Location: Boston, MA
CIK: 0001357550 · Show all filings
Period: Q1 2018 (← Previous) (Next →)
Filing Date: May 15, 2018
Total Value: $1.242B (64.5% shares, 35.5% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| CEF | SPROTT PHYSICAL GOLD & SILVE | 9,567,429 | $126M | 10.2% | $13.22 | $13.22 | — | TR UNIT | 85208R101 |
| — | TRINITY INDS INC | 65,232,000 | $88.7M | 7.1% | $1.36 | $1.36 | — | NOTE 3.875% 6/0 | 896522AF6 |
| CRM | SALESFORCE COM INC | 720,248 | $83.77M | 6.7% | $116.30 * | $113.34 | +0.1% | COM | 79466L302 |
| CRM | SALESFORCE COM INC | 500,000 | $58.15M | 4.7% | $116.30 * | $113.34 | +0.1% | Put | 79466L302 |
| — | LIBERTY MEDIA CORP DELAWARE | 49,817,000 | $57.22M | 4.6% | $1.15 | $1.17 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | LAM RESEARCH CORP | 16,353,000 | $54.15M | 4.4% | $3.31 | $3.31 | — | NOTE 1.250% 5/1 | 512807AL2 |
| — | CONVERGYS CORP | 23,150,000 | $48.9M | 3.9% | $2.11 | $2.28 | — | SDCV 5.750% 9/1 | 212485AE6 |
| — | SHUTTERFLY INC | 33,173,000 | $41.95M | 3.4% | $1.26 | $1.26 | — | NOTE 0.250% 5/1 | 82568PAB2 |
| — | BLACKHAWK NETWORK HLDGS INC | 32,730,000 | $36.16M | 2.9% | $1.10 | $1.10 | — | NOTE 1.500% 1/1 | 09238EAB0 |
| — | LIBERTY MEDIA CORP | 51,143,000 | $30.4M | 2.4% | $0.59 | $0.57 | — | DEB 3.500% 1/1 | 530715AN1 |
| TEVA | TEVA PHARMACEUTICAL INDS LTD | 1,700,000 | $29.05M | 2.3% | $17.09 | — | — | Put | 881624209 |
| BAC | BANK AMER CORP | 781,500 | $23.44M | 1.9% | $29.99 | — | — | Put | 060505104 |
| EWY | ISHARES INC | 300,000 | $22.64M | 1.8% | $75.45 | — | — | Put | 464286772 |
| — | RESOURCE CAP CORP | 23,000,000 | $22.39M | 1.8% | $0.97 | $0.97 | — | NOTE 4.500% 8/1 | 76120WAC8 |
| — | CM SEVEN STAR ACQUISITION CO | 2,233,456 | $21.75M | 1.8% | $9.74 | $9.67 | — | SHS | G2345N102 |
| — | SERVICENOW INC | 9,399,000 | $21.25M | 1.7% | $2.26 | $2.26 | — | NOTE 11/0 | 81762PAB8 |
| IEF | ISHARES TR | 200,000 | $20.64M | 1.7% | $103.19 | — | — | Put | 464287440 |
| — | RLJ LODGING TR | 779,959 | $19.8M | 1.6% | $25.38 | $26.58 | — | CUM CONV PFD A | 74965L200 |
| VRSN | VERISIGN INC | 162,588 | $19.28M | 1.6% | $118.56 * | $114.83 | 0.0% | COM | 92343E102 |
| — | INDUSTREA ACQUISITION CORP | 1,588,758 | $15.59M | 1.3% | $9.81 | $9.78 | — | CL A | 45579J104 |
| — | FRONTIER COMMUNICATIONS CORP | 1,294,293 | $14.87M | 1.2% | $11.49 | $11.22 | — | PFD CONV SER-A | 35906A207 |
| — | CIENA CORP | 9,750,000 | $13.74M | 1.1% | $1.41 | $1.41 | — | DEBT 4.000%12/1 | 171779AK7 |
| — | TIME WARNER INC | 144,700 | $13.69M | 1.1% | $94.58 | — | — | Call | 887317303 |
| — | LAYNE CHRISTENSEN CO | 10,000,000 | $13.3M | 1.1% | $1.33 | $1.33 | — | NOTE 8.000% 5/0 | 521050AD6 |
| — | UNION ACQUISITION CORP | 1,337,500 | $12.81M | 1.0% | $9.58 | $9.58 | — | SHS | G9366W101 |
| — | HENNESSY CAP ACQUSTON CORP I | 1,131,401 | $11.2M | 0.9% | $9.90 | $9.81 | — | COM | 42588L105 |
