# EDGAR Filing Document

**Accession Number:** 0001307877
**File Stem:** 0001104659-23-007498
**Filing Date:** 2023-1
**Character Count:** 9157
**Document Hash:** 1417139aeccaf38575356b75ebb2b236
**Contains OCR:** False
**Source Format:** 

## Filing Content

## Filing Summary
**0001104659-23-007498.hdr.sgml**: 20230127

**ACCESSION NUMBER**: 0001104659-23-007498

**CONFORMED SUBMISSION TYPE**: 13F-HR

**PUBLIC DOCUMENT COUNT**: 2

**CONFORMED PERIOD OF REPORT**: 20221231

**FILED AS OF DATE**: 20230127

**DATE AS OF CHANGE**: 20230127

**EFFECTIVENESS DATE**: 20230127

**FILER**: 

**COMPANY DATA:**
- **COMPANY CONFORMED NAME:** Trellus Management Company, LLC
- **CENTRAL INDEX KEY:** 0001307877
- **IRS NUMBER:** 133807183
- **STATE OF INCORPORATION:** DE
- **FISCAL YEAR END:** 1231

**FILING VALUES:**
- **FORM TYPE:** 13F-HR
- **SEC ACT:** 1934 Act
- **SEC FILE NUMBER:** 028-10974
- **FILM NUMBER:** 23562624

**BUSINESS ADDRESS:**
- **STREET 1:** 1615 S. CONGRESS AVE
- **STREET 2:** SUITE 103
- **CITY:** DELRAY BEACH
- **STATE:** FL
- **ZIP:** 33445
- **BUSINESS PHONE:** 646-561-2622

**MAIL ADDRESS:**
- **STREET 1:** 1615 S. CONGRESS AVE
- **STREET 2:** SUITE 103
- **CITY:** DELRAY BEACH
- **STATE:** FL
- **ZIP:** 33445

### FORM 13F COVER PAGE

**Report for the Calendar Year or Quarter Ended:** 12-31-2022

**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:** Trellus Management Company LLC<br>**Address:** 1615 S. Congress Ave<br>Suite 103<br>Delray Beach, FL 33445

**Form 13F File Number:** 028-10974

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:** James Scaplen<br>**Title:** Chief Compliance Officer<br>**Phone:** 646-561-2622

**Signature, Place, and Date of Signing:**

/s/ James Scaplen  San Francisco, CA  01-27-2023<br>[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 are reported 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:** 0

**Form 13F Information Table Entry Total:** 56

**Form 13F Information Table Value Total:** $78952286

      (round to nearest dollar)

