Chief Compliance Officer

0001696778-19-000006.txt : 20191112 0001696778-19-000006.hdr.sgml : 20191112 20191112163018 ACCESSION NUMBER: 0001696778-19-000006 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20190930 FILED AS OF DATE: 20191112 DATE AS OF CHANGE: 20191112 EFFECTIVENESS DATE: 20191112 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Worth Venture Partners, LLC CENTRAL INDEX KEY: 0001696778 IRS NUMBER: 461377713 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-17947 FILM NUMBER: 191209981 BUSINESS ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125589017 MAIL ADDRESS: STREET 1: 805 THIRD AVENUE STREET 2: 15TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001696778 XXXXXXXX 09-30-2019 09-30-2019 Worth Venture Partners, LLC

805 THIRD AVENUE 15TH FLOOR NEW YORK NY 10022

13F HOLDINGS REPORT 028-17947 N Laurence Wiseman Chief Compliance Officer (212) 558-9017 Laurence Wiseman New York NY 11-12-2019 1 193 175377 false 1 0001578299 028-17749 DLD Asset Management, LP INFORMATION TABLE 2 13Flistv4.xml A10 NETWORKS INC COM 002121101 316 45474 SH SOLE 45474 0 0 ACAD Jan0 26.0 C 17 Jan 20 26.00 CALL CALL 004225908 106 9200 SH Call OTR 1 0 9200 0 ACAD Jan0 27.0 C 17 Jan 20 27.00 CALL CALL 004225908 1 100 SH Call OTR 1 0 100 0 ACAD Jan0 30.0 P 17 Jan 20 30.00 PUT PUT 004225958 4 1700 SH Put OTR 1 0 1700 0 ACAD Jan0 45.0 C 17 Jan 20 45.00 CALL CALL 004225908 6 2700 SH Call OTR 1 0 2700 0 ACHIEVE LIFE SCIENCES ORD COM 004468203 24 14350 SH SOLE 14350 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 278 54288 SH SOLE 54288 0 0 ADAMAS PHARMACEUTICALS INC COM 00548A106 118 23096 SH SOLE 23096 0 0 AGILE THERAPEUTICS INC COM 00847L100 142 119956 SH SOLE 119956 0 0 AGILE THERAPEUTICS INC COM 00847L100 53 45034 SH SOLE 45034 0 0 AIRGAIN ORD COM 00938A104 707 60188 SH SOLE 60188 0 0 AKOUSTIS TECHNOLOGIE ORD COM 00973N102 293 37768 SH SOLE 37768 0 0 AKOUSTIS TECHNOLOGIE ORD COM 00973N102 121 15664 SH SOLE 15664 0 0 ALIMERA SCIENCES ORD COM 016259103 166 293410 SH SOLE 293410 0 0 ALIMERA SCIENCES ORD COM 016259103 71 125745 SH SOLE 125745 0 0 ALLOT COMMUNICATIONS LTD SHS M0854Q105 844 104725 SH SOLE 104725 0 0 AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 NOTE 2.125% 9/0 007903BD8 4997 1335000 PRN OTR 1 0 1335000 0 AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 NOTE 2.125% 9/0 007903BD8 3556 950000 PRN OTR 1 0 950000 0 AMD 2.125 09/01/26 CVT CONVERTIBLE 2.125 01 Sep 26 NOTE 2.125% 9/0 007903BD8 18212 4865000 PRN OTR 1 0 4865000 0 ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 NOTE 2.750%10/1 94973VBG1 1787 534000 PRN OTR 1 0 534000 0 ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 NOTE 2.750%10/1 94973VBG1 2454 733000 PRN OTR 1 0 733000 0 ANTMX 2.750 10/15/42 CVT CONVERTIBLE 2.750 15 Oct 42 NOTE 2.750%10/1 