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 |
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 2,048 | 2,310,000 | PRN | SOLE | 2,310,000 | 0 | 0 | ||
AMC ENTMT HLDGS INC | CL A COM | 00165C104 | 257 | 17,320 | SH | SOLE | 17,320 | 0 | 0 | ||
AMCI ACQUISITION CORP | UNIT 01/07/2019 | 00165R200 | 1,214 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | UNIT 10/04/2023 | G3165V117 | 517 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | *W EXP 07/10/202 | 09216T115 | 130 | 433,300 | SH | SOLE | 433,300 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | RIGHT 07/10/2019 | 09216T123 | 152 | 433,300 | SH | SOLE | 433,300 | 0 | 0 | ||
BOXWOOD MERGER CORP | UNIT 11/26/2025 | 10319T200 | 3,017 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
BROADCOM INC | COM | 11135F101 | 6,014 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
CF FIN ACQUISITION CORP | UNIT 04/30/2025 | 12528N206 | 1,938 | 190,000 | SH | SOLE | 190,000 | 0 | 0 | ||
CHURCHILL CAP CORP | *W EXP 09/11/202 | 17142R111 | 249 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
CLOVIS ONCOLOGY INC | NOTE 2.500% 9/1 | 189464AB6 | 5,111 | 5,500,000 | PRN | SOLE | 5,500,000 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | *W EXP 08/21/202 | G2345N110 | 18 | 103,880 | SH | SOLE | 103,880 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | RIGHT 08/21/2022 | G2345N136 | 66 | 207,761 | SH | SOLE | 207,761 | 0 | 0 | ||
COLLIER CREEK HOLDINGS | UNIT 99/99/9999 | G22707122 | 1,238 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
COLONY STARWOOD HOMES | NOTE 3.500% 1/1 | 19625XAB8 | 2,753 | 2,402,000 | PRN | SOLE | 2,402,000 | 0 | 0 | ||
CRESCENT ACQUISITION CORP | UNIT 99/99/9999 | 22564L204 | 997 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
CTRIP COM INTL LTD | NOTE 1.250% 9/1 | 22943FAM2 | 5,074 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
DD3 ACQUISITION CORP | UNIT 10/12/2023 | G2692M129 | 1,953 | 193,000 | SH | SOLE | 193,000 | 0 | 0 | ||
DERMIRA INC | NOTE 3.000% 5/1 | 24983LAB0 | 893 | 1,006,000 | PRN | SOLE | 1,006,000 | 0 | 0 | ||
DEXCOM INC | NOTE 0.750% 5/1 | 252131AF4 | 3,362 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
ELECTRONICS FOR IMAGING INC | NOTE 0.750% 9/0 | 286082AC6 | 4,188 | 4,245,000 | PRN | SOLE | 4,245,000 | 0 | 0 | ||
ESTRE AMBIENTAL INC | *W EXP 12/21/202 | G3206V118 | 31 | 311,850 | SH | SOLE | 311,850 | 0 | 0 | ||
FALCON MINERALS CORP | *W EXP 07/21/202 | 30607B208 | 76 | 91,380 | SH | SOLE | 91,380 | 0 | 0 | ||
FINTECH ACQUISITION CORP III | UNIT 12/01/2023 | 31811A309 | 1,223 | 120,000 | SH | SOLE | 120,000 | 0 | 0 | ||
FORUM MERGER II CORP | UNIT 09/30/2025 | 34986F202 | 1,671 | 161,500 | SH | SOLE | 161,500 | 0 | 0 | ||
FREEPORT-MCMORAN INC | CL B | 35671D857 | 1,289 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
GORDON POINTE ACQUISITION CO | *W EXP 07/30/202 | 382788115 | 108 | 358,250 | SH | SOLE | 358,250 | 0 | 0 | ||
