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 |
ACM RESEARCH INC | COM CL A | 00108J109 | 160 | 10,240 | SH | SOLE | N/A | 10,240 | 0 | 0 | |
ADAMAS PHARMACEUTICALS INC | COM | 00548A106 | 340 | 54,822 | SH | SOLE | N/A | 54,822 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | COM | 007903107 | 1,822 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
ADVANCED MICRO DEVICES INC | NOTE 2.125% 9/0 | 007903BD8 | 1,940 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
AERIE PHARMACEUTICALS INC | COM | 00771V108 | 940 | 31,800 | SH | SOLE | N/A | 31,800 | 0 | 0 | |
ALIBABA GROUP HLDG LTD | SPONSORED ADS | 01609W102 | 2,542 | 15,000 | SH | SOLE | N/A | 15,000 | 0 | 0 | |
ALPHABET INC | CAP STK CL A | 02079K305 | 2,707 | 2,500 | SH | SOLE | N/A | 2,500 | 0 | 0 | |
AMAZON COM INC | COM | 023135106 | 3,598 | 1,900 | SH | SOLE | N/A | 1,900 | 0 | 0 | |
ARGAN INC | COM | 04010E109 | 1,460 | 36,000 | SH | SOLE | N/A | 36,000 | 0 | 0 | |
ARLO TECHNOLOGIES INC | COM | 04206A101 | 235 | 58,647 | SH | SOLE | N/A | 58,647 | 0 | 0 | |
AVROBIO INC | COM | 05455M100 | 976 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
AXOGEN INC | COM | 05463X106 | 1,802 | 91,012 | SH | SOLE | N/A | 91,012 | 0 | 0 | |
BEASLEY BROADCAST GROUP INC | CL A | 074014101 | 644 | 200,000 | SH | SOLE | N/A | 200,000 | 0 | 0 | |
BILIBILI INC | SPONS ADS REP Z | 090040106 | 5,125 | 315,000 | SH | SOLE | N/A | 315,000 | 0 | 0 | |
BOOT BARN HLDGS INC | COM | 099406100 | 3,557 | 99,812 | SH | SOLE | N/A | 99,812 | 0 | 0 | |
BROADCOM INC | COM | 11135F101 | 576 | 2,000 | SH | SOLE | N/A | 2,000 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 1,239 | 32,000 | SH | SOLE | N/A | 32,000 | 0 | 0 | |
CANADA GOOSE HOLDINGS INC | SHS SUB VTG | 135086106 | 7,746 | 200,000 | SH | Call | SOLE | N/A | 200,000 | 0 | 0 |
CANNTRUST HLDGS INC | COM | 137800207 | 4,518 | 900,000 | SH | SOLE | N/A | 900,000 | 0 | 0 | |
CAREDX INC | COM | 14167L103 | 2,201 | 61,160 | SH | SOLE | N/A | 61,160 | 0 | 0 | |
CARROLS RESTAURANT GROUP INC | COM | 14574X104 | 1,176 | 130,200 | SH | SOLE | N/A | 130,200 | 0 | 0 | |
CHINACACHE INTL HLDG LTD | SPONSORED ADR | 16950M107 | 132 | 149,441 | SH | SOLE | N/A | 149,441 | 0 | 0 | |
CRESCENT ACQUISITION CORP | UNIT 99/99/9999 | 22564L204 | 1,005 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
CROWDSTRIKE HLDGS INC | CL A | 22788C105 | 205 | 3,000 | SH | SOLE | N/A | 3,000 | 0 | 0 | |
DAQO NEW ENERGY CORP | SPNSRD ADR NEW | 23703Q203 | 1,640 | 38,702 | SH | SOLE | N/A | 38,702 | 0 | 0 | |
DEUTSCHE BANK AG | NAMEN AKT | D18190898 | 11,445 | 1,500,000 | SH | Call | SOLE | N/A | 1,500,000 | 0 | 0 |
DIAMEDICA THERAPEUTICS INC | COM NEW | 25253X207 | 1,141 | 229,970 | SH | SOLE | N/A | 229,970 | 0 | 0 | |
DIREXION SHS ETF TR | CSI 300 BULL2X | 25490K869 | 2,481 | 110,600 | SH | SOLE | N/A | 110,600 | 0 | 0 | |
E TRADE FINANCIAL CORP | COM NEW | 269246401 | 11,150 | 250,000 | SH | Call | SOLE | N/A | 250,000 | 0 | 0 |
