0001214659-20-004658.txt : 20200515 0001214659-20-004658.hdr.sgml : 20200515 20200515120055 ACCESSION NUMBER: 0001214659-20-004658 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20200331 FILED AS OF DATE: 20200515 DATE AS OF CHANGE: 20200515 EFFECTIVENESS DATE: 20200515 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Atom Investors LP CENTRAL INDEX KEY: 0001738902 IRS NUMBER: 824453478 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-19354 FILM NUMBER: 20882456 BUSINESS ADDRESS: STREET 1: 3711 S MOPAC EXPY STREET 2: BUILDING ONE, SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78746 BUSINESS PHONE: 7378084595 MAIL ADDRESS: STREET 1: 3711 S MOPAC EXPY STREET 2: BUILDING ONE, SUITE 100 CITY: AUSTIN STATE: TX ZIP: 78746 13F-HR 1 primary_doc.xml 13F-HR LIVE false false false 0001738902 XXXXXXXX 03-31-2020 03-31-2020 false Atom Investors LP
3711 S MOPAC EXPY BUILDING ONE, SUITE 100 AUSTIN TX 78746
13F HOLDINGS REPORT 028-19354 N
Craig Fisher General Counsel and Chief Compliance Officer 737-808-4595 /s/Craig Fisher Austin TX 05-15-2020 0 312 1137985
INFORMATION TABLE 2 infotable.xml FLWS/1-800 FLOWERS CL A 68243Q106 538 40665 SH SOLE 40665 0 0 2U INC COM 90214J101 4042 190475 SH SOLE 190475 0 0 8X8 INC NEW COM 282914100 2198 158609 SH SOLE 158609 0 0 ADTRAN INC COM 00738A106 130 16883 SH SOLE 16883 0 0 AT&T INC COM 00206R102 204 6982 SH SOLE 6982 0 0 AVROBIO INC COM 05455M100 599 38467 SH SOLE 38467 0 0 ACUITY BRANDS INC COM 00508Y102 1475 17223 SH SOLE 17223 0 0 AKEBIA THERAPEUTICS INC COM 00972D105 1704 224769 SH SOLE 224769 0 0 ALIBABA GROUP HLDG LTD SPONSORED ADS 01609W102 229 1180 SH SOLE 1180 0 0 ALKERMES PLC SHS G01767105 4950 343259 SH SOLE 343259 0 0 ALLERGAN PLC SHS G0177J108 1623 9163 SH SOLE 9163 0 0 ALPHABET INC CAP STK CL C 02079K107 9464 8139 SH SOLE 8139 0 0 ALPHABET INC CAP STK CL A 02079K305 14001 12050 SH SOLE 12050 0 0 ALTERYX INC COM CL A 02156B103 1939 20372 SH SOLE 20372 0 0 ALTRIA GROUP INC COM 02209S103 793 20510 SH SOLE 20510 0 0 AMARIN CORP PLC SPONS ADR NEW 023111206 246 61521 SH SOLE 61521 0 0 AMAZON COM INC COM 023135106 49613 25446 SH SOLE 25446 0 0 AMERICAN EXPRESS CO COM 025816109 967 11300 SH SOLE 11300 0 0 AMER STATES WTR CO COM 029899101 414 5070 SH SOLE 5070 0 0 AMERICAN TOWER CORP NEW COM 03027X100 1043 4792 SH SOLE 4792 0 0 AMERICAN WTR WKS CO INC NEW COM 030420103 2016 16863 SH SOLE 16863 0 0 AMPHENOL CORP NEW CL A 032095101 1605 22020 SH SOLE 22020 0 0 ANALOG DEVICES INC COM 032654105 7724 86158 SH SOLE 86158 0 0 ANAPLAN INC COM 03272L108 1816 60000 SH SOLE 60000 0 0 ANTERO MIDSTREAM CORP