Location: Bala Cynwyd, PA
CIK: 0001218275 · Show all filings
Period: Q4 2016 (← Previous) (Next →)
Filing Date: Feb 14, 2017
Total Value: $458M (0.5% shares, 99.5% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | PROSPECT CAPITAL CORP | 46,188,000 | $47.27M | 10.3% | $0.98 | — | CONVRT BOND | 74348TAM4 |
| — | New Mountain Finance Corporation | 44,734,000 | $46.24M | 10.1% | $1.01 | — | CONVRT BOND | 647551AB6 |
| — | PROSPECT CAPITAL CORP | 43,541,000 | $44.68M | 9.8% | $1.01 | — | CONVRT BOND | 74348TAL6 |
| — | Ares Capital Corporation | 32,685,000 | $33.91M | 7.4% | $1.02 | — | CONVRT BOND | 04010LAM5 |
| — | Chart Industries, Inc. | 34,347,000 | $33.73M | 7.4% | $0.98 | — | CONVRT BOND | 16115QAC4 |
| — | TICC Capital Corporation | 32,598,000 | $33.17M | 7.2% | $1.00 | — | CONVRT BOND | 87244TAB5 |
| — | BlackRock Capital Investment Corp | 30,943,000 | $31.79M | 6.9% | $1.03 | — | CONVRT BOND | 092533AB4 |
| — | TCP Capital Corp | 29,800,000 | $31.07M | 6.8% | $0.99 | — | CONVRT BOND | 87238QAB9 |
| — | Web.com Group Inc | 31,591,000 | $30.54M | 6.7% | $0.95 | — | CONVRT BOND | 94733AAA2 |
| — | PROSPECT CAPITAL CORP | 27,934,000 | $28.53M | 6.2% | $1.00 | — | CONVRT BOND | 74348TAK8 |
| — | TPG Specialty Lending, Inc. | 18,710,000 | $19.15M | 4.2% | $1.01 | — | CONVRT BOND | 87265KAB8 |
| — | Ares Capital Corporation | 18,101,000 | $18.58M | 4.1% | $1.02 | — | CONVRT BOND | 04010LAJ2 |
| — | PROSPECT CAPITAL CORP | 16,740,000 | $16.38M | 3.6% | $0.95 | — | CONVRT BOND | 74348TAQ5 |
| — | Meritage Homes Corporation | 14,534,000 | $14.46M | 3.2% | $1.00 | — | CONVRT BOND | 59001AAR3 |
| — | Ares Capital Corporation | 12,432,000 | $12.51M | 2.7% | $1.03 | — | CONVRT BOND | 04010LAG8 |
| — | Toll Brothers | 7,142,000 | $7.029M | 1.5% | $0.98 | — | CONVRT BOND | 88947EAM2 |
| — | Nuance Communications, Inc. | 4,335,000 | $4.363M | 1.0% | $1.01 | — | CONVRT BOND | 67020YAF7 |
| — | TiVo Corporation | 1,204,000 | $1.22M | 0.3% | $0.96 | — | CONVRT BOND | 779376AD4 |
| — | CIENA CORP | 1,000,000 | $998K | 0.2% | $0.99 | — | CONVRT BOND | 171779AE1 |
| — | American Capital Ltd. | 34,500 | $618K | 0.1% | $12.17 | — | COMMON | 02503Y103 |
| — | Crossroads Capital, Inc. | 229,641 | $489K | 0.1% | $2.44 | — | COMMON | 227656105 |
| SVVC | Firsthand Technology Value Fund, Inc. | 45,844 | $352K | 0.1% | $11.71 | -31.8% | COMMON | 33766Y100 |
| — | Iconix Brand Group, Inc. | 21,700 | $203K | 0.0% | $13.50 | — | COMMON | 451055107 |
| PSEC | PROSPECT CAPITAL CORP | 24,000 | $200K | 0.0% | $2.09 | +27.3% | COMMON | 74348T102 |
| — | BlackRock Capital Investment Corp | 27,700 | $193K | 0.0% | $8.84 | — | COMMON | 092533108 |
| MFIN | Medallion Financial Corp | 45,430 | $137K | 0.0% | $4.72 | -36.4% | COMMON | 583928106 |
| — | Fifth Street Finance Corporation | 25,400 | $136K | 0.0% | $6.18 | — | COMMON | 31678A103 |