Location: West Palm Beach, FL
CIK: 0001447578 · Show all filings
Period: Q4 2018 (← Previous) (Next →)
Filing Date: Feb 14, 2019
Total Value: $1.678B (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | WESTERN ASSET EMRG MKT DEBT | 4,745,389 | $58.27M | 3.5% | $15.00 | — | COM SHS | 95766A101 |
| — | NUVEEN AMT FREE QLTY MUN INC | 4,587,230 | $56.52M | 3.4% | $13.05 | — | COM | 670657105 |
| — | NUVEEN QUALITY MUNCP INCOME | 4,504,071 | $56.3M | 3.4% | $13.10 | — | COM | 67066V101 |
| — | EATON VANCE LTD DUR INCOME F | 4,284,716 | $51.12M | 3.0% | $13.31 | — | COM | 27828H105 |
| — | WESTERN ASSET HIGH INCM OPP | 9,857,102 | $43.37M | 2.6% | $5.00 | — | COM | 95766K109 |
| — | HIGHLAND FLOATNG RATE OPPRT SHS BEN INT | 2,981,262 | $37.38M | 2.2% | $14.25 | — | SHS BEN INT | 43010E404 |
| — | PGIM GLOBAL SHORT DURATION H | 2,665,065 | $34.67M | 2.1% | $13.73 | — | COM | 69346J106 |
| — | NUVEEN CR STRATEGIES INCM FD | 4,585,542 | $33.7M | 2.0% | $8.99 | — | COM SHS | 67073D102 |
| — | VOYA PRIME RATE TR | 7,322,554 | $33.54M | 2.0% | $5.02 | — | BEN INT | 92913A100 |
| — | BLACKROCK CR ALLCTN INC TR | 2,951,458 | $33.03M | 2.0% | $12.97 | — | COM | 092508100 |
| — | INVESCO SR INCOME TR | 8,161,369 | $31.67M | 1.9% | $4.16 | — | COM | 46131H107 |
| — | TEMPLETON GLOBAL INCOME FD | 4,975,797 | $30.3M | 1.8% | $7.04 | — | COM | 880198106 |
| — | BRANDYWINEGBL GLBAL INM OPRT | 2,721,981 | $28.47M | 1.7% | $12.43 | — | COM | 10537L104 |
| — | FS KKR CAPITAL CORP | 5,082,671 | $27.09M | 1.6% | $5.33 | — | COM | 302635107 |
| — | GOLDMAN SACHS MLP ENERGY REN | 3,535,824 | $25.42M | 1.5% | $7.19 | — | COM | 38148G107 |
| — | BLACKROCK CORPOR HI YLD FD I | 2,670,242 | $24.86M | 1.5% | $10.77 | — | COM | 09255P107 |
| BBDC | BARINGS BDC INC | 2,694,179 | $24.27M | 1.4% | $5.22 | -2.2% | COM | 06759L103 |
| — | WESTERN ASSET GLB HI INCOME | 2,596,051 | $21.42M | 1.3% | $9.82 | — | COM | 95766B109 |
| — | NUVEEN CA QUALTY MUN INCOME | 1,636,505 | $20.5M | 1.2% | $12.77 | — | COM | 67066Y105 |
| — | INVESCO DYNAMIC CR OPP FD | 1,973,650 | $20.29M | 1.2% | $11.53 | — | COM | 46132R104 |
| — | BLACKROCK MUN 2030 TAR TERM | 994,367 | $20.21M | 1.2% | $20.39 | — | COM SHS BEN IN | 09257P105 |
| — | INVESCO MUN OPPORTUNITY TR | 1,772,634 | $19.57M | 1.2% | $11.04 | — | COM | 46132C107 |
| — | TORTOISE MLP FD INC | 1,522,524 | $18.25M | 1.1% | $14.89 | — | COM | 89148B101 |
| — | WESTERN AST INFL LKD OPP & I | 1,737,430 | $17.64M | 1.1% | $11.34 | — | COM | 95766R104 |
| — | PGIM SHORT DURATION HIGH YIE | 1,333,953 | $17.48M | 1.0% | $13.90 | — | COM | 69346H100 |
| — | TEMPLETON EMERG MKTS INCOME | 1,766,328 | $16.87M | 1.0% | $11.09 | — | COM | 880192109 |
| — | CORNERSTONE STRATEGIC VALUE | 1,440,368 | $15.93M | 0.9% | $14.00 | — | COM | 21924B302 |
| — | NUVEEN AMT FREE MUN CR INC F | 1,119,142 | $15.37M | 0.9% | $13.73 | — | COM | 67071L106 |
| — | NUVEEN PFD & INCM SECURTIES | 1,840,177 | $15.22M | 0.9% | $8.31 | — | COM | 67072C105 |
| — | BLACKROCK DEBT STRAT FD INC | 1,523,271 | $15.04M | 0.9% | $10.03 | — | COM | 09255R202 |
| NXDT | NEXPOINT STRATEGIC OPORTUNT | 740,087 | $14.82M | 0.9% | $21.83 | — | COM | 65340G205 |
| — | ALLIANCEBERNSTEIN GBL HGH IN | 1,318,973 | $14.01M | 0.8% | $10.95 | — | COM | 01879R106 |
| — | WELLS FARGO INCOME OPPORTUNI WF INC OPPTY FD | 1,882,676 | $13.82M | 0.8% | $7.89 | — | COM | 94987B105 |
| — | WESTERN ASSET HGH YLD DFNDFD | 1,018,228 | $13.49M | 0.8% | $15.81 | — | COM | 95768B107 |
| — | BLACKROCK MULTI-SECTOR INC T | 858,753 | $13.4M | 0.8% | $16.50 | — | COM | 09258A107 |
