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 |
9 METERS BIOPHARMA INC | COM | 654405109 | 678 | 789,341 | SH | OTR | 2 | 0 | 789,341 | 0 | |
A10 NETWORKS INC | COM | 002121101 | 1,690 | 171,376 | SH | SOLE | 0 | 171,376 | 0 | 0 | |
ACER THERAPEUTICS INC | COM | 00444P108 | 656 | 250,518 | SH | OTR | 2 | 0 | 250,518 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 975 | 225,106 | SH | OTR | 2 | 0 | 225,106 | 0 | |
AMERICAN EAGLE OUTFITTERS IN | PUT | 02553E956 | 0 | 18,300 | SH | Put | OTR | 1 | 0 | 18,300 | 0 |
AIRGAIN INC | COM | 00938A104 | 2,278 | 128,105 | SH | SOLE | 0 | 128,105 | 0 | 0 | |
ALIMERA SCIENCES INC | COM NEW | 016259202 | 537 | 127,333 | SH | OTR | 2 | 0 | 127,333 | 0 | |
ALLENA PHARMACEUTICALS INC | COM | 018119107 | 653 | 510,200 | SH | OTR | 2 | 0 | 510,200 | 0 | |
ALLOT LTD | SHS | M0854Q105 | 1,176 | 111,740 | SH | SOLE | 0 | 111,740 | 0 | 0 | |
ALPINE INCOME PPTY TR INC | COM | 02083X103 | 282 | 18,821 | SH | SOLE | 0 | 18,821 | 0 | 0 | |
ANNALY CAPITAL MANAGEMENT IN | COM | 035710409 | 230 | 27,200 | SH | SOLE | 0 | 27,200 | 0 | 0 | |
ANNOVIS BIO INC | COM | 03615A108 | 901 | 119,538 | SH | OTR | 2 | 0 | 119,538 | 0 | |
ARGAN INC | COM | 04010E109 | 508 | 7,513 | SH | SOLE | 0 | 7,513 | 0 | 0 | |
ARIDIS PHARMACEUTICALS INC | COM | 040334104 | 534 | 87,932 | SH | OTR | 2 | 0 | 87,932 | 0 | |
ASPEN AEROGELS INC | COM | 04523Y105 | 2,821 | 169,041 | SH | OTR | 2 | 0 | 169,041 | 0 | |
AVAYA HLDGS CORP | COM | 05351X101 | 3,223 | 168,299 | SH | OTR | 2 | 0 | 168,299 | 0 | |
AVIAT NETWORKS INC | COM NEW | 05366Y201 | 2,028 | 59,382 | SH | OTR | 2 | 0 | 59,382 | 0 | |
BLOOMIN BRANDS INC | PUT | 094235958 | 1 | 27,500 | SH | Put | OTR | 1 | 0 | 27,500 | 0 |
BLUE BIRD CORP | COM | 095306106 | 3,791 | 207,618 | SH | OTR | 2 | 0 | 207,618 | 0 | |
BOOKING HOLDINGS INC | COM | 09857L108 | 822 | 369 | SH | OTR | 1 | 0 | 369 | 0 | |
BRIGHTCOVE INC | COM | 10921T101 | 1,261 | 68,542 | SH | SOLE | 0 | 68,542 | 0 | 0 | |
CATALYST BIOSCIENCES INC | COM NEW | 14888D208 | 627 | 99,297 | SH | OTR | 2 | 0 | 99,297 | 0 | |
CATALYST PHARMACEUTICALS INC | COM | 14888U101 | 1,151 | 344,702 | SH | OTR | 2 | 0 | 344,702 | 0 | |
CARNIVAL CORP | PUT | 143658950 | 290 | 256,500 | SH | Put | OTR | 1 | 0 | 256,500 | 0 |
CEDAR REALTY TRUST INC | COM NEW | 150602605 | 112 | 11,055 | SH | SOLE | 0 | 11,055 | 0 | 0 | |
