Location: Greenwich, CT
CIK: 0001167456 · Show all filings
Period: Q2 2019 (← Previous) (Next →)
Filing Date: Aug 14, 2019
Total Value: $8.794B (64.3% shares, 35.7% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | NOVELLUS SYS INC | 88,033,000 | $512M | 5.8% | $3.02 | — | NOTE 2.625% 5/1 | 670008AD3 |
| — | ADVANCED MICRO DEVICES INC | 71,325,000 | $277M | 3.1% | $1.93 | — | NOTE 2.125% 9/0 | 007903BD8 |
| — | SUNTRUST BKS INC | 3,548,544 | $223M | 2.5% | $59.25 | — | COM | 867914103 |
| — | TOTAL SYS SVCS INC | 1,681,745 | $216M | 2.5% | $128.27 | — | COM | 891906109 |
| — | L3 TECHNOLOGIES INC | 864,898 | $212M | 2.4% | $174.84 | — | COM | 502413107 |
| — | WORLDPAY INC | 1,699,204 | $208M | 2.4% | $115.75 | — | CL A | 981558109 |
| — | WABCO HLDGS INC | 1,562,355 | $207M | 2.4% | $132.41 | — | COM | 92927K102 |
| — | TRIBUNE MEDIA CO | 4,135,211 | $191M | 2.2% | $43.71 | — | CL A | 896047503 |
| — | FIRST DATA CORP NEW | 7,051,041 | $191M | 2.2% | $26.40 | — | COM CL A | 32008D106 |
| — | MICROCHIP TECHNOLOGY INC | 98,950,000 | $175M | 2.0% | $1.59 | — | NOTE 1.625% 2/1 | 595017AD6 |
| — | ALTABA INC | 2,488,238 | $173M | 2.0% | $66.24 | — | COM | 021346101 |
| — | WELLCARE HEALTH PLANS INC | 599,220 | $171M | 1.9% | $279.06 | — | COM | 94946T106 |
| — | CYPRESS SEMICONDUCTOR CORP | 7,401,348 | $165M | 1.9% | $22.24 | — | COM | 232806109 |
| — | RED HAT INC | 853,235 | $160M | 1.8% | $176.97 | — | COM | 756577102 |
| — | ALLERGAN PLC | 896,000 | $150M | 1.7% | $167.43 | — | SHS | G0177J108 |
| — | ANTHEM INC | 38,204,000 | $149M | 1.7% | $2.04 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | TABLEAU SOFTWARE INC | 896,479 | $149M | 1.7% | $166.02 | — | CL A | 87336U105 |
| — | SPRINT CORPORATION | 22,561,835 | $148M | 1.7% | $5.81 | — | COM | 85207U105 |
| — | CELGENE CORP | 1,542,774 | $143M | 1.6% | $93.90 | — | COM | 151020104 |
| — | MELLANOX TECHNOLOGIES LTD | 1,221,569 | $135M | 1.5% | $116.58 | — | SHS | M51363113 |
| — | FINISAR CORP | 5,598,399 | $128M | 1.5% | $22.18 | — | COM NEW | 31787A507 |
| — | ZAYO GROUP HLDGS INC | 3,805,385 | $125M | 1.4% | $32.91 | — | COM | 98919V105 |
| — | VERSUM MATLS INC | 2,373,599 | $122M | 1.4% | $50.63 | — | COM | 92532W103 |
| — | ADVANCED DISP SVCS INC DEL | 3,699,259 | $118M | 1.3% | $31.91 | — | COM | 00790X101 |
| — | ARRAY BIOPHARMA INC | 2,407,065 | $112M | 1.3% | $46.33 | — | COM | 04269X105 |
| — | ANADARKO PETE CORP | 1,485,916 | $105M | 1.2% | $70.56 | — | COM | 032511107 |
| — | MICRON TECHNOLOGY INC | 27,379,000 | $96.72M | 1.1% | $1.95 | — | NOTE 2.125% 2/1 | 595112AV5 |
| — | CAESARS ENTMT CORP | 7,755,000 | $91.66M | 1.0% | $11.82 | — | COM | 127686103 |
| — | SQUARE INC | 26,195,000 | $82.71M | 0.9% | $2.75 | — | NOTE 0.375% 3/0 | 852234AB9 |
| — | MICROCHIP TECHNOLOGY INC | 65,633,000 | $77.45M | 0.9% | $1.18 | — | NOTE 2.250% 2/1 | 595017AH7 |
| — | SPARK THERAPEUTICS INC | 726,169 | $74.34M | 0.8% | $113.88 | — | COM | 84652J103 |
| — | LIBERTY EXPEDIA HLDGS INC | 1,414,426 | $67.59M | 0.8% | $47.79 | — | SER A COM | 53046P109 |
| — | HERBALIFE LTD | 64,750,000 | $66.77M | 0.8% | $1.33 | — | NOTE 2.000% 8/1 | 42703MAB9 |
| — | WORKDAY INC | 42,500,000 | $63.86M | 0.7% | $1.46 | — | NOTE 0.250%10/0 | 98138HAF8 |
| — | PURE STORAGE INC | 64,725,000 | $62.3M | 0.7% | $0.96 | — | NOTE 0.125% 4/1 | 74624MAB8 |
| — | TCF FINL CORP | 2,778,982 | $57.77M | 0.7% | $20.72 | — | COM | 872275102 |
| — | MEDIDATA SOLUTIONS INC | 637,553 | $57.7M | 0.7% | $90.51 | — | COM | 58471A105 |
| — | FORTIVE CORP | 55,075 | $56.78M | 0.6% | $1055.52 | — | 5% PFD CNV SER A | 34959J207 |
| — | TESLA INC | 57,500,000 | $56.62M | 0.6% | $0.98 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| — | SHUTTERFLY INC | 1,004,952 | $50.8M | 0.6% | $50.55 | — | COM | 82568P304 |
| — | HFF INC | 1,110,518 | $50.51M | 0.6% | $45.76 | — | CL A | 40418F108 |
| — | WORKDAY INC | 20,000,000 | $50.45M | 0.6% | $1.37 | — | NOTE 1.500% 7/1 | 98138HAD3 |
| — | CHESAPEAKE ENERGY CORP | 61,000,000 | $48.84M | 0.6% | $0.88 | — | NOTE 5.500% 9/1 | 165167CY1 |
| — | TWITTER INC | 49,450,000 | $48.41M | 0.6% | $0.98 | — | NOTE 0.250% 6/1 | 90184LAF9 |
| — | CLEVELAND CLIFFS INC | 32,975,000 | $47.67M | 0.5% | $1.10 | — | DBCV 1.500% 1/1 | 185899AA9 |
| — | AEROJET ROCKETDYNE HLDGS INC | 26,750,000 | $47.64M | 0.5% | $1.34 | — | NOTE 2.250%12/1 | 007800AB1 |
| — | FIREEYE INC | 48,075,000 | $47.1M | 0.5% | $0.98 | — | NOTE 0.875% 6/0 | 31816QAF8 |
| — | ZENDESK INC | 30,000,000 | $46.06M | 0.5% | $1.54 | — | NOTE 0.250% 3/1 | 98936JAB7 |
| GNW | GENWORTH FINL INC | 12,119,149 | $44.96M | 0.5% | $4.12 | -14.1% | COM CL A | 37247D106 |
| — | ALLEGHENY TECHNOLOGIES INC | 23,150,000 | $43.29M | 0.5% | $1.38 | — | NOTE 4.750% 7/0 | 01741RAG7 |
| — | RAYTHEON CO | 242,886 | $42.23M | 0.5% | $173.88 | — | COM NEW | 755111507 |
| — | EL PASO ELEC CO | 641,407 | $41.95M | 0.5% | $65.40 | — | COM NEW | 283677854 |
| PACB | PACIFIC BIOSCIENCES CALIF IN | 6,915,211 | $41.84M | 0.5% | $6.37 | +10.0% | COM | 69404D108 |
| — | SERVICENOW INC | 19,532,000 | $40.55M | 0.5% | $1.85 | — | NOTE 6/0 | 81762PAC6 |
| AVA | AVISTA CORP | 798,324 | $35.6M | 0.4% | $35.64 | -11.1% | COM | 05379B107 |
| — | TERADYNE INC | 21,400,000 | $34.77M | 0.4% | $1.32 | — | NOTE 1.250%12/1 | 880770AG7 |
| — | ARES CAP CORP | 33,500,000 | $34.59M | 0.4% | $1.00 | — | NOTE 4.625% 3/0 | 04010LAW3 |
| — | SYNAPTICS INC | 37,278,000 | $33.39M | 0.4% | $0.91 | — | NOTE 0.500% 6/1 | 87157DAD1 |
| — | DISH NETWORK CORP | 33,400,000 | $32.55M | 0.4% | $0.87 | — | NOTE 3.375% 8/1 | 25470MAB5 |
| — | TTM TECHNOLOGIES INC | 25,950,000 | $30.67M | 0.3% | $1.11 | — | NOTE 1.750%12/1 | 87305RAD1 |
| — | GLOBAL BRASS & COPPR HLDGS I | 699,746 | $30.6M | 0.3% | $43.73 | — | COM | 37953G103 |
| — | SOTHEBYS | 511,523 | $29.73M | 0.3% | $58.13 | — | COM | 835898107 |
