Form 13F-HR Worth Venture Partners, For: Mar 31
FREE Breaking News Alerts from StreetInsider.com!
StreetInsider.com Top Tickers, 4/25/2024
May 16, 2022 2:34 PM EDT
The Securities and Exchange Commission has not necessarily reviewed
the information in this filing and has not determined if it is
accurate and complete.
The reader should not assume that the information is accurate
and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F COVER PAGE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average burden |
| hours per response: |
23.8 |
|
|
| Report for the Calendar Year or Quarter Ended: |
03-31-2022 |
| Check here if Amendment |
|
Amendment Number: |
|
| This Amendment (Check only one.): |
|
is a restatement. |
|
|
adds new holdings entries. |
| Institutional Investment Manager Filing
this Report: |
| Name: |
Worth Venture Partners, LLC |
| Address: |
2 EXECUTIVE DRIVE, SUITE 515 |
|
|
|
FORT LEE
,
NJ07024
|
| Form 13F File Number: |
028-17947 |
The institutional investment manager filing this report and
the person by whom it is signed hereby represent that the person
signing the report is authorized to submit it, that all information
contained herein is true, correct and complete, and that it is
understood that all required items, statements, schedules, lists, and
tables, are considered integral parts of this form.
| Person Signing this Report on Behalf of
Reporting Manager: |
| Name: |
Laurence Wiseman |
| Title: |
Chief Compliance Officer |
| Phone: |
212-558-9017 |
| Signature, Place, and Date of Signing: |
| Laurence Wiseman |
Fort Lee
,
NJ
|
05-16-2022 |
| [Signature] |
[City, State] |
[Date] |
|
| Report Type (Check only one.): |
| X |
13F HOLDINGS REPORT. (Check here if all holdings of
this reporting manager are reported in this report.) |
|
|
13F NOTICE. (Check here if no holdings reported are in
this report, and all holdings are reported by other reporting
manager(s).) |
|
|
13F COMBINATION REPORT. (Check here if a portion of
the holdings for this reporting manager are reported in this
report and a portion are reported by other reporting manager(s).) |
| Form 13F Summary Page |
|
Report Summary: |
|
Number of Other Included
Managers: |
3 |
|
|
|
Form 13F Information Table Entry Total: |
148 |
|
Form 13F Information Table Value Total: |
216,503 |
|
(thousands) |
|
List of Other Managers Reporting for this Manager:
[If there are no entries in this list, omit this section.]
|
|
|
Form 13F File Number |
Name |
|
028-17749 |
DLD Asset Management, LP |
|
028-20823 |
AIGH Capital Management LLC |
|
028-21878 |
PB INVESTMENT PARTNERS, L.P. |
| List of Other Included
Managers: |
|
Provide a numbered list of the name(s) and Form 13F file number(s)
of all institutional investment managers with respect to which this
report is filed, other than the
manager filing this report.
|
|
[If there are no entries in this list, state “NONE” and omit the
column headings and list entries.]
|
|
No. |
Form 13F File Number |
Name |
|
1 |
028-17749 |
DLD Asset Management, LP |
|
2 |
028-20823 |
AIGH Capital Management LLC |
|
3 |
028-21878 |
PB INVESTMENT PARTNERS, L.P. |
The Securities and Exchange Commission has not necessarily
reviewed the information in this filing and has not determined
if it is accurate and complete.
The reader should not assume that the information is
accurate and complete.