| — | ALLIANZGI CON INCM 2024 TARG | 1,638,055 | $13.27M | 0.8% | $8.87 | — | COM | 01883H102 |
| — | FIRST TR INTER DUR PFD & IN | 659,495 | $13.08M | 0.8% | $19.84 | — | COM | 33718W103 |
| — | BROOKFIELD REAL ASSETS INCOM SHS BEN INT | 678,557 | $12.93M | 0.8% | $19.06 | — | SHS BEN INT | 112830104 |
| — | KAYNE ANDERSN MLP MIDS INVT | 955,706 | $12.65M | 0.8% | $17.87 | — | COM | 486606106 |
| — | DELAWARE ENHANCED GBL DIV & | 1,432,166 | $12M | 0.7% | $11.31 | — | COM | 246060107 |
| — | ADVENT CLAYMORE CV SECS & IN | 949,955 | $11.91M | 0.7% | $14.05 | — | COM | 00764C109 |
| — | ALLIANZGI NFJ DIVID INT & PR | 1,091,523 | $11.58M | 0.7% | $12.45 | — | COM | 01883A107 |
| — | NUVEEN MTG OPPORTUNITY TERM | 508,640 | $11.44M | 0.7% | $23.37 | — | COM | 670735109 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 1,381,305 | $11.4M | 0.7% | $11.38 | — | SH BEN INT | 18914E106 |
| — | ALLIANCE CALIF MUN INCOME FD | 828,329 | $11.3M | 0.7% | $13.45 | — | COM | 018546101 |
| — | INVESCO VALUE MUN INCOME TR | 836,168 | $11.24M | 0.7% | $13.44 | — | COM | 46132P108 |
| — | NUVEEN FLOATING RATE INCOME | 1,159,810 | $10.8M | 0.6% | $9.31 | — | COM | 67072T108 |
| — | NUVEEN MUN HIGH INCOME OPP F | 896,361 | $10.31M | 0.6% | $11.50 | — | COM | 670682103 |
| — | FRANKLIN LTD DURATION INC TR | 1,110,807 | $10.1M | 0.6% | $9.09 | — | COM | 35472T101 |
| — | MORGAN STANLEY EMER MKTS DEB | 1,204,525 | $9.937M | 0.6% | $9.57 | — | COM | 61744H105 |
| — | LIBERTY ALL-STAR GROWTH FD I | 2,202,598 | $9.603M | 0.6% | $4.36 | — | COM | 529900102 |
| — | EATON VANCE SR FLTNG RTE TR COM | 772,523 | $9.602M | 0.6% | $12.43 | — | COM | 27828Q105 |
| — | BLACKROCK MUNIYIELD QLTY FD | 760,786 | $9.237M | 0.6% | $12.14 | — | COM | 09254F100 |
| — | BLACKROCK FLOAT RATE OME STR | 772,207 | $9.143M | 0.5% | $11.84 | — | COM | 09255X100 |
| — | NUVEEN NEW YORK AMT QLT MUNI | 780,967 | $9.067M | 0.5% | $11.61 | — | COM | 670656107 |
| — | ARES DYNAMIC CR ALLOCATION F | 657,922 | $9.053M | 0.5% | $14.45 | — | COM | 04014F102 |
| — | NUVEEN MUNICIPAL CREDIT INC | 676,225 | $8.994M | 0.5% | $13.30 | — | COM SH BEN INT | 67070X101 |
| — | GARRISON CAP INC | 1,330,952 | $8.798M | 0.5% | $9.05 | — | COM | 366554103 |
| XMUIX | BLACKROCK MUNI INTER DR FD I | 689,502 | $8.702M | 0.5% | $13.43 | — | COM | 09253X102 |
| — | NUVEEN GLOBAL HIGH INCOME FD | 600,198 | $8.229M | 0.5% | $15.65 | — | COM | 67075G103 |
| — | EAGLE GRWTH & INCOME OPPTY F | 641,706 | $8.102M | 0.5% | $15.76 | — | COM SH BEN INT | 26958J105 |
| SPY | SPDR S&P 500 ETF TR | 31,826 | $7.884M | 0.5% | $269.53 | — | COM | 78462F103 |
| — | NUVEEN MTG OPPTY TERM FD 2 | 343,595 | $7.556M | 0.5% | $23.90 | — | COM | 67074R100 |
| — | INVESCO HIGH INCOME TR II | 589,602 | $7.329M | 0.4% | $14.16 | — | COM | 46131F101 |
| — | NEUBERGER BERMAN HGH YLD FD | 739,342 | $7.216M | 0.4% | $11.45 | — | COM | 64128C106 |
| — | ALLIANCEBERNSTEIN NATL MUNI | 585,009 | $7.003M | 0.4% | $12.70 | — | COM | 01864U106 |
| — | NUVEEN INTER DURATION MN TMF | 557,013 | $6.913M | 0.4% | $12.48 | — | COM | 670671106 |
| — | MORGAN STANLEY EMER MKTS FD | 424,446 | $6.902M | 0.4% | $17.33 | — | COM | 61744G107 |
| — | PUTNAM MUN OPPORTUNITIES TR | 608,056 | $6.822M | 0.4% | $11.22 | — | SH BEN INT | 746922103 |
| — | EATON VANCE SR INCOME TR | 1,143,562 | $6.816M | 0.4% | $6.36 | — | SH BEN INT | 27826S103 |
| XZFGX | VIRTUS TOTAL RETURN FUND INC | 803,287 | $6.812M | 0.4% | $10.84 | — | COM | 92837G100 |
