Location: New York, NY
CIK: 0001510281 · Show all filings
Period: Q3 2017 (← Previous) (Next →)
Filing Date: Nov 14, 2017
Total Value: $987M (93.8% shares, 6.2% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | BLACKROCK DEBT STRAT FD INC | 8,118,988 | $94.75M | 9.6% | $11.67 | $11.34 | — | COM NEW | 09255R202 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 7,379,266 | $82.35M | 8.3% | $11.16 | $10.04 | — | SH BEN INT | 18914E106 |
| — | ALPINE TOTAL DYNAMIC DIVID F | 8,459,011 | $76.13M | 7.7% | $9.00 | $8.19 | — | COM SH BEN INT N | 021060207 |
| — | CHESAPEAKE ENERGY CORP | 44,450,000 | $41M | 4.2% | $0.92 | $0.94 | — | NOTE 5.500% 9/1 | 165167CS4 |
| — | BARCLAYS BK PLC | 1,000,000 | $39.19M | 4.0% | $39.19 | — | — | Call | 06746L422 |
| — | GENERAL AMERN INVS INC | 1,046,226 | $37.67M | 3.8% | $36.01 | $33.29 | — | COM | 368802104 |
| — | CLOUGH GLOBAL EQUITY FD | 2,546,667 | $33.77M | 3.4% | $13.26 | $11.45 | — | COM | 18914C100 |
| CYH | COMMUNITY HEALTH SYS INC NEW | 3,609,802 | $27.72M | 2.8% | $7.68 | $9.25 | -15.7% | COM | 203668108 |
| MBI | MBIA INC | 3,011,200 | $27.2M | 2.8% | $9.03 * | $4.38 | -0.2% | Put | 55262C100 |
| AAL | AMERICAN AIRLS GROUP INC | 550,000 | $26.12M | 2.6% | $47.49 | — | — | Put | 02376R102 |
| — | TEMPLETON EMERG MKTS INCOME | 2,200,436 | $25.46M | 2.6% | $11.57 | $11.51 | — | COM | 880192109 |
| — | CLOUGH GLOBAL DIVND AND INC | 1,814,150 | $25.23M | 2.6% | $13.91 | $12.19 | — | COM | 18913Y103 |
| — | VALEANT PHARMACEUTICALS INTL | 1,349,059 | $19.33M | 2.0% | $14.33 | $13.98 | — | COM | 91911K102 |
| — | DELAWARE ENHANCED GBL DIV & | 1,579,736 | $18.74M | 1.9% | $11.86 | $10.86 | — | COM | 246060107 |
| — | DEUTSCHE HIGH INCOME OPPORT | 1,214,607 | $18.38M | 1.9% | $15.13 | $14.21 | — | COM | 25158Y102 |
| AAPL | APPLE INC | 116,031 | $17.88M | 1.8% | $154.12 * | $36.15 | 0.0% | COM | 037833100 |
| TSLA | TESLA INC | 52,100 | $17.77M | 1.8% | $341.09 | — | — | Put | 88160R101 |
| — | CREDIT SUISSE ASSET MGMT INC | 5,149,894 | $17.46M | 1.8% | $3.39 | $2.97 | — | COM | 224916106 |
| — | ADVENT CLAYMORE CV SECS & IN | 1,070,317 | $17.35M | 1.8% | $16.21 | $13.74 | — | COM | 00764C109 |
| THC | TENET HEALTHCARE CORP | 1,025,976 | $16.86M | 1.7% | $16.43 * | $18.19 | -6.8% | COM NEW | 88033G407 |
| — | ADVENT CLAY CONV SEC INC FD | 2,698,183 | $16.84M | 1.7% | $6.24 | $5.54 | — | COM | 007639107 |
| — | MORGAN STANLEY EMER MKTS DEB | 1,659,833 | $16.71M | 1.7% | $10.07 | $9.87 | — | COM | 61744H105 |
| — | ANADARKO PETE CORP | 302,100 | $14.76M | 1.5% | $48.85 | $48.59 | — | Put | 032511107 |
| — | WELLS FARGO MULTI SECTOR INC | 1,095,122 | $14.7M | 1.5% | $13.42 | $12.52 | — | COM | 94987D101 |
