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 |
21VIANET GROUP INC | SPONSORED ADR | 90138A103 | 365 | 66,500 | SH | SOLE | N/A | 66,500 | 0 | 0 | |
58 COM INC | SPON ADR REP A | 31680Q104 | 354 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
ACLARIS THERAPEUTICS INC | COM | 00461U105 | 1,959 | 65,680 | SH | SOLE | N/A | 65,680 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 4,122 | 235,515 | SH | SOLE | N/A | 235,515 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 3,463 | 238,000 | SH | SOLE | N/A | 238,000 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 988 | 500,000 | SH | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 3,853 | 84,959 | SH | SOLE | N/A | 84,959 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 1,186 | 11,000 | SH | SOLE | N/A | 11,000 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 2,120 | 2,500 | SH | SOLE | N/A | 2,500 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 2,460 | 2,775 | SH | SOLE | N/A | 2,775 | 0 | 0 | |
APPLE INC | COM | 037833100 | 8,620 | 60,000 | SH | Call | SOLE | N/A | 60,000 | 0 | 0 |
AXOGEN INC | COM | 05463X106 | 3,130 | 299,561 | SH | SOLE | N/A | 299,561 | 0 | 0 | |
AXT INC | COM | 00246W103 | 232 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 2,442 | 103,500 | SH | SOLE | N/A | 103,500 | 0 | 0 | |
BIOTIME INC | COM | 09066L105 | 235 | 68,242 | SH | SOLE | N/A | 68,242 | 0 | 0 | |
CAPRICOR THERAPEUTICS INC | COM | 14070B101 | 193 | 58,050 | SH | SOLE | N/A | 58,050 | 0 | 0 | |
CHINA BIOLOGIC PRODS INC | COM | 16938C106 | 350 | 3,500 | SH | SOLE | N/A | 3,500 | 0 | 0 | |
CHINA ONLINE ED GROUP | SPONSORED ADR | 16954L105 | 517 | 26,880 | SH | SOLE | N/A | 26,880 | 0 | 0 | |
CIENA CORP | COM NEW | 171779309 | 236 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
CYPRESS SEMICONDUCTOR CORP | COM | 232806109 | 619 | 45,000 | SH | SOLE | N/A | 45,000 | 0 | 0 | |
DERMIRA INC | COM | 24983L104 | 1,301 | 38,150 | SH | SOLE | N/A | 38,150 | 0 | 0 | |
EMCORE CORP | COM NEW | 290846203 | 1,094 | 121,500 | SH | SOLE | N/A | 121,500 | 0 | 0 | |
EVERBRIDGE INC | COM | 29978A104 | 1,721 | 83,850 | SH | SOLE | N/A | 83,850 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 4,730 | 33,300 | SH | SOLE | N/A | 33,300 | 0 | 0 | |
FIVE PRIME THERAPEUTICS INC | COM | 33830X104 | 1,085 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
FLEX PHARMA INC | COM | 33938A105 | 179 | 40,700 | SH | SOLE | N/A | 40,700 | 0 | 0 | |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 257 | 500,000 | SH | SOLE | N/A | 500,000 | 0 | 0 | |
GLU MOBILE INC | COM | 379890106 | 159 | 70,000 | SH | SOLE | N/A | 70,000 | 0 | 0 | |
GOOD TIMES RESTAURANTS INC | COM PAR $.001NEW | 382140879 | 809 | 256,750 | SH | SOLE | N/A | 256,750 | 0 | 0 | |
HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 1,293 | 80,800 | SH | SOLE | N/A | 80,800 | 0 | 0 | |
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 12,175 | 1,335,000 | SH | SOLE | N/A | 1,335,000 | 0 | 0 | |
Himax Technologies, Inc. (ADR) | SPONSORED ADR | 43289P106 | 6,735 | 738,500 | SH | Call | SOLE | N/A | 738,500 | 0 | 0 |
HUDSON TECHNOLOGIES INC | COM | 444144109 | 1,650 | 250,000 | SH | SOLE | N/A | 250,000 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 1,938 | 14,500 | SH | SOLE | N/A | 14,500 | 0 | 0 | |
iShares MSCI Emerging Markets Indx (ETF) | MSCI EMG MKT ETF | 464287234 | 3,939 | 100,000 | SH | Put | SOLE | N/A | 100,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 57,742 | 420,000 | SH | Put | SOLE | N/A | 420,000 | 0 | 0 |
JDS UNIPHASE CORP | DBCV 0.625% 8/1 | 46612JAF8 | 4,023 | 3,600,000 | SH | SOLE | N/A | 3,600,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 3,211 | 36,550 | SH | SOLE | N/A | 36,550 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 4,017 | 75,300 | SH | SOLE | N/A | 75,300 | 0 | 0 | |
MACOM TECH SOLUTIONS HLDGS I | COM | 55405Y100 | 782 | 16,200 | SH | SOLE | N/A | 16,200 | 0 | 0 | |
MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 | 287 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 1,372 | 775,000 | SH | SOLE | N/A | 775,000 | 0 | 0 | |