|
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F
FORM 13F INFORMATION TABLE
|
| OMB APPROVAL |
| OMB Number: |
3235-0006 |
| Expires: |
July 31, 2015 |
| Estimated average
burden |
| hours per response:
|
23.8 |
|
|
| 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 |
| A10 NETWORKS INC |
COM |
002121101 |
1,179 |
84,545 |
SH |
|
SOLE |
|
84,545 |
0 |
0 |
| ABEONA THERAPEUTICS INC |
COM |
00289Y107 |
392 |
1,244,774 |
SH |
|
OTR |
2 |
0 |
1,244,774 |
0 |
| ADTRAN INC |
COM |
00738A106 |
4,610 |
249,867 |
SH |
|
OTR |
2 |
0 |
249,867 |
0 |
| AEROJECT ROCKETDYNE HLDGS INC |
NOTE 2.250%12/1 |
007800AB1 |
861 |
546,000 |
PRN |
|
OTR |
1 |
0 |
546,000 |
0 |
| AKEBIA THERAPEUTICS INC |
PUT |
00972D955 |
51 |
63,500 |
SH |
Put |
SOLE |
|
63,500 |
0 |
0 |
| AKEBIA THERAPEUTICS INC |
CALL |
00972D905 |
0 |
15,900 |
SH |
Call |
SOLE |
|
15,900 |
0 |
0 |
| AKEBIA THERAPEUTICS INC |
COM |
00972D105 |
46 |
63,500 |
SH |
|
SOLE |
|
63,500 |
0 |
0 |
| ALARM COM HLDGS INCO |
NOTE |
011642AB1 |
1,003 |
1,171,000 |
PRN |
|
OTR |
1 |
0 |
1,171,000 |
0 |
| ALICO INC |
COM |
016230104 |
264 |
7,038 |
SH |
|
SOLE |
|
7,038 |
0 |
0 |
| ALLOT LTD |
SHS |
M0854Q105 |
829 |
102,375 |
SH |
|
SOLE |
|
102,375 |
0 |
0 |
| ALLSCRIPTS HEALTHCARE SOLUTI |
NOTE 0.875% 1/0 |
01988PAF5 |
2,582 |
1,455,000 |
PRN |
|
OTR |
1 |
0 |
1,455,000 |
0 |
| AMERICAN AIRLINES GROUP INC |
NOTE 6.500% 7/0 |
02376RAF9 |
349 |
254,000 |
PRN |
|
OTR |
1 |
0 |
254,000 |
0 |
| AMPLITECH GROUP INC |
COM NEW |
03211Q200 |
87 |
25,828 |
SH |
|
OTR |
2 |
0 |
25,828 |
0 |
| AMYRIS INC |
PUT |
03236M950 |
141 |
190,100 |
SH |
Put |
OTR |
1 |
0 |
190,100 |
0 |
| ARCH RESOURCES INC |
NOTE 5.250%11/1 |
039389AB7 |
5,482 |
1,441,000 |
PRN |
|
OTR |
1 |
0 |
1,441,000 |
0 |
| ARCUS BIOSCIENCES INC |
COM |
03969F109 |
249 |
7,900 |
SH |
|
SOLE |
|
7,900 |
0 |
0 |
| ARCUS BIOSCIENCES INC |
PUT |
03969F959 |
68 |
31,500 |
SH |
Put |
SOLE |
|
31,500 |
0 |
0 |
| ARDELYX INC |
COM |
039697107 |
822 |
768,036 |
SH |
|
OTR |
2 |
0 |
768,036 |
0 |
| ATLAS CORP |
PUT |
Y0436Q959 |
2 |
16,900 |
SH |
Put |
OTR |
1 |
0 |
16,900 |
0 |
| AVADEL PHARMACEUTICALS PLC |
SPONSORED ADR |
05337M104 |
109 |
15,900 |
SH |
|
SOLE |
|
15,900 |
0 |
0 |
| AVADEL PHARMACEUTICALS PLC |
CALL |
05337M904 |
13 |
46,600 |
SH |
Call |
SOLE |
|
46,600 |
0 |
0 |
| AVADEL PHARMACEUTICALS PLC |
PUT |
05337M954 |
4 |
15,900 |
SH |
Put |
SOLE |
|
15,900 |
0 |
0 |
| AVAYA HLDGS CORP |
