Q1 2021 Holdings
Filed 2021-05-17 | 16138 holdings | $407.6M | 13F-HR/A | View on SEC ↗ · Holdings Table ↗
Amended (2021-05-21) | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↑ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Resonant IncCall | COM | 76118L102 | $125 | 29,500 | 0.0% |
| Biofrontera AG | SPONSORED ADS | 09075G105 | $125 | 23,325 | 0.0% |
| Spring VY Acquisition Corp | UNIT 11/11/2025 | G8377A116 | $125 | 11,768 | 0.0% |
| Gladstone Capital CorpPut | COM | 376535100 | $125 | 12,600 | 0.0% |
| Uxin LTDCall | ADS | 91818X108 | $125 | 106,700 | 0.0% |
| Datasea Inc(DTSSEUR) | COM NEW | 238116206 | $125 | 38,567 | 0.0% |
| Safeguard Scientifics IncPut | COM NEW | 786449207 | $125 | 18,400 | 0.0% |
| Kindred Biosciences IncCall | COM | 494577109 | $125 | 25,200 | 0.0% |
| Cytomx Therapeutics Inc(CTMX)Call | COM | 23284F105 | $126 | 16,300 | 0.0% |
| AXT Inc(AXTI)Put | COM | 00246W103 | $126 | 10,800 | 0.0% |
| Marlin Technology Corp | *W EXP 01/12/202 | G58411110 | $126 | 177,356 | 0.0% |
| Dune Acquisition Corp | *W EXP 10/29/202 | 265334110 | $126 | 201,883 | 0.0% |
| Marine Pete TR(MARPS) | UNIT BEN INT | 568423107 | $126 | 24,561 | 0.0% |
| Guardion Health Sciences Inc | COM | 40145Q401 | $126 | 52,699 | 0.0% |
| Mingzhu Logistics Hldgs LTD | COM | G6180C105 | $126 | 27,529 | 0.0% |
| 1847 Goedeker Inc | COM | 28252C109 | $127 | 14,541 | 0.0% |
| Xinyuan Real Estate Co LTDPut | SPONS ADR | 98417P105 | $127 | 45,200 | 0.0% |
| Alexco Resource Corp(AXU)Put | COM | 01535P106 | $127 | 50,500 | 0.0% |
| AC Immune SA(ACIU)Call | SHS | H00263105 | $127 | 16,700 | 0.0% |
| Select Energy Svcs Inc(WTTR)Call | CL A COM | 81617J301 | $127 | 25,500 | 0.0% |
| Ampco-Pittsburg Corp(AP)Put | COM | 032037103 | $127 | 18,800 | 0.0% |
| Broadstone Acquisition Corp | UNIT 99/99/9999 | G1739V118 | $127 | 12,579 | 0.0% |
| MFS Inter Income TR(MIN) | SH BEN INT | 55273C107 | $127 | 34,219 | 0.0% |
| Yiren Digital LTD(YRD)Call | SPONSORED ADS | 98585L100 | $127 | 25,000 | 0.0% |
| Viewray Inc(VRAYQ) | COM | 92672L107 | $127 | 29,097 | 0.0% |
| NAM TAI Ppty Inc | SHS | G63907102 | $127 | 10,317 | 0.0% |
| Royce Micro-Cap TR Inc(RMT) | COM | 780915104 | $128 | 11,327 | 0.0% |
| Avinger Inc | COM | 053734604 | $128 | 84,958 | 0.0% |
| Creatd Inc | COM | 225265107 | $128 | 29,649 | 0.0% |
| Kamada LTD(KMDA)Put | SHS | M6240T109 | $128 | 20,600 | 0.0% |
| Kingsway Finl Svcs Inc(KFS) | COM NEW | 496904202 | $128 | 27,445 | 0.0% |
| Cymabay Therapeutics Inc(CBAYUSD)Call | COM | 23257D103 | $128 | 28,100 | 0.0% |
| Sigma Labs IncCall | COM | 826598500 | $128 | 34,400 | 0.0% |
| Inuvo Inc | COM NEW | 46122W204 | $129 | 126,140 | 0.0% |
| Blonder Tongue Labs Inc(BDRLQ) | COM | 093698108 | $129 | 87,899 | 0.0% |
| Western Asset MTG Cap CorpCall | COM | 95790D105 | $129 | 40,300 | 0.0% |
| MRC Global Inc(37M)Call | COM | 55345K103 | $129 | 14,300 | 0.0% |
| Smtc CorpPut | COM NEW | 832682207 | $129 | 21,400 | 0.0% |
| Pennsylvania Real Estate INV | SH BEN INT | 709102107 | $129 | 67,346 | 0.0% |
| Potbelly Corp(PTB) | COM | 73754Y100 | $129 | 21,871 | 0.0% |
| Recharge Acquisition Corp | COM CL A | 756229100 | $129 | 13,240 | 0.0% |
| Poema Global Holdings Corp | UNIT 99/99/9999 | G7154B123 | $129 | 12,875 | 0.0% |
| Edtechx Holdings Acqu Corp I | *W EXP 06/15/202 | 28139A110 | $129 | 285,431 | 0.0% |
| Electro-Sensors Inc(ELSE) | COM | 285233102 | $129 | 26,926 | 0.0% |
| Atlas Technical Consultants | COM CLS A | 049430101 | $129 | 12,636 | 0.0% |
| Falcon Minerals CorpCall | CL A COM | 30607B109 | $129 | 28,800 | 0.0% |
| Alta Equipment Group Inc(ALTG)Call | COMMON STOCK | 02128L106 | $130 | 10,000 | 0.0% |
| Merrimack Pharmaceuticals in(MACKEUR) | COM NEW | 590328209 | $130 | 20,744 | 0.0% |
| Putnam Master Inter Income T(PIM) | SH BEN INT | 746909100 | $130 | 29,992 | 0.0% |
| Vickers Vantage Corp I | UNIT 09/15/2027 | G9440B123 | $130 | 12,856 | 0.0% |