**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.]

**NONE**

### FORM 13F INFORMATION TABLE

---

|  |  |  |  |  |  |  |  |  |  |  |  |  |
| --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- | --- |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | VOTING AUTHORITY | VOTING AUTHORITY | VOTING AUTHORITY |
| NAME OF ISSUER | TITLE OF CLASS | CUSIP | FIGI | VALUE (x$1000) | SHRS OR PRN AMT | SH/PRN | PUT/CALL | INVESTMENT DISCRETION | OTHER MANAGER | SOLE | SHARED | NONE |
| ALTERYX INC | COM CL A | 02156B103 |  | 1266750 | 25000 | SH |  | SOLE |  | 25000 | 0 | 0 |
| AMAZON COM INC | COM | 023135106 |  | 210000 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| AMERICAN WTR WKS CO INC NEW | COM | 030420103 |  | 6243580 | 40963 | SH |  | SOLE |  | 40963 | 0 | 0 |
| ASPEN AEROGELS INC | COM | 04523Y105 |  | 1726799 | 146463 | SH |  | SOLE |  | 146463 | 0 | 0 |
| AUTODESK INC | COM | 052769106 |  | 747480 | 4000 | SH |  | SOLE |  | 4000 | 0 | 0 |
| BLOCK INC | CL A | 852234103 |  | 314200 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| CALLON PETE CO DEL | COM | 13123X508 |  | 370900 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| CAMECO CORP | COM | 13321L108 |  | 680100 | 30000 | SH |  | SOLE |  | 30000 | 0 | 0 |
| CANTALOUPE INC | COM | 138103106 |  | 391500 | 90000 | SH |  | SOLE |  | 90000 | 0 | 0 |
| CARPARTS COM INC | COM | 14427M107 |  | 1126800 | 180000 | SH |  | SOLE |  | 180000 | 0 | 0 |
| CLEAN ENERGY FUELS CORP | COM | 184499101 |  | 410800 | 79000 | SH |  | SOLE |  | 79000 | 0 | 0 |
| DANIMER SCIENTIFIC INC | COM CL A | 236272100 |  | 117471 | 65626 | SH |  | SOLE |  | 65626 | 0 | 0 |
| DATADOG INC | CL A COM | 23804L103 |  | 367500 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| DIGITAL TURBINE INC | COM NEW | 25400W102 |  | 579120 | 38000 | SH |  | SOLE |  | 38000 | 0 | 0 |
| DIREXION SHS ETF TR | DRX S | 25459W862 |  | 1732869 | 27900 | SH |  | SOLE |  | 27900 | 0 | 0 |
| DISNEY WALT CO | COM | 254687106 |  | 1146816 | 13200 | SH |  | SOLE |  | 13200 | 0 | 0 |
| EBIX INC | COM NEW | 278715206 |  | 2195600 | 110000 | SH |  | SOLE |  | 110000 | 0 | 0 |
| EBIX INC | COM NEW | 278715206 |  | 1189616 | 59600 | SH | Call | SOLE |  | 59600 | 0 | 0 |
| EQT CORP | COM | 26884L109 |  | 338300 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| GENIUS SPORTS LIMITED | SHARES CL A | G3934V109 |  | 225185 | 63077 | SH |  | SOLE |  | 63077 | 0 | 0 |
| GLOBALSTAR INC | COM | 378973408 |  | 532000 | 400000 | SH |  | SOLE |  | 400000 | 0 | 0 |
| GREAT ELM GROUP INC | COM NEW | 39037G109 |  | 196130 | 97094 | SH |  | SOLE |  | 97094 | 0 | 0 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 |  | 3419587 | 34347 | SH |  | SOLE |  | 34347 | 0 | 0 |
| ISHARES TR | 20 YR TR BD ETF | 464287432 |  | 9956000 | 100000 | SH | Call | SOLE |  | 100000 | 0 | 0 |
| KRATOS DEFENSE  SEC SOLUTIO | COM NEW | 50077B207 |  | 594091 | 57567 | SH |  | SOLE |  | 57567 | 0 | 0 |
| LANTHEUS HLDGS INC | COM | 516544103 |  | 292663 | 5743 | SH |  | SOLE |  | 5743 | 0 | 0 |
| LIONS GATE ENTMNT CORP | CL A VTG | 535919401 |  | 285500 | 50000 | SH |  | SOLE |  | 50000 | 0 | 0 |
| LIVEPERSON INC | COM | 538146101 |  | 281486 | 27760 | SH |  | SOLE |  | 27760 | 0 | 0 |
| MIRATI THERAPEUTICS INC | COM | 60468T105 |  | 300768 | 6638 | SH |  | SOLE |  | 6638 | 0 | 0 |
| MODERNA INC | COM | 60770K107 |  | 1796200 | 10000 | SH | Call | SOLE |  | 10000 | 0 | 0 |
| MOSAIC CO NEW | COM | 61945C103 |  | 219350 | 5000 | SH |  | SOLE |  | 5000 | 0 | 0 |
| NEOGEN CORP | COM | 640491106 |  | 609200 | 40000 | SH |  | SOLE |  | 40000 | 0 | 0 |
| OLLIES BARGAIN OUTLET HLDGS | COM | 681116109 |  | 468400 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| PACIFIC BIOSCIENCES CALIF IN | COM | 69404D108 |  | 560330 | 68500 | SH |  | SOLE |  | 68500 | 0 | 0 |
| PALO ALTO NETWORKS INC | COM | 697435105 |  | 348850 | 2500 | SH |  | SOLE |  | 2500 | 0 | 0 |
| PARATEK PHARMACEUTICALS INC | COM | 699374302 |  | 551650 | 295000 | SH |  | SOLE |  | 295000 | 0 | 0 |
| PERFORMANT FINL CORP | COM | 71377E105 |  | 666359 | 184587 | SH |  | SOLE |  | 184587 | 0 | 0 |
| PLBY GROUP INC | COM | 72814P109 |  | 42952 | 15619 | SH |  | SOLE |  | 15619 | 0 | 0 |
| PROSHARES TR II | ULTA BLMBG 2017 | 74347Y888 |  | 606200 | 20000 | SH |  | SOLE |  | 20000 | 0 | 0 |
| PROSHARES TR II | ULTRA BLOOMBERG | 74347Y870 |  | 282702 | 15900 | SH |  | SOLE |  | 15900 | 0 | 0 |
| PROSOMNUS INC | *W EXP 04/20/202 | 50535E116 |  | 2948 | 37500 | SH |  | SOLE |  | 37500 | 0 | 0 |
| RANPAK HOLDINGS CORP | COM CL A | 75321W103 |  | 334083 | 57900 | SH |  | SOLE |  | 57900 | 0 | 0 |
| RIMINI STR INC DEL | COM | 76674Q107 |  | 1234478 | 324010 | SH |  | SOLE |  | 324010 | 0 | 0 |
| RINGCENTRAL INC | CL A | 76680R206 |  | 354000 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| SEMA4 HOLDINGS CORP | COM CL A | 81663L101 |  | 290180 | 1100000 | SH |  | SOLE |  | 1100000 | 0 | 0 |
| SIBANYE STILLWATER LTD | SPONSORED ADR | 82575P107 |  | 872350 | 81834 | SH |  | SOLE |  | 81834 | 0 | 0 |
| SNOWFLAKE INC | CL A | 833445109 |  | 334879 | 2333 | SH |  | SOLE |  | 2333 | 0 | 0 |
| SPDR DOW JONES INDL AVERAGE | UT SER 1 | 78467X109 |  | 3313300 | 10000 | SH | Put | SOLE |  | 10000 | 0 | 0 |
| SPOTIFY TECHNOLOGY S A | SHS | L8681T102 |  | 789500 | 10000 | SH |  | SOLE |  | 10000 | 0 | 0 |
| TESLA INC | COM | 88160R101 |  | 4927200 | 40000 | SH | Call | SOLE |  | 40000 | 0 | 0 |
| UBER TECHNOLOGIES INC | COM | 90353T100 |  | 360069 | 14560 | SH |  | SOLE |  | 14560 | 0 | 0 |
| VANGUARD SCOTTSDALE FDS | LONG TERM TREAS | 92206C847 |  | 1620606 | 26300 | SH |  | SOLE |  | 26300 | 0 | 0 |
| VERTEX ENERGY INC | COM | 92534K107 |  | 13150671 | 2121076 | SH |  | SOLE |  | 2121076 | 0 | 0 |
| VICOR CORP | COM | 925815102 |  | 6984544 | 129945 | SH |  | SOLE |  | 129945 | 0 | 0 |
| WESTPORT FUEL SYSTEMS INC | COM NEW | 960908309 |  | 488124 | 630000 | SH |  | SOLE |  | 630000 | 0 | 0 |
| ZSCALER INC | COM | 98980G102 |  | 503550 | 4500 | SH |  | SOLE |  | 4500 | 0 | 0 |

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