GORDON POINTE ACQUISITION CO | COM CLASS A | 382788107 | 1,105 | 108,250 | SH | SOLE | 108,250 | 0 | 0 | ||
GORES METROPOULOS INC | UNIT 99/99/9999 | 382872208 | 255 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
GRAF INDL CORP | UNIT 12/31/2025 | 384278206 | 5,796 | 573,000 | SH | SOLE | 573,000 | 0 | 0 | ||
HENNESSY CAP ACQUSTION CORP | UNIT 99/99/9999 | 42589C203 | 4,032 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
HERBALIFE LTD | NOTE 2.000% 8/1 | 42703MAB9 | 19,299 | 15,500,000 | PRN | SOLE | 15,500,000 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 977 | 745,489 | SH | SOLE | 745,489 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | NOTE 3.250% 7/0 | 45845PAA6 | 4,467 | 4,504,000 | PRN | SOLE | 4,504,000 | 0 | 0 | ||
INTREXON CORP | NOTE 3.500% 7/0 | 46122TAA0 | 2,364 | 4,035,000 | PRN | SOLE | 4,035,000 | 0 | 0 | ||
INVESCO MORTGAGE CAPITAL INC | COM | 46131B100 | 237 | 15,000 | SH | Put | SOLE | 15,000 | 0 | 0 | |
ISIS PHARMACEUTICALS INC DEL | NOTE 1.000%11/1 | 464337AJ3 | 14,515 | 10,734,000 | PRN | SOLE | 10,734,000 | 0 | 0 | ||
KBR INC | COM | 48242W106 | 34 | 954,500 | SH | Call | SOLE | 954,500 | 0 | 0 | |
LEISURE ACQUISITION CORP | UNIT 99/99/9999 | 52539T206 | 1,843 | 179,762 | SH | SOLE | 179,762 | 0 | 0 | ||
LF CAP ACQUISITION CORP | UNIT 06/19/2025 | 50200K207 | 2,368 | 228,346 | SH | SOLE | 228,346 | 0 | 0 | ||
MEDICINES CO | NOTE 2.500% 1/1 | 584688AE5 | 2,161 | 2,157,000 | PRN | SOLE | 2,157,000 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | NOTE 1.625% 2/1 | 595017AD6 | 52,055 | 31,786,000 | PRN | SOLE | 31,786,000 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | NOTE 2.250% 2/1 | 595017AH7 | 5,750 | 5,201,000 | PRN | SOLE | 5,201,000 | 0 | 0 | ||
MICRON TECHNOLOGY INC | COM | 595112103 | 827 | 20,000 | SH | Put | SOLE | 20,000 | 0 | 0 | |
MICRON TECHNOLOGY INC | NOTE 3.125% 5/0 | 595112AX1 | 43,570 | 10,512,000 | PRN | SOLE | 10,512,000 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | *W EXP 05/17/202 | 60765P111 | 53 | 171,462 | SH | SOLE | 171,462 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 74 | 278,831 | SH | SOLE | 278,831 | 0 | 0 | ||
MONOCLE ACQUISITION CORP | UNIT 99/99/9999 | 609754205 | 2,511 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
MUDRICK CAP ACQUISITION CORP | UNIT 02/01/2023 | 624745204 | 1,659 | 156,815 | SH | SOLE | 156,815 | 0 | 0 | ||
NABORS INDS INC NEW | NOTE 0.750% 1/1 | 62957HAB1 | 2,142 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | *W EXP 05/05/202 | G6375R115 | 59 | 51,819 | SH | SOLE | 51,819 | 0 | 0 | ||
NOVAVAX INC | NOTE 3.750% 2/0 | 670002AB0 | 554 | 1,514,000 | PRN | SOLE | 1,514,000 | 0 | 0 | ||
PURE ACQUISITION CORP | UNIT 04/13/2023 | 74621Q205 | 2,893 | 273,456 | SH | SOLE | 273,456 | 0 | 0 | ||
RADIUS HEALTH INC | NOTE 3.000% 9/0 | 750469AA6 | 5,187 | 6,208,000 | PRN | SOLE | 6,208,000 | 0 | 0 | ||
REALPAGE INC | NOTE 1.500%11/1 | 75606NAB5 | 5,454 | 3,537,000 | PRN | SOLE | 3,537,000 | 0 | 0 | ||