94973VBG1 5838 1744000 PRN OTR 1 0 1744000 0 APTEVO THERAPEUTICS INC COM 03835L108 155 263252 SH SOLE 263252 0 0 APTEVO THERAPEUTICS INC COM 03835L108 66 112417 SH SOLE 112417 0 0 APTOSE BIOSCIENCES ORD COM 03835T200 92 44099 SH SOLE 44099 0 0 APTOSE BIOSCIENCES ORD COM 03835T200 39 18899 SH SOLE 18899 0 0 ARGAN ORD COM 04010E109 240 3343 SH SOLE 3343 0 0 ASPEN AEROGELS INC COM 04523Y105 720 121557 SH SOLE 121557 0 0 ASPEN AEROGELS INC COM 04523Y105 308 51952 SH SOLE 51952 0 0 ATEX Feb0 45.0 C 21 Feb 20 45.00 CALL CALL 03676C900 91 14000 SH Call OTR 1 0 14000 0 AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 6.25 PFD CNV SR 05352A209 377 7050 SH OTR 1 0 7050 0 AVANTOR MANDTY CON SRS A PRF CONVERTIBLE PREFERRED 0.000 6.25 PFD CNV SR 05352A209 1226 22950 SH OTR 1 0 22950 0 AVID TECHNOLOGY INC COM 05367P100 674 108964 SH SOLE 108964 0 0 AVID TECHNOLOGY INC COM 05367P100 225 36324 SH SOLE 36324 0 0 AVTR Feb0 12.5 P 21 Feb 20 12.50 PUT PUT 05352A950 2 2400 SH Put OTR 1 0 2400 0 AVTR Feb0 12.5 P 21 Feb 20 12.50 PUT PUT 05352A950 7 7600 SH Put OTR 1 0 7600 0 AXGT Jan0 8.0 C 17 Jan 20 8.00 CALL CALL G0750W903 13 14300 SH Call OTR 1 0 14300 0 BIIB Nov9 250.0C 15 Nov 19 250.00 CALL CALL 09062X903 59 10800 SH Call OTR 1 0 10800 0 BIIB Nov9 255.0C 15 Nov 19 255.00 CALL CALL 09062X903 2 600 SH Call OTR 1 0 600 0 BIIB Oct9 250.0C 18 Oct 19 250.00 CALL CALL 09062X903 4 2500 SH Call OTR 1 0 2500 0 BIODELIVERY SCIENCES INTL COM 09060J106 466 110620 SH SOLE 110620 0 0 BIODELIVERY SCIENCES INTL COM 09060J106 200 47408 SH SOLE 47408 0 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 361 5358 SH OTR 1 0 5358 0 BIOMARIN PHARMACEUTICAL INC COM 09061G101 1175 17442 SH OTR 1 0 17442 0 BIONANO GENOMICS ORD COM 09075F107 41 56745 SH SOLE 56745 0 0 BIONANO GENOMICS ORD COM 09075F107 17 23919 SH SOLE 23919 0 0 BMRN Jan0 60.0 P 17 Jan 20 60.00 PUT PUT 09061G951 18 6300 SH Put OTR 1 0 6300 0 BMRN Jan0 60.0 P 17 Jan 20 60.00 PUT PUT 09061G951 60 20700 SH Put OTR 1 0 20700 0 BMRN Jan0 90.0 C 17 Jan 20 90.00 CALL CALL 09061G901 1 1400 SH Call OTR 1 0 1400 0 BMRN Jan0 90.0 C 17 Jan 20 90.00 CALL CALL 09061G901 3 4600 SH Call OTR 1 0 4600 0 BOINGO WIRELESS INC COM 09739C102 748 67388 SH SOLE 67388 0 0 BOINGO WIRELESS INC COM 09739C102 361 32496 SH SOLE 32496 0 0 BOOKING HOLDINGS ORD COM 09857L108 300 153 SH OTR 1 0 153 0 CASSAVA SCIENCES ORD COM 14817C107 319 266039 SH SOLE 266039 0 0 CASSAVA SCIENCES ORD COM 14817C107 112 93582 SH SOLE 93582 0 0 CHIASMA ORD COM 16706W102 358 72321 SH SOLE 72321 0 0 CHIASMA ORD COM 16706W102 152 30906 SH SOLE 30906 0 0 CLEARFIELD INC COM 18482P103 616 51959 SH SOLE 51959 0 0 CLF 1.500 01/15/25 CVT CONVERTIBLE 1.500 15 Jan 25 DBCV 1.500% 1/1 185899AA9 3857 3500000 PRN OTR 1 0 3500000 0 CLF Jan0 7.0 P 17 Jan 20 7.00 PUT PUT 185899951 12 