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 |
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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 |
5 01 ACQUISITION CORP | COM CL A | 33836P105 | 1,819 | 185,213 | SH | SOLE | 185,213 | 0 | 0 | ||
ACADIA PHARMACEUTICALS INC | COM | 004225108 | 4,983 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
ACER THERAPEUTICS INC | COM | 00444P108 | 2,340 | 914,197 | SH | SOLE | 914,197 | 0 | 0 | ||
ADICET BIO INC | COM | 007002108 | 2,435 | 310,540 | SH | SOLE | 310,540 | 0 | 0 | ||
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 12,060 | 1,516,955 | SH | SOLE | 1,516,955 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 14,337 | 4,978,195 | SH | SOLE | 4,978,195 | 0 | 0 | ||
AKUMIN INC | COM | 01021F109 | 15,675 | 6,320,740 | SH | SOLE | 6,320,740 | 0 | 0 | ||
ALTA EQUIPMENT GROUP INC | COMMON STOCK | 02128L106 | 26,638 | 1,940,082 | SH | SOLE | 1,940,082 | 0 | 0 | ||
ANGION BIOMEDICA CORP | COM | 03476J107 | 1,158 | 118,521 | SH | SOLE | 118,521 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 22,780 | 2,514,328 | SH | SOLE | 2,514,328 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 16,035 | 7,355,730 | SH | SOLE | 7,355,730 | 0 | 0 | ||
ARYA SCIENCES ACQU CORP IV | CL A | G31659108 | 4,012 | 399,248 | SH | SOLE | 399,248 | 0 | 0 | ||
ARYA SCIENCES ACQUISITN CORP | CLASS A ORD SHS | G31658100 | 9,880 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
ATHENA TECHNOLOGY ACQUISI CO | COM CLASS A | 04687A109 | 4,959 | 499,586 | SH | SOLE | 499,586 | 0 | 0 | ||
AUTOLUS THERAPEUTICS PLC | SPON ADS | 05280R100 | 19,236 | 2,936,791 | SH | SOLE | 2,936,791 | 0 | 0 | ||
AVALO THERAPEUTICS INC | COM | 05338F108 | 15,156 | 6,952,401 | SH | SOLE | 6,952,401 | 0 | 0 | ||
AVENUE THERAPEUTICS INC | COM NEW | 05360L205 | 45 | 30,211 | SH | SOLE | 30,211 | 0 | 0 | ||
AVIS BUDGET GROUP | COM | 053774105 | 64,081 | 550,000 | SH | Put | SOLE | 550,000 | 0 | 0 | |
B RILEY PRINCIPAL 150 MERGER | UNIT 99/99/9999 | 05601V202 | 3,754 | 375,000 | SH | SOLE | 375,000 | 0 | 0 | ||
B. RILEY FINANCIAL INC | COM | 05580M108 | 5,535 | 93,757 | SH | SOLE | 93,757 | 0 | 0 | ||
BBQ HLDGS INC | COM | 05551A109 | 15,090 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
CARIBOU BIOSCIENCES INC | COM | 142038108 | 1,347 | 56,418 | SH | SOLE | 56,418 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 61,424 | 203,700 | SH | Call | SOLE | 203,700 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 9,996 | 2,432,212 | SH | SOLE | 2,432,212 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 87,207 | 3,749,241 | SH | SOLE | 3,749,241 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 37,461 | 2,571,082 | SH | SOLE | 2,571,082 | 0 | 0 | ||
CURIS INC | COM NEW | 231269200 | 19,279 | 2,462,248 | SH | SOLE | 2,462,248 | 0 | 0 | ||
CYREN LTD | SHS | M26895108 | 95 | 152,393 | SH | SOLE | 152,393 | 0 | 0 | ||
DARIOHEALTH CORP | COM NEW | 23725P209 | 14,518 | 1,063,515 | SH | SOLE | 1,063,515 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 16,068 | 3,375,606 | SH | SOLE | 3,375,606 | 0 | 0 | ||
DOVER MOTORSPORTS INC | COM | 260174107 | 6,258 | 2,586,043 | SH | SOLE | 2,586,043 | 0 | 0 | ||
