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 | 128 | 18,486 | SH | SOLE | N/A | 18,486 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 5,806 | 242,915 | SH | SOLE | N/A | 242,915 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 201 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 732 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 1,356 | 25,000 | SH | SOLE | N/A | 25,000 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 1,927 | 10,500 | SH | SOLE | N/A | 10,500 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 2,489 | 2,400 | SH | SOLE | N/A | 2,400 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 2,605 | 1,800 | SH | SOLE | N/A | 1,800 | 0 | 0 | |
APPLE INC | COM | 037833100 | 923 | 5,500 | SH | SOLE | N/A | 5,500 | 0 | 0 | |
APPLE INC | COM | 037833100 | 29,362 | 175,000 | SH | Call | SOLE | N/A | 175,000 | 0 | 0 |
ARGAN INC | COM | 04010E109 | 696 | 16,200 | SH | SOLE | N/A | 16,200 | 0 | 0 | |
ATHENEX INC | COM | 04685N103 | 680 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
AXOGEN INC | COM | 05463X106 | 7,035 | 192,751 | SH | SOLE | N/A | 192,751 | 0 | 0 | |
AXON ENTERPRISE INC | COM | 05464C101 | 2,193 | 55,800 | SH | SOLE | N/A | 55,800 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 83 | 62,225 | SH | SOLE | N/A | 62,225 | 0 | 0 | |
AXT INC | COM | 00246W103 | 722 | 99,572 | SH | SOLE | N/A | 99,572 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 446 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 1,338 | 44,600 | SH | SOLE | N/A | 44,600 | 0 | 0 | |
BAOZUN INC | SPONSORED ADR | 06684L103 | 229 | 5,000 | SH | SOLE | N/A | 5,000 | 0 | 0 | |
BILIBILI INC | ADS REP SHS Z | 090040106 | 110 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
BIOTIME INC | COM | 09066L105 | 334 | 124,050 | SH | SOLE | N/A | 124,050 | 0 | 0 | |
BLOOMIN BRANDS INC | COM | 094235108 | 1,496 | 61,600 | SH | SOLE | N/A | 61,600 | 0 | 0 | |
BRIGHT SCHOLAR ED HLDGS LTD | SPONSORED ADS | 109199109 | 340 | 22,000 | SH | SOLE | N/A | 22,000 | 0 | 0 | |
BRISTOL MYERS SQUIBB CO | COM | 110122108 | 1,316 | 20,800 | SH | SOLE | N/A | 20,800 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 4,639 | 138,800 | SH | SOLE | N/A | 138,800 | 0 | 0 | |
CAREDX INC | COM | 14167L103 | 1,231 | 154,500 | SH | SOLE | N/A | 154,500 | 0 | 0 | |
CHART INDS INC | COM PAR $0.01 | 16115Q308 | 1,830 | 31,000 | SH | SOLE | N/A | 31,000 | 0 | 0 | |
CLOVIS ONCOLOGY INC | COM | 189464100 | 697 | 13,200 | SH | SOLE | N/A | 13,200 | 0 | 0 | |
CRYOPORT INC | COM PAR $0.001 | 229050307 | 430 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
DBV TECHNOLOGIES S A | SPONSORED ADR | 23306J101 | 609 | 26,400 | SH | SOLE | N/A | 26,400 | 0 | 0 | |
DINE BRANDS GLOBAL INC | COM | 254423106 | 3,869 | 59,000 | SH | SOLE | N/A | 59,000 | 0 | 0 | |
DIPLOMAT PHARMACY INC | COM | 25456K101 | 1,511 | 75,000 | SH | SOLE | N/A | 75,000 | 0 | 0 | |
DROPBOX INC | CL A | 26210C104 | 1,906 | 61,000 | SH | SOLE | N/A | 61,000 | 0 | 0 | |
DYNAVAX TECHNOLOGIES CORP | COM NEW | 268158201 | 1,985 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
EVERBRIDGE INC | COM | 29978A104 | 1,927 | 52,650 | SH | SOLE | N/A | 52,650 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 6,464 | 40,450 | SH | SOLE | N/A | 40,450 | 0 | 0 | |
FINISAR CORP | COM NEW | 31787A507 | 158 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
