Location: San Francisco, CA
CIK: 0001697366 · Show all filings
Period: Q3 2018 (← Previous) (Next →)
Filing Date: Nov 14, 2018
Total Value: $230M (35.4% shares, 64.6% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | Anthem Inc | 3,145,000 | $11.87M | 5.2% | $3.15 | — | NOTE 2.750%10/1 | 94973VBG1 |
| — | NextEra Energy Inc | 201,160 | $11.46M | 5.0% | $57.14 | — | UNIT 08/31/2018 | 65339F820 |
| — | Stanley Black & Decker Inc | 101,415 | $11.24M | 4.9% | $107.35 | — | UNIT 05/15/2020 | 854502887 |
| — | Priceline Group Inc/The | 6,450,000 | $9.789M | 4.3% | $1.35 | — | NOTE 0.350% 6/1 | 741503AS5 |
| — | Wells Fargo & Co | 7,155 | $9.236M | 4.0% | $1191.87 | — | PERP PFD CNV A | 949746804 |
| — | Intel Corp | 4,015,000 | $9.215M | 4.0% | $1.80 | — | SDCV 3.250% 8/0 | 458140AF7 |
| — | Citrix Systems Inc | 5,960,000 | $9.154M | 4.0% | $1.29 | — | NOTE 0.500% 4/1 | 177376AD2 |
| — | DTE Energy Co | 174,900 | $9.079M | 3.9% | $52.40 | — | UNIT 99/99/9999 | 233331883 |
| — | Red Hat Inc | 4,706,000 | $8.694M | 3.8% | $1.27 | — | NOTE 0.250%10/0 | 756577AD4 |
| — | Ares Capital Corp | 8,295,000 | $8.384M | 3.6% | $1.02 | — | NOTE 3.750% 2/0 | 04010LAT0 |
| — | Dominion Resources Inc/VA | 176,140 | $8.347M | 3.6% | $50.27 | — | UNIT 08/15/2019 | 25746U836 |
| — | VEREIT Inc | 7,995,000 | $8.064M | 3.5% | $1.01 | — | NOTE 3.750%12/1 | 02917TAB0 |
| — | Bank of America Corp | 5,400 | $6.989M | 3.0% | $1294.26 | — | 7.25%CNV PFD L | 060505682 |
| — | Becton Dickinson and Co | 106,715 | $6.987M | 3.0% | $55.22 | — | PFD SHS CONV A | 075887208 |
| — | Prospect Capital Corp | 6,800,000 | $6.851M | 3.0% | $1.01 | — | NOTE 4.750% 4/1 | 74348TAQ5 |
| — | Novellus Systems Inc | 1,495,000 | $6.849M | 3.0% | $2.39 | — | NOTE 2.625% 5/1 | 670008AD3 |
| — | Illumina Inc | 4,363,000 | $6.576M | 2.9% | $1.32 | — | NOTE 0.500% 6/1 | 452327AH2 |
| — | Macquarie Infrastructure Corp | 6,269,000 | $6.205M | 2.7% | $1.11 | — | NOTE 2.875% 7/1 | 55608BAA3 |
| — | TPG Specialty Lending Inc | 4,880,000 | $4.898M | 2.1% | $1.03 | — | NOTE 4.500%12/1 | 87265KAB8 |
| — | Spirit Realty Capital Inc | 4,640,000 | $4.68M | 2.0% | $1.02 | — | NOTE 3.750% 5/1 | 84860WAB8 |
| — | Prospect Capital Corp | 3,705,000 | $3.661M | 1.6% | $0.98 | — | NOTE 4.950% 7/1 | 74348TAR3 |
| — | Hercules Capital Inc | 3,660,000 | $3.547M | 1.5% | $1.01 | — | DBCV 4.375% 2/0 | 427096AF9 |
| — | Echo Global Logistics Inc | 3,020,000 | $3.202M | 1.4% | $1.04 | — | NOTE 2.500% 5/0 | 27875TAA9 |
| — | FireEye Inc | 3,280,000 | $3.006M | 1.3% | $0.90 | — | NOTE 1.625% 6/0 | 31816QAD3 |
| — | RPM International Inc | 2,375,000 | $2.924M | 1.3% | $1.16 | — | NOTE 2.250%12/1 | 749685AT0 |
| — | Verint Systems Inc | 2,405,000 | $2.489M | 1.1% | $0.99 | — | NOTE 1.500% 6/0 | 92343XAA8 |
| — | Apollo Commercial Real Estate Finance Inc | 2,500,000 | $2.48M | 1.1% | $1.02 | — | NOTE 4.750% 8/2 | 03762UAB1 |
| — | Pandora Media Inc | 2,525,000 | $2.445M | 1.1% | $0.93 | — | NOTE 1.750%12/0 | 698354AB3 |
| — | TPG Specialty Lending Inc | 2,250,000 | $2.263M | 1.0% | $1.00 | — | NOTE 4.500% 8/0 | 87265KAD4 |