DXP ENTERPRISES INC | COM NEW | 233377407 | 34,769 | 1,175,806 | SH | SOLE | 1,175,806 | 0 | 0 | ||
ELOXX PHARMACEUTICALS INC | COM | 29014R103 | 1,971 | 1,209,338 | SH | SOLE | 1,209,338 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 147,243 | 2,057,039 | SH | SOLE | 2,057,039 | 0 | 0 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 14,318 | 150,000 | SH | Put | SOLE | 150,000 | 0 | 0 | |
EXAGEN INC | COM | 30068X103 | 2,878 | 211,616 | SH | SOLE | 211,616 | 0 | 0 | ||
FALCON MINERALS CORP | CL A COM | 30607B109 | 11,726 | 2,494,913 | SH | SOLE | 2,494,913 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 127 | 878,022 | SH | SOLE | 878,022 | 0 | 0 | ||
FARADAY FUTRE INTLGT ELCTR I | COM | 307359109 | 3,304 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | COM CL A | 31810Q107 | 10,043 | 991,432 | SH | SOLE | 991,432 | 0 | 0 | ||
FINTECH ACQUISITION CORP V | *W EXP 12/31/202 | 31810Q115 | 697 | 333,331 | SH | SOLE | 333,331 | 0 | 0 | ||
FINTECH ACQUISITION CORP VI | UNIT 06/24/2026 | 31811H205 | 10,000 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
FORTRESS BIOTECH INC | COM | 34960Q109 | 26,213 | 8,140,794 | SH | SOLE | 8,140,794 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | *W EXP 02/28/202 | G3728Y111 | 257 | 249,997 | SH | SOLE | 249,997 | 0 | 0 | ||
FTAC HERA ACQUISITION CORP | CLASS A ORD SHS | G3728Y103 | 9,740 | 999,991 | SH | SOLE | 999,991 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 1,045 | 374,730 | SH | SOLE | 374,730 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 44,242 | 901,237 | SH | SOLE | 901,237 | 0 | 0 | ||
GUARDFORCE AI CO LTD | SHS NEW | G4236L112 | 2,111 | 533,128 | SH | SOLE | 533,128 | 0 | 0 | ||
GUARDFORCE AI CO LTD | *W EXP 09/01/202 | G4236L120 | 480 | 600,000 | SH | SOLE | 600,000 | 0 | 0 | ||
HARPOON THERAPEUTICS INC | COM | 41358P106 | 3,306 | 418,483 | SH | SOLE | 418,483 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 8,641 | 35,600 | SH | SOLE | 35,600 | 0 | 0 | ||
HEALTHCOR CATALIO ACQU CORP | CL A SHS | G44125105 | 3,508 | 354,296 | SH | SOLE | 354,296 | 0 | 0 | ||
HERBALIFE NUTRITION LTD | COM SHS | G4412G101 | 11,782 | 278,000 | SH | Call | SOLE | 278,000 | 0 | 0 | |
HOOKIPA PHARMA INC | COM | 43906K100 | 2,918 | 495,388 | SH | SOLE | 495,388 | 0 | 0 | ||
HTG MOLECULAR DIAGNOSTICS IN | COM NEW | 40434H203 | 1,982 | 347,171 | SH | SOLE | 347,171 | 0 | 0 | ||
IDW MEDIA HLDGS INC | CL B | 44951N106 | 3,528 | 1,242,243 | SH | SOLE | 1,242,243 | 0 | 0 | ||
IMAC HLDGS INC | COM | 44967K104 | 3,573 | 2,414,310 | SH | SOLE | 2,414,310 | 0 | 0 | ||
IMAX CORP | COM | 45245E109 | 34,164 | 1,800,000 | SH | Call | SOLE | 1,800,000 | 0 | 0 | |
IMAX CORP | COM | 45245E109 | 53,457 | 2,816,492 | SH | SOLE | 2,816,492 | 0 | 0 | ||
IMMATICS N.V | SHS | N44445109 | 34,417 | 2,647,449 | SH | SOLE | 2,647,449 | 0 | 0 | ||
IMMATICS N.V | *W EXP 07/01/202 | N44445117 | 958 | 226,471 | SH | SOLE | 226,471 | 0 | 0 | ||
IMV INC | COM | 44974L103 | 3,765 | 2,268,030 | SH | SOLE | 2,268,030 | 0 | 0 | ||
IN8BIO INC | COM | 45674E109 | 2,569 | 375,000 | SH | SOLE | 375,000 | 0 | 0 | ||
INSU ACQUISITION CORP III | *W EXP 12/31/202 | 457817112 | 292 | 333,332 | SH | SOLE | 333,332 | 0 | 0 | ||