NOTE 2.250% 6/1 |
05351XAB7 |
2,357 |
2,400,000 |
PRN |
|
OTR |
1 |
0 |
2,400,000 |
0 |
| AVAYA HLDGS CORP |
PUT |
05351X951 |
6 |
10,400 |
SH |
Put |
OTR |
1 |
0 |
10,400 |
0 |
| AVEO PHARMACEUTICALS INC |
COM NEW |
053588307 |
3,942 |
705,154 |
SH |
|
OTR |
2 |
0 |
705,154 |
0 |
| AVIAT NETWORKS INC |
COM NEW |
05366Y201 |
3,151 |
102,410 |
SH |
|
OTR |
2 |
0 |
102,410 |
0 |
| AXSOME THERAPEUTICS INC |
PUT |
05464T954 |
63 |
109,800 |
SH |
Put |
SOLE |
|
109,800 |
0 |
0 |
| BANK OF AMERICA CORP |
COM |
060505104 |
1,393 |
33,783 |
SH |
|
OTR |
3 |
0 |
33,783 |
0 |
| BARCLAYS PLC |
PUT |
06738E954 |
12 |
19,000 |
SH |
Put |
OTR |
1 |
0 |
19,000 |
0 |
| BENTLEY SYS INC |
NOTE 0.125% 1/1 |
08265TAB5 |
194 |
196,000 |
PRN |
|
OTR |
1 |
0 |
196,000 |
0 |
| BEYOND MEAT INC |
NOTE |
08862EAB5 |
351 |
574,000 |
PRN |
|
OTR |
1 |
0 |
574,000 |
0 |
| BIOXCEL THERAPEUTICS INC |
PUT |
09075P955 |
45 |
27,600 |
SH |
Put |
SOLE |
|
27,600 |
0 |
0 |
| BK TECHNOLOGIES CORPORATION |
COM |
05587G104 |
881 |
345,434 |
SH |
|
OTR |
2 |
0 |
345,434 |
0 |
| BLACKLINE INC |
NOTE 0.125% 8/0 |
09239BAB5 |
934 |
783,000 |
PRN |
|
OTR |
1 |
0 |
783,000 |
0 |
| BLACKSTONE MTG TR INC |
COM CL A |
09257W100 |
299 |
9,400 |
SH |
|
SOLE |
|
9,400 |
0 |
0 |
| BLOOMN BRANDS INC |
NOTE 5.000% 5/0 |
094235AB4 |
6,125 |
3,012,000 |
PRN |
|
OTR |
1 |
0 |
3,012,000 |
0 |
| BOOKING HOLDINGS INC |
COM |
09857L108 |
1,247 |
531 |
SH |
|
OTR |
1 |
0 |
531 |
0 |
| BRIDGELINE DIGITAL INC |
COM |
10807Q700 |
294 |
154,143 |
SH |
|
OTR |
2 |
0 |
154,143 |
0 |
| CALAMP CORP |
COM |
128126109 |
3,221 |
440,646 |
SH |
|
OTR |
2 |
0 |
440,646 |
0 |
| CAMBIUM NETWORKS CORP |
SHS |
G17766109 |
793 |
33,540 |
SH |
|
SOLE |
|
33,540 |
0 |
0 |
| CARDLYTICS INC |
COM |
14161W105 |
1,752 |
31,860 |
SH |
|
OTR |
3 |
0 |
31,860 |
0 |
| CARNIVAL CORP |
NOTE 5.750% 4/0 |
143658BE1 |
8,063 |
3,835,000 |
PRN |
|
OTR |
1 |
0 |
3,835,000 |
0 |
| CARVANA CO |
CL A |
146869102 |
2,032 |
17,036 |
SH |
|
OTR |
3 |
0 |
17,036 |
0 |
| CEDAR REALTY TRUST INC |
COM NEW |
150602605 |
492 |
17,805 |
SH |
|
SOLE |
|
17,805 |
0 |
0 |
| CELLECTAR BIOSCIENCES INC |
COM PAR |
15117F500 |
315 |
458,245 |
SH |
|
OTR |
2 |
0 |
458,245 |
0 |
| CINEMARK HLDGS INC |
NOTE 4.500% 8/1 |
17243VAB8 |
5,350 |
3,619,000 |
PRN |
|
OTR |
1 |
0 |
3,619,000 |
0 |
| CINEMARK HLDGS INC |
PUT |
17243V952 |
7 |
27,000 |
SH |
Put |
OTR |
1 |
0 |
27,000 |
0 |
| CITY OFFICE REIT INC |
