Chief Compliance Officer

0001696778-20-000002.txt : 20200515 0001696778-20-000002.hdr.sgml : 20200515 20200514175408 ACCESSION NUMBER: 0001696778-20-000002 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200514 EFFECTIVENESS DATE: 20200515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Worth Venture Partners, LLC CENTRAL INDEX KEY: 0001696778 IRS NUMBER: 461377713 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17947 FILM NUMBER: 20879490 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001696778 XXXXXXXX 03-31-2020 03-31-2020 Worth Venture Partners, LLC

805 THIRD AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-17947 N Laurence Wiseman Chief Compliance Officer (212) 558-9017 Laurence Wiseman New York NY 05-14-2020 1 198 162444 false 1 0001578299 028-17749 DLD Asset Management, LP INFORMATION TABLE 2 testfinal.xml A10 NETWORKS ORD Common Stock 002121101 488 78590 SH SOLE 0 78590 0 0 ACOR Jul0 2.0 P Put 00484M956 48 22900 SH Put OTR 1 0 22900 0 ACOR Jul0 2.0 P Put 00484M956 160 77300 SH Put OTR 1 0 77300 0 ADAMAS PHARMACEUTICALS ORD Common Stock 00548A106 343 118780 SH SOLE 0 118780 0 0 ADAMAS PHARMACEUTICALS ORD Common Stock 00548A106 111 38362 SH OTR 1 0 38362 0 AIRGAIN ORD Common Stock 00938A104 963 130272 SH SOLE 0 130272 0 0 ALIMERA SCIENCES ORD New Common Stock 016259202 390 97535 SH SOLE 0 97535 0 0 ALIMERA SCIENCES ORD New Common Stock 016259202 119 29798 SH OTR 1 0 29798 0 ALLENA PHARMACEUTICALS ORD Common Stock 018119107 88 91728 SH SOLE 0 91728 0 0 ALLENA PHARMACEUTICALS ORD Common Stock 018119107 11 11066 SH OTR 1 0 11066 0 ANNOVIS BIO ORD Common Stock 03615A108 325 108240 SH SOLE 0 108240 0 0 ANNOVIS BIO ORD Common Stock 03615A108 107 35510 SH OTR 1 0 35510 0 ANTMX 2.750 10/15/42 CVT NOTE 2.750%10/1 94973VBG1 773 243000 PRN OTR 1 0 243000 0 ANTMX 2.750 10/15/42 CVT NOTE 2.750%10/1 94973VBG1 7306 2297000 PRN OTR 1 0 2297000 0 APLS Jul0 25.0 P Put 03753U956 47 11700 SH Put OTR 1 0 11700 0 APTEVO THERAPEUTICS ORD New Common Stock 03835L207 102 27645 SH SOLE 0 27645 0 0 APTEVO THERAPEUTICS ORD New Common Stock 03835L207 29 7705 SH OTR 1 0 7705 0 ARGAN ORD Common Stock 04010E109 484 6488 SH SOLE 0 6488 0 0 ARGAN ORD Common Stock 04010E109 12 3839 SH SOLE 0 3839 0 0 ASPEN AEROGELS ORD Common Stock 04523Y105 1054 171626 SH SOLE 0 171626 0 0 ASPEN AEROGELS ORD Common Stock 04523Y105 224 36518 SH OTR 1 0 36518 0 ATEX Apr0 55.0 C Call 03676C900 2 800 SH Call OTR 1 0 800 0 ATEX May0 45.0 C Call 03676C900 13 1800 SH Call OTR 1 0 1800 0 ATEX May0 50.0 C Call 03676C900 691 