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 |
58 COM INC | SPON ADR REP A | 31680Q104 | 663 | 10,100 | SH | SOLE | N/A | 10,100 | 0 | 0 | |
ACM RESEARCH INC | COM CL A | 00108J109 | 158 | 10,240 | SH | SOLE | N/A | 10,240 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 390 | 54,822 | SH | SOLE | N/A | 54,822 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 1,633 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 884 | 18,600 | SH | SOLE | N/A | 18,600 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 1,642 | 9,000 | SH | SOLE | N/A | 9,000 | 0 | 0 | |
ALPHA & OMEGA SEMICONDUCTOR | SHS | G6331P104 | 310 | 26,945 | SH | SOLE | N/A | 26,945 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 4,119 | 3,500 | SH | SOLE | N/A | 3,500 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 4,452 | 2,500 | SH | SOLE | N/A | 2,500 | 0 | 0 | |
APPLE INC | COM | 037833100 | 37,990 | 200,000 | SH | Put | SOLE | N/A | 200,000 | 0 | 0 |
ARGAN INC | COM | 04010E109 | 1,998 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
ARLO TECHNOLOGIES INC | COM | 04206A101 | 366 | 88,647 | SH | SOLE | N/A | 88,647 | 0 | 0 | |
ARRAY BIOPHARMA INC | COM | 04269X105 | 1,219 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
ATHENEX INC | COM | 04685N103 | 490 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
AXOGEN INC | COM | 05463X106 | 3,388 | 160,876 | SH | SOLE | N/A | 160,876 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 1,374 | 1,033,333 | SH | SOLE | N/A | 1,033,333 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 659 | 4,000 | SH | SOLE | N/A | 4,000 | 0 | 0 | |
BEASLEY BROADCAST GROUP INC | CL A | 074014101 | 1,626 | 408,511 | SH | SOLE | N/A | 408,511 | 0 | 0 | |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 4,643 | 245,000 | SH | SOLE | N/A | 245,000 | 0 | 0 | |
BOOT BARN HLDGS INC | COM | 099406100 | 5,152 | 175,000 | SH | SOLE | N/A | 175,000 | 0 | 0 | |
BRIGHT SCHOLAR ED HLDGS LTD | SPONSORED ADS | 109199109 | 207 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 954 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 2,644 | 55,000 | SH | SOLE | N/A | 55,000 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 9,604 | 200,000 | SH | Call | SOLE | N/A | 200,000 | 0 | 0 |
CAREDX INC | COM | 14167L103 | 1,928 | 61,160 | SH | SOLE | N/A | 61,160 | 0 | 0 | |
CARROLS RESTAURANT GROUP INC | COM | 14574X104 | 1,775 | 178,000 | SH | SOLE | N/A | 178,000 | 0 | 0 | |
CHANGYOU COM LTD | ADS REP CL A | 15911M107 | 349 | 20,403 | SH | SOLE | N/A | 20,403 | 0 | 0 | |
CHINACACHE INTL HLDG LTD | SPONSORED ADR | 16950M107 | 234 | 187,526 | SH | SOLE | N/A | 187,526 | 0 | 0 | |
CRESCENT ACQUISITION CORP | UNIT 99/99/9999 | 22564L204 | 2,000 | 200,000 | SH | SOLE | N/A | 200,000 | 0 | 0 | |
CTRIP COM INTL LTD | SPONSORED ADS | 22943F100 | 812 | 18,587 | SH | SOLE | N/A | 18,587 | 0 | 0 | |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 12,180 | 1,500,000 | SH | Call | SOLE | N/A | 1,500,000 | 0 | 0 |
DIREXION SHS ETF TR | CSI 300 BULL2X | 25490K869 | 746 | 31,000 | SH | SOLE | N/A | 31,000 | 0 | 0 | |
EGAIN CORP | COM NEW | 28225C806 | 1,074 | 102,800 | SH | SOLE | N/A | 102,800 | 0 | 0 | |
ELECTROCORE INC | COM | 28531P103 | 1,250 | 178,571 | SH | SOLE | N/A | 178,571 | 0 | 0 | |
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 543 | 22,600 | SH | SOLE | N/A | 22,600 | 0 | 0 | |
ETF MANAGERS TR | ETFMG ALTR HRVST | 26924G508 | 23,641 | 650,000 | SH | Put | SOLE | N/A | 650,000 | 0 | 0 |