COM |
178587101 |
283 |
16,050 |
SH |
|
SOLE |
|
16,050 |
0 |
0 |
| CNX RES CORP |
NOTE 2.250% 5/0 |
12653CAG3 |
1,536 |
884,000 |
PRN |
|
OTR |
1 |
0 |
884,000 |
0 |
| COGNITION THERAPEUTICS INC |
COM |
19243B102 |
473 |
175,366 |
SH |
|
OTR |
2 |
0 |
175,366 |
0 |
| CONTEXT THERAPEUTICS INC |
COM |
21077P108 |
689 |
317,729 |
SH |
|
OTR |
2 |
0 |
317,729 |
0 |
| COUPA SOFTWARE INC |
NOTE 0.125% 6/1 |
22266LAC0 |
2,301 |
2,352,000 |
PRN |
|
OTR |
1 |
0 |
2,352,000 |
0 |
| CTO RLTY GROWTH INC NEW |
COM |
22948Q101 |
410 |
6,180 |
SH |
|
SOLE |
|
6,180 |
0 |
0 |
| CYBEROPTICS CORP |
COM |
232517102 |
5,173 |
127,466 |
SH |
|
OTR |
2 |
0 |
127,466 |
0 |
| CYCLO THERAPEUTICS INC |
*W EXP 11/14/202 |
23254X110 |
99 |
74,736 |
SH |
|
OTR |
2 |
0 |
74,736 |
0 |
| DEXCOM INC |
COM |
252131107 |
304 |
594 |
SH |
|
OTR |
1 |
0 |
594 |
0 |
| DIGITAL TURBINE INC |
COM NEW |
25400W102 |
848 |
19,361 |
SH |
|
SOLE |
|
19,361 |
0 |
0 |
| DOCEBO INC |
COM |
25609L105 |
567 |
10,945 |
SH |
|
SOLE |
|
10,945 |
0 |
0 |
| DZS INC |
COM |
268211109 |
5,354 |
385,979 |
SH |
|
OTR |
2 |
0 |
385,979 |
0 |
| EDAP TMS S A |
SPONSORED ADR |
268311107 |
975 |
134,432 |
SH |
|
OTR |
2 |
0 |
134,432 |
0 |
| ENCORE CAP EUROPE FIN LTD |
NOTE 4.500% 9/0 |
29260UAA5 |
2,511 |
1,670,000 |
PRN |
|
OTR |
1 |
0 |
1,670,000 |
0 |
| ENVESTNET INC |
COM |
29404K106 |
2,451 |
32,920 |
SH |
|
OTR |
3 |
0 |
32,920 |
0 |
| EQUITY COMWLTH |
COM SH BEN INT |
294628102 |
298 |
10,553 |
SH |
|
SOLE |
|
10,553 |
0 |
0 |
| ESSENTIAL PPTYS RLTY TR INC |
COM |
297178105 |
761 |
12,737 |
SH |
|
SOLE |
|
12,737 |
0 |
0 |
| ETSY INC |
NOTE 0.125%10/0 |
29786AAJ5 |
3,302 |
2,036,000 |
PRN |
|
OTR |
1 |
0 |
2,036,000 |
0 |
| EURONET WORLDWIDE INC |
COM |
298736109 |
270 |
2,078 |
SH |
|
OTR |
1 |
0 |
2,078 |
0 |
| EVERSPIN TECHNOLOGIES INC |
COM |
30041T104 |
2,794 |
320,798 |
SH |
|
OTR |
2 |
0 |
320,798 |
0 |
| EVOLUS INC |
COM |
30052C107 |
2,261 |
201,543 |
SH |
|
OTR |
2 |
0 |
201,543 |
0 |
| FISKER INC |
PUT |
33813J956 |
9 |
40,000 |
SH |
Put |
OTR |
1 |
0 |
40,000 |
0 |
| FRANKLIN COVEY CO |
COM |
353469109 |
2,049 |
45,315 |
SH |
|
SOLE |
|
45,315 |
0 |
0 |
| FRANKLIN WIRELESS CORP |
COM |
355184102 |
394 |
98,826 |
SH |
|
OTR |
2 |
0 |
98,826 |
0 |
| FTI CONSULTING INC |
NOTE 2.000% 8/1 |
302941AP4 |
3,033 |
1,909,000 |
PRN |
|
OTR |
1 |
0 |
1,909,000 |
0 |
| GUESS INC |
PUT |
401617955 |
3 |
13,800 |
SH |
Put |
OTR |
1 |
