Location: New York, NY
CIK: 0001510281 · Show all filings
Period: Q3 2018 (← Previous) (Next →)
Filing Date: Nov 14, 2018
Total Value: $1.944B (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| IEF | ISHARES TR | 1,800,000 | $182M | 9.4% | $101.17 | $102.86 | — | Call | 464287440 |
| IEF | ISHARES TR | 1,300,000 | $132M | 6.8% | $101.17 | $102.86 | — | Put | 464287440 |
| IEF | ISHARES TR | 976,122 | $98.75M | 5.1% | $101.17 | $102.86 | — | BARCLAYS 7 10 YR | 464287440 |
| CSCO | CISCO SYS INC | 2,000,000 | $97.3M | 5.0% | $48.65 * | $36.04 | 0.0% | Put | 17275R102 |
| QCOM | QUALCOMM INC | 1,000,000 | $72.03M | 3.7% | $72.03 * | $54.64 | 0.0% | Put | 747525103 |
| — | NUVEEN CR STRATEGIES INCM FD | 8,684,018 | $69.21M | 3.6% | $7.97 | $7.96 | — | COM SHS | 67073D102 |
| — | SEADRILL LTD | 2,436,646 | $60.38M | 3.1% | $24.78 | $24.78 | — | COM | G7998G106 |
| — | EATON VANCE LTD DUR INCOME F | 4,552,539 | $57.73M | 3.0% | $12.68 | $12.77 | — | COM | 27828H105 |
| — | ABERDEEN TOTAL DYNAMIC DIVD | 6,562,620 | $57.62M | 3.0% | $8.78 | $8.75 | — | COM SH BEN INT | 00326L100 |
| MSFT | MICROSOFT CORP | 500,000 | $57.19M | 2.9% | $114.37 * | $100.81 | 0.0% | Put | 594918104 |
| SPG | SIMON PPTY GROUP INC NEW | 300,000 | $53.02M | 2.7% | $176.75 | — | — | Put | 828806109 |
| — | WELLS FARGO INCOME OPPORTUNI | 6,655,456 | $52.71M | 2.7% | $7.92 | $8.09 | — | WF INC OPPTY FD | 94987B105 |
| — | WESTERN ASSET HIGH INCM OPP | 10,701,646 | $50.94M | 2.6% | $4.76 | $4.89 | — | COM | 95766K109 |
| TSLA | TESLA INC | 186,700 | $49.43M | 2.5% | $264.77 | — | — | Put | 88160R101 |
| GOOGL | ALPHABET INC | 40,000 | $48.28M | 2.5% | $1207.08 | — | — | Put | 02079K305 |
| — | BLACKROCK DEBT STRAT FD INC | 4,079,990 | $45.45M | 2.3% | $11.14 | $11.34 | — | COM NEW | 09255R202 |
| IBM | INTERNATIONAL BUSINESS MACHS | 300,000 | $45.36M | 2.3% | $151.21 * | $102.01 | -0.7% | Put | 459200101 |
| — | WESTERN ASSET HIGH INCM FD I | 6,319,009 | $40.06M | 2.1% | $6.34 | $6.52 | — | COM | 95766J102 |
| — | TEMPLETON EMERG MKTS INCOME | 3,600,542 | $36.01M | 1.9% | $10.00 | $11.32 | — | COM | 880192109 |
| TXN | TEXAS INSTRS INC | 300,000 | $32.19M | 1.7% | $107.29 * | $87.70 | +2.9% | Put | 882508104 |
| CYH | COMMUNITY HEALTH SYS INC NEW | 8,237,198 | $28.5M | 1.5% | $3.46 * | $6.80 | -52.2% | COM | 203668108 |
| ORCL | ORACLE CORP | 550,000 | $28.36M | 1.5% | $51.56 * | $43.58 | 0.0% | Put | 68389X105 |
| HLF | HERBALIFE NUTRITION LTD | 482,700 | $26.33M | 1.4% | $54.55 | $55.24 | 0.0% | Put | G4412G101 |
| — | WESTERN ASSET GLB HI INCOME | 2,782,600 | $25.35M | 1.3% | $9.11 | $9.54 | — | COM | 95766B109 |
| AAPL | APPLE INC | 109,800 | $24.79M | 1.3% | $225.74 * | $42.34 | +16.4% | Put | 037833100 |