| — | ATLAS AIR WORLDWIDE HLDGS IN | 27,800,000 | $28.61M | 0.3% | $1.10 | — | NOTE 1.875% 6/0 | 049164BJ4 |
| — | MULTI COLOR CORP | 567,620 | $28.36M | 0.3% | $49.96 | — | COM | 625383104 |
| — | MERITOR INC | 26,200,000 | $27.37M | 0.3% | $0.99 | — | NOTE 3.250%10/1 | 59001KAF7 |
| — | AMAG PHARMACEUTICALS INC | 32,275,000 | $25.91M | 0.3% | $0.96 | — | NOTE 3.250% 6/0 | 00163UAD8 |
| — | DYCOM INDS INC | 25,773,000 | $25.27M | 0.3% | $0.93 | — | NOTE 0.750% 9/1 | 267475AB7 |
| — | RMG ACQUISITION CORP | 2,499,996 | $24.43M | 0.3% | $9.77 | — | CL A | 749641106 |
| — | HURON CONSULTING GROUP INC | 23,955,000 | $23.84M | 0.3% | $0.97 | — | NOTE 1.250%10/0 | 447462AB8 |
| SFL 5.75 10/15/21 | SHIP FINANCE INTERNATIONAL L | 23,325,000 | $23.65M | 0.3% | $1.00 | — | NOTE 5.750%10/1 | G81075AF3 |
| — | AVANTOR INC | 350,000 | $23.14M | 0.3% | $66.11 | — | 6.25 PFD CNV SR | 05352A209 |
| — | LEGACY TEX FINL GROUP INC | 564,721 | $22.99M | 0.3% | $40.71 | — | COM | 52471Y106 |
| — | THERAVANCE INC | 21,843,000 | $22.96M | 0.3% | $0.85 | — | NOTE 2.125% 1/1 | 88338TAB0 |
| — | CONNECTICUT WTR SVC INC | 328,053 | $22.87M | 0.3% | $67.52 | — | COM | 207797101 |
| — | NEUROCRINE BIOSCIENCES INC | 17,000,000 | $22.39M | 0.3% | $1.33 | — | NOTE 2.250% 5/1 | 64125CAD1 |
| — | DIAMONDPEAK HLDGS COR | 2,299,998 | $22.36M | 0.3% | $9.72 | — | COM CL A | 25280H100 |
| — | TRINE ACQUISITION CORP | 2,300,000 | $22.31M | 0.3% | $9.70 | — | COM CL A | 89628U108 |
| — | ACAMAR PARTNERS ACQSITION CO | 2,250,000 | $21.87M | 0.2% | $9.72 | — | CL A | 004285102 |
| STC | STEWART INFORMATION SVCS COR | 532,829 | $21.57M | 0.2% | $43.16 | -1.6% | COM | 860372101 |
| — | PRICELINE GRP INC | 14,850,000 | $21.42M | 0.2% | $1.47 | — | NOTE 0.350% 6/1 | 741503AS5 |
| — | DOMINION ENERGY INC | 200,000 | $20.69M | 0.2% | $103.47 | — | UNIT 99/99/9999 | 25746U133 |
| — | OASIS PETE INC NEW | 22,500,000 | $20.64M | 0.2% | $0.92 | — | NOTE 2.625% 9/1 | 674215AJ7 |
| — | VEECO INSTRS INC DEL | 23,000,000 | $20.52M | 0.2% | $0.92 | — | NOTE 2.700% 1/1 | 922417AD2 |
| — | TORTOISE ACQUISITION CORP | 2,077,938 | $20.2M | 0.2% | $9.72 | — | CL A | 89154L100 |
| — | HAYMAKER ACQUISITION CORP II | 2,000,000 | $20.12M | 0.2% | $10.06 | — | UNIT 10/31/2026 | 42087L200 |
| — | GX ACQUISITION CORP | 2,000,000 | $20.08M | 0.2% | $10.04 | — | UNIT 05/24/2026 | 36251A206 |
| — | HENNESSY CAP ACQUSTION CORP | 2,000,000 | $19.8M | 0.2% | $9.90 | — | CL A COM | 42589C104 |
| — | ZILLOW GROUP INC | 19,900,000 | $19.64M | 0.2% | $0.93 | — | NOTE 1.500% 7/0 | 98954MAC5 |
| — | CRESCENT ACQUISITION CORP | 2,000,000 | $19.6M | 0.2% | $9.80 | — | COM CL A | 22564L105 |
| OPTU | ALTICE USA INC | 795,657 | $19.25M | 0.2% | $17.78 | +33.5% | CL A | 02156K103 |
| — | BLACKSTONE MTG TR INC | 18,250,000 | $19.1M | 0.2% | $0.99 | — | NOTE 4.750% 3/1 | 09257WAC4 |
| — | II VI INC | 18,000,000 | $19M | 0.2% | $0.98 | — | NOTE 0.250% 9/0 | 902104AB4 |
| ILMN | ILLUMINA INC | 51,437 | $18.94M | 0.2% | $306.15 | +3.1% | COM | 452327109 |
| — | SEACOR HOLDINGS INC | 19,244,000 | $18.8M | 0.2% | $0.98 | — | NOTE 2.500%12/1 | 811904AM3 |
| — | APOLLO COML REAL EST FIN INC | 18,650,000 | $18.66M | 0.2% | $0.96 | — | NOTE 5.375%10/1 | 03762UAC9 |
| — | BOXWOOD MERGER CORP | 1,894,115 | $18.66M | 0.2% | $9.72 | — | COM CL A | 10319T101 |
| — | REDWOOD TR INC | 18,675,000 | $18.62M | 0.2% | $0.99 | — | NOTE 5.625% 7/1 | 758075AD7 |
| FTDR | FRONTDOOR INC | 421,960 | $18.38M | 0.2% | $29.63 | +29.6% | COM | 35905A109 |
| — | GANNETT CO INC | 18,050,000 | $18.29M | 0.2% | $1.01 | — | NOTE 4.750% 4/1 | 36473HAB0 |
| — | MICRO FOCUS INTERNATIONAL PL | 694,043 | $18.18M | 0.2% | $26.19 | — | SPON ADR NEW | 594837403 |
| — | REDWOOD TR INC | 18,450,000 | $18.08M | 0.2% | $0.99 | — | NOTE 4.750% 8/1 | 758075AC9 |
| WH | WYNDHAM HOTELS & RESORTS INC | 315,396 | $17.58M | 0.2% | $60.38 | -9.4% | COM | 98311A105 |
| — | HERCULES CAPITAL INC | 17,425,000 | $17.48M | 0.2% | $1.01 | — | DBCV 4.375% 2/0 | 427096AF9 |
| — | ACT II GLOBAL ACQUISITION CO | 1,800,000 | $17.46M | 0.2% | $9.70 | — | CL A SHS | G0080J104 |
| NVT | NVENT ELECTRIC PLC | 703,512 | $17.42M | 0.2% | $22.01 | +2.1% | SHS | G6700G107 |
| — | OPKO HEALTH INC | 19,875,000 | $17.41M | 0.2% | $0.95 | — | NOTE 4.500% 2/1 | 68375NAD5 |
| FOXA | FOX CORP | 474,625 | $17.39M | 0.2% | $35.28 | -4.9% | CL A COM | 35137L105 |
| — | LANDCADIA HLDGS II INC | 1,749,996 | $16.99M | 0.2% | $9.71 | — | CL A | 51476X105 |
| — | NXP SEMICONDUCTORS N V | 15,800,000 | $16.69M | 0.2% | $1.04 | — | NOTE 1.000%12/0 | 62952QAB6 |
| — | LIGAND PHARMACEUTICALS INC | 19,250,000 | $16.67M | 0.2% | $0.87 | — | NOTE 0.750% 5/1 | 53220KAF5 |
| — | QUOTIENT TECHNOLOGY INC | 16,950,000 | $16.41M | 0.2% | $0.95 | — | NOTE 1.750%12/0 | 749119AB9 |
| — | MFA FINL INC | 16,000,000 | $16.15M | 0.2% | $1.01 | — | NOTE 6.250% 6/1 | 55272XAA0 |
| — | INFINERA CORPORATION | 23,550,000 | $16.12M | 0.2% | $0.96 | — | NOTE 2.125% 9/0 | 45667GAC7 |
| — | HOPE BANCORP INC | 17,600,000 | $16.12M | 0.2% | $0.92 | — | NOTE 2.000% 5/1 | 43940TAB5 |
| REZI | RESIDEO TECHNOLOGIES INC | 748,658 | $16.04M | 0.2% | $21.35 | -1.0% | COM | 76118Y104 |
| — | ISTAR INC | 15,550,000 | $15.99M | 0.2% | $0.90 | — | NOTE 3.125% 9/1 | 45031UCB5 |
| — | INPHI CORP | 14,355,000 | $15.95M | 0.2% | $1.00 | — | NOTE 0.750% 9/0 | 45772FAC1 |
| — | CENTERPOINT ENERGY INC | 316,200 | $15.94M | 0.2% | $50.45 | — | DEP RP PFD CV B | 15189T503 |
| — | PROSPECT CAPITAL CORPORATION | 15,500,000 | $15.91M | 0.2% | $1.01 | — | NOTE 6.375% 3/0 | 74348TAT9 |
| — | TUSCAN HOLDINGS CORP | 1,600,000 | $15.84M | 0.2% | $9.90 | — | COM | 90069K104 |
| — | MONOCLE ACQUISITION CORP | 1,580,597 | $15.65M | 0.2% | $9.80 | — | COM | 609754106 |
| — | APERGY CORP | 471,485 | $15.62M | 0.2% | $41.73 | — | COM | 03755L104 |
| — | CHEGG INC | 10,000,000 | $15.34M | 0.2% | $1.53 | — | NOTE 0.250% 5/1 | 163092AB5 |