EVERBRIDGE INC | COM | 29978A104 | 3,597 | 47,950 | SH | SOLE | N/A | 47,950 | 0 | 0 | |
EYEPOINT PHARMACEUTICALS INC | COM | 30233G100 | 589 | 329,000 | SH | SOLE | N/A | 329,000 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 9,376 | 56,250 | SH | SOLE | N/A | 56,250 | 0 | 0 | |
FANG HLDGS LTD | ADR | 30711Y102 | 166 | 123,000 | SH | SOLE | N/A | 123,000 | 0 | 0 | |
FANHUA INC | SPONSORED ADR | 30712A103 | 788 | 30,000 | SH | Put | SOLE | N/A | 30,000 | 0 | 0 |
FINISAR CORP | NOTE 0.500%12/1 | 31787AAP6 | 982 | 1,000,000 | PRN | SOLE | N/A | 1,000,000 | 0 | 0 | |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 322 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 3,024 | 143,400 | SH | SOLE | N/A | 143,400 | 0 | 0 | |
INNOVATE BIOPHARMACEUTICLS I | COM PAR | 45782F105 | 828 | 429,184 | SH | SOLE | N/A | 429,184 | 0 | 0 | |
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 3,498 | 300,000 | SH | SOLE | N/A | 300,000 | 0 | 0 | |
INVESCO EXCHNG TRADED FD TR | CHINA TECHNLGY | 46138E800 | 1,110 | 22,600 | SH | SOLE | N/A | 22,600 | 0 | 0 | |
iShares China Large-Cap (ETF) | CHINA LG-CAP ETF | 464287184 | 88,540 | 2,000,000 | SH | Call | SOLE | N/A | 2,000,000 | 0 | 0 |
ISHARES IBOXX USD HIGH YIELD | IBOXX HI YD ETF | 464288513 | 9,244 | 106,900 | SH | Put | SOLE | N/A | 106,900 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 89,114 | 582,100 | SH | Call | SOLE | N/A | 582,100 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 168,399 | 1,100,000 | SH | Put | SOLE | N/A | 1,100,000 | 0 | 0 |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 443 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
JIANPU TECHNOLOGY INC | ADR | 47738D101 | 2,121 | 423,294 | SH | SOLE | N/A | 423,294 | 0 | 0 | |
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 1,870 | 39,700 | SH | SOLE | N/A | 39,700 | 0 | 0 | |
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 23,550 | 500,000 | SH | Call | SOLE | N/A | 500,000 | 0 | 0 |
LEXINFINTECH HLDGS LTD | ADR | 528877103 | 420 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
LULULEMON ATHLETICA INC | COM | 550021109 | 4,588 | 28,000 | SH | SOLE | N/A | 28,000 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 1,927 | 34,090 | SH | SOLE | N/A | 34,090 | 0 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 | 2,002 | 1,700,000 | PRN | SOLE | N/A | 1,700,000 | 0 | 0 | |
MAGNACHIP SEMICONDUCTOR SA | NOTE 5.000% 3/0 | 55932XAB0 | 567 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 12,730 | 3,045,407 | SH | SOLE | N/A | 3,045,407 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 3,344 | 800,000 | SH | Call | SOLE | N/A | 80,000 | 0 | 0 |
MATINAS BIOPHARMA HLDGS INC | COM | 576810105 | 1,860 | 1,706,134 | SH | SOLE | N/A | 1,706,134 | 0 | 0 | |
MOTORCAR PTS AMER INC | COM | 620071100 | 610 | 32,316 | SH | SOLE | N/A | 32,316 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 775 | 123,176 | SH | SOLE | N/A | 123,176 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 483 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 991 | 11,000 | SH | SOLE | N/A | 11,000 | 0 | 0 | |
NOKIA CORP | SPONSORED ADR | 654902204 | 1,716 | 300,000 | SH | SOLE | N/A | 300,000 | 0 | 0 | |
NOODLES & CO | COM CL A | 65540B105 | 917 | 134,851 | SH | SOLE | N/A | 134,851 | 0 | 0 | |
ON SEMICONDUCTOR CORP | COM | 682189105 | 1,234 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
OPIANT PHARMACEUTICALS INC | COM | 683750103 | 761 | 58,000 | SH | SOLE | N/A | 58,000 | 0 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 456 | 27,450 | SH | SOLE | N/A | 27,450 | 0 | 0 | |