| — | OSPREY ENERGY ACQUISITION CO | 1,133,771 | $10.91M | 0.9% | $9.62 | $9.62 | — | CL A COM | 688397108 |
| VRSN | VERISIGN INC | 90,000 | $10.67M | 0.9% | $118.56 * | $114.83 | 0.0% | Call | 92343E102 |
| — | GTY TECHNOLOGY HOLDINGS INC | 1,053,678 | $10.48M | 0.8% | $9.95 | $9.94 | — | CL A | G4182A102 |
| — | VIDEOCON D2H LTD | 1,263,389 | $10.36M | 0.8% | $8.20 | $9.51 | — | ADR | 92657J101 |
| — | VANTAGE ENERGY ACQUISITION | 1,025,000 | $10.04M | 0.8% | $9.79 | $9.72 | — | COM CL A | 92211L105 |
| — | EQUITY COMWLTH | 306,667 | $9.405M | 0.8% | $30.67 | $30.54 | — | COM SH BEN INT | 294628102 |
| — | GIGCAPITAL INC | 922,420 | $9.012M | 0.7% | $9.77 | $9.77 | — | COM | 37518N106 |
| — | KBL MERGER CORP IV | 911,838 | $8.982M | 0.7% | $9.85 | $9.74 | — | COM | 48242A104 |
| — | ELECTRUM SPL ACQUISITION COR | 851,819 | $8.842M | 0.7% | $10.38 | $9.82 | — | SHS | G3105C104 |
| — | BLACK RIDGE ACQUISITION CORP | 811,070 | $7.859M | 0.6% | $9.69 | $9.65 | — | COM | 09216T107 |
| — | CONSTELLATION ALPHA CAP CORP | 733,085 | $7.236M | 0.6% | $9.87 | $9.76 | — | SHS | G2379F108 |
| — | LANDCADIA HLDGS INC | 718,334 | $7.212M | 0.6% | $10.04 | $9.97 | — | CL A | 51476W107 |
| — | PENSARE ACQUISITION CORP | 709,177 | $6.893M | 0.6% | $9.72 | $9.67 | — | COM | 70957E105 |
| — | GRANITE PT MTG TR INC | 6,500,000 | $6.385M | 0.5% | $0.98 | $0.98 | — | NOTE 5.625%12/0 | 38741LAB3 |
| — | HAYMAKER ACQUISITION CORP | 653,700 | $6.243M | 0.5% | $9.55 | $9.55 | — | COM CLASS A | 420870107 |
| NOW | SERVICENOW INC | 37,124 | $6.142M | 0.5% | $165.45 * | $30.87 | 0.0% | COM | 81762P102 |
| RWGE | REGALWOOD GLOBAL ENERGY LTD | 618,100 | $5.996M | 0.5% | $9.70 | $9.70 | — | COM CL A | G74760102 |
| — | KAYNE ANDERSON ACQUISITION | 576,647 | $5.645M | 0.5% | $9.79 | $9.71 | — | COM CL A | 48661U102 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 538,000 | $5.375M | 0.4% | $9.99 | $9.99 | — | CL A | G0726L125 |
| NESR | NATIONAL ENERGY SERVICES REU | 519,302 | $5.157M | 0.4% | $9.93 | $9.53 | — | SHS | G6375R107 |
| GWRE | GUIDEWIRE SOFTWARE INC | 62,857 | $5.081M | 0.4% | $80.83 | $80.47 | 0.0% | COM | 40171V100 |
| — | MODERN MEDIA ACQUISITION | 497,500 | $4.94M | 0.4% | $9.93 | $9.76 | — | COM | 60765P103 |
| HOLX | HOLOGIC INC | 130,000 | $4.857M | 0.4% | $37.36 * | $40.41 | 0.0% | COM | 436440101 |
| — | FEDERAL STR ACQUISITION CORP | 493,952 | $4.786M | 0.4% | $9.69 | $9.69 | — | CL A | 31421V107 |
| — | ATLANTIC ACQUISITION CORP | 478,600 | $4.748M | 0.4% | $9.92 | $9.85 | — | COM | 048206106 |
| — | BISON CAP ACQUISITION CORP | 475,000 | $4.722M | 0.4% | $9.94 | $9.87 | — | ORD SHS | G1142P104 |
| — | CAPITOL INVT CORP IV | 464,274 | $4.508M | 0.4% | $9.71 | $9.71 | — | CL A ORD | G18920101 |
| — | LEGACY ACQUISITION CORP | 467,600 | $4.484M | 0.4% | $9.59 | $9.59 | — | COM CL A | 524643103 |