MARVELL TECHNOLOGY GROUP LTD | ORD | G5876H105 | 618 | 40,500 | SH | SOLE | N/A | 40,500 | 0 | 0 | |
MELLANOX TECHNOLOGIES LTD | SHS | M51363113 | 306 | 6,000 | SH | SOLE | N/A | 6,000 | 0 | 0 | |
MOMO INC | ADR | 60879B107 | 1,022 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 933 | 103,500 | SH | SOLE | N/A | 103,500 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 2,300 | 8,100 | SH | SOLE | N/A | 8,100 | 0 | 0 | |
NEVRO CORP | COM | 64157F103 | 3,467 | 37,000 | SH | SOLE | N/A | 37,000 | 0 | 0 | |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 483 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
NOAH HLDGS LTD | SPON ADS CL A | 65487X102 | 381 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
NORD ANGLIA EDUCATION INC | SHS | G6583A102 | 1,774 | 70,000 | SH | SOLE | N/A | 70,000 | 0 | 0 | |
NUANCE COMMUNICATIONS INC | COM | 67020Y100 | 935 | 54,000 | SH | SOLE | N/A | 54,000 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 643 | 5,900 | SH | SOLE | N/A | 5,900 | 0 | 0 | |
NXSTAGE MEDICAL INC | COM | 67072V103 | 1,174 | 43,750 | SH | SOLE | N/A | 43,750 | 0 | 0 | |
PHOENIX NEW MEDIA LTD | SPONSORED ADS | 71910C103 | 503 | 143,991 | SH | SOLE | N/A | 143,991 | 0 | 0 | |
PRIMO WTR CORP | COM | 74165N105 | 204 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
RECRO PHARMA INC | COM | 75629F109 | 573 | 65,550 | SH | SOLE | N/A | 65,550 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 592 | 20,925 | SH | SOLE | N/A | 20,925 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 692 | 23,370 | SH | SOLE | N/A | 23,370 | 0 | 0 | |
SCYNEXIS INC | COM | 811292101 | 391 | 141,750 | SH | SOLE | N/A | 141,750 | 0 | 0 | |
SEQUANS COMMUNICATIONS S A | SPONSORED ADS | 817323108 | 138 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
SHAKE SHACK INC | CL A | 819047101 | 3,340 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
SOHU COM INC | COM | 83408W103 | 900 | 22,890 | SH | SOLE | N/A | 22,890 | 0 | 0 | |
SPDR S&P 500 ETF Trust | TR UNIT | 78462F103 | 75,437 | 320,000 | SH | Call | SOLE | N/A | 320,000 | 0 | 0 |
SPDR S&P 500 ETF Trust | TR UNIT | 78462F103 | 35,361 | 150,000 | SH | Put | SOLE | N/A | 150,000 | 0 | 0 |
SPOK HLDGS INC | COM | 84863T106 | 475 | 25,000 | SH | SOLE | N/A | 25,000 | 0 | 0 | |
STMICROELECTRONICS N V | NY REGISTRY | 861012102 | 2,860 | 185,000 | SH | SOLE | N/A | 185,000 | 0 | 0 | |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 2,826 | 595,029 | SH | SOLE | N/A | 595,029 | 0 | 0 | |
SUMMIT THERAPEUTICS PLC | SPONS ADS | 86627R102 | 1,562 | 117,113 | SH | SOLE | N/A | 117,113 | 0 | 0 | |
SYNDAX PHARMACEUTICALS INC | COM | 87164F105 | 686 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
TAL ED GROUP | ADS REPSTG COM | 874080104 | 964 | 9,050 | SH | SOLE | N/A | 9,050 | 0 | 0 | |
TEEKAY CORPORATION | COM | Y8564W103 | 847 | 92,519 | SH | SOLE | N/A | 92,519 | 0 | 0 | |
TELENAV INC | COM | 879455103 | 1,051 | 121,500 | SH | SOLE | N/A | 121,500 | 0 | 0 | |
TELLURIAN INC NEW | COM | 87968A104 | 29,153 | 2,674,566 | SH | SOLE | N/A | 2,674,566 | 0 | 0 | |
TELLURIAN INC NEW | COM | 87968A104 | 188 | 16,000 | SH | Put | SOLE | N/A | 16,000 | 0 | 0 |
TESARO INC | COM | 881569107 | 1,246 | 8,100 | SH | SOLE | N/A | 8,100 | 0 | 0 | |
TYLER TECHNOLOGIES INC | COM | 902252105 | 873 | 5,650 | SH | SOLE | N/A | 5,650 | 0 | 0 | |
UNIVERSAL DISPLAY CORP | COM | 91347P105 | 517 | 6,000 | SH | SOLE | N/A | 6,000 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 1,447 | 135,000 | SH | SOLE | N/A | 135,000 | 0 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 341 | 25,527 | SH | SOLE | N/A | 25,527 | 0 | 0 | |
WEIBO CORP | SPONSORED ADR | 948596101 | 230 | 4,400 | SH | SOLE | N/A | 4,400 | 0 | 0 | |
WIX COM LTD | SHS | M98068105 | 1,833 | 27,000 | SH | SOLE | N/A | 27,000 | 0 | 0 | |
WRIGHT MED GROUP N V | ORD SHS 0.03 PAR | N96617118 | 3,423 | 110,000 | SH | SOLE | N/A | 110,000 | 0 | 0 | |
YY INC | ADS REPCOM CLA | 98426T106 | 1,752 | 38,000 | SH | SOLE | N/A | 38,000 | 0 | 0 | |
ZOSANO PHARMA CORP | COM | 98979H103 | 285 | 150,000 | SH | SOLE | N/A | 150,000 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 1,990 | 99,000 | SH | SOLE | N/A | 99,000 | 0 | 0 |