| — | SPROTT FOCUS TR INC | 1,169,632 | $6.749M | 0.4% | $6.79 | — | COM | 85208J109 |
| — | EATON VANCE FLTING RATE INC | 521,958 | $6.603M | 0.4% | $12.65 | — | COM | 278279104 |
| — | BLACKROCK 2022 GBL INCM OPP | 785,137 | $6.572M | 0.4% | $8.63 | — | COM | 09258P104 |
| — | WESTERN ASSET GLOBAL CP DEFI | 431,956 | $6.432M | 0.4% | $15.49 | — | COM | 95790C107 |
| — | NUVEEN TAXABLE MUNICPL INCM | 333,427 | $6.415M | 0.4% | $19.24 | — | COM | 67074C103 |
| — | WESTERN ASSET HIGH INCM FD I | 1,115,404 | $6.402M | 0.4% | $6.78 | — | COM | 95766J102 |
| PRF | INVESCO EXCHANGE TRADED FD T FTSE RAFI 1000 | 61,419 | $6.191M | 0.4% | $118.76 | — | COM | 46137V613 |
| — | NUVEEN EMERGING MKTS DEBT 20 | 810,852 | $6.171M | 0.4% | $8.46 | — | COM | 67077P101 |
| XEVMX | EATON VANCE CALIF MUN BD FD | 609,567 | $6.01M | 0.4% | $10.00 | — | COM | 27828A100 |
| — | PIMCO DYNMIC CREDIT AND MRT | 285,357 | $5.995M | 0.4% | $21.01 | — | COM | 72202D106 |
| — | ABERDEEN EMRG MRKTS EQT INM | 937,448 | $5.953M | 0.4% | $6.71 | — | COM | 00301W105 |
| — | BLACKROCK LTD DURATION INC T | 443,757 | $5.951M | 0.4% | $14.85 | — | COM | 09249W101 |
| — | DREYFUS STRATEGIC MUNS INC | 829,202 | $5.945M | 0.4% | $7.17 | — | COM | 261932107 |
| — | CORNERSTONE TOTAL RTRN FD IN | 533,982 | $5.842M | 0.3% | $13.88 | — | COM | 21924U300 |
| — | BLACKROCK FLOATING RATE INCO | 505,691 | $5.831M | 0.3% | $11.53 | — | COM | 091941104 |
| — | HIGH INCOME SECS FD | 646,600 | $5.768M | 0.3% | $9.48 | — | SHS BEN INT | 42968F108 |
| — | WESTERN ASSET CORPORATE LN F | 632,111 | $5.645M | 0.3% | $8.93 | — | COM | 95790J102 |
| — | BLACKROCK NY MUNI INC QLTY T | 464,189 | $5.603M | 0.3% | $12.22 | — | COM | 09249U105 |
| XBFZX | BLACKROCK CALIF MUN INCOME T | 436,028 | $5.197M | 0.3% | $12.35 | — | SH BEN INT | 09248E102 |
| XMHIX | PIONEER MUN HIGH INCOME TR | 463,244 | $5.026M | 0.3% | $10.85 | — | COM | 723763108 |
| — | NUVEEN CALIFORNIA AMT QLT MU | 387,985 | $4.881M | 0.3% | $12.62 | — | COM | 670651108 |
| — | FIRST TR SR FLOATING RATE 20 | 572,459 | $4.746M | 0.3% | $8.29 | — | COM | 33740K101 |
| — | SPECIAL OPPORTUNITIES FD INC PFD | 191,280 | $4.725M | 0.3% | $25.83 | — | CONV SER B | 84741T302 |
| — | NUVEEN CONNECTICUT QLTY MUN | 405,674 | $4.556M | 0.3% | $11.59 | — | COM | 67060D107 |
| — | MFS CHARTER INCOME TR | 615,676 | $4.519M | 0.3% | $8.96 | — | SHS BEN INT | 552727109 |
| — | NUVEEN INT DUR QUAL MUN TRM | 365,287 | $4.511M | 0.3% | $12.43 | — | COM | 670677103 |
| — | LAZARD WORLD DIVID & INCOME | 533,362 | $4.486M | 0.3% | $9.81 | — | COM | 521076109 |
| BCSF | BAIN CAP SPECIALTY FIN INC | 256,678 | $4.438M | 0.3% | $7.90 | 0.0% | COM | 05684B107 |
| — | ABERDEEN ASIA PACIFIC INCOM | 1,112,348 | $4.349M | 0.3% | $4.47 | — | COM | 003009107 |
| — | CALAMOS CONV OPP AND INC FD | 481,936 | $4.217M | 0.3% | $8.75 | — | SH BEN INT | 128117108 |
| — | FIRST TR SR FLG RTE INCM FD | 362,170 | $4.053M | 0.2% | $11.19 | — | COM | 33733U108 |
| — | APOLLO SR FLOATING RATE FD I | 277,047 | $4.023M | 0.2% | $14.52 | — | COM | 037636107 |
| PACK | ONE MADISON CORP | 398,073 | $4.001M | 0.2% | $9.70 | — | COM | G6772P100 |
| — | PENSARE ACQUISITION CORP | 389,994 | $3.943M | 0.2% | $5.82 | — | *W EXP 05/05/2022 | 70957E113 |
| — | NUVEEN SR INCOME FD | 718,780 | $3.932M | 0.2% | $5.47 | — | COM | 67067Y104 |
| XNBOX | NEUBERGER BRMAN NY MUNI FD I | 344,096 | $3.799M | 0.2% | $11.27 | — | COM | 64124K102 |
| — | NUVEEN CALIF MUN VALUE FD | 410,781 | $3.746M | 0.2% | $9.22 | — | COM | 67062C107 |