116100 SH Call OTR 1 0 116100 0 AVDL Jun0 12.5 C Call 05337M904 219 186000 SH Call OTR 1 0 186000 0 AVDL Jun0 7.5 C Call 05337M904 228 81500 SH Call OTR 1 0 81500 0 AVDL Sep0 5.0 P Call 05337M954 23 13400 SH Put OTR 1 0 13400 0 AVDL Sep0 5.0 P Call 05337M954 80 45400 SH Put OTR 1 0 45400 0 BIODELIVERY SCIENCE INTERNATIONL ORD Common Stock 09060J106 422 111435 SH SOLE 111435 0 0 BIODELIVERY SCIENCE INTERNATIONL ORD Common Stock 09060J106 129 34115 SH OTR 1 0 34115 0 BIOLASE ORD New Common Stock 090911207 173 460329 SH SOLE 0 460329 0 0 BIOLASE ORD New Common Stock 090911207 39 103620 SH OTR 1 0 103620 0 BIOMARIN PHARMACEUTICAL ORD Common Stock 09061G101 176 2080 SH OTR 1 0 2080 0 BIOMARIN PHARMACEUTICAL ORD Common Stock 09061G101 595 7040 SH OTR 1 0 7040 0 BJRI Apr0 17.5 C Call 09180C906 24 41500 SH Call OTR 1 0 41500 0 BMRN Apr0 65.0 P Put 09061G951 0 600 SH Put OTR 1 0 600 0 BMRN Apr0 65.0 P Put 09061G951 2 2300 SH Put OTR 1 0 2300 0 BMRN Apr0 70.0 P Put 09061G951 2 800 SH Put OTR 1 0 800 0 BMRN Apr0 70.0 P Put 09061G951 6 2700 SH Put OTR 1 0 2700 0 BMRN Apr0 75.0 P Put 09061G951 1 1300 SH Put OTR 1 0 1300 0 BMRN Apr0 75.0 P Put 09061G951 4 4400 SH Put OTR 1 0 4400 0 BMRN Apr0 100.0C Call 09061G901 0 700 SH Call OTR 1 0 700 0 BMRN Apr0 100.0C Call 09061G901 0 2800 SH Call OTR 1 0 2800 0 BMRN Apr0 95.0 C Call 09061G901 2 2600 SH Call OTR 1 0 2600 0 BMRN Apr0 95.0 C Call 09061G901 6 8800 SH Call OTR 1 0 8800 0 BOINGO WIRELESS ORD Common Stock 09739C102 666 62755 SH SOLE 0 62755 0 0 BOINGO WIRELESS ORD Common Stock 09739C102 205 19308 SH OTR 1 0 19308 0 CASSAVA SCIENCES ORD Common Stock 14817C107 12 2925 SH SOLE 0 2925 0 0 CASSAVA SCIENCES ORD Common Stock 14817C107 141 34297 SH SOLE 0 34297 0 0 CASSAVA SCIENCES ORD Common Stock 14817C107 43 10413 SH OTR 1 0 10413 0 CASSAVA SCIENCES ORD Common Stock 14817C107 4 900 SH OTR 1 0 900 0 CATABASIS PHARMACEUTICALS ORD New Common Stock 14875P206 508 122297 SH SOLE 0 122297 0 0 CATABASIS PHARMACEUTICALS ORD New Common Stock 14875P206 166 40114 SH OTR 1 0 40114 0 CATALYST BIOSCIENCES ORD New Common Stock 14888D208 426 97530 SH SOLE 0 97530 0 0 CATALYST BIOSCIENCES ORD New Common Stock 14888D208 138 31636 SH OTR 1 0 31636 0 CATALYST PHARMACEUTICALS ORD Common Stock 14888U101 683 177500 SH SOLE 0 177500 0 0 CATALYST PHARMACEUTICALS ORD Common Stock 14888U101 220 57125 SH OTR 1 0 57125 0 CBAY Apr0 2.5 C Call 23257D903 4 166900 SH Call OTR 1 0 166900 0 CLEARFIELD ORD Common Stock 18482P103 890 75089 SH SOLE 0 75089 0 0 CLEARPOINT NEURO ORD Common Stock 18507C103 