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 |
ABERCROMBIE & FITCH CO | CL A | 002896207 | 1,689 | 69,000 | SH | SOLE | N/A | 69,000 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 5,221 | 202,115 | SH | SOLE | N/A | 202,115 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,649 | 110,000 | SH | SOLE | N/A | 110,000 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 993 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 1,256 | 18,600 | SH | SOLE | N/A | 18,600 | 0 | 0 | |
AERPIO PHARMACEUTICALS INC | COM | 00810B105 | 3,113 | 750,000 | SH | SOLE | N/A | 750,000 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 1,967 | 10,600 | SH | SOLE | N/A | 10,600 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 2,033 | 1,800 | SH | SOLE | N/A | 1,800 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 4,589 | 2,700 | SH | SOLE | N/A | 2,700 | 0 | 0 | |
ANAVEX LIFE SCIENCES CORP | COM NEW | 032797300 | 262 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
APOLLO ENDOSURGERY INC | COM | 03767D108 | 349 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
APPLE INC | COM | 037833100 | 14,809 | 80,000 | SH | Call | SOLE | N/A | 80,000 | 0 | 0 |
ARGAN INC | COM | 04010E109 | 819 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
AVENUE THERAPEUTICS INC | COM NEW | 05360L205 | 61 | 17,121 | SH | SOLE | N/A | 17,121 | 0 | 0 | |
AXOGEN INC | COM | 05463X106 | 8,992 | 178,951 | SH | SOLE | N/A | 178,951 | 0 | 0 | |
AXOVANT SCIENCES LTD | COM | G0750W104 | 226 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 1,215 | 5,000 | SH | SOLE | N/A | 5,000 | 0 | 0 | |
BANK AMER CORP | COM | 060505104 | 956 | 33,900 | SH | SOLE | N/A | 33,900 | 0 | 0 | |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 1,119 | 80,000 | SH | SOLE | N/A | 80,000 | 0 | 0 | |
BIOTIME INC | COM | 09066L105 | 78 | 37,791 | SH | SOLE | N/A | 37,791 | 0 | 0 | |
BRIGHT SCHOLAR ED HLDGS LTD | SPONSORED ADS | 109199109 | 220 | 13,233 | SH | SOLE | N/A | 13,233 | 0 | 0 | |
BRIGHTCOVE INC | COM | 10921T101 | 752 | 77,900 | SH | SOLE | N/A | 77,900 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 6,109 | 103,800 | SH | SOLE | N/A | 103,800 | 0 | 0 | |
CARE COM INC | COM | 141633107 | 1,984 | 95,000 | SH | SOLE | N/A | 95,000 | 0 | 0 | |
CAREDX INC | COM | 14167L103 | 749 | 61,160 | SH | SOLE | N/A | 61,160 | 0 | 0 | |
CELGENE CORP | COM | 151020104 | 7,942 | 100,000 | SH | Call | SOLE | N/A | 100,000 | 0 | 0 |
CHART INDS INC | COM PAR $0.01 | 16115Q308 | 1,301 | 21,100 | SH | SOLE | N/A | 21,100 | 0 | 0 | |
CRYOPORT INC | COM PAR $0.001 | 229050307 | 789 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
ELECTROCORE INC | COM | 28531P103 | 826 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
EVERBRIDGE INC | COM | 29978A104 | 2,226 | 46,950 | SH | SOLE | N/A | 46,950 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 5,567 | 28,650 | SH | SOLE | N/A | 28,650 | 0 | 0 | |
FINISAR CORP | COM NEW | 31787A507 | 270 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
FINISAR CORP | NOTE 0.500%12/1 | 31787AAP6 | 908 | 1,000,000 | PRN | SOLE | N/A | 1,000,000 | 0 | 0 | |
FINTECH ACQUISITION CORP II | COM | 31810G109 | 4,020 | 400,000 | SH | SOLE | N/A | 400,000 | 0 | 0 | |
FORTRESS BIOTECH INC | COM | 34960Q109 | 1,430 | 480,000 | SH | SOLE | N/A | 480,000 | 0 | 0 | |
FREIGHTCAR AMER INC | COM | 357023100 | 196 | 11,690 | SH | SOLE | N/A | 11,690 | 0 | 0 | |
GLOBAL BLOOD THERAPEUTICS IN | COM | 37890U108 | 1,356 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 369 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 5,780 | 196,200 | SH | SOLE | N/A | 196,200 | 0 | 0 | |
