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 |
ACER THERAPEUTICS INC | COM | 00444P108 | 3,864 | 990,655 | SH | SOLE | 990,655 | 0 | 0 | ||
AEGLEA BIOTHERAPEUTICS INC | COM | 00773J103 | 19,538 | 2,852,260 | SH | SOLE | 2,852,260 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 28,021 | 5,789,561 | SH | SOLE | 5,789,561 | 0 | 0 | ||
AKEBIA THERAPEUTICS INC | COM | 00972D105 | 9,680 | 2,000,000 | SH | Call | SOLE | 2,000,000 | 0 | 0 | |
ALTABA INC | COM | 021346101 | 61,286 | 883,464 | SH | SOLE | 883,464 | 0 | 0 | ||
APOLLO ENDOSURGERY INC | COM | 03767D108 | 5,884 | 1,810,562 | SH | SOLE | 1,810,562 | 0 | 0 | ||
APTOSE BIOSCIENCES INC | COM NEW | 03835T200 | 8,905 | 3,412,042 | SH | SOLE | 3,412,042 | 0 | 0 | ||
ARMSTRONG FLOORING INC | COM | 04238R106 | 21,319 | 2,164,349 | SH | SOLE | 2,164,349 | 0 | 0 | ||
ARQULE INC | COM | 04269E107 | 114,453 | 10,395,405 | SH | SOLE | 10,395,405 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | UNIT 10/04/2023 | G3165V117 | 4,842 | 452,944 | SH | SOLE | 452,944 | 0 | 0 | ||
ASCENT CAP GROUP INC | COM SER A | 043632108 | 1,938 | 1,794,260 | SH | SOLE | 1,794,260 | 0 | 0 | ||
BANCORP INC DEL | COM | 05969A105 | 24,211 | 2,714,238 | SH | SOLE | 2,714,238 | 0 | 0 | ||
BIODELIVERY SCIENCES INTL IN | COM | 09060J106 | 21,321 | 4,585,267 | SH | SOLE | 4,585,267 | 0 | 0 | ||
CAESARS ENTMT CORP | COM | 127686103 | 39,372 | 3,331,000 | SH | Call | SOLE | 3,331,000 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 42,118 | 672,914 | SH | SOLE | 672,914 | 0 | 0 | ||
CARVANA CO | CL A | 146869102 | 78,394 | 1,252,500 | SH | Call | SOLE | 1,252,500 | 0 | 0 | |
CARVANA CO | CL A | 146869102 | 18,777 | 300,000 | SH | Call | SOLE | 300,000 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 7,686 | 1,042,843 | SH | SOLE | 1,042,843 | 0 | 0 | ||
CHARDAN HEALTHCARE ACQUISITI | UNIT 12/13/2023 | 15957A207 | 1,019 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
CHEMBIO DIAGNOSTICS INC | COM NEW | 163572209 | 7,551 | 1,239,983 | SH | SOLE | 1,239,983 | 0 | 0 | ||
CODEXIS INC | COM | 192005106 | 98,849 | 5,363,484 | SH | SOLE | 5,363,484 | 0 | 0 | ||
CRH MEDICAL CORP | COM | 12626F105 | 18,908 | 6,284,155 | SH | SOLE | 6,284,155 | 0 | 0 | ||
CUE BIOPHARMA INC | COM | 22978P106 | 12,390 | 1,378,198 | SH | SOLE | 1,378,198 | 0 | 0 | ||
CURO GROUP HLDGS CORP | COM | 23131L107 | 18,011 | 1,629,910 | SH | SOLE | 1,629,910 | 0 | 0 | ||
DARIOHEALTH CORP | COM | 23725P100 | 2,268 | 4,281,652 | SH | SOLE | 4,281,652 | 0 | 0 | ||
DHI GROUP INC | COM | 23331S100 | 17,169 | 4,809,253 | SH | SOLE | 4,809,253 | 0 | 0 | ||
DOLBY LABORATORIES INC | COM CL A | 25659T107 | 28,856 | 446,693 | SH | SOLE | 446,693 | 0 | 0 | ||
DOVER MOTORSPORTS INC | COM | 260174107 | 3,527 | 1,695,541 | SH | SOLE | 1,695,541 | 0 | 0 | ||
DXP ENTERPRISES INC NEW | COM NEW | 233377407 | 54,165 | 1,429,545 | SH | SOLE | 1,429,545 | 0 | 0 | ||
ELEVATE CREDIT INC | COM | 28621V101 | 7,063 | 1,714,364 | SH | SOLE | 1,714,364 | 0 | 0 | ||
EMMIS COMMUNICATIONS CORP | COM NEW CL A | 291525400 | 3,713 | 781,783 | SH | SOLE | 781,783 | 0 | 0 | ||
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 17,429 | 792,604 | SH | SOLE | 792,604 | 0 | 0 | ||
EXACT SCIENCES CORP | COM | 30063P105 | 123,493 | 1,046,200 | SH | Put | SOLE | 1,046,200 | 0 | 0 | |
EXACT SCIENCES CORP | COM | 30063P105 | 29,510 | 250,000 | SH | Put | SOLE | 250,000 | 0 | 0 | |
EXELA TECHNOLOGIES INC | COM | 30162V102 | 27,984 | 12,777,887 | SH | SOLE | 12,777,887 | 0 | 0 | ||