COM 03676B102 587 279387 SH SOLE 279387 0 0 ANTERO RESOURCES CORP COM 03674X106 223 313416 SH SOLE 313416 0 0 ANTHEM INC COM 036752103 752 3310 SH SOLE 3310 0 0 APPLE INC COM 037833100 2015 7925 SH SOLE 7925 0 0 APTOSE BIOSCIENCES INC COM NEW 03835T200 1401 235844 SH SOLE 235844 0 0 ARCH COAL INC CL A 039380407 545 18853 SH SOLE 18853 0 0 ARENA PHARMACEUTICALS INC COM NEW 040047607 786 18712 SH SOLE 18712 0 0 ASSEMBLY BIOSCIENCES INC COM 045396108 2002 135001 SH SOLE 135001 0 0 ASTEC INDS INC COM 046224101 225 6438 SH SOLE 6438 0 0 AURINIA PHARMACEUTICALS INC COM 05156V102 6403 441303 SH SOLE 441303 0 0 AVALONBAY CMNTYS INC COM 053484101 464 3151 SH SOLE 3151 0 0 BK OF AMERICA CORP COM 060505104 347 16327 SH SOLE 16327 0 0 BAXTER INTL INC COM 071813109 4167 51328 SH SOLE 51328 0 0 BECTON DICKINSON & CO COM 075887109 272 1185 SH SOLE 1185 0 0 BENEFYTT TECHNOLOGIES INC COM CL A 08182C106 26432 1180545 SH SOLE 1180545 0 0 BERKSHIRE HATHAWAY INC DEL CL A 084670108 5712 21 SH SOLE 21 0 0 BERKSHIRE HATHAWAY INC DEL CL B NEW 084670702 3839 21000 SH SOLE 21000 0 0 BIOGEN INC COM 09062X103 10360 32747 SH SOLE 32747 0 0 BLACKROCK INC COM 09247X101 637 1447 SH SOLE 1447 0 0 BOISE CASCADE CO DEL COM 09739D100 699 29389 SH SOLE 29389 0 0 BOSTON PROPERTIES INC COM 101121101 309 3345 SH SOLE 3345 0 0 CBRE GROUP INC CL A 12504L109 245 6487 SH SOLE 6487 0 0 CME GROUP INC COM 12572Q105 233 1348 SH SOLE 1348 0 0 CNX RESOURCES CORPORATION COM 12653C108 249 46858 SH SOLE 46858 0 0 CVS HEALTH CORP COM 126650100 1181 19900 SH SOLE 19900 0 0 CALAMP CORP COM 128126109 111 24731 SH SOLE 24731 0 0 CANADA GOOSE HOLDINGS INC SHS SUB VTG 135086106 1808 90894 SH SOLE 90894 0 0 CANNAE HLDGS INC COM 13765N107 1800 53749 SH SOLE 53749 0 0 CANOPY GROWTH CORP COM 138035100 564 39100 SH SOLE 39100 0 0 CAPITAL ONE FINL CORP COM 14040H105 342 6780 SH SOLE 6780 0 0 CARDINAL HEALTH INC COM 14149Y108 295 6162 SH SOLE 6162 0 0 CAREDX INC COM 14167L103 3565 163292 SH SOLE 163292 0 0 CARLISLE COS INC COM 142339100 5624 44894 SH SOLE 44894 0 0 CENTENNIAL RESOURCE DEV INC CL A 15136A102 7 27813 SH SOLE 27813 0 0 CHEMOCENTRYX INC COM 16383L106 4270 106260 SH SOLE 106260 0 0 CHIPOTLE MEXICAN GRILL INC COM 169656105 842 1287 SH SOLE 1287 0 0 CIMAREX ENERGY CO COM 171798101 374 22232 SH SOLE 22232 0 0 CITIGROUP INC COM NEW 172967424 855 20302 SH SOLE 20302 0 0 CLARIVATE ANALYTICS PLC COM G21810109 2024 97538 SH SOLE 97538 0 0 CLEAN HARBORS INC COM 184496107 455 8859 SH SOLE 8859 0 0 CLEARWATER PAPER CORP COM 18538R103 661 30289 SH SOLE 30289 0 0 COCA COLA CO COM 191216100 3656 82619 SH SOLE 82619 