216 60317 SH SOLE 0 60317 0 0 CLEARPOINT NEURO ORD Common Stock 18507C103 74 20594 SH OTR 1 0 20594 0 CLF 1.500 01/15/25 CVT DBCV 1.500% 1/1 185899AA9 700 975000 PRN OTR 1 0 975000 0 CLF 1.500 01/15/25 CVT DBCV 1.500% 1/1 185899AA9 2370 3300000 PRN OTR 1 0 3300000 0 COOP Apr0 7.5 C Call 62482R907 120 119500 SH Call OTR 1 0 119500 0 CYBEROPTICS ORD Common Stock 232517102 807 47158 SH SOLE 0 47158 0 0 CYBEROPTICS ORD Common Stock 232517102 266 15542 SH OTR 1 0 15542 0 CZR 5.000 10/01/24 CVT NOTE 5.000%10/0 127686AA1 408 377000 PRN OTR 1 0 377000 0 CZR 5.000 10/01/24 CVT NOTE 5.000%10/0 127686AA1 1997 1846000 PRN OTR 1 0 1846000 0 CZR Jun0 4.0 P Put 127686953 2 2900 SH Put OTR 1 0 2900 0 CZR Jun0 4.0 P Put 127686953 5 9800 SH Put OTR 1 0 9800 0 CZR Jun0 7.0 P Put 127686953 10 6800 SH Put OTR 1 0 6800 0 CZR Jun0 7.0 P Put 127686953 47 31300 SH Put OTR 1 0 31300 0 DHI GROUP ORD Common Stock 23331S100 392 181270 SH SOLE 0 181270 0 0 DIAMEDICA THERAPEUTI ORD New Common Stock 25253X207 239 85443 SH SOLE 0 85443 0 0 DIAMEDICA THERAPEUTI ORD New Common Stock 25253X207 57 20399 SH OTR 1 0 20399 0 DIGITAL TURBINE ORD New Common Stock 25400W102 848 196727 SH SOLE 0 196727 0 0 DROPBOX CL A ORD CL A 26210C104 1441 79620 SH SOLE 0 79620 0 0 DROPBOX CL A ORD CL A 26210C104 473 26130 SH OTR 1 0 26130 0 DSP GROUP ORD Common Stock 23332B106 834 62231 SH SOLE 0 62231 0 0 DUOS TECHNOLOGIES GROUP ORD Common Stock 266042407 118 24940 SH SOLE 0 24940 0 0 DUOS TECHNOLOGIES GROUP ORD Common Stock 266042407 46 9699 SH OTR 1 0 9699 0 FARO TECHNOLOGIES ORD Common Stock 311642102 388 8718 SH SOLE 0 8718 0 0 FWONA 1.375 10/15/23 CVT NOTE 1.375%10/1 531229AB8 2885 2986000 PRN OTR 1 0 2986000 0 FWONA 1.375 10/15/23 CVT NOTE 1.375%10/1 531229AB8 4810 4978000 PRN OTR 1 0 4978000 0 FWONA 1.375 10/15/23 CVT NOTE 1.375%10/1 531229AB8 15230 15762000 PRN OTR 1 0 15762000 0 ICPT 2.000 05/15/26 CVT NOTE 2.000% 5/1 45845PAB4 1084 1214000 PRN OTR 1 0 1214000 0 ICPT 2.000 05/15/26 CVT NOTE 2.000% 5/1 45845PAB4 4107 4600000 PRN OTR 1 0 4600000 0 ICPT Sep0 25.0 P Put 45845P958 16 6400 SH Put OTR 1 0 6400 0 ICPT Sep0 25.0 P Put 45845P958 60 23900 SH Put OTR 1 0 23900 0 IDEAL POWER ORD New Common Stock 451622203 60 30968 SH SOLE 0 30968 0 0 IDEAL POWER ORD New Common Stock 451622203 5 2557 SH OTR 1 0 2557 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 846 7389 SH OTR 1 0 7389 0 IWM JN0Q 153.0 C Call 464287905 4 19500 SH Call SOLE 0 19500 0 0 IWM JN0Q 153.0 C Call 464287905 1 6000 SH Call OTR 1 0 6000 0 KBR 2.500 11/01/23 CVT NOTE 2.500%11/0 