Location: Lajolla, CA
CIK: 0001301396 · Show all filings
Period: Q2 2019 (← Previous) (Next →)
Filing Date: Aug 14, 2019
Total Value: $172M (28.8% shares, 71.2% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | AMAG PHARMACEUTICALS INC | 11,400,000 | $9.153M | 5.3% | $0.94 | — | NOTE 3.250% 6/0 | 00163UAD8 |
| — | PDL BIOPHARMA INC | 8,450,000 | $8.913M | 5.2% | $0.89 | — | NOTE 2.750%12/0 | 69329YAG9 |
| — | OPKO HEALTH INC | 7,500,000 | $6.57M | 3.8% | $0.92 | — | NOTE 4.500% 2/1 | 68375NAD5 |
| — | TEAM INC | 6,200,000 | $6.334M | 3.7% | $1.11 | — | NOTE 5.000% 8/0 | 878155AE0 |
| IQ 3.75 12/01/23 REGS | IQIYI INC | 5,700,000 | $6.288M | 3.6% | $1.01 | — | DEBT 3.750%12/0 | G4939KAA4 |
| — | DISH NETWORK CORP | 5,500,000 | $5.361M | 3.1% | $0.97 | — | NOTE 3.375% 8/1 | 25470MAB5 |
| — | THERAVANCE BIOPHARMA INC | 6,000,000 | $5.158M | 3.0% | $1.16 | — | NOTE 3.250%11/0 | 88339KAA0 |
| — | VEONEER INCORPORATED | 4,500,000 | $4.686M | 2.7% | $1.04 | — | NOTE 4.000% 6/0 | 92336XAA7 |
| ACBCN 5.5 02/28/24 REGS | AURORA CANNABIS INC | 4,800,000 | $4.632M | 2.7% | $0.96 | — | DEBT 5.500% 2/2 | C0534LAA3 |
| — | APOLLO COML REAL EST FIN INC | 4,335,000 | $4.338M | 2.5% | $0.97 | — | NOTE 5.375%10/1 | 03762UAC9 |
| — | ASSERTIO THERAPEUTICS INC | 5,926,000 | $4.264M | 2.5% | $0.68 | — | NOTE 2.500% 9/0 | 249908AA2 |
| — | GDS HLDGS LTD | 4,175,000 | $4.127M | 2.4% | $0.99 | — | DEBT 2.000% 6/0 | 36165LAB4 |
| — | TWO HBRS INVT CORP | 3,997,000 | $4.039M | 2.3% | $1.03 | — | NOTE 6.250% 1/1 | 90187BAA9 |
| — | TESLA INC | 4,000,000 | $3.939M | 2.3% | $0.98 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| — | MICROCHIP TECHNOLOGY INC | 3,100,000 | $3.658M | 2.1% | $1.19 | — | NOTE 2.250% 2/1 | 595017AH7 |
| — | FORUM MERGER II CORP | 336,115 | $3.567M | 2.1% | $10.35 | — | UNIT 09/30/2025 | 34986F202 |
| — | NEW YORK MTG TR INC | 3,436,000 | $3.458M | 2.0% | $1.00 | — | NOTE 6.250% 1/1 | 649604AD7 |
| — | CSG SYS INTL INC | 3,111,000 | $3.457M | 2.0% | $1.11 | — | NOTE 4.250% 3/1 | 126349AF6 |
| QD 1 07/01/26 REGS | QUDIAN INC | 3,000,000 | $3.062M | 1.8% | $1.02 | — | DEBT 1.000% 7/0 | G7314VAA8 |
| — | GX ACQUISITION CORP | 300,000 | $3.015M | 1.7% | $10.05 | — | UNIT 05/24/2026 | 36251A206 |
| — | ENCORE CAP GROUP INC | 2,619,000 | $2.632M | 1.5% | $0.99 | — | NOTE 3.000% 7/0 | 292554AF9 |