CITY OFFICE REIT INC | COM | 178587101 | 243 | 24,900 | SH | SOLE | 0 | 24,900 | 0 | 0 | |
CLEVELAND-CLIFFS INC NEW | PUT | 185899951 | 0 | 49,000 | SH | Put | OTR | 1 | 0 | 49,000 | 0 |
CLOUDERA INC | COM | 18914U100 | 3,525 | 253,400 | SH | OTR | 2 | 0 | 253,400 | 0 | |
CINEMARK HLDGS INC | PUT | 17243V952 | 18 | 130,700 | SH | Put | OTR | 1 | 0 | 130,700 | 0 |
COHERENT INC | COM | 192479103 | 2,996 | 19,969 | SH | OTR | 2 | 0 | 19,969 | 0 | |
COHU INC | COM | 192576106 | 5,611 | 146,971 | SH | OTR | 2 | 0 | 146,971 | 0 | |
COLUMBIA PPTY TR INC | COM NEW | 198287203 | 186 | 12,947 | SH | SOLE | 0 | 12,947 | 0 | 0 | |
CTO REALTY GROWTH INC | COM | 22948P103 | 391 | 9,280 | SH | SOLE | 0 | 9,280 | 0 | 0 | |
CYCLO THERAPEUTICS INC | *W EXP 11/14/202 | 23254X110 | 96 | 88,690 | SH | OTR | 2 | 0 | 88,690 | 0 | |
CYCLO THERAPEUTICS INC | COM NEW | 23254X201 | 386 | 88,690 | SH | OTR | 2 | 0 | 88,690 | 0 | |
DATA I O CORP | COM | 237690102 | 208 | 50,387 | SH | OTR | 2 | 0 | 50,387 | 0 | |
DIGITAL TURBINE INC | COM NEW | 25400W102 | 760 | 13,429 | SH | SOLE | 0 | 13,429 | 0 | 0 | |
DSP GROUP INC | COM | 23332B106 | 742 | 44,700 | SH | SOLE | 0 | 44,700 | 0 | 0 | |
EDAP TMS S A | SPONSORED ADR | 268311107 | 523 | 101,082 | SH | OTR | 2 | 0 | 101,082 | 0 | |
EMCORE CORP | COM NEW | 290846203 | 3,193 | 585,833 | SH | OTR | 2 | 0 | 585,833 | 0 | |
ENDRA LIFE SCIENCES INC | COM | 29273B104 | 247 | 329,420 | SH | OTR | 2 | 0 | 329,420 | 0 | |
ENERGY FOCUS INC | COM | 29268T409 | 287 | 71,283 | SH | OTR | 2 | 0 | 71,283 | 0 | |
EQUITY COMWLTH REIT ORD | COM SH BEN INT | 294628102 | 214 | 7,853 | SH | SOLE | 0 | 7,853 | 0 | 0 | |
ETSY INC | COM | 29786A106 | 720 | 4,048 | SH | OTR | 2 | 0 | 4,048 | 0 | |
FORD MTR CO DEL | CALL | 345370900 | 139 | 380,100 | SH | Call | SOLE | 2 | 0 | 380,100 | 0 |
F5 NETWORKS INC | COM | 315616102 | 3,344 | 19,005 | SH | OTR | 2 | 0 | 19,005 | 0 | |
FARO TECHNOLOGIES INC | COM | 311642102 | 673 | 9,527 | SH | SOLE | 0 | 9,527 | 0 | 0 | |
LIBERTY MEDIA CORP DEL | NOTE 1.375%10/1 | 531229AB8 | 2,387 | 1,884,000 | PRN | OTR | 1 | 0 | 1,884,000 | 0 | |
GUESS INC | NOTE 2.000% 4/1 | 401617AD7 | 3,259 | 2,904,000 | PRN | OTR | 1 | 0 | 2,904,000 | 0 | |
GUESS INC | PUT | 401617955 | 7 | 80,900 | SH | Put | OTR | 1 | 0 | 80,900 | 0 |
GENERAL MTRS CO | CALL | 37045V900 | 60 | 114,000 | SH | Call | OTR | 2 | 0 | 114,000 | 0 |
