The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| American Airlines Group Inc | COM | 02376R902 | 3,154 | 200,000 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| Aurinia Pharmaceuticals Inc | COM | 05156V952 | 8,429 | 609,500 | SH | Put | SOLE | 0 | 609,500 | 0 | 0 |
| Aurinia Pharmaceuticals Inc | COM | 05156V902 | 8,900 | 643,500 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| Barnes & Noble Education Inc | COM | 06777U101 | 3,756 | 807,755 | SH | SOLE | 0 | 807,755 | 0 | 0 | |
| Blink Charging Co | COM | 09354A900 | 6,413 | 150,000 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| Caesars Entertainment Inc | COM | 12769G950 | 144,827 | 1,950,000 | SH | Put | SOLE | 0 | 1,950,000 | 0 | 0 |
| Clovis Oncology Inc | NOTE 1.25% 5/0 | 189464AC4 | 353 | 37,028,000 | PRN | SOLE | 0 | 37,028,000 | 0 | 0 | |
| Clovis Oncology Inc | COM | 189464950 | 204 | 42,500 | SH | Put | SOLE | 0 | 42,500 | 0 | 0 |
| Collective Growth Corp | COM CL A | 19424L101 | 2,836 | 198,448 | SH | SOLE | 0 | 198,448 | 0 | 0 | |
| Colony Capital Inc | COM | 19626G908 | 4,810 | 1,000,000 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| DISH Network Corp | COM | 25470M959 | 12,936 | 400,000 | SH | Put | SOLE | 0 | 400,000 | 0 | 0 |
| EnLink Midstream LLC | COM | 29336T950 | 928 | 250,000 | SH | Put | SOLE | 0 | 250,000 | 0 | 0 |
| Innoviva Inc | COM | 45781M101 | 3,655 | 295,000 | SH | SOLE | 0 | 295,000 | 0 | 0 | |
| Intercept Pharmaceuticals Inc | Note 3.25% 7/0 | 45845PAA6 | 435 | 7,609,000 | PRN | SOLE | 0 | 7,609,000 | 0 | 0 | |
| Intercept Pharmaceuticals Inc | COM | 45845P108 | 2,073 | 83,926 | SH | SOLE | 0 | 83,926 | 0 | 0 | |
| Intercept Pharmaceuticals Inc | COM | 45845P958 | 1,853 | 75,000 | SH | Put | SOLE | 0 | 75,000 | 0 | 0 |
| Inventiva SACA | ADS | 46124U107 | 3,768 | 259,857 | SH | SOLE | 0 | 259,857 | 0 | 0 | |
| Luminar Technologies Inc | COM | 550424955 | 15,810 | 465,000 | SH | Put | SOLE | 0 | 465,000 | 0 | 0 |
| Omeros Corp | NOTE 5.25% 2/1 | 682143AG7 | 3,197 | 3,000,000 | PRN | SOLE | 0 | 3,000,000 | 0 | 0 | |
| Precigen Inc | COM | 74017N905 | 1,530 | 150,000 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| QuantumScape Corp | COM | 74767V909 | 43,939 | 520,300 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| RedBall Acquisition Corp | COM CLA | G7417R105 | 1,183 | 108,604 | SH | SOLE | 0 | 108,604 | 0 | 0 | |
| Revlon Inc | COM | 761525909 | 1,088 | 91,600 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| Revlon Inc | COM | 761525959 | 7,722 | 650,000 | SH | Put | SOLE | 0 | 650,000 | 0 | 0 |
| SPDR S&P Metals & Mining ETF | COM | 78464A905 | 6,688 | 200,000 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| TG Therapeutics Inc | COM | 88322Q908 | 15,325 | 294,600 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| TG Therapeutics Inc | COM | 88322Q958 | 4,089 | 78,600 | SH | Put | SOLE | 0 | 78,600 | 0 | 0 |
| Theravance Inc | NOTE 2.125% 1/1 | 88338TAB0 | 857 | 3,100,000 | PRN | SOLE | 0 | 3,100,000 | 0 | 0 | |
| Tiffany & Co | COM | 886547958 | 88,847 | 675,900 | SH | Put | SOLE | 0 | 675,900 | 0 | 0 |
| UniQure NV | COM | N90064951 | 16,349 | 452,500 | SH | Call | SOLE | 0 | 0 | 0 | 0 |
| USA Technologies Inc | COM | 903285500 | 17,215 | 1,642,695 | SH | SOLE | 0 | 1,642,695 | 0 | 0 | |
| Velodyne Lidar Inc | COM | 92259F951 | 4,564 | 200,000 | SH | Put | SOLE | 0 | 200,000 | 0 | 0 |
| Workhorse Group Inc | COM | 98138J956 | 44,258 | 2,237,500 | SH | Put | SOLE | 0 | 2,237,500 | 0 | 0 |