ELECTROCORE INC | COM | 28531P103 | 357 | 178,571 | SH | SOLE | N/A | 178,571 | 0 | 0 | |
ENANTA PHARMACEUTICALS INC | COM | 29251M106 | 422 | 5,000 | SH | SOLE | N/A | 5,000 | 0 | 0 | |
ESTABLISHMENT LABS HLDGS INC | COM | G31249108 | 446 | 20,300 | SH | SOLE | N/A | 20,300 | 0 | 0 | |
EVERBRIDGE INC | COM | 29978A104 | 4,288 | 47,950 | SH | SOLE | N/A | 47,950 | 0 | 0 | |
EVOLENT HEALTH INC | CL A | 30050B101 | 398 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
FACEBOOK INC | CL A | 30303M102 | 7,575 | 39,250 | SH | SOLE | N/A | 39,250 | 0 | 0 | |
FANHUA INC | SPONSORED ADR | 30712A103 | 1,004 | 30,000 | SH | Put | SOLE | N/A | 30,000 | 0 | 0 |
GLOBAL EAGLE ENTMT INC | NOTE 2.750% 2/1 | 37951DAB8 | 245 | 500,000 | PRN | SOLE | N/A | 500,000 | 0 | 0 | |
INTERNATIONAL MNY EXPRESS IN | COM | 46005L101 | 3,384 | 240,000 | SH | SOLE | N/A | 240,000 | 0 | 0 | |
iShares China Large-Cap (ETF) | CHINA LG-CAP ETF | 464287184 | 32,078 | 750,000 | SH | Call | SOLE | N/A | 750,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 466,500 | 3,000,000 | SH | Call | SOLE | N/A | 3,000,000 | 0 | 0 |
iShares Russell 2000 Index (ETF) | RUSSELL 2000 ETF | 464287655 | 93,300 | 600,000 | SH | Put | SOLE | N/A | 600,000 | 0 | 0 |
ISHARES TR | 20 YR TR BD ETF | 464287432 | 79,686 | 600,000 | SH | Put | SOLE | N/A | 600,000 | 0 | 0 |
ISHARES TR | MSCI EAFE ETF | 464287465 | 61,400 | 1,000,000 | SH | Call | SOLE | N/A | 1,000,000 | 0 | 0 |
ISHARES TR | MSCI EMG MKT ETF | 464287234 | 21,455 | 500,000 | SH | Call | SOLE | N/A | 500,000 | 0 | 0 |
JIANPU TECHNOLOGY INC | ADR | 47738D101 | 1,411 | 377,194 | SH | SOLE | N/A | 377,194 | 0 | 0 | |
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 2,448 | 55,700 | SH | SOLE | N/A | 55,700 | 0 | 0 | |
KRANESHARES TR | CSI CHI INTERNET | 500767306 | 48,345 | 1,100,000 | SH | Call | SOLE | N/A | 1,100,000 | 0 | 0 |
LEXINFINTECH HLDGS LTD | ADR | 528877103 | 1,617 | 144,901 | SH | SOLE | N/A | 144,901 | 0 | 0 | |
LULULEMON ATHLETICA INC | COM | 550021109 | 2,199 | 12,200 | SH | SOLE | N/A | 12,200 | 0 | 0 | |
LUMENTUM HLDGS INC | NOTE 0.250% 3/1 | 55024UAB5 | 1,997 | 1,700,000 | PRN | SOLE | N/A | 1,700,000 | 0 | 0 | |
MAGNACHIP SEMICONDUCTOR SA | NOTE 5.000% 3/0 | 55932XAB0 | 694 | 500,000 | SH | SOLE | N/A | 500,000 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 13,864 | 3,340,819 | SH | SOLE | N/A | 3,340,819 | 0 | 0 | |
MARINUS PHARMACEUTICALS INC | COM | 56854Q101 | 2,490 | 600,000 | SH | Call | SOLE | N/A | 600,000 | 0 | 0 |
MATINAS BIOPHARMA HLDGS INC | COM | 576810105 | 1,285 | 1,500,000 | SH | SOLE | N/A | 1,500,000 | 0 | 0 | |
MOMO INC | ADR | 60879B107 | 3,580 | 100,000 | SH | SOLE | N/A | 100,000 | 0 | 0 | |
MOTORCAR PTS AMER INC | COM | 620071100 | 692 | 32,316 | SH | SOLE | N/A | 32,316 | 0 | 0 | |
MOTUS GI HLDGS INC | COM | 62014P108 | 1,010 | 333,333 | SH | SOLE | N/A | 333,333 | 0 | 0 | |
NETEASE INC | SPONSORED ADR | 64110W102 | 767 | 3,000 | SH | SOLE | N/A | 3,000 | 0 | 0 | |