| — | INVESCO SR INCOME TR | 5,437,160 | $23.38M | 1.2% | $4.30 | $4.30 | — | COM | 46131H107 |
| — | VOYA PRIME RATE TR | 4,630,804 | $23.06M | 1.2% | $4.98 | $4.98 | — | SH BEN INT | 92913A100 |
| — | DELAWARE ENHANCED GBL DIV & | 2,031,927 | $22.76M | 1.2% | $11.20 | $11.08 | — | COM | 246060107 |
| RIG | TRANSOCEAN LTD | 1,615,800 | $22.54M | 1.2% | $13.95 * | $12.42 | 0.0% | Put | H8817H100 |
| — | PGIM GLOBAL SHORT DURATION H | 1,566,891 | $21.73M | 1.1% | $13.87 | $13.76 | — | COM | 69346J106 |
| QCOM | QUALCOMM INC | 296,378 | $21.35M | 1.1% | $72.03 * | $54.64 | 0.0% | COM | 747525103 |
| EBAY | EBAY INC | 600,000 | $19.81M | 1.0% | $33.02 * | $30.84 | 0.0% | Put | 278642103 |
| — | BLACKROCK CORPOR HI YLD FD I | 1,676,516 | $17.62M | 0.9% | $10.51 | $10.75 | — | COM | 09255P107 |
| OMF | ONEMAIN HLDGS INC | 500,000 | $16.8M | 0.9% | $33.61 * | $33.35 | +5.0% | Put | 68268W103 |
| GEL | GENESIS ENERGY L P | 700,000 | $16.65M | 0.9% | $23.78 | — | — | Put | 371927104 |
| — | GENERAL AMERN INVS INC | 434,113 | $16.06M | 0.8% | $36.99 | $33.29 | — | COM | 368802104 |
| TXN | TEXAS INSTRS INC | 125,276 | $13.44M | 0.7% | $107.29 * | $87.70 | +2.9% | COM | 882508104 |
| SPH | SUBURBAN PROPANE PARTNERS L | 526,800 | $12.4M | 0.6% | $23.53 | — | — | Put | 864482104 |
| CSCO | CISCO SYS INC | 243,178 | $11.83M | 0.6% | $48.65 * | $36.04 | 0.0% | COM | 17275R102 |
| — | BLACKROCK CR ALLCTN INC TR | 936,265 | $11.46M | 0.6% | $12.24 | $12.30 | — | COM | 092508100 |
| — | INVESCO HIGH INCOME TR II | 804,871 | $11.04M | 0.6% | $13.71 | $14.21 | — | COM | 46131F101 |
| — | NUVEEN CONNECTICUT QLTY MUN | 951,332 | $10.81M | 0.6% | $11.36 | $11.80 | — | COM | 67060D107 |
| — | PGIM SHORT DURATION HIGH YIE | 759,617 | $10.74M | 0.6% | $14.14 | $14.11 | — | COM | 69346H100 |
| IBM | INTERNATIONAL BUSINESS MACHS | 67,608 | $10.22M | 0.5% | $151.21 * | $102.01 | -0.7% | COM | 459200101 |
| — | NEUBERGER BERMAN HGH YLD FD | 896,769 | $9.82M | 0.5% | $10.95 | $12.12 | — | COM | 64128C106 |
| GNW | GENWORTH FINL INC | 2,333,509 | $9.731M | 0.5% | $4.17 * | $4.11 | +10.0% | COM CL A | 37247D106 |
| — | IVY HIGH INC OPPORTUNITIES F | 663,967 | $9.468M | 0.5% | $14.26 | $14.21 | — | COM | 465893105 |
| — | DEAN FOODS CO NEW | 1,239,300 | $8.799M | 0.5% | $7.10 | $9.25 | — | Put | 242370203 |
| — | WESTERN ASSET HGH YLD DFNDFD | 596,939 | $8.685M | 0.4% | $14.55 | $14.92 | — | COM | 95768B107 |
| ORCL | ORACLE CORP | 153,460 | $7.912M | 0.4% | $51.56 * | $43.58 | 0.0% | COM | 68389X105 |
| GOOG | ALPHABET INC | 5,894 | $7.034M | 0.4% | $1193.42 * | $51.16 | +16.2% | CAP STK CL C | 02079K107 |
| — | DEUTSCHE MULTI-MKT INCOME TR | 766,597 | $6.884M | 0.4% | $8.98 | $8.30 | — | SHS | 25160E102 |