0 0 COHERUS BIOSCIENCES INC COM 19249H103 568 35040 SH SOLE 35040 0 0 COLGATE PALMOLIVE CO COM 194162103 802 12079 SH SOLE 12079 0 0 COLONY CR REAL ESTATE INC COM CL A 19625T101 102 25934 SH SOLE 25934 0 0 COMCAST CORP NEW CL A 20030N101 16529 480775 SH SOLE 480775 0 0 COMMVAULT SYSTEMS INC COM 204166102 200 4930 SH SOLE 4930 0 0 CONSTELLATION BRANDS INC CL A 21036P108 218 1521 SH SOLE 1521 0 0 SELECT SECTOR SPDR TR SBI CONS STPLS 81369Y308 15433 283339 SH SOLE 283339 0 0 COOPER COS INC COM NEW 216648402 220 799 SH SOLE 799 0 0 COTY INC COM CL A 222070203 56 10887 SH SOLE 10887 0 0 COUPA SOFTWARE INC COM 22266L106 3621 25914 SH SOLE 25914 0 0 CROCS INC COM 227046109 1538 90519 SH SOLE 90519 0 0 CROWDSTRIKE HLDGS INC CL A 22788C105 10562 189689 SH SOLE 189689 0 0 CROWN CASTLE INTL CORP NEW COM 22822V101 1416 9808 SH SOLE 9808 0 0 CYTOKINETICS INC COM NEW 23282W605 3086 261723 SH SOLE 261723 0 0 DISH NETWORK CORPORATION CL A 25470M109 2585 129323 SH SOLE 129323 0 0 DAKTRONICS INC COM 234264109 89 18143 SH SOLE 18143 0 0 DANAHER CORPORATION COM 235851102 1481 10700 SH SOLE 10700 0 0 DEVON ENERGY CORP NEW COM 25179M103 2497 361394 SH SOLE 361394 0 0 DIGITAL RLTY TR INC COM 253868103 952 6850 SH SOLE 6850 0 0 DUKE REALTY CORP COM NEW 264411505 202 6252 SH SOLE 6252 0 0 EQT CORPORATION COM 26884L109 1830 258854 SH SOLE 258854 0 0 EDWARDS LIFESCIENCES CORP COM 28176E108 531 2813 SH SOLE 2813 0 0 ELASTIC N V ORD SHS N14506104 14773 264708 SH SOLE 264708 0 0 ELEMENT SOLUTIONS INC COM 28618M106 1357 162309 SH SOLE 162309 0 0 ENDO INTL PLC SHS G30401106 5336 1442029 SH SOLE 1442029 0 0 ENERPLUS CORP COM 292766102 113 76604 SH SOLE 76604 0 0 EPIZYME INC COM 29428V104 3856 248625 SH SOLE 248625 0 0 EQUINIX INC COM 29444U700 1864 2985 SH SOLE 2985 0 0 EQUITY LIFESTYLE PPTYS INC COM 29472R108 239 4152 SH SOLE 4152 0 0 EQUITY RESIDENTIAL SH BEN INT 29476L107 315 5102 SH SOLE 5102 0 0 ESSENTIAL UTILS INC COM 29670G102 6364 156363 SH SOLE 156363 0 0 LAUDER ESTEE COS INC CL A 518439104 1698 10657 SH SOLE 10657 0 0 EXACT SCIENCES CORP COM 30063P105 1242 21418 SH SOLE 21418 0 0 EXANTAS CAP CORP COM NEW 30068N105 97 35305 SH SOLE 35305 0 0 F N B CORP COM 302520101 2456 333306 SH SOLE 333306 0 0 FACEBOOK INC CL A 30303M102 15978 95791 SH SOLE 95791 0 0 FARFETCH LTD ORD SH CL A 30744W107 366 46309 SH SOLE 46309 0 0 FASTLY INC CL A 31188V100 7654 403268 SH SOLE 403268 0 0 FORD MTR CO DEL COM 345370860 205 42487 SH SOLE 42487 0 0 FORTERRA INC COM 34960W106 1393 232960 SH SOLE 232960 0 0 GENERAL MTRS CO COM 37045V100 589 28358 SH SOLE 28358 0 0 GENMARK DIAGNOSTICS INC