| PXH | INVESCO EXCHNG TRADED FD TR FTSE RAFI EMNG | 187,653 | $3.717M | 0.2% | $21.14 | — | COM | 46138E727 |
| — | NEUBERGER BRMAN CLIFRN MUNI | 291,681 | $3.506M | 0.2% | $12.18 | — | COM | 64123C101 |
| XPHDX | PIONEER FLOATING RATE TR | 347,869 | $3.447M | 0.2% | $9.91 | — | COM | 72369J102 |
| — | BLACKROCK MUNICIPL INC QLTY | 269,678 | $3.363M | 0.2% | $12.47 | — | COM | 092479104 |
| — | PIMCO CORPORATE & INCOME OPP | 213,460 | $3.332M | 0.2% | $15.61 | — | COM | 72201B101 |
| — | EATON VANCE MUN BD FD | 294,695 | $3.292M | 0.2% | $11.17 | — | COM | 27827X101 |
| — | PIMCO CORPORATE INCOME STRAT | 214,540 | $3.274M | 0.2% | $15.26 | — | COM | 72200U100 |
| — | INVESCO TR INVT GRADE MUNS | 287,167 | $3.265M | 0.2% | $11.37 | — | COM | 46131M106 |
| — | LIBERTY ALL STAR EQUITY FD | 589,323 | $3.165M | 0.2% | $5.71 | — | SH BEN INT | 530158104 |
| XPMAX | PIONEER MUN HIGH INCOME ADV | 305,668 | $3.103M | 0.2% | $10.15 | — | COM | 723762100 |
| — | BLACKROCK MUNIYIELD CALI QLT | 242,147 | $3.037M | 0.2% | $12.82 | — | COM | 09254N103 |
| — | CM SEVEN STAR ACQUISITION | 300,000 | $3.033M | 0.2% | $9.65 | — | COM | G2345N102 |
| — | TKK SYMPHONY ACQUISITION COR | 300,000 | $3.027M | 0.2% | $10.10 | — | UNIT 08/15/2023 | G88950111 |
| — | LEISURE ACQUISITION CORP | 306,594 | $3.008M | 0.2% | $9.68 | — | COM | 52539T107 |
| — | GRAF INDL CORP | 300,000 | $3.003M | 0.2% | $10.01 | — | UNIT 12/31/2025 | 384278206 |
| — | DD3 ACQUISITION CORP | 300,000 | $3M | 0.2% | $10.00 | — | UNIT 10/12/2023 | G2692M129 |
| — | SCHULTZE SPL PURP ACQUISITIO | 300,000 | $2.985M | 0.2% | $9.95 | — | UNIT 12/31/2023 | 80821R208 |
| XJPIX | NUVEEN PFD & INCOME TERM FD | 145,482 | $2.965M | 0.2% | $20.38 | — | COM | 67075A106 |
| — | HAYMAKER ACQUISITION CORP | 294,996 | $2.959M | 0.2% | $9.76 | — | COM | 420870107 |
| — | FIRST TR HIGH INCOME L/S FD | 222,049 | $2.953M | 0.2% | $13.30 | — | COM | 33738E109 |
| — | EATON VANCE NJ MUNI INCOME T | 263,928 | $2.951M | 0.2% | $11.28 | — | SH BEN INT | 27826V106 |
| — | BLACKSTONE GSO STRATEGIC CR | 211,176 | $2.904M | 0.2% | $13.75 | — | COM SHS BEN IN | 09257R101 |
| — | NUVEEN MUN VALUE FD INC | 313,634 | $2.904M | 0.2% | $9.26 | — | COM | 670928100 |
| — | EATON VANCE TAX ADV BD OPT | 334,773 | $2.852M | 0.2% | $8.52 | — | COM SH BEN INT | 27829M103 |
| XPCKX | PIMCO CALIF MUN INCOME FD II | 346,696 | $2.722M | 0.2% | $7.85 | — | COM | 72200M108 |
| — | ROYCE VALUE TR INC | 218,685 | $2.567M | 0.2% | $11.74 | — | COM | 780910105 |
| — | OPES ACQUISITION CORP | 250,000 | $2.488M | 0.1% | $9.70 | — | COM | 68373P100 |
| — | DREYFUS ALCENTRA GBL CR INCO | 307,309 | $2.449M | 0.1% | $7.97 | — | COM | 26189A105 |
| — | BIG ROCK PARTNERS ACQUISI CO | 239,998 | $2.448M | 0.1% | $9.94 | — | COM | 089482103 |
| — | BLACKROCK MUNIHLDNGS CALI QL | 199,123 | $2.447M | 0.1% | $12.29 | — | COM | 09254L107 |
| VWO | VANGUARD INTL EQUITY INDEX F FTSE EMR MKT ETF | 63,796 | $2.435M | 0.1% | $39.35 | — | COM | 922042858 |
| — | INDIA FD INC | 118,115 | $2.384M | 0.1% | $23.85 | — | COM | 454089103 |
| — | BLACKSTONE GSO FLTING RTE FU | 150,131 | $2.341M | 0.1% | $15.59 | — | COM | 09256U105 |
| — | MODERN MEDIA ACQUISITION | 228,000 | $2.323M | 0.1% | $9.80 | — | COM | 60765P103 |
| — | BARINGS GLOBAL SHORT DURATIO | 144,624 | $2.289M | 0.1% | $15.83 | — | COM | 06760L100 |
| — | KBL MERGER CORP IV | 220,375 | $2.248M | 0.1% | $9.71 | — | COM | 48242A104 |
| — | PURE ACQUISITION CORP | 224,996 | $2.216M | 0.1% | $9.65 | — | COM | 74621Q106 |
| — | INVESCO MUN TR | 200,152 | $2.212M | 0.1% | $11.05 | — | COM | 46131J103 |