15000 SH Put OTR 1 0 15000 0 Communication Services Select Sector SPDR Fund COMMUNICATION 81369Y852 20 412 SH SOLE 412 0 0 Communication Services Select Sector SPDR Fund COMMUNICATION 81369Y852 59 1182 SH SOLE 1182 0 0 Consumer Discretionary Select Sector SPDR Fund HEDGEFUND SBI CONS DISCR 81369Y407 125 1039 SH SOLE 1039 0 0 Consumer Discretionary Select Sector SPDR Fund HEDGEFUND SBI CONS DISCR 81369Y407 371 3073 SH SOLE 3073 0 0 Consumer Staples Select Sector SPDR Fund HEDGEFUND SBI CONS STPLS 81369Y308 52 847 SH SOLE 847 0 0 Consumer Staples Select Sector SPDR Fund HEDGEFUND SBI CONS STPLS 81369Y308 154 2500 SH SOLE 2500 0 0 CORREVIO PHARMA ORD COM 22026V105 143 71546 SH SOLE 71546 0 0 CORREVIO PHARMA ORD COM 22026V105 60 29818 SH SOLE 29818 0 0 CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 NOTE 5.000%10/0 127686AA1 2129 1231000 PRN OTR 1 0 1231000 0 CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 NOTE 5.000%10/0 127686AA1 5183 2996000 PRN OTR 1 0 2996000 0 CZR 5.000 10/01/24 CVT CONVERTIBLE 5.000 01 Oct 24 NOTE 5.000%10/0 127686AA1 7432 4296080 PRN OTR 1 0 4296080 0 DHI GROUP INC COM 23331S100 612 158954 SH SOLE 158954 0 0 DIAMEDICA THERAPEUTI ORD COM NEW 25253X207 206 99321 SH SOLE 99321 0 0 DIAMEDICA THERAPEUTI ORD COM NEW 25253X207 88 42480 SH SOLE 42480 0 0 DIGITAL TURBINE INC COM NEW 25400W102 689 106835 SH SOLE 106835 0 0 DSP GROUP INC COM 23332B106 648 45975 SH SOLE 45975 0 0 ENTERA BIO EQY WARRANT WRNT *W EXP 06/27/202 M40527117 7 14606 SH OTR 1 0 14606 0 ENTERA BIO ORD SHS M40527109 39 16454 SH OTR 1 0 16454 0 FINANCIAL SELECT SECTOR SPDR HEDGEFUND SBI INT-FINL 81369Y605 69 2463 SH SOLE 2463 0 0 FINANCIAL SELECT SECTOR SPDR HEDGEFUND SBI INT-FINL 81369Y605 205 7312 SH SOLE 7312 0 0 FLEXION THERAPEUTICS INC COM 33938J106 473 34545 SH SOLE 34545 0 0 FLEXION THERAPEUTICS INC COM 33938J106 203 14805 SH SOLE 14805 0 0 FOAMIX PHARMACEUTICALS ORD SHS M46135105 72 23627 SH OTR 1 0 23627 0 GOSS Oct9 17.5 P 18 Oct 19 17.50 PUT PUT 38341P952 29 11900 SH Put OTR 1 0 11900 0 HEALTH CARE SELECT SECTOR HEDGEFUND SBI HEALTHCARE 81369Y209 586 6501 SH SOLE 6501 0 0 ILLUMINA INC COM 452327109 515 1693 SH OTR 1 0 1693 0 ILLUMINA INC COM 452327109 1675 5507 SH OTR 1 0 5507 0 INDUSTRIAL SELECT SECT SPDR HEDGEFUND SBI INT-INDS 81369Y704 73 945 SH SOLE 945 0 0 INDUSTRIAL SELECT SECT SPDR HEDGEFUND SBI INT-INDS 81369Y704 221 2844 SH SOLE 2844 0 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 287 1898 SH SOLE 1898 0 0 ISHARES RUSSELL 2000 ETF RUSSELL 2000 ETF 464287655 941 6216 SH SOLE 6216 0 0 IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT PUT 464287955 378 75000 SH Put SOLE 75000 0 0 IWM DC9Q 150.0 P 31 Dec 19 150.00 PUT PUT 464287955 126 25000 SH Put SOLE 25000 0 0 KNOWLES CORP COM 49926D109 811 39862 SH SOLE 39862 