48242WAB2 5244 4927000 PRN OTR 1 0 4927000 0 KBR Sep0 13.0 P Put 48242W956 39 39100 SH Put OTR 1 0 39100 0 LA JOLLA PHARMACEUTICAL ORD COM PAR $.0001 2 503459604 274 65325 SH SOLE 0 65325 0 0 LA JOLLA PHARMACEUTICAL ORD COM PAR $.0001 2 503459604 84 20100 SH OTR 1 0 20100 0 LIMELIGHT NETWORKS ORD Common Stock 53261M104 1394 244600 SH SOLE 0 244600 0 0 LIMELIGHT NETWORKS ORD Common Stock 53261M104 458 80400 SH OTR 1 0 80400 0 MAGNACHIP SEMICONDUCTR ORD Common Stock 55933J203 154 13945 SH SOLE 0 13945 0 0 MAGNACHIP SEMICONDUCTR ORD Common Stock 55933J203 47 4291 SH OTR 1 0 4291 0 MELLANOX TECHNOLOGIES ORD SHS M51363113 613 5049 SH SOLE 0 5049 0 0 MIRUM PHARMACEUTICALS ORD Common Stock 604749101 577 41210 SH SOLE 0 41210 0 0 MIRUM PHARMACEUTICALS ORD Common Stock 604749101 178 12702 SH OTR 1 0 12702 0 MR COOPER GROUP ORD Common Stock 62482R107 152 20750 SH OTR 1 0 20750 0 NANO DIMENSION 1 ADR REP 50 ORD SPONSORD ADS NEW 63008G203 21 22333 SH SOLE 0 22333 0 0 NANO DIMENSION 1 ADR REP 50 ORD SPONSORD ADS NEW 63008G203 27 28771 SH OTR 1 0 28771 0 NANOVIBRONIX ORD Common Stock 63008J108 167 77557 SH SOLE 0 77557 0 0 NANOVIBRONIX ORD Common Stock 63008J108 4 1755 SH SOLE 0 1755 0 0 NANOVIBRONIX ORD Common Stock 63008J108 59 27500 SH OTR 1 0 27500 0 NANOVIBRONIX ORD Common Stock 63008J108 6 2795 SH OTR 1 0 2795 0 NAUTILUS GROUP ORD Common Stock 63910B102 1235 473104 SH SOLE 0 473104 0 0 NAUTILUS GROUP ORD Common Stock 63910B102 384 147240 SH OTR 1 0 147240 0 NIO Apr0 1.5 P Put 62914V956 1 27300 SH Put OTR 1 0 27300 0 NIO Apr0 1.5 P Put 62914V956 2 92400 SH Put OTR 1 0 92400 0 NIO Aug0 1.5 P Put 62914V956 1 3200 SH Put OTR 1 0 3200 0 NIO Aug0 1.5 P Put 62914V956 3 11100 SH Put OTR 1 0 11100 0 NIO Aug0 3.0 P Put 62914V956 6 6500 SH Put OTR 1 0 6500 0 NIO Aug0 3.0 P Put 62914V956 21 22000 SH Put OTR 1 0 22000 0 NIO Jan1 1.5 P Put 62914V956 8 16200 SH Put OTR 1 0 16200 0 NIO Jan1 1.5 P Put 62914V956 26 55100 SH Put OTR 1 0 55100 0 NIO Jan2 1.5 P Put 62914V956 0 100 SH Put OTR 1 0 100 0 NIO Jan2 1.5 P Put 62914V956 0 500 SH Put OTR 1 0 500 0 NIOX 4.500 02/01/24 CVT PUT NOTE 4.500% 2/0 ADDED 62914VAB2 144 260000 PRN OTR 1 0 260000 0 NIOX 4.500 02/01/24 CVT PUT NOTE 4.500% 2/0 ADDED 62914VAB2 486 880000 PRN OTR 1 0 880000 0 NTNX Jan1 30.0 C Call 67059N908 38 26800 SH Call SOLE 0 26800 0 0 NTNX Jan1 30.0 C Call 67059N908 11 8100 SH Call OTR 1 0 8100 0 NUTANIX CL A ORD Call 67059N108 877 55485 SH SOLE 0 55485 0 0 NUTANIX CL A ORD Call 67059N108 263 16665 SH OTR 1 0 16665 0 ON 1.000 12/01/20 CVT NOTE 1.000%12/0 