| PSLV | SPROTT PHYSICAL SILVER TR | 654,675 | $3.954M | 0.3% | $6.04 | $6.33 | — | TR UNIT | 85207K107 |
| — | BRIGHTSPHERE INVESTMNT GRP P | 250,000 | $3.94M | 0.3% | $15.76 | $15.76 | — | SHS | G1644T109 |
| — | BIG ROCK PARTNERS ACQUISI CO | 381,400 | $3.747M | 0.3% | $9.82 | $9.76 | — | COM | 089482103 |
| — | ANADARKO PETE CORP | 125,000 | $3.725M | 0.3% | $29.80 | $29.80 | — | UNIT 99/99/9999 | 032511404 |
| — | GORDON POINTE ACQUISITION CO | 375,500 | $3.646M | 0.3% | $9.71 | $9.71 | — | COM CLASS A | 382788107 |
| STNL | SENTINEL ENERGY SVCS INC | 371,000 | $3.599M | 0.3% | $9.70 | $9.70 | — | COM CL A | G8062D102 |
| — | OPES ACQUISITION CORP | 350,000 | $3.518M | 0.3% | $10.05 | $10.05 | — | UNIT 03/07/2023 | 68373P209 |
| — | MTECH ACQUISITION CORP | 320,450 | $3.07M | 0.2% | $9.58 | $9.58 | — | COM CLASS A | 55378W107 |
| — | ABERDEEN LATIN AMER EQTY FD | 111,848 | $3.062M | 0.2% | $27.38 | $27.27 | — | COM | 00306K106 |
| — | MATLIN & PARTNERS ACQUISITIO | 283,000 | $2.773M | 0.2% | $9.80 | $9.77 | — | CL A | 57682V106 |
| — | JENSYN ACQUISITION CORP | 253,498 | $2.662M | 0.2% | $10.50 | $10.23 | — | COM | 47632B102 |
| — | FRONTIER COMMUNICATIONS CORP | 337,200 | $2.502M | 0.2% | $7.42 | — | — | Put | 35906A306 |
| — | MUDRICK CAP ACQUISITION CORP | 250,000 | $2.4M | 0.2% | $9.60 | $9.60 | — | COM CLASS A | 624745105 |
| — | ABERDEEN GTR CHINA FD INC | 181,627 | $2.399M | 0.2% | $13.21 | $12.97 | — | COM | 003031101 |
| — | ZENDESK INC | 50,000 | $2.394M | 0.2% | $47.88 | $47.88 | — | COM | 98936J101 |
| — | ABERDEEN EMERGING MKTS SMALL | 156,678 | $2.319M | 0.2% | $14.80 | $14.75 | — | COM | 00301T102 |
| SA | SEABRIDGE GOLD INC | 200,000 | $2.17M | 0.2% | $10.85 * | $11.85 | -6.5% | COM | 811916105 |
| — | NOVELLUS SYS INC | 337,000 | $2.064M | 0.2% | $6.12 | $6.12 | — | NOTE 2.625% 5/1 | 670008AD3 |
| XLE | SELECT SECTOR SPDR TR | 30,400 | $2.049M | 0.2% | $67.40 | $67.40 | — | ENERGY | 81369Y506 |
| — | BARINGTON HILCO ACQUISITION | 190,480 | $2.038M | 0.2% | $10.70 | $9.69 | — | COM | 06759V101 |
| PACK | ONE MADISON CORP | 210,000 | $2.016M | 0.2% | $9.60 | $9.60 | — | COM CL A | G6772P100 |
| — | COLONY NORTHSTAR CR REAL EST | 100,000 | $1.895M | 0.2% | $18.95 | $18.95 | — | COM CL A | 19626A101 |
| — | BRISTOW GROUP INC | 1,650,000 | $1.813M | 0.1% | $1.10 | $1.11 | — | NOTE 4.500% 6/0 | 110394AF0 |
| — | REAVES UTIL INCOME FD | 57,963 | $1.636M | 0.1% | $28.22 | $29.50 | — | COM SH BEN INT | 756158101 |
| — | CAPSTEAD MTG CORP | 182,742 | $1.581M | 0.1% | $8.65 | $8.76 | — | COM NO PAR | 14067E506 |
| — | TCF FINL CORP | 262,337 | $1.535M | 0.1% | $5.85 | $5.85 | — | *W EXP 11/14/201 | 872275128 |
| — | GSV CAP CORP | 1,500,000 | $1.504M | 0.1% | $1.00 | $1.00 | — | NOTE 4.750% 3/2 | 36191JAC5 |
| CHGG | CHEGG INC | 72,400 | $1.496M | 0.1% | $20.66 * | $18.93 | 0.0% | COM | 163092109 |
