Location: Bala Cynwyd, PA
CIK: 0001218275 · Show all filings
Period: Q3 2016 (← Previous) (Next →)
Filing Date: Nov 14, 2016
Total Value: $413M (0.5% shares, 99.5% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | New Mountain Finance Corporation | 44,734,000 | $45.98M | 11.1% | $1.01 | — | CONVRT BOND | 647551AB6 |
| — | PROSPECT CAPITAL CORP | 43,688,000 | $44.85M | 10.9% | $0.98 | — | CONVRT BOND | 74348TAM4 |
| — | PROSPECT CAPITAL CORP | 43,541,000 | $44.8M | 10.9% | $1.01 | — | CONVRT BOND | 74348TAL6 |
| — | Ares Capital Corporation | 32,685,000 | $34.19M | 8.3% | $1.02 | — | CONVRT BOND | 04010LAM5 |
| — | TICC Capital Corporation | 32,598,000 | $33.27M | 8.1% | $1.00 | — | CONVRT BOND | 87244TAB5 |
| — | TCP Capital Corp | 29,800,000 | $31.13M | 7.5% | $0.99 | — | CONVRT BOND | 87238QAB9 |
| — | BlackRock Capital Investment Corp | 27,744,000 | $28.72M | 7.0% | $1.03 | — | CONVRT BOND | 092533AB4 |
| — | PROSPECT CAPITAL CORP | 26,934,000 | $27.64M | 6.7% | $1.00 | — | CONVRT BOND | 74348TAK8 |
| — | Web.com Group Inc | 21,591,000 | $20.46M | 5.0% | $0.95 | — | CONVRT BOND | 94733AAA2 |
| — | Ares Capital Corporation | 18,101,000 | $18.75M | 4.5% | $1.02 | — | CONVRT BOND | 04010LAJ2 |
| — | Chart Industries, Inc. | 17,788,000 | $17.49M | 4.2% | $0.98 | — | CONVRT BOND | 16115QAC4 |
| — | TPG Specialty Lending, Inc. | 16,710,000 | $17.16M | 4.2% | $1.01 | — | CONVRT BOND | 87265KAB8 |
| — | PROSPECT CAPITAL CORP | 16,740,000 | $16.54M | 4.0% | $0.95 | — | CONVRT BOND | 74348TAQ5 |
| — | Ares Capital Corporation | 14,622,000 | $14.84M | 3.6% | $1.03 | — | CONVRT BOND | 04010LAG8 |
| — | Toll Brothers Fin Corp | 5,000,000 | $4.915M | 1.2% | $0.98 | — | CONVRT BOND | 88947EAM2 |
| — | Nuance Communications, Inc. | 4,335,000 | $4.365M | 1.1% | $1.01 | — | CONVRT BOND | 67020YAF7 |
| — | Meritage Homes Corporation | 3,105,000 | $3.102M | 0.8% | $1.00 | — | CONVRT BOND | 59001AAR3 |
| — | Rovi Corporation | 1,204,000 | $1.205M | 0.3% | $0.96 | — | CONVRT BOND | 779376AD4 |
| — | CIENA CORP | 1,000,000 | $997K | 0.2% | $0.99 | — | CONVRT BOND | 171779AE1 |
| — | American Capital Ltd. | 34,500 | $583K | 0.1% | $12.17 | — | COMMON | 02503Y103 |
| — | Crossroads Capital, Inc. | 212,691 | $385K | 0.1% | $2.46 | — | COMMON | 227656105 |
| SVVC | Firsthand Technology Value Fund, Inc. | 45,844 | $360K | 0.1% | $11.71 | -38.2% | COMMON | 33766Y100 |
| — | BlackRock Capital Investment Corp | 27,700 | $229K | 0.1% | $8.84 | — | COMMON | 092533108 |
| PSEC | PROSPECT CAPITAL CORP | 24,000 | $194K | 0.0% | $2.09 | +27.0% | COMMON | 74348T102 |
| MFIN | Medallion Financial Corp | 45,430 | $192K | 0.0% | $4.72 | 0.0% | COMMON | 583928106 |
| — | Iconix Brand Group, Inc. | 21,700 | $176K | 0.0% | $13.50 | — | COMMON | 451055107 |
| — | Fifth Street Finance Corporation | 25,400 | $148K | 0.0% | $6.18 | — | COMMON | 31678A103 |