CIK: 0001510281 · Show all filings
Period: Q3 2017 (← Previous) (Next →)
Filing Date: Nov 14, 2017
Total Value ($000): $986,855 (93.8% shares, 6.2% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | BLACKROCK DEBT STRAT FD INC | 8,118,988 | $94,749 | 9.6% | $11.34 | — | COM NEW | 09255R202 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 7,379,266 | $82,353 | 8.3% | $10.04 | — | SH BEN INT | 18914E106 |
| — | ALPINE TOTAL DYNAMIC DIVID F | 8,459,011 | $76,131 | 7.7% | $8.19 | — | COM SH BEN INT N | 021060207 |
| — | CHESAPEAKE ENERGY CORP | 44,450,000 | $41,004 | 4.2% | $0.94 | — | NOTE 5.500% 9/1 | 165167CS4 |
| — | BARCLAYS BK PLC | 1,000,000 | $39,190 | 4.0% | — | — | Call | 06746L422 |
| — | GENERAL AMERN INVS INC | 1,046,226 | $37,675 | 3.8% | $33.29 | — | COM | 368802104 |
| — | CLOUGH GLOBAL EQUITY FD | 2,546,667 | $33,769 | 3.4% | $11.45 | — | COM | 18914C100 |
| CYH | COMMUNITY HEALTH SYS INC NEW | 3,609,802 | $27,723 | 2.8% | $9.25 | -15.7% | COM | 203668108 |
| MBI | MBIA INC | 3,011,200 | $27,196 | 2.8% | $4.38 | -0.2% | Put | 55262C100 |
| AAL | AMERICAN AIRLS GROUP INC | 550,000 | $26,120 | 2.6% | — | — | Put | 02376R102 |
| — | TEMPLETON EMERG MKTS INCOME | 2,200,436 | $25,459 | 2.6% | $11.51 | — | COM | 880192109 |
| — | CLOUGH GLOBAL DIVND AND INC | 1,814,150 | $25,235 | 2.6% | $12.19 | — | COM | 18913Y103 |
| — | VALEANT PHARMACEUTICALS INTL | 1,349,059 | $19,332 | 2.0% | $13.98 | — | COM | 91911K102 |
| — | DELAWARE ENHANCED GBL DIV & | 1,579,736 | $18,736 | 1.9% | $10.86 | — | COM | 246060107 |
| — | DEUTSCHE HIGH INCOME OPPORT | 1,214,607 | $18,377 | 1.9% | $14.21 | — | COM | 25158Y102 |
| AAPL | APPLE INC | 116,031 | $17,883 | 1.8% | $36.15 | 0.0% | COM | 037833100 |
| TSLA | TESLA INC | 52,100 | $17,771 | 1.8% | — | — | Put | 88160R101 |
| — | CREDIT SUISSE ASSET MGMT INC | 5,149,894 | $17,458 | 1.8% | $2.97 | — | COM | 224916106 |
| — | ADVENT CLAYMORE CV SECS & IN | 1,070,317 | $17,350 | 1.8% | $13.74 | — | COM | 00764C109 |
| THC | TENET HEALTHCARE CORP | 1,025,976 | $16,857 | 1.7% | $18.19 | -6.8% | COM NEW | 88033G407 |
| — | ADVENT CLAY CONV SEC INC FD | 2,698,183 | $16,837 | 1.7% | $5.54 | — | COM | 007639107 |
| — | MORGAN STANLEY EMER MKTS DEB | 1,659,833 | $16,715 | 1.7% | $9.87 | — | COM | 61744H105 |
| — | ANADARKO PETE CORP | 302,100 | $14,757 | 1.5% | $48.59 | — | Put | 032511107 |
| — | WELLS FARGO MULTI SECTOR INC | 1,095,122 | $14,697 | 1.5% | $12.52 | — | COM | 94987D101 |