| — | BLACK KNIGHT INC | 251,173 | $15.11M | 0.2% | $50.78 | — | COM | 09215C105 |
| — | CF FIN ACQUISITION CORP | 1,500,000 | $15.04M | 0.2% | $9.90 | — | COM CL A | 12528N107 |
| ACA | ARCOSA INC | 399,078 | $15.02M | 0.2% | $27.08 | +23.4% | COM | 039653100 |
| — | SOUTH MTN MERGER CORP | 1,500,000 | $15M | 0.2% | $10.00 | — | UNIT 99/99/9999 | 838884203 |
| — | SCORPIO TANKERS INC | 14,250,000 | $14.88M | 0.2% | $0.96 | — | NOTE 3.000% 5/1 | 80918TAB5 |
| JBGS | JBG SMITH PPTYS | 376,581 | $14.81M | 0.2% | $34.21 | — | COM | 46590V100 |
| — | ELECTRONICS FOR IMAGING INC | 400,429 | $14.78M | 0.2% | $36.91 | — | COM | 286082102 |
| DOW | DOW INC | 289,836 | $14.29M | 0.2% | $36.37 | 0.0% | COM | 260557103 |
| NMRK | NEWMARK GROUP INC | 1,515,034 | $13.61M | 0.2% | $8.31 | -7.4% | CL A | 65158N102 |
| ILPT | INDUSTRIAL LOGISTICS PPTYS T | 650,014 | $13.53M | 0.2% | $20.35 | — | COM SHS BEN INT | 456237106 |
| ALC | ALCON INC | 215,766 | $13.39M | 0.2% | $57.87 | 0.0% | ORD SHS | H01301128 |
| — | INTREXON CORP | 18,600,000 | $13.2M | 0.2% | $1.19 | — | NOTE 3.500% 7/0 | 46122TAA0 |
| GTX | GARRETT MOTION INC | 836,691 | $12.84M | 0.1% | $13.82 | +22.8% | COM | 366505105 |
| — | SEMPRA ENERGY | 112,250 | $12.72M | 0.1% | $102.79 | — | 6% PFD CONV A | 816851406 |
| KTB | KONTOOR BRANDS INC | 452,842 | $12.69M | 0.1% | $29.07 | 0.0% | COM | 50050N103 |
| — | EQUITRANS MIDSTREAM CORPORAT | 627,558 | $12.35M | 0.1% | $21.78 | — | COM | 294600101 |
| — | NUVASIVE INC | 10,751,000 | $12.24M | 0.1% | $1.16 | — | NOTE 2.250% 3/1 | 670704AG0 |
| CTVA | CORTEVA INC | 402,013 | $11.89M | 0.1% | $25.02 | 0.0% | COM | 22052L104 |
| — | LIVE NATION ENTERTAINMENT IN | 10,000,000 | $11.86M | 0.1% | $1.16 | — | NOTE 2.500% 3/1 | 538034AQ2 |
| — | BLACKSTONE MTG TR INC | 11,325,000 | $11.86M | 0.1% | $1.02 | — | NOTE 4.375% 5/0 | 09257WAB6 |
| — | NUTANIX INC | 12,500,000 | $11.7M | 0.1% | $0.94 | — | NOTE 1/1 | 67059NAB4 |
| RPLA | REPLAY ACQUISITION CORP | 1,150,000 | $11.19M | 0.1% | $9.73 | — | COM | G75130107 |
| — | APOLLO COML REAL EST FIN INC | 11,150,000 | $11.18M | 0.1% | $1.01 | — | NOTE 4.750% 8/2 | 03762UAB1 |
| — | GS ACQUISITION HLDGS CORP | 1,099,902 | $11.11M | 0.1% | $9.75 | — | COM CL A | 36255F102 |
| — | WAGEWORKS INC | 216,220 | $10.98M | 0.1% | $50.79 | — | COM | 930427109 |
| — | SPARTAN ENERGY ACQUISITON CO | 1,089,998 | $10.9M | 0.1% | $9.63 | — | CL A COM STK | 846784106 |
| — | VIAVI SOLUTIONS INC | 9,040,000 | $10.64M | 0.1% | $1.18 | — | NOTE 1.000% 3/0 | 925550AB1 |
| — | INSURANCE ACQUISITION CORP | 1,100,000 | $10.62M | 0.1% | $9.65 | — | CL A | 457867109 |
| — | CHASERG TECHNLGY ACQUISITN C | 1,040,000 | $10.44M | 0.1% | $9.68 | — | CLASS A | 16166A103 |
| — | RETROPHIN INC | 11,500,000 | $10.36M | 0.1% | $0.90 | — | NOTE 2.500% 9/1 | 761299AB2 |
| — | FINTECH ACQUISITION CORP III | 1,050,000 | $10.3M | 0.1% | $9.75 | — | COM CL A | 31811A101 |
| — | CRAY INC | 287,048 | $9.995M | 0.1% | $34.82 | — | COM NEW | 225223304 |
| — | CONTROL4 CORP | 418,630 | $9.942M | 0.1% | $23.75 | — | COM | 21240D107 |
| — | NIELSEN HLDGS PLC | 442,329 | $9.842M | 0.1% | $22.25 | — | SHS EUR | G6518L108 |
| — | NEW MTN FIN CORP | 9,500,000 | $9.819M | 0.1% | $1.01 | — | NOTE 5.750% 8/1 | 647551AC4 |
| — | SCHULTZE SPL PURP ACQUSTN CO | 990,000 | $9.801M | 0.1% | $9.78 | — | COM | 80821R109 |
| — | COVETRUS INC | 388,432 | $9.501M | 0.1% | $24.46 | — | COM | 22304C100 |
| BMRN | BIOMARIN PHARMACEUTICAL INC | 111,474 | $9.41M | 0.1% | $91.23 | -6.2% | COM | 09061G101 |
| — | MEDICINES CO | 9,300,000 | $9.348M | 0.1% | $0.85 | — | NOTE 2.750% 7/1 | 584688AG0 |
| — | HUBSPOT INC | 5,000,000 | $9.333M | 0.1% | $1.87 | — | NOTE 0.250% 6/0 | 443573AB6 |
| — | VECTOIQ ACQUISITION CORP | 890,000 | $9.016M | 0.1% | $9.54 | — | COM | 92243N103 |
| — | CLOVIS ONCOLOGY INC | 10,000,000 | $8.919M | 0.1% | $0.93 | — | NOTE 2.500% 9/1 | 189464AB6 |
| W | WAYFAIR INC | 60,801 | $8.834M | 0.1% | $150.39 | 0.0% | CL A | 94419L101 |
| — | GORES HOLDINGS III INC | 849,996 | $8.542M | 0.1% | $9.67 | — | CLASS A | 38286G109 |
| BHF | BRIGHTHOUSE FINL INC | 232,572 | $8.382M | 0.1% | $59.67 | -35.3% | COM | 10922N103 |
| — | DELPHI TECHNOLOGIES PLC | 421,616 | $8.369M | 0.1% | $50.13 | — | SHS | G2709G107 |
| — | B RILEY PRINCIPAL MERGER COR | 850,000 | $8.288M | 0.1% | $9.75 | — | CL A | 05586Y106 |
| — | LF CAP ACQUISITION CORP | 810,000 | $8.222M | 0.1% | $9.56 | — | CL A | 50200K108 |
| — | PROSPECT CAPITAL CORPORATION | 8,100,000 | $8.174M | 0.1% | $0.99 | — | NOTE 4.950% 7/1 | 74348TAR3 |
| — | LIVENT CORP | 1,180,366 | $8.168M | 0.1% | $10.52 | — | COM | 53814L108 |
| — | GRAF INDL CORP | 816,000 | $8.119M | 0.1% | $9.60 | — | COM | 384278107 |
| — | VERASTEM INC | 15,000,000 | $7.913M | 0.1% | $0.78 | — | NOTE 5.000%11/0 | 92337CAA2 |
| — | TPG SPECIALTY LENDING INC | 7,500,000 | $7.738M | 0.1% | $1.02 | — | NOTE 4.500% 8/0 | 87265KAD4 |
| — | GIGCAPITAL2 INC | 765,000 | $7.688M | 0.1% | $10.05 | — | UNIT 02/28/2026 | 375036209 |
| — | ECHO GLOBAL LOGISTICS INC | 7,631,000 | $7.588M | 0.1% | $0.99 | — | NOTE 2.500% 5/0 | 27875TAA9 |
| — | WRIGHT MED GROUP N V | 5,000,000 | $7.419M | 0.1% | $1.48 | — | NOTE 2.250%11/1 | 98236JAB4 |
| — | Q2 HLDGS INC | 5,000,000 | $7.155M | 0.1% | $1.43 | — | NOTE 0.750% 2/1 | 74736LAB5 |
| — | RED HAT INC | 2,788,000 | $7.104M | 0.1% | $2.38 | — | NOTE 0.250%10/0 | 756577AD4 |
| — | FIDELITY SOUTHERN CORP NEW | 226,240 | $7.007M | 0.1% | $26.82 | — | COM | 316394105 |
| AKAM | AKAMAI TECHNOLOGIES INC | 88,118 | $7.002M | 0.1% | $69.91 | +10.6% | COM | 00971T101 |
| — | VEONEER INCORPORATED | 402,800 | $6.972M | 0.1% | $51.72 | — | COM | 92336X109 |
| — | GIGCAPITAL INC | 675,000 | $6.953M | 0.1% | $9.70 | — | COM | 37518N106 |
| — | PENSARE ACQUISITION CORP | 636,600 | $6.608M | 0.1% | $9.68 | — | COM | 70957E105 |