NEW ORIENTAL ED & TECH GRP I | SPON ADR | 647581107 | 579 | 6,000 | SH | SOLE | N/A | 6,000 | 0 | 0 | |
NOODLES & CO | COM CL A | 65540B105 | 956 | 121,351 | SH | SOLE | N/A | 121,351 | 0 | 0 | |
ORCHARD THERAPEUTICS PLC | ADS | 68570P101 | 700 | 50,000 | SH | SOLE | N/A | 50,000 | 0 | 0 | |
OVID THERAPEUTICS INC | COM | 690469101 | 773 | 417,857 | SH | SOLE | N/A | 417,857 | 0 | 0 | |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 56,022 | 300,000 | SH | Call | SOLE | N/A | 300,000 | 0 | 0 |
PowerShares QQQ Trust, Series 1 (ETF) | UNIT SER 1 | 73935A104 | 130,718 | 700,000 | SH | Put | SOLE | N/A | 700,000 | 0 | 0 |
QUDIAN INC | ADR | 747798106 | 638 | 85,000 | SH | SOLE | N/A | 85,000 | 0 | 0 | |
RINGCENTRAL INC | CL A | 76680R206 | 635 | 5,525 | SH | SOLE | N/A | 5,525 | 0 | 0 | |
SAREPTA THERAPEUTICS INC | COM | 803607100 | 1,216 | 8,000 | SH | SOLE | N/A | 8,000 | 0 | 0 | |
SEA LTD | SPONSORED ADS | 81141R100 | 3,887 | 117,000 | SH | SOLE | N/A | 117,000 | 0 | 0 | |
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 27,792 | 300,000 | SH | Put | SOLE | N/A | 300,000 | 0 | 0 |
SELECT SECTOR SPDR TR | SBI INT-UTILS | 81369Y886 | 11,926 | 200,000 | SH | Put | SOLE | N/A | 11,926 | 0 | 0 |
SIENTRA INC | COM | 82621J105 | 6,252 | 1,014,898 | SH | SOLE | N/A | 1,014,898 | 0 | 0 | |
SNAP INC | CL A | 83304A106 | 1,001 | 70,000 | SH | SOLE | N/A | 70,000 | 0 | 0 | |
SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 142,105 | 485,000 | SH | Put | SOLE | N/A | 485,000 | 0 | 0 |
SPDR SERIES TRUST | S&P BIOTECH | 78464A870 | 46,048 | 525,000 | SH | Put | SOLE | N/A | 525,000 | 0 | 0 |
SPDR SERIES TRUST | S&P OILGAS EXP | 78464A730 | 47,688 | 1,750,000 | SH | Call | SOLE | N/A | 1,750,000 | 0 | 0 |
SPDR SERIES TRUST | S&P METALS MNG | 78464A755 | 22,704 | 800,000 | SH | Call | SOLE | N/A | 800,000 | 0 | 0 |
STOKE THERAPEUTICS INC | COM | 86150R107 | 992 | 34,000 | SH | SOLE | N/A | 34,000 | 0 | 0 | |
TAL EDUCATION GROUP | SPONSORED ADS | 874080104 | 872 | 22,900 | SH | SOLE | N/A | 22,900 | 0 | 0 | |
TANDEM DIABETES CARE INC | COM NEW | 875372203 | 2,065 | 32,000 | SH | SOLE | N/A | 32,000 | 0 | 0 | |
TILRAY INC | DEBT 5.000%10/0 | U8961EAA4 | 5,644 | 7,000,000 | SH | SOLE | N/A | 7,000,000 | 0 | 0 | |
VANECK VECTORS ETF TR | SEMICONDUCTOR ET | 92189F676 | 20,036 | 200,000 | SH | Put | SOLE | N/A | 200,000 | 0 | 0 |
VIPSHOP HLDGS LTD | SPONSORED ADS A | 92763W103 | 518 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
XENON PHARMACEUTICALS INC | COM | 98420N105 | 2,991 | 303,300 | SH | SOLE | N/A | 303,300 | 0 | 0 | |
YIRENDAI LTD | SPONSORED ADR | 98585L100 | 2,632 | 191,278 | SH | SOLE | N/A | 191,278 | 0 | 0 | |
YY INC | SPONSORED ADS A | 98426T106 | 930 | 13,339 | SH | SOLE | N/A | 13,339 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 5,342 | 60,000 | SH | SOLE | N/A | 60,000 | 0 | 0 | |
ZENDESK INC | COM | 98936J101 | 7,033 | 79,000 | SH | Put | SOLE | N/A | 79,000 | 0 | 0 |
ZOGENIX INC | COM NEW | 98978L204 | 4,138 | 86,600 | SH | SOLE | N/A | 86,600 | 0 | 0 |