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 257 29200 SH SOLE 29200 0 0 LA JOLLA PHARMACEUTICAL CO COM PAR $.0001 2 503459604 177 20100 SH SOLE 20100 0 0 Liberty Media 1.375 10/15/23 CVT CONVERTIBLE 1.375 15 Oct 23 NOTE 1.375%10/1 531229AB8 1793 1500000 PRN OTR 1 0 1500000 0 LIQTECH INTERNATIONAL ORD COM 53632A201 622 78754 SH SOLE 78754 0 0 LIQTECH INTERNATIONAL ORD COM 53632A201 265 33585 SH SOLE 33585 0 0 LOGM Dec9 75.0 C 20 Dec 19 75.00 CALL CALL 54142L909 55 15100 SH Call SOLE 15100 0 0 LOGM Dec9 75.0 C 20 Dec 19 75.00 CALL CALL 54142L909 22 6000 SH Call SOLE 6000 0 0 MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 NOTE 2.500% 1/1 584688AE5 736 484000 PRN OTR 1 0 484000 0 MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 NOTE 2.500% 1/1 584688AE5 1385 911000 PRN OTR 1 0 911000 0 MDCO 2.500 01/15/22 CVT CONVERTIBLE 2.500 15 Jan 22 NOTE 2.500% 1/1 584688AE5 2610 1716000 PRN OTR 1 0 1716000 0 MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT PUT 584688955 6 35400 SH Put OTR 1 0 35400 0 MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT PUT 584688955 12 67800 SH Put OTR 1 0 67800 0 MDCO Jan0 10.0 P 17 Jan 20 10.00 PUT PUT 584688955 22 127100 SH Put OTR 1 0 127100 0 MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT PUT 584688955 8 34900 SH Put OTR 1 0 34900 0 MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT PUT 584688955 14 63300 SH Put OTR 1 0 63300 0 MDCO Jan0 15.0 P 17 Jan 20 15.00 PUT PUT 584688955 28 124400 SH Put OTR 1 0 124400 0 MDCO Jan0 30.0 P 17 Jan 20 30.00 PUT PUT 584688955 0 300 SH Put OTR 1 0 300 0 MDCO Jan0 30.0 P 17 Jan 20 30.00 PUT PUT 584688955 0 500 SH Put OTR 1 0 500 0 MDCO Jan0 30.0 P 17 Jan 20 30.00 PUT PUT 584688955 1 900 SH Put OTR 1 0 900 0 MDCO Oct9 31.0 P 18 Oct 19 31.00 PUT PUT 584688955 5 1100 SH Put OTR 1 0 1100 0 MDCO Oct9 31.0 P 18 Oct 19 31.00 PUT PUT 584688955 9 2100 SH Put OTR 1 0 2100 0 MDCO Oct9 31.0 P 18 Oct 19 31.00 PUT PUT 584688955 18 3900 SH Put OTR 1 0 3900 0 NANO DIMENSION ADR SPONS ADR 63008G104 119 296276 SH SOLE 296276 0 0 NANO DIMENSION ADR SPONS ADR 63008G104 40 98760 SH SOLE 98760 0 0 NANOVIBRONIX ORD COM 63008J108 25 9950 SH SOLE 9950 0 0 NANOVIBRONIX ORD COM 63008J108 25 9975 SH SOLE 9975 0 0 NEWLINK GENETICS CORP COM 651511107 294 184755 SH SOLE 184755 0 0 NEWLINK GENETICS CORP COM 651511107 125 78915 SH SOLE 78915 0 0 NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 NOTE 1.250% 1/1 65366HAB9 1653 925000 PRN OTR 1 0 925000 0 NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 NOTE 1.250% 1/1 65366HAB9 2257 1263000 PRN OTR 1 0 1263000 0 NICE 1.250 01/15/24 CVT CONVERTIBLE 1.250 15 Jan 24 NOTE 1.250% 1/1 65366HAB9 5395 3019000 PRN OTR 1 0 3019000 0 NOKIA CORP-SPON ADR SPONSORED ADR 654902204 298 58800 SH SOLE 58800 0 0 NOKIA CORP-SPON ADR SPONSORED ADR 