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 | 808 | 80,000 | SH | SOLE | N/A | 80,000 | 0 | 0 | |
58 COM INC | SPON ADR REP A | 31680Q104 | 589 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
ABERCROMBIE & FITCH CO | CL A | 002896207 | 1,457 | 69,000 | SH | SOLE | N/A | 69,000 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 3,898 | 194,715 | SH | SOLE | N/A | 194,715 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 1,943 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 1,145 | 18,600 | SH | SOLE | N/A | 18,600 | 0 | 0 | |
AERPIO PHARMACEUTICALS INC | COM | 00810B105 | 1,236 | 400,010 | SH | SOLE | N/A | 400,010 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 1,335 | 8,100 | SH | SOLE | N/A | 8,100 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 2,173 | 1,800 | SH | SOLE | N/A | 1,800 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 5,008 | 2,500 | SH | SOLE | N/A | 2,500 | 0 | 0 | |
APPLE INC | COM | 037833100 | 14,899 | 66,000 | SH | Call | SOLE | N/A | 66,000 | 0 | 0 |
ARGAN INC | COM | 04010E109 | 860 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
ARGENX SE | SPONSORED ADR | 04016X101 | 1,889 | 25,000 | SH | SOLE | N/A | 25,000 | 0 | 0 | |
ARLO TECHNOLOGIES INC | COM | 04206A101 | 290 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
AVENUE THERAPEUTICS INC | COM NEW | 05360L205 | 49 | 17,121 | SH | SOLE | N/A | 17,121 | 0 | 0 | |
AXOGEN INC | COM | 05463X106 | 3,500 | 94,976 | SH | SOLE | N/A | 94,976 | 0 | 0 | |
BAIDU INC | SPON ADR REP A | 056752108 | 1,555 | 6,800 | SH | SOLE | N/A | 6,800 | 0 | 0 | |
BEASLEY BROADCAST GROUP INC | CL A | 074014101 | 3,105 | 450,000 | SH | SOLE | N/A | 450,000 | 0 | 0 | |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 1,887 | 140,000 | SH | SOLE | N/A | 140,000 | 0 | 0 | |
BRIGHT SCHOLAR ED HLDGS LTD | SPONSORED ADS | 109199109 | 155 | 12,533 | SH | SOLE | N/A | 12,533 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 6,280 | 97,300 | SH | SOLE | N/A | 97,300 | 0 | 0 | |
CAREDX INC | COM | 14167L103 | 1,764 | 61,160 | SH | SOLE | N/A | 61,160 | 0 | 0 | |
COOTEK CAYMAN INC | SPONSORED ADS | 21718L102 | 236 | 25,000 | SH | SOLE | N/A | 25,000 | 0 | 0 | |
DBX ETF TR | XTRACK HRVST CSI | 233051879 | 29,786 | 1,175,000 | SH | Call | SOLE | N/A | 1,175,000 | 0 | 0 |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 1,704 | 150,000 | SH | Call | SOLE | N/A | 150,000 | 0 | 0 |
EGAIN CORP | COM NEW | 28225C806 | 468 | 57,800 | SH | SOLE | N/A | 57,800 | 0 | 0 | |
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 545 | 22,600 | SH | SOLE | N/A | 22,600 | 0 | 0 | |
ETF MANAGERS TR | ETFMG ALTR HRVST | 26924G508 | 63,079 | 1,575,000 | SH | Put | SOLE | N/A | 1,575,000 | 0 | 0 |
EVERBRIDGE INC | COM | 29978A104 | 2,706 | 46,950 | SH | SOLE | N/A | 46,950 | 0 | 0 | |
EVERQUOTE INC | COM CL A | 30041R108 | 2,862 | 192,600 | SH | SOLE | N/A | 192,600 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 5,962 | 36,250 | SH | SOLE | N/A | 36,250 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 16,446 | 100,000 | SH | Call | SOLE | N/A | 100,000 | 0 | 0 |
FINISAR CORP | COM NEW | 31787A507 | 381 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
FINISAR CORP | NOTE 0.500%12/1 | 31787AAP6 | 918 | 1,000,000 | PRN | SOLE | N/A | 1,000,000 | 0 | 0 | |
FORTRESS BIOTECH INC | COM | 34960Q109 | 768 | 479,835 | SH | SOLE | N/A | 479,835 | 0 | 0 | |
FREIGHTCAR AMER INC | COM | 357023100 | 169 | 10,490 | SH | SOLE | N/A | 10,490 | 0 | 0 | |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 382 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 3,987 | 143,400 | SH | SOLE | N/A | 143,400 | 0 | 0 | |
GOOD TIMES RESTAURANTS INC | COM PAR $.001NEW | 382140879 | 1,200 | 258,050 | SH | SOLE | N/A | 258,050 | 0 | 0 | |
GW PHARMACEUTICALS PLC | ADS | 36197T103 | 1,140 | 6,600 | SH | SOLE | N/A | 6,600 | 0 | 0 | |