0 |
13,800 |
0 |
| GUIDEWIRE SOFTWARE INC |
NOTE 1.250% 3/1 |
40171VAA8 |
1,240 |
1,177,000 |
PRN |
|
OTR |
1 |
0 |
1,177,000 |
0 |
| HELIUS MED TECHNOLOGIES INC |
COM CL A NEW |
42328V603 |
207 |
62,750 |
SH |
|
OTR |
2 |
0 |
62,750 |
0 |
| HIGHWOODS PPTYS INC |
COM |
431284108 |
229 |
5,000 |
SH |
|
SOLE |
|
5,000 |
0 |
0 |
| HILTON GRAND VACATIONS INC |
COM |
43283X105 |
2,918 |
56,095 |
SH |
|
OTR |
3 |
0 |
56,095 |
0 |
| IDEAL PWR INC |
COM NEW |
451622203 |
465 |
52,888 |
SH |
|
OTR |
2 |
0 |
52,888 |
0 |
| IMAX CORP |
PUT |
45245E959 |
4 |
26,600 |
SH |
Put |
OTR |
1 |
0 |
26,600 |
0 |
| INDEPENDENCE RLTY TR INC |
COM |
45378A106 |
431 |
16,314 |
SH |
|
SOLE |
|
16,314 |
0 |
0 |
| INTEL CORP |
CALL |
458140900 |
620 |
127,600 |
SH |
Call |
OTR |
2 |
0 |
127,600 |
0 |
| ISHARES TR |
PUT |
464288950 |
0 |
15,900 |
SH |
Put |
SOLE |
|
15,900 |
0 |
0 |
| ISHARES TR |
U.S. MED DVC ETF |
464288810 |
969 |
15,900 |
SH |
|
SOLE |
|
15,900 |
0 |
0 |
| ISHARES TR |
PUT |
464287955 |
1,809 |
127,600 |
SH |
Put |
OTR |
2 |
0 |
127,600 |
0 |
| ITERIS INC NEW |
COM |
46564T107 |
488 |
163,905 |
SH |
|
SOLE |
|
163,905 |
0 |
0 |
| JBG SMITH PPTYS |
COM |
46590V100 |
231 |
7,900 |
SH |
|
SOLE |
|
7,900 |
0 |
0 |
| KITE RLTY GROUP TR |
COM NEW |
49803T300 |
291 |
12,800 |
SH |
|
SOLE |
|
12,800 |
0 |
0 |
| LCI INDS |
NOTE 1.125% 5/1 |
501812AB7 |
2,177 |
2,353,000 |
PRN |
|
OTR |
1 |
0 |
2,353,000 |
0 |
| LIBERTY MEDIA CORP DEL |
NOTE 1.000% 1/3 |
531229AF9 |
4,026 |
2,117,000 |
PRN |
|
OTR |
1 |
0 |
2,117,000 |
0 |
| LIBERTY MEDIA CORP DEL |
NOTE 1.375%10/1 |
531229AB8 |
10,596 |
7,500,000 |
PRN |
|
OTR |
1 |
0 |
7,500,000 |
0 |
| LIGHTPATH TECHNOLOGIES INC |
COM CL A |
532257805 |
1,004 |
509,425 |
SH |
|
OTR |
2 |
0 |
509,425 |
0 |
| LIVENT CORP |
NOTE 4.125% 7/1 |
53814LAB4 |
3,651 |
1,167,000 |
PRN |
|
OTR |
1 |
0 |
1,167,000 |
0 |
| LUMENTUM HLDGS INC |
NOTE 0.250% 3/1 |
55024UAB5 |
2,043 |
1,227,000 |
PRN |
|
OTR |
1 |
0 |
1,227,000 |
0 |
| MEDICENNA THERAPEUTICS CORP |
COM |
58490H107 |
727 |
571,489 |
SH |
|
OTR |
2 |
0 |
571,489 |
0 |
| MICROCHIP TECHNOLOGY INC. |
COM |
595017104 |
829 |
11,038 |
SH |
|
OTR |
1 |
0 |
11,038 |
0 |
| MIDDLEBY CORP |
NOTE 1.000% 9/0 |
596278AB7 |
588 |
426,000 |
PRN |
|
OTR |
1 |
0 |
426,000 |
0 |
| MYOMO INC |
COM NEW |
62857J201 |
586 |
153,936 |
SH |
|
OTR |
2 |
0 |
153,936 |
0 |
| NATERA INC |
NOTE 2.250% 5/0 |
632307AB0 |
2,556 |
1,907,000 |
PRN |