COM 372309104 60 14588 SH SOLE 14588 0 0 GREAT LAKES DREDGE & DOCK CO COM 390607109 97 11658 SH SOLE 11658 0 0 GREIF INC CL A 397624107 376 12079 SH SOLE 12079 0 0 HCA HEALTHCARE INC COM 40412C101 489 5437 SH SOLE 5437 0 0 HANGER INC COM NEW 41043F208 5390 345985 SH SOLE 345985 0 0 HASBRO INC COM 418056107 370 5166 SH SOLE 5166 0 0 HERSHEY CO COM 427866108 372 2804 SH SOLE 2804 0 0 HILL ROM HLDGS INC COM 431475102 5942 59063 SH SOLE 59063 0 0 HORMEL FOODS CORP COM 440452100 219 4694 SH SOLE 4694 0 0 HUDSON PAC PPTYS INC COM 444097109 2662 104979 SH SOLE 104979 0 0 HUMANA INC COM 444859102 659 2100 SH SOLE 2100 0 0 HUNTINGTON INGALLS INDS INC COM 446413106 1172 6431 SH SOLE 6431 0 0 HURON CONSULTING GROUP INC COM 447462102 448 9887 SH SOLE 9887 0 0 IDEXX LABS INC COM 45168D104 359 1483 SH SOLE 1483 0 0 INDEPENDENCE HLDG CO NEW COM NEW 453440307 4788 187337 SH SOLE 187337 0 0 INDEPENDENT BANK CORP MICH COM NEW 453838609 146 11317 SH SOLE 11317 0 0 INNOVIVA INC COM 45781M101 10723 911778 SH SOLE 911778 0 0 INOGEN INC COM 45780L104 1251 24214 SH SOLE 24214 0 0 INPHI CORP COM 45772F107 3115 39349 SH SOLE 39349 0 0 INSEEGO CORP COM 45782B104 628 100735 SH SOLE 100735 0 0 INSTALLED BLDG PRODS INC COM 45780R101 5773 144795 SH SOLE 144795 0 0 INSTEEL INDUSTRIES INC COM 45774W108 248 18739 SH SOLE 18739 0 0 INTERCEPT PHARMACEUTICALS IN COM 45845P108 1836 29158 SH SOLE 29158 0 0 INTRA CELLULAR THERAPIES INC COM 46116X101 2325 151239 SH SOLE 151239 0 0 IRONWOOD PHARMACEUTICALS INC COM CL A 46333X108 11071 1097232 SH SOLE 1097232 0 0 ISHARES INC MSCI AUST ETF 464286103 1235 79444 SH SOLE 79444 0 0 JPMORGAN CHASE & CO COM 46625H100 5965 66260 SH SOLE 66260 0 0 JAZZ PHARMACEUTICALS PLC SHS USD G50871105 3428 34367 SH SOLE 34367 0 0 KADMON HLDGS INC COM 48283N106 4232 1010083 SH SOLE 1010083 0 0 KARYOPHARM THERAPEUTICS INC COM 48576U106 9071 472182 SH SOLE 472182 0 0 KEURIG DR PEPPER INC COM 49271V100 301 12390 SH SOLE 12390 0 0 KIMBERLY CLARK CORP COM 494368103 701 5482 SH SOLE 5482 0 0 KINIKSA PHARMACEUTICALS LTD COM CL A G5269C101 2991 193245 SH SOLE 193245 0 0 KRAFT HEINZ CO COM 500754106 342 13842 SH SOLE 13842 0 0 KRYSTAL BIOTECH INC COM 501147102 2084 48201 SH SOLE 48201 0 0 LAS VEGAS SANDS CORP COM 517834107 320 7523 SH SOLE 7523 0 0 LAUREATE EDUCATION INC CL A 518613203 935 88936 SH SOLE 88936 0 0 LIBERTY BROADBAND CORP COM SER C 530307305 840 7583 SH SOLE 7583 0 0 LIMELIGHT NETWORKS INC COM 53261M104 1477 259095 SH SOLE 259095 0 0 LINDE PLC SHS G5494J103 11214 64819 SH SOLE 64819 0 0 LIVONGO HEALTH INC COM 539183103 1082 37911 SH SOLE 37911 0 0 LOWES