| — | WELLS FARGO GLOBAL DIVIDEND | 2,284,032 | $14,321 | 1.5% | $5.53 | — | COM | 94987C103 |
| GNW | GENWORTH FINL INC | 3,571,234 | $13,749 | 1.4% | $4.27 | -16.5% | COM CL A | 37247D106 |
| — | LIBERTY ALL STAR EQUITY FD | 2,053,859 | $12,385 | 1.3% | $5.23 | — | SH BEN INT | 530158104 |
| — | INVESCO HIGH INCOME TR II | 807,399 | $12,192 | 1.2% | $14.21 | — | COM | 46131F101 |
| — | TESLA INC | 10,500,000 | $11,845 | 1.2% | $1.09 | — | NOTE 1.250% 3/0 | 88160RAC5 |
| — | LEGG MASON BW GLB INC OPP FD | 853,401 | $11,470 | 1.2% | $14.14 | — | COM | 52469B100 |
| — | DEUTSCHE MULTI-MKT INCOME TR | 1,267,504 | $11,357 | 1.2% | $8.30 | — | SHS | 25160E102 |
| — | ALLIANZGI NFJ DIVID INT & PR | 718,349 | $9,626 | 1.0% | $12.41 | — | COM | 01883A107 |
| — | OCEAN RIG UDW INC | 361,420 | $8,591 | 0.9% | $23.77 | — | SHS NEW | G66964118 |
| — | AVON PRODS INC | 2,836,381 | $6,609 | 0.7% | $3.46 | — | COM | 054303102 |
| — | AK STL HLDG CORP | 1,173,931 | $6,562 | 0.7% | $6.36 | — | COM | 001547108 |
| — | ALPINE GLOBAL DYNAMIC DIVD F | 612,408 | $6,498 | 0.7% | $8.77 | — | COM NEW | 02082E205 |
| — | NEUBERGER BERMAN HGH YLD FD | 524,128 | $6,373 | 0.6% | $12.88 | — | COM | 64128C106 |
| — | FIRST TR STRATEGIC HIGH INC | 426,231 | $5,801 | 0.6% | $12.35 | — | COM SHS NEW | 337353304 |
| — | HERTZ GLOBAL HLDGS INC | 236,051 | $5,278 | 0.5% | $14.58 | — | COM | 42806J106 |
| — | ROWAN COMPANIES PLC | 391,552 | $5,031 | 0.5% | $10.57 | — | SHS CL A | G7665A101 |
| SM | SM ENERGY CO | 267,473 | $4,745 | 0.5% | $17.78 | -21.2% | COM | 78454L100 |
| — | SUPERVALU INC | 215,545 | $4,688 | 0.5% | $21.75 | — | COM NEW | 868536301 |
| — | CONSOL ENERGY INC | 268,903 | $4,555 | 0.5% | $15.89 | — | COM | 20854P109 |
| — | DIVIDEND & INCOME FUND | 310,255 | $3,990 | 0.4% | $11.66 | — | COM NEW | 25538A204 |
| — | WESTERN ASSET GLB HI INCOME | 371,268 | $3,820 | 0.4% | $10.20 | — | COM | 95766B109 |
| MBI | MBIA INC | 431,320 | $3,752 | 0.4% | $4.38 | -0.2% | COM | 55262C100 |
| — | TESLA INC | 3,000,000 | $3,699 | 0.4% | $1.04 | — | NOTE 2.375% 3/1 | 88160RAD3 |
| OMF | ONEMAIN HLDGS INC | 126,033 | $3,553 | 0.4% | $24.56 | +9.1% | COM | 68268W103 |
| NGD | NEW GOLD INC CDA | 896,387 | $3,326 | 0.3% | $3.23 | +6.8% | COM | 644535106 |
| — | SOLARCITY CORP | 3,475,000 | $3,301 | 0.3% | $0.90 | — | NOTE 1.625%11/0 | 83416TAC4 |
| — | PENNEY J C INC | 857,871 | $3,268 | 0.3% | $6.16 | — | COM | 708160106 |