654902204 128 25200 SH SOLE 25200 0 0 NTNX Jan1 30.0 C 15 Jan 21 30.00 CALL CALL 67059N908 141 24300 SH Call SOLE 24300 0 0 NTNX Jan1 30.0 C 15 Jan 21 30.00 CALL CALL 67059N908 47 8100 SH Call SOLE 8100 0 0 NUTANIX INC - A CL A 67059N108 811 30900 SH SOLE 30900 0 0 NUTANIX INC - A CL A 67059N108 347 13200 SH SOLE 13200 0 0 OESX 12/20/19 P3050 20 Dec 19 3050 PUT PUT 686275958 2 120 SH Put SOLE 120 0 0 ON SEMICONDUCTOR ORD COM 682189105 203 10552 SH OTR 1 0 10552 0 ON SEMICONDUCTOR ORD COM 682189105 660 34348 SH OTR 1 0 34348 0 ORION ENERGY SYSTEMS INC COM 686275108 258 90646 SH SOLE 90646 0 0 ORION ENERGY SYSTEMS INC COM 686275108 110 38748 SH SOLE 38748 0 0 PCLN 0.350 06/15/20 CVT CONVERTIBLE 0.350 15 Jun 20 NOTE 0.350% 6/1 741503AS5 1489 1000000 PRN OTR 1 0 1000000 0 PIXELWORKS INC COM NEW 72581M305 865 233880 SH SOLE 233880 0 0 PROGENICS PHARMACEUTICALS COM 743187106 96 18917 SH SOLE 18917 0 0 PROGENICS PHARMACEUTICALS COM 743187106 71 14039 SH SOLE 14039 0 0 QUMU ORD COM 749063103 199 61070 SH SOLE 61070 0 0 QUMU ORD COM 749063103 85 26089 SH SOLE 26089 0 0 RF INDUSTRIES ORD COM PAR $0.01 749552105 282 39848 SH SOLE 39848 0 0 RF INDUSTRIES ORD COM PAR $0.01 749552105 181 25524 SH SOLE 25524 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 321 171608 SH SOLE 171608 0 0 RIGEL PHARMACEUTICALS INC COM NEW 766559603 148 79085 SH SOLE 79085 0 0 RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 NOTE 2.500% 9/1 761299AB2 1374 1781000 PRN OTR 1 0 1781000 0 RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 NOTE 2.500% 9/1 761299AB2 1388 1799000 PRN OTR 1 0 1799000 0 RTRX 2.500 09/15/25 CVT CONVERTIBLE 2.500 15 Sep 25 NOTE 2.500% 9/1 761299AB2 4474 5801000 PRN OTR 1 0 5801000 0 RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT PUT 761299956 5 20200 SH Put OTR 1 0 20200 0 RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT PUT 761299956 5 21400 SH Put OTR 1 0 21400 0 RTRX Oct9 10.0 P 18 Oct 19 10.00 PUT PUT 761299956 16 65800 SH Put OTR 1 0 65800 0 SEACHANGE INTERNATIONAL INC COM 811699107 825 286479 SH SOLE 286479 0 0 SEACHANGE INTERNATIONAL INC COM 811699107 275 95493 SH SOLE 95493 0 0 SILICOM LTD ORD M84116108 1313 41542 SH SOLE 41542 0 0 SMITH MICRO SOFTWARE ORD COM NEW 832154207 672 123580 SH SOLE 123580 0 0 SMITH MICRO SOFTWARE ORD COM NEW 832154207 299 55100 SH SOLE 55100 0 0 SONIM TECHNOLOGIES ORD COM 83548F101 406 138667 SH SOLE 138667 0 0 SPDR S&P BIOTECH ETF HEDGEFUND S&P BIOTECH 78464A870 111 1458 SH SOLE 1458 0 0 SPDR S&P BIOTECH ETF HEDGEFUND S&P BIOTECH 78464A870 338 4427 SH SOLE 4427 0 0 SPDR S&P PHARMACEUTICALS ETF S&P PHARMAC 78464A722 52 1455 SH SOLE 1455 0 0 SPDR S&P PHARMACEUTICALS ETF S&P PHARMAC 78464A722 169 4759 SH SOLE 4759 0 0 SPR Oct9 85.0 P 18 Oct 19 85.00 PUT PUT 78462F953 1 300 SH Put OTR 1 0 300 0 SPY 