INSU ACQUISITION CORP III | COM CL A | 457817104 | 9,820 | 999,996 | SH | SOLE | 999,996 | 0 | 0 | ||
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 25,612 | 1,533,660 | SH | SOLE | 1,533,660 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 481,250 | 2,200,000 | SH | Put | SOLE | 2,200,000 | 0 | 0 | |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 86,592 | 600,000 | SH | Put | SOLE | 600,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 21,786 | 99,593 | SH | SOLE | 99,593 | 0 | 0 | ||
KEROS THERAPEUTICS INC | COM | 492327101 | 30,081 | 760,383 | SH | SOLE | 760,383 | 0 | 0 | ||
KINTARA THERAPEUTICS INC | COM | 49720K101 | 582 | 663,279 | SH | SOLE | 663,279 | 0 | 0 | ||
KIRKLANDS INC | COM | 497498105 | 2,545 | 132,500 | SH | Put | SOLE | 132,500 | 0 | 0 | |
LAVA THERAPEUTICS NV | SHS | N51517105 | 2,186 | 369,290 | SH | SOLE | 369,290 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 9,598 | 1,434,674 | SH | SOLE | 1,434,674 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 41,473 | 2,112,728 | SH | SOLE | 2,112,728 | 0 | 0 | ||
MERCK & CO INC | COM | 58933Y105 | 45,066 | 600,000 | SH | Call | SOLE | 600,000 | 0 | 0 | |
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 2,753 | 569,971 | SH | SOLE | 569,971 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 60,420 | 1,151,305 | SH | SOLE | 1,151,305 | 0 | 0 | ||
METROMILE INC | COM | 591697107 | 6,746 | 1,900,177 | SH | SOLE | 1,900,177 | 0 | 0 | ||
METROMILE INC | *W EXP 02/09/202 | 591697115 | 475 | 558,296 | SH | SOLE | 558,296 | 0 | 0 | ||
MILLER HERMAN INC | COM | 600544100 | 55,314 | 1,468,766 | SH | SOLE | 1,468,766 | 0 | 0 | ||
NAUTILUS BIOTECHNOLOGY INC | COM | 63909J108 | 6,412 | 1,044,267 | SH | SOLE | 1,044,267 | 0 | 0 | ||
NEUROPACE INC | COM | 641288105 | 2,245 | 141,641 | SH | SOLE | 141,641 | 0 | 0 | ||
PAR TECHNOLOGY CORP | NOTE 2.875% 4/1 | 698884AC7 | 9,829 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
PARTY CITY HOLDCO INC | COM | 702149105 | 7,100 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
PAYA HOLDINGS INC | COM CL A | 70434P103 | 16,100 | 1,481,096 | SH | SOLE | 1,481,096 | 0 | 0 | ||
PAYONEER GLOBAL INC | COM | 70451X104 | 5,602 | 655,169 | SH | SOLE | 655,169 | 0 | 0 | ||
PELOTON INTERACTIVE INC | CL A COM | 70614W100 | 17,410 | 200,000 | SH | Call | SOLE | 200,000 | 0 | 0 | |
PERELLA WEINBERG PARTNERS | CLASS A COM | 71367G102 | 6,370 | 480,784 | SH | SOLE | 480,784 | 0 | 0 | ||
PERELLA WEINBERG PARTNERS | *W EXP 12/31/202 | 71367G110 | 1,264 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
QAD INC | CL A | 74727D306 | 80,989 | 926,756 | SH | SOLE | 926,756 | 0 | 0 | ||
READING INTL INC | CL A | 755408101 | 17,560 | 3,470,315 | SH | SOLE | 3,470,315 | 0 | 0 | ||
RED VIOLET INC | COM | 75704L104 | 25,810 | 1,000,000 | SH | SOLE | 1,000,000 | 0 | 0 | ||
REGIS CORP MINN | COM | 758932107 | 53 | 15,268 | SH | SOLE | 15,268 | 0 | 0 | ||
REGIS CORP MINN | COM | 758932107 | 1,740 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
RMR GROUP INC | CL A | 74967R106 | 20,965 | 626,751 | SH | SOLE | 626,751 | 0 | 0 | ||
ROTH CH ACQUISITION III CO | *W EXP 02/26/202 | 77867Q110 | 128 | 99,749 | SH | SOLE | 99,749 | 0 | 0 | ||