| — | PURE ACQUISITION CORP | 240,000 | $2.566M | 1.5% | $10.38 | — | UNIT 04/13/2023 | 74621Q205 |
| AGG | ISHARES TR | 23,000 | $2.561M | 1.5% | $106.48 | — | CORE US AGGBD ET | 464287226 |
| — | ENCORE CAP GROUP INC | 2,500,000 | $2.533M | 1.5% | $1.07 | — | NOTE 3.250% 3/1 | 292554AK8 |
| — | MEDICINES CO | 2,500,000 | $2.513M | 1.5% | $0.98 | — | NOTE 2.750% 7/1 | 584688AG0 |
| — | ENDOLOGIX INC | 2,745,000 | $2.489M | 1.4% | $0.98 | — | NOTE 3.250%11/0 | 29266SAB2 |
| — | INTERCEPT PHARMACEUTICALS IN | 2,500,000 | $2.486M | 1.4% | $0.99 | — | NOTE 2.000% 5/1 | 45845PAB4 |
| — | DD3 ACQUISITION CORP | 242,100 | $2.479M | 1.4% | $10.07 | — | UNIT 10/12/2023 | G2692M129 |
| IQ 2 04/01/25 REGS | IQIYI INC | 2,500,000 | $2.47M | 1.4% | $1.03 | — | DEBT 2.000% 4/0 | G4939KAB2 |
| — | TWELVE SEAS INVESTMENT COMPA | 206,600 | $2.198M | 1.3% | $10.35 | — | UNIT 06/21/2023 | G9145A123 |
| — | IRONWOOD PHARMACEUTICALS INC | 2,000,000 | $2.142M | 1.2% | $0.94 | — | DBCV 2.250% 6/1 | 46333XAD0 |
| — | NANTHEALTH INC | 3,140,000 | $2.028M | 1.2% | $0.69 | — | NOTE 5.500%12/1 | 630104AB3 |
| — | MFA FINL INC | 2,000,000 | $2.019M | 1.2% | $1.01 | — | NOTE 6.250% 6/1 | 55272XAA0 |
| — | LANDCADIA HLDGS II INC | 199,900 | $1.999M | 1.2% | $10.00 | — | UNIT 05/09/2026 | 51476X204 |
| — | GIGCAPITAL2 INC | 198,600 | $1.992M | 1.2% | $10.03 | — | UNIT 02/28/2026 | 375036209 |
| — | RADIUS HEALTH INC | 2,000,000 | $1.815M | 1.1% | $0.91 | — | NOTE 3.000% 9/0 | 750469AA6 |
| — | MEDICINES CO | 1,500,000 | $1.809M | 1.0% | $1.21 | — | NOTE 2.500% 1/1 | 584688AE5 |
| — | GRAF INDL CORP | 163,600 | $1.683M | 1.0% | $10.00 | — | UNIT 12/31/2025 | 384278206 |
| — | LF CAP ACQUISITION CORP | 137,903 | $1.437M | 0.8% | $10.07 | — | UNIT 06/19/2025 | 50200K207 |
| — | ARYA SCIENCES ACQUISITION CO | 131,999 | $1.411M | 0.8% | $10.34 | — | UNIT 10/04/2023 | G3165V117 |
| — | CLARIVATE ANALYTICS PLC | 295,633 | $1.404M | 0.8% | $4.75 | — | *W EXP 11/09/201 | G21810117 |
| — | ALLEGRO MERGER CORP | 126,509 | $1.329M | 0.8% | $10.27 | — | UNIT 12/31/2023 | 01749N301 |
| — | AMCI ACQUISITION CORP | 123,700 | $1.265M | 0.7% | $9.95 | — | UNIT 01/07/2019 | 00165R200 |
| — | TIBERIUS ACQUISITION CORP | 116,000 | $1.219M | 0.7% | $10.09 | — | UNIT 02/28/2021 | 88633A206 |
| — | HOSTESS BRANDS INC | 638,600 | $1.213M | 0.7% | $1.39 | — | *W EXP 11/04/202 | 44109J114 |