HEALTHCARE SVCS GRP INC | COM | 421906108 | 496 | 12,200 | SH | SOLE | N/A | 12,200 | 0 | 0 | |
HIMAX TECHNOLOGIES INC | SPONSORED ADR | 43289P106 | 1,929 | 328,000 | SH | SOLE | N/A | 328,000 | 0 | 0 | |
HTG MOLECULAR DIAGNOSTICS IN | COM | 40434H104 | 1,010 | 200,000 | SH | SOLE | N/A | 200,000 | 0 | 0 | |
HUANENG PWR INTL INC | SPON ADR H SHS | 443304100 | 921 | 1,400,000 | SH | SOLE | N/A | 1,400,000 | 0 | 0 | |
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 4,808 | 400,000 | SH | SOLE | N/A | 400,000 | 0 | 0 | |
iShares China Large-Cap (ETF) | CHINA LG-CAP ETF | 464287184 | 24,407 | 570,000 | SH | Call | SOLE | N/A | 570,000 | 0 | 0 |
ISHARES IBOXX USD HIGH YIELD | IBOXX HI YD ETF | 464288513 | 86,440 | 1,000,000 | SH | Put | SOLE | N/A | 1,000,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 101,130 | 600,000 | SH | Call | SOLE | N/A | 600,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 50,565 | 300,000 | SH | Put | SOLE | N/A | 300,000 | 0 | 0 |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 93,816 | 800,000 | SH | Call | SOLE | N/A | 800,000 | 0 | 0 |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 25,752 | 600,000 | SH | Call | SOLE | N/A | 600,000 | 0 | 0 |
JDS UNIPHASE CORP | DBCV 0.625% 8/1 | 46612JAF8 | 3,316 | 3,300,000 | PRN | SOLE | N/A | 3,300,000 | 0 | 0 | |
JIANPU TECHNOLOGY INC | ADR | 47738D101 | 2,516 | 514,492 | SH | SOLE | N/A | 514,492 | 0 | 0 | |
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 24,410 | 500,000 | SH | Call | SOLE | N/A | 500,000 | 0 | 0 |
LEXINFINTECH HLDGS LTD | ADR | 528877103 | 330 | 33,239 | SH | SOLE | N/A | 33,239 | 0 | 0 | |
LULULEMON ATHLETICA INC | COM | 550021109 | 3,510 | 21,600 | SH | SOLE | N/A | 21,600 | 0 | 0 | |
LUMENTUM HLDGS INC | COM | 55024U109 | 2,632 | 43,900 | SH | SOLE | N/A | 43,900 | 0 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 | 2,035 | 1,700,000 | PRN | SOLE | N/A | 1,700,000 | 0 | 0 | |
MACOM TECH SOLUTIONS HLDGS I | COM | 55405Y100 | 2,785 | 135,200 | SH | SOLE | N/A | 135,200 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 10,594 | 1,059,367 | SH | SOLE | N/A | 1,059,367 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 8,780 | 878,000 | SH | Call | SOLE | N/A | 878,000 | 0 | 0 |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 2,500 | 250,000 | SH | Put | SOLE | N/A | 250,000 | 0 | 0 |
MELCO RESORT ENTERTAINMENT L | ADR | 585464100 | 11,633 | 550,000 | SH | Call | SOLE | N/A | 550,000 | 0 | 0 |
MOMO INC | ADR | 60879B107 | 2,212 | 50,500 | SH | SOLE | N/A | 50,500 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 751 | 90,502 | SH | SOLE | N/A | 90,502 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 457 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 659 | 8,900 | SH | SOLE | N/A | 8,900 | 0 | 0 | |
NOODLES & CO | COM CL A | 65540B105 | 3,328 | 275,000 | SH | SOLE | N/A | 275,000 | 0 | 0 | |
NVIDIA CORP | COM | 67066G104 | 1,630 | 5,800 | SH | SOLE | N/A | 5,800 | 0 | 0 | |
OPIANT PHARMACEUTICALS INC | COM | 683750103 | 1,340 | 75,000 | SH | SOLE | N/A | 75,000 | 0 | 0 | |
OVID THERAPEUTICS INC | COM | 690469101 | 634 | 111,826 | SH | SOLE | N/A | 111,826 | 0 | 0 | |
PINDUODUO INC | SPONSORED ADS | 722304102 | 263 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
PLAYAGS INC | COM | 72814N104 | 2,928 | 99,365 | SH | SOLE | N/A | 99,365 | 0 | 0 | |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 37,158 | 200,000 | SH | Call | SOLE | N/A | 200,000 | 0 | 0 |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 133,769 | 720,000 | SH | Put | SOLE | N/A | 720,000 | 0 | 0 |
PPDAI GROUP INC | SPONSORED ADR | 69354V108 | 269 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
PROOFPOINT INC | COM | 743424103 | 2,127 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
