CIK: 0001569356 · Show all filings
Period: Q3 2016 (← Previous) (Next →)
Filing Date: Nov 15, 2016
Total Value ($000): $498,102 (68.6% shares, 31.4% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| SMFG | SUMITOMO MITSUI FINL GROUP I | 7,464,920 | $49,766 | 10.0% | $6.06 | — | SPONSORED ADR | 86562M209 |
| — | SOUFUN HLDGS LTD | 45,000,000 | $44,719 | 9.0% | $1.07 | — | NOTE 2.000%12/1 | 836034AB4 |
| SONY | SONY CORP | 1,252,216 | $40,666 | 8.2% | $25.83 | — | ADR NEW | 835699307 |
| — | CTRIP COM INTL LTD | 30,000,000 | $32,663 | 6.6% | $1.09 | — | NOTE 1.000% 7/0 | 22943FAF7 |
| TSM | TAIWAN SEMICONDUCTOR MFG LTD | 919,254 | $28,120 | 5.6% | $28.19 | — | SPONSORED ADR | 874039100 |
| — | CTRIP COM INTL LTD | 20,000,000 | $25,838 | 5.2% | $1.33 | — | NOTE 1.250%10/1 | 22943FAD2 |
| — | TRINA SOLAR LIMITED | 24,150,000 | $23,637 | 4.7% | $0.98 | — | DBCV 3.500% 6/1 | 89628EAC8 |
| — | CTRIP COM INTL LTD | 20,000,000 | $22,575 | 4.5% | $1.09 | — | NOTE 1.990% 7/0 | 22943FAH3 |
| HSBC | HSBC HLDGS PLC | 467,286 | $17,217 | 3.5% | $36.84 | — | SPON ADR NEW | 404280406 |
| — | ADVANCED SEMICONDUCTOR ENGR | 2,645,314 | $15,861 | 3.2% | $5.73 | — | SPONSORED ADR | 00756M404 |
| IBN | ICICI BK LTD | 1,880,709 | $14,327 | 2.9% | $7.62 | — | ADR | 45104G104 |
| NMR | NOMURA HLDGS INC | 2,654,891 | $11,680 | 2.3% | $4.59 | — | SPONSORED ADR | 65535H208 |
| — | INTERSIL CORP | 478,690 | $10,498 | 2.1% | $21.93 | — | CL A | 46069S109 |
| MUFG | MITSUBISHI UFJ FINL GROUP IN | 1,813,630 | $9,034 | 1.8% | $4.75 | — | SPONSORED ADR | 606822104 |
| BHP | BHP BILLITON LTD | 255,046 | $8,748 | 1.8% | $34.30 | — | SPONSORED ADR | 088606108 |
| — | TERRAFORM PWR INC | 625,000 | $8,694 | 1.7% | $12.14 | — | CL A COM | 88104R100 |
| — | CHINA UNICOM (HONG KONG) LTD | 688,396 | $8,264 | 1.7% | $11.86 | — | SPONSORED ADR | 16945R104 |
| — | INGRAM MICRO INC | 209,170 | $7,459 | 1.5% | $35.71 | — | CL A | 457153104 |
| — | YY INC | 7,000,000 | $6,934 | 1.4% | $0.98 | — | NOTE 2.250% 4/0 | 98426TAB2 |
| — | LEXMARK INTL INC | 164,094 | $6,557 | 1.3% | $39.96 | — | CL A | 529771107 |
| — | YY INC | 102,129 | $5,441 | 1.1% | $53.28 | — | ADS REPCOM CLA | 98426T106 |
| MGM | MGM RESORTS INTERNATIONAL | 202,700 | $5,276 | 1.1% | $22.93 | 0.0% | COM | 552953101 |
| — | SPDR SERIES TRUST | 136,600 | $5,016 | 1.0% | $35.70 | — | BRC HGH YLD BD | 78464A417 |