| — | TKK SYMPHONY ACQUISITION COR | 116,000 | $1.191M | 0.7% | $10.10 | — | UNIT 08/15/2023 | G88950111 |
| — | LIGAND PHARMACEUTICALS INC | 1,350,000 | $1.169M | 0.7% | $0.87 | — | NOTE 0.750% 5/1 | 53220KAF5 |
| BKLN | INVESCO EXCHNG TRADED FD TR | 50,000 | $1.133M | 0.7% | $21.78 | — | SR LN ETF | 46138G508 |
| — | CHURCHILL CAP CORP II | 110,300 | $1.12M | 0.6% | $10.15 | — | UNIT 99/99/9999 | 17143G205 |
| — | TRINITY MERGER CORP | 99,068 | $1.053M | 0.6% | $10.07 | — | UNIT 05/11/2025 | 89653L205 |
| — | HAYMAKER ACQUISITION CORP II | 100,000 | $1.021M | 0.6% | $10.21 | — | UNIT 10/31/2026 | 42087L200 |
| JOYY 1.375 06/15/26 REGs | YY INC | 1,000,000 | $1.018M | 0.6% | $1.02 | — | DEBT 1.375% 6/1 | G9887YAC1 |
| JOYY 0.75 06/15/25 REGS | YY INC | 1,000,000 | $1.014M | 0.6% | $1.01 | — | DEBT 0.750% 6/1 | G9887YAB3 |
| — | ACT II GLOBAL ACQUISITION CO | 100,000 | $1.012M | 0.6% | $10.12 | — | UNIT 04/30/2026 | G0080J112 |
| — | INVACARE CORP | 1,200,000 | $981K | 0.6% | $0.82 | — | NOTE 5.000% 2/1 | 461203AF8 |
| VV | VANGUARD INDEX FDS | 7,200 | $970K | 0.6% | $114.86 | — | LARGE CAP ETF | 922908637 |
| — | TUSCAN HOLDINGS CORP | 89,900 | $953K | 0.6% | $10.43 | — | UNIT 99/99/9999 | 90069K203 |
| — | GORDON POINTE ACQUISITION CO | 91,600 | $946K | 0.5% | $10.33 | — | COM CLASS A | 382788107 |
| — | TILRAY INC | 1,150,000 | $933K | 0.5% | $0.72 | — | DEBT 5.000%10/0 | U8961EAA4 |
| — | INFINERA CORPORATION | 1,250,000 | $855K | 0.5% | $0.68 | — | NOTE 2.125% 9/0 | 45667GAC7 |
| — | CHANGE HEALTHCARE INC | 15,000 | $845K | 0.5% | $56.33 | — | UNIT 99/99/9999 | 15912K209 |
| — | TENZING ACQUISITION CORP | 79,300 | $826K | 0.5% | $10.06 | — | UNIT 08/24/2024 | G8708A124 |
| LQD | ISHARES TR | 6,400 | $796K | 0.5% | $116.08 | — | IBOXX INV CP ETF | 464287242 |
| — | HL ACQUISITIONS CORP | 75,073 | $791K | 0.5% | $10.27 | — | UNIT 06/21/2023 | G4603R114 |
| — | CHASERG TECHNLGY ACQUISITN C | 77,232 | $790K | 0.5% | $9.99 | — | UNIT 09/30/2023 | 16166A202 |
| — | FINTECH ACQUISITION CORP III | 55,500 | $594K | 0.3% | $10.00 | — | UNIT 12/01/2023 | 31811A309 |
| — | LONGEVITY ACQUISITION CORP | 51,500 | $534K | 0.3% | $10.25 | — | UNIT 08/29/2024 | G56372108 |
| — | MAGNOLIA OIL & GAS CORP | 158,900 | $531K | 0.3% | $3.03 | — | *W EXP 07/31/202 | 559663117 |