| — | TWELVE SEAS INVESTMENT COMPA | 225,000 | $2.205M | 0.1% | $9.60 | — | COM | G9145A107 |
| — | SPECIAL OPPORTUNITIES FD INC | 184,656 | $2.133M | 0.1% | $12.99 | — | COM | 84741T104 |
| VEA | VANGUARD TAX MANAGED INTL FD FTSE DEV MKT ETF | 55,877 | $2.069M | 0.1% | $41.26 | — | COM | 921943858 |
| — | ALBERTON ACQUISITION CORP | 200,000 | $2.018M | 0.1% | $10.09 | — | UNIT 04/22/2020 | G35006116 |
| — | CHARDAN HEALTHCARE ACQUISITI | 200,000 | $2.002M | 0.1% | $10.01 | — | UNIT 12/13/2023 | 15957A207 |
| — | UNION ACQUISITION CORP | 200,000 | $2M | 0.1% | $9.69 | — | COM | G9366W101 |
| — | BOXWOOD MERGER CORP | 200,000 | $1.992M | 0.1% | $9.96 | — | UNIT 11/26/2025 | 10319T200 |
| — | AMCI ACQUISITION CORP | 200,000 | $1.99M | 0.1% | $9.95 | — | UNIT 01/07/2019 | 00165R200 |
| — | MUDRICK CAP ACQUISITION CORP | 200,000 | $1.976M | 0.1% | $9.64 | — | COM | 624745105 |
| — | MEXICO EQUITY & INCOME FD | 195,608 | $1.956M | 0.1% | $10.62 | — | COM | 592834105 |
| — | LEGACY ACQUISITION CORP | 200,000 | $1.95M | 0.1% | $9.64 | — | COM | 524643103 |
| — | BLACK RIDGE ACQUISITION CORP | 191,057 | $1.92M | 0.1% | $9.65 | — | COM | 09216T107 |
| — | EATON VANCE HIGH INCOME 2021 | 208,876 | $1.89M | 0.1% | $9.05 | — | COM SHS BEN IN | 27829W101 |
| — | GORDON POINTE ACQUISITION CO | 175,000 | $1.75M | 0.1% | $9.73 | — | COM | 382788107 |
| — | PIMCO INCOME STRATEGY FUND I | 181,707 | $1.75M | 0.1% | $9.63 | — | COM | 72201J104 |
| — | WESTERN ASSET INTM MUNI FD I | 208,755 | $1.739M | 0.1% | $8.39 | — | COM | 958435109 |
| — | BLACKROCK RES & COMM STRAT T | 233,996 | $1.657M | 0.1% | $8.52 | — | COM | 09257A108 |
| — | OHA INVT CORP | 1,640,387 | $1.64M | 0.1% | $3.42 | — | COM | 67091U102 |
| — | PIMCO DYNAMIC INCOME FD | 54,902 | $1.601M | 0.1% | $29.16 | — | COM | 72201Y101 |
| — | MORGAN STANLEY EM MKTS DM DE | 262,638 | $1.589M | 0.1% | $11.32 | — | COM | 617477104 |
| — | MTECH ACQUISITION CORP | 155,000 | $1.564M | 0.1% | $9.81 | — | COM | 55378W107 |
| — | DREYFUS STRATEGIC MUN BD FD | 222,363 | $1.545M | 0.1% | $6.95 | — | COM | 26202F107 |
| — | NUVEEN NORTH CAROLINA QLTY M | 130,739 | $1.538M | 0.1% | $11.76 | — | COM | 67060P100 |
| — | MEGALITH FINL ACQUISITION CO | 150,000 | $1.514M | 0.1% | $10.10 | — | UNIT 09/30/2025 | 58518F208 |
| — | CF FIN ACQUISITION CORP | 150,000 | $1.5M | 0.1% | $10.00 | — | UNIT 04/30/2025 | 12528N206 |
| — | TRIDENT ACQUISITIONS CORP | 150,000 | $1.495M | 0.1% | $9.75 | — | COM | 89615T106 |
| — | FINTECH ACQUISITION CORP III | 150,000 | $1.494M | 0.1% | $9.96 | — | UNIT 12/01/2023 | 31811A309 |
| — | INVESCO ADVANTAGE MUNICIPAL | 150,267 | $1.486M | 0.1% | $9.89 | — | SH BEN INT | 46132E103 |
| — | THUNDER BRIDGE ACQUISITION L | 150,000 | $1.478M | 0.1% | $9.71 | — | COM | G8857R100 |
| — | VECTOIQ ACQUISITION CORP | 149,999 | $1.462M | 0.1% | $9.58 | — | COM | 92243N103 |
| — | DWS MUN INCOME TR NEW | 137,568 | $1.411M | 0.1% | $10.26 | — | COM | 233368109 |
| — | BLACKROCK MUNIYIELD NY QLTY | 121,322 | $1.389M | 0.1% | $11.45 | — | COM | 09255E102 |
| — | BISON CAP ACQUISITION CORP | 125,000 | $1.296M | 0.1% | $9.87 | — | COM | G1142P104 |
| — | NUVEEN NEW YORK QLT MUN INC | 104,200 | $1.274M | 0.1% | $12.23 | — | COM | 67066X107 |
| — | TENZING ACQUISITION CORP | 125,000 | $1.258M | 0.1% | $10.06 | — | UNIT 08/24/2024 | G8708A124 |
| — | HL ACQUISITIONS | 125,000 | $1.231M | 0.1% | $9.56 | — | COM | G4603R106 |
| — | TIBERIUS ACQUISITION CORP | 125,000 | $1.224M | 0.1% | $9.61 | — | COM | 88633A107 |
