Location: Lajolla, CA
CIK: 0001301396 · Show all filings
Period: Q1 2019 (← Previous) (Next →)
Filing Date: May 13, 2019
Total Value: $164M (35.2% shares, 64.8% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | TIBERIUS ACQUISITION CORP | 116,000 | $12.12M | 7.4% | $10.09 | — | UNIT 02/28/2021 | 88633A206 |
| — | PDL BIOPHARMA INC | 9,450,000 | $10.83M | 6.6% | $0.89 | — | NOTE 2.750%12/0 | 69329YAG9 |
| — | AMAG PHARMACEUTICALS INC | 9,900,000 | $8.638M | 5.3% | $0.96 | — | NOTE 3.250% 6/0 | 00163UAD8 |
| IQ 3.75 12/01/23 REGS | IQIYI INC | 5,700,000 | $6.801M | 4.1% | $1.01 | — | DEBT 3.750%12/0 | G4939KAA4 |
| — | THERAVANCE BIOPHARMA INC | 6,000,000 | $5.827M | 3.6% | $1.16 | — | NOTE 3.250%11/0 | 88339KAA0 |
| — | OPKO HEALTH INC | 5,000,000 | $4.73M | 2.9% | $0.95 | — | NOTE 4.500% 2/1 | 68375NAD5 |
| — | IRONWOOD PHARMACEUTICALS INC | 4,000,000 | $4.419M | 2.7% | $0.94 | — | DBCV 2.250% 6/1 | 46333XAD0 |
| — | ASSERTIO THERAPEUTICS INC | 5,500,000 | $4.238M | 2.6% | $0.68 | — | NOTE 2.500% 9/0 | 249908AA2 |
| — | GDS HLDGS LTD | 4,175,000 | $4.046M | 2.5% | $0.97 | — | DEBT 2.000% 6/0 | 36165LAA6 |
| — | TEAM INC | 3,700,000 | $4.012M | 2.4% | $1.18 | — | NOTE 5.000% 8/0 | 878155AE0 |
| — | ENCORE CAP GROUP INC | 4,500,000 | $4.006M | 2.4% | $1.07 | — | NOTE 3.250% 3/1 | 292554AK8 |
| ACBCN 5.5 02/28/24 REGS | AURORA CANNABIS INC | 3,800,000 | $3.629M | 2.2% | $0.95 | — | DEBT 5.500% 2/2 | C0534LAA3 |
| — | TWO HBRS INVT CORP | 3,497,000 | $3.54M | 2.2% | $1.03 | — | NOTE 6.250% 1/1 | 90187BAA9 |
| — | FORUM MERGER II CORP | 336,115 | $3.479M | 2.1% | $10.35 | — | UNIT 09/30/2025 | 34986F202 |
| SEALTD 2.25 07/01/23 * | SEA LTD | 2,500,000 | $3.47M | 2.1% | $0.99 | — | DEBT 2.250% 7/0 | G7948TAA7 |
| — | MICROCHIP TECHNOLOGY INC | 3,100,000 | $3.424M | 2.1% | $1.19 | — | NOTE 2.250% 2/1 | 595017AH7 |
| — | APOLLO COML REAL EST FIN INC | 3,385,000 | $3.318M | 2.0% | $0.96 | — | NOTE 5.375%10/1 | 03762UAC9 |
| — | RESTORATION HARDWARE HLDGS I | 3,100,000 | $3.126M | 1.9% | $1.21 | — | NOTE 6/1 | 761283AD2 |
| — | NEW YORK MTG TR INC | 3,111,000 | $3.116M | 1.9% | $1.00 | — | NOTE 6.250% 1/1 | 649604AD7 |
| — | CM SEVEN STAR ACQUISITION CO | 287,500 | $2.97M | 1.8% | $10.33 | — | SHS | G2345N102 |
| — | MEDICINES CO | 3,500,000 | $2.962M | 1.8% | $0.98 | — | NOTE 2.750% 7/1 | 584688AG0 |
| — | PURE ACQUISITION CORP | 240,000 | $2.539M | 1.5% | $10.38 | — | UNIT 04/13/2023 | 74621Q205 |
| AGG | ISHARES TR | 23,000 | $2.509M | 1.5% | $106.48 | — | CORE US AGGBD ET | 464287226 |
| — | ENCORE CAP GROUP INC | 2,619,000 | $2.507M | 1.5% | $0.99 | — | NOTE 3.000% 7/0 | 292554AF9 |
| — | TILRAY INC | 2,950,000 | $2.478M | 1.5% | $0.72 | — | DEBT 5.000%10/0 | U8961EAA4 |
| — | DERMIRA INC | 2,592,000 | $2.301M | 1.4% | $0.83 | — | NOTE 3.000% 5/1 | 24983LAB0 |
| — | TWELVE SEAS INVESTMENT COMPA | 207,600 | $2.19M | 1.3% | $10.35 | — | UNIT 06/21/2023 | G9145A123 |