FALCON MINERALS CORP | CL A COM | 30607B109 | 16,950 | 2,017,894 | SH | SOLE | 2,017,894 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 834 | 878,022 | SH | SOLE | 878,022 | 0 | 0 | ||
FIAT CHRYSLER AUTOMOBILES N | SHS | N31738102 | 22,568 | 1,633,000 | SH | Call | SOLE | 1,633,000 | 0 | 0 | |
FIAT CHRYSLER AUTOMOBILES N | SHS | N31738102 | 57,864 | 4,187,000 | SH | Call | SOLE | 4,187,000 | 0 | 0 | |
FINTECH ACQUISITION CORP III | UNIT 12/01/2023 | 31811A309 | 9,025 | 842,730 | SH | SOLE | 842,730 | 0 | 0 | ||
GALMED PHARMACEUTICALS LTD | SHS | M47238106 | 6,559 | 879,200 | SH | SOLE | 879,200 | 0 | 0 | ||
GLOBAL EAGLE ENTMT INC | COM | 37951D102 | 19,558 | 28,835,876 | SH | SOLE | 28,835,876 | 0 | 0 | ||
GOLDEN ENTMT INC | COM | 381013101 | 34,296 | 2,449,713 | SH | SOLE | 2,449,713 | 0 | 0 | ||
GTT COMMUNICATIONS INC | COM | 362393100 | 4,353 | 235,486 | SH | SOLE | 235,486 | 0 | 0 | ||
HCA HEALTHCARE INC | COM | 40412C101 | 43,254 | 320,000 | SH | Put | SOLE | 320,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 92,640 | 1,000,000 | SH | Put | SOLE | 1,000,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 46,320 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 7,022 | 440,000 | SH | SOLE | 440,000 | 0 | 0 | ||
HERTZ GLOBAL HLDGS INC | COM | 42806J106 | 13,434 | 841,700 | SH | Call | SOLE | 841,700 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | RIGHT 07/12/2019 | 42806J114 | 900 | 440,000 | SH | SOLE | 440,000 | 0 | 0 | ||
INSURANCE ACQUISITION CORP | UNIT 03/31/2024 | 457867307 | 5,175 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
INTERNATIONAL GAME TECHNOLOG | SHS USD | G4863A108 | 6,485 | 500,000 | SH | Call | SOLE | 500,000 | 0 | 0 | |
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 41,355 | 2,932,946 | SH | SOLE | 2,932,946 | 0 | 0 | ||
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 67,954 | 437,000 | SH | Put | SOLE | 437,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 46,650 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 77,750 | 500,000 | SH | Put | SOLE | 500,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 46,650 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 62,200 | 400,000 | SH | Put | SOLE | 400,000 | 0 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 147,725 | 950,000 | SH | Put | SOLE | 950,000 | 0 | 0 | |
JOINT CORP | COM | 47973J102 | 16,121 | 885,769 | SH | SOLE | 885,769 | 0 | 0 | ||
LINCOLN EDL SVCS CORP | COM | 533535100 | 5,629 | 2,436,805 | SH | SOLE | 2,436,805 | 0 | 0 | ||
LUXFER HOLDINGS PLC | SHS | G5698W116 | 63,795 | 2,601,749 | SH | SOLE | 2,601,749 | 0 | 0 | ||
MARRIOTT VACTINS WORLDWID CO | COM | 57164Y107 | 64,816 | 672,362 | SH | SOLE | 672,362 | 0 | 0 | ||
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 3,918 | 647,635 | SH | SOLE | 647,635 | 0 | 0 | ||
META FINL GROUP INC | COM | 59100U108 | 50,482 | 1,799,727 | SH | SOLE | 1,799,727 | 0 | 0 | ||
MOTUS GI HLDGS INC | COM | 62014P108 | 1,266 | 417,708 | SH | SOLE | 417,708 | 0 | 0 | ||
NATURES SUNSHINE PRODUCTS IN | COM | 639027101 | 5,511 | 583,510 | SH | SOLE | 583,510 | 0 | 0 | ||
NEOS THERAPEUTICS INC | COM | 64052L106 | 5,947 | 4,610,000 | SH | SOLE | 4,610,000 | 0 | 0 | ||
ON DECK CAP INC | COM | 682163100 | 26,206 | 6,314,703 | SH | SOLE | 6,314,703 | 0 | 0 | ||
PAR TECHNOLOGY CORP | COM | 698884103 | 16,928 | 600,299 | SH | SOLE | 600,299 | 0 | 0 | ||
PARTY CITY HOLDCO INC | COM | 702149105 | 31,713 | 4,326,399 | SH | SOLE | 4,326,399 | 0 | 0 | ||
PIERIS PHARMACEUTICALS INC | COM | 720795103 | 6,945 | 1,477,563 | SH | SOLE | 1,477,563 | 0 | 0 | ||
QAD INC | CL A | 74727D306 | 48,919 | 1,216,578 | SH | SOLE | 1,216,578 | 0 | 0 | ||
