | 1,224 | 26,800 | SH | Put | OTR | 26,800 | 0 | 0 | |
PARAGON COML CORP | COM NEW | 69911U403 | 234 | 4,400 | SH | SOLE | 4,400 | 0 | 0 | ||
PINNACLE FOODS INC DEL | COM | 72348P104 | 3,949 | 66,395 | SH | SOLE | 66,395 | 0 | 0 | ||
PINNACLE FOODS INC DEL | COM | 72348P104 | 52,310 | 879,600 | SH | Put | OTR | 879,600 | 0 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 8,141 | 136,900 | SH | Put | SOLE | 136,900 | 0 | 0 | |
PINNACLE FOODS INC DEL | COM | 72348P104 | 25,300 | 425,422 | SH | OTR | 425,422 | 0 | 0 | ||
REGAL ENTMT GROUP | CL A | 758766109 | 242 | 10,500 | SH | SOLE | 10,500 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 30 | 15,400 | SH | SOLE | 15,400 | 0 | 0 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 475 | 3,500 | SH | SOLE | 3,500 | 0 | 0 | ||
SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | 854 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SIGMA DESIGNS INC | COM | 826565103 | 139 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
SINOVAC BIOTECH LTD | SHS | P8696W104 | 104 | 13,200 | SH | SOLE | 13,200 | 0 | 0 | ||
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 880 | 4,840 | SH | SOLE | 4,840 | 0 | 0 | ||
SUCAMPO PHARMACEUTICALS INC | CL A | 864909106 | 660 | 36,700 | SH | Put | SOLE | 36,700 | 0 | 0 | |
SUCAMPO PHARMACEUTICALS INC | CL A | 864909106 | 4,231 | 235,300 | SH | Put | OTR | 235,300 | 0 | 0 | |
SUCAMPO PHARMACEUTICALS INC | NOTE 3.250%12/1 | 864909AB2 | 18,471 | 15,140,000 | PRN | OTR | 15,140,000 | 0 | 0 | ||
SUCAMPO PHARMACEUTICALS INC | NOTE 3.250%12/1 | 864909AB2 | 2,879 | 2,360,000 | PRN | SOLE | 2,360,000 | 0 | 0 | ||
SUN BANCORP INC | COM NEW | 86663B201 | 201 | 8,289 | SH | SOLE | 8,289 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 1,579 | 638,000 | PRN | SOLE | 638,000 | 0 | 0 | ||
TESARO INC | NOTE 3.000%10/0 | 881569AA5 | 55,851 | 22,566,000 | PRN | OTR | 22,566,000 | 0 | 0 | ||
TEVA PHARMACEUTICAL INDS LTD | SPONSORED ADR | 881624209 | 819 | 43,200 | SH | Call | OTR | 43,200 | 0 | 0 | |
TIME WARNER INC | COM NEW | 887317303 | 274 | 3,000 | SH | SOLE | 3,000 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 747 | 17,600 | SH | SOLE | 17,600 | 0 | 0 | ||
TRINITY INDS INC | NOTE 3.875% 6/0 | 896522AF6 | 15,010 | 9,509,000 | PRN | OTR | 9,509,000 | 0 | 0 | ||
TRINITY INDS INC | NOTE 3.875% 6/0 | 896522AF6 | 2,354 | 1,491,000 | PRN | SOLE | 1,491,000 | 0 | 0 | ||
TWENTY FIRST CENTY FOX INC | CL A | 90130A101 | 345 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
VECTOR GROUP LTD | COM | 92240M108 | 213 | 9,500 | SH | Put | OTR | 9,500 | 0 | 0 | |
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 59,815 | 37,723,000 | PRN | OTR | 37,723,000 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 1/1 | 92240MAY4 | 2,818 | 1,777,000 | PRN | SOLE | 1,777,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 7,191 | 2,149,000 | PRN | SOLE | 2,149,000 | 0 | 0 | ||
VERISIGN INC | SDCV 3.250% 8/1 | 92343EAD4 | 152,592 | 45,601,000 | PRN | OTR | 45,601,000 | 0 | 0 | ||
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 14,983 | 7,988,000 | PRN | OTR | 7,988,000 | 0 | 0 | ||
WABASH NATL CORP | NOTE 3.375% 5/0 | 929566AH0 | 2,335 | 1,245,000 | PRN | SOLE | 1,245,000 | 0 | 0 | ||
XCERRA CORP | COM | 98400J108 | 98 | 10,000 | SH | Call | SOLE | 10,000 | 0 | 0 | |
YAHOO INC | NOTE 12/0 | 984332AF3 | 8,367 | 6,212,000 | PRN | SOLE | 6,212,000 | 0 | 0 | ||
YAHOO INC | NOTE 12/0 | 984332AF3 | 53,590 | 39,788,000 | PRN | OTR | 39,788,000 | 0 | 0 |