| — | WELLS FARGO GLOBAL DIVIDEND | 2,284,032 | $14.32M | 1.5% | $6.27 | $5.53 | — | COM | 94987C103 |
| GNW | GENWORTH FINL INC | 3,571,234 | $13.75M | 1.4% | $3.85 * | $4.27 | -16.5% | COM CL A | 37247D106 |
| — | LIBERTY ALL STAR EQUITY FD | 2,053,859 | $12.38M | 1.3% | $6.03 | $5.23 | — | SH BEN INT | 530158104 |
| — | INVESCO HIGH INCOME TR II | 807,399 | $12.19M | 1.2% | $15.10 | $14.21 | — | COM | 46131F101 |
| — | TESLA INC | 10,500,000 | $11.85M | 1.2% | $1.13 | $1.09 | — | NOTE 1.250% 3/0 | 88160RAC5 |
| — | LEGG MASON BW GLB INC OPP FD | 853,401 | $11.47M | 1.2% | $13.44 | $14.14 | — | COM | 52469B100 |
| — | DEUTSCHE MULTI-MKT INCOME TR | 1,267,504 | $11.36M | 1.2% | $8.96 | $8.30 | — | SHS | 25160E102 |
| — | ALLIANZGI NFJ DIVID INT & PR | 718,349 | $9.626M | 1.0% | $13.40 | $12.41 | — | COM | 01883A107 |
| — | OCEAN RIG UDW INC | 361,420 | $8.591M | 0.9% | $23.77 | $23.77 | — | SHS NEW | G66964118 |
| — | AVON PRODS INC | 2,836,381 | $6.609M | 0.7% | $2.33 | $3.46 | — | COM | 054303102 |
| — | AK STL HLDG CORP | 1,173,931 | $6.562M | 0.7% | $5.59 | $6.36 | — | COM | 001547108 |
| — | ALPINE GLOBAL DYNAMIC DIVD F | 612,408 | $6.498M | 0.7% | $10.61 | $8.77 | — | COM NEW | 02082E205 |
| — | NEUBERGER BERMAN HGH YLD FD | 524,128 | $6.373M | 0.6% | $12.16 | $12.88 | — | COM | 64128C106 |
| — | FIRST TR STRATEGIC HIGH INC | 426,231 | $5.801M | 0.6% | $13.61 | $12.35 | — | COM SHS NEW | 337353304 |
| — | HERTZ GLOBAL HLDGS INC | 236,051 | $5.278M | 0.5% | $22.36 | $14.58 | — | COM | 42806J106 |
| — | ROWAN COMPANIES PLC | 391,552 | $5.031M | 0.5% | $12.85 | $10.57 | — | SHS CL A | G7665A101 |
| SM | SM ENERGY CO | 267,473 | $4.745M | 0.5% | $17.74 * | $17.78 | -21.2% | COM | 78454L100 |
| — | SUPERVALU INC | 215,545 | $4.688M | 0.5% | $21.75 | $21.75 | — | COM NEW | 868536301 |
| — | CONSOL ENERGY INC | 268,903 | $4.555M | 0.5% | $16.94 | $15.89 | — | COM | 20854P109 |
| — | DIVIDEND & INCOME FUND | 310,255 | $3.99M | 0.4% | $12.86 | $11.66 | — | COM NEW | 25538A204 |
| — | WESTERN ASSET GLB HI INCOME | 371,268 | $3.82M | 0.4% | $10.29 | $10.20 | — | COM | 95766B109 |
| MBI | MBIA INC | 431,320 | $3.752M | 0.4% | $8.70 * | $4.38 | -0.2% | COM | 55262C100 |
| — | TESLA INC | 3,000,000 | $3.699M | 0.4% | $1.23 | $1.04 | — | NOTE 2.375% 3/1 | 88160RAD3 |
| OMF | ONEMAIN HLDGS INC | 126,033 | $3.553M | 0.4% | $28.19 * | $24.56 | +9.1% | COM | 68268W103 |
| NGD | NEW GOLD INC CDA | 896,387 | $3.326M | 0.3% | $3.71 * | $3.23 | +6.8% | COM | 644535106 |
| — | SOLARCITY CORP | 3,475,000 | $3.301M | 0.3% | $0.95 | $0.90 | — | NOTE 1.625%11/0 | 83416TAC4 |
| — | PENNEY J C INC | 857,871 | $3.268M | 0.3% | $3.81 | $6.16 | — | COM | 708160106 |
| — | BLACKROCK CORPOR HI YLD FD I | 280,843 | $3.174M | 0.3% | $11.30 | $11.07 | — | COM | 09255P107 |