HEPION PHARMACEUTICALS INC | COM | 426897104 | 512 | 233,947 | SH | OTR | 2 | 0 | 233,947 | 0 | |
ISHARES TR | PUT | 464288954 | 64 | 103,800 | SH | Put | OTR | 2 | 0 | 103,800 | 0 |
IDEAL PWR INC | COM NEW | 451622203 | 1,429 | 174,870 | SH | OTR | 2 | 0 | 174,870 | 0 | |
ISHARES TR | RUSSELL 2000 ETF | 464287655 | 1,022 | 5,211 | SH | SOLE | 0 | 5,211 | 0 | 0 | |
ISHARES TR | PUT | 464287955 | 1,255 | 1,476 | SH | Put | OTR | 2 | 0 | 1,476 | 0 |
KEY TRONIC CORP | COM | 493144109 | 87 | 12,590 | SH | OTR | 2 | 0 | 12,590 | 0 | |
KITE RLTY GROUP TR | COM NEW | 49803T300 | 201 | 13,457 | SH | SOLE | 0 | 13,457 | 0 | 0 | |
LIGHTPATH TECHNOLOGIES INC | COM CL A | 532257805 | 1,842 | 469,878 | SH | OTR | 2 | 0 | 469,878 | 0 | |
LIVENT CORP | PUT | 53814L958 | 2 | 10,300 | SH | Put | OTR | 1 | 0 | 10,300 | 0 |
LUNA INNOVATIONS | COM | 550351100 | 1,114 | 112,712 | SH | SOLE | 0 | 112,712 | 0 | 0 | |
MIRUM INC | COM | 604749101 | 287 | 16,420 | SH | OTR | 2 | 0 | 16,420 | 0 | |
MYOMO INC | COM NEW | 62857J201 | 739 | 109,864 | SH | OTR | 2 | 0 | 109,864 | 0 | |
NAUTILUS GROUP INC | COM | 63910B102 | 3,004 | 165,608 | SH | OTR | 2 | 0 | 165,608 | 0 | |
NORWEGIAN CRUISE LINE HLDG L | PUT | G66721954 | 26 | 102,500 | SH | Put | OTR | 1 | 0 | 102,500 | 0 |
NIO INC | PUT | 62914V956 | 0 | 71,200 | SH | Put | OTR | 1 | 0 | 71,200 | 0 |
NUANCE COMMUNICATIONS INC | DBCV 1.000%12/1 | 67020YAK6 | 3,308 | 1,776,000 | PRN | OTR | 1 | 0 | 1,776,000 | 0 | |
NUANCE COMMUNICATIONS INC | NOTE 1.250% 4/0 | 67020YAN0 | 3,673 | 1,610,000 | PRN | OTR | 1 | 0 | 1,610,000 | 0 | |
O2MICRO INTERNATIONAL LIMITE | SPONS ADR | 67107W100 | 4,270 | 465,169 | SH | OTR | 2 | 0 | 465,169 | 0 | |
OCEAN BIO CHEM INC | COM | 674631106 | 2,088 | 156,274 | SH | OTR | 2 | 0 | 156,274 | 0 | |
PANBELA THERAPEUTICS INC | COM | 69833Q100 | 78 | 21,794 | SH | OTR | 2 | 0 | 21,794 | 0 | |
PALO ALTO NETWORKS INC | NOTE 0.750% 7/0 | 697435AD7 | 877 | 620,000 | PRN | OTR | 1 | 0 | 620,000 | 0 | |
PARATEK PHARMACEUTICALS INC | COM | 699374302 | 1,196 | 191,093 | SH | OTR | 2 | 0 | 191,093 | 0 | |
PIONEER NAT RES CO | COM | 723787107 | 397 | 3,489 | SH | OTR | 1 | 0 | 3,489 | 0 | |
PIXELWORKS INC | COM NEW | 72581M305 | 1,199 | 425,351 | SH | OTR | 2 | 0 | 425,351 | 0 | |
POSTAL REALTY TRUST INC | CL A | 73757R102 | 436 | 13,605 | SH | SOLE | 0 | 13,605 | 0 | 0 | |