| — | PROS HOLDINGS INC | 3,500,000 | $6.551M | 0.1% | $1.62 | — | NOTE 2.000%12/0 | 74346YAB9 |
| — | LUMENTUM HLDGS INC | 5,500,000 | $6.486M | 0.1% | $1.18 | — | NOTE 0.250% 3/1 | 55024UAB5 |
| PNR | PENTAIR PLC | 168,126 | $6.254M | 0.1% | $40.19 | -14.1% | SHS | G7S00T104 |
| — | MODERN MEDIA ACQUISITION | 595,031 | $6.224M | 0.1% | $9.77 | — | COM | 60765P103 |
| — | VECTOR GROUP LTD | 6,000,000 | $6.206M | 0.1% | $1.06 | — | FRNT 4/1 | 92240MBC1 |
| — | NEW FRONTIER CORP | 599,977 | $6.042M | 0.1% | $9.62 | — | COM CL A | G6485P108 |
| — | DIAMOND EAGLE ACQUISITION CO | 600,000 | $6.036M | 0.1% | $10.06 | — | UNIT 06/30/2026 | 25258L208 |
| — | HELIX ENERGY SOLUTIONS GRP I | 5,000,000 | $6.031M | 0.1% | $0.98 | — | NOTE 4.125% 9/1 | 42330PAJ6 |
| — | GORDON POINTE ACQUISITION CO | 579,800 | $5.989M | 0.1% | $9.79 | — | COM CLASS A | 382788107 |
| — | HCI GROUP INC | 6,000,000 | $5.913M | 0.1% | $0.98 | — | NOTE 4.250% 3/0 | 40416EAD5 |
| — | ANDINA ACQUISITION CORP III | 600,000 | $5.886M | 0.1% | $9.75 | — | SHS | G04415108 |
| — | FINISAR CORP | 6,000,000 | $5.865M | 0.1% | $0.95 | — | NOTE 0.500%12/1 | 31787AAP6 |
| — | GREEN PLAINS INC | 6,750,000 | $5.837M | 0.1% | $0.97 | — | NOTE 4.125% 9/0 | 393222AF1 |
| — | VIAVI SOLUTIONS INC | 5,000,000 | $5.804M | 0.1% | $1.16 | — | NOTE 1.750% 6/0 | 925550AE5 |
| — | TWELVE SEAS INVESTMENT COMPA | 560,000 | $5.684M | 0.1% | $9.52 | — | SHS | G9145A107 |
| TSLA | TESLA INC | 25,422 | $5.681M | 0.1% | $17.78 | -12.5% | COM | 88160R101 |
| — | NUANCE COMMUNICATIONS INC | 5,509,000 | $5.426M | 0.1% | $0.99 | — | NOTE 1.250% 4/0 | 67020YAN0 |
| — | OSI SYSTEMS INC | 4,500,000 | $5.345M | 0.1% | $1.19 | — | NOTE 1.250% 9/0 | 671044AD7 |
| — | TKK SYMPHONY ACQUISITION COR | 525,000 | $5.255M | 0.1% | $9.50 | — | ORD SHS | G88950103 |
| — | GRANITE PT MTG TR INC | 5,000,000 | $5.191M | 0.1% | $0.99 | — | NOTE 6.375%10/0 | 38741LAC1 |
| — | MEDICINES CO | 4,300,000 | $5.186M | 0.1% | $0.94 | — | NOTE 2.500% 1/1 | 584688AE5 |
| — | GORES METROPOULOS INC | 499,998 | $5.115M | 0.1% | $9.75 | — | COM CL A | 382872109 |
| — | AMCI ACQUISITION CORP | 510,000 | $5.069M | 0.1% | $9.84 | — | CLASS A | 00165R101 |
| — | EZCORP INC | 5,500,000 | $5.003M | 0.1% | $0.91 | — | NOTE 2.375% 5/0 | 302301AE6 |
| — | INTERCEPT PHARMACEUTICALS IN | 5,000,000 | $4.973M | 0.1% | $0.99 | — | NOTE 2.000% 5/1 | 45845PAB4 |
| — | CLOVIS ONCOLOGY INC | 7,350,000 | $4.609M | 0.1% | $0.92 | — | NOTE 1.250% 5/0 | 189464AC4 |
| — | MUDRICK CAP ACQUISITION CORP | 450,000 | $4.586M | 0.1% | $9.62 | — | COM CLASS A | 624745105 |
| — | DFB HEALTHCARE ACQUISTION CO | 449,999 | $4.54M | 0.1% | $9.65 | — | COM | 23291E109 |
| ARLO | ARLO TECHNOLOGIES INC | 1,109,016 | $4.447M | 0.1% | $5.54 | -29.1% | COM | 04206A101 |
| — | NEBULA ACQUISITION CORP | 439,998 | $4.44M | 0.1% | $9.65 | — | COM CLASS A | 629076100 |
| — | RUDOLPH TECHNOLOGIES INC | 158,341 | $4.375M | 0.0% | $27.63 | — | COM | 781270103 |
| — | MEGALITH FINL ACQUISITION CO | 431,400 | $4.331M | 0.0% | $9.51 | — | CL A COM | 58518F109 |
| — | LEGACY ACQUISITION CORP | 400,000 | $4.04M | 0.0% | $9.59 | — | COM CL A | 524643103 |
| — | PROFICIENT ALPHA ACQUSTN COR | 400,000 | $3.896M | 0.0% | $9.74 | — | COM | 74317H105 |
| — | INTERNATIONAL SPEEDWAY CORP | 86,360 | $3.877M | 0.0% | $44.89 | — | CL A | 460335201 |
| — | C&J ENERGY SVCS INC NEW | 317,910 | $3.745M | 0.0% | $11.78 | — | COM | 12674R100 |
| — | FAR PT ACQUISITION CORP | 349,998 | $3.566M | 0.0% | $9.75 | — | COM CL A | 30734W109 |
| — | CHURCHILL CAP CORP II | 350,000 | $3.553M | 0.0% | $10.15 | — | UNIT 99/99/9999 | 17143G205 |
| — | LEISURE ACQUISITION CORP | 350,000 | $3.546M | 0.0% | $9.57 | — | COM | 52539T107 |
| — | COLLIER CREEK HOLDINGS | 349,998 | $3.5M | 0.0% | $9.64 | — | COM CL A | G22707106 |
| — | CAESARS ENTMT CORP | 2,000,000 | $3.428M | 0.0% | $1.70 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | PLUG POWER INC | 3,000,000 | $3.33M | 0.0% | $1.11 | — | NOTE 5.500% 3/1 | 72919PAB9 |
| — | INNOVIVA INC | 3,000,000 | $3.32M | 0.0% | $1.14 | — | NOTE 2.500% 8/1 | 45781MAB7 |
| — | CLARIVATE ANALYTICS PLC | 697,500 | $3.313M | 0.0% | $4.75 | — | *W EXP 11/09/201 | G21810117 |
| RWGE | REGALWOOD GLOBAL ENERGY LTD | 322,777 | $3.292M | 0.0% | $9.70 | — | COM CL A | G74760102 |
| — | THUNDER BRIDGE ACQUISITION L | 1,620,000 | $3.272M | 0.0% | $0.45 | — | *W EXP 01/01/202 | G8857R126 |
| — | INVACARE CORP | 4,000,000 | $3.271M | 0.0% | $1.01 | — | NOTE 5.000% 2/1 | 461203AF8 |
| CARS | CARS COM INC | 160,764 | $3.17M | 0.0% | $28.80 | -25.8% | COM | 14575E105 |
| — | TRINITY MERGER CORP | 299,996 | $3.09M | 0.0% | $9.76 | — | COM CL A | 89653L106 |
| — | TIBERIUS ACQUISITION CORP | 300,000 | $3.051M | 0.0% | $9.56 | — | COM | 88633A107 |
| — | PURE ACQUISITION CORP | 300,000 | $3.042M | 0.0% | $9.64 | — | CL A | 74621Q106 |
| — | FORUM MERGER II CORP | 300,000 | $3.012M | 0.0% | $9.55 | — | CL A | 34986F103 |
| — | ALLEGRO MERGER CORP | 300,000 | $3.006M | 0.0% | $9.51 | — | COM | 01749N103 |
| PODD | INSULET CORP | 24,851 | $2.911M | 0.0% | $102.53 | 0.0% | COM | 45784P101 |
| CME | CME GROUP INC | 15,000 | $2.911M | 0.0% | $144.47 | 0.0% | COM | 12572Q105 |
| — | MAGNACHIP SEMICONDUCTOR SA | 2,000,000 | $2.758M | 0.0% | $1.36 | — | NOTE 5.000% 3/0 | 55932XAB0 |
| BKNG | BOOKING HLDGS INC | 1,382 | $2.561M | 0.0% | $1929.24 | -8.4% | COM | 09857L108 |
| EEFT | EURONET WORLDWIDE INC | 15,190 | $2.556M | 0.0% | $152.87 | 0.0% | COM | 298736109 |
| — | COMPUCREDIT HLDGS CORP | 5,000,000 | $2.55M | 0.0% | $0.42 | — | NOTE 5.875%11/3 | 20478NAD2 |
| RIG | TRANSOCEAN LTD | 393,886 | $2.489M | 0.0% | $8.82 | -15.7% | REG SHS | H8817H100 |
| — | GOPRO INC | 2,500,000 | $2.481M | 0.0% | $0.93 | — | NOTE 3.500% 4/1 | 38268TAB9 |
| — | QTS RLTY TR INC | 22,250 | $2.481M | 0.0% | $105.87 | — | 6.50% CON PFD B | 74736A301 |
