0001144204-17-053136.txt : 20171019 0001144204-17-053136.hdr.sgml : 20171019 20171019100240 ACCESSION NUMBER: 0001144204-17-053136 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20170930 FILED AS OF DATE: 20171019 DATE AS OF CHANGE: 20171019 EFFECTIVENESS DATE: 20171019 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: 171143885 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 09-30-2017 09-30-2017 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 10-18-2017 0 73 72999 INFORMATION TABLE 2 infotable.xml ACACIA COMMUNICATIONS INC COM 00401C108 717 15220 SH SOLE 15220 0 0 ACCELERATE DIAGNOSTICS INC COM 00430H102 655 29186 SH SOLE 29186 0 0 AKAMAI TECHNOLOGIES INC COM 00971T101 487 10000 SH SOLE 10000 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 2159 12500 SH SOLE 12500 0 0 AMERICAN TOWER CORP NEW COM 03027X100 2050 15000 SH SOLE 15000 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 4175 51600 SH SOLE 51600 0 0 ANTERO RES CORP COM 03674X106 398 20000 SH SOLE 20000 0 0 BIOLASE INC COM 090911108 226 375028 SH SOLE 375028 0 0 BLACKHAWK NETWORK HLDGS INC COM 09238E104 521 11896 SH SOLE 11896 0 0 BLACKROCK INC COM 09247X101 894 2000 SH SOLE 2000 0 0 CANADIAN SOLAR INC COM 136635109 273 16200 SH SOLE 16200 0 0 CAREDX INC COM 14167L103 100 27156 SH SOLE 27156 0 0 CATERPILLAR INC DEL COM 149123101 1247 10000 SH Put SOLE 10000 0 0 CHEROKEE INC DEL NEW COM 16444H102 316 115000 SH SOLE 115000 0 0 CIDARA THERAPEUTICS INC COM 171757107 324 40000 SH SOLE 40000 0 0 CISION LTD SHS G1992S109 681 52320 SH SOLE 52320 0 0 CLOVIS ONCOLOGY INC COM 189464100 804 10000 SH Put SOLE 10000 0 0 COMMERCIAL METALS CO COM 201723103 590 31000 SH SOLE 31000 0 0 COTT CORP QUE COM 22163N106 1501 100000 SH SOLE 100000 0 0 DIGITAL TURBINE INC COM NEW 25400W102 1058 700689 SH SOLE 700689 0 0 ENTERPRISE PRODS PARTNERS L COM 293792107 1173 45000 SH SOLE 45000 0 0 EVOLENT HEALTH INC CL A 30050B101 356 20000 SH SOLE 20000 0 0 FIREEYE INC COM 31816Q101 1762 105096 SH SOLE 105096 0 0 FIRST SOLAR INC COM 336433107 459 10000 SH SOLE 10000 0 0 HEALTH INS INNOVATIONS INC COM CL A 42225K106 326 22500 SH SOLE 22500 0 0 HORTONWORKS INC COM 440894103 254 15000 SH SOLE 15000 0 0 HOSTESS BRANDS INC CL A 44109J106 231 16900 SH SOLE 16900 0 0 IMPINJ INC COM 453204109 620 14900 SH SOLE 14900 0 0 INFINERA CORPORATION COM 45667G103 355 40000 SH SOLE 40000 0 0 INTREXON CORP COM 46122T102 475 25000 SH SOLE 25000 0 0 INVENTURE FOODS INC COM 461212102 236 50230 SH SOLE 50230 0 0 ISHARES TR IBOXX INV CP ETF 464287242 205 1690 SH SOLE 1690 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 9000 60000 SH Put SOLE 60000 0 0 JPMORGAN CHASE & CO COM 46625H100 1051 11000 SH SOLE 11000 0 0 KINDER MORGAN INC DEL COM 49456B101 767 40000 SH SOLE 40000 0 0 MACQUARIE INFRASTRUCTURE COR COM 55608B105 1444 20000 SH SOLE 20000 0 0 MBIA INC COM 55262C100 740 85000 SH SOLE 85000 0 0 MIDDLEBY CORP COM 596278101 316 2464 SH SOLE 2464 0 0 MPLX LP COM UNIT REP LTD 55336V100 210 5995 SH SOLE 5995 0 0 NABORS INDUSTRIES LTD SHS G6359F103 888 110000 SH SOLE 110000 0 0 NATIONAL OILWELL VARCO INC COM 637071101 357 10000 SH SOLE 10000 0 0 NEWFIELD EXPL CO COM 651290108 890 30000 SH SOLE 30000 0 0 NOKIA CORP SPONSORED ADR 654902204 658 110000 SH SOLE 110000 0 0 NUANCE COMMUNICATIONS INC COM 67020Y100 786 50000 SH SOLE 50000 0 0 NXSTAGE MEDICAL INC COM 67072V103 2204 80000 SH Call SOLE 80000 0 0 PACIFIC BIOSCIENCES CALIF IN COM 69404D108 2756 525000 SH SOLE 525000 0 0 PALO ALTO NETWORKS INC COM 697435105 461 3200 SH SOLE 3200 0 0 PARATEK PHARMACEUTICALS INC COM 699374302 502 20000 SH SOLE 20000 0 0 POINTS INTL LTD COM NEW 730843208 181 15870 SH SOLE 15870 0 0 PROSHARES TR ULTRAPRO DOW 30 74348A178 934 35000 SH SOLE 35000 0 0 PROSHARES TR II ULTRA VIX SHORT 74347W163 373 18100 SH SOLE 18100 0 0 QUIDEL CORP COM 74838J101 439 10000 SH SOLE 10000 0 0 RANGE RES CORP COM 75281A109 313 16000 SH SOLE 16000 0 0 RYERSON HLDG CORP COM 783754104 162 14974 SH SOLE 14974 0 0 SHOTSPOTTER INC COM 82536T107 1236 91910 SH SOLE 91910 0 0 SINCLAIR BROADCAST GROUP INC CL A 829226109 962 30000 SH SOLE 30000 0 0 SPARK ENERGY INC CL A COM 846511103 413 27500 SH SOLE 27500 0 0 SPDR GOLD TRUST GOLD SHS 78463V107 997 8200 SH SOLE 8200 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 7570 30000 SH Put SOLE 30000 0 0 STARBUCKS CORP COM 855244109 236 4401 SH SOLE 4401 0 0 SUNOPTA INC COM 8676EP108 326 37500 SH SOLE 37500 0 0 SYNERGY PHARMACEUTICALS DEL COM NEW 871639308 1051 362500 SH SOLE 362500 0 0 TESARO INC COM 881569107 1487 11519 SH SOLE 11519 0 0 TWILIO INC CL A 90138F102 299 10000 SH SOLE 10000 0 0 ULTIMATE SOFTWARE GROUP INC COM 90385D107 574 3026 SH SOLE 3026 0 0 UNITI GROUP INC COM 91325V108 880 60000 SH SOLE 60000 0 0 USA TECHNOLOGIES INC COM NO PAR 90328S500 478 76400 SH SOLE 76400 0 0 VERMILLION INC COM NEW 92407M206 214 119122 SH SOLE 119122 0 0 VERTEX ENERGY INC COM 92534K107 624 821391 SH SOLE 821391 0 0 VIACOM INC NEW CL B 92553P201 418 15000 SH SOLE 15000 0 0 VICOR CORP COM 925815102 3163 134045 SH SOLE 134045 0 0 WABTEC CORP COM 929740108 758 10000 SH SOLE 10000 0 0 XPERI CORP COM 98421B100 253 10000 SH SOLE 10000 0 0