| TEVA | TEVA PHARMACEUTICAL INDS LTD | 86,000 | $1.47M | 0.1% | $17.09 | — | — | Call | 881624209 |
| — | MOSAIC ACQUISITION CORP | 150,000 | $1.47M | 0.1% | $9.80 | $9.80 | — | SHS CL A | G62848109 |
| — | HOSTESS BRANDS INC | 620,712 | $1.465M | 0.1% | $2.36 | $2.36 | — | *W EXP 11/04/202 | 44109J114 |
| — | ABERDEEN SINGAPORE FD INC | 102,441 | $1.358M | 0.1% | $13.26 | $12.97 | — | COM | 003244100 |
| — | ABERDEEN CHILE FD INC | 133,326 | $1.205M | 0.1% | $9.04 | $8.93 | — | COM | 00301W105 |
| — | ABERDEEN ISRAEL FUND INC | 61,235 | $1.193M | 0.1% | $19.48 | $19.36 | — | COM | 00301L109 |
| — | LIBERTY ALL STAR EQUITY FD | 191,242 | $1.172M | 0.1% | $6.13 | $6.16 | — | SH BEN INT | 530158104 |
| — | DRAPER OAKWOOD TECHNOLOGY | 111,200 | $1.1M | 0.1% | $9.89 | $9.81 | — | COM CL A | 26146L103 |
| — | ABERDEEN INDONESIA FD INC | 147,856 | $1.078M | 0.1% | $7.29 | $7.35 | — | COM | 00305P106 |
| — | BLACKROCK ENHANCED EQT DIV T | 122,089 | $1.066M | 0.1% | $8.73 | $8.84 | — | COM | 09251A104 |
| — | CELGENE CORP | 11,372 | $1.014M | 0.1% | $89.17 | $118.34 | — | COM | 151020104 |
| — | CUSHING RENAISSANCE FD | 63,088 | $992K | 0.1% | $15.72 | $15.72 | — | COM | 231647108 |
| — | BLACKSTONE MTG TR INC | 1,000,000 | $984K | 0.1% | $0.98 | $0.98 | — | NOTE 4.750% 3/1 | 09257WAC4 |
| — | NUVEEN CA QUALTY MUN INCOME | 65,335 | $875K | 0.1% | $13.39 | $13.88 | — | COM | 67066Y105 |
| — | NUVEEN QUALITY MUNCP INCOME | 65,433 | $860K | 0.1% | $13.14 | $13.51 | — | COM | 67066V101 |
| INCY | INCYTE CORP | 10,249 | $854K | 0.1% | $83.33 * | $115.43 | -21.9% | COM | 45337C102 |
| IONS | IONIS PHARMACEUTICALS INC | 17,983 | $793K | 0.1% | $44.10 * | $53.52 | -5.1% | COM | 462222100 |
| GILD | GILEAD SCIENCES INC | 10,101 | $762K | 0.1% | $75.44 * | $56.07 | +5.1% | COM | 375558103 |
| — | TIBERIUS ACQUISITION CORP | 75,000 | $757K | 0.1% | $10.09 | $10.09 | — | UNIT 02/28/2021 | 88633A206 |
| — | RED HAT INC | 5,064 | $757K | 0.1% | $149.49 | $149.49 | — | COM | 756577102 |
| — | I AM CAP ACQUISITION CO | 75,000 | $748K | 0.1% | $9.97 | $9.87 | — | COM | 45074Q108 |
| TPGH/U | TPG PACE HLDGS CORP | 63,846 | $667K | 0.1% | $10.45 | $10.45 | — | UNIT 99/99/9999 | G89827102 |
| NTB | BANK OF NT BUTTERFIELD&SON L | 15,000 | $660K | 0.1% | $44.00 * | $23.96 | +22.6% | SHS NEW | G0772R208 |
| — | NUVEEN MUN HIGH INCOME OPP F | 52,297 | $654K | 0.1% | $12.51 | $12.51 | — | COM | 670682103 |
| NBIX | NEUROCRINE BIOSCIENCES INC | 7,865 | $652K | 0.1% | $82.90 | $61.32 | +37.7% | COM | 64125C109 |
| VRTX | VERTEX PHARMACEUTICALS INC | 3,808 | $621K | 0.0% | $163.08 | $149.14 | +9.5% | COM | 92532F100 |
| AGIO | AGIOS PHARMACEUTICALS INC | 7,462 | $610K | 0.0% | $81.75 * | $61.77 | +25.1% | COM | 00847X104 |
| — | TEKLA HEALTHCARE INVS | 27,350 | $589K | 0.0% | $21.54 | $22.55 | — | SH BEN INT | 87911J103 |
| — | ASIA TIGERS FD INC | 45,225 | $573K | 0.0% | $12.67 | $12.59 | — | COM | 04516T105 |