QUDIAN INC | ADR | 747798106 | 365 | 70,000 | SH | SOLE | N/A | 70,000 | 0 | 0 | |
QUINSTREET INC | COM | 74874Q100 | 1,628 | 120,000 | SH | SOLE | N/A | 120,000 | 0 | 0 | |
REGENXBIO INC | COM | 75901B107 | 3,586 | 47,500 | SH | SOLE | N/A | 47,500 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 793 | 8,525 | SH | SOLE | N/A | 8,525 | 0 | 0 | |
ROKU INC | COM CL A | 77543R102 | 1,767 | 24,200 | SH | SOLE | N/A | 24,200 | 0 | 0 | |
RUBIUS THERAPEUTICS INC | COM | 78116T103 | 2,849 | 118,700 | SH | SOLE | N/A | 118,700 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 3,311 | 20,500 | SH | SOLE | N/A | 20,500 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 66,605 | 700,000 | SH | Put | SOLE | N/A | 700,000 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-FINL | 81369Y605 | 38,612 | 1,400,000 | SH | Call | SOLE | N/A | 1,400,000 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI MATERIALS | 81369Y100 | 23,172 | 400,000 | SH | Call | SOLE | N/A | 400,000 | 0 | 0 |
SEMICONDUCTOR MFG INTL CORP | SPONSORED ADR | 81663N206 | 543 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
SENSEONICS HLDGS INC | COM | 81727U105 | 4,467 | 936,400 | SH | SOLE | N/A | 936,400 | 0 | 0 | |
SHAKE SHACK INC | CL A | 819047101 | 315 | 5,000 | SH | SOLE | N/A | 5,000 | 0 | 0 | |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 132,200 | 500,000 | SH | Call | SOLE | N/A | 500,000 | 0 | 0 |
SPDR GOLD TRUST | GOLD SHS | 78463V107 | 25,371 | 225,000 | SH | Call | SOLE | N/A | 225,000 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 239,844 | 825,000 | SH | Put | SOLE | N/A | 825,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 47,935 | 500,000 | SH | Put | SOLE | N/A | 500,000 | 0 | 0 |
STRONGBRIDGE BIOPHARMA PLC | SHS USD | G85347105 | 2,754 | 567,895 | SH | SOLE | N/A | 567,895 | 0 | 0 | |
TAL ED GROUP | SPONSORED ADS | 874080104 | 630 | 24,500 | SH | SOLE | N/A | 24,500 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 5,998 | 140,000 | SH | SOLE | N/A | 140,000 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 10,710 | 250,000 | SH | Call | SOLE | N/A | 250,000 | 0 | 0 |
TELLURIAN INC NEW | COM | 87968A104 | 4,872 | 543,100 | SH | SOLE | N/A | 543,100 | 0 | 0 | |
TPI COMPOSITES INC | COM | 87266J104 | 914 | 32,000 | SH | SOLE | N/A | 32,000 | 0 | 0 | |
TRAVELCENTERS AMER LLC | COM | 894174101 | 1,140 | 200,000 | SH | SOLE | N/A | 200,000 | 0 | 0 | |
TURTLE BEACH CORP | COM NEW | 900450206 | 997 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
TWITTER INC | COM | 90184L102 | 509 | 17,900 | SH | SOLE | N/A | 17,900 | 0 | 0 | |
TYLER TECHNOLOGIES INC | COM | 902252105 | 490 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
ULTA BEAUTY INC | COM | 90384S303 | 2,257 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
UNIVERSAL DISPLAY CORP | COM | 91347P105 | 825 | 7,000 | SH | SOLE | N/A | 7,000 | 0 | 0 | |
USA TECHNOLOGIES INC | COM NO PAR | 90328S500 | 900 | 125,000 | SH | SOLE | N/A | 125,000 | 0 | 0 | |
VANECK VECTORS ETF TR | OIL SVCS ETF | 92189F718 | 10,076 | 400,000 | SH | Call | SOLE | N/A | 400,000 | 0 | 0 |
VIAVI SOLUTIONS INC | COM | 925550105 | 1,002 | 88,400 | SH | SOLE | N/A | 88,400 | 0 | 0 | |
VIEWRAY INC | COM | 92672L107 | 1,591 | 170,000 | SH | SOLE | N/A | 170,000 | 0 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 281 | 45,000 | SH | SOLE | N/A | 45,000 | 0 | 0 | |
WELLS FARGO CO NEW | COM | 949746101 | 10,532 | 200,000 | SH | Call | SOLE | N/A | 200,000 | 0 | 0 |
XENON PHARMACEUTICALS INC | COM | 98420N105 | 6,129 | 464,300 | SH | SOLE | N/A | 464,300 | 0 | 0 | |
YIRENDAI LTD | SPONSORED ADR | 98585L100 | 3,588 | 195,000 | SH | SOLE | N/A | 195,000 | 0 | 0 | |
YY INC | ADS REPCOM CLA | 98426T106 | 599 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 4,742 | 95,600 | SH | SOLE | N/A | 95,600 | 0 | 0 |