Radcliffe Capital Management, L.P. Diversified Active

CIK: 0001218275 · Show all filings

Period: Q3 2019 (← Previous) (Next →)

Filing Date: Nov 14, 2019

Total Value ($000): $513,107 (0.4% shares, 99.6% debt)

Holdings (38)

— PROSPECT CAPITAL CORP 15.0%

Value ($000) $76,996 Shares 74,861,000 Est. Cost $1.00 Unrealized —

— Ares Capital Corporation 10.2%

Value ($000) $52,355 Shares 49,500,000 Est. Cost $0.99 Unrealized —

— New Mountain Finance Corporation 8.4%

Value ($000) $42,963 Shares 41,000,000 Est. Cost $1.01 Unrealized —

— Cemex S.A. 7.8%

Value ($000) $39,853 Shares 39,857,000 Est. Cost $1.00 Unrealized —

— Blackrock TCP Capital Corp. 7.7%

Value ($000) $39,561 Shares 39,325,000 Est. Cost $1.00 Unrealized —

— BlackRock Capital Investment Corp 6.8%

Value ($000) $35,026 Shares 35,030,000 Est. Cost $1.01 Unrealized —

— Cemex S.A. 6.2%

Value ($000) $32,021 Shares 32,024,000 Est. Cost $1.00 Unrealized —

— PROSPECT CAPITAL CORP 6.2%

Value ($000) $31,775 Shares 30,000,000 Est. Cost $0.98 Unrealized —

— TPG Specialty Lending, Inc. 5.9%

Value ($000) $30,316 Shares 30,156,000 Est. Cost $1.01 Unrealized —

— Goldman Sachs BDC Inc. 5.5%

Value ($000) $28,149 Shares 27,428,000 Est. Cost $1.02 Unrealized —

— TPG Specialty Lending, Inc. 4.6%

Value ($000) $23,463 Shares 22,421,000 Est. Cost $1.02 Unrealized —

— Blackrock TCP Capital Corp. 3.7%

Value ($000) $18,761 Shares 18,224,000 Est. Cost $1.04 Unrealized —

— Hercules Capital, Inc. 3.5%

Value ($000) $18,204 Shares 17,717,000 Est. Cost $0.98 Unrealized —

— Nuance Communications, Inc. 1.8%

Value ($000) $9,104 Shares 9,624,000 Est. Cost $0.90 Unrealized —

— Cardtronics, Inc. 1.2%

Value ($000) $6,376 Shares 6,500,000 Est. Cost $0.98 Unrealized —

— Twitter, Inc. 1.2%

Value ($000) $5,927 Shares 6,021,000 Est. Cost $0.92 Unrealized —

— Ares Capital Corporation 1.1%

Value ($000) $5,433 Shares 5,245,000 Est. Cost $1.02 Unrealized —

— Nuance Communications, Inc. 1.0%

Value ($000) $4,885 Shares 5,000,000 Est. Cost $0.98 Unrealized —

— Dish Network Corp. 0.9%

Value ($000) $4,404 Shares 5,000,000 Est. Cost $0.88 Unrealized —

— SYNAPTICS INC 0.6%

Value ($000) $3,261 Shares 3,500,000 Est. Cost $0.89 Unrealized —

— PROSPECT CAPITAL CORP 0.3%

Value ($000) $1,307 Shares 1,295,000 Est. Cost $1.01 Unrealized —

— TiVo Corporation 0.2%

Value ($000) $935 Shares 950,000 Est. Cost $0.98 Unrealized —

— Trident Acquisitions Corp. 0.0%

Value ($000) $156 Shares 15,000 Est. Cost $10.24 Unrealized —

— ARYA Sciences Acquisition 0.0%

Value ($000) $155 Shares 15,000 Est. Cost $10.00 Unrealized —

— Mudrick Capital Acquisition 0.0%

Value ($000) $154 Shares 15,000 Est. Cost $10.20 Unrealized —

— Forum Merger II Corp 0.0%

Value ($000) $152 Shares 15,000 Est. Cost $9.95 Unrealized —

— Graf Industrial Corp 0.0%

Value ($000) $151 Shares 15,000 Est. Cost $9.84 Unrealized —

— Boxwood Merger Corp 0.0%

Value ($000) $151 Shares 15,000 Est. Cost $9.87 Unrealized —

— Monocle Acquisition Corp 0.0%

Value ($000) $150 Shares 15,000 Est. Cost $9.93 Unrealized —

— AMCI Acquisition Corp 0.0%

Value ($000) $148 Shares 14,803 Est. Cost $9.93 Unrealized —

— LF Capital Acquisition Corp. 0.0%

Value ($000) $103 Shares 10,000 Est. Cost $10.20 Unrealized —

— Sentinel Energy Services Inc. 0.0%

Value ($000) $103 Shares 10,000 Est. Cost $10.00 Unrealized —

— Megalith Financial Acquisition Corp. 0.0%

Value ($000) $102 Shares 10,000 Est. Cost $10.00 Unrealized —