| SGRY | SURGERY PARTNERS INC | 291,470 | $3.017M | 0.3% | $10.35 * | $14.30 | 0.0% | COM | 86881A100 |
| — | DYNEGY INC NEW DEL | 292,811 | $2.867M | 0.3% | $9.79 | $8.38 | — | COM | 26817R108 |
| — | ENERGY XXI GULF COAST INC | 260,601 | $2.695M | 0.3% | $10.34 | $29.97 | — | COM | 29276K101 |
| — | DELAWARE INVTS DIV & INCOME | 246,575 | $2.653M | 0.3% | $10.76 | $9.75 | — | COM | 245915103 |
| — | DEUTSCHE STRATEGIC INCOME TR | 200,716 | $2.501M | 0.3% | $12.46 | $11.53 | — | SHS | 25160F109 |
| — | PRUDENTIAL GLB SHT DUR HG YL | 135,406 | $2.022M | 0.2% | $14.93 | $14.91 | — | COM | 74433A109 |
| — | ADVENT CLAYMORE ENH GRW & IN | 229,637 | $1.977M | 0.2% | $8.61 | $8.27 | — | COM | 00765E104 |
| — | WESTERN ASSET HGH YLD DFNDFD | 126,363 | $1.965M | 0.2% | $15.55 | $15.48 | — | COM | 95768B107 |
| — | MORGAN STANLEY EM MKTS DM DE | 241,723 | $1.943M | 0.2% | $8.04 | $12.74 | — | COM | 617477104 |
| — | WESTERN ASSET HIGH INCM OPP | 346,345 | $1.777M | 0.2% | $5.13 | $5.13 | — | COM | 95766K109 |
| — | FRONTIER COMMUNICATIONS CORP | 149,612 | $1.764M | 0.2% | $11.79 | $11.79 | — | COM NEW | 35906A306 |
| — | PENNEY J C INC | 154,100 | $1.658M | 0.2% | $10.76 | $6.16 | — | Put | 708160106 |
| — | VOYA GLBL ADV & PREM OPP FD | 136,544 | $1.572M | 0.2% | $11.51 | $10.81 | — | COM | 92912R104 |
| — | TESLA INC | 1,250,000 | $1.374M | 0.1% | $1.10 | $1.15 | — | NOTE 0.250% 3/0 | 88160RAB7 |
| — | OCWEN FINL CORP | 388,141 | $1.335M | 0.1% | $3.44 | $2.69 | — | COM NEW | 675746309 |
| — | BARRETT BILL CORP | 305,541 | $1.311M | 0.1% | $4.29 | $3.07 | — | COM | 06846N104 |
| — | HOSTESS BRANDS INC | 639,572 | $1.305M | 0.1% | $2.04 | $2.82 | — | *W EXP 11/04/202 | 44109J114 |
| — | ENSCO PLC | 199,430 | $1.191M | 0.1% | $5.97 | $5.50 | — | SHS CLASS A | G3157S106 |
| — | DEAN FOODS CO NEW | 103,060 | $1.121M | 0.1% | $10.88 | $10.88 | — | COM NEW | 242370203 |
| — | BLACKROCK MULTI-SECTOR INC T | 54,819 | $1.025M | 0.1% | $18.70 | $18.16 | — | COM | 09258A107 |
| — | SEADRILL LIMITED | 2,330,500 | $815K | 0.1% | $0.35 | — | — | Put | G7945E105 |
| UIS | UNISYS CORP | 94,077 | $800K | 0.1% | $8.50 * | $10.00 | -3.1% | COM NEW | 909214306 |
| — | ELLSWORTH GROWTH & INCOME FD | 79,071 | $732K | 0.1% | $9.26 | $7.60 | — | COM | 289074106 |
| — | ALLIANZGI EQUITY & CONV INCO | 34,744 | $719K | 0.1% | $20.69 | $20.69 | — | COM | 018829101 |
| — | PRUDENTIAL SHT DURATION HG Y | 46,388 | $708K | 0.1% | $15.26 | $15.26 | — | COM | 74442F107 |
| — | LAZARD WORLD DIVID & INCOME | 61,223 | $694K | 0.1% | $11.34 | $10.12 | — | COM | 521076109 |
| — | ABERDEEN CHILE FD INC | 75,240 | $631K | 0.1% | $8.39 | $8.39 | — | COM | 00301W105 |