| — | MORGAN STANLEY EMER MKTS DEB | 710,804 | $6.163M | 0.3% | $8.67 | $9.87 | — | COM | 61744H105 |
| XXHYBXX | NEW AMER HIGH INCOME FD INC | 691,052 | $5.929M | 0.3% | $8.58 | $8.60 | — | COM NEW | 641876800 |
| NGD | NEW GOLD INC CDA | 6,505,498 | $5.161M | 0.3% | $0.79 * | $1.74 | -26.0% | COM | 644535106 |
| EBAY | EBAY INC | 155,812 | $5.145M | 0.3% | $33.02 * | $30.84 | 0.0% | COM | 278642103 |
| XHNWX | PIONEER DIV HIGH INCOME TRUS | 349,538 | $5.11M | 0.3% | $14.62 | $14.66 | — | COM | 723653101 |
| OMF | ONEMAIN HLDGS INC | 148,083 | $4.977M | 0.3% | $33.61 * | $33.35 | +5.0% | COM | 68268W103 |
| — | ROYCE GLOBAL VALUE TR INC | 452,640 | $4.757M | 0.2% | $10.51 | $10.90 | — | COM | 78081T104 |
| — | ALLIANZGI NFJ DIVID INT & PR | 346,011 | $4.533M | 0.2% | $13.10 | $12.60 | — | COM | 01883A107 |
| — | DONNELLEY R R & SONS CO | 656,866 | $3.547M | 0.2% | $5.40 | $6.60 | — | COM | 257867200 |
| — | BRANDYWINEGBL GLBAL INM OPRT | 323,962 | $3.525M | 0.2% | $10.88 | $12.89 | — | COM | 10537L104 |
| — | PARKER DRILLING CO | 1,087,568 | $3.241M | 0.2% | $2.98 | $2.98 | — | COM NEW | 701081408 |
| — | XEROX CORP | 120,000 | $3.238M | 0.2% | $26.98 | $27.00 | — | Put | 984121608 |
| — | DEUTSCHE STRATEGIC INCOME TR | 246,525 | $3.106M | 0.2% | $12.60 | $11.74 | — | SHS | 25160F109 |
| MSFT | MICROSOFT CORP | 24,324 | $2.782M | 0.1% | $114.37 * | $100.81 | 0.0% | COM | 594918104 |
| — | FIRST TR HIGH INCOME L/S FD | 161,214 | $2.378M | 0.1% | $14.75 | $14.73 | — | COM | 33738E109 |
| — | AVON PRODS INC | 1,019,349 | $2.243M | 0.1% | $2.20 | $2.47 | — | COM | 054303102 |
| XXCHNXX | CHINA FD INC | 96,494 | $1.891M | 0.1% | $19.60 | $21.73 | — | COM | 169373107 |
| — | ALLIANCEBERNSTEIN GBL HGH IN | 158,757 | $1.85M | 0.1% | $11.65 | $11.88 | — | COM | 01879R106 |
| — | ROWAN COMPANIES PLC | 96,400 | $1.816M | 0.1% | $18.84 | $18.82 | — | Put | G7665A101 |
| — | WESTERN ASSET CORPORATE LN F | 174,003 | $1.73M | 0.1% | $9.94 | $9.94 | — | COM | 95790J102 |
| — | DIVIDEND & INCOME FUND | 134,376 | $1.603M | 0.1% | $11.93 | $11.88 | — | COM NEW | 25538A204 |
| — | XEROX CORP | 55,936 | $1.509M | 0.1% | $26.98 | $27.00 | — | COM NEW | 984121608 |
| — | BLACKROCK NY MUN INCOME TR I | 112,034 | $1.426M | 0.1% | $12.73 | $12.73 | — | COM | 09249R102 |
| — | BLACKROCK MUNI N Y INTER DUR | 98,274 | $1.229M | 0.1% | $12.51 | $12.51 | — | COM | 09255F109 |
| — | SEARS HLDGS CORP | 1,127,464 | $1.091M | 0.1% | $0.97 | $3.28 | — | COM | 812350106 |
| AAPL | APPLE INC | 3,911 | $883K | 0.0% | $225.77 * | $42.34 | +16.4% | COM | 037833100 |
| — | BLACKROCK NY MUNICIPAL BOND | 63,725 | $820K | 0.0% | $12.87 | $12.87 | — | COM | 09249P106 |