|
OTR |
1 |
0 |
1,907,000 |
0 |
| NETSTREIT CORP |
COM |
64119V303 |
792 |
35,280 |
SH |
|
SOLE |
|
35,280 |
0 |
0 |
| NEUBASE THERAPEUTICS INC |
COM |
64132K102 |
482 |
256,553 |
SH |
|
OTR |
2 |
0 |
256,553 |
0 |
| NLS PHARMACEUTICS LTD |
*W EXP 09/25/202 |
H57830111 |
74 |
194,560 |
SH |
|
OTR |
2 |
0 |
194,560 |
0 |
| OMNICELL COM |
NOTE 0.250% 9/1 |
68213NAD1 |
2,826 |
1,992,000 |
PRN |
|
OTR |
1 |
0 |
1,992,000 |
0 |
| ONEMAIN HLDGS INC |
COM |
68268W103 |
2,490 |
52,525 |
SH |
|
OTR |
3 |
0 |
52,525 |
0 |
| OPENDOOR TECHNOLOGIES INC |
COM |
683712103 |
117 |
13,504 |
SH |
|
OTR |
1 |
0 |
13,504 |
0 |
| PARABELLUM ACQUISITION CORP |
COM CL A |
69901P109 |
193 |
39,221 |
SH |
|
OTR |
2 |
0 |
39,221 |
0 |
| PARABELLUM ACQUISITION CORP |
*W EXP 99/99/999 |
69901P117 |
16 |
139,072 |
SH |
|
OTR |
2 |
0 |
139,072 |
0 |
| PARAMOUNT GROUP INC |
COM |
69924R108 |
218 |
20,000 |
SH |
|
SOLE |
|
20,000 |
0 |
0 |
| PARATEK PHARMACEUTICALS INC |
COM |
699374302 |
2,328 |
783,731 |
SH |
|
OTR |
2 |
0 |
783,731 |
0 |
| PARSONS CORP DEL |
NOTE 0.250% 8/1 |
70202LAB8 |
1,350 |
1,274,000 |
PRN |
|
OTR |
1 |
0 |
1,274,000 |
0 |
| PDF SOLUTIONS INC |
COM |
693282105 |
6,018 |
215,932 |
SH |
|
OTR |
2 |
0 |
215,932 |
0 |
| PDS BIOTECHNOLOGY CORP |
COM |
70465T107 |
436 |
70,378 |
SH |
|
OTR |
2 |
0 |
70,378 |
0 |
| PEABODY ENGR CORP |
PUT |
704551950 |
4 |
16,400 |
SH |
Put |
OTR |
1 |
0 |
16,400 |
0 |
| PETVIVO HLDGS INC |
*W EXP 08/13/202 |
716817119 |
8 |
22,900 |
SH |
|
OTR |
2 |
0 |
22,900 |
0 |
| PHOTRONICS INC |
COM |
719405102 |
5,187 |
305,636 |
SH |
|
OTR |
2 |
0 |
305,636 |
0 |
| PIXELWORKS INC |
COM NEW |
72581M305 |
659 |
221,985 |
SH |
|
SOLE |
|
221,985 |
0 |
0 |
| PROCESSA PHARMACEUTICALS INC |
COM NEW |
74275C205 |
214 |
70,954 |
SH |
|
OTR |
2 |
0 |
70,954 |
0 |
| PROGRESSIVE CORP |
COM |
743315103 |
2,259 |
19,817 |
SH |
|
OTR |
3 |
0 |
19,817 |
0 |
| RAYMOND JAMES FINL INC |
COM |
754730109 |
2,650 |
24,115 |
SH |
|
OTR |
3 |
0 |
24,115 |
0 |
| REALOGY HLDGS CORP |
PUT |
75605Y956 |
4 |
19,800 |
SH |
Put |
OTR |
1 |
0 |
19,800 |
0 |
| REZOLUTE INC |
COM NEW |
76200L309 |
354 |
104,709 |
SH |
|
OTR |
2 |
0 |
104,709 |
0 |
| RF INDS LTD |
COM PAR $0.01 |
749552105 |
928 |
128,684 |
SH |
|
OTR |
2 |
0 |
128,684 |
0 |
| SCPHARMACEUTICALS INC |
COM |
810648105 |
1,979 |
348,425 |
SH |
|
OTR |
2 |
0 |
348,425 |
0 |
| SCYNEXIS INC |
COM NEW |
811292200 |
2,192 |
560,517 |
SH |
|
OTR |