| TLT | ISHARES TR | 4,000 | $531K | 0.3% | $121.50 | — | 20 YR TR BD ETF | 464287432 |
| — | AKERNA CORP | 157,055 | $467K | 0.3% | $2.97 | — | *W EXP 01/30/202 | 00973W110 |
| — | FORUM MERGER II CORP | 45,785 | $461K | 0.3% | $9.56 | — | CL A | 34986F103 |
| — | MUDRICK CAP ACQUISITION CORP | 39,900 | $423K | 0.2% | $10.27 | — | UNIT 02/01/2023 | 624745204 |
| — | BLACKSTONE MTG TR INC | 300,000 | $311K | 0.2% | $0.99 | — | NOTE 4.750% 3/1 | 09257WAC4 |
| VTI | VANGUARD INDEX FDS | 1,700 | $255K | 0.1% | $127.65 | — | TOTAL STK MKT | 922908769 |
| — | RANPAK HLDGS CORP | 187,000 | $235K | 0.1% | $1.26 | — | *W EXP 06/03/202 | 75321W111 |
| — | PIVOTAL ACQUISITION CORP | 160,599 | $217K | 0.1% | $1.35 | — | *W EXP 12/01/202 | 72583A119 |
| — | PRETIUM RES INC | 185,000 | $181K | 0.1% | $0.84 | — | NOTE 2.250% 3/1 | 74139CAB8 |
| — | KAIXIN AUTO HLDGS | 60,290 | $133K | 0.1% | $2.21 | — | SHS | G5223X100 |
| — | PIVOTAL ACQUISITION CORP | 12,029 | $122K | 0.1% | $10.14 | — | CL A COM | 72583A101 |
| — | SENTINEL ENERGY SVCS INC | 170,401 | $119K | 0.1% | $0.68 | — | *W EXP 11/02/202 | 81728P113 |
| — | BLACK RIDGE ACQUISITION CORP | 99,500 | $41,000 | 0.0% | $0.40 | — | UNIT 10/05/2022 | 09216T115 |
| — | BLACK RIDGE ACQUISITION CORP | 91,200 | $38,000 | 0.0% | $0.42 | — | RIGHT 07/10/2019 | 09216T123 |
| — | GORDON POINTE ACQUISITION CO | 91,600 | $31,000 | 0.0% | $0.34 | — | *W EXP 07/30/202 | 382788115 |
| — | LF CAP ACQUISITION CORP | 59,500 | $19,000 | 0.0% | $0.32 | — | *W EXP 06/22/202 | 50200K116 |
| — | XYNOMIC PHARMACUTCLS HLDNG I | 63,000 | $13,000 | 0.0% | $0.21 | — | *W EXP 05/15/202 | 98421X110 |
| — | MODERN MEDIA ACQUISITION | 40,000 | $12,000 | 0.0% | $0.33 | — | RIGHT 99/99/9999 | 60765P129 |
| — | PENSARE ACQUISITION CORP | 51,700 | $9,000 | 0.0% | $0.17 | — | RIGHT 99/99/9999 | 70957E121 |
| — | MODERN MEDIA ACQUISITION | 20,000 | $4,000 | 0.0% | $0.30 | — | *W EXP 05/17/202 | 60765P111 |
| — | PENSARE ACQUISITION CORP | 25,850 | $4,000 | 0.0% | $0.15 | — | *W EXP 07/27/202 | 70957E113 |
| — | INFRA AND ENERGY ALTRNTIVE I | 13,264 | $0 | 0.0% | $0.43 | — | *W EXP 05/20/202 | 45686J112 |
| — | TWELVE SEAS INVESTMENT COMPA | 1,400 | $0 | 0.0% | — | — | RIGHT 12/22/2019 | G9145A131 |
| — | TWELVE SEAS INVESTMENT COMPA | 1,400 | $0 | 0.0% | — | — | *W EXP 12/22/202 | G9145A115 |