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 | 562 | 65,000 | SH | SOLE | N/A | 65,000 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 468 | 54,822 | SH | SOLE | N/A | 54,822 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 1,218 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 671 | 18,600 | SH | SOLE | N/A | 18,600 | 0 | 0 | |
AERPIO PHARMACEUTICALS INC | COM | 00810B105 | 680 | 400,010 | SH | SOLE | N/A | 400,010 | 0 | 0 | |
ALPHA & OMEGA SEMICONDUCTOR | SHS | G6331P104 | 132 | 12,963 | SH | SOLE | N/A | 12,963 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 1,881 | 1,800 | SH | SOLE | N/A | 1,800 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 3,755 | 2,500 | SH | SOLE | N/A | 2,500 | 0 | 0 | |
APPLE INC | COM | 037833100 | 5,616 | 35,600 | SH | Call | SOLE | N/A | 35,600 | 0 | 0 |
ARGAN INC | COM | 04010E109 | 757 | 20,000 | SH | SOLE | N/A | 20,000 | 0 | 0 | |
ARGENX SE | SPONSORED ADR | 04016X101 | 1,563 | 16,000 | SH | SOLE | N/A | 16,000 | 0 | 0 | |
AXOGEN INC | COM | 05463X106 | 1,955 | 95,669 | SH | SOLE | N/A | 95,669 | 0 | 0 | |
BEASLEY BROADCAST GROUP INC | CL A | 074014101 | 1,532 | 408,511 | SH | SOLE | N/A | 408,511 | 0 | 0 | |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 438 | 30,000 | SH | SOLE | N/A | 30,000 | 0 | 0 | |
BOOT BARN HLDGS INC | COM | 099406100 | 681 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 3,935 | 90,000 | SH | SOLE | N/A | 90,000 | 0 | 0 | |
CAREDX INC | COM | 14167L103 | 1,538 | 61,160 | SH | SOLE | N/A | 61,160 | 0 | 0 | |
CHANGYOU COM LTD | ADS REP CL A | 15911M107 | 184 | 10,070 | SH | SOLE | N/A | 10,070 | 0 | 0 | |
CHINACACHE INTL HLDG LTD | SPONSORED ADR | 16950M107 | 189 | 167,526 | SH | SOLE | N/A | 167,526 | 0 | 0 | |
CITIGROUP INC | COM NEW | 172967424 | 31,236 | 600,000 | SH | Call | SOLE | N/A | 600,000 | 0 | 0 |
DAQO NEW ENERGY CORP | SPNSRD ADR NEW | 23703Q203 | 234 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
DIREXION SHS ETF TR | CSI 300 BULL2X | 25490K869 | 313 | 21,700 | SH | SOLE | N/A | 21,700 | 0 | 0 | |
EGAIN CORP | COM NEW | 28225C806 | 380 | 57,800 | SH | SOLE | N/A | 57,800 | 0 | 0 | |
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 620 | 22,600 | SH | SOLE | N/A | 22,600 | 0 | 0 | |
EVERBRIDGE INC | COM | 29978A104 | 2,665 | 46,950 | SH | SOLE | N/A | 46,950 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 5,932 | 45,250 | SH | SOLE | N/A | 45,250 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 6,555 | 50,000 | SH | Call | SOLE | N/A | 50,000 | 0 | 0 |
FINISAR CORP | NOTE 0.500%12/1 | 31787AAM3 | 949 | 1,000,000 | SH | SOLE | N/A | 1,000,000 | 0 | 0 | |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 374 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
GOLAR LNG LTD BERMUDA | SHS | G9456A100 | 3,120 | 143,400 | SH | SOLE | N/A | 143,400 | 0 | 0 | |
GOOD TIMES RESTAURANTS INC | COM PAR $.001NEW | 382140879 | 160 | 63,960 | SH | SOLE | N/A | 63,960 | 0 | 0 | |
HEALTHCARE SVCS GRP INC | COM | 421906108 | 490 | 12,200 | SH | SOLE | N/A | 12,200 | 0 | 0 | |