| — | BLACKROCK CORPOR HI YLD FD I | 280,843 | $3,174 | 0.3% | $11.07 | — | COM | 09255P107 |
| SGRY | SURGERY PARTNERS INC | 291,470 | $3,017 | 0.3% | $14.30 | 0.0% | COM | 86881A100 |
| — | DYNEGY INC NEW DEL | 292,811 | $2,867 | 0.3% | $8.38 | — | COM | 26817R108 |
| — | ENERGY XXI GULF COAST INC | 260,601 | $2,695 | 0.3% | $29.97 | — | COM | 29276K101 |
| — | DELAWARE INVTS DIV & INCOME | 246,575 | $2,653 | 0.3% | $9.75 | — | COM | 245915103 |
| — | DEUTSCHE STRATEGIC INCOME TR | 200,716 | $2,501 | 0.3% | $11.53 | — | SHS | 25160F109 |
| — | PRUDENTIAL GLB SHT DUR HG YL | 135,406 | $2,022 | 0.2% | $14.91 | — | COM | 74433A109 |
| — | ADVENT CLAYMORE ENH GRW & IN | 229,637 | $1,977 | 0.2% | $8.27 | — | COM | 00765E104 |
| — | WESTERN ASSET HGH YLD DFNDFD | 126,363 | $1,965 | 0.2% | $15.48 | — | COM | 95768B107 |
| — | MORGAN STANLEY EM MKTS DM DE | 241,723 | $1,943 | 0.2% | $12.74 | — | COM | 617477104 |
| — | WESTERN ASSET HIGH INCM OPP | 346,345 | $1,777 | 0.2% | $5.13 | — | COM | 95766K109 |
| — | FRONTIER COMMUNICATIONS CORP | 149,612 | $1,764 | 0.2% | $11.79 | — | COM NEW | 35906A306 |
| — | PENNEY J C INC | 154,100 | $1,658 | 0.2% | $6.16 | — | Put | 708160106 |
| — | VOYA GLBL ADV & PREM OPP FD | 136,544 | $1,572 | 0.2% | $10.81 | — | COM | 92912R104 |
| — | TESLA INC | 1,250,000 | $1,374 | 0.1% | $1.15 | — | NOTE 0.250% 3/0 | 88160RAB7 |
| — | OCWEN FINL CORP | 388,141 | $1,335 | 0.1% | $2.69 | — | COM NEW | 675746309 |
| — | BARRETT BILL CORP | 305,541 | $1,311 | 0.1% | $3.07 | — | COM | 06846N104 |
| — | HOSTESS BRANDS INC | 639,572 | $1,305 | 0.1% | $2.82 | — | *W EXP 11/04/202 | 44109J114 |
| — | ENSCO PLC | 199,430 | $1,191 | 0.1% | $5.50 | — | SHS CLASS A | G3157S106 |
| — | DEAN FOODS CO NEW | 103,060 | $1,121 | 0.1% | $10.88 | — | COM NEW | 242370203 |
| — | BLACKROCK MULTI-SECTOR INC T | 54,819 | $1,025 | 0.1% | $18.16 | — | COM | 09258A107 |
| — | SEADRILL LIMITED | 2,330,500 | $815 | 0.1% | — | — | Put | G7945E105 |
| UIS | UNISYS CORP | 94,077 | $800 | 0.1% | $10.00 | -3.1% | COM NEW | 909214306 |
| — | ELLSWORTH GROWTH & INCOME FD | 79,071 | $732 | 0.1% | $7.60 | — | COM | 289074106 |
| — | ALLIANZGI EQUITY & CONV INCO | 34,744 | $719 | 0.1% | $20.69 | — | COM | 018829101 |
| — | PRUDENTIAL SHT DURATION HG Y | 46,388 | $708 | 0.1% | $15.26 | — | COM | 74442F107 |
| — | LAZARD WORLD DIVID & INCOME | 61,223 | $694 | 0.1% | $10.12 | — | COM | 521076109 |
| — | ABERDEEN CHILE FD INC | 75,240 | $631 | 0.1% | $8.39 | — | COM | 00301W105 |