| SPPP | SPROTT PHYSICAL PLAT PALLAD | 63,340 | $540K | 0.0% | $8.53 | $8.62 | — | UNIT | 85207Q104 |
| PHYS | SPROTT PHYSICAL GOLD TRUST | 50,000 | $538K | 0.0% | $10.76 | $10.52 | — | UNIT | 85207H104 |
| — | ROYAL BK SCOTLAND GROUP PLC | 19,963 | $511K | 0.0% | $25.60 | $25.63 | — | SP ADR PREF S | 780097739 |
| — | PLATINUM EAGLE ACQUISITIN CO | 49,000 | $497K | 0.0% | $10.14 | $10.14 | — | UNIT 01/09/2023 | G7126L126 |
| — | ALLIANCEBERNSTEIN GBL HGH IN | 41,583 | $494K | 0.0% | $11.88 | $12.36 | — | COM | 01879R106 |
| — | MORGAN STANLEY CHINA A SH FD | 19,781 | $493K | 0.0% | $24.92 | $23.36 | — | COM | 617468103 |
| WFC | WELLS FARGO CO NEW | 9,000 | $472K | 0.0% | $52.44 | — | — | Put | 949746101 |
| — | RADIUS HEALTH INC | 13,046 | $469K | 0.0% | $35.95 | $31.74 | — | COM NEW | 750469207 |
| — | ROYCE VALUE TR INC | 30,000 | $467K | 0.0% | $15.57 | $15.57 | — | COM | 780910105 |
| — | INDIA FD INC | 18,882 | $465K | 0.0% | $24.63 | $25.88 | — | COM | 454089103 |
| — | ALEXION PHARMACEUTICALS INC | 4,150 | $463K | 0.0% | $111.57 | $127.27 | — | COM | 015351109 |
| — | HANCOCK JOHN FINL OPPTYS FD | 11,927 | $457K | 0.0% | $38.32 | $38.32 | — | SH BEN INT NEW | 409735206 |
| — | SAGE THERAPEUTICS INC | 2,620 | $422K | 0.0% | $161.07 | $164.89 | — | COM | 78667J108 |
| — | GABELLI DIVD & INCOME TR | 18,699 | $413K | 0.0% | $22.09 | $23.41 | — | COM | 36242H104 |
| — | BOULDER GROWTH & INCOME FD I | 37,934 | $409K | 0.0% | $10.78 | $11.08 | — | COM | 101507101 |
| HALO | HALOZYME THERAPEUTICS INC | 20,814 | $408K | 0.0% | $19.60 | $18.38 | +5.3% | COM | 40637H109 |
| — | NUVEEN CALIFORNIA AMT QLT MU | 30,063 | $407K | 0.0% | $13.54 | $13.54 | — | COM | 670651108 |
| ESPR | ESPERION THERAPEUTICS INC NE | 5,427 | $393K | 0.0% | $72.42 | $53.84 | +36.4% | COM | 29664W105 |
| — | OPES ACQUISITION CORP | 40,000 | $388K | 0.0% | $9.70 | $9.70 | — | COM | 68373P100 |
| NVO | NOVO-NORDISK A S | 7,616 | $375K | 0.0% | $49.24 | $53.70 | — | ADR | 670100205 |
| AGO | ASSURED GUARANTY LTD | 10,081 | $365K | 0.0% | $36.21 * | $34.73 | -11.5% | COM | G0585R106 |
| — | TEMPLETON DRAGON FD INC | 15,972 | $355K | 0.0% | $22.23 | $21.56 | — | COM | 88018T101 |
| — | GUGGENHEIM ENHNCD EQTY INCM | 41,781 | $348K | 0.0% | $8.33 | $8.33 | — | COM | 40167B100 |
| — | JUST ENERGY GROUP INC | 78,162 | $345K | 0.0% | $4.41 | $5.35 | — | COM | 48213W101 |
| MEOH | METHANEX CORP | 5,613 | $340K | 0.0% | $60.57 * | $58.66 | 0.0% | COM | 59151K108 |
| GIL | GILDAN ACTIVEWEAR INC | 11,740 | $339K | 0.0% | $28.88 * | $27.18 | 0.0% | COM | 375916103 |
| — | CALAMOS STRATEGIC TOTL RETN | 27,807 | $329K | 0.0% | $11.83 | $12.08 | — | COM SH BEN INT | 128125101 |
| — | GABELLI EQUITY TR INC | 52,700 | $323K | 0.0% | $6.13 | $6.19 | — | COM | 362397101 |
| — | MORGAN STANLEY INDIA INVS FD | 10,238 | $311K | 0.0% | $30.38 | $30.38 | — | COM | 61745C105 |