RIGEL PHARMACEUTICALS INC | COM NEW | 766559603 | 622 | 177,810 | SH | OTR | 2 | 0 | 177,810 | 0 | |
ROYAL CARIBBEAN GROUP | COM | V7780T103 | 737 | 9,863 | SH | OTR | 1 | 0 | 9,863 | 0 | |
RAPID7 INC | NOTE 1.250% 8/0 | 753422AB0 | 1,798 | 826,000 | PRN | OTR | 1 | 0 | 826,000 | 0 | |
SALARIUS PHARMACEUTICALS INC | COM NEW | 79400X107 | 328 | 360,556 | SH | OTR | 1 | 0 | 360,556 | 0 | |
SPIRIT AIRLS INC | PUT | 848577952 | 24 | 55,900 | SH | Put | OTR | 1 | 0 | 55,900 | 0 |
SPIRIT AIRLS INC | NOTE 4.750% 5/1 | 848577AA0 | 3,217 | 1,497,000 | PRN | OTR | 1 | 0 | 1,497,000 | 0 | |
SCPHARMACEUTICALS INC | COM | 810648105 | 862 | 162,875 | SH | OTR | 2 | 0 | 162,875 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 546 | 4,813 | SH | SOLE | 0 | 4,813 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 233 | 2,626 | SH | SOLE | 0 | 2,626 | 0 | 0 | |
SHARPSPRING INC | COM | 820054104 | 750 | 46,082 | SH | SOLE | 0 | 46,082 | 0 | 0 | |
SILICOM LTD | ORD | M84116108 | 1,940 | 46,364 | SH | SOLE | 0 | 46,364 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 443 | 2,755 | SH | SOLE | 0 | 2,755 | 0 | 0 | |
SPDR SER TR | S&P BIOTECH | 78464A870 | 398 | 2,824 | SH | SOLE | 0 | 2,824 | 0 | 0 | |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 1,091 | 449,046 | SH | OTR | 2 | 0 | 449,046 | 0 | |
TECHTARGET INC | COM | 87874R100 | 924 | 15,630 | SH | SOLE | 0 | 15,630 | 0 | 0 | |
THERATECHNOLGIES INC | COM | 88338H100 | 365 | 146,162 | SH | OTR | 2 | 0 | 146,162 | 0 | |
VANDA PHARMACEUTICALS INC | COM | 921659108 | 1,171 | 89,124 | SH | OTR | 2 | 0 | 89,124 | 0 | |
VANGUARD INFORMATION WORLD FDS | INF TECH ETF | 92204A702 | 285 | 806 | SH | SOLE | 0 | 806 | 0 | 0 | |
VERITONE INC | PUT | 92347M950 | 7 | 14,600 | SH | Put | SOLE | 0 | 14,600 | 0 | 0 |
WAYFAIR INC | NOTE 1.000% 8/1 | 94419LAF8 | 5,149 | 3,061,000 | PRN | OTR | 1 | 0 | 3,061,000 | 0 | |
WORKDAY INC | NOTE 0.250%10/0 | 98138HAF8 | 6,051 | 3,614,000 | PRN | OTR | 1 | 0 | 3,614,000 | 0 | |
WORLD WRESTLING ENTMT INC | NOTE 3.375%12/1 | 98156QAB4 | 5,156 | 2,543,000 | PRN | OTR | 1 | 0 | 2,543,000 | 0 | |
UNITED STATES STL CORP NEW | NOTE 5.000%11/0 | 912909AT5 | 6,955 | 4,625,000 | PRN | OTR | 1 | 0 | 4,625,000 | 0 | |
UNITED STATES STL CORP NEW | PUT | 912909958 | 12 | 74,900 | SH | Put | OTR | 1 | 0 | 74,900 | 0 |
ZUORA INC | COM CL A | 98983V106 | 664 | 47,682 | SH | SOLE | 0 | 47,682 | 0 | 0 |