Radcliffe Capital Management, L.P. Diversified Active

Location: Bala Cynwyd, PA

CIK: 0001218275 · Show all filings

Period: Q3 2017 (← Previous) (Next →)

Filing Date: Nov 14, 2017

Total Value: $697M (0.1% shares, 99.9% debt)

Holdings (26)

— Twitter, Inc. 15.9%

Value $111M Shares 117,184,000 Share Price $0.95 Est. Cost/Share $0.94 Unrealized @ Report Date —

— PROSPECT CAPITAL CORP 10.7%

Value $74.67M Shares 72,753,000 Share Price $1.03 Est. Cost/Share $1.00 Unrealized @ Report Date —

— Brookdale Senior Living Inc. 10.2%

Value $70.96M Shares 71,193,000 Share Price $1.00 Est. Cost/Share $1.00 Unrealized @ Report Date —

— New Mountain Finance Corporation 6.9%

Value $48.01M Shares 46,234,000 Share Price $1.04 Est. Cost/Share $1.01 Unrealized @ Report Date —

— Chart Industries, Inc. 6.6%

Value $45.73M Shares 45,795,000 Share Price $1.00 Est. Cost/Share $0.99 Unrealized @ Report Date —

— TICC Capital Corporation 6.5%

Value $45.15M Shares 44,880,000 Share Price $1.01 Est. Cost/Share $1.00 Unrealized @ Report Date —

— PROSPECT CAPITAL CORP 5.0%

Value $34.95M Shares 35,000,000 Share Price $1.00 Est. Cost/Share $1.00 Unrealized @ Report Date —

— PROSPECT CAPITAL CORP 4.5%

Value $31.54M Shares 31,238,000 Share Price $1.01 Est. Cost/Share $0.97 Unrealized @ Report Date —

— TCP Capital Corp 4.5%

Value $31.39M Shares 29,800,000 Share Price $1.05 Est. Cost/Share $0.99 Unrealized @ Report Date —

— Web.com Group Inc 4.4%

Value $30.85M Shares 30,943,000 Share Price $1.00 Est. Cost/Share $0.96 Unrealized @ Report Date —

— Ares Capital Corporation 4.4%

Value $30.72M Shares 29,940,000 Share Price $1.03 Est. Cost/Share $1.02 Unrealized @ Report Date —

— TCP Capital Corp 3.1%

Value $21.51M Shares 20,750,000 Share Price $1.04 Est. Cost/Share $1.04 Unrealized @ Report Date —

— NAVISTAR INTERNATIONAL 3.0%

Value $21.02M Shares 20,144,000 Share Price $1.04 Est. Cost/Share $1.00 Unrealized @ Report Date —

— BlackRock Capital Investment Corp 3.0%

Value $20.99M Shares 20,000,000 Share Price $1.05 Est. Cost/Share $1.03 Unrealized @ Report Date —

— PDL BioPharma, Inc 2.8%

Value $19.74M Shares 19,703,000 Share Price $1.00 Est. Cost/Share $1.00 Unrealized @ Report Date —

— TPG Specialty Lending, Inc. 2.8%

Value $19.44M Shares 18,710,000 Share Price $1.04 Est. Cost/Share $1.01 Unrealized @ Report Date —

— Ares Capital Corporation 2.4%

Value $16.61M Shares 16,466,000 Share Price $1.01 Est. Cost/Share $1.02 Unrealized @ Report Date —

— Twitter, Inc. 1.6%

Value $10.86M Shares 11,809,000 Share Price $0.92 Est. Cost/Share $0.92 Unrealized @ Report Date —

— PROSPECT CAPITAL CORP 0.7%

Value $4.966M Shares 4,949,000 Share Price $1.00 Est. Cost/Share $1.00 Unrealized @ Report Date —

— Nuance Communications, Inc. 0.4%

Value $2.961M Shares 2,955,000 Share Price $1.00 Est. Cost/Share $1.01 Unrealized @ Report Date —

— Ryland Group Inc 0.3%

Value $1.923M Shares 2,000,000 Share Price $0.96 Est. Cost/Share $0.96 Unrealized @ Report Date —

— TiVo Corporation 0.2%

Value $1.211M Shares 1,204,000 Share Price $1.01 Est. Cost/Share $0.96 Unrealized @ Report Date —

SVVC Firsthand Technology Value Fund, Inc. 0.1%

Value $367K Shares 45,844 Share Price $8.01 * Est. Cost/Share $11.71 Unrealized @ Report Date -33.1%