COS INC COM 548661107 750 8721 SH SOLE 8721 0 0 LUCKIN COFFEE INC SPONSORED ADS 54951L109 2719 100000 SH SOLE 100000 0 0 LULULEMON ATHLETICA INC COM 550021109 656 3462 SH SOLE 3462 0 0 MACQUARIE INFRASTRUCTURE COR COM 55608B105 3537 140099 SH SOLE 140099 0 0 MASTEC INC COM 576323109 6163 188284 SH SOLE 188284 0 0 MASTERCARD INC CL A 57636Q104 25837 106961 SH SOLE 106961 0 0 MCGRATH RENTCORP COM 580589109 442 8445 SH SOLE 8445 0 0 MCKESSON CORP COM 58155Q103 6418 47450 SH SOLE 47450 0 0 MCDONALDS CORP COM 580135101 886 5361 SH SOLE 5361 0 0 MEDICAL PPTYS TRUST INC COM 58463J304 207 11962 SH SOLE 11962 0 0 MICRON TECHNOLOGY INC COM 595112103 3281 78004 SH SOLE 78004 0 0 MICROSOFT CORP COM 594918104 17605 111629 SH SOLE 111629 0 0 MONDELEZ INTL INC CL A 609207105 571 11392 SH SOLE 11392 0 0 MONSTER BEVERAGE CORP NEW COM 61174X109 238 4224 SH SOLE 4224 0 0 MOODYS CORP COM 615369105 248 1171 SH SOLE 1171 0 0 MYOKARDIA INC COM 62857M105 451 9611 SH SOLE 9611 0 0 NVE CORP COM NEW 629445206 933 17939 SH SOLE 17939 0 0 NETFLIX INC COM 64110L106 678 1806 SH SOLE 1806 0 0 NEWELL BRANDS INC COM 651229106 279 20997 SH SOLE 20997 0 0 NIKE INC CL B 654106103 8467 102334 SH SOLE 102334 0 0 NORFOLK SOUTHERN CORP COM 655844108 3205 21949 SH SOLE 21949 0 0 NORTH AMERN CONSTR GROUP LTD COM 656811106 3431 675309 SH SOLE 675309 0 0 NORTHROP GRUMMAN CORP COM 666807102 1385 4577 SH SOLE 4577 0 0 NUCANA PLC SPONSORED ADR 67022C106 77 13183 SH SOLE 13183 0 0 NUTANIX INC CL A 67059N108 882 55795 SH SOLE 55795 0 0 OAKTREE SPECIALTY LENDING CO COM 67401P108 37 11496 SH SOLE 11496 0 0 OCEANFIRST FINL CORP COM 675234108 2197 138085 SH SOLE 138085 0 0 OMEROS CORP COM 682143102 3998 299005 SH SOLE 299005 0 0 ONEMAIN HLDGS INC COM 68268W103 823 43063 SH SOLE 43063 0 0 ORIGIN AGRITECH LIMITED SHS NEW G67828205 594 132076 SH SOLE 132076 0 0 ORION ENGINEERED CARBONS S A COM L72967109 288 38616 SH SOLE 38616 0 0 OWENS CORNING NEW COM 690742101 5153 132781 SH SOLE 132781 0 0 PG&E CORP COM 69331C108 319 35532 SH SOLE 35532 0 0 PAGERDUTY INC COM 69553P100 2994 173239 SH SOLE 173239 0 0 PASSAGE BIO INC COM 702712100 2363 150000 SH SOLE 150000 0 0 PEGASYSTEMS INC COM 705573103 1172 16454 SH SOLE 16454 0 0 PEPSICO INC COM 713448108 1546 12871 SH SOLE 12871 0 0 PERDOCEO ED CORP COM 71363P106 5420 502363 SH SOLE 502363 0 0 PHILIP MORRIS INTL INC COM 718172109 1344 18424 SH SOLE 18424 0 0 PHREESIA INC COM 71944F106 566 26928 SH SOLE 26928 0 0 PLAINS GP HLDGS L P LTD PARTNR INT A 72651A207 180 32007 SH SOLE 32007 0 0 PLANET FITNESS INC CL A 72703H101 346 7114 SH SOLE 7114 0 0 PRINCIPIA BIOPHARMA