| — | COHEN & STEERS INFRASTRUCTUR | 14,332 | $307K | 0.0% | $21.42 | $21.42 | — | COM | 19248A109 |
| — | SABAN CAP ACQUISITION CORP | 29,581 | $294K | 0.0% | $9.94 | $9.94 | — | COM CL A | 78516C106 |
| ALNY | ALNYLAM PHARMACEUTICALS INC | 2,460 | $293K | 0.0% | $119.11 * | $125.65 | +2.6% | COM | 02043Q107 |
| VOYA | VOYA FINL INC | 5,282 | $267K | 0.0% | $50.55 * | $46.39 | 0.0% | COM | 929089100 |
| — | EATON VANCE TX MGD DIV EQ IN | 22,046 | $255K | 0.0% | $11.57 | $11.57 | — | COM | 27828N102 |
| — | DREYFUS STRATEGIC MUNS INC | 32,964 | $254K | 0.0% | $7.71 | $7.71 | — | COM | 261932107 |
| — | TPG PACE HLDGS CORP | 25,000 | $245K | 0.0% | $9.80 | $9.80 | — | CL A | G89827128 |
| — | NUVEEN NEW YORK AMT QLT MUNI | 19,274 | $234K | 0.0% | $12.14 | $12.14 | — | COM | 670656107 |
| — | ENDOCYTE INC | 25,349 | $230K | 0.0% | $9.07 | $6.35 | — | COM | 29269A102 |
| — | CONNECTICUT WTR SVC INC | 3,763 | $228K | 0.0% | $60.59 | $60.59 | — | COM | 207797101 |
| — | INVESCO QUALITY MUNI INC TRS | 19,151 | $228K | 0.0% | $11.91 | $12.46 | — | COM | 46133G107 |
| — | GUESS INC | 10,899 | $226K | 0.0% | $20.74 | $20.74 | — | COM | 401617105 |
| — | WESTERN ASSET EMRG MKT DEBT | 15,078 | $219K | 0.0% | $14.52 | $14.52 | — | COM | 95766A101 |
| — | VOYA INFRASTRUCTURE INDLS & | 14,019 | $213K | 0.0% | $15.19 | $15.19 | — | COM | 92912X101 |
| GWW | GRAINGER W W INC | 743 | $210K | 0.0% | $282.64 * | $235.02 | 0.0% | COM | 384802104 |
| — | FIRST TR HIGH INCOME L/S FD | 13,717 | $206K | 0.0% | $15.02 | $16.57 | — | COM | 33738E109 |
| — | MORGAN STANLEY EM MKTS DM DE | 26,065 | $204K | 0.0% | $7.83 | $7.70 | — | COM | 617477104 |
| — | FLAHERTY&CRMN PFD SEC INCOM | 10,717 | $204K | 0.0% | $19.04 | $19.04 | — | COM | 338478100 |
| — | MYOVANT SCIENCES LTD | 9,552 | $203K | 0.0% | $21.25 | $21.25 | — | COM | G637AM102 |
| EL | LAUDER ESTEE COS INC | 1,352 | $202K | 0.0% | $149.41 * | $125.48 | 0.0% | CL A | 518439104 |
| MGEE | MGE ENERGY INC | 3,600 | $202K | 0.0% | $56.11 * | $48.13 | 0.0% | COM | 55277P104 |
| — | BLACKROCK MUNIHLDNGS CALI QL | 15,023 | $198K | 0.0% | $13.18 | $13.86 | — | COM | 09254L107 |
| — | TEMPLETON EMERGING MKTS FD I | 12,100 | $197K | 0.0% | $16.28 | $16.28 | — | COM | 880191101 |
| — | SIMPLY GOOD FOODS CO | 55,681 | $195K | 0.0% | $3.50 | $3.50 | — | *W EXP 07/07/202 | 82900L110 |
| — | KAYNE ANDERSON ACQUISITION | 19,000 | $192K | 0.0% | $10.11 | $10.11 | — | UNIT 06/30/2022 | 48661U201 |
| — | SENTINEL ENERGY SVCS INC | 18,544 | $184K | 0.0% | $9.92 | $9.97 | — | UNIT 11/02/2022 | G8062D128 |
| WEN | WENDYS CO | 10,407 | $183K | 0.0% | $17.58 * | $16.59 | 0.0% | COM | 95058W100 |
| — | ALPINE GLOBAL PREMIER PPTYS | 29,245 | $182K | 0.0% | $6.22 | $6.74 | — | COM SBI | 02083A103 |
| — | NEW MEDIA INVT GROUP INC | 10,586 | $181K | 0.0% | $17.10 | $17.10 | — | COM | 64704V106 |