| — | EATON VANCE N Y MUN BD FD II | 78,149 | $814K | 0.0% | $10.42 | $10.42 | — | COM | 27828T109 |
| — | NUVEEN FLTNG RTE INCM OPP FD | 75,051 | $774K | 0.0% | $10.31 | $10.31 | — | COM SHS | 6706EN100 |
| — | DEAN FOODS CO NEW | 107,328 | $762K | 0.0% | $7.10 | $9.25 | — | COM NEW | 242370203 |
| XNBOX | NEUBERGER BRMAN NY MUNI FD I | 62,968 | $719K | 0.0% | $11.42 | $11.42 | — | COM | 64124K102 |
| — | NUVEEN MULTI MKT INCOME FD | 102,048 | $715K | 0.0% | $7.01 | $7.01 | — | COM | 67075J107 |
| RIG | TRANSOCEAN LTD | 50,000 | $698K | 0.0% | $13.96 * | $12.42 | 0.0% | REG SHS | H8817H100 |
| — | OCWEN FINL CORP | 172,768 | $681K | 0.0% | $3.94 | $2.76 | — | COM NEW | 675746309 |
| HLF | HERBALIFE NUTRITION LTD | 10,882 | $594K | 0.0% | $54.59 | $55.24 | 0.0% | COM SHS | G4412G101 |
| — | EATON VANCE CA MUNI INCOME T | 50,419 | $566K | 0.0% | $11.23 | $11.46 | — | SH BEN INT | 27826F101 |
| — | NUVEEN PFD & INCM SECURTIES | 59,698 | $525K | 0.0% | $8.79 | $8.79 | — | COM | 67072C105 |
| — | CHESAPEAKE ENERGY CORP | 107,281 | $482K | 0.0% | $4.49 | $3.02 | — | COM | 165167107 |
| — | BANCROFT FUND LTD | 15,970 | $366K | 0.0% | $22.92 | $17.97 | — | COM | 059695106 |
| — | LAZARD WORLD DIVID & INCOME | 29,148 | $304K | 0.0% | $10.43 | $10.12 | — | COM | 521076109 |
| — | HOSTESS BRANDS INC | 238,772 | $253K | 0.0% | $1.06 | $2.82 | — | *W EXP 11/04/202 | 44109J114 |
| — | SIMPLY GOOD FOODS CO | 29,700 | $251K | 0.0% | $8.45 | $3.91 | — | *W EXP 07/07/202 | 82900L110 |
| — | NUVEEN SR INCOME FD | 36,556 | $225K | 0.0% | $6.15 | $6.15 | — | COM | 67067Y104 |
| — | ROWAN COMPANIES PLC | 10,095 | $190K | 0.0% | $18.82 | $18.82 | — | SHS CL A | G7665A101 |
| — | CREDIT SUISSE ASSET MGMT INC | 58,265 | $185K | 0.0% | $3.18 | $2.98 | — | COM | 224916106 |
| — | ALLIANCE CALIF MUN INCOME FD | 13,535 | $184K | 0.0% | $13.59 | $13.15 | — | COM | 018546101 |
| — | LIBERTY ALL STAR EQUITY FD | 25,821 | $176K | 0.0% | $6.82 | $5.23 | — | SH BEN INT | 530158104 |
| — | FIRST TR ABERDEEN GLBL OPP F | 16,112 | $155K | 0.0% | $9.62 | $10.97 | — | COM SHS | 337319107 |
| — | CONSOLIDATED COMM HLDGS INC | 11,670 | $152K | 0.0% | $13.02 | $12.34 | — | COM | 209034107 |
| — | LINDBLAD EXPEDITIONS HLDGS I | 36,822 | $151K | 0.0% | $4.10 | $3.24 | — | *W EXP 07/08/202 | 535219117 |
| XPHTX | PIONEER HIGH INCOME TR | 10,000 | $93,000 | 0.0% | $9.30 | $9.70 | — | COM | 72369H106 |
| — | FRANKLIN UNVL TR | 10,058 | $67,000 | 0.0% | $6.66 | $7.29 | — | SH BEN INT | 355145103 |
| — | DASEKE INC | 67,703 | $54,000 | 0.0% | $0.80 | $1.71 | — | *W EXP 02/27/202 | 23753F115 |
| — | COMMUNITY HEALTH SYS INC NEW | 1,981,077 | $12,000 | 0.0% | $0.01 | $0.03 | — | RIGHT 12/31/2019 | 203668116 |