| — | PIVOTAL ACQUISITION CORP | 1,800,000 | $2.43M | 0.0% | $0.43 | — | *W EXP 12/01/202 | 72583A119 |
| — | HARMONIC INC | 2,000,000 | $2.34M | 0.0% | $1.08 | — | NOTE 4.000%12/0 | 413160AB8 |
| — | NATIONAL HEALTH INVS INC | 2,000,000 | $2.307M | 0.0% | $1.10 | — | NOTE 3.250% 4/0 | 63633DAE4 |
| — | HL ACQUISITIONS CORP | 216,000 | $2.175M | 0.0% | $9.50 | — | SHS | G4603R106 |
| — | AIR TRANSPORT SERVICES GRP I | 88,977 | $2.171M | 0.0% | $23.05 | — | COM | 00922R105 |
| — | BLACK RIDGE ACQUISITION CORP | 210,000 | $2.157M | 0.0% | $9.66 | — | COM | 09216T107 |
| — | NEW RELIC INC | 24,905 | $2.155M | 0.0% | $98.68 | — | COM | 64829B100 |
| — | SOUTH JERSEY INDS INC | 39,700 | $2.118M | 0.0% | $55.51 | — | UNIT 99/99/9999 | 838518116 |
| — | BIG ROCK PARTNERS ACQUISI CO | 200,000 | $2.086M | 0.0% | $9.70 | — | COM | 089482103 |
| — | VEONEER INCORPORATED | 2,000,000 | $2.083M | 0.0% | $1.04 | — | NOTE 4.000% 6/0 | 92336XAA7 |
| — | PARATEK PHARMACEUTICALS INC | 3,050,000 | $2.082M | 0.0% | $0.68 | — | NOTE 4.750% 5/0 | 699374AB0 |
| — | INTREXON CORP | 265,881 | $2.037M | 0.0% | $6.44 | — | COM | 46122T102 |
| — | CHESAPEAKE LODGING TR | 71,191 | $2.023M | 0.0% | $28.42 | — | SH BEN INT | 165240102 |
| — | CORENERGY INFRASTRUCTURE TR | 1,500,000 | $1.83M | 0.0% | $0.85 | — | NOTE 7.000% 6/1 | 21870UAA4 |
| — | VIRTUS INVT PARTNERS INC | 17,975 | $1.681M | 0.0% | $97.25 | — | PFD CV SER D | 92828Q208 |
| XYZ | SQUARE INC | 23,374 | $1.673M | 0.0% | $69.86 | 0.0% | CL A | 852234103 |
| — | PTC THERAPEUTICS INC | 1,500,000 | $1.664M | 0.0% | $1.04 | — | NOTE 3.000% 8/1 | 69366JAB7 |
| EXPE | EXPEDIA GROUP INC | 12,705 | $1.662M | 0.0% | $134.20 | -10.0% | COM NEW | 30212P303 |
| — | FINTECH ACQUISITION CORP III | 1,150,000 | $1.564M | 0.0% | $0.91 | — | *W EXP 12/01/202 | 31811A119 |
| — | TIMKENSTEEL CORP | 1,500,000 | $1.557M | 0.0% | $1.04 | — | NOTE 6.000% 6/0 | 887399AA1 |
| — | BOXWOOD MERGER CORP | 2,500,000 | $1.55M | 0.0% | $0.38 | — | *W EXP 11/26/202 | 10319T119 |
| — | INVACARE CORP | 1,950,000 | $1.468M | 0.0% | $1.33 | — | NOTE 4.500% 6/0 | 461203AH4 |
| — | LEO HOLDINGS CORP | 1,115,000 | $1.394M | 0.0% | $1.07 | — | *W EXP 02/07/202 | G5463L113 |
| JAZZ | JAZZ PHARMACEUTICALS PLC | 9,081 | $1.267M | 0.0% | $165.10 | -18.6% | SHS USD | G50871105 |
| — | TUSCAN HOLDINGS CORP | 1,600,000 | $1.248M | 0.0% | $0.78 | — | *W EXP 04/01/202 | 90069K112 |
| ENB | ENBRIDGE INC | 33,984 | $1.226M | 0.0% | $20.25 | +16.0% | COM | 29250N105 |
| — | FLEXION THERAPEUTICS INC | 1,330,000 | $1.161M | 0.0% | $0.83 | — | NOTE 3.375% 5/0 | 33938JAB2 |
| OKE | ONEOK INC NEW | 16,899 | $1.144M | 0.0% | $32.05 | +36.8% | COM | 682680103 |
| — | EZCORP INC | 1,000,000 | $1.139M | 0.0% | $1.25 | — | NOTE 2.875% 7/0 | 302301AF3 |
| — | LIBERTY MEDIA CORP DELAWARE | 1,000,000 | $1.125M | 0.0% | $1.07 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | MUDRICK CAP ACQUISITION CORP | 2,250,000 | $1.103M | 0.0% | $0.64 | — | *W EXP 02/12/202 | 624745113 |
| — | ORITANI FINL CORP DEL | 58,588 | $1.039M | 0.0% | $17.73 | — | COM | 68633D103 |
| — | FORUM MERGER II CORP | 1,620,000 | $1.036M | 0.0% | $0.58 | — | *W EXP 09/30/202 | 34986F111 |
| — | OPES ACQUISITION CORP | 100,000 | $1.026M | 0.0% | $9.69 | — | COM | 68373P100 |
| — | ARYA SCIENCES ACQUISITION CO | 100,000 | $1.004M | 0.0% | $9.80 | — | SHS CL A | G3165V109 |
| — | CRESTWOOD EQUITY PARTNERS LP | 27,936 | $999K | 0.0% | $21.28 | — | UNIT LTD PARTNER | 226344208 |
| ET | ENERGY TRANSFER LP | 69,888 | $984K | 0.0% | $13.21 | — | COM UT LTD PTN | 29273V100 |
| — | PURE ACQUISITION CORP | 862,500 | $932K | 0.0% | $1.28 | — | *W EXP 04/17/202 | 74621Q114 |
| — | RANPAK HLDGS CORP | 775,000 | $930K | 0.0% | $1.20 | — | *W EXP 06/03/202 | 75321W111 |
| CQP | CHENIERE ENERGY PARTNERS LP | 21,785 | $919K | 0.0% | $29.69 | — | COM UNIT | 16411Q101 |
| — | CF FIN ACQUISITION CORP | 1,500,000 | $900K | 0.0% | $0.43 | — | *W EXP 04/30/202 | 12528N115 |
| — | CBRE CLARION GLOBAL REAL EST | 120,167 | $900K | 0.0% | $6.59 | — | COM | 12504G100 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 14,000 | $896K | 0.0% | $71.65 | — | COM UNIT RP LP | 559080106 |
| — | VITAMIN SHOPPE INC | 1,000,000 | $891K | 0.0% | $0.93 | — | NOTE 2.250%12/0 | 92849EAB7 |
| WMB | WILLIAMS COS INC DEL | 31,910 | $888K | 0.0% | $19.23 | -0.3% | COM | 969457100 |
| PAA | PLAINS ALL AMERN PIPELINE L | 36,000 | $877K | 0.0% | $28.97 | — | UNIT LTD PARTN | 726503105 |
| — | TRINE ACQUISITION CORP | 1,150,000 | $873K | 0.0% | $0.76 | — | *W EXP 03/31/202 | 89628U116 |
| EPD | ENTERPRISE PRODS PARTNERS L | 30,000 | $866K | 0.0% | $32.63 | — | COM | 293792107 |
| MPLX | MPLX LP | 26,000 | $837K | 0.0% | $48.39 | — | COM UNIT REP LTD | 55336V100 |
| TRGP | TARGA RES CORP | 21,184 | $819K | 0.0% | $28.49 | +14.5% | COM | 87612G101 |
| — | BUCKEYE PARTNERS L P | 19,000 | $780K | 0.0% | $54.62 | — | UNIT LTD PARTN | 118230101 |
| ATLC | ATLANTICUS HLDGS CORP | 191,430 | $775K | 0.0% | $2.61 | +35.5% | COM | 04914Y102 |
| — | VECTOIQ ACQUISITION CORP | 1,620,000 | $761K | 0.0% | $0.51 | — | *W EXP 05/11/202 | 92243N111 |
| — | BLACKROCK FLOAT RATE OME STR | 58,630 | $752K | 0.0% | $12.10 | — | COM | 09255X100 |
| — | DFB HEALTHCARE ACQUISTION CO | 599,999 | $750K | 0.0% | $1.30 | — | *W EXP 04/11/202 | 23291E117 |
| — | TRINITY MERGER CORP | 2,250,000 | $740K | 0.0% | $0.40 | — | *W EXP 05/11/202 | 89653L114 |
| — | TALLGRASS ENERGY LP | 35,000 | $739K | 0.0% | $23.36 | — | CLASS A SHS | 874696107 |
| — | TORTOISE ACQUISITION CORP | 1,038,969 | $727K | 0.0% | $0.70 | — | *W EXP 03/04/202 | 89154L118 |
| WES | WESTERN MIDSTREAM PARTNERS L | 23,000 | $708K | 0.0% | $31.25 | — | COM UNIT LP INT | 958669103 |
| — | DCP MIDSTREAM LP | 24,000 | $703K | 0.0% | $32.02 | — | COM UT LTD PTN | 23311P100 |
| — | GRAF INDL CORP | 1,782,000 | $702K | 0.0% | $0.40 | — | *W EXP 12/31/202 | 384278115 |