682189AK1 1312 1313000 PRN OTR 1 0 1313000 0 ON 1.000 12/01/20 CVT NOTE 1.000%12/0 682189AK1 4441 4444000 PRN OTR 1 0 4444000 0 OPTINOSE ORD Common Stock 68404V100 332 74000 SH SOLE 0 74000 0 0 OPTINOSE ORD Common Stock 68404V100 112 24864 SH OTR 1 0 24864 0 ORGANOGENESIS HOLDINGS CL A ORD Common Stock 68621F102 275 85217 SH SOLE 0 85217 0 0 ORGANOGENESIS HOLDINGS CL A ORD Common Stock 68621F102 118 36641 SH OTR 1 0 36641 0 PDS BIOTECHNOLOGY ORD Common Stock 70465T107 83 113760 SH OTR 0 113760 0 0 PDS BIOTECHNOLOGY ORD Common Stock 70465T107 35 48240 SH OTR 1 0 48240 0 PIXELWORKS ORD New Common Stock 72581M305 799 280443 SH SOLE 0 280443 0 0 QCOM Apr0 95.0 C Call 747525903 2 41500 SH Call OTR 1 0 41500 0 QUANTUM ORD New Common Stock 747906501 379 128624 SH SOLE 0 128624 0 0 QUANTUM ORD New Common Stock 747906501 89 30290 SH OTR 1 0 30290 0 QUMU ORD Common Stock 749063103 78 46896 SH SOLE 0 46896 0 0 RESONANT ORD Common Stock 76118L102 165 111715 SH SOLE 0 111715 0 0 RESONANT ORD Common Stock 76118L102 54 36776 SH OTR 1 0 36776 0 RF INDUSTRIES ORD COM PAR $0.01 749552105 158 39848 SH SOLE 0 39848 0 0 RF INDUSTRIES ORD COM PAR $0.01 749552105 101 25524 SH OTR 1 0 25524 0 RIGEL PHARMACEUTICALS ORD New Common Stock 766559603 392 251039 SH SOLE 0 251039 0 0 RIGEL PHARMACEUTICALS ORD New Common Stock 766559603 128 82350 SH OTR 1 0 82350 0 ROST Jan1 80.0 C Call 778296903 356 19500 SH Call OTR 1 0 19500 0 RP 1.500 11/15/22 CVT NOTE 1.500%11/1 75606NAB5 177 130000 PRN OTR 1 0 130000 0 RP 1.500 11/15/22 CVT NOTE 1.500%11/1 75606NAB5 601 440000 PRN OTR 1 0 440000 0 RTRX 2.500 09/15/25 CVT NOTE 2.500% 9/1 761299AB2 827 1038000 PRN OTR 1 0 1038000 0 RTRX 2.500 09/15/25 CVT NOTE 2.500% 9/1 761299AB2 3027 3800000 PRN OTR 1 0 3800000 0 RTRX Sep0 7.5 P Put 761299956 19 12700 SH Put OTR 1 0 12700 0 RTRX Sep0 7.5 P Put 761299956 87 59100 SH Put OTR 1 0 59100 0 SALARIUS PHARMACEUTICALS ORD New Common Stock 79400X107 156 228608 SH SOLE 0 228608 0 0 SALARIUS PHARMACEUTICALS ORD New Common Stock 79400X107 52 75739 SH OTR 1 0 75739 0 SCPHARMACEUTICALS ORD Common Stock 810648105 817 110391 SH SOLE 0 110391 0 0 SCPHARMACEUTICALS ORD Common Stock 810648105 246 33255 SH OTR 1 0 33255 0 SE 2.250 07/01/23 CVT NOTE 2.250% 7/0 81141RAB6 4829 2080000 PRN OTR 1 0 2080000 0 SE 2.250 07/01/23 CVT NOTE 2.250% 7/0 81141RAB6 16343 7039000 PRN OTR 1 0 7039000 0 SELECT SECTOR HEALTH CARE SPDR ETF SBI HEALTHCARE 81369Y209 640 7224 SH OTR 1 0 7224 0 SELECT SECTOR INDUSTRIAL SPDR ETF SBI INT-INDS 81369Y704 272 4604 SH OTR 1 0 4604 0 SELECT