2 |
0 |
560,517 |
0 |
| SELECT SECTOR SPDR TR |
PUT |
81369Y959 |
1 |
15,500 |
SH |
Put |
SOLE |
|
15,500 |
0 |
0 |
| SILICOM LTD |
ORD |
M84116108 |
2,423 |
61,539 |
SH |
|
SOLE |
|
61,539 |
0 |
0 |
| SILICON MOTION TECHNOLOGY CO |
SPONSORED ADR |
82706C108 |
6,252 |
93,572 |
SH |
|
OTR |
2 |
0 |
93,572 |
0 |
| SIRIUS XM HOLDINGS INC |
COM |
82968B103 |
140 |
21,206 |
SH |
|
OTR |
1 |
0 |
21,206 |
0 |
| SOLENO THERAPEUTICS INC |
COM NEW |
834203200 |
377 |
1,691,840 |
SH |
|
OTR |
2 |
0 |
1,691,840 |
0 |
| SOUTHWEST AIRLS CO |
NOTE 1.250% 5/0 |
844741BG2 |
1,476 |
1,079,000 |
PRN |
|
OTR |
1 |
0 |
1,079,000 |
0 |
| SPDR SER TR |
PUT |
78464A950 |
4 |
15,900 |
SH |
Put |
SOLE |
|
15,900 |
0 |
0 |
| TECHTARGET INC |
COM |
87874R100 |
1,222 |
15,031 |
SH |
|
SOLE |
|
15,031 |
0 |
0 |
| THERATECHNOLOGIES INC |
COM |
88338H100 |
1,870 |
755,863 |
SH |
|
OTR |
2 |
0 |
755,863 |
0 |
| TRANSCODE THERAPEUTICS INC |
COM |
89357L105 |
934 |
324,157 |
SH |
|
OTR |
2 |
0 |
324,157 |
0 |
| TRANSPHORM INC |
COM |
89386L100 |
4,307 |
609,170 |
SH |
|
OTR |
2 |
0 |
609,170 |
0 |
| UBER TECHNOLOGIES INC |
COM |
90353T100 |
283 |
7,943 |
SH |
|
OTR |
1 |
0 |
7,943 |
0 |
| UNITED STATES STL CORP |
NOTE 5.000%11/0 |
912909AT5 |
10,509 |
3,579,000 |
PRN |
|
OTR |
1 |
0 |
3,579,000 |
0 |
| UNITED STATES STL CORP |
PUT |
912909958 |
12 |
33,400 |
SH |
Put |
OTR |
1 |
0 |
33,400 |
0 |
| VACCINEX INC |
COM |
918640103 |
88 |
66,856 |
SH |
|
OTR |
2 |
0 |
66,856 |
0 |
| VAIL RESORTS INC |
COM |
91879Q109 |
350 |
1,345 |
SH |
|
OTR |
1 |
0 |
1,345 |
0 |
| VROOM INC |
PUT |
92918V959 |
57 |
37,200 |
SH |
Put |
OTR |
1 |
0 |
37,200 |
0 |
| WAYFAIR INC |
NOTE 1.000% 8/1 |
94419LAF8 |
4,787 |
4,452,000 |
PRN |
|
OTR |
1 |
0 |
4,452,000 |
0 |
| WELLS FARGO CO NEW |
COM |
949746101 |
458 |
9,459 |
SH |
|
OTR |
3 |
0 |
9,459 |
0 |
| WHITESTONE REIT |
COM |
966084204 |
272 |
20,500 |
SH |
|
SOLE |
|
20,500 |
0 |
0 |
| WIRELESS TELECOM GROUP INC |
COM |
976524108 |
756 |
439,407 |
SH |
|
OTR |
2 |
0 |
439,407 |
0 |
| WORLD WRESTLING ENTMT INC |
NOTE 3.375%12/1 |
98156QAB4 |
4,171 |
1,628,000 |
PRN |
|
OTR |
1 |
0 |
1,628,000 |
0 |
| X4 PHARMACEUTICALS INC |
COM |
98420X103 |
438 |
250,144 |
SH |
|
OTR |
2 |
0 |
250,144 |
0 |
| YIELD10 BIOSCIENCE INC |
COM |
98585K862 |
427 |
80,586 |
SH |
|
OTR |
2 |
0 |
80,586 |
0 |
| ZUORA INC |
COM CL A |
98983V106 |
816 |
54,457 |
SH |
|
SOLE |
|
54,457 |
0 |
0 |
Tweet
Share
E-mail