| — | GENERAL ELECTRIC CO | 13,251 | $179K | 0.0% | $13.51 | $13.51 | — | COM | 369604103 |
| GNL | GLOBAL NET LEASE INC | 10,541 | $178K | 0.0% | $16.89 | $16.89 | — | COM NEW | 379378201 |
| — | NEW YORK MTG TR INC | 30,030 | $178K | 0.0% | $5.93 | $6.09 | — | COM PAR $.02 | 649604501 |
| CNX | CNX RESOURCES CORPORATION | 11,547 | $178K | 0.0% | $15.42 * | $14.93 | 0.0% | COM | 12653C108 |
| — | DENNYS CORP | 11,516 | $178K | 0.0% | $15.46 | $15.46 | — | COM | 24869P104 |
| — | CHIMERA INVT CORP | 10,121 | $176K | 0.0% | $17.39 | $17.39 | — | COM NEW | 16934Q208 |
| — | CYS INVTS INC | 26,208 | $176K | 0.0% | $6.72 | $7.33 | — | COM | 12673A108 |
| XMHIX | PIONEER MUN HIGH INCOME TR | 15,607 | $176K | 0.0% | $11.28 | $11.28 | — | COM SHS | 723763108 |
| — | INVESCO MORTGAGE CAPITAL INC | 10,697 | $175K | 0.0% | $16.36 | $16.36 | — | COM | 46131B100 |
| ENPH | ENPHASE ENERGY INC | 37,976 | $174K | 0.0% | $4.58 * | $2.44 | +24.5% | COM | 29355A107 |
| — | TWO HBRS INVT CORP | 11,247 | $173K | 0.0% | $15.38 | $15.38 | — | COM NEW | 90187B408 |
| — | SPIRIT RLTY CAP INC NEW | 22,319 | $173K | 0.0% | $7.75 | $8.27 | — | COM | 84860W102 |
| NAVI | NAVIENT CORPORATION | 13,054 | $171K | 0.0% | $13.10 * | $13.60 | 0.0% | COM | 63938C108 |
| — | NEW SR INVT GROUP INC | 20,916 | $171K | 0.0% | $8.18 | $9.96 | — | COM | 648691103 |
| — | JAPAN SMALLER CAPTLZTN FD IN | 13,735 | $169K | 0.0% | $12.30 | $12.30 | — | COM | 47109U104 |
| KRNY | KEARNY FINL CORP MD | 12,957 | $168K | 0.0% | $12.97 * | $13.54 | 0.0% | COM | 48716P108 |
| SBH | SALLY BEAUTY HLDGS INC | 10,103 | $166K | 0.0% | $16.43 * | $17.15 | 0.0% | COM | 79546E104 |
| — | RETAIL PPTYS AMER INC | 13,994 | $163K | 0.0% | $11.65 | $11.65 | — | CL A | 76131V202 |
| — | GANNETT CO INC | 16,181 | $161K | 0.0% | $9.95 | $9.15 | — | COM | 36473H104 |
| EARN | ELLINGTON RESIDENTIAL MTG RE | 14,620 | $160K | 0.0% | $10.94 | $10.94 | — | COM SHS BEN INT | 288578107 |
| — | MALLINCKRODT PUB LTD CO | 10,684 | $155K | 0.0% | $14.51 | $14.51 | — | SHS | G5785G107 |
| — | BLACKROCK MUNIYIELD QLTY FD | 12,226 | $155K | 0.0% | $12.68 | $12.68 | — | COM | 09254E103 |
| — | WASHINGTON PRIME GROUP NEW | 22,866 | $153K | 0.0% | $6.69 | $7.71 | — | COM | 93964W108 |
| — | CLOUGH GLOBAL EQUITY FD | 11,431 | $150K | 0.0% | $13.12 | $13.37 | — | COM | 18914C100 |
| — | INVESCO MUN TR | 12,658 | $148K | 0.0% | $11.69 | $12.50 | — | COM | 46131J103 |
| — | NUVEEN NEW JERSEY QULT MUN F | 10,860 | $142K | 0.0% | $13.08 | $13.68 | — | COM | 67069Y102 |
| TGNA | TEGNA INC | 12,417 | $141K | 0.0% | $11.36 * | $13.66 | 0.0% | COM | 87901J105 |
| — | AMPIO PHARMACEUTICALS INC | 38,026 | $129K | 0.0% | $3.39 | $3.39 | — | COM | 03209T109 |
| — | PUTNAM MANAGED MUN INCOM TR | 16,432 | $117K | 0.0% | $7.12 | $7.12 | — | COM | 746823103 |
| XPMAX | PIONEER MUN HIGH INCOME ADV | 10,834 | $116K | 0.0% | $10.71 | $10.71 | — | COM | 723762100 |