| — | DREYFUS MUN INCOME INC | 157,434 | $1.2M | 0.1% | $7.62 | — | COM | 26201R102 |
| TOTA | TOTTENHAM ACQUISITION I LTD | 118,000 | $1.168M | 0.1% | $9.70 | — | COM | G8959N106 |
| — | CONSTELLATION ALPHA CAP | 112,469 | $1.152M | 0.1% | $9.75 | — | COM | G2379F108 |
| — | INVESCO QUALITY MUNI INC TRS | 98,290 | $1.094M | 0.1% | $11.13 | — | COM | 46133G107 |
| OCCI | OFS CREDIT COMPANY INC | 71,208 | $1.086M | 0.1% | $15.25 | — | COM | 67111Q107 |
| — | COHEN & STEERS LTD DUR PFD I | 49,895 | $1.079M | 0.1% | $21.63 | — | COM | 19248C105 |
| — | BLACKROCK MUNIHLDGS NY QLTY | 88,177 | $1.051M | 0.1% | $11.92 | — | COM | 09255C106 |
| — | RMR REAL ESTATE INCOME FUND | 69,006 | $1.048M | 0.1% | $16.44 | — | COM | 76970B101 |
| — | FIRST TR ABERDEEN GLBL OPP F | 108,860 | $1.017M | 0.1% | $9.34 | — | COM | 337319107 |
| — | LONGEVITY ACQUISITION CORP | 100,000 | $1.015M | 0.1% | $10.24 | — | UNIT 08/29/2024 | G56372108 |
| — | NUVEEN ENHANCED MUN VALUE FD | 77,512 | $1.001M | 0.1% | $12.91 | — | COM | 67074M101 |
| — | EDTECHX HLDGS ACQUISITION CO | 100,000 | $998K | 0.1% | $9.98 | — | UNIT 12/31/2025 | 28138X202 |
| — | CHASERG TECHNLGY ACQUISITN C UNIT 09/30/2023 | 100,000 | $998K | 0.1% | $9.98 | — | UNIT 09/30/2023 | 16166A202 |
| — | PIMCO MUNICIPAL INCOME FD | 78,350 | $983K | 0.1% | $12.55 | — | COM | 72200R107 |
| — | MFS CALIF MUN FD | 98,856 | $983K | 0.1% | $10.05 | — | COM | 59318C106 |
| — | LF CAP ACQUISITION CORP | 100,000 | $978K | 0.1% | $9.60 | — | COM | 50200K108 |
| — | ALLEGRO MERGER CORP | 100,000 | $977K | 0.1% | $9.53 | — | COM | 01749N103 |
| — | TRINITY MERGER CORP | 96,000 | $956K | 0.1% | $9.77 | — | COM | 89653L106 |
| — | EATON VANCE PA MUNI INCOME T | 82,362 | $911K | 0.1% | $11.13 | — | SH BEN INT | 27826T101 |
| XXCHNXX | CHINA FD INC | 46,055 | $777K | 0.0% | $20.54 | — | COM | 169373107 |
| — | VIRTUS GLOBAL MULTI-SEC INC | 69,453 | $764K | 0.0% | $11.00 | — | COM | 92829B101 |
| — | GREENLAND ACQUISITIN CORPORA | 75,000 | $733K | 0.0% | $9.67 | — | COM | G40981139 |
| — | BLACKROCK NY MUN INCOME TR I | 58,332 | $722K | 0.0% | $12.38 | — | COM | 09249R102 |
| XEFLX | EATON VANCE FLTNG RATE 2022 | 77,895 | $685K | 0.0% | $8.79 | — | COM | 27831H100 |
| — | EATON VANCE MA MUNI INCOME T | 52,897 | $647K | 0.0% | $12.36 | — | SH BEN INT | 27826E104 |
| — | EATON VANCE PA MUN BD FD | 49,543 | $565K | 0.0% | $11.40 | — | COM | 27828W102 |
| — | EATON VANCE MUNI INCOME TRUS | 49,841 | $555K | 0.0% | $11.14 | — | SH BEN INT | 27826U108 |
| — | NUVEEN FLTNG RTE INCM OPP FD | 60,856 | $550K | 0.0% | $10.30 | — | COM | 6706EN100 |
| — | EATON VANCE OH MUNI INCOME T | 43,735 | $533K | 0.0% | $12.23 | — | SH BEN INT | 27826G109 |
| XBNYX | BLACKROCK N Y MUN INCOME TR | 43,801 | $532K | 0.0% | $12.15 | — | SH BEN INT | 09248L106 |
| — | MFS MUN INCOME TR | 85,866 | $529K | 0.0% | $6.16 | — | SH BEN INT | 552738106 |
| — | EATON VANCE OHIO MUNICIPAL B | 44,549 | $511K | 0.0% | $11.36 | — | COM | 27828L106 |
| — | CHURCHILL CAP CORP | 50,000 | $506K | 0.0% | $10.14 | — | UNIT 99/99/9999 | 17142R202 |
| — | FAR PT ACQUISITION CORP | 49,995 | $482K | 0.0% | $9.68 | — | COM | 30734W109 |
| — | NUVEEN HIGH INCOME NOVEMBER | 50,852 | $457K | 0.0% | $8.99 | — | COM | 67077N106 |
| — | WELLS FARGO MULTI SECTOR INC | 41,499 | $456K | 0.0% | $10.99 | — | COM | 94987D101 |
| — | EATON VANCE N J MUN BD FD | 36,191 | $423K | 0.0% | $11.76 | — | COM | 27828R103 |
| — | BLACKSTONE GSO LNG SHRT CR I | 27,639 | $381K | 0.0% | $13.78 | — | COM SHS BN INT | 09257D102 |