| — | ADAM NAT RES FD INC | 42,411 | $701K | 0.0% | $14.96 | — | COM | 00548F105 |
| — | IAC INTERACTIVECORP | 3,236 | $701K | 0.0% | $216.63 | — | COM | 44919P508 |
| — | ENABLE MIDSTREAM PARTNERS LP | 50,000 | $686K | 0.0% | $13.84 | — | COM UNIT RP IN | 292480100 |
| — | PHILLIPS 66 PARTNERS LP | 13,900 | $686K | 0.0% | $60.36 | — | COM UNIT REP INT | 718549207 |
| — | EATON VANCE FLTING RATE INC | 50,662 | $683K | 0.0% | $12.81 | — | COM | 278279104 |
| — | AMCI ACQUISITION CORP | 2,300,000 | $667K | 0.0% | $0.28 | — | *W EXP 05/20/202 | 00165R119 |
| ZM | ZOOM VIDEO COMMUNICATIONS IN | 7,500 | $666K | 0.0% | $82.26 | 0.0% | CL A | 98980L101 |
| — | BLACKROCK DEBT STRAT FD INC | 61,419 | $661K | 0.0% | $10.06 | — | COM NEW | 09255R202 |
| OIS | OIL STS INTL INC | 35,277 | $646K | 0.0% | $31.71 | -43.5% | COM | 678026105 |
| — | PIVOTAL ACQUISITION CORP | 62,411 | $633K | 0.0% | $9.78 | — | CL A COM | 72583A101 |
| — | EATON VANCE TX ADV GLBL DIV | 38,968 | $625K | 0.0% | $14.58 | — | COM | 27828S101 |
| — | GS ACQUISITION HLDGS CORP | 500,000 | $625K | 0.0% | $1.65 | — | *W EXP 06/12/202 | 36255F110 |
| — | ANDEAVOR LOGISTICS LP | 17,000 | $618K | 0.0% | $47.07 | — | COM UNIT LP INT | 03350F106 |
| — | EATON VANCE SR FLTNG RTE TR | 46,543 | $609K | 0.0% | $12.71 | — | COM | 27828Q105 |
| — | HOLLY ENERGY PARTNERS L P | 22,100 | $608K | 0.0% | $30.79 | — | COM UT LTD PTN | 435763107 |
| — | CHASERG TECHNLGY ACQUISITN C | 810,000 | $608K | 0.0% | $0.73 | — | *W EXP 04/10/202 | 16166A111 |
| — | ARES DYNAMIC CR ALLOCATION F | 39,999 | $605K | 0.0% | $14.06 | — | COM | 04014F102 |
| AM | ANTERO MIDSTREAM CORP | 52,600 | $603K | 0.0% | $6.28 | +0.1% | COM | 03676B102 |
| — | TC PIPELINES LP | 15,700 | $591K | 0.0% | $48.70 | — | UT COM LTD PRT | 87233Q108 |
| GEL | GENESIS ENERGY L P | 27,000 | $591K | 0.0% | $35.20 | — | UNIT LTD PARTN | 371927104 |
| — | HESS MIDSTREAM PARTNERS LP | 30,300 | $591K | 0.0% | $20.84 | — | UNIT LTD PR INT | 428104103 |
| — | BLACKROCK LTD DURATION INC T | 39,304 | $590K | 0.0% | $13.63 | — | COM SHS | 09249W101 |
| — | MONOCLE ACQUISITION CORP | 1,680,597 | $588K | 0.0% | $0.32 | — | *W EXP 12/06/202 | 609754114 |
| — | EQM MIDSTREAM PARTNERS LP | 13,000 | $581K | 0.0% | $50.92 | — | UNIT LTD PARTN | 26885B100 |
| — | FIRST TR SR FLG RTE INCM FD | 47,709 | $575K | 0.0% | $11.33 | — | COM | 33733U108 |
| — | ENLINK MIDSTREAM LLC | 55,000 | $555K | 0.0% | $12.33 | — | COM UNIT REP LTD | 29336T100 |
| — | RATTLER MIDSTREAM LP | 28,159 | $546K | 0.0% | $19.39 | — | COM UNITS | 75419T103 |
| PINS | PINTEREST INC | 20,000 | $544K | 0.0% | $27.32 | 0.0% | CL A | 72352L106 |
| — | SHELL MIDSTREAM PARTNERS L P | 26,000 | $539K | 0.0% | $31.47 | — | UNIT LTD INT | 822634101 |
| — | DIVIDEND & INCOME FUND | 46,436 | $535K | 0.0% | $11.19 | — | COM NEW | 25538A204 |
| — | DWS MUN INCOME TR NEW | 46,881 | $528K | 0.0% | $10.35 | — | COM | 233368109 |
| — | BLACKROCK FLOATING RATE INCO | 42,402 | $527K | 0.0% | $11.83 | — | COM | 091941104 |
| PNBK | PATRIOT NATL BANCORP INC | 34,442 | $514K | 0.0% | $19.52 | -20.0% | COM NEW | 70336F203 |
| — | TEEKAY LNG PARTNERS L P | 36,000 | $508K | 0.0% | $22.73 | — | PRTNRSP UNITS | Y8564M105 |
| — | CNX MIDSTREAM PARTNERS LP | 36,000 | $506K | 0.0% | $18.21 | — | COM UNIT REPST | 12654A101 |
| XBFZX | BLACKROCK CALIF MUN INCOME T | 37,976 | $503K | 0.0% | $12.38 | — | SH BEN INT | 09248E102 |
| — | BLACKROCK RES & COMM STRAT T | 60,764 | $497K | 0.0% | $7.16 | — | SHS | 09257A108 |
| — | APOLLO SR FLOATING RATE FD I | 32,673 | $488K | 0.0% | $14.53 | — | COM | 037636107 |
| — | AMERIGAS PARTNERS L P | 13,864 | $483K | 0.0% | $45.84 | — | UNIT L P INT | 030975106 |
| ADPT | ADAPTIVE BIOTECHNOLOGIES COR | 10,000 | $483K | 0.0% | $44.30 | 0.0% | COM | 00650F109 |
| — | GORES HOLDINGS III INC | 333,332 | $483K | 0.0% | $1.30 | — | *W EXP 09/11/202 | 38286G117 |
| — | RETAIL VALUE INC | 13,830 | $481K | 0.0% | $32.63 | — | COM | 76133Q102 |
| XPHDX | PIONEER FLOATING RATE TR | 44,295 | $474K | 0.0% | $9.93 | — | COM | 72369J102 |
| — | NUSTAR ENERGY LP | 17,439 | $473K | 0.0% | $49.79 | — | UNIT COM | 67058H102 |
| — | FIRST TR HIGH INCOME L/S FD | 31,454 | $472K | 0.0% | $13.27 | — | COM | 33738E109 |
| — | TEKLA HEALTHCARE INVS | 23,229 | $466K | 0.0% | $18.27 | — | SH BEN INT | 87911J103 |
| UBER | UBER TECHNOLOGIES INC | 10,000 | $464K | 0.0% | $42.45 | 0.0% | COM | 90353T100 |
| — | INVESCO DYNAMIC CR OPP FD | 41,468 | $464K | 0.0% | $10.60 | — | COM | 46132R104 |
| — | EATON VANCE SR INCOME TR | 71,569 | $446K | 0.0% | $6.03 | — | SH BEN INT | 27826S103 |
| — | NUVEEN VIRGINIA QLTY MUNCPL | 33,965 | $443K | 0.0% | $12.30 | — | COM | 67064R102 |
| TW | TRADEWEB MKTS INC | 10,000 | $438K | 0.0% | $41.74 | 0.0% | CL A | 892672106 |
| — | WESTERN ASSET INTM MUNI FD I | 48,141 | $432K | 0.0% | $8.46 | — | COM | 958435109 |
| — | SCHULTZE SPL PURP ACQUSTN CO | 1,440,000 | $432K | 0.0% | $0.35 | — | *W EXP 12/31/202 | 80821R117 |
| — | NUVEEN REAL ASSET INM AND GW | 24,889 | $421K | 0.0% | $13.95 | — | COM | 67074Y105 |
| GPRO | GOPRO INC | 76,743 | $419K | 0.0% | $5.88 | +8.1% | CL A | 38268T103 |
| — | BIOCERES CROP SOLUTIONS CORP | 1,250,000 | $413K | 0.0% | $0.27 | — | *W EXP 03/14/202 | G1117K106 |
| — | APOLLO TACTICAL INCOME FD IN | 27,921 | $412K | 0.0% | $14.03 | — | COM | 037638103 |
| — | LF CAP ACQUISITION CORP | 1,200,000 | $408K | 0.0% | $0.55 | — | *W EXP 06/22/202 | 50200K116 |
| — | LEISURE ACQUISITION CORP | 625,000 | $406K | 0.0% | $0.75 | — | *W EXP 12/05/201 | 52539T115 |
| — | LEGACY ACQUISITION CORP | 1,250,000 | $400K | 0.0% | $0.35 | — | *W EXP 11/30/202 | 524643111 |
| — | REGALWOOD GLOBAL ENERGY LTD | 440,925 | $397K | 0.0% | $1.10 | — | *W EXP 12/05/202 | G74760128 |
| — | NUVEEN MICHIGAN QLT MUN INC | 28,667 | $389K | 0.0% | $12.68 | — | COM | 670979103 |