INC COM 74257L108 422 7104 SH SOLE 7104 0 0 PROCTER & GAMBLE CO COM 742718109 8323 75660 SH SOLE 75660 0 0 PROLOGIS INC. COM 74340W103 854 10622 SH SOLE 10622 0 0 PULTE GROUP INC COM 745867101 365 16343 SH SOLE 16343 0 0 QUANEX BUILDING PRODUCTS COR COM 747619104 145 14374 SH SOLE 14374 0 0 RH COM 74967X103 291 2893 SH SOLE 2893 0 0 RALPH LAUREN CORP CL A 751212101 284 4249 SH SOLE 4249 0 0 SELECT SECTOR SPDR TR RL EST SEL SEC 81369Y860 12838 414118 SH SOLE 414118 0 0 THE REALREAL INC COM 88339P101 1208 172292 SH SOLE 172292 0 0 REALTY INCOME CORP COM 756109104 336 6735 SH SOLE 6735 0 0 REDWOOD TR INC COM 758075402 62 12331 SH SOLE 12331 0 0 RESTAURANT BRANDS INTL INC COM 76131D103 3145 78571 SH SOLE 78571 0 0 RETROPHIN INC COM 761299106 2774 190136 SH SOLE 190136 0 0 REVOLVE GROUP INC CL A 76156B107 990 114628 SH SOLE 114628 0 0 RINGCENTRAL INC CL A 76680R206 7310 34496 SH SOLE 34496 0 0 ROPER TECHNOLOGIES INC COM 776696106 4157 13331 SH SOLE 13331 0 0 TELARIA INC COM 879181105 1812 302074 SH SOLE 302074 0 0 RYANAIR HOLDINGS PLC SPONSORED ADS 783513203 5673 106855 SH SOLE 106855 0 0 S&P GLOBAL INC COM 78409V104 695 2837 SH SOLE 2837 0 0 SBA COMMUNICATIONS CORP NEW CL A 78410G104 598 2216 SH SOLE 2216 0 0 SJW GROUP COM 784305104 1540 26664 SH SOLE 26664 0 0 SPDR S&P 500 ETF TR TR UNIT 78462F103 46131 178977 SH SOLE 178977 0 0 SPDR S&P MIDCAP 400 ETF TR UTSER1 S&PDCRP 78467Y107 12540 47703 SH SOLE 47703 0 0 SWK HLDGS CORP COM NEW 78501P203 2339 208881 SH SOLE 208881 0 0 SANDRIDGE ENERGY INC COM NEW 80007P869 746 830243 SH SOLE 830243 0 0 SAREPTA THERAPEUTICS INC COM 803607100 903 9234 SH SOLE 9234 0 0 SCHRODINGER INC COM 80810D103 2592 60108 SH SOLE 60108 0 0 SEA LTD SPONSORED ADS 81141R100 1329 30000 SH SOLE 30000 0 0 SERVICEMASTER GLOBAL HLDGS I COM 81761R109 6648 246206 SH SOLE 246206 0 0 SILK RD MED INC COM 82710M100 461 14641 SH SOLE 14641 0 0 SIMON PPTY GROUP INC NEW COM 828806109 493 8993 SH SOLE 8993 0 0 SNAP ON INC COM 833034101 1584 14555 SH SOLE 14555 0 0 SPARTAN MTRS INC COM 846819100 139 10732 SH SOLE 10732 0 0 SPDR SER TR S&P REGL BKG 78464A698 16441 504476 SH SOLE 504476 0 0 SPDR SER TR S&P RETAIL ETF 78464A714 16851 565855 SH SOLE 565855 0 0 SPOTIFY TECHNOLOGY S A SHS L8681T102 1386 11409 SH SOLE 11409 0 0 STAMPS COM INC COM NEW 852857200 12437 95607 SH SOLE 95607 0 0 STARBUCKS CORP COM 855244109 3169 48207 SH SOLE 48207 0 0 STRYKER CORP COM 863667101 992 5957 SH SOLE 5957 0 0 SUN CMNTYS INC COM 866674104 275 2204 SH SOLE 2204 0 0 SUNCOR ENERGY INC NEW COM 867224107 5309 336004 SH SOLE 336004 0 0 TAPESTRY INC COM 876030107 175 