OVID THERAPEUTICS INC | COM | 690469101 | 740 | 417,857 | SH | SOLE | N/A | 417,857 | 0 | 0 | |
PINDUODUO INC | SPONSORED ADS | 722304102 | 1,364 | 55,000 | SH | SOLE | N/A | 55,000 | 0 | 0 | |
PLAYAGS INC | COM | 72814N104 | 2,872 | 120,000 | SH | SOLE | N/A | 120,000 | 0 | 0 | |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 179,660 | 1,000,000 | SH | Put | SOLE | N/A | 1,000,000 | 0 | 0 |
QUDIAN INC | ADR | 747798106 | 152 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
QUOTIENT LTD | SHS | G73268107 | 1,216 | 135,000 | SH | SOLE | N/A | 135,000 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 919 | 8,525 | SH | SOLE | N/A | 8,525 | 0 | 0 | |
RUBIUS THERAPEUTICS INC | COM | 78116T103 | 667 | 36,848 | SH | SOLE | N/A | 36,848 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 2,443 | 20,500 | SH | SOLE | N/A | 20,500 | 0 | 0 | |
SEA LTD | SPONSORED ADS | 81141R100 | 5,410 | 230,000 | SH | SOLE | N/A | 230,000 | 0 | 0 | |
SEMICONDUCTOR MFG INTL CORP | SPONSORED ADR | 81663N206 | 123 | 24,300 | SH | SOLE | N/A | 24,300 | 0 | 0 | |
SIENTRA INC | COM | 82621J105 | 7,550 | 880,000 | SH | SOLE | N/A | 880,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 49,434 | 175,000 | SH | Put | SOLE | N/A | 175,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 45,270 | 500,000 | SH | Put | SOLE | N/A | 500,000 | 0 | 0 |
SPDR SERIES TRUST | S&P OILGAS EXP | 78464A730 | 30,740 | 1,000,000 | SH | Call | SOLE | N/A | 1,000,000 | 0 | 0 |
SPDR SERIES TRUST | S&P REGL BKG | 78464A698 | 15,402 | 300,000 | SH | Call | SOLE | N/A | 300,000 | 0 | 0 |
STMICROELECTRONICS N V | NY REGISTRY | 861012102 | 297 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
TAL EDUCATION GROUP | SPONSORED ADS | 874080104 | 318 | 8,800 | SH | SOLE | N/A | 8,800 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 4,763 | 75,000 | SH | SOLE | N/A | 75,000 | 0 | 0 | |
TELLURIAN INC NEW | COM | 87968A104 | 10,080 | 900,000 | SH | Call | SOLE | N/A | 900,000 | 0 | 0 |
TENCENT MUSIC ENTMT GROUP | SPON ADS | 88034P109 | 210 | 11,604 | SH | SOLE | N/A | 11,604 | 0 | 0 | |
TILRAY INC | DEBT 5.000%10/0 | U8961EAA4 | 5,810 | 7,000,000 | PRN | SOLE | N/A | 7,000,000 | 0 | 0 | |
TILRAY INC | COM CL 2 | 88688T100 | 16,380 | 250,000 | SH | Put | SOLE | N/A | 250,000 | 0 | 0 |
TYLER TECHNOLOGIES INC | COM | 902252105 | 409 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
UXIN LTD | ADS | 91818X108 | 303 | 80,000 | SH | SOLE | N/A | 80,000 | 0 | 0 | |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 46,785 | 440,000 | SH | Put | SOLE | N/A | 440,000 | 0 | 0 |
VIAVI SOLUTIONS INC | COM | 925550105 | 1,401 | 113,160 | SH | SOLE | N/A | 113,160 | 0 | 0 | |
VILLAGE FARMS INTL INC | COM | 92707Y108 | 841 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADS A | 92763W103 | 562 | 70,000 | SH | SOLE | N/A | 70,000 | 0 | 0 | |
XENON PHARMACEUTICALS INC | COM | 98420N105 | 3,082 | 303,300 | SH | SOLE | N/A | 303,300 | 0 | 0 | |
XILINX INC | COM | 983919101 | 380 | 3,000 | SH | SOLE | N/A | 3,000 | 0 | 0 | |
YIRENDAI LTD | SPONSORED ADR | 98585L100 | 760 | 56,035 | SH | SOLE | N/A | 56,035 | 0 | 0 | |
YY INC | SPONSORED ADS A | 98426T106 | 2,856 | 34,000 | SH | SOLE | N/A | 34,000 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 6,732 | 79,200 | SH | SOLE | N/A | 79,200 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 6,715 | 79,000 | SH | Put | SOLE | N/A | 79,000 | 0 | 0 |
ZOGENIX INC | COM NEW | 98978L204 | 4,764 | 86,600 | SH | SOLE | N/A | 86,600 | 0 | 0 |