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 4,318 | 361,000 | SH | SOLE | N/A | 361,000 | 0 | 0 | |
INVESCO EXCHNG TRADED FD TR | CHINA TECHNLGY | 46138E800 | 1,378 | 35,000 | SH | SOLE | N/A | 35,000 | 0 | 0 | |
INVESCO QQQ TR | UNIT SER 1 | 46090E103 | 3,548 | 23,000 | SH | SOLE | N/A | 23,000 | 0 | 0 | |
iShares China Large-Cap (ETF) | CHINA LG-CAP ETF | 464287184 | 5,061 | 129,500 | SH | Call | SOLE | N/A | 129,500 | 0 | 0 |
ISHARES IBOXX USD HIGH YIELD | IBOXX HI YD ETF | 464288513 | 44,605 | 550,000 | SH | Call | SOLE | N/A | 550,000 | 0 | 0 |
ISHARES IBOXX USD HIGH YIELD | IBOXX HI YD ETF | 464288513 | 8,110 | 100,000 | SH | Put | SOLE | N/A | 100,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 73,645 | 550,000 | SH | Call | SOLE | N/A | 550,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 26,780 | 200,000 | SH | Put | SOLE | N/A | 200,000 | 0 | 0 |
ISHARES TR | CHINA LG-CAP ETF | 464287184 | 2,540 | 65,000 | SH | SOLE | N/A | 65,000 | 0 | 0 | |
ISHARES TR | IBOXX HI YD ETF | 464288513 | 811 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 3,906 | 100,000 | SH | Put | SOLE | N/A | 100,000 | 0 | 0 |
ISHARES TR | US HOME CONS ETF | 464288752 | 10,514 | 350,000 | SH | Call | SOLE | N/A | 350,000 | 0 | 0 |
JIANPU TECHNOLOGY INC | ADR | 47738D101 | 2,145 | 514,492 | SH | SOLE | N/A | 514,492 | 0 | 0 | |
JINKOSOLAR HLDG CO LTD | SPONSORED ADR | 47759T100 | 124 | 12,500 | SH | SOLE | N/A | 12,500 | 0 | 0 | |
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 5,625 | 150,000 | SH | Call | SOLE | N/A | 150,000 | 0 | 0 |
LUMENTUM HLDGS INC | COM | 55024U109 | 527 | 12,540 | SH | SOLE | N/A | 12,540 | 0 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 | 1,707 | 1,700,000 | PRN | SOLE | N/A | 1,700,000 | 0 | 0 | |
MACOM TECH SOLUTIONS HLDGS I | COM | 55405Y100 | 728 | 50,200 | SH | SOLE | N/A | 50,200 | 0 | 0 | |
MAGNACHIP SEMICONDUCTOR SA | NOTE 5.000% 3/0 | 55932XAB0 | 517 | 500,000 | SH | SOLE | N/A | 500,000 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 7,632 | 2,659,367 | SH | SOLE | N/A | 2,659,367 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 4,592 | 1,600,000 | SH | Call | SOLE | N/A | 1,600,000 | 0 | 0 |
MOTORCAR PTS AMER INC | COM | 620071100 | 538 | 32,316 | SH | SOLE | N/A | 32,316 | 0 | 0 | |
NEOPHOTONICS CORP | COM | 64051T100 | 215 | 33,176 | SH | SOLE | N/A | 33,176 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 706 | 3,000 | SH | SOLE | N/A | 3,000 | 0 | 0 | |
NOKIA CORP | SPONSORED ADR | 654902204 | 2,037 | 350,000 | SH | SOLE | N/A | 350,000 | 0 | 0 | |
NOODLES & CO | COM CL A | 65540B105 | 943 | 134,851 | SH | SOLE | N/A | 134,851 | 0 | 0 | |
OPIANT PHARMACEUTICALS INC | COM | 683750103 | 1,084 | 75,000 | SH | SOLE | N/A | 75,000 | 0 | 0 | |
PLAYAGS INC | COM | 72814N104 | 2,760 | 120,000 | SH | SOLE | N/A | 120,000 | 0 | 0 | |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 38,565 | 250,000 | SH | Call | SOLE | N/A | 250,000 | 0 | 0 |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 4,628 | 30,000 | SH | Put | SOLE | N/A | 30,000 | 0 | 0 |