13534 SH SOLE 13534 0 0 TARGET CORP COM 87612E106 776 8352 SH SOLE 8352 0 0 TELEFLEX INCORPORATED COM 879369106 220 751 SH SOLE 751 0 0 TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS 881624209 2778 309356 SH SOLE 309356 0 0 TWITTER INC COM 90184L102 3514 143063 SH SOLE 143063 0 0 TYSON FOODS INC CL A 902494103 242 4176 SH SOLE 4176 0 0 UNDER ARMOUR INC CL C 904311206 122 15110 SH SOLE 15110 0 0 UNIQURE NV SHS N90064101 2336 49238 SH SOLE 49238 0 0 UNISYS CORP COM NEW 909214306 489 39563 SH SOLE 39563 0 0 UNITED RENTALS INC COM 911363109 7429 72193 SH SOLE 72193 0 0 UNITED THERAPEUTICS CORP DEL COM 91307C102 16875 177961 SH SOLE 177961 0 0 UNITEDHEALTH GROUP INC COM 91324P102 14655 58767 SH SOLE 58767 0 0 V F CORP COM 918204108 1161 21472 SH SOLE 21472 0 0 VANGUARD WHITEHALL FDS HIGH DIV YLD 921946406 13728 194039 SH SOLE 194039 0 0 VERACYTE INC COM 92337F107 2000 79396 SH SOLE 79396 0 0 VERTIV HOLDINGS CO COM CL A 92537N108 5257 607705 SH SOLE 607705 0 0 VIPER ENERGY PARTNERS LP COM UNT RP INT 92763M105 77 11640 SH SOLE 11640 0 0 VISA INC COM CL A 92826C839 28806 178783 SH SOLE 178783 0 0 VISHAY PRECISION GROUP INC COM 92835K103 6747 335994 SH SOLE 335994 0 0 VISTA OUTDOOR INC COM 928377100 94 10640 SH SOLE 10640 0 0 WARRIOR MET COAL INC COM 93627C101 1068 100562 SH SOLE 100562 0 0 WELLTOWER INC COM 95040Q104 448 9777 SH SOLE 9777 0 0 WILLIAMS SONOMA INC COM 969904101 1005 23642 SH SOLE 23642 0 0 XPERI CORP COM 98421B100 3806 273594 SH SOLE 273594 0 0 YORK WTR CO COM 987184108 577 13270 SH SOLE 13270 0 0 ZIMMER BIOMET HOLDINGS INC COM 98956P102 234 2312 SH SOLE 2312 0 0 ZIONS BANCORPORATION N A COM 989701107 1750 65394 SH SOLE 65394 0 0 ISHARES TR MSCI MIN VOL ETF 46429B697 39057 723152 SH SOLE 723152 0 0 ISHARES INC MSCI BRAZIL ETF 464286400 501 21277 SH SOLE 21277 0 0 ISHARES TR MSCI INDIA ETF 46429B598 516 21414 SH SOLE 21414 0 0 ISHARES TR RUSSELL 2000 ETF 464287655 78975 689981 SH SOLE 689981 0 0 APOLLO GLOBAL MGMT INC COM CL A 03768E105 596 17800 SH Put SOLE 17800 0 0 ARES CAPITAL CORP COM 04010L103 115 10700 SH Put SOLE 10700 0 0 ASPEN TECHNOLOGY INC COM 045327103 932 9800 SH Put SOLE 9800 0 0 ATHENE HLDG LTD CL A G0684D107 6634 267300 SH Put SOLE 267300 0 0 AUTODESK INC COM 052769106 17358 111200 SH Put SOLE 111200 0 0 AXOS FINL INC COM 05465C100 3626 200000 SH Put SOLE 200000 0 0 BAIN CAP SPECIALTY FIN INC COM 05684B107 6 600 SH Put SOLE 600 0 0 BANK OZK COM 06417N103 479 28700 SH Put SOLE 28700 0 0 BARINGS BDC INC COM 06759L103 2 300 SH Put SOLE 300 0 0 BENEFYTT TECHNOLOGIES INC COM CL A 08182C106 356 15900 SH Call SOLE 15900 