— Allegro Merger Corp. 0.0%

Value ($000) $102 Shares 10,000 Est. Cost $9.90 Unrealized —

— EdtechX Holding Acquisition 0.0%

Value ($000) $102 Shares 10,000 Est. Cost $9.90 Unrealized —

— DD3 Acquisition Corp. 0.0%

Value ($000) $102 Shares 10,000 Est. Cost $10.00 Unrealized —

— ChaSerg Technology Acquisition Corp. 0.0%

Value ($000) $101 Shares 10,000 Est. Cost $10.00 Unrealized —

— Hennessy Capital Acquisition 0.0%

Value ($000) $100 Shares 10,000 Est. Cost $9.90 Unrealized —

Ticker	Issuer	Shares	Value ($000)	%	Est. Cost	Unrealized	Class	CUSIP
—	PROSPECT CAPITAL CORP	74,861,000	$76,996	15.0%	$1.00	—	CONVRT BOND	74348TAR3
—	Ares Capital Corporation	49,500,000	$52,355	10.2%	$0.99	—	CONVRT BOND	04010LAW3
—	New Mountain Finance Corporation	41,000,000	$42,963	8.4%	$1.01	—	CONVRT BOND	647551AC4
—	Cemex S.A.	39,857,000	$39,853	7.8%	$1.00	—	CONVRT BOND	151290BR3
—	Blackrock TCP Capital Corp.	39,325,000	$39,561	7.7%	$1.00	—	CONVRT BOND	87238QAB9
—	BlackRock Capital Investment Corp	35,030,000	$35,026	6.8%	$1.01	—	CONVRT BOND	092533AC2
—	Cemex S.A.	32,024,000	$32,021	6.2%	$1.00	—	CONVRT BOND	151290BT9
—	PROSPECT CAPITAL CORP	30,000,000	$31,775	6.2%	$0.98	—	CONVRT BOND	74348TAT9
—	TPG Specialty Lending, Inc.	30,156,000	$30,316	5.9%	$1.01	—	CONVRT BOND	87265KAB8
—	Goldman Sachs BDC Inc.	27,428,000	$28,149	5.5%	$1.02	—	CONVRT BOND	38147UAB3
—	TPG Specialty Lending, Inc.	22,421,000	$23,463	4.6%	$1.02	—	CONVRT BOND	87265KAD4
—	Blackrock TCP Capital Corp.	18,224,000	$18,761	3.7%	$1.04	—	CONVRT BOND	87238QAD5
—	Hercules Capital, Inc.	17,717,000	$18,204	3.5%	$0.98	—	CONVRT BOND	427096AF9
—	Nuance Communications, Inc.	9,624,000	$9,104	1.8%	$0.90	—	CONVRT BOND	67020YAK6
—	Cardtronics, Inc.	6,500,000	$6,376	1.2%	$0.98	—	CONVRT BOND	14161HAG3
—	Twitter, Inc.	6,021,000	$5,927	1.2%	$0.92	—	CONVRT BOND	90184LAD4
—	Ares Capital Corporation	5,245,000	$5,433	1.1%	$1.02	—	CONVRT BOND	04010LAT0
—	Nuance Communications, Inc.	5,000,000	$4,885	1.0%	$0.98	—	CONVRT BOND	67020YAF7
—	Dish Network Corp.	5,000,000	$4,404	0.9%	$0.88	—	CONVRT BOND	25470MAD1
—	SYNAPTICS INC	3,500,000	$3,261	0.6%	$0.89	—	CONVRT BOND	87157DAD1
—	PROSPECT CAPITAL CORP	1,295,000	$1,307	0.3%	$1.01	—	CONVRT BOND	74348TAQ5
—	TiVo Corporation	950,000	$935	0.2%	$0.98	—	CONVRT BOND	779376AD4
—	Trident Acquisitions Corp.	15,000	$156	0.0%	$10.24	—	COMMON	89615T106
—	ARYA Sciences Acquisition	15,000	$155	0.0%	$10.00	—	COMMON	G3165V109
—	Mudrick Capital Acquisition	15,000	$154	0.0%	$10.20	—	COMMON	624745105
—	Forum Merger II Corp	15,000	$152	0.0%	$9.95	—	COMMON	34986F103
—	Graf Industrial Corp	15,000	$151	0.0%	$9.84	—	COMMON	384278107
—	Boxwood Merger Corp	15,000	$151	0.0%	$9.87	—	COMMON	10319T101
—	Monocle Acquisition Corp	15,000	$150	0.0%	$9.93	—	COMMON	609754106
—	AMCI Acquisition Corp	14,803	$148	0.0%	$9.93	—	COMMON	00165R101
—	LF Capital Acquisition Corp.	10,000	$103	0.0%	$10.20	—	COMMON	50200K108
—	Sentinel Energy Services Inc.	10,000	$103	0.0%	$10.00	—	COMMON	81728P105
—	Megalith Financial Acquisition Corp.	10,000	$102	0.0%	$10.00	—	COMMON	58518F109
—	Allegro Merger Corp.	10,000	$102	0.0%	$9.90	—	COMMON	01749N103
—	EdtechX Holding Acquisition	10,000	$102	0.0%	$9.90	—	COMMON	28138X103
—	DD3 Acquisition Corp.	10,000	$102	0.0%	$10.00	—	COMMON	G2692M103
—	ChaSerg Technology Acquisition Corp.	10,000	$101	0.0%	$10.00	—	COMMON	16166A103
—	Hennessy Capital Acquisition	10,000	$100	0.0%	$9.90	—	COMMON	42589C104