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 |
|
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 |
ACHIEVE LIFE SCIENCE INC | COM NEW | 004468203 | 81 | 67,224 | SH | SOLE | 67,224 | 0 | 0 | ||
ACHIEVE LIFE SCIENCE INC | COM NEW | 004468203 | 27 | 22,408 | SH | SOLE | 22,408 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 197 | 235,000 | PRN | OTR | 1 | 0 | 235,000 | 0 | |
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 413 | 492,000 | PRN | OTR | 1 | 0 | 492,000 | 0 | |
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 702 | 835,000 | PRN | OTR | 1 | 0 | 835,000 | 0 | |
ACTINIUM PHARMACEUTICALS INC | COM | 00507W107 | 22 | 59,056 | SH | OTR | 1 | 0 | 59,056 | 0 | |
AIRGAIN INC | COM | 00938A104 | 346 | 34,998 | SH | SOLE | 34,998 | 0 | 0 | ||
AIRGAIN INC | COM | 00938A104 | 917 | 92,611 | SH | SOLE | 92,611 | 0 | 0 | ||
AIRGAIN INC | COM | 00938A104 | 173 | 17,502 | SH | SOLE | 17,502 | 0 | 0 | ||
ALLOT COMMUNICATIONS LTD | SHS | M0854Q105 | 390 | 64,375 | SH | SOLE | 64,375 | 0 | 0 | ||
Yahoo Inc | Note | 984332AF3 | 1,362 | 1,188,000 | PRN | OTR | 1 | 0 | 1,188,000 | 0 | |
Yahoo INc | Note | 984332AF3 | 1,262 | 1,100,000 | PRN | OTR | 1 | 0 | 1,100,000 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 2,321 | 962,000 | PRN | OTR | 1 | 0 | 962,000 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 1,300 | 539,000 | PRN | OTR | 1 | 0 | 539,000 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 8,020 | 3,323,000 | PRN | OTR | 1 | 0 | 3,323,000 | 0 | |
AMERICAN SUPERCONDUCTOR CORP | SHS NEW | 030111207 | 1,370 | 122,875 | SH | SOLE | 122,875 | 0 | 0 | ||
AMERICAN SUPERCONDUCTOR CORP | SHS NEW | 030111207 | 503 | 45,125 | SH | SOLE | 45,125 | 0 | 0 | ||
APHRIA INC | COM | 03765K104 | 2 | 377 | SH | SOLE | 377 | 0 | 0 | ||
APHRIA INC | COM | 03765K104 | 10 | 1,932 | SH | SOLE | 1,932 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 276 | 80,250 | SH | SOLE | 80,250 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 92 | 26,750 | SH | SOLE | 26,750 | 0 | 0 | ||
ARGAN INC | COM | 04010E109 | 197 | 5,211 | SH | SOLE | 5,211 | 0 | 0 | ||
ATTUNITY LTD | SHS NEW | M15332121 | 560 | 28,504 | SH | SOLE | 28,504 | 0 | 0 | ||
AXSOME THERAPEUTICS INC | COM | 05464T104 | 64 | 22,965 | SH | SOLE | 22,965 | 0 | 0 | ||
AXSOME THERAPEUTICS INC | COM | 05464T104 | 32 | 11,483 | SH | SOLE | 11,483 | 0 | 0 | ||
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 571 | 154,558 | SH | SOLE | 154,558 | 0 | 0 | ||
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 183 | 49,698 | SH | SOLE | 49,698 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 208 | 2,444 | SH | OTR | 1 | 0 | 2,444 | 0 | |
BIOMARIN PHARMACEUTICAL INC | COM | 09061G101 | 678 | 7,956 | SH | OTR | 1 | 0 | 7,956 | 0 | |