0 0 BLACKROCK INC COM 09247X101 4 600 SH Put SOLE 600 0 0 BLACKSTONE GROUP INC COM CL A 09260D107 4498 98700 SH Put SOLE 98700 0 0 BLOOM ENERGY CORP COM CL A 093712107 3547 678200 SH Put SOLE 678200 0 0 CANNAE HLDGS INC COM 13765N107 144 4300 SH Put SOLE 4300 0 0 CAPITAL SOUTHWEST CORP COM 140501107 2 200 SH Put SOLE 200 0 0 COMERICA INC COM 200340107 4254 145000 SH Put SOLE 145000 0 0 COMPASS DIVERSIFIED HOLDINGS SH BEN INT 20451Q104 21 1600 SH Put SOLE 1600 0 0 ENPHASE ENERGY INC COM 29355A107 646 20000 SH Put SOLE 20000 0 0 FIDUS INVT CORP COM 316500107 2 300 SH Put SOLE 300 0 0 FLEETCOR TECHNOLOGIES INC COM 339041105 5596 30000 SH Put SOLE 30000 0 0 GLADSTONE CAPITAL CORP COM 376535100 4 700 SH Put SOLE 700 0 0 GLADSTONE INVT CORP COM 376546107 4 500 SH Put SOLE 500 0 0 GOLUB CAP BDC INC COM 38173M102 36 2900 SH Put SOLE 2900 0 0 HAMILTON LANE INC CL A 407497106 61 1100 SH Put SOLE 1100 0 0 HERCULES CAPITAL INC COM 427096508 20 2600 SH Put SOLE 2600 0 0 HORIZON TECHNOLOGY FIN CORP COM 44045A102 1 100 SH Put SOLE 100 0 0 ISHARES TR 20 YR TR BD ETF 464287432 23558 142800 SH Put SOLE 142800 0 0 KKR & CO INC CL A 48251W104 197 8400 SH Put SOLE 8400 0 0 LYFT INC CL A COM 55087P104 1396 52000 SH Put SOLE 52000 0 0 MSCI INC COM 55354G100 4623 16000 SH Put SOLE 16000 0 0 MAIN STR CAP CORP COM 56035L104 6707 327000 SH Put SOLE 327000 0 0 MALLINCKRODT PUB LTD CO SHS G5785G107 495 250000 SH Put SOLE 250000 0 0 MAXAR TECHNOLOGIES INC COM 57778K105 214 20000 SH Put SOLE 20000 0 0 MEET GROUP INC COM 58513U101 5172 881100 SH Put SOLE 881100 0 0 MONROE CAP CORP COM 610335101 1 200 SH Put SOLE 200 0 0 NEW MTN FIN CORP COM 647551100 6 900 SH Put SOLE 900 0 0 OAKTREE SPECIALTY LENDING CO COM 67401P108 2 700 SH Put SOLE 700 0 0 PELOTON INTERACTIVE INC CL A COM 70614W100 5310 200000 SH Put SOLE 200000 0 0 PENNANTPARK FLOATING RATE CA COM 70806A106 1 300 SH Put SOLE 300 0 0 PROSPECT CAPITAL CORPORATION COM 74348T102 1226 288400 SH Put SOLE 288400 0 0 Q2 HLDGS INC COM 74736L109 490 8300 SH Put SOLE 8300 0 0 SOLAR CAP LTD COM 83413U100 6 500 SH Put SOLE 500 0 0 STELLUS CAP INVT CORP COM 858568108 1 200 SH Put SOLE 200 0 0 TCG BDC INC COM 872280102 3 500 SH Put SOLE 500 0 0 TRANSDIGM GROUP INC COM 893641100 1761 5500 SH Put SOLE 5500 0 0 TRIPLEPOINT VENTURE GROWTH B COM 89677Y100 3 500 SH Put SOLE 500 0 0 UBIQUITI INC COM 90353W103 3171 22400 SH Put SOLE 22400 0 0 ZENDESK INC COM 98936J101 903 14100 SH Put SOLE 14100 0 0 ZILLOW GROUP INC CL C CAP STK 98954M200 1754 48700 SH Put SOLE 48700 0 0 ISHARES TR MSCI MIN VOL ETF 46429B697 47529 880000 SH Put SOLE 880000 0 0