RENEWABLE ENERGY GROUP INC | NOTE 4.000% 6/1 | 75972AAC7 | 2,487 | 1,175,000 | PRN | SOLE | 1,175,000 | 0 | 0 | ||
RESTORATION HARDWARE HLDGS I | DBCV 7/1 | 761283AC4 | 5,490 | 5,012,000 | PRN | SOLE | 5,012,000 | 0 | 0 | ||
RESTORATION HARDWARE HLDGS I | NOTE 6/1 | 761283AD2 | 2,161 | 2,150,000 | PRN | SOLE | 2,150,000 | 0 | 0 | ||
RMG ACQUISITION CORP | UNIT 99/99/9999 | 749641205 | 501 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
ROSEHILL RES INC | *W EXP 09/16/202 | 777385113 | 58 | 150,271 | SH | SOLE | 150,271 | 0 | 0 | ||
SCHULTZE SPL PURP ACQUISITIO | UNIT 12/31/2023 | 80821R208 | 5,888 | 585,000 | SH | SOLE | 585,000 | 0 | 0 | ||
SKECHERS U S A INC | CL A | 830566105 | 3,361 | 100,000 | SH | Put | SOLE | 100,000 | 0 | 0 | |
SKECHERS U S A INC | CL A | 830566105 | 1,681 | 50,000 | SH | Call | SOLE | 50,000 | 0 | 0 | |
STARS GROUP INC | COM | 85570W100 | 315 | 18,000 | SH | SOLE | 18,000 | 0 | 0 | ||
TESLA INC | NOTE 1.250% 3/0 | 88160RAC5 | 2,358 | 2,291,000 | PRN | SOLE | 2,291,000 | 0 | 0 | ||
TESLA INC | NOTE 2.375% 3/1 | 88160RAD3 | 1,570 | 1,432,000 | PRN | SOLE | 1,432,000 | 0 | 0 | ||
THERAVANCE BIOPHARMA INC | NOTE 3.250%11/0 | 88339KAA0 | 5,015 | 5,149,000 | PRN | SOLE | 5,149,000 | 0 | 0 | ||
THERAVANCE INC | NOTE 2.125% 1/1 | 88338TAB0 | 3,645 | 3,583,000 | PRN | SOLE | 3,583,000 | 0 | 0 | ||
THUNDER BRIDGE ACQUISITION L | *W EXP 01/01/202 | G8857R126 | 71 | 100,670 | SH | SOLE | 100,670 | 0 | 0 | ||
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 1,494 | 143,200 | SH | SOLE | 143,200 | 0 | 0 | ||
TKK SYMPHONY ACQUISITION COR | UNIT 08/15/2023 | G88950111 | 4,881 | 475,000 | SH | SOLE | 475,000 | 0 | 0 | ||
TORTOISE ACQUISITION CORP | UNIT 03/04/2024 | 89154L209 | 500 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
TRINE ACQUISITION CORP | UNIT 03/31/2021 | 89628U207 | 501 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
TRINITY MERGER CORP | *W EXP 05/11/202 | 89653L114 | 126 | 381,641 | SH | SOLE | 381,641 | 0 | 0 | ||
TRINITY MERGER CORP | COM CL A | 89653L106 | 2,495 | 244,141 | SH | SOLE | 244,141 | 0 | 0 | ||
TUSCAN HOLDINGS CORP | UNIT 99/99/9999 | 90069K203 | 10,358 | 995,000 | SH | SOLE | 995,000 | 0 | 0 | ||
TWELVE SEAS INVESTMENT COMPA | UNIT 06/21/2023 | G9145A123 | 1,774 | 169,470 | SH | SOLE | 169,470 | 0 | 0 | ||
TWITTER INC | NOTE 0.250% 9/1 | 90184LAB8 | 890 | 904,000 | PRN | SOLE | 904,000 | 0 | 0 | ||
U S WELL SVCS INC | *W EXP 03/15/202 | 91274U119 | 186 | 184,370 | SH | SOLE | 184,370 | 0 | 0 | ||
VANTAGE ENERGY ACQUISITION | *W EXP 04/12/202 | 92211L113 | 17 | 74,864 | SH | SOLE | 74,864 | 0 | 0 | ||
VECTOIQ ACQUISITION CORP | UNIT 05/11/2023 | 92243N202 | 3,334 | 319,050 | SH | SOLE | 319,050 | 0 | 0 | ||
WEATHERFORD INTL LTD | NOTE 5.875% 7/0 | 947075AH0 | 808 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
WORKDAY INC | NOTE 1.500% 7/1 | 98138HAD3 | 46,892 | 19,800,000 | PRN | SOLE | 19,800,000 | 0 | 0 | ||
XILINX INC | COM | 983919101 | 2,663 | 21,000 | SH | Put | SOLE | 21,000 | 0 | 0 |