GOOD TIMES RESTAURANTS INC | COM PAR $.001NEW | 382140879 | 968 | 258,050 | SH | SOLE | N/A | 258,050 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 977 | 7,000 | SH | SOLE | N/A | 7,000 | 0 | 0 | |
HEALTHCARE SVCS GRP INC | COM | 421906108 | 587 | 13,600 | SH | SOLE | N/A | 13,600 | 0 | 0 | |
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 3,544 | 475,000 | SH | SOLE | N/A | 475,000 | 0 | 0 | |
HOSTESS BRANDS INC | CL A | 44109J106 | 1,137 | 83,600 | SH | SOLE | N/A | 83,600 | 0 | 0 | |
HUANENG PWR INTL INC | SPON ADR H SHS | 443304100 | 928 | 1,400,000 | SH | SOLE | N/A | 1,400,000 | 0 | 0 | |
iShares China Large-Cap (ETF) | CHINA LG-CAP ETF | 464287184 | 22,237 | 900,000 | SH | Call | SOLE | N/A | 900,000 | 0 | 0 |
ISHARES IBOXX USD HIGH YIELD | IBOXX HI YD ETF | 464288513 | 85,080 | 1,000,000 | SH | Put | SOLE | N/A | 1,000,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 98,262 | 600,000 | SH | Call | SOLE | N/A | 600,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 141,563 | 864,400 | SH | Put | SOLE | N/A | 864,400 | 0 | 0 |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 106,267 | 1,970,000 | SH | Call | SOLE | N/A | 1,970,000 | 0 | 0 |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 433 | 10,000 | SH | Put | SOLE | N/A | 10,000 | 0 | 0 |
JDS UNIPHASE CORP | DBCV 0.625% 8/1 | 46612JAF8 | 3,625 | 3,600,000 | PRN | SOLE | N/A | 3,600,000 | 0 | 0 | |
JIANPU TECHNOLOGY INC | ADR | 47738D101 | 3,134 | 474,173 | SH | SOLE | N/A | 474,173 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 1,313 | 12,600 | SH | SOLE | N/A | 12,600 | 0 | 0 | |
JPMORGAN CHASE & CO | COM | 46625H100 | 52,100 | 500,000 | SH | Call | SOLE | N/A | 500,000 | 0 | 0 |
LEXINFINTECH HLDGS LTD | ADR | 528877103 | 162 | 13,200 | SH | SOLE | N/A | 13,200 | 0 | 0 | |
LOVESAC COMPANY | COM | 54738L109 | 212 | 10,202 | SH | SOLE | N/A | 10,202 | 0 | 0 | |
LULULEMON ATHLETICA INC | COM | 550021109 | 2,996 | 24,000 | SH | SOLE | N/A | 24,000 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 5,304 | 91,600 | SH | SOLE | N/A | 91,600 | 0 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 | 2,367 | 2,000,000 | SH | SOLE | N/A | 2,000,000 | 0 | 0 | |
MACOM TECH SOLUTIONS HLDGS I | COM | 55405Y100 | 2,654 | 115,200 | SH | SOLE | N/A | 115,200 | 0 | 0 | |
MAGNACHIP SEMICONDUCTOR SA | NOTE 5.000% 3/0 | 55932XAB0 | 720 | 500,000 | SH | SOLE | N/A | 500,000 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 18,653 | 2,638,321 | SH | SOLE | N/A | 2,638,321 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 997 | 141,000 | SH | Call | SOLE | N/A | 141,000 | 0 | 0 |
MELCO RESORT ENTERTAINMENT L | ADR | 585464100 | 851 | 30,400 | SH | SOLE | N/A | 30,400 | 0 | 0 | |
MIMEDX GROUP INC | COM | 602496101 | 1,022 | 160,000 | SH | SOLE | N/A | 160,000 | 0 | 0 | |
MOMO INC | ADR | 60879B107 | 1,392 | 32,000 | SH | SOLE | N/A | 32,000 | 0 | 0 | |
MORGAN STANLEY | COM NEW | 617446448 | 23,700 | 500,000 | SH | Call | SOLE | N/A | 500,000 | 0 | 0 |
MOTORCAR PTS AMER INC | COM | 620071100 | 884 | 47,263 | SH | SOLE | N/A | 47,263 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 595 | 95,502 | SH | SOLE | N/A | 95,502 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 758 | 3,000 | SH | SOLE | N/A | 3,000 | 0 | 0 | |
NETGEAR INC | COM | 64111Q104 | 625 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 1,363 | 14,400 | SH | SOLE | N/A | 14,400 | 0 | 0 | |
NOODLES & CO | COM CL A | 65540B105 | 2,768 | 225,000 | SH | SOLE | N/A | 225,000 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 1,208 | 5,100 | SH | SOLE | N/A | 5,100 | 0 | 0 | |
OVID THERAPEUTICS INC | COM | 690469101 | 2,177 | 279,040 | SH | SOLE | N/A | 279,040 | 0 | 0 | |
PFENEX INC | COM | 717071104 | 1,398 | 258,500 | SH | SOLE | N/A | 258,500 | 0 | 0 | |
