Q3 2019 Holdings
Filed 2019-11-13 | 1655 holdings | $91.0M | 13F-HR | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↑ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Liquidity Services Inc(LQDT)Call | COM | 53635B107 | $4 | 50,000 | 0.0% |
| VBI Vaccines Inc(VAC2USD) | COM NEW | 91822J103 | $5 | 11,000 | 0.0% |
| Sandridge Mississippian TR I | SH BEN INT | 80007V106 | $5 | 10,177 | 0.0% |
| Ampio Pharmaceuticals Inc | COM | 03209T109 | $6 | 12,500 | 0.0% |
| Organovo Hldgs Inc | COM | 68620A104 | $7 | 28,802 | 0.0% |
| Proshares TR | ULTSH NASD BIOT | 74347B789 | $7 | 14,850 | 0.0% |
| Turquoise Hill RES LTD | COM | 900435108 | $10 | 23,828 | 0.0% |
| Tesla Inc | NOTE 1.250% 3/0 | 88160RAC5 | $10 | $10,000 | 0.0% |
| Semtech Corp(SMTC)Put | COM | 816850101 | $10 | 5,153,000 | 0.0% |
| Senseonics Hldgs Inc(SENS1GBP) | COM | 81727U105 | $10 | 10,500 | 0.0% |
| Prospect Capital Corporation | NOTE 4.950% 7/1 | 74348TAR3 | $11 | $11,000 | 0.0% |
| Sophiris BIO Inc | COM NEW | 83578Q209 | $12 | 20,000 | 0.0% |
| Polymet Mining Corp | COM | 731916102 | $12 | 37,217 | 0.0% |
| Ideanomics Inc | COM | 45166V106 | $14 | 11,840 | 0.0% |
| Aptevo Therapeutics Inc | COM | 03835L108 | $14 | 23,840 | 0.0% |
| Celgene Corp | RIGHT 12/31/2030 | 151020112 | $15 | 30,000 | 0.0% |
| Noble Corp PLC | SHS USD | G65431101 | $17 | 13,000 | 0.0% |
| Pavmed Inc | COM | 70387R106 | $19 | 20,000 | 0.0% |
| Pareteum Corp(TEUM) | COM NEW | 69946T207 | $19 | 14,464 | 0.0% |
| Cellectar Biosciences Inc | COM PAR | 15117F500 | $20 | 13,400 | 0.0% |
| Conformis Inc(CFMS) | COM | 20717E101 | $20 | 10,920 | 0.0% |
| Oncosec MED Inc | COM | 68234L306 | $21 | 10,500 | 0.0% |
| Sesen BIO Inc | COM | 817763105 | $22 | 19,000 | 0.0% |
| Stage Stores Inc | COM NEW | 85254C305 | $24 | 12,849 | 0.0% |
| Transenterix Inc | COM NEW | 89366M201 | $24 | 38,711 | 0.0% |
| Athersys Inc(ATHXEUR) | COM | 04744L106 | $25 | 18,853 | 0.0% |
| Advaxis Inc(ADXSEUR) | COM NEW | 007624307 | $26 | 100,798 | 0.0% |
| Harmony Gold MNG LTD(HAM) | SPONSORED ADR | 413216300 | $26 | 14,983 | 0.0% |
| Plug Power Inc(PLUG) | COM NEW | 72919P202 | $27 | 10,302 | 0.0% |
| Cheniere Energy Inc | NOTE 4.250% 3/1 | 16411RAG4 | $28 | $36,000 | 0.0% |
| Hecla MNG Co(HL) | COM | 422704106 | $29 | 16,471 | 0.0% |
| Foamix Pharmaceuticals LTD | SHS | M46135105 | $30 | 10,000 | 0.0% |
| Profire Energy Inc | COM | 74316X101 | $31 | 16,300 | 0.0% |
| NIO Inc(NIO) | SPON ADS | 62914V106 | $32 | 20,730 | 0.0% |
| Correvio Pharma Corp | COM | 22026V105 | $33 | 16,500 | 0.0% |
| CSI Compressco LP | COM UNIT | 12637A103 | $33 | 10,990 | 0.0% |
| AU Optronics Corp(AUOUSD) | SPONSORED ADR | 002255107 | $34 | 13,576 | 0.0% |
| Mizuho Finl Group Inc(MFG) | SPONSORED ADR | 60687Y109 | $39 | 12,551 | 0.0% |
| Nabors Industries LTD(NBR) | SHS | G6359F103 | $39 | 20,126 | 0.0% |
| Huttig Bldg Prods Inc | COM | 448451104 | $42 | 20,192 | 0.0% |
| Centennial Resource DEV Inc(CDEVEUR) | CL A | 15136A102 | $43 | 12,108 | 0.0% |
| Transglobe Energy Corp | COM | 893662106 | $44 | 34,804 | 0.0% |
| Organigram Hldgs Inc | COM | 68620P101 | $45 | 13,085 | 0.0% |
| Prospect Capital Corporation | NOTE 4.750% 4/1 | 74348TAQ5 | $45 | $45,000 | 0.0% |
| Kinross Gold Corp(KGC) | COM | 496902404 | $48 | 10,373 | 0.0% |
| FAT Brands Inc(FATAQ) | COM | 30258N105 | $49 | 10,212 | 0.0% |
| Matinas Biopharma Hldgs Inc | COM | 576810105 | $50 | 75,066 | 0.0% |
| Avon Prods Inc(AVPUSD) | COM | 054303102 | $50 | 11,452 | 0.0% |
| Hexo Corp | COM | 428304109 | $51 | 12,908 | 0.0% |
| Resonant Inc | COM | 76118L102 | $51 | 17,245 | 0.0% |