Location: Boston, MA
CIK: 0001357550 · Show all filings
Period: Q3 2018 (← Previous) (Next →)
Filing Date: Nov 13, 2018
Total Value: $1.301B (51.3% shares, 48.7% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | EURONET WORLDWIDE INC | 56,801,000 | $79.19M | 6.1% | $1.39 | $1.39 | — | NOTE 1.500%10/0 | 298736AH2 |
| — | INTEGRATED DEVICE TECHNOLOGY | 43,987,000 | $66.1M | 5.1% | $1.50 | $1.50 | — | NOTE 0.875%11/1 | 458118AC0 |
| — | CIENA CORP | 40,571,000 | $62.74M | 4.8% | $1.55 | $1.54 | — | NOTE 3.750%10/1 | 171779AJ0 |
| — | LIBERTY MEDIA CORP DELAWARE | 49,817,000 | $60.73M | 4.7% | $1.22 | $1.17 | — | NOTE 1.375%10/1 | 531229AB8 |
| — | MICRON TECHNOLOGY INC | 36,408,000 | $56.34M | 4.3% | $1.55 | $1.60 | — | NOTE 3.000%11/1 | 595112AY9 |
| — | LIBERTY MEDIA CORP | 67,393,000 | $46.46M | 3.6% | $0.69 | $0.62 | — | DEB 3.500% 1/1 | 530715AN1 |
| — | CONVERGYS CORP | 19,650,000 | $43.53M | 3.3% | $2.22 | $2.28 | — | SDCV 5.750% 9/1 | 212485AE6 |
| TEVA | TEVA PHARMACEUTICAL INDS LTD | 1,700,000 | $36.62M | 2.8% | $21.54 | — | — | Put | 881624209 |
| CEF | SPROTT PHYSICAL GOLD & SILVE | 2,717,197 | $31.74M | 2.4% | $11.68 | $12.14 | — | TR UNIT | 85208R101 |
| — | YAHOO INC | 22,749,000 | $28.9M | 2.2% | $1.27 | $1.27 | — | NOTE 12/0 | 984332AF3 |
| — | KB HOME | 28,191,000 | $28.57M | 2.2% | $1.01 | $1.09 | — | NOTE 1.375% 2/0 | 48666KAS8 |
| — | BIOMARIN PHARMACEUTICAL INC | 27,058,000 | $28.04M | 2.2% | $1.04 | $1.04 | — | NOTE 0.750%10/1 | 09061GAE1 |
| EWY | ISHARES INC | 400,000 | $27.31M | 2.1% | $68.27 | — | — | Put | 464286772 |
| — | CAESARS ENTMT CORP | 15,000,000 | $24.43M | 1.9% | $1.63 | $1.71 | — | NOTE 5.000%10/0 | 127686AA1 |
| — | CHURCHILL CAP CORP | 2,356,100 | $23.91M | 1.8% | $10.15 | $10.15 | — | UNIT 99/99/9999 | 17142R202 |
| SPY | SPDR S&P 500 ETF TR | 80,000 | $23.26M | 1.8% | $290.73 | — | — | Put | 78462F103 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 2,282,051 | $23.14M | 1.8% | $10.14 | $10.02 | — | CL A | G0726L125 |
| BAC | BANK AMER CORP | 781,500 | $23.02M | 1.8% | $29.46 | — | — | Put | 060505104 |
| BCS | BARCLAYS PLC | 2,450,000 | $21.93M | 1.7% | $8.95 | — | — | Put | 06738E204 |
| — | TKK SYMPHONY ACQUISITION COR | 2,307,600 | $21.92M | 1.7% | $9.50 | $9.50 | — | ORD SHS | G88950103 |
| IEF | ISHARES TR | 200,000 | $20.23M | 1.6% | $101.17 | — | — | Put | 464287440 |
| — | RLJ LODGING TR | 772,255 | $20.06M | 1.5% | $25.98 | $26.56 | — | CUM CONV PFD A | 74965L200 |
| — | CIENA CORP | 11,171,000 | $17.74M | 1.4% | $1.59 | $1.59 | — | DEBT 4.000%12/1 | 171779AK7 |
| — | VECTOR GROUP LTD | 15,552,000 | $17.18M | 1.3% | $1.11 | $1.27 | — | FRNT 1/1 | 92240MAY4 |
| — | QTS RLTY TR INC | 160,100 | $16.91M | 1.3% | $105.61 | $105.61 | — | 6.50% CON PFD B | 74736A301 |