BIONANO GENOMICS INC | COM | 09075F107 | 292 | 55,914 | SH | SOLE | 55,914 | 0 | 0 | ||
BIONANO GENOMICS INC | COM | 09075F107 | 125 | 23,988 | SH | SOLE | 23,988 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | NOTE 1.500%10/1 | 09061GAF8 | 0 | 0 | PRN | OTR | 1 | 0 | 0 | 0 | |
BIOMARIN PHARMACEUTICAL INC | NOTE 1.500%10/1 | 09061GAF8 | 0 | 0 | PRN | OTR | 1 | 0 | 0 | 0 | |
CALIX INC | COM | 13100M509 | 833 | 85,497 | SH | SOLE | 85,497 | 0 | 0 | ||
CALIX INC | COM | 13100M509 | 277 | 28,499 | SH | SOLE | 28,499 | 0 | 0 | ||
CLEARFIELD INC | COM | 18482P103 | 413 | 41,647 | SH | SOLE | 41,647 | 0 | 0 | ||
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 1,164 | 1,057,000 | PRN | OTR | 1 | 0 | 1,057,000 | 0 | |
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 3,792 | 3,443,000 | PRN | OTR | 1 | 0 | 3,443,000 | 0 | |
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 12 | 21,600 | SH | OTR | 1 | 0 | 21,600 | 0 | |
CLEVELAND CLIFFS INC | DBCV 1.500% 1/1 | 185899AA9 | 40 | 70,200 | SH | OTR | 1 | 0 | 70,200 | 0 | |
SELECT SECTOR SPDR TR | COMMUNICATION | 81369Y852 | 36 | 895 | SH | SOLE | 895 | 0 | 0 | ||
SELECT SECTOR SPDR TR | COMMUNICATION | 81369Y852 | 185 | 4,493 | SH | SOLE | 4,493 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 160 | 1,620 | SH | SOLE | 1,620 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 807 | 8,151 | SH | SOLE | 8,151 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 57 | 1,136 | SH | SOLE | 1,136 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS STPLS | 81369Y308 | 290 | 5,727 | SH | SOLE | 5,727 | 0 | 0 | ||
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 1,620 | 1,301,000 | PRN | OTR | 1 | 0 | 1,301,000 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 3,434 | 2,757,000 | PRN | OTR | 1 | 0 | 2,757,000 | 0 | |
CAESARS ENTMT CORP | NOTE 5.000%10/0 | 127686AA1 | 5,268 | 4,229,000 | PRN | OTR | 1 | 0 | 4,229,000 | 0 | |
CAESARS ENTMT CORP | PUT | 127686953 | 45 | 42,100 | SH | Put | OTR | 1 | 0 | 42,100 | 0 |
CAESARS ENTMT CORP | PUT | 127686953 | 8 | 4,700 | SH | Put | OTR | 1 | 0 | 4,700 | 0 |
CAESARS ENTMT CORP | PUT | 127686953 | 20 | 11,700 | SH | Put | OTR | 1 | 0 | 11,700 | 0 |
CAESARS ENTMT CORP | PUT | 127686953 | 26 | 15,300 | SH | Put | OTR | 1 | 0 | 15,300 | 0 |
CONATUS PHARMACEUTICALS INC | CALL | 20600T908 | 13 | 39,400 | SH | Call | OTR | 1 | 0 | 39,400 | 0 |
CONATUS PHARMACEUTICALS INC | CALL | 20600T908 | 0 | 600 | SH | Call | OTR | 1 | 0 | 600 | 0 |
DIAMEDICA THERAPEUTICS INC | COM NEW | 25253X207 | 283 | 97,398 | SH | SOLE | 97,398 | 0 | 0 | ||
DIAMEDICA THERAPEUTICS INC | COM NEW | 25253X207 | 94 | 32,465 | SH | SOLE | 32,465 | 0 | 0 | ||
DIGITAL TURBINE INC | COM NEW | 25400W102 | 678 | 370,579 | SH | SOLE | 370,579 | 0 | 0 | ||