| — | BLACKROCK MUNIHLDGS NJ QLTY | 27,936 | $389K | 0.0% | $12.96 | — | COM | 09254X101 |
| — | SPARTAN ENERGY ACQUISITON CO | 434,999 | $387K | 0.0% | $0.97 | — | *W EXP 08/27/202 | 846784122 |
| — | FAR PT ACQUISITION CORP | 299,999 | $384K | 0.0% | $1.39 | — | *W EXP 06/01/202 | 30734W117 |
| — | BLACKROCK MUNIYIELD PA QLTY | 26,993 | $378K | 0.0% | $12.96 | — | COM | 09255G107 |
| — | GORDON POINTE ACQUISITION CO | 1,106,820 | $376K | 0.0% | $0.60 | — | *W EXP 07/30/202 | 382788115 |
| — | TIBERIUS ACQUISITION CORP | 1,057,500 | $370K | 0.0% | $0.55 | — | *W EXP 02/28/202 | 88633A115 |
| — | MEGALITH FINL ACQUISITION CO | 1,153,800 | $358K | 0.0% | $0.60 | — | *W EXP 08/26/202 | 58518F117 |
| — | BLACKROCK MUNIHLDNGS QLTY II | 28,268 | $356K | 0.0% | $11.75 | — | COM | 09254C107 |
| CRWD | CROWDSTRIKE HLDGS INC | 5,000 | $341K | 0.0% | $68.02 | 0.0% | CL A | 22788C105 |
| — | CYCLERION THERAPEUTICS INC | 29,684 | $340K | 0.0% | $11.45 | — | COM | 23255M105 |
| — | GIGCAPITAL INC | 1,125,000 | $338K | 0.0% | $0.47 | — | *W EXP 06/08/202 | 37518N122 |
| — | BLACKROCK MUNICIPL INC QLTY | 24,502 | $337K | 0.0% | $12.68 | — | COM | 092479104 |
| — | BLACKROCK MUNIYIELD N J FD I | 22,258 | $330K | 0.0% | $12.95 | — | COM | 09254Y109 |
| — | BLACKROCK MUNIYIELD CALIF FD | 23,332 | $328K | 0.0% | $13.01 | — | COM | 09254M105 |
| — | NUVEEN OHIO QLTY MUN INCOME | 22,017 | $328K | 0.0% | $13.64 | — | COM | 670980101 |
| — | NUVEEN NORTH CAROLINA QLTY M | 24,462 | $326K | 0.0% | $12.15 | — | COM | 67060P100 |
| — | BLACKROCK MUNIYIELD QUALITY | 22,479 | $326K | 0.0% | $13.20 | — | COM | 09254F100 |
| NESRW | NATIONAL ENERGY SERVICES REU | 383,983 | $326K | 0.0% | $0.55 | — | *W EXP 05/05/202 | G6375R115 |
| — | FEDERATED PREM MUN INC FD | 23,206 | $319K | 0.0% | $12.78 | — | COM | 31423P108 |
| — | NEW FRONTIER CORP | 450,000 | $315K | 0.0% | $1.18 | — | *W EXP 99/99/999 | G6485P124 |
| — | LEO HOLDINGS CORP | 30,600 | $314K | 0.0% | $9.65 | — | COM CL A | G5463L105 |
| — | ALLIANZGI NFJ DIVID INT & PR | 25,213 | $313K | 0.0% | $10.87 | — | COM | 01883A107 |
| — | ROYCE VALUE TR INC | 22,483 | $313K | 0.0% | $11.79 | — | COM | 780910105 |
| — | BROOKFIELD GLOBL LISTED INFR | 24,267 | $311K | 0.0% | $10.51 | — | COM SHS | 11273Q109 |
| — | NRC GROUP HLDGS CORP | 187,500 | $310K | 0.0% | $0.81 | — | *W EXP 10/17/202 | 629375114 |
| — | BLACKROCK ENHANCED INTL DIV | 55,141 | $310K | 0.0% | $4.99 | — | COM BENE INTER | 092524107 |
| — | BP MIDSTREAM PARTNERS LP | 20,000 | $310K | 0.0% | $19.62 | — | UNIT LTD PTNR | 0556EL109 |
| — | NUVEEN SR INCOME FD | 52,345 | $310K | 0.0% | $5.55 | — | COM | 67067Y104 |
| — | BLACKROCK MUNIYLD MICH QLTY | 22,291 | $306K | 0.0% | $12.60 | — | COM | 09254V105 |
| XVMMX | DELAWARE INV MN MUN INC FD I | 23,046 | $296K | 0.0% | $12.11 | — | COM | 24610V103 |
| — | ALLIANCEBERNSTEIN NATL MUNI | 21,878 | $294K | 0.0% | $12.25 | — | COM | 01864U106 |
| — | CHANGE HEALTHCARE INC | 20,000 | $292K | 0.0% | $14.60 | — | COM | 15912K100 |
| — | SEMGROUP CORP | 24,333 | $292K | 0.0% | $36.77 | — | CL A | 81663A105 |
| MMLP | MARTIN MIDSTREAM PRTNRS L P | 40,794 | $291K | 0.0% | $23.44 | — | UNIT L P INT | 573331105 |
| — | NUVEEN FLTNG RTE INCM OPP FD | 29,174 | $284K | 0.0% | $9.06 | — | COM SHS | 6706EN100 |
| — | EATON VANCE LTD DUR INCOME F | 22,388 | $283K | 0.0% | $12.17 | — | COM | 27828H105 |
| — | MAGNOLIA OIL & GAS CORP | 83,333 | $278K | 0.0% | $4.70 | — | *W EXP 07/31/202 | 559663117 |
| — | MACQUARIE GLBL INFRA TOTL RE | 11,705 | $277K | 0.0% | $19.07 | — | COM | 55608D101 |
| — | GENERAL AMERN INVS INC | 7,783 | $276K | 0.0% | $28.48 | — | COM | 368802104 |
| — | SUMMIT MIDSTREAM PARTNERS LP | 36,000 | $268K | 0.0% | $23.30 | — | COM UNIT LTD | 866142102 |
| IQ | IQIYI INC | 13,000 | $268K | 0.0% | $20.62 | — | SPONSORED ADS | 46267X108 |
| XMUSX | BLACKROCK MUNIHOLDNGS QLTY I | 21,470 | $267K | 0.0% | $11.41 | — | COM | 09254A101 |
| — | IVY HIGH INC OPPORTUNITIES F | 19,493 | $265K | 0.0% | $12.14 | — | COM | 465893105 |
| — | NUVEEN ARIZONA QLTY MUN INC | 20,042 | $262K | 0.0% | $11.88 | — | COM | 67061W104 |
| XBNYX | BLACKROCK N Y MUN INCOME TR | 19,140 | $260K | 0.0% | $12.19 | — | SH BEN INT | 09248L106 |
| — | DTF TAX-FREE INCOME INC | 18,692 | $259K | 0.0% | $13.33 | — | COM | 23334J107 |
| — | KLX ENERGY SERVICS HOLDNGS I | 12,542 | $256K | 0.0% | $32.03 | — | COM | 48253L106 |
| — | ADVENT CLAYMORE CV SECS & IN | 17,003 | $256K | 0.0% | $12.82 | — | COM | 00764C109 |
| — | NUVEEN MARYLAND QLT MUN INC | 19,706 | $255K | 0.0% | $11.96 | — | COM | 67061Q107 |
| — | NUVEEN CONNECTICUT QLTY MUN | 19,452 | $252K | 0.0% | $11.61 | — | COM | 67060D107 |
| — | TKK SYMPHONY ACQUISITION COR | 1,850,000 | $241K | 0.0% | $0.23 | — | *W EXP 02/20/202 | G88950129 |
| — | BLACKROCK MUNIHLDGS NY QLTY | 18,078 | $238K | 0.0% | $12.23 | — | COM | 09255C106 |
| — | FALCON MINERALS CORP | 250,000 | $238K | 0.0% | $1.72 | — | *W EXP 07/21/202 | 30607B208 |
| PD | PAGERDUTY INC | 5,000 | $235K | 0.0% | $48.56 | 0.0% | COM | 69553P100 |
| — | NEBULA ACQUISITION CORP | 233,332 | $233K | 0.0% | $0.91 | — | *W EXP 03/12/202 | 629076118 |
| — | NUVEEN NEW YORK QLT MUN INC | 16,478 | $228K | 0.0% | $12.38 | — | COM | 67066X107 |
| — | ALLEGRO MERGER CORP | 900,000 | $225K | 0.0% | $0.35 | — | *W EXP 01/06/202 | 01749N111 |
| — | SPIRIT MTA REIT | 26,740 | $223K | 0.0% | $11.52 | — | COM SHS BEN IN | 84861U105 |
| — | U S WELL SVCS INC | 46,320 | $223K | 0.0% | $4.81 | — | CL A | 91274U101 |
| BIOX | BIOCERES CROP SOLUTIONS CORP | 40,469 | $214K | 0.0% | $8.27 | -43.7% | SHS | G1117K114 |
| — | GORES METROPOULOS INC | 166,666 | $210K | 0.0% | $1.40 | — | *W EXP 01/28/202 | 382872117 |
| — | DELAWARE ENHANCED GBL DIV & | 20,859 | $207K | 0.0% | $9.00 | — | COM | 246060107 |
| — | BLACKROCK MUNIYIELD NY QLTY | 16,237 | $206K | 0.0% | $11.85 | — | COM | 09255E102 |
