0001104659-19-058792.txt : 20191101 0001104659-19-058792.hdr.sgml : 20191101 20191101112630 ACCESSION NUMBER: 0001104659-19-058792 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191101 DATE AS OF CHANGE: 20191101 EFFECTIVENESS DATE: 20191101 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: 191185775 BUSINESS ADDRESS: STREET 1: 767 THIRD AVE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 646-561-2622 MAIL ADDRESS: STREET 1: 767 THIRD AVE STREET 2: 11TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001307877 XXXXXXXX 09-30-2019 09-30-2019 false Trellus Management Company, LLC

767 Third Ave 11th Floor New York NY 10017

13F HOLDINGS REPORT 028-10974 N James Scaplen 646-561-2622 /s/ James Scaplen New York NY 11-01-2019 0 67 99746 INFORMATION TABLE 2 infotable.xml ACCELERATE DIAGNOSTICS INC COM 00430H102 622 33500 SH SOLE 33500 0 0 AIRGAIN INC COM 00938A104 488 41498 SH SOLE 41498 0 0 AKOUSTIS TECHNOLOGIES INC COM 00973N102 161 20724 SH SOLE 20724 0 0 ALCOA CORP COM 013872106 309 15400 SH SOLE 15400 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2090 12500 SH SOLE 12500 0 0 ALTRIA GROUP INC COM 02209S103 614 15000 SH SOLE 15000 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 303 20000 SH SOLE 20000 0 0 AMERICAN TOWER CORP NEW COM 03027X100 3317 15000 SH SOLE 15000 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 6410 51600 SH SOLE 51600 0 0 ATARA BIOTHERAPEUTICS INC COM 046513107 847 60000 SH SOLE 60000 0 0 ATLASSIAN CORP PLC CL A G06242104 566 4511 SH SOLE 4511 0 0 AUTODESK INC COM 052769106 591 4000 SH SOLE 4000 0 0 BAIDU INC SPON ADR REP A 056752108 873 8500 SH SOLE 8500 0 0 BIOHAVEN PHARMACTL HLDG CO L COM G11196105 330 7900 SH SOLE 7900 0 0 BIOLASE INC COM NEW 090911207 15 16389 SH SOLE 16389 0 0 BLACKROCK INC COM 09247X101 891 2000 SH SOLE 2000 0 0 BOINGO WIRELESS INC COM 09739C102 813 73202 SH SOLE 73202 0 0 CITIGROUP GLOBAL MKTS HLDGS VLCTYSHS 3X LNG 17325E291 275 26500 SH SOLE 26500 0 0 CLEAN ENERGY FUELS CORP COM 184499101 145 70000 SH SOLE 70000 0 0 CONSTELLIUM SE CL A N22035104 245 19250 SH SOLE 19250 0 0 CONTRAFECT CORP COM 212326102 191 534118 SH SOLE 534118 0 0 COOPER STD HLDGS INC COM 21676P103 1226 30000 SH SOLE 30000 0 0 CREDIT SUISSE NASSAU BRH 3X LONG GOLD 22542D316 305 2300 SH SOLE 2300 0 0 DARLING INGREDIENTS INC COM 237266101 1586 82927 SH SOLE 82927 0 0 DERMIRA INC COM 24983L104 575 90000 SH SOLE 90000 0 0 DIGITAL TURBINE INC COM NEW 25400W102 4176 647896 SH SOLE 647896 0 0 DIREXION SHS ETF TR DLY GOLD INDX 3X 25460E844 412 14800 SH SOLE 14800 0 0 EBIX INC COM NEW 278715206 1684 40000 SH SOLE 40000 0 0 EIGER BIOPHARMACEUTICALS INC COM 28249U105 871 85000 SH SOLE 85000 0 0 FERROGLOBE PLC SHS G33856108 37 33000 SH SOLE 33000 0 0 FIREEYE INC COM 31816Q101 1402 105096 SH SOLE 105096 0 0 FIRST SOLAR INC COM 336433107 587 10124 SH SOLE 10124 0 0 FREEPORT-MCMORAN INC CL B 35671D857 191 20000 SH SOLE 20000 0 0 FS KKR CAPITAL CORP COM 302635107 933 160000 SH SOLE 160000 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 1745 70000 SH SOLE 70000 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 1832 73500 SH Call SOLE 73500 0 0 IMPINJ INC COM 453204109 576 18677 SH SOLE 18677 0 0 INVESCO DB MLTI SECTR CMMTY BASE METALS FD 46140H700 154 10400 SH SOLE 10400 0 0 ISHARES TR 3 7 YR TREAS BD 464288661 509 4013 SH SOLE 4013 0 0 JPMORGAN CHASE & CO COM 46625H100 1295 11000 SH SOLE 11000 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 236 26845 SH SOLE 26845 0 0 LRAD CORP COM 50213V109 117 35000 SH SOLE 35000 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 266 35000 SH SOLE 35000 0 0 MOTUS GI HLDGS INC COM 62014P108 406 205000 SH SOLE 205000 0 0 NETFLIX INC COM 64110L106 288 1075 SH SOLE 1075 0 0 NOKIA CORP SPONSORED ADR 654902204 1366 270000 SH SOLE 270000 0 0 OKTA INC CL A 679295105 345 3500 SH SOLE 3500 0 0 OVERSTOCK COM INC DEL COM 690370101 865 81700 SH SOLE 81700 0 0 PAGSEGURO DIGITAL LTD COM CL A G68707101 367 7924 SH SOLE 7924 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 799 185000 SH SOLE 185000 0 0 PLAINS ALL AMERN PIPELINE L UNIT LTD PARTN 726503105 208 10000 SH SOLE 10000 0 0 POSTAL REALTY TRUST INC CL A 73757R102 315 19900 SH SOLE 19900 0 0 PRGX GLOBAL INC COM NEW 69357C503 796 154633 SH SOLE 154633 0 0 PROSHARES TR ULTRAPRO SHORT S 74347B268 2676 103000 SH SOLE 103000 0 0 ROKU INC COM CL A 77543R102 513 5039 SH SOLE 5039 0 0 RUMBLEON INC CL B 781386206 231 80000 SH SOLE 80000 0 0 SIX FLAGS ENTMT CORP NEW COM 83001A102 508 10000 SH SOLE 10000 0 0 SOLENO THERAPEUTICS INC COM NEW 834203200 446 297132 SH SOLE 297132 0 0 SPARTAN MTRS INC COM 846819100 637 46454 SH SOLE 46454 0 0 SPDR DOW JONES INDL AVRG ETF UT SER 1 78467X109 32302 120000 SH Put SOLE 120000 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 8903 30000 SH Put SOLE 30000 0 0 SPDR SERIES TRUST S&P OILGAS EXP 78464A730 568 25400 SH SOLE 25400 0 0 TUESDAY MORNING CORP COM NEW 899035505 243 154600 SH SOLE 154600 0 0 VANECK VECTORS ETF TR RARE EARTH STRAT 92189F742 283 22400 SH SOLE 22400 0 0 VERTEX ENERGY INC COM 92534K107 946 829943 SH SOLE 829943 0 0 VICOR CORP COM 925815102 3836 129945 SH SOLE 129945 0 0 WESTPORT FUEL SYSTEMS INC COM NEW 960908309 1088 400000 SH SOLE 400000 0 0