PLAYAGS INC | COM | 72814N104 | 2,988 | 110,365 | SH | SOLE | N/A | 110,365 | 0 | 0 | |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 77,243 | 450,000 | SH | Put | SOLE | N/A | 450,000 | 0 | 0 |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 5,150 | 30,000 | SH | Call | SOLE | N/A | 30,000 | 0 | 0 |
PROOFPOINT INC | COM | 743424103 | 2,306 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
QUDIAN INC | ADR | 747798106 | 354 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
QUINSTREET INC | COM | 74874Q100 | 1,270 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
REGENXBIO INC | COM | 75901B107 | 3,595 | 50,100 | SH | SOLE | N/A | 50,100 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 600 | 8,525 | SH | SOLE | N/A | 8,525 | 0 | 0 | |
ROKU INC | COM CL A | 77543R102 | 1,585 | 37,200 | SH | SOLE | N/A | 37,200 | 0 | 0 | |
SAGE THERAPEUTICS INC | COM | 78667J108 | 1,550 | 9,900 | SH | SOLE | N/A | 9,900 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 3,664 | 27,720 | SH | SOLE | N/A | 27,720 | 0 | 0 | |
SCIENTIFIC GAMES CORP | COM | 80874P109 | 1,573 | 32,000 | SH | SOLE | N/A | 32,000 | 0 | 0 | |
SCYNEXIS INC | COM | 811292101 | 1,113 | 678,450 | SH | SOLE | N/A | 678,450 | 0 | 0 | |
SEMICONDUCTOR MFG INTL CORP | SPONSORED ADR | 81663N206 | 650 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
SENSEONICS HLDGS INC | COM | 81727U105 | 6,782 | 1,650,000 | SH | SOLE | N/A | 1,650,000 | 0 | 0 | |
SHAKE SHACK INC | CL A | 819047101 | 331 | 5,000 | SH | SOLE | N/A | 5,000 | 0 | 0 | |
SIENTRA INC | COM | 82621J105 | 691 | 35,400 | SH | SOLE | N/A | 35,400 | 0 | 0 | |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 182,048 | 750,000 | SH | Call | SOLE | N/A | 750,000 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 4,295 | 36,200 | SH | SOLE | N/A | 36,200 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 46,118 | 170,000 | SH | Put | SOLE | N/A | 170,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 36,648 | 385,000 | SH | Put | SOLE | N/A | 385,000 | 0 | 0 |
STMICROELECTRONICS N V | NY REGISTRY | 861012102 | 1,327 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 3,407 | 567,895 | SH | SOLE | N/A | 567,895 | 0 | 0 | |
TAL ED GROUP | SPONSORED ADS | 874080104 | 1,328 | 36,100 | SH | SOLE | N/A | 36,100 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 4,955 | 225,000 | SH | SOLE | N/A | 225,000 | 0 | 0 | |
TELLURIAN INC NEW | COM | 87968A104 | 6,432 | 773,100 | SH | SOLE | N/A | 773,100 | 0 | 0 | |
TWITTER INC | COM | 90184L102 | 869 | 19,900 | SH | SOLE | N/A | 19,900 | 0 | 0 | |
TYLER TECHNOLOGIES INC | COM | 902252105 | 489 | 2,200 | SH | SOLE | N/A | 2,200 | 0 | 0 | |
ULTA BEAUTY INC | COM | 90384S303 | 1,167 | 5,000 | SH | SOLE | N/A | 5,000 | 0 | 0 | |
UNIVERSAL DISPLAY CORP | COM | 91347P105 | 688 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
VEECO INSTRS INC DEL | COM | 922417100 | 570 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
VERICEL CORP | COM | 92346J108 | 2,364 | 243,700 | SH | SOLE | N/A | 243,700 | 0 | 0 | |
VERTEX PHARMACEUTICALS INC | COM | 92532F100 | 10,198 | 60,000 | SH | Call | SOLE | N/A | 60,000 | 0 | 0 |
VIAVI SOLUTIONS INC | COM | 925550105 | 727 | 71,000 | SH | SOLE | N/A | 71,000 | 0 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 163 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
VISHAY INTERTECHNOLOGY INC | COM | 928298108 | 464 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
WABASH NATL CORP | COM | 929566107 | 438 | 23,472 | SH | SOLE | N/A | 23,472 | 0 | 0 | |
XENON PHARMACEUTICALS INC | COM | 98420N105 | 4,436 | 482,200 | SH | SOLE | N/A | 482,200 | 0 | 0 | |
YIRENDAI LTD | SPONSORED ADR | 98585L100 | 2,122 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 4,354 | 98,500 | SH | SOLE | N/A | 98,500 | 0 | 0 |