| — | VOYA INFRASTRUCTURE INDLS & | 16,477 | $205K | 0.0% | $11.13 | — | COM | 92912X101 |
| — | EATON VANCE FLTG RATE INCOM | 13,066 | $196K | 0.0% | $14.32 | — | COM SHS BEN INT | 278284104 |
| — | GAIN CAP HLDGS INC | 225,000 | $194K | 0.0% | $1.03 | — | NOTE 5.000% 8/1 | 36268WAF7 |
| AVTR | AVANTOR INC | 10,000 | $191K | 0.0% | $17.80 | 0.0% | COM | 05352A100 |
| — | NUVEEN REAL ESTATE INCOME FD | 17,749 | $186K | 0.0% | $8.44 | — | COM | 67071B108 |
| — | EATON VANCE SH TM DR DIVR IN | 13,707 | $186K | 0.0% | $12.49 | — | COM | 27828V104 |
| XENWX | EATON VANCE NEW YORK MUN BD | 15,027 | $180K | 0.0% | $11.21 | — | COM | 27827Y109 |
| — | BLACKROCK MUNIYIELD QLTY FD | 13,595 | $179K | 0.0% | $12.18 | — | COM | 09254E103 |
| XMQTX | BLACKROCK MUNIY QUALITY FD I | 14,200 | $178K | 0.0% | $11.66 | — | COM | 09254G108 |
| — | THL CR SR LN FD | 11,224 | $171K | 0.0% | $15.32 | — | COM | 87244R103 |
| — | WELLS FARGO INCOME OPPORTUNI | 20,647 | $170K | 0.0% | $7.48 | — | WF INC OPPTY FD | 94987B105 |
| — | ABERDEEN GLOBAL DYNAMIC DIVI | 17,500 | $169K | 0.0% | $8.51 | — | COM | 00302M106 |
| — | NUVEEN GEORGIA QLTY MUN INC | 13,142 | $163K | 0.0% | $11.09 | — | COM | 67072B107 |
| — | NUVEEN DIVERSIFIED DIV INCM | 15,024 | $160K | 0.0% | $9.36 | — | COM | 6706EP105 |
| — | WESTERN ASST MN PRT FD INC | 10,525 | $157K | 0.0% | $14.13 | — | COM | 95766P108 |
| — | BLACKROCK MUNICIPAL BOND TR | 10,571 | $157K | 0.0% | $13.93 | — | COM | 09249H104 |
| — | EATON VANCE MUNI INCOME TRUS | 12,283 | $153K | 0.0% | $11.63 | — | SH BEN INT | 27826U108 |
| — | COLLIER CREEK HOLDINGS | 116,666 | $152K | 0.0% | $1.20 | — | *W EXP 99/99/999 | G22707114 |
| — | COREPOINT LODGING INC | 12,125 | $150K | 0.0% | $25.90 | — | COM | 21872L104 |
| — | PENSARE ACQUISITION CORP | 1,000,000 | $150K | 0.0% | $0.40 | — | RIGHT 99/99/9999 | 70957E121 |
| — | INVESCO TR INVT GRADE MUNS | 11,623 | $147K | 0.0% | $11.63 | — | COM | 46131M106 |
| — | BLACKROCK ENHANCED EQT DIV T | 16,211 | $144K | 0.0% | $7.77 | — | COM | 09251A104 |
| — | NUVEEN PENNSYLVANIA QLT MUN | 10,310 | $141K | 0.0% | $12.46 | — | COM | 670972108 |
| — | ABERDEEN TOTAL DYNAMIC DIVD | 15,584 | $130K | 0.0% | $7.21 | — | COM SH BEN INT | 00326L100 |
| — | FIRST TR ABERDEEN GLBL OPP F | 12,090 | $126K | 0.0% | $9.39 | — | COM SHS | 337319107 |
| — | DWS STRATEGIC MUN INCOME TR | 10,496 | $125K | 0.0% | $10.41 | — | COM | 23342Q101 |
| — | BLACKROCK MUNIENHANCED FD IN | 11,303 | $125K | 0.0% | $10.03 | — | COM | 09253Y100 |
| XXHYBXX | NEW AMER HIGH INCOME FD INC | 13,503 | $120K | 0.0% | $7.58 | — | COM NEW | 641876800 |
| — | BLACKROCK ENERGY & RES TR | 10,076 | $120K | 0.0% | $10.44 | — | COM | 09250U101 |
| — | ROSEHILL RES INC | 244,800 | $118K | 0.0% | $1.09 | — | *W EXP 04/27/202 | 777385113 |
| — | CAPITOL INVT CORP IV | 83,333 | $116K | 0.0% | $1.49 | — | *W EXP 01/01/202 | G18920127 |
| XZFGX | VIRTUS TOTAL RETURN FUND INC | 10,639 | $113K | 0.0% | $8.66 | — | COM | 92837G100 |
| — | SOCIAL CAP HEDOSOPHIA HLDGS | 83,334 | $112K | 0.0% | $1.75 | — | *W EXP 09/14/202 | G8250R129 |
| — | TPG PACE HLDGS CORP | 66,666 | $105K | 0.0% | $0.46 | — | *W EXP 06/27/202 | G89827110 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 11,135 | $104K | 0.0% | $8.42 | — | SH BEN INT | 18914E106 |
| — | MODERN MEDIA ACQUISITION | 425,000 | $102K | 0.0% | $0.39 | — | *W EXP 05/17/202 | 60765P111 |
| — | SENTINEL ENERGY SVCS INC | 133,333 | $93,000 | 0.0% | $0.83 | — | *W EXP 11/02/202 | 81728P113 |
| — | BLACK RIDGE ACQUISITION CORP | 210,000 | $88,000 | 0.0% | $0.28 | — | RIGHT 07/10/2019 | 09216T123 |
| — | BLACK RIDGE ACQUISITION CORP | 210,000 | $86,000 | 0.0% | $0.33 | — | *W EXP 07/10/202 | 09216T115 |
| — | DASEKE INC | 378,003 | $83,000 | 0.0% | $1.12 | — | *W EXP 02/27/202 | 23753F115 |
| — | KBL MERGER CORP IV | 500,000 | $80,000 | 0.0% | $0.17 | — | *W EXP 01/15/202 | 48242A112 |
| — | ARYA SCIENCES ACQUISITION CO | 50,000 | $75,000 | 0.0% | $1.60 | — | *W EXP 10/10/202 | G3165V125 |
| — | HL ACQUISITIONS CORP | 270,000 | $73,000 | 0.0% | $0.36 | — | *W EXP 06/21/202 | G4603R122 |
| — | MADISON CVRED CALL & EQ STR | 10,295 | $68,000 | 0.0% | $6.29 | — | COM | 557437100 |
| — | GAMCO NAT RES GOLD & INCOME | 10,895 | $63,000 | 0.0% | $5.04 | — | SH BEN INT | 36465E101 |
| — | WELLS FARGO GLOBAL DIVIDEND | 11,153 | $61,000 | 0.0% | $4.72 | — | COM | 94987C103 |
| — | PROFICIENT ALPHA ACQUSTN COR | 400,000 | $56,000 | 0.0% | $0.14 | — | *W EXP 04/30/202 | 74317H113 |
| — | TENZING ACQUISITION CORP | 250,000 | $53,000 | 0.0% | $0.33 | — | *W EXP 02/23/202 | G8708A108 |
| — | CONSTELLATION ALPHA CAP CORP | 700,000 | $52,000 | 0.0% | $0.22 | — | *W EXP 03/23/202 | G2379F116 |
| — | PENSARE ACQUISITION CORP | 250,000 | $42,000 | 0.0% | $0.50 | — | *W EXP 07/27/202 | 70957E113 |
| — | BIG ROCK PARTNERS ACQUISI CO | 200,000 | $38,000 | 0.0% | $0.37 | — | RIGHT 12/01/2022 | 089482129 |
| — | LONGEVITY ACQUISITION CORP | 125,000 | $31,000 | 0.0% | $0.40 | — | RIGHT 07/31/2020 | G56372124 |
| — | ESTRE AMBIENTAL INC | 661,870 | $26,000 | 0.0% | $0.30 | — | *W EXP 12/21/202 | G3206V118 |
| — | PECK CO INC | 122,916 | $24,000 | 0.0% | $0.20 | — | *W EXP 03/01/202 | 705163111 |
| — | BIG ROCK PARTNERS ACQUISI CO | 100,000 | $24,000 | 0.0% | $0.40 | — | *W EXP 12/01/202 | 089482111 |
| — | PHUNWARE INC | 58,632 | $21,000 | 0.0% | $0.29 | — | *W EXP 12/26/202 | 71948P118 |
| — | LONGEVITY ACQUISITION CORP | 125,000 | $18,000 | 0.0% | $0.15 | — | *W EXP 07/31/202 | G56372116 |
| — | XYNOMIC PHARMACUTCLS HLDNG I | 75,000 | $16,000 | 0.0% | $0.21 | — | *W EXP 05/15/202 | 98421X110 |
| — | INFRA AND ENERGY ALTRNTIVE I | 343,006 | $12,000 | 0.0% | $0.95 | — | *W EXP 05/20/202 | 45686J112 |
| — | JASON INDS INC | 1,933,070 | $2,000 | 0.0% | $0.79 | — | *W EXP 06/30/201 | 471172114 |
| — | ALTA MESA RES INC | 308,333 | $2,000 | 0.0% | $1.55 | — | *W EXP 03/28/202 | 02133L117 |