STR FINANCIAL SELECT SPDR ETF SBI INT-FINL 81369Y605 290 13920 SH OTR 1 0 13920 0 SILICOM ORD ORD M84116108 1176 43561 SH SOLE 0 43561 0 0 SMITH MICRO SOFTWARE ORD New Common Stock 832154207 364 86382 SH SOLE 0 86382 0 0 SMITH MICRO SOFTWARE ORD New Common Stock 832154207 119 28210 SH OTR 1 0 28210 0 SONIM TECHNOLOGIES ORD Common Stock 83548F101 218 311415 SH SOLE 0 311415 0 0 SPDR FUND CONSUMER DISCRE SELECT ETF SBI CONS DISCR 81369Y407 320 3268 SH OTR 1 0 3268 0 SPDR S&P BIOTECH ETF S&P BIOTECH 78464A870 545 7044 SH OTR 1 0 7044 0 SPDR S&P PHARMACEUTICALS ETF S&P PHARMAC 78464A722 237 6577 SH OTR 1 0 6577 0 SPY 1Ap0 245.0 P Put 78462F953 284 124500 SH Put OTR 1 0 124500 0 SUNESIS PHARMACEUTICALS ORD Common Stock 867328700 113 272900 SH SOLE 0 272900 0 0 SUNESIS PHARMACEUTICALS ORD Common Stock 867328700 37 89430 SH OTR 1 0 89430 0 SYK Jun0 150.0 P Put 863667951 160 16600 SH Put OTR 1 0 16600 0 SYNCHRONOSS TECHNOLOGIES ORD Common Stock 87157B103 1091 357821 SH SOLE 0 357821 0 0 SYNCHRONOSS TECHNOLOGIES ORD Common Stock 87157B103 346 113307 SH OTR 1 0 113307 0 TDOC 1.375 05/15/25 CVT NOTE 1.375% 5/1 87918AAC9 16703 5700000 PRN OTR 1 0 5700000 0 TECHTARGET ORD Common Stock 87874R100 452 21908 SH SOLE 0 21908 0 0 TRUECAR ORD Common Stock 89785L107 123 50650 SH SOLE 0 50650 0 0 TRUECAR ORD Common Stock 89785L107 40 16400 SH OTR 1 0 16400 0 TSLA 2.000 05/15/24 CVT NOTE 2.000% 5/1 88160RAG6 801 436000 PRN OTR 1 0 436000 0 TSLA 2.000 05/15/24 CVT NOTE 2.000% 5/1 88160RAG6 7940 4324000 PRN OTR 1 0 4324000 0 VANGUARD INFORMATION TECHNOLOGY ETF INF TECH ETF 92204A702 481 2272 SH OTR 1 0 2272 0 WDAY 1.500 07/15/20 CVT NOTE 1.500% 7/1 98138HAD3 4157 2605000 PRN OTR 1 0 2605000 0 WMGI 2.250 11/15/21 CVT NOTE 2.250%11/1 98236JAB4 453 325000 PRN OTR 1 0 325000 0 WMGI 2.250 11/15/21 CVT NOTE 2.250%11/1 98236JAB4 1534 1100000 PRN OTR 1 0 1100000 0 WWE 3.375 12/15/23 CVT NOTE 3.375%12/1 98156QAB4 2395 1554000 PRN OTR 1 0 1554000 0 WWE 3.375 12/15/23 CVT NOTE 3.375%12/1 98156QAB4 567 368000 PRN OTR 1 0 368000 0 WWE 3.375 12/15/23 CVT NOTE 3.375%12/1 98156QAB4 8103 5257000 PRN OTR 1 0 5257000 0 X Jan2 3.0 P Put 912909958 20 20100 SH Put OTR 1 0 20100 0 X Jan2 3.0 P Put 912909958 101 100800 SH Put OTR 1 0 100800 0 X Jan2 5.0 P Put 912909958 32 19300 SH Put OTR 1 0 19300 0 X Jan2 5.0 P Put 912909958 62 37700 SH Put OTR 1 0 37700 0 ZAFGEN ORD Common Stock 98885E103 418 542475 SH SOLE 0 542475 0 0 ZAFGEN ORD Common Stock 98885E103 132 171146 SH OTR 1 0 171146 0 ALLOT ORD Put M0854Q955 1031 109082 SH SOLE 0 109082 0 0