DSP GROUP INC | COM | 23332B106 | 351 | 31,389 | SH | SOLE | 31,389 | 0 | 0 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 6 | 117 | SH | SOLE | 117 | 0 | 0 | ||
SELECT SECTOR SPDR TR | ENERGY | 81369Y506 | 33 | 588 | SH | SOLE | 588 | 0 | 0 | ||
ENTERA BIO LTD | SHS | M40527109 | 12 | 13,211 | SH | OTR | 1 | 0 | 13,211 | 0 | |
ENTERA BIO LTD | SHS | M40527109 | 41 | 13,736 | SH | OTR | 1 | 0 | 13,736 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 74 | 3,121 | SH | SOLE | 3,121 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 372 | 15,648 | SH | SOLE | 15,648 | 0 | 0 | ||
FOAMIX PHARMACEUTICALS LTD | SHS | M46135105 | 48 | 13,500 | SH | OTR | 1 | 0 | 13,500 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 231 | 2,679 | SH | SOLE | 2,679 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 1,164 | 13,464 | SH | SOLE | 13,464 | 0 | 0 | ||
HORIZON PHARMA PLC | NOTE 2.500% 3/1 | 44052TAB7 | 234 | 236,000 | PRN | OTR | 1 | 0 | 236,000 | 0 | |
HORIZON PHARMA PLC | NOTE 2.500% 3/1 | 44052TAB7 | 156 | 158,000 | PRN | OTR | 1 | 0 | 158,000 | 0 | |
HORIZON PHARMA PLC | NOTE 2.500% 3/1 | 44052TAB7 | 758 | 764,000 | PRN | OTR | 1 | 0 | 764,000 | 0 | |
INTERCEPT PHARMACEUTICALS IN | NOTE 3.250% 7/0 | 45845PAA6 | 813 | 867,000 | PRN | OTR | 1 | 0 | 867,000 | 0 | |
INTERCEPT PHARMACEUTICALS IN | NOTE 3.250% 7/0 | 45845PAA6 | 1,200 | 1,279,000 | PRN | OTR | 1 | 0 | 1,279,000 | 0 | |
INTERCEPT PHARMACEUTICALS IN | NOTE 3.250% 7/0 | 45845PAA6 | 2,982 | 3,178,000 | PRN | OTR | 1 | 0 | 3,178,000 | 0 | |
INTERCEPT PHARMACEUTICALS IN | PUT | 45845P958 | 4 | 700 | SH | Call | OTR | 1 | 0 | 700 | 0 |
INTERCEPT PHARMACEUTICALS IN | PUT | 45845P958 | 212 | 25,000 | SH | Put | OTR | 1 | 0 | 25,000 | 0 |
INTERCEPT PHARMACEUTICALS IN | PUT | 45845P958 | 278 | 32,800 | SH | Put | OTR | 1 | 0 | 32,800 | 0 |
INTERCEPT PHARMACEUTICALS IN | PUT | 45845P958 | 701 | 82,500 | SH | Put | OTR | 1 | 0 | 82,500 | 0 |
IEC ELECTRS CORP NEW | COM | 44949L105 | 36 | 6,600 | SH | SOLE | 6,600 | 0 | 0 | ||
IEC ELECTRS CORP NEW | COM | 44949L105 | 12 | 2,200 | SH | SOLE | 2,200 | 0 | 0 | ||
IMMUNOMEDICS INC | CALL | 452907908 | 0 | 0 | SH | Call | OTR | 1 | 0 | 0 | 0 |
IMMUNOMEDICS INC | PUT | 452907958 | 0 | 1,000 | SH | Put | OTR | 1 | 0 | 1,000 | 0 |
IMMUNOMEDICS INC | PUT | 452907958 | 0 | 0 | SH | Put | OTR | 1 | 0 | 0 | 0 |
IMMUNOMEDICS INC | PUT | 452907958 | 0 | 400 | SH | Put | OTR | 1 | 0 | 400 | 0 |
IMMUNOMEDICS INC | CALL | 452907908 | 999 | 128,100 | SH | Call | OTR | 1 | 0 | 128,100 | 0 |
IMMUNOMEDICS INC | PUT | 452907958 | 88 | 154,000 | SH | Put | OTR | 1 | 0 | 154,000 | 0 |
IMMUNOMEDICS INC | PUT | 452907958 | 0 | 600 | SH | Put | OTR | 1 | 0 | 600 | 0 |
IMMUNOMEDICS INC | PUT | 452907958 | 0 | 1,100 | SH | Put | OTR | 1 | 0 | 1,100 | 0 |