| LQD | ISHARES TR | 40,700 | $5,013 | 1.0% | $122.90 | — | IBOXX INV CP ETF | 464287242 |
| BND | VANGUARD BD INDEX FD INC | 59,500 | $5,006 | 1.0% | $83.31 | — | TOTAL BND MRKT | 921937835 |
| AGG | ISHARES TR | 44,500 | $5,003 | 1.0% | $112.52 | — | CORE US AGGBD ET | 464287226 |
| BSV | VANGUARD BD INDEX FD INC | 61,845 | $4,999 | 1.0% | $80.96 | — | SHORT TRM BOND | 921937827 |
| EMB | ISHARES TR | 42,400 | $4,970 | 1.0% | $115.90 | — | JP MOR EM MK ETF | 464288281 |
| HMC | HONDA MOTOR LTD | 173,048 | $4,928 | 1.0% | $29.09 | — | AMERN SHS | 438128308 |
| PKX | POSCO | 90,084 | $4,646 | 0.9% | $51.57 | — | SPONSORED ADR | 693483109 |
| — | CHINA MOBILE LIMITED | 67,900 | $4,108 | 0.8% | $57.51 | — | SPONSORED ADR | 16941M109 |
| — | TATA MTRS LTD | 96,900 | $3,903 | 0.8% | $40.28 | — | SPONSORED ADR | 876568502 |
| BIV | VANGUARD BD INDEX FD INC | 39,600 | $3,471 | 0.7% | $88.01 | — | INTERMED TERM | 921937819 |
| RYAAY | RYANAIR HLDGS PLC | 45,944 | $3,447 | 0.7% | $75.03 | — | SPONSORED ADR NE | 783513203 |
| — | FIRST TR INTER DUR PFD & IN | 143,498 | $3,349 | 0.7% | $23.34 | — | COM | 33718W103 |
| VCSH | VANGUARD SCOTTSDALE FDS | 38,000 | $3,061 | 0.6% | $80.85 | — | SHRT TRM CORP BD | 92206C409 |
| — | QUNAR CAYMAN IS LTD | 97,422 | $2,825 | 0.6% | $29.00 | — | SPNS ADR CL B | 74906P104 |
| RDY | DR REDDYS LABS LTD | 55,800 | $2,613 | 0.5% | $46.84 | — | ADR | 256135203 |
| — | CORNERSTONE STRATEGIC VALUE | 164,170 | $2,448 | 0.5% | $14.91 | — | COM | 21924B302 |
| HLF | HERBALIFE LTD | 38,200 | $2,368 | 0.5% | $30.93 | +2.1% | COM USD SHS | G4412G101 |
| — | BLACKROCK TAX MUNICPAL BD TR | 98,809 | $2,368 | 0.5% | $23.97 | — | SHS | 09248X100 |
| — | POWERSHARES ETF TRUST II | 100,000 | $2,321 | 0.5% | $22.97 | — | SENIOR LN PORT | 73936Q769 |
| — | EATON VANCE TAX MNGD GBL DV | 228,425 | $1,983 | 0.4% | $8.68 | — | COM | 27829F108 |
| — | EATON VANCE LTD DUR INCOME F | 121,989 | $1,672 | 0.3% | $13.67 | — | COM | 27828H105 |
| — | TEKLA HEALTHCARE INVS | 64,808 | $1,543 | 0.3% | $23.81 | — | SH BEN INT | 87911J103 |
| LPL | LG DISPLAY CO LTD | 116,670 | $1,490 | 0.3% | $11.60 | — | SPONS ADR REP | 50186V102 |
| — | GABELLI DIVD & INCOME TR | 55,941 | $1,075 | 0.2% | $19.22 | — | COM | 36242H104 |
| — | CHINA LIFE INS CO LTD | 80,000 | $1,031 | 0.2% | $12.89 | — | SPON ADR REP H | 16939P106 |
| — | SEADRILL LIMITED | 18,250 | $957 | 0.2% | — | — | Put | G7945E105 |