| XMQTX | BLACKROCK MUNIY QUALITY FD I | 32,425 | $370K | 0.0% | $11.41 | — | COM | 09254G108 |
| — | VOYA EMERGING MKTS HIGH DIVI | 46,853 | $342K | 0.0% | $8.07 | — | COM | 92912P108 |
| — | WESTERN ASSET MUN DEF OPP TR | 14,769 | $290K | 0.0% | $19.64 | — | COM | 95768A109 |
| NESRW | NATIONAL ENERGY SERVICES REU | 216,015 | $270K | 0.0% | $0.40 | — | *W EXP 05/05/2022 | G6375R115 |
| — | PCM FUND INC | 26,264 | $268K | 0.0% | $10.20 | — | COM | 69323T101 |
| — | BLACKROCK NY MUNICIPAL BOND | 16,420 | $208K | 0.0% | $12.88 | — | COM | 09249P106 |
| — | NEUBERGER BERMAN MUNI FD INC | 16,608 | $208K | 0.0% | $12.52 | — | COM | 64124P101 |
| — | COLLIER CREEK HOLDINGS | 20,000 | $201K | 0.0% | $10.05 | — | UNIT 99/99/9999 | G22707122 |
| — | NUVEEN CR OPPORTUNITIES 2022 | 23,000 | $196K | 0.0% | $8.52 | — | COM | 67075U102 |
| — | NUVEEN MUN 2021 TARGET TERM | 19,256 | $179K | 0.0% | $9.30 | — | COM | 670687102 |
| — | ONE MADISON CORP | 199,999 | $156K | 0.0% | $1.03 | — | *W EXP 99/99/999 | G6772P126 |
| — | MFS MULTIMARKET INCOME TR | 28,974 | $150K | 0.0% | $6.40 | — | SH BEN INT | 552737108 |
| — | INTERNATIONAL MNY EXPRESS IN | 62,501 | $150K | 0.0% | $2.35 | — | *W EXP 01/19/202 | 46005L119 |
| — | EATON VANCE MUN BD FD II | 13,450 | $146K | 0.0% | $10.86 | — | COM | 27827K109 |
| — | MFS HIGH YIELD MUN TR | 32,830 | $135K | 0.0% | $4.11 | — | SH BEN INT | 59318E102 |
| — | NRC GROUP HLDGS CORP | 168,750 | $127K | 0.0% | $0.75 | — | *W EXP 10/17/202 | 629375114 |
| — | PURE ACQUISITION CORP | 112,498 | $124K | 0.0% | $1.28 | — | *W EXP 04/17/202 | 74621Q114 |
| — | LEISURE ACQUISITION CORP | 153,297 | $123K | 0.0% | $0.81 | — | *W EXP 12/05/201 | 52539T115 |
| — | HAYMAKER ACQUISITION CORP | 147,498 | $122K | 0.0% | $0.95 | — | *W EXP 10/27/202 | 420870115 |
| — | BLACKROCK MUNIENHANCED FD IN | 12,200 | $120K | 0.0% | $9.84 | — | COM | 09253Y100 |
| — | CM SEVEN STAR ACQUISITION CO | 300,000 | $120K | 0.0% | $0.32 | — | RIGHT 08/21/2022 | G2345N136 |
| — | INVESCO CALIF VALUE MUN INC | 10,173 | $114K | 0.0% | $11.21 | — | COM | 46132H106 |
| — | BLACK RIDGE ACQUISITION CORP | 300,000 | $102K | 0.0% | $0.33 | — | *W EXP 07/10/202 | 09216T115 |
| — | PENSARE ACQUISITION CORP | 349,994 | $98,000 | 0.0% | $0.50 | — | RIGHT 99/99/9999 | 70957E121 |
| — | MTECH ACQUISITION CORP | 155,000 | $93,000 | 0.0% | $0.73 | — | *W EXP 08/01/202 | 55378W115 |
| — | GDL FUND | 10,303 | $93,000 | 0.0% | $9.03 | — | COM | 361570104 |
| — | MUDRICK CAP ACQUISITION CORP | 200,000 | $92,000 | 0.0% | $0.64 | — | *W EXP 02/12/202 | 624745113 |
| — | TWELVE SEAS INVESTMENT COMPA | 225,000 | $79,000 | 0.0% | $0.42 | — | RIGHT 12/22/2019 | G9145A131 |
| — | UNION ACQUISITION CORP | 200,000 | $78,000 | 0.0% | $0.32 | — | RIGHT 12/02/2019 | G9366W135 |
| — | VECTOIQ ACQUISITION CORP | 149,999 | $75,000 | 0.0% | $0.52 | — | *W EXP 05/11/202 | 92243N111 |
| — | U S WELL SVCS INC | 150,000 | $74,000 | 0.0% | $0.49 | — | *W EXP 03/15/202 | 91274U119 |
| — | OPES ACQUISITION CORP | 250,000 | $74,000 | 0.0% | $0.36 | — | *W EXP 03/13/202 | 68373P118 |
| — | BIG ROCK PARTNERS ACQUISI CO | 239,998 | $72,000 | 0.0% | $0.46 | — | RIGHT 12/01/2022 | 089482129 |
| — | LEGACY ACQUISITION CORP | 200,000 | $68,000 | 0.0% | $0.44 | — | *W EXP 11/30/202 | 524643111 |
| — | KBL MERGER CORP IV | 230,000 | $64,000 | 0.0% | $0.29 | — | RIGHT 03/22/2019 | 48242A120 |
| — | TWELVE SEAS INVESTMENT COMPA | 225,000 | $61,000 | 0.0% | $0.36 | — | *W EXP 12/22/202 | G9145A115 |