| — | R1 RCM INC | 16,275 | $116K | 0.0% | $7.13 | $4.80 | — | COM | 749397105 |
| — | WESTERN ASSET CLYM INFL SEC | 10,000 | $115K | 0.0% | $11.50 | $11.50 | — | COM SH BEN INT | 95766Q106 |
| ARWR | ARROWHEAD PHARMACEUTICALS IN | 16,017 | $115K | 0.0% | $7.18 * | $3.71 | +65.8% | COM | 04280A100 |
| — | CLEARBRIDGE ENERGY MLP OPP F | 11,457 | $113K | 0.0% | $9.86 | $11.80 | — | COM | 18469P100 |
| — | VIRNETX HLDG CORP | 27,569 | $109K | 0.0% | $3.95 | $3.82 | — | COM | 92823T108 |
| — | GABELLI HLTHCARE & WELLNESS | 11,000 | $104K | 0.0% | $9.45 | $10.34 | — | SHS | 36246K103 |
| — | BIODELIVERY SCIENCES INTL IN | 44,689 | $101K | 0.0% | $2.26 | $2.60 | — | COM | 09060J106 |
| — | VERASTEM INC | 31,551 | $94,000 | 0.0% | $2.98 | $3.04 | — | COM | 92337C104 |
| — | RESOLUTE FST PRODS INC | 11,036 | $92,000 | 0.0% | $8.34 | $8.34 | — | COM | 76117W109 |
| PLUG | PLUG POWER INC | 48,050 | $91,000 | 0.0% | $1.89 * | $2.32 | -13.1% | COM NEW | 72919P202 |
| — | GLU MOBILE INC | 24,004 | $90,000 | 0.0% | $3.75 | $3.75 | — | COM | 379890106 |
| — | INTREPID POTASH INC | 24,327 | $89,000 | 0.0% | $3.66 | $4.38 | — | COM | 46121Y102 |
| — | TOWN SPORTS INTL HLDGS INC | 11,353 | $86,000 | 0.0% | $7.58 | $7.58 | — | COM | 89214A102 |
| — | ADVERUM BIOTECHNOLOGIES INC | 14,596 | $85,000 | 0.0% | $5.82 | $5.82 | — | COM | 00773U108 |
| — | IDERA PHARMACEUTICALS INC | 46,408 | $85,000 | 0.0% | $1.83 | $1.83 | — | COM NEW | 45168K306 |
| GOGL | GOLDEN OCEAN GROUP LTD | 10,467 | $83,000 | 0.0% | $7.93 | $7.93 | — | SHS NEW | G39637205 |
| — | AGROFRESH SOLUTIONS | 10,514 | $77,000 | 0.0% | $7.32 | $7.32 | — | COM | 00856G109 |
| APPS | DIGITAL TURBINE INC | 38,345 | $77,000 | 0.0% | $2.01 * | $1.70 | +27.6% | COM NEW | 25400W102 |
| — | CHESAPEAKE ENERGY CORP | 70,000 | $64,000 | 0.0% | $0.91 | $0.99 | — | NOTE 2.250%12/1 | 165167CB1 |
| — | MTECH ACQUISITION CORP | 100,000 | $62,000 | 0.0% | $0.62 | $0.62 | — | *W EXP 08/01/202 | 55378W115 |
| — | CASTLE BRANDS INC | 43,557 | $54,000 | 0.0% | $1.24 | $1.22 | — | COM | 148435100 |
| — | TETRAPHASE PHARMACEUTICALS I | 17,729 | $54,000 | 0.0% | $3.05 | $4.94 | — | COM | 88165N105 |
| — | NOVAVAX INC | 23,062 | $48,000 | 0.0% | $2.08 | $1.21 | — | COM | 670002104 |
| — | SEACHANGE INTL INC | 17,473 | $47,000 | 0.0% | $2.69 | $2.69 | — | COM | 811699107 |
| SB | SAFE BULKERS INC | 14,825 | $47,000 | 0.0% | $3.17 * | $3.21 | +10.1% | COM | Y7388L103 |
| — | COMMUNITY HEALTH SYS INC NEW | 3,000,000 | $34,000 | 0.0% | $0.01 | $0.06 | — | RIGHT 99/99/9999 | 203668116 |
| — | TRANSENTERIX INC | 18,400 | $31,000 | 0.0% | $1.68 | $1.68 | — | COM NEW | 89366M201 |
| MVIS | MICROVISION INC DEL | 23,520 | $27,000 | 0.0% | $1.15 * | $1.92 | -34.8% | COM NEW | 594960304 |
| — | QUICKLOGIC CORP | 11,603 | $18,000 | 0.0% | $1.55 | $1.73 | — | COM | 74837P108 |