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 91 | 1,421 | SH | SOLE | 1,421 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 462 | 7,186 | SH | SOLE | 7,186 | 0 | 0 | ||
INSMED INC | NOTE 1.750% 1/1 | 457669AA7 | 307 | 432,000 | PRN | OTR | 1 | 0 | 432,000 | 0 | |
INSMED INC | NOTE 1.750% 1/1 | 457669AA7 | 677 | 952,000 | PRN | OTR | 1 | 0 | 952,000 | 0 | |
INSMED INC | NOTE 1.750% 1/1 | 457669AA7 | 1,002 | 1,408,000 | PRN | OTR | 1 | 0 | 1,408,000 | 0 | |
INSMED INC | PUT | 457669957 | 34 | 15,100 | SH | Put | OTR | 1 | 0 | 15,100 | 0 |
INSMED INC | PUT | 457669957 | 57 | 24,800 | SH | Put | OTR | 1 | 0 | 24,800 | 0 |
INSMED INC | PUT | 457669957 | 112 | 48,900 | SH | Put | OTR | 1 | 0 | 48,900 | 0 |
INSMED INC | PUT | 457669957 | 0 | 1,100 | SH | Put | OTR | 1 | 0 | 1,100 | 0 |
INSMED INC | PUT | 457669957 | 1 | 2,200 | SH | Put | OTR | 1 | 0 | 2,200 | 0 |
INSMED INC | PUT | 457669957 | 2 | 3,400 | SH | Put | OTR | 1 | 0 | 3,400 | 0 |
ISHARES TR | RUSSELL 2000 ETF - looks right | 464287655 | 652 | 4,875 | SH | SOLE | 4,875 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 322 | 2,406 | SH | SOLE | 2,406 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1,620 | 12,103 | SH | SOLE | 12,103 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF - looks right | 464287655 | 217 | 1,625 | SH | SOLE | 1,625 | 0 | 0 | ||
INTRA CELLULAR THERAPIES INC | CALL | 46116X901 | 0 | 500 | SH | Call | OTR | 1 | 0 | 500 | 0 |
INTRA CELLULAR THERAPIES INC | CALL | 46116X901 | 2 | 100,600 | SH | Call | OTR | 1 | 0 | 100,600 | 0 |
INTRA CELLULAR THERAPIES INC | CALL | 46116X901 | 0 | 0 | SH | Call | OTR | 1 | 0 | 0 | 0 |
KBR INC | PUT | 48242W956 | 4 | 10,400 | SH | Put | OTR | 1 | 0 | 10,400 | 0 |
KBR INC | PUT | 48242W956 | 16 | 33,700 | SH | Put | OTR | 1 | 0 | 33,700 | 0 |
KEMET CORP | COM | 488360207 | 556 | 31,750 | SH | SOLE | 31,750 | 0 | 0 | ||
KEMET CORP | COM | 488360207 | 179 | 10,250 | SH | SOLE | 10,250 | 0 | 0 | ||
KNOWLES CORP | COM | 49926D109 | 437 | 32,838 | SH | SOLE | 32,838 | 0 | 0 | ||
LANTRONIX INC | COM NEW | 516548203 | 276 | 95,000 | SH | SOLE | 95,000 | 0 | 0 | ||
LANTRONIX INC | COM NEW | 516548203 | 138 | 47,500 | SH | SOLE | 47,500 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 523 | 12,450 | SH | SOLE | 12,450 | 0 | 0 | ||
LUMENTUM HLDGS INC | COM | 55024U109 | 231 | 5,500 | SH | SOLE | 5,500 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR SA | COM | 55933J203 | 504 | 81,300 | SH | SOLE | 81,300 | 0 | 0 | ||
MAGNACHIP SEMICONDUCTOR SA | COM | 55933J203 | 186 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 557 | 653,000 | PRN | OTR | 1 | 0 | 653,000 | 0 | |
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 942 | 1,103,000 | PRN | OTR | 1 | 0 | 1,103,000 | 0 | |