RADNET INC | COM | 750491102 | 15,580 | 1,129,814 | SH | SOLE | 1,129,814 | 0 | 0 | ||
RAFAEL HLDGS INC | COM CL B | 75062E106 | 13,954 | 485,366 | SH | SOLE | 485,366 | 0 | 0 | ||
REPUBLIC BANCORP KY | CL A | 760281204 | 367 | 7,371 | SH | SOLE | 7,371 | 0 | 0 | ||
RH | COM | 74967X103 | 72,269 | 625,167 | SH | SOLE | 625,167 | 0 | 0 | ||
RH | COM | 74967X103 | 41,558 | 359,500 | SH | Call | SOLE | 359,500 | 0 | 0 | |
RUMBLEON INC | CL B | 781386206 | 7,322 | 1,634,350 | SH | SOLE | 1,634,350 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 23,780 | 1,199,785 | SH | SOLE | 1,199,785 | 0 | 0 | ||
SCIENTIFIC GAMES CORP | COM | 80874P109 | 12,090 | 610,000 | SH | Call | SOLE | 610,000 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 76,541 | 3,861,800 | SH | Call | SOLE | 3,861,800 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 30,099 | 1,518,600 | SH | Call | SOLE | 1,518,600 | 0 | 0 | |
SCIPLAY CORP | CL A | 809087109 | 3,428 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
SCULLY ROYALTY LTD | COM SHS | G7T96K107 | 11,167 | 839,654 | SH | SOLE | 839,654 | 0 | 0 | ||
SEARS HOMETOWN & OUTLET STOR | COM | 812362101 | 5,084 | 2,136,251 | SH | SOLE | 2,136,251 | 0 | 0 | ||
SELECT INTERIOR CONCEPTS INC | CL A | 816120307 | 7,613 | 653,461 | SH | SOLE | 653,461 | 0 | 0 | ||
SIGA TECHNOLOGIES INC | COM | 826917106 | 10,227 | 1,800,514 | SH | SOLE | 1,800,514 | 0 | 0 | ||
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 87,900 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 35,084 | 400,000 | SH | Put | SOLE | 400,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 26,313 | 300,000 | SH | Put | SOLE | 300,000 | 0 | 0 | |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 36,531 | 416,500 | SH | Put | SOLE | 416,500 | 0 | 0 | |
SPECTRUM BRANDS HLDGS INC NE | COM | 84790A105 | 22,471 | 417,912 | SH | SOLE | 417,912 | 0 | 0 | ||
STRATA SKIN SCIENCES INC | COM NEW | 86272A206 | 7,099 | 2,851,001 | SH | SOLE | 2,851,001 | 0 | 0 | ||
STREAMLINE HEALTH SOLUTIONS | COM | 86323X106 | 2,658 | 1,760,297 | SH | SOLE | 1,760,297 | 0 | 0 | ||
SUNESIS PHARMACEUTICALS INC | COM PAR | 867328700 | 3,241 | 4,458,824 | SH | SOLE | 4,458,824 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 51,070 | 2,471,914 | SH | SOLE | 2,471,914 | 0 | 0 | ||
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 21,383 | 1,035,000 | SH | Call | SOLE | 1,035,000 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 8,884 | 430,000 | SH | Call | SOLE | 430,000 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 10,568 | 511,500 | SH | Call | SOLE | 511,500 | 0 | 0 | |
TENET HEALTHCARE CORP | COM NEW | 88033G407 | 11,415 | 552,500 | SH | Call | SOLE | 552,500 | 0 | 0 | |
TILLYS INC | CL A | 886885102 | 6,547 | 858,103 | SH | SOLE | 858,103 | 0 | 0 | ||
TRAVELCENTERS AMER LLC | COM | 894174101 | 6,032 | 1,666,365 | SH | SOLE | 1,666,365 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 112,728 | 1,442,460 | SH | SOLE | 1,442,460 | 0 | 0 | ||
UNIQURE NV | SHS | N90064101 | 16,529 | 211,500 | SH | Call | SOLE | 211,500 | 0 | 0 | |
UNIQURE NV | SHS | N90064101 | 57,831 | 740,000 | SH | Call | SOLE | 740,000 | 0 | 0 | |
UNIQURE NV | SHS | N90064101 | 48,844 | 625,000 | SH | Call | SOLE | 625,000 | 0 | 0 | |
VIVEVE MED INC | COM NEW | 92852W204 | 2,501 | 6,581,465 | SH | SOLE | 6,581,465 | 0 | 0 | ||
WAYFAIR INC | CL A | 94419L101 | 26,422 | 180,970 | SH | SOLE | 180,970 | 0 | 0 | ||
WORLD ACCEP CORP DEL | COM | 981419104 | 101,329 | 617,446 | SH | SOLE | 617,446 | 0 | 0 | ||
ZOVIO INC | COM | 98979V102 | 3,545 | 990,305 | SH | SOLE | 990,305 | 0 | 0 |