| — | PROSPECT CAPITAL CORPORATION | 2,170,000 | $2.143M | 1.3% | $0.99 | — | NOTE 6.375% 3/0 | 74348TAT9 |
| IQ 2 04/01/25 REGS | IQIYI INC | 2,000,000 | $2.09M | 1.3% | $1.04 | — | DEBT 2.000% 4/0 | G4939KAB2 |
| — | TUSCAN HOLDINGS CORP | 200,000 | $2.086M | 1.3% | $10.43 | — | UNIT 99/99/9999 | 90069K203 |
| — | NEW MTN FIN CORP | 2,055,000 | $2.066M | 1.3% | $1.01 | — | NOTE 5.750% 8/1 | 647551AC4 |
| — | DD3 ACQUISITION CORP | 188,100 | $1.907M | 1.2% | $10.02 | — | UNIT 10/12/2023 | G2692M129 |
| — | MTECH ACQUISITION CORP | 175,685 | $1.901M | 1.2% | $10.17 | — | UNIT 01/19/2023 | 55378W206 |
| MOMO 1.25 07/01/25 REGS | MOMO INC | 1,928,000 | $1.867M | 1.1% | $0.93 | — | DEBT 1.250% 7/0 | G6200PAA0 |
| — | GRAF INDL CORP | 163,600 | $1.655M | 1.0% | $10.00 | — | UNIT 12/31/2025 | 384278206 |
| — | THUNDER BRIDGE ACQUISITION L | 150,000 | $1.624M | 1.0% | $10.16 | — | UNIT 01/01/2025 | G8857R118 |
| — | TKK SYMPHONY ACQUISITION COR | 142,800 | $1.471M | 0.9% | $10.10 | — | UNIT 08/15/2023 | G88950111 |
| — | FIRST MAJESTIC SILVER CORP | 1,500,000 | $1.458M | 0.9% | $0.97 | — | NOTE 1.875% 3/0 | 32076VAB9 |
| — | LF CAP ACQUISITION CORP | 139,090 | $1.442M | 0.9% | $10.07 | — | UNIT 06/19/2025 | 50200K207 |
| — | ARYA SCIENCES ACQUISITION CO | 131,499 | $1.361M | 0.8% | $10.34 | — | UNIT 10/04/2023 | G3165V117 |
| — | NANTHEALTH INC | 2,140,000 | $1.338M | 0.8% | $0.70 | — | NOTE 5.500%12/1 | 630104AB3 |
| — | ALLEGRO MERGER CORP | 125,509 | $1.315M | 0.8% | $10.27 | — | UNIT 12/31/2023 | 01749N301 |
| — | AMCI ACQUISITION CORP | 122,700 | $1.242M | 0.8% | $9.95 | — | UNIT 01/07/2019 | 00165R200 |
| BKLN | INVESCO EXCHNG TRADED FD TR | 50,000 | $1.132M | 0.7% | $21.78 | — | SR LN ETF | 46138G508 |
| — | AEGERION PHARMACEUTICALS INC | 1,500,000 | $1.058M | 0.6% | $0.76 | — | NOTE 2.000% 8/1 | 00767EAB8 |
| LNG 4.875 05/28/21 REGS | CHENIERE ENERGY INC | 1,000,000 | $1.044M | 0.6% | $1.04 | — | DEBT 4.875% 5/2 | U16344AB6 |
| — | TRINITY MERGER CORP | 97,868 | $1.028M | 0.6% | $10.06 | — | UNIT 05/11/2025 | 89653L205 |
| TLT | ISHARES TR | 8,000 | $1.012M | 0.6% | $121.50 | — | 20 YR TR BD ETF | 464287432 |
| — | GORDON POINTE ACQUISITION CO | 93,200 | $979K | 0.6% | $10.33 | — | UNIT 01/18/2023 | 382788206 |
| — | CANOPY GROWTH CORP | 90,000 | $977K | 0.6% | $10.14 | — | COM | 09216T206 |
| — | PIVOTAL ACQUISITION CORP | 93,200 | $950K | 0.6% | $10.19 | — | UNIT 12/01/2025 | 72583A200 |
| VV | VANGUARD INDEX FDS | 7,200 | $935K | 0.6% | $114.86 | — | LARGE CAP ETF | 922908637 |
| — | ENDOLOGIX INC | 2,745,000 | $892K | 0.5% | $0.98 | — | NOTE 3.250%11/0 | 29266SAB2 |
| — | TENZING ACQUISITION CORP | 79,300 | $810K | 0.5% | $10.06 | — | UNIT 08/24/2024 | G8708A124 |
| — | CHASERG TECHNLGY ACQUISITN C | 77,900 | $787K | 0.5% | $9.99 | — | UNIT 09/30/2023 | 16166A202 |
| — | HL ACQUISITIONS CORP | 74,600 | $777K | 0.5% | $10.27 | — | UNIT 06/21/2023 | G4603R114 |