| — | NUVEEN PFD INCOME OPPRTNY FD | 80,756 | $809 | 0.2% | $10.02 | — | COM | 67073B106 |
| — | AU OPTRONICS CORP | 200,300 | $735 | 0.1% | $2.97 | — | SPONSORED ADR | 002255107 |
| — | NUVEEN CR STRATEGIES INCM FD | 70,700 | $600 | 0.1% | $7.94 | — | COM SHS | 67073D102 |
| — | ABERDEEN ASIA PACIFIC INCOM | 114,657 | $587 | 0.1% | $5.02 | — | COM | 003009107 |
| — | CNOOC LTD | 4,700 | $583 | 0.1% | $124.04 | — | SPONSORED ADR | 126132109 |
| — | PIMCO HIGH INCOME FD | 48,104 | $479 | 0.1% | $9.96 | — | COM SHS | 722014107 |
| — | WESTERN ASSET EMRG MKT DEBT | 29,335 | $477 | 0.1% | $15.28 | — | COM | 95766A101 |
| — | BLACKROCK CORPOR HI YLD FD I | 37,651 | $407 | 0.1% | $10.81 | — | COM | 09255P107 |
| — | DUFF & PHELPS GLB UTL INC FD | 22,400 | $383 | 0.1% | $17.10 | — | COM | 26433C105 |
| — | CALAMOS CONV OPP AND INC FD | 35,088 | $362 | 0.1% | $10.32 | — | SH BEN INT | 128117108 |
| — | CALAMOS DYNAMIC CONV & INCOM | 19,000 | $353 | 0.1% | $18.58 | — | COM | 12811V105 |
| — | CALAMOS CONV & HIGH INCOME F | 30,350 | $334 | 0.1% | $11.00 | — | COM SHS | 12811P108 |
| — | EATON VANCE RISK MNGD DIV EQ | 34,711 | $327 | 0.1% | $9.42 | — | COM | 27829G106 |
| BABA | ALIBABA GROUP HLDG LTD | 1,020 | $312 | 0.1% | — | — | Put | 01609W102 |
| — | ADAMS DIVERSIFIED EQUITY FD | 21,260 | $280 | 0.1% | $13.17 | — | COM | 006212104 |
| — | PRUDENTIAL SHT DURATION HG Y | 15,520 | $248 | 0.0% | $15.98 | — | COM | 74442F107 |
| — | BLACKROCK INTL GRWTH & INC T | 32,641 | $194 | 0.0% | $5.94 | — | COM BENE INTER | 092524107 |
| — | GAMCO GLOBAL GOLD NAT RES & | 28,500 | $182 | 0.0% | $6.39 | — | COM SH BEN INT | 36465A109 |
| — | CBRE CLARION GLOBAL REAL EST | 20,883 | $175 | 0.0% | $8.38 | — | COM | 12504G100 |
| — | GENERAL AMERN INVS INC | 5,300 | $173 | 0.0% | $32.64 | — | COM | 368802104 |
| — | ALLIANCEBERNSTEIN GBL HGH IN | 12,596 | $159 | 0.0% | $12.27 | — | COM | 01879R106 |
| — | EATON VANCE TX MGD DIV EQ IN | 14,143 | $151 | 0.0% | $10.68 | — | COM | 27828N102 |
| — | INVESCO SR INCOME TR | 18,256 | $79 | 0.0% | $4.04 | — | COM | 46131H107 |
| — | ADVENT CLAYMORE CV SECS & IN | 4,241 | $62 | 0.0% | $14.62 | — | COM | 00764C109 |
| — | TEMPLETON GLOBAL INCOME FD | 6,582 | $41 | 0.0% | $6.50 | — | COM | 880198106 |
| — | PIMCO CORPORATE & INCOME OPP | 1,416 | $21 | 0.0% | $14.08 | — | COM | 72201B101 |
| — | PETROCHINA CO LTD | 7 | $1 | 0.0% | $67.27 | — | SPONSORED ADR | 71646E100 |