0001144204-16-130645.txt : 20161101 0001144204-16-130645.hdr.sgml : 20161101 20161031195704 ACCESSION NUMBER: 0001144204-16-130645 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20160930 FILED AS OF DATE: 20161101 DATE AS OF CHANGE: 20161031 EFFECTIVENESS DATE: 20161101 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Trellus Management Company, LLC CENTRAL INDEX KEY: 0001307877 IRS NUMBER: 133807183 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-10974 FILM NUMBER: 161962993 BUSINESS ADDRESS: STREET 1: 767 THIRD AVE STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 646-561-2622 MAIL ADDRESS: STREET 1: 767 THIRD AVE STREET 2: 32ND FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001307877 XXXXXXXX 09-30-2016 09-30-2016 false Trellus Management Company, LLC

767 Third Ave 32nd Floor New York NY 10017

13F HOLDINGS REPORT 028-10974 N James Scaplen 646-561-2622 /s/ James Scaplen New York NY 10-31-2016 0 66 69155 INFORMATION TABLE 2 infotable.xml ACADIA HEALTHCARE COMPANY IN COM 00404A109 743 15000 SH SOLE 15000 0 0 ADVANCED MICRO DEVICES INC COM 007903107 691 100000 SH SOLE 100000 0 0 AIR METHODS CORP COM PAR $.06 009128307 394 12500 SH SOLE 12500 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 529 5000 SH SOLE 5000 0 0 AMERICAN TOWER CORP NEW COM 03027X100 1700 15000 SH SOLE 15000 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 3862 51600 SH SOLE 51600 0 0 AVID TECHNOLOGY INC COM 05367P100 413 52000 SH SOLE 52000 0 0 AXOGEN INC COM 05463X106 171 18906 SH SOLE 18906 0 0 BALL CORP COM 058498106 820 10000 SH SOLE 10000 0 0 BIOLASE INC COM 090911108 112 64201 SH SOLE 64201 0 0 BLACKROCK INC COM 09247X101 725 2000 SH SOLE 2000 0 0 BOINGO WIRELESS INC COM 09739C102 370 36016 SH SOLE 36016 0 0 CALAMP CORP COM 128126109 209 15000 SH SOLE 15000 0 0 CALPINE CORP COM NEW 131347304 190 15000 SH SOLE 15000 0 0 CATCHMARK TIMBER TR INC CL A 14912Y202 134 11500 SH SOLE 11500 0 0 CORRECTIONS CORP AMER NEW COM NEW 22025Y407 555 40000 SH SOLE 40000 0 0 COTT CORP QUE COM 22163N106 784 55000 SH SOLE 55000 0 0 CREDIT ACCEP CORP MICH COM 225310101 767 3814 SH SOLE 3814 0 0 CSX CORP COM 126408103 915 30000 SH Put SOLE 30000 0 0 CYPRESS ENERGY PARTNERS LP LTD PARTNER INT 232751107 603 61648 SH SOLE 61648 0 0 CYPRESS SEMICONDUCTOR CORP COM 232806109 681 56000 SH SOLE 56000 0 0 DERMA SCIENCES INC COM PAR $.01 249827502 70 15000 SH SOLE 15000 0 0 DIGITAL TURBINE INC COM NEW 25400W102 406 386895 SH SOLE 386895 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 928 7700 SH SOLE 7700 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 1243 45000 SH SOLE 45000 0 0 FARMLAND PARTNERS INC COM 31154R109 755 67424 SH SOLE 67424 0 0 FIREEYE INC COM 31816Q101 3338 226638 SH SOLE 226638 0 0 FIRST DATA CORP NEW COM CL A 32008D106 395 30000 SH SOLE 30000 0 0 GOLAR LNG PARTNERS LP COM UNIT LPI Y2745C102 272 13834 SH SOLE 13834 0 0 HORIZON PHARMA PLC SHS G4617B105 544 30000 SH Call SOLE 30000 0 0 INCONTACT INC COM 45336E109 425 30400 SH SOLE 30400 0 0 INVESTORS REAL ESTATE TR SH BEN INT 461730103 179 30000 SH SOLE 30000 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 7453 60000 SH Put SOLE 60000 0 0 JPMORGAN CHASE & CO COM 46625H100 772 11600 SH SOLE 11600 0 0 KIRBY CORP COM 497266106 230 3700 SH Put SOLE 3700 0 0 LEXINGTON REALTY TRUST COM 529043101 720 69950 SH SOLE 69950 0 0 LIBERTY GLOBAL PLC LILAC SHS CL C G5480U153 233 8305 SH SOLE 8305 0 0 LIONS GATE ENTMNT CORP COM NEW 535919203 400 20000 SH SOLE 20000 0 0 MACQUARIE INFRASTRUCTURE COR COM 55608B105 1235 14840 SH SOLE 14840 0 0 MAZOR ROBOTICS LTD SPONSORED ADS 57886P103 1147 44332 SH SOLE 44332 0 0 MODEL N INC COM 607525102 199 17900 SH SOLE 17900 0 0 MOLINA HEALTHCARE INC COM 60855R100 286 4900 SH SOLE 4900 0 0 MPLX LP COM UNIT REP LTD 55336V100 203 5995 SH SOLE 5995 0 0 NORWEGIAN CRUISE LINE HLDGS SHS G66721104 754 20000 SH SOLE 20000 0 0 NOVADAQ TECHNOLOGIES INC COM 66987G102 191 16503 SH SOLE 16503 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 2016 225000 SH SOLE 225000 0 0 PATRIOT NATL INC COM 70338T102 496 55000 SH SOLE 55000 0 0 POINTS INTL LTD COM NEW 730843208 1099 122681 SH SOLE 122681 0 0 PROSHARES TR PSHS ULSHT SP500 74347B300 339 20700 SH SOLE 20700 0 0 PROSHARES TR ULTSHRT QQQ 74348A426 233 9600 SH SOLE 9600 0 0 REALOGY HLDGS CORP COM 75605Y106 416 16100 SH SOLE 16100 0 0 RED HAT INC COM 756577102 606 7500 SH SOLE 7500 0 0 RITTER PHARMACEUTICALS INC COM 767836109 29 17500 SH SOLE 17500 0 0 SHERWIN WILLIAMS CO COM 824348106 1107 4000 SH SOLE 4000 0 0 SNAP ON INC COM 833034101 1292 8500 SH SOLE 8500 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 15141 70000 SH Put SOLE 70000 0 0 STONECASTLE FINL CORP COM 861780104 724 38792 SH SOLE 38792 0 0 SUNOCO LP COM U REP LP 86765K109 435 15000 SH SOLE 15000 0 0 SURMODICS INC COM 868873100 769 25555 SH SOLE 25555 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 898 162900 SH SOLE 162900 0 0 VERMILLION INC COM NEW 92407M206 236 181845 SH SOLE 181845 0 0 VERTEX ENERGY INC COM 92534K107 945 821391 SH SOLE 821391 0 0 VICOR CORP COM 925815102 1788 154125 SH SOLE 154125 0 0 VOYA FINL INC COM 929089100 1228 42600 SH SOLE 42600 0 0 WABTEC CORP COM 929740108 838 10259 SH SOLE 10259 0 0 WEIGHT WATCHERS INTL INC NEW COM 948626106 774 75000 SH SOLE 75000 0 0