— Fifth Street Finance Corporation 0.0%

Value $139K Shares 25,400 Share Price $5.47 Est. Cost/Share $6.18 Unrealized @ Report Date —

— Iconix Brand Group, Inc. 0.0%

Value $123K Shares 21,700 Share Price $5.67 Est. Cost/Share $13.50 Unrealized @ Report Date —

MFIN Medallion Financial Corp 0.0%

Value $99,000 Shares 45,430 Share Price $2.18 * Est. Cost/Share $4.72 Unrealized @ Report Date -58.6%

Ticker	Issuer	Shares	Value	%	Share Price	Est. Cost/Share	Unrealized @ Report Date	Class	CUSIP
—	Twitter, Inc.	117,184,000	$111M	15.9%	$0.95	$0.94	—	CONVRT BOND	90184LAB8
—	PROSPECT CAPITAL CORP	72,753,000	$74.67M	10.7%	$1.03	$1.00	—	CONVRT BOND	74348TAM4
—	Brookdale Senior Living Inc.	71,193,000	$70.96M	10.2%	$1.00	$1.00	—	CONVRT BOND	112463AA2
—	New Mountain Finance Corporation	46,234,000	$48.01M	6.9%	$1.04	$1.01	—	CONVRT BOND	647551AB6
—	Chart Industries, Inc.	45,795,000	$45.73M	6.6%	$1.00	$0.99	—	CONVRT BOND	16115QAC4
—	TICC Capital Corporation	44,880,000	$45.15M	6.5%	$1.01	$1.00	—	CONVRT BOND	87244TAB5
—	PROSPECT CAPITAL CORP	35,000,000	$34.95M	5.0%	$1.00	$1.00	—	CONVRT BOND	74348TAR3
—	PROSPECT CAPITAL CORP	31,238,000	$31.54M	4.5%	$1.01	$0.97	—	CONVRT BOND	74348TAQ5
—	TCP Capital Corp	29,800,000	$31.39M	4.5%	$1.05	$0.99	—	CONVRT BOND	87238QAB9
—	Web.com Group Inc	30,943,000	$30.85M	4.4%	$1.00	$0.96	—	CONVRT BOND	94733AAA2
—	Ares Capital Corporation	29,940,000	$30.72M	4.4%	$1.03	$1.02	—	CONVRT BOND	04010LAM5
—	TCP Capital Corp	20,750,000	$21.51M	3.1%	$1.04	$1.04	—	CONVRT BOND	87238QAD5
—	NAVISTAR INTERNATIONAL	20,144,000	$21.02M	3.0%	$1.04	$1.00	—	CONVRT BOND	63934EAQ1
—	BlackRock Capital Investment Corp	20,000,000	$20.99M	3.0%	$1.05	$1.03	—	CONVRT BOND	092533AC2
—	PDL BioPharma, Inc	19,703,000	$19.74M	2.8%	$1.00	$1.00	—	CONVRT BOND	69329YAF1
—	TPG Specialty Lending, Inc.	18,710,000	$19.44M	2.8%	$1.04	$1.01	—	CONVRT BOND	87265KAB8
—	Ares Capital Corporation	16,466,000	$16.61M	2.4%	$1.01	$1.02	—	CONVRT BOND	04010LAJ2
—	Twitter, Inc.	11,809,000	$10.86M	1.6%	$0.92	$0.92	—	CONVRT BOND	90184LAD4
—	PROSPECT CAPITAL CORP	4,949,000	$4.966M	0.7%	$1.00	$1.00	—	CONVRT BOND	74348TAK8
—	Nuance Communications, Inc.	2,955,000	$2.961M	0.4%	$1.00	$1.01	—	CONVRT BOND	67020YAF7
—	Ryland Group Inc	2,000,000	$1.923M	0.3%	$0.96	$0.96	—	CONVRT BOND	783764AS2
—	TiVo Corporation	1,204,000	$1.211M	0.2%	$1.01	$0.96	—	CONVRT BOND	779376AD4
SVVC	Firsthand Technology Value Fund, Inc.	45,844	$367K	0.1%	$8.01 *	$11.71	-33.1%	COMMON	33766Y100
—	Fifth Street Finance Corporation	25,400	$139K	0.0%	$5.47	$6.18	—	COMMON	31678A103
—	Iconix Brand Group, Inc.	21,700	$123K	0.0%	$5.67	$13.50	—	COMMON	451055107
MFIN	Medallion Financial Corp	45,430	$99,000	0.0%	$2.18 *	$4.72	-58.6%	COMMON	583928106