| LQD | ISHARES TR | 6,400 | $762K | 0.5% | $116.08 | — | IBOXX INV CP ETF | 464287242 |
| — | MAGNOLIA OIL & GAS CORP | 208,900 | $708K | 0.4% | $3.03 | — | *W EXP 07/31/202 | 559663117 |
| — | HOSTESS BRANDS INC | 538,600 | $700K | 0.4% | $1.30 | — | *W EXP 11/04/202 | 44109J114 |
| — | FINTECH ACQUISITION CORP III | 55,500 | $566K | 0.3% | $10.00 | — | UNIT 12/01/2023 | 31811A309 |
| — | PENSARE ACQUISITION CORP | 51,700 | $550K | 0.3% | $10.33 | — | UNIT 07/27/2022 | 70957E204 |
| — | MTECH ACQUISITION CORP | 52,494 | $530K | 0.3% | $10.10 | — | COM CLASS A | 55378W107 |
| — | LONGEVITY ACQUISITION CORP | 51,500 | $526K | 0.3% | $10.25 | — | UNIT 08/29/2024 | G56372108 |
| — | MUDRICK CAP ACQUISITION CORP | 42,900 | $454K | 0.3% | $10.27 | — | UNIT 02/01/2023 | 624745204 |
| — | FORUM MERGER II CORP | 45,785 | $454K | 0.3% | $9.56 | — | CL A | 34986F103 |
| — | NOVAVAX INC | 1,000,000 | $365K | 0.2% | $0.62 | — | NOTE 3.750% 2/0 | 670002AB0 |
| — | BLACKSTONE MTG TR INC | 300,000 | $302K | 0.2% | $0.99 | — | NOTE 4.750% 3/1 | 09257WAC4 |
| — | VECTOR GROUP LTD | 2,600 | $265K | 0.2% | $1.01 | — | FRNT 4/1 | 92240MBC1 |
| VTI | VANGUARD INDEX FDS | 1,700 | $246K | 0.1% | $127.65 | — | TOTAL STK MKT | 922908769 |
| — | CONCRETE PUMPING HLDGS INC | 190,700 | $229K | 0.1% | $1.20 | — | *W EXP 08/01/202 | 206704116 |
| — | PRETIUM RES INC | 185,000 | $174K | 0.1% | $0.84 | — | NOTE 2.250% 3/1 | 74139CAB8 |
| — | BLACK RIDGE ACQUISITION CORP | 2,400 | $131K | 0.1% | $54.58 | — | *W EXP 07/10/202 | 05337YAA6 |
| — | SENTINEL ENERGY SVCS INC | 170,401 | $116K | 0.1% | $0.68 | — | *W EXP 11/02/202 | 81728P113 |
| — | TESLA INC | 100,000 | $103K | 0.1% | $0.98 | — | NOTE 1.250% 3/0 | 88160RAC5 |
| — | CM SEVEN STAR ACQUISITION CO | 287,500 | $95,000 | 0.1% | $0.33 | — | RIGHT 08/21/2022 | G2345N136 |
| — | NOVELION THERAPEUTICS INC | 42,534 | $52,000 | 0.0% | $2.97 | — | COM NEW | 67001K202 |
| — | SPIRIT RLTY CAP INC NEW | 30,000 | $30,000 | 0.0% | $1.00 | — | NOTE 2.875% 5/1 | 84860WAA0 |
| — | CM SEVEN STAR ACQUISITION CO | 143,750 | $24,000 | 0.0% | $0.17 | — | *W EXP 08/21/202 | G2345N110 |
| — | BISON CAP ACQUISITION CORP | 82,900 | $17,000 | 0.0% | $0.52 | — | *W EXP 06/20/202 | G1142P112 |
| — | MODERN MEDIA ACQUISITION | 40,000 | $13,000 | 0.0% | $0.33 | — | RIGHT 99/99/9999 | 60765P129 |
| — | INFRA AND ENERGY ALTRNTIVE I | 18,764 | $8,000 | 0.0% | $0.43 | — | *W EXP 05/20/202 | 45686J112 |
| — | MODERN MEDIA ACQUISITION | 20,000 | $6,000 | 0.0% | $0.30 | — | *W EXP 05/17/202 | 60765P111 |
| — | MTECH ACQUISITION CORP | 2,700 | $2,000 | 0.0% | $0.94 | — | *W EXP 08/01/202 | 55378W115 |
| — | BLACK RIDGE ACQUISITION CORP | 8,300 | $2,000 | 0.0% | $0.30 | — | UNIT 10/05/2022 | 09216T115 |
| — | TWELVE SEAS INVESTMENT COMPA | 1,400 | $0 | 0.0% | — | — | *W EXP 12/22/202 | G9145A115 |
| — | TWELVE SEAS INVESTMENT COMPA | 1,400 | $0 | 0.0% | — | — | RIGHT 12/22/2019 | G9145A131 |