PROSHARES TR II | SHT VIX ST TRM | 74347W130 | 1,481 | 35,000 | SH | SOLE | N/A | 35,000 | 0 | 0 | |
QUALCOMM INC | COM | 747525103 | 455 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
QUINSTREET INC | COM | 74874Q100 | 649 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
QUOTIENT LTD | SHS | G73268107 | 1,346 | 220,000 | SH | SOLE | N/A | 220,000 | 0 | 0 | |
REGENXBIO INC | COM | 75901B107 | 1,993 | 47,500 | SH | SOLE | N/A | 47,500 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 703 | 8,525 | SH | SOLE | N/A | 8,525 | 0 | 0 | |
RUBIUS THERAPEUTICS INC | COM | 78116T103 | 593 | 36,848 | SH | SOLE | N/A | 36,848 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 2,237 | 20,500 | SH | SOLE | N/A | 20,500 | 0 | 0 | |
SEMICONDUCTOR MFG INTL CORP | SPONSORED ADR | 81663N206 | 104 | 24,300 | SH | SOLE | N/A | 24,300 | 0 | 0 | |
SENSEONICS HLDGS INC | COM | 81727U105 | 617 | 238,040 | SH | SOLE | N/A | 238,040 | 0 | 0 | |
SPDR DOW JONES INDL AVRG ETF | UT SER 1 | 78467X109 | 23,320 | 100,000 | SH | Call | SOLE | N/A | 100,000 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 2,499 | 10,000 | SH | SOLE | N/A | 10,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 43,736 | 175,000 | SH | Call | SOLE | N/A | 175,000 | 0 | 0 |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 38,738 | 155,000 | SH | Put | SOLE | N/A | 155,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 7,175 | 100,000 | SH | Call | SOLE | N/A | 100,000 | 0 | 0 |
TAL ED GROUP | SPONSORED ADS | 874080104 | 235 | 8,800 | SH | SOLE | N/A | 8,800 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 3,797 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 3,797 | 100,000 | SH | Call | SOLE | N/A | 100,000 | 0 | 0 |
TENCENT MUSIC ENTMT GROUP | SPON ADS | 88034P109 | 529 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
TILRAY INC | DEBT 5.000%10/0 | U8961EAA4 | 4,962 | 7,000,000 | SH | SOLE | N/A | 7,000,000 | 0 | 0 | |
TPI COMPOSITES INC | COM | 87266J104 | 787 | 32,000 | SH | SOLE | N/A | 32,000 | 0 | 0 | |
TWITTER INC | COM | 90184L102 | 514 | 17,900 | SH | SOLE | N/A | 17,900 | 0 | 0 | |
TYLER TECHNOLOGIES INC | COM | 902252105 | 372 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
URBAN OUTFITTERS INC | COM | 917047102 | 1,328 | 40,000 | SH | SOLE | N/A | 40,000 | 0 | 0 | |
VIAVI SOLUTIONS INC | COM | 925550105 | 1,137 | 113,160 | SH | SOLE | N/A | 113,160 | 0 | 0 | |
VIPSHOP HLDGS LTD | SPONSORED ADR | 92763W103 | 491 | 90,000 | SH | SOLE | N/A | 90,000 | 0 | 0 | |
XENON PHARMACEUTICALS INC | COM | 98420N105 | 1,598 | 253,300 | SH | SOLE | N/A | 253,300 | 0 | 0 | |
XILINX INC | COM | 983919101 | 341 | 4,000 | SH | SOLE | N/A | 4,000 | 0 | 0 | |
YY INC | ADS REPCOM CLA | 98426T106 | 539 | 9,000 | SH | SOLE | N/A | 9,000 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 3,911 | 67,000 | SH | SOLE | N/A | 67,000 | 0 | 0 | |
ZOGENIX INC | COM NEW | 98978L204 | 3,157 | 86,600 | SH | SOLE | N/A | 86,600 | 0 | 0 |