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 1,983 | 2,322,000 | PRN | OTR | 1 | 0 | 2,322,000 | 0 | |
MEDICINES CO | PUT | 584688955 | 63 | 7,300 | SH | Put | OTR | 1 | 0 | 7,300 | 0 |
MEDICINES CO | PUT | 584688955 | 99 | 11,500 | SH | Put | OTR | 1 | 0 | 11,500 | 0 |
MEDICINES CO | PUT | 584688955 | 196 | 22,700 | SH | Put | OTR | 1 | 0 | 22,700 | 0 |
MEDICINES CO | PUT | 584688955 | 208 | 26,500 | SH | Put | OTR | 1 | 0 | 26,500 | 0 |
MEDICINES CO | PUT | 584688955 | 342 | 43,600 | SH | Put | OTR | 1 | 0 | 43,600 | 0 |
MEDICINES CO | PUT | 584688955 | 694 | 88,500 | SH | Put | OTR | 1 | 0 | 88,500 | 0 |
MEDICINES CO | PUT | 584688955 | 0 | 500 | SH | Put | OTR | 1 | 0 | 500 | 0 |
MEDICINES CO | PUT | 584688955 | 3 | 3,700 | SH | Put | OTR | 1 | 0 | 3,700 | 0 |
MEDICINES CO | PUT | 584688955 | 2 | 2,600 | SH | Put | OTR | 1 | 0 | 2,600 | 0 |
MEDICINES CO | PUT | 584688955 | 11 | 11,300 | SH | Put | OTR | 1 | 0 | 11,300 | 0 |
MILLENDO THERAPEUTICS INC | COM | 60040X103 | 128 | 16,123 | SH | SOLE | 16,123 | 0 | 0 | ||
MILLENDO THERAPEUTICS INC | COM | 60040X103 | 78 | 9,828 | SH | SOLE | 9,828 | 0 | 0 | ||
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 3,955 | 1,394,000 | PRN | OTR | 1 | 0 | 1,394,000 | 0 | |
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 9,088 | 3,203,000 | PRN | OTR | 1 | 0 | 3,203,000 | 0 | |
MOLINA HEALTHCARE INC | NOTE 1.125% 1/1 | 60855RAC4 | 12,856 | 4,531,000 | PRN | OTR | 1 | 0 | 4,531,000 | 0 | |
NANOVIBRONIX INC | COM | 63008J108 | 36 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NANOVIBRONIX INC | COM | 63008J108 | 36 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NEUROCRINE BIOSCIENCES INC | NOTE 2.250% 5/1 | 64125CAD1 | 1,678 | 1,412,000 | PRN | OTR | 1 | 0 | 1,412,000 | 0 | |
NEUROCRINE BIOSCIENCES INC | NOTE 2.250% 5/1 | 64125CAD1 | 1,284 | 1,081,000 | PRN | OTR | 1 | 0 | 1,081,000 | 0 | |
NEUROCRINE BIOSCIENCES INC | NOTE 2.250% 5/1 | 64125CAD1 | 5,459 | 4,593,000 | PRN | OTR | 1 | 0 | 4,593,000 | 0 | |
NEOS THERAPEUTICS INC | COM | 64052L106 | 186 | 112,940 | SH | SOLE | 112,940 | 0 | 0 | ||
NEOS THERAPEUTICS INC | COM | 64052L106 | 62 | 37,646 | SH | SOLE | 37,646 | 0 | 0 | ||
ONE STOP SYS INC | COM | 68247W109 | 160 | 82,499 | SH | SOLE | 82,499 | 0 | 0 | ||
ONE STOP SYS INC | COM | 68247W109 | 72 | 37,501 | SH | SOLE | 37,501 | 0 | 0 | ||
PANDORA MEDIA INC | PUT | 698354957 | 0 | 300 | SH | Put | OTR | 1 | 0 | 300 | 0 |
PAIN THERAPEUTICS INC | COM NEW | 69562K506 | 5 | 6,134 | SH | SOLE | 6,134 | 0 | 0 | ||
PAIN THERAPEUTICS INC | COM NEW | 69562K506 | 1 | 2,044 | SH | SOLE | 2,044 | 0 | 0 | ||
PUMA BIOTECHNOLOGY INC | CALL | 74587V907 | 4 | 15,000 | SH | Call | SOLE | 15,000 | 0 | 0 | |