| — | FIRST TR HIGH INCOME L/S FD | 36,104 | $614K | 0.1% | $17.01 | $15.56 | — | COM | 33738E109 |
| — | LAZARD GLB TTL RET&INCM FD I | 29,813 | $500K | 0.1% | $16.77 | $13.97 | — | COM | 52106W103 |
| — | PIONEER ENERGY SVCS CORP | 194,332 | $496K | 0.1% | $2.55 | $2.05 | — | COM | 723664108 |
| — | EUROPEAN EQUITY FUND | 45,222 | $438K | 0.0% | $9.69 | $7.72 | — | COM | 298768102 |
| XZFGX | VIRTUS TOTAL RETURN FUND INC | 31,366 | $409K | 0.0% | $13.04 | $12.24 | — | COM | 92837G100 |
| — | MFS CHARTER INCOME TR | 46,000 | $399K | 0.0% | $8.67 | $8.46 | — | SH BEN INT | 552727109 |
| — | CSI COMPRESSCO LP | 75,497 | $393K | 0.0% | $5.21 | $5.21 | — | COM UNIT | 12637A103 |
| — | ROYCE VALUE TR INC | 24,103 | $381K | 0.0% | $15.81 | $13.24 | — | COM | 780910105 |
| — | BROOKFIELD REAL ASSETS INCOM | 14,899 | $354K | 0.0% | $23.76 | $22.30 | — | SHS BEN INT | 112830104 |
| — | BANCROFT FUND LTD | 15,970 | $350K | 0.0% | $21.92 | $17.97 | — | COM | 059695106 |
| — | ROYCE MICRO-CAP TR INC | 35,582 | $334K | 0.0% | $9.39 | $9.39 | — | COM | 780915104 |
| — | WESTERN ASSET EMRG MKT DEBT | 17,621 | $277K | 0.0% | $15.72 | $15.09 | — | COM | 95766A101 |
| RIG | TRANSOCEAN LTD | 780,600 | $273K | 0.0% | $0.35 | — | — | Put | H8817H100 |
| — | PUTMAN HIGH INCOME SEC FUND | 30,173 | $269K | 0.0% | $8.92 | $8.28 | — | SHS BEN INT | 746779107 |
| — | GABELLI DIVD & INCOME TR | 11,779 | $264K | 0.0% | $22.41 | $22.41 | — | COM | 36242H104 |
| — | ARES DYNAMIC CR ALLOCATION F | 16,007 | $263K | 0.0% | $16.43 | $16.43 | — | COM | 04014F102 |
| ASHR | DBX ETF TR | 8,900 | $260K | 0.0% | $29.21 | $24.49 | — | DBXTR HAR CS 300 | 233051879 |
| — | ANADARKO PETE CORP | 4,347 | $212K | 0.0% | $48.77 | $48.59 | — | COM | 032511107 |
| — | FIRST TR ABERDEEN GLBL OPP F | 16,112 | $190K | 0.0% | $11.79 | $10.97 | — | COM SHS | 337319107 |
| RDN | RADIAN GROUP INC | 10,000 | $187K | 0.0% | $18.70 * | $9.38 | +53.1% | COM | 750236101 |
| — | LMP CAP & INCOME FD INC | 11,589 | $169K | 0.0% | $14.58 | $15.04 | — | COM | 50208A102 |
| — | ALLIANCEBERNSTEIN GBL HGH IN | 12,210 | $159K | 0.0% | $13.02 | $13.02 | — | COM | 01879R106 |
| — | COHEN & STEERS GLOBAL INC BL | 15,725 | $153K | 0.0% | $9.73 | $9.73 | — | COM | 19248M103 |
| XXHYBXX | NEW AMER HIGH INCOME FD INC | 15,050 | $150K | 0.0% | $9.97 | $8.66 | — | COM NEW | 641876800 |
| — | NUVEEN MULTI MKT INCOME FD | 17,285 | $131K | 0.0% | $7.58 | $7.51 | — | COM | 67075J107 |
| — | FRANKLIN UNVL TR | 10,145 | $74,000 | 0.0% | $7.29 | $7.29 | — | SH BEN INT | 355145103 |
| RDN | RADIAN GROUP INC | 119,300 | $42,000 | 0.0% | $0.35 * | $9.38 | +53.1% | Put | 750236101 |
| — | COMMUNITY HEALTH SYS INC NEW | 795,108 | $9,000 | 0.0% | $0.01 | $0.06 | — | RIGHT 99/99/9999 | 203668116 |