| — | FALCON MINERALS CORP | 87,500 | $56,000 | 0.0% | $1.70 | — | *W EXP 07/21/202 | 30607B208 |
| — | THUNDER BRIDGE ACQUISITION L | 150,000 | $56,000 | 0.0% | $0.45 | — | *W EXP 01/01/202 | G8857R126 |
| — | HL ACQUISITIONS CORP | 125,000 | $56,000 | 0.0% | $0.40 | — | RIGHT 07/17/2023 | G4603R130 |
| — | UNION ACQUISITION CORP | 200,000 | $52,000 | 0.0% | $0.35 | — | *W EXP 07/01/202 | G9366W127 |
| — | MODERN MEDIA ACQUISITION | 230,000 | $48,000 | 0.0% | $0.39 | — | RIGHT 99/99/9999 | 60765P129 |
| — | TIBERIUS ACQUISITION CORP | 125,000 | $44,000 | 0.0% | $0.56 | — | *W EXP 02/28/202 | 88633A115 |
| — | PHUNWARE INC | 200,000 | $44,000 | 0.0% | $0.22 | — | *W EXP 08/11/202 | 71948P118 |
| — | PENSARE ACQUISITION CORP | 174,997 | $44,000 | 0.0% | $9.67 | — | *W EXP 07/27/202 | 70957E105 |
| — | CM SEVEN STAR ACQUISITION CO | 150,000 | $43,000 | 0.0% | $0.29 | — | *W EXP 08/21/202 | G2345N110 |
| — | LF CAP ACQUISITION CORP | 100,000 | $43,000 | 0.0% | $0.55 | — | *W EXP 06/22/202 | 50200K116 |
| — | GORDON POINTE ACQUISITION CO | 175,000 | $42,000 | 0.0% | $0.56 | — | *W EXP 07/30/202 | 382788115 |
| — | TRIDENT ACQUISITIONS CORP | 150,000 | $42,000 | 0.0% | $0.32 | — | *W EXP 05/09/202 | 89615T114 |
| — | BISON CAP ACQUISITION CORP | 125,000 | $38,000 | 0.0% | $0.38 | — | RIGHT 03/20/2019 | G1142P138 |
| — | HL ACQUISITIONS CORP | 125,000 | $38,000 | 0.0% | $0.36 | — | *W EXP 06/21/202 | G4603R122 |
| — | CONCRETE PUMPING HLDGS INC | 50,000 | $37,000 | 0.0% | $0.74 | — | *W EXP 08/01/202 | 206704116 |
| — | BIG ROCK PARTNERS ACQUISI CO | 119,999 | $36,000 | 0.0% | $0.40 | — | *W EXP 12/01/202 | 089482111 |
| — | TOTTENHAM ACQUISITION I LTD | 118,000 | $35,000 | 0.0% | $0.37 | — | RIGHT 06/05/2020 | G8959N122 |
| — | TRINITY MERGER CORP | 96,000 | $35,000 | 0.0% | $0.40 | — | *W EXP 05/11/202 | 89653L114 |
| — | GREENLAND ACQUISITIN CORPORA | 75,000 | $34,000 | 0.0% | $0.36 | — | RIGHT 04/27/2025 | G40981113 |
| — | ALLEGRO MERGER CORP | 100,000 | $33,000 | 0.0% | $0.35 | — | *W EXP 01/06/202 | 01749N111 |
| — | ALLEGRO MERGER CORP | 100,000 | $30,000 | 0.0% | $0.40 | — | RIGHT 12/31/2023 | 01749N129 |
| — | BLACK RIDGE ACQUISITION CORP | 100,000 | $30,000 | 0.0% | $0.28 | — | RIGHT 07/10/2019 | 09216T123 |
| — | MODERN MEDIA ACQUISITION | 115,000 | $29,000 | 0.0% | $0.55 | — | *W EXP 05/17/202 | 60765P111 |
| — | TOTTENHAM ACQUISITION I LTD | 118,000 | $24,000 | 0.0% | $0.20 | — | *W EXP 05/06/202 | G8959N114 |
| — | REEBONZ HLDG LT | 11,998 | $23,000 | 0.0% | $1.92 | — | COM | G7457R106 |
| — | CONSTELLATION ALPHA CAP CORP | 120,000 | $23,000 | 0.0% | $0.31 | — | RIGHT 99/99/9999 | G2379F132 |
| — | FAR PT ACQUISITION CORP | 16,665 | $22,000 | 0.0% | $1.62 | — | *W EXP 06/01/202 | 30734W117 |
| — | KBL MERGER CORP IV | 230,000 | $21,000 | 0.0% | $0.20 | — | *W EXP 01/15/202 | 48242A112 |
| — | GTY TECHNOLOGY HOLDINGS INC | 26,667 | $20,000 | 0.0% | $1.16 | — | *W EXP 10/25/202 | G4182A128 |
| — | SMAAASH ENTERTAINMENT INC | 97,950 | $18,000 | 0.0% | $0.18 | — | *W EXP 05/22/202 | 831550116 |
| — | CONSTELLATION ALPHA CAP CORP | 120,000 | $18,000 | 0.0% | $0.22 | — | *W EXP 03/23/202 | G2379F116 |
| — | GREENLAND ACQUISITIN CORPORA | 75,000 | $15,000 | 0.0% | $0.27 | — | *W EXP 03/03/202 | G40981105 |
| — | BISON CAP ACQUISITION CORP | 62,500 | $15,000 | 0.0% | $0.37 | — | *W EXP 06/20/202 | G1142P112 |
| — | HUNTER MARITIME ACQUISITION | 75,001 | $13,000 | 0.0% | $0.80 | — | *W EXP 11/17/202 | Y37828129 |
| — | REEBONZ HLDG LTD | 60,000 | $8,000 | 0.0% | $0.13 | — | *W EXP 12/19/202 | G7457R114 |