| — | Two Harbors Investment Corp | 2,110,000 | $2.177M | 0.9% | $1.03 | — | NOTE 6.250% 1/1 | 90187BAA9 |
| — | ALZA Corp | 1,135,000 | $2.153M | 0.9% | $1.63 | — | SDCV 7/2 | 02261WAB5 |
| FPI | Farmland Partners Inc | 312,459 | $2.093M | 0.9% | $7.53 | — | COM | 31154R109 |
| — | Silicon Laboratories Inc | 1,650,000 | $1.89M | 0.8% | $1.20 | — | NOTE 1.375% 3/0 | 826919AB8 |
| — | BlackRock Capital Investment Corp | 1,525,000 | $1.552M | 0.7% | $1.04 | — | NOTE 5.000% 6/1 | 092533AC2 |
| — | Wright Medical Group Inc | 1,245,000 | $1.366M | 0.6% | $1.09 | — | NOTE 2.000% 2/1 | 98235TAE7 |
| — | Hess Corp | 17,170 | $1.365M | 0.6% | $63.56 | — | DEP PDF SR A | 42809H404 |
| — | Helix Energy Solutions Group Inc | 1,170,000 | $1.258M | 0.5% | $1.08 | — | NOTE 4.250% 5/0 | 42330PAH0 |
| — | HubSpot Inc | 705,000 | $1.16M | 0.5% | $1.43 | — | NOTE 0.250% 6/0 | 443573AB6 |
| — | Synaptics Inc | 995,000 | $950K | 0.4% | $0.99 | — | NOTE 0.500% 6/1 | 87157DAD1 |
| — | Wayfair Inc | 590,000 | $875K | 0.4% | $1.48 | — | NOTE 0.375% 9/0 | 94419LAB7 |
| DNLI | Denali Therapeutics Inc | 37,930 | $825K | 0.4% | $16.54 | 0.0% | COM | 24823R105 |
| — | InterXion Holding NV | 11,405 | $768K | 0.3% | $37.79 | — | SHS | N47279109 |
| — | Priceline Group Inc/The | 624,000 | $740K | 0.3% | $1.01 | — | NOTE 0.900% 9/1 | 741503AX4 |
| GDOT | Green Dot Corp | 8,245 | $732K | 0.3% | $68.95 | +20.6% | CL A | 39304D102 |
| — | CenterState Bank Corp | 25,620 | $719K | 0.3% | $29.44 | — | COM | 15201P109 |
| HLNE | Hamilton Lane Inc | 15,724 | $696K | 0.3% | $44.70 | +7.6% | CL A | 407497106 |
| ROKU | Roku Inc | 9,330 | $681K | 0.3% | $37.11 | +54.3% | CL A | 77543R102 |
| AX | BofI Holding Inc | 19,360 | $666K | 0.3% | $38.41 | 0.0% | COM | 05465C100 |
| ASGN | ASGN Inc | 8,440 | $666K | 0.3% | $81.81 | +5.6% | COM | 00191U102 |
| CBU | Community Bank System Inc | 10,790 | $659K | 0.3% | $46.87 | +9.4% | COM | 203607106 |
| EVH | Evolent Health Inc | 22,615 | $642K | 0.3% | $18.93 | +26.0% | CL A | 30050B101 |
| — | Cloudera Inc | 35,270 | $623K | 0.3% | $14.83 | — | COM | 18914U100 |
| — | SAGE Therapeutics Inc | 4,220 | $596K | 0.3% | $147.62 | — | COM | 78667J108 |
| — | Cornerstone OnDemand Inc | 10,183 | $578K | 0.3% | $42.32 | — | COM | 21925Y103 |
| — | Tabula Rasa HealthCare Inc | 6,790 | $551K | 0.2% | $63.82 | — | COM | 873379101 |
| — | Talend SA | 7,870 | $549K | 0.2% | $35.91 | — | ADS | 874224207 |
| — | Shutterfly Inc | 8,255 | $544K | 0.2% | $82.66 | — | COM | 82568P304 |
| YELP | Yelp Inc | 11,025 | $542K | 0.2% | $40.08 | +9.0% | COM | 985817105 |
| HRTX | Heron Therapeutics Inc | 17,105 | $541K | 0.2% | $33.57 | +10.9% | COM | 427746102 |
| RARE | Ultragenyx Pharmaceutical Inc | 7,045 | $538K | 0.2% | $67.55 | +20.4% | COM | 90400D108 |
| MPWR | Monolithic Power Systems Inc | 4,148 | $521K | 0.2% | $87.81 | +49.4% | COM | 609839105 |
| — | Mimecast Ltd | 12,080 | $506K | 0.2% | $35.43 | — | SHS | G14838109 |
| — | 2U Inc | 6,555 | $493K | 0.2% | $70.21 | — | COM | 90214J101 |
| — | LendingClub Corp | 126,730 | $492K | 0.2% | $3.94 | — | COM | 52603A109 |
| — | NeoPhotonics Corp | 58,146 | $483K | 0.2% | $7.86 | — | COM | 64051T100 |