| — | GRANITE PT MTG TR INC | 16,250,000 | $16.82M | 1.3% | $1.03 | $1.01 | — | NOTE 5.625%12/0 | 38741LAB3 |
| — | PALO ALTO NETWORKS INC | 7,718,000 | $15.72M | 1.2% | $2.04 | $2.04 | — | NOTE 7/0 | 697435AB1 |
| — | LEISURE ACQUISITION CORP | 1,541,773 | $14.96M | 1.1% | $9.70 | $9.69 | — | COM | 52539T107 |
| KDP | KEURIG DR PEPPER INC | 609,551 | $14.12M | 1.1% | $23.17 * | $19.52 | 0.0% | COM | 49271V100 |
| — | FORUM MERGER II CORP | 1,450,000 | $13.85M | 1.1% | $9.55 | $9.55 | — | CL A | 34986F103 |
| — | SPLUNK INC | 113,800 | $13.76M | 1.1% | $120.91 | $120.91 | — | COM | 848637104 |
| — | ALTABA INC | 195,869 | $13.34M | 1.0% | $68.12 | $68.12 | — | COM | 021346101 |
| — | CM SEVEN STAR ACQUISITION CO | 1,325,460 | $13.33M | 1.0% | $10.06 | $9.67 | — | SHS | G2345N102 |
| — | TRIDENT ACQUISITIONS CORP | 1,300,000 | $12.77M | 1.0% | $9.82 | $9.76 | — | COM | 89615T106 |
| SA | SEABRIDGE GOLD INC | 955,500 | $12.37M | 1.0% | $12.94 * | $11.01 | +4.7% | COM | 811916105 |
| — | TWELVE SEAS INVESTMENT COMPA | 1,180,727 | $11.42M | 0.9% | $9.67 | $9.67 | — | SHS | G9145A107 |
| — | ALLEGRO MERGER CORP | 1,021,750 | $9.778M | 0.8% | $9.57 | $9.57 | — | COM | 01749N103 |
| RWGE | REGALWOOD GLOBAL ENERGY LTD | 982,181 | $9.586M | 0.7% | $9.76 | $9.72 | — | COM CL A | G74760102 |
| — | ALEXANDRIA REAL ESTATE EQ IN | 275,000 | $9.538M | 0.7% | $34.68 | $34.80 | — | PFD CONV SER D | 015271505 |
| — | CAI INTERNATIONAL INC | 400,082 | $9.15M | 0.7% | $22.87 | $23.14 | — | COM | 12477X106 |
| — | THUNDER BRIDGE ACQUISITION L | 842,500 | $8.181M | 0.6% | $9.71 | $9.71 | — | SHS CLASS A | G8857R100 |
| — | SPARTAN ENERGY ACQUISITON CO | 800,000 | $8.128M | 0.6% | $10.16 | $10.16 | — | UNIT 99/99/9999 | 846784114 |
| — | CTRIP COM INTL LTD | 8,000,000 | $7.999M | 0.6% | $1.00 | $1.00 | — | NOTE 1.250%10/1 | 22943FAD2 |
| — | GIGCAPITAL INC | 789,921 | $7.883M | 0.6% | $9.98 | $9.77 | — | COM | 37518N106 |
| — | CONSOLIDATED TOMOKA LD CO | 7,000,000 | $7.781M | 0.6% | $1.11 | $1.10 | — | NOTE 4.500% 3/1 | 210226AB2 |
| PACK | ONE MADISON CORP | 764,602 | $7.432M | 0.6% | $9.72 | $9.72 | — | COM CL A | G6772P100 |
| — | SERVICENOW INC | 2,800,000 | $7.354M | 0.6% | $2.63 | $2.63 | — | NOTE 11/0 | 81762PAB8 |
| — | LEO HOLDINGS CORP | 702,867 | $6.853M | 0.5% | $9.75 | $9.69 | — | COM CL A | G5463L105 |
| NEE | NEXTERA ENERGY INC | 39,974 | $6.7M | 0.5% | $167.61 * | $35.46 | 0.0% | COM | 65339F101 |
| — | CAPITOL INVT CORP IV | 670,864 | $6.648M | 0.5% | $9.91 | $9.82 | — | CL A ORD | G18920101 |
| — | AMTRUST FINL SVCS INC | 6,737,000 | $6.421M | 0.5% | $0.95 | $0.97 | — | NOTE 2.750%12/1 | 032359AG6 |
| — | MEGALITH FINL ACQUISITION CO | 650,000 | $6.188M | 0.5% | $9.52 | $9.52 | — | CL A COM | 58518F109 |
| — | MICRON TECHNOLOGY INC | 1,500,000 | $6.176M