RYMAN HOSPITALITY PPTYS INC | COM | 78377T107 | 25,110 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 1,730 | 20,827 | SH | SOLE | 20,827 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 129,531 | 1,559,300 | SH | Call | SOLE | 1,559,300 | 0 | 0 | |
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 8,540 | 752,434 | SH | SOLE | 752,434 | 0 | 0 | ||
SEMLER SCIENTIFIC INC | COM | 81684M104 | 18,182 | 145,419 | SH | SOLE | 145,419 | 0 | 0 | ||
SHIFT TECHNOLOGIES INC | CL A | 82452T107 | 31,051 | 4,474,220 | SH | SOLE | 4,474,220 | 0 | 0 | ||
SILVERBACK THERAPEUTICS INC | COM | 82835W108 | 12,242 | 1,226,631 | SH | SOLE | 1,226,631 | 0 | 0 | ||
SOLENO THERAPEUTICS INC | COM NEW | 834203200 | 9,028 | 9,765,129 | SH | SOLE | 9,765,129 | 0 | 0 | ||
SPDR SER TR | S&P BIOTECH | 78464A870 | 62,855 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 8,419 | 4,575,812 | SH | SOLE | 4,575,812 | 0 | 0 | ||
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 50,778 | 2,657,159 | SH | SOLE | 2,657,159 | 0 | 0 | ||
TANGO THERAPEUTICS INC | COM | 87583X109 | 1,293 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
TAYSHA GENE THERAPIES INC | COM SHS | 877619106 | 23,262 | 1,249,309 | SH | SOLE | 1,249,309 | 0 | 0 | ||
TELADOC HEALTH INC | COM | 87918A105 | 12,681 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
TELIGENT INC NEW | COM NEW | 87960W203 | 207 | 525,952 | SH | SOLE | 525,952 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 58,195 | 875,900 | SH | Call | SOLE | 875,900 | 0 | 0 | |
TFF PHARMACEUTICALS INC | COM | 87241J104 | 2,093 | 271,067 | SH | SOLE | 271,067 | 0 | 0 | ||
TMC THE METALS COMPANY INC | COM | 87261Y106 | 3,199 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
TRANSACT TECHNOLOGIES INC | COM | 892918103 | 1,065 | 76,583 | SH | SOLE | 76,583 | 0 | 0 | ||
TRAVEL PLUS LEISURE CO | COM | 894164102 | 54,530 | 1,000,000 | SH | Call | SOLE | 1,000,000 | 0 | 0 | |
TRAVEL PLUS LEISURE CO | COM | 894164102 | 50,838 | 932,294 | SH | SOLE | 932,294 | 0 | 0 | ||
TRAVELCENTERS OF AMERICA INC | COM NEW | 89421B109 | 63,361 | 1,272,570 | SH | SOLE | 1,272,570 | 0 | 0 | ||
UNICYCIVE THERAPEUTICS INC | COM | 90466Y103 | 1,981 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 56,313 | 1,759,218 | SH | SOLE | 1,759,218 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 67,410 | 2,105,900 | SH | Call | SOLE | 2,105,900 | 0 | 0 | |
VIEMED HEALTHCARE INC | COM | 92663R105 | 7,954 | 1,433,201 | SH | SOLE | 1,433,201 | 0 | 0 | ||
VIRGIN GALACTIC HOLDINGS INC | COM | 92766K106 | 10,120 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
VONAGE HLDGS CORP | COM | 92886T201 | 47,752 | 2,962,298 | SH | SOLE | 2,962,298 | 0 | 0 | ||
VONAGE HLDGS CORP | COM | 92886T201 | 20,150 | 1,250,000 | SH | Call | SOLE | 1,250,000 | 0 | 0 | |
WAVE LIFE SCIENCES LTD | SHS | Y95308105 | 4,871 | 994,131 | SH | SOLE | 994,131 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 206,375 | 807,700 | SH | Call | SOLE | 807,700 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 7,318 | 481,782 | SH | SOLE | 481,782 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 7,173 | 3,001,190 | SH | SOLE | 3,001,190 | 0 | 0 |