| — | FIRST TR HIGH INCOME L/S FD | 36,104 | $614 | 0.1% | $15.56 | — | COM | 33738E109 |
| — | LAZARD GLB TTL RET&INCM FD I | 29,813 | $500 | 0.1% | $13.97 | — | COM | 52106W103 |
| — | PIONEER ENERGY SVCS CORP | 194,332 | $496 | 0.1% | $2.05 | — | COM | 723664108 |
| — | EUROPEAN EQUITY FUND | 45,222 | $438 | 0.0% | $7.72 | — | COM | 298768102 |
| XZFGX | VIRTUS TOTAL RETURN FUND INC | 31,366 | $409 | 0.0% | $12.24 | — | COM | 92837G100 |
| — | MFS CHARTER INCOME TR | 46,000 | $399 | 0.0% | $8.46 | — | SH BEN INT | 552727109 |
| — | CSI COMPRESSCO LP | 75,497 | $393 | 0.0% | $5.21 | — | COM UNIT | 12637A103 |
| — | ROYCE VALUE TR INC | 24,103 | $381 | 0.0% | $13.24 | — | COM | 780910105 |
| — | BROOKFIELD REAL ASSETS INCOM | 14,899 | $354 | 0.0% | $22.30 | — | SHS BEN INT | 112830104 |
| — | BANCROFT FUND LTD | 15,970 | $350 | 0.0% | $17.97 | — | COM | 059695106 |
| — | ROYCE MICRO-CAP TR INC | 35,582 | $334 | 0.0% | $9.39 | — | COM | 780915104 |
| — | WESTERN ASSET EMRG MKT DEBT | 17,621 | $277 | 0.0% | $15.09 | — | COM | 95766A101 |
| RIG | TRANSOCEAN LTD | 780,600 | $273 | 0.0% | — | — | Put | H8817H100 |
| — | PUTMAN HIGH INCOME SEC FUND | 30,173 | $269 | 0.0% | $8.28 | — | SHS BEN INT | 746779107 |
| — | GABELLI DIVD & INCOME TR | 11,779 | $264 | 0.0% | $22.41 | — | COM | 36242H104 |
| — | ARES DYNAMIC CR ALLOCATION F | 16,007 | $263 | 0.0% | $16.43 | — | COM | 04014F102 |
| ASHR | DBX ETF TR | 8,900 | $260 | 0.0% | $24.49 | — | DBXTR HAR CS 300 | 233051879 |
| — | ANADARKO PETE CORP | 4,347 | $212 | 0.0% | $48.59 | — | COM | 032511107 |
| — | FIRST TR ABERDEEN GLBL OPP F | 16,112 | $190 | 0.0% | $10.97 | — | COM SHS | 337319107 |
| RDN | RADIAN GROUP INC | 10,000 | $187 | 0.0% | $9.38 | +53.1% | COM | 750236101 |
| — | LMP CAP & INCOME FD INC | 11,589 | $169 | 0.0% | $15.04 | — | COM | 50208A102 |
| — | ALLIANCEBERNSTEIN GBL HGH IN | 12,210 | $159 | 0.0% | $13.02 | — | COM | 01879R106 |
| — | COHEN & STEERS GLOBAL INC BL | 15,725 | $153 | 0.0% | $9.73 | — | COM | 19248M103 |
| XXHYBXX | NEW AMER HIGH INCOME FD INC | 15,050 | $150 | 0.0% | $8.66 | — | COM NEW | 641876800 |
| — | NUVEEN MULTI MKT INCOME FD | 17,285 | $131 | 0.0% | $7.51 | — | COM | 67075J107 |
| — | FRANKLIN UNVL TR | 10,145 | $74 | 0.0% | $7.29 | — | SH BEN INT | 355145103 |
| RDN | RADIAN GROUP INC | 119,300 | $42 | 0.0% | $9.38 | +53.1% | Put | 750236101 |
| — | COMMUNITY HEALTH SYS INC NEW | 795,108 | $9 | 0.0% | $0.06 | — | RIGHT 99/99/9999 | 203668116 |