PUMA BIOTECHNOLOGY INC | CALL | 74587V907 | 1 | 5,000 | SH | Call | SOLE | 5,000 | 0 | 0 | |
PDVWIRELESS INC | COM | 69290R104 | 42 | 1,128 | SH | OTR | 1 | 0 | 1,128 | 0 | |
PIXELWORKS INC | COM NEW | 72581M305 | 585 | 201,847 | SH | SOLE | 201,847 | 0 | 0 | ||
PROGENICS PHARMACEUTICALS IN | COM | 743187106 | 239 | 57,150 | SH | SOLE | 57,150 | 0 | 0 | ||
PROGENICS PHARMACEUTICALS IN | COM | 743187106 | 79 | 19,050 | SH | SOLE | 19,050 | 0 | 0 | ||
PUMA BIOTECHNOLOGY INC | COM | 74587V107 | 424 | 20,865 | SH | SOLE | 20,865 | 0 | 0 | ||
PUMA BIOTECHNOLOGY INC | COM | 74587V107 | 141 | 6,955 | SH | SOLE | 6,955 | 0 | 0 | ||
QUALCOMM INC | COM | 747525903 | 0 | 100 | SH | Call | OTR | 1 | 0 | 100 | 0 |
QUALCOMM INC | COM | 747525953 | 344 | 91,200 | SH | Put | OTR | 1 | 0 | 91,200 | 0 |
QUALCOMM INC | COM | 747525953 | 4 | 700 | SH | Put | OTR | 1 | 0 | 700 | 0 |
QUALCOMM INC | COM | 747525103 | 3,838 | 67,444 | SH | OTR | 1 | 0 | 67,444 | 0 | |
QUANTENNA COMMUNICATIONS INC | COM | 74766D100 | 754 | 52,609 | SH | SOLE | 52,609 | 0 | 0 | ||
QUANTUM CORP | COM NEW | 747906501 | 247 | 123,875 | SH | SOLE | 123,875 | 0 | 0 | ||
QUANTUM CORP | COM NEW | 747906501 | 89 | 44,625 | SH | SOLE | 44,625 | 0 | 0 | ||
QUICKLOGIC CORP | COM | 74837P108 | 307 | 418,774 | SH | SOLE | 418,774 | 0 | 0 | ||
QUICKLOGIC CORP | COM | 74837P108 | 127 | 173,994 | SH | SOLE | 173,994 | 0 | 0 | ||
SELECT SECTOR SPDR TR | RL EST SEL SEC | 81369Y860 | 15 | 490 | SH | SOLE | 490 | 0 | 0 | ||
SELECT SECTOR SPDR TR | RL EST SEL SEC | 81369Y860 | 76 | 2,458 | SH | SOLE | 2,458 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 150 | 65,550 | SH | SOLE | 65,550 | 0 | 0 | ||
RIGEL PHARMACEUTICALS INC | COM | 766559603 | 50 | 21,850 | SH | SOLE | 21,850 | 0 | 0 | ||
REALPAGE INC | COM | 75606NAB5 | 371 | 289,000 | PRN | OTR | 1 | 0 | 289,000 | 0 | |
REALPAGE INC | COM | 75606NAB5 | 1,372 | 1,069,000 | PRN | OTR | 1 | 0 | 1,069,000 | 0 | |
SANOFI | RIGHT 12/31/2020 | 80105N113 | 12 | 27,035 | SH | OTR | 1 | 0 | 27,035 | 0 | |
SEMTECH CORP | COM | 816850101 | 394 | 8,601 | SH | SOLE | 8,601 | 0 | 0 | ||
SPDR SERIES TRUST | PORTFOLIO SHORT | 78464A474 | 2,320 | 77,000 | SH | SOLE | 77,000 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 95 | 1,325 | SH | SOLE | 1,325 | 0 | 0 | ||
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 478 | 6,669 | SH | SOLE | 6,669 | 0 | 0 | ||
SPDR SERIES TRUST | S&P PHARMAC | 78464A722 | 51 | 1,403 | SH | SOLE | 1,403 | 0 | 0 | ||
SPDR SERIES TRUST | S&P PHARMAC | 78464A722 | 259 | 7,099 | SH | SOLE | 7,099 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 0 | 1 | SH | OTR | 1 | 0 | 1 | 0 | |
SPDR S&P 500 ETF TR | PUT | 78462F953 | 0 | 13,500 | SH | Put | OTR | 1 | 0 | 13,500 | 0 |
SQUARE INC | NOTE 0.375% 3/0 | 852234AB9 | 753 | 308,000 | PRN | OTR | 1 | 0 | 308,000 | 0 | |