1Oc9 293.0 P 04 Oct 19 293.00 PUT PUT 78462F953 13 22600 SH Put OTR 1 0 22600 0 SPY 1Oc9 301.0 C 04 Oct 19 301.00 CALL CALL 78462F903 4 11300 SH Call OTR 1 0 11300 0 SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 NOTE 0.375% 3/0 852234AB9 2746 1008000 PRN OTR 1 0 1008000 0 SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 NOTE 0.375% 3/0 852234AB9 4407 1618000 PRN OTR 1 0 1618000 0 SQURE 0.375 03/01/22 CVT CONVERTIBLE 0.375 01 Mar 22 NOTE 0.375% 3/0 852234AB9 21987 8072000 PRN OTR 1 0 8072000 0 SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 DBCV 1.500%11/1 803607AB6 1005 755000 PRN OTR 1 0 755000 0 SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 DBCV 1.500%11/1 803607AB6 5042 3786000 PRN OTR 1 0 3786000 0 SRPTX 1.500 11/15/24 CVT CONVERTIBLE 1.500 15 Nov 24 DBCV 1.500%11/1 803607AB6 3213 2413000 PRN OTR 1 0 2413000 0 TECHTARGET COM 87874R100 225 9993 SH SOLE 9993 0 0 TELADOC INC COM 87918A105 2099 31000 SH OTR 1 0 31000 0 TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 NOTE 2.000% 5/1 88160RAG6 479 470000 PRN OTR 1 0 470000 0 TSLA 2.000 05/15/24 CVT CONVERTIBLE 2.000 15 May 24 NOTE 2.000% 5/1 88160RAG6 2579 2530000 PRN OTR 1 0 2530000 0 TWLO 0.250 06/01/23 CVT CONVERTIBLE 0.250 01 Jun 23 NOTE 0.250% 6/0 90138FAB8 393 235000 PRN OTR 1 0 235000 0 TWLO 0.250 06/01/23 CVT CONVERTIBLE 0.250 01 Jun 23 NOTE 0.250% 6/0 90138FAB8 1280 765000 PRN OTR 1 0 765000 0 TWLO Apr0 100.0P 17 Apr 20 100.00 PUT PUT 90138F952 1 100 SH Put OTR 1 0 100 0 TWLO Apr0 100.0P 17 Apr 20 100.00 PUT PUT 90138F952 4 400 SH Put OTR 1 0 400 0 VANGUARD INFORMATION TECHNOLOGY ETF INF TECH ETF 92204A702 120 558 SH SOLE 558 0 0 VANGUARD INFORMATION TECHNOLOGY ETF INF TECH ETF 92204A702 358 1662 SH SOLE 1662 0 0 VUZIX CORP COM NEW 92921W300 292 127949 SH SOLE 127949 0 0 VUZIX CORP COM NEW 92921W300 125 54651 SH SOLE 54651 0 0 W Jan0 100.0 P 17 Jan 20 100.00 PUT PUT 94419L951 4 500 SH Put OTR 1 0 500 0 W Jan0 100.0 P 17 Jan 20 100.00 PUT PUT 94419L951 7 900 SH Put OTR 1 0 900 0 WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 NOTE 1.500% 7/1 98138HAD3 1630 780000 PRN OTR 1 0 780000 0 WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 NOTE 1.500% 7/2 98138HAD3 1695 811000 PRN OTR 1 0 811000 0 WDAY 1.500 07/15/20 CVT CONVERTIBLE 1.500 15 Jul 20 NOTE 1.500% 7/3 98138HAD3 5301 2537000 PRN OTR 1 0 2537000 0 WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 NOTE 2.250%11/1 98236JAB4 804 685000 PRN OTR 1 0 685000 0 WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 NOTE 2.250%11/1 98236JAB4 1229 1048000 PRN OTR 1 0 1048000 0 WMGI 2.250 11/15/21 CVT CONVERTIBLE 2.250 15 Nov 21 NOTE 2.250%11/2 98236JAB4 3302 2815000 PRN OTR 1 0 2815000 0 ZAFGEN INC COM 98885E103 231 313259 SH SOLE 313259 0 0 ZAFGEN INC COM 98885E103 107 145188 SH SOLE 145188 0 0