| — | Hortonworks Inc | 21,170 | $483K | 0.2% | $19.80 | — | COM | 440894103 |
| — | Model N Inc | 28,717 | $455K | 0.2% | $11.56 | — | COM | 607525102 |
| BBBY | Overstock.com Inc | 14,945 | $414K | 0.2% | $37.78 | -13.2% | COM | 690370101 |
| SFIX | Stitch Fix Inc | 9,425 | $413K | 0.2% | $36.45 | 0.0% | COM CL A | 860897107 |
| — | Portola Pharmaceuticals Inc | 15,460 | $412K | 0.2% | $34.88 | — | COM | 737010108 |
| — | Crown Castle International Corp | 320 | $348K | 0.2% | $1108.41 | — | 6.875% CON PFD A | 22822V309 |
| W | Wayfair Inc | 1,956 | $289K | 0.1% | $41.72 | +204.9% | CL A | 94419L101 |
| — | Echo Global Logistics Inc | 9,105 | $282K | 0.1% | $29.27 | — | COM | 27875T101 |
| PODD | Insulet Corp | 2,650 | $281K | 0.1% | $90.43 | +3.5% | COM | 45784P101 |
| TDOC | Teladoc Inc | 3,035 | $262K | 0.1% | $48.84 | +45.9% | COM | 87918A105 |
| — | Royal Gold Inc | 255,000 | $258K | 0.1% | $1.03 | — | NOTE 2.875% 6/1 | 780287AA6 |
| — | Pandora Media Inc | 26,895 | $256K | 0.1% | $11.53 | — | COM | 698354107 |
| CHGG | Chegg Inc | 7,925 | $225K | 0.1% | $25.15 | +18.5% | COM | 163092109 |
| — | FireEye Inc | 12,560 | $214K | 0.1% | $15.58 | — | COM | 31816Q101 |
| — | Apptio Inc | 5,665 | $209K | 0.1% | $17.68 | — | CL A | 03835C108 |
| — | Wright Medical Group NV | 7,170 | $208K | 0.1% | $25.98 | — | ORD SHS 0.03 PAR | N96617118 |
| — | Helius Medical Technologies Inc | 20,320 | $199K | 0.1% | $9.53 | — | CL A | 42328V504 |
| — | New Relic Inc | 2,049 | $193K | 0.1% | $37.54 | — | COM | 64829B100 |
| SLAB | Silicon Laboratories Inc | 2,026 | $186K | 0.1% | $89.29 | +9.4% | COM | 826919102 |
| MELI | MercadoLibre Inc | 511 | $174K | 0.1% | $269.46 | +25.7% | COM | 58733R102 |
| — | Zendesk Inc | 2,307 | $164K | 0.1% | $28.04 | — | COM | 98936J101 |
| RNG | RingCentral Inc | 1,615 | $150K | 0.1% | $38.36 | +125.0% | CL A | 76680R206 |
| ETSY | Etsy Inc | 2,911 | $150K | 0.1% | $13.16 | +249.8% | COM | 29786A106 |
| EXC | Exelon Corp | 3,160 | $138K | 0.1% | $20.19 | +17.9% | COM | 30161N101 |
| WIX | Wix.com Ltd | 1,130 | $135K | 0.1% | $61.89 | +72.9% | SHS | M98068105 |
| HLX | Helix Energy Solutions Group Inc | 12,900 | $127K | 0.1% | $9.12 | 0.0% | COM | 42330P107 |
| HUBS | HubSpot Inc | 835 | $126K | 0.1% | $52.95 | +159.6% | COM | 443573100 |
| MDB | MongoDB Inc | 1,365 | $111K | 0.0% | $32.32 | +106.2% | CL A | 60937P106 |
| JNJ | Johnson & Johnson | 540 | $75,000 | 0.0% | $108.36 | -0.3% | COM | 478160104 |
| JPM | JPMorgan Chase & Co | 450 | $51,000 | 0.0% | $91.43 | +1.3% | COM | 46625H100 |
| ARI | Apollo Commercial Real Estate Finance Inc | 2,700 | $51,000 | 0.0% | $18.15 | — | COM | 03762U105 |
| BAC | Bank of America Corp | 1,600 | $47,000 | 0.0% | $26.06 | -2.3% | COM | 060505104 |
| — | SunTrust Banks Inc | 570 | $38,000 | 0.0% | $66.67 | — | COM | 867914103 |
| GSBD | Goldman Sachs BDC Inc | 1,560 | $35,000 | 0.0% | $21.91 | 0.0% | SHS | 38147U107 |
| CMA | Comerica Inc | 300 | $27,000 | 0.0% | $67.38 | 0.0% | COM | 200340107 |
| EWBC | East West Bancorp Inc | 400 | $24,000 | 0.0% | $53.25 | 0.0% | COM | 27579R104 |