SQUARE INC | NOTE 0.375% 3/0 | 852234AB9 | 1,074 | 439,000 | PRN | OTR | 1 | 0 | 439,000 | 0 | |
SQUARE INC | NOTE 0.375% 3/0 | 852234AB9 | 6,026 | 2,462,000 | PRN | OTR | 1 | 0 | 2,462,000 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 17 | 339 | SH | SOLE | 339 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 90 | 1,703 | SH | SOLE | 1,703 | 0 | 0 | ||
VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 155 | 932 | SH | SOLE | 932 | 0 | 0 | ||
VANGUARD WORLD FDS | INF TECH ETF | 92204A702 | 778 | 4,666 | SH | SOLE | 4,666 | 0 | 0 | ||
VANGUARD SCOTTSDALE FDS | SHRT TRM CORP BD | 92206C409 | 1,013 | 13,000 | SH | SOLE | 13,000 | 0 | 0 | ||
VIVUS INC | NOTE 4.500% 5/0 | 928551100 | 78 | 35,244 | SH | SOLE | 35,244 | 0 | 0 | ||
VIVUS INC | NOTE 4.500% 5/0 | 928551100 | 33 | 15,048 | SH | SOLE | 15,048 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 721 | 149,999 | SH | SOLE | 149,999 | 0 | 0 | ||
VUZIX CORP | COM NEW | 92921W300 | 240 | 50,001 | SH | SOLE | 50,001 | 0 | 0 | ||
WEATHERFORD INTL LTD | NOTE 5.875% 7/0 | 947075AH0 | 336 | 500,000 | PRN | OTR | 1 | 0 | 500,000 | 0 | |
WEATHERFORD INTL LTD | NOTE 5.875% 7/0 | 947075AH0 | 192 | 286,000 | PRN | OTR | 1 | 0 | 286,000 | 0 | |
WEATHERFORD INTL LTD | NOTE 5.875% 7/0 | 947075AH0 | 1,092 | 1,625,000 | PRN | OTR | 1 | 0 | 1,625,000 | 0 | |
WEATHERFORD INTL PLC | ORD SHS | G48833100 | 9 | 17,000 | SH | OTR | 1 | 0 | 17,000 | 0 | |
WEATHERFORD INTL PLC | CALL | G48833900 | 0 | 2,900 | SH | Call | OTR | 1 | 0 | 2,900 | 0 |
WEATHERFORD INTL PLC | CALL | G48833900 | 0 | 2,200 | SH | Call | OTR | 1 | 0 | 2,200 | 0 |
WEATHERFORD INTL PLC | CALL | G48833900 | 0 | 9,600 | SH | Call | OTR | 1 | 0 | 9,600 | 0 |
WEATHERFORD INTL PLC | PUT | G48833950 | 8 | 8,200 | SH | Put | OTR | 1 | 0 | 8,200 | 0 |
WEATHERFORD INTL PLC | PUT | G48833950 | 4 | 4,500 | SH | Put | OTR | 1 | 0 | 4,500 | 0 |
WEATHERFORD INTL PLC | PUT | G48833950 | 26 | 26,800 | SH | Put | OTR | 1 | 0 | 26,800 | 0 |
WESTPORT FUEL SYSTEMS INC | COM NEW | 960908309 | 199 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
WESTPORT FUEL SYSTEMS INC | COM NEW | 960908309 | 66 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
WIRELESS TELECOM GROUP INC | COM | 976524108 | 18 | 10,184 | SH | SOLE | 10,184 | 0 | 0 | ||
WIRELESS TELECOM GROUP INC | COM | 976524108 | 14 | 7,915 | SH | SOLE | 7,915 | 0 | 0 | ||
WRIGHT MED GROUP N V | NOTE 2.250%11/1 | 98236JAB4 | 806 | 587,000 | PRN | OTR | 1 | 0 | 587,000 | 0 | |
WRIGHT MED GROUP N V | NOTE 2.250%11/1 | 98236JAB4 | 2,628 | 1,913,000 | PRN | OTR | 1 | 0 | 1,913,000 | 0 | |
XILINX INC | COM | 983919101 | 1,085 | 12,750 | SH | SOLE | 12,750 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 21 | 250 | SH | SOLE | 250 | 0 | 0 |