FINISAR CORP | NOTE 0.500%12/1 | 31787AAP6 | 901 | 1,000,000 | PRN | SOLE | N/A | 1,000,000 | 0 | 0 | |
FLEX PHARMA INC | COM | 33938A105 | 163 | 32,663 | SH | SOLE | N/A | 32,663 | 0 | 0 | |
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 980 | 20,300 | SH | SOLE | N/A | 20,300 | 0 | 0 | |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 316 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 3,196 | 116,800 | SH | SOLE | N/A | 116,800 | 0 | 0 | |
GOOD TIMES RESTAURANTS INC | COM PAR $.001NEW | 382140879 | 833 | 273,050 | SH | SOLE | N/A | 273,050 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 3,290 | 29,200 | SH | SOLE | N/A | 29,200 | 0 | 0 | |
HEALTH INS INNOVATIONS INC | COM CL A | 42225K106 | 723 | 25,000 | SH | SOLE | N/A | 25,000 | 0 | 0 | |
HEALTHCARE SVCS GRP INC | COM | 421906108 | 870 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 1,042 | 169,200 | SH | SOLE | N/A | 169,200 | 0 | 0 | |
HOSTESS BRANDS INC | CL A | 44109J106 | 1,818 | 122,900 | SH | SOLE | N/A | 122,900 | 0 | 0 | |
HTG MOLECULAR DIAGNOSTICS IN | COM | 40434H104 | 239 | 65,900 | SH | SOLE | N/A | 65,900 | 0 | 0 | |
INCYTE CORP | COM | 45337C102 | 1,667 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
iShares China Large-Cap (ETF) | CHINA LG-CAP ETF | 464287184 | 1,859 | 40,000 | SH | Put | SOLE | N/A | 40,000 | 0 | 0 |
ISHARES IBOXX USD HIGH YIELD | IBOXX HI YD ETF | 464288513 | 8,564 | 100,000 | SH | Put | SOLE | N/A | 100,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 151,830 | 1,000,000 | SH | Call | SOLE | N/A | 1,000,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 37,958 | 250,000 | SH | Put | SOLE | N/A | 250,000 | 0 | 0 |
J & J SNACK FOODS CORP | COM | 466032109 | 819 | 6,000 | SH | SOLE | N/A | 6,000 | 0 | 0 | |
JDS UNIPHASE CORP | DBCV 0.625% 8/1 | 46612JAF8 | 3,678 | 3,600,000 | PRN | SOLE | N/A | 3,600,000 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 1,815 | 16,500 | SH | SOLE | N/A | 16,500 | 0 | 0 | |
LULULEMON ATHLETICA INC | COM | 550021109 | 891 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 4,651 | 72,900 | SH | SOLE | N/A | 72,900 | 0 | 0 | |
MACROGENICS INC | COM | 556099109 | 1,006 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
MAGNACHIP SEMICONDUCTOR CORP | COM | 55933J203 | 391 | 40,781 | SH | SOLE | N/A | 40,781 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 10,078 | 2,638,321 | SH | SOLE | N/A | 2,638,321 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 2,101 | 549,900 | SH | Call | SOLE | N/A | 549,900 | 0 | 0 |
MENLO THERAPEUTICS INC | COM | 586858102 | 304 | 8,100 | SH | SOLE | N/A | 8,100 | 0 | 0 | |
MICROSOFT CORP | COM | 594918104 | 1,113 | 12,200 | SH | Call | SOLE | N/A | 12,200 | 0 | 0 |
MOMO INC | ADR | 60879B107 | 1,121 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
MOTORCAR PTS AMER INC | COM | 620071100 | 2,572 | 120,000 | SH | SOLE | N/A | 120,000 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 1,065 | 155,402 | SH | SOLE | N/A | 155,402 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 3,393 | 12,100 | SH | SOLE | N/A | 12,100 | 0 | 0 | |
NETGEAR INC | COM | 64111Q104 | 343 | 6,000 | SH | SOLE | N/A | 6,000 | 0 | 0 | |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 1,481 | 16,900 | SH | SOLE | N/A | 16,900 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 2,895 | 12,500 | SH | SOLE | N/A | 12,500 | 0 | 0 | |
OVERSTOCK COM INC DEL | COM | 690370101 | 363 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
OVID THERAPEUTICS INC | COM | 690469101 | 86 | 12,200 | SH | SOLE | N/A | 12,200 | 0 | 0 | |
PIXELWORKS INC | COM NEW | 72581M305 | 210 | 54,200 | SH | SOLE | N/A | 54,200 | 0 | 0 | |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 212,172 | 1,325,000 | SH | Call | SOLE | N/A | 1,325,000 | 0 | 0 |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 90,473 | 565,000 | SH | Put | SOLE | N/A | 565,000 | 0 | 0 |
PROTHENA CORP PLC | SHS | G72800108 | 910 | 24,800 | SH | SOLE | N/A | 24,800 | 0 | 0 | |
REGENXBIO INC | COM | 75901B107 | 2,239 | 75,000 | SH | SOLE | N/A | 75,000 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 637 | 10,025 | SH | SOLE | N/A | 10,025 | 0 | 0 | |
ROKU INC | COM CL A | 77543R102 | 1,244 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 3,930 | 24,400 | SH | SOLE | N/A | 24,400 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 2,298 | 31,020 | SH | SOLE | N/A | 31,020 | 0 | 0 | |
SCYNEXIS INC | COM | 811292101 | 909 | 678,450 | SH | SOLE | N/A | 678,450 | 0 | 0 | |
SHAKE SHACK INC | CL A | 819047101 | 878 | 21,100 | SH | SOLE | N/A | 21,100 | 0 | 0 | |
SIENTRA INC | COM | 82621J105 | 939 | 97,200 | SH | SOLE | N/A | 97,200 | 0 | 0 | |
SINA CORP | ORD | G81477104 | 313 | 3,000 | SH | SOLE | N/A | 3,000 | 0 | 0 | |
SPARTAN MTRS INC | COM | 846819100 | 682 | 39,625 | SH | SOLE | N/A | 39,625 | 0 | 0 | |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 6,415 | 51,000 | SH | SOLE | N/A | 51,000 | 0 | 0 | |
SPDR S&P 500 ETF Trust | TR UNIT | 78462F103 | 302,623 | 1,150,000 | SH | Call | SOLE | N/A | 1,150,000 | 0 | 0 |
SPDR S&P 500 ETF Trust | TR UNIT | 78462F103 | 34,210 | 130,000 | SH | Put | SOLE | N/A | 130,000 | 0 | 0 |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 5,026 | 567,895 | SH | SOLE | N/A | 567,895 | 0 | 0 | |
SUMMIT THERAPEUTICS PLC | SPONS ADS | 86627R102 | 1,806 | 150,000 | SH | SOLE | N/A | 150,000 | 0 | 0 | |
TAL ED GROUP | SPONSORED ADS | 874080104 | 2,033 | 54,800 | SH | SOLE | N/A | 54,800 | 0 | 0 | |
TELLURIAN INC NEW | COM | 87968A104 | 512 | 71,000 | SH | SOLE | N/A | 71,000 | 0 | 0 | |
TESARO INC | COM | 881569107 | 308 | 5,390 | SH | SOLE | N/A | 5,390 | 0 | 0 | |
TWITTER INC | COM | 90184L102 | 1,700 | 58,600 | SH | SOLE | N/A | 58,600 | 0 | 0 | |
TYLER TECHNOLOGIES INC | COM | 902252105 | 548 | 2,600 | SH | SOLE | N/A | 2,600 | 0 | 0 | |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 3,128 | 30,000 | SH | Put | SOLE | N/A | 30,000 | 0 | 0 |
VIAVI SOLUTIONS INC | COM | 925550105 | 1,118 | 115,000 | SH | SOLE | N/A | 115,000 | 0 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 249 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
WABASH NATL CORP | COM | 929566107 | 3,361 | 161,500 | SH | SOLE | N/A | 161,500 | 0 | 0 | |
XUNLEI LTD | SPONSORED ADR | 98419E108 | 151 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
YY INC | ADS REPCOM CLA | 98426T106 | 703 | 6,684 | SH | SOLE | N/A | 6,684 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 5,251 | 131,100 | SH | SOLE | N/A | 131,100 | 0 | 0 | |
ZOSANO PHARMA CORP | COM NEW | 98979H202 | 504 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
ZYNERBA PHARMACEUTICALS INC | COM | 98986X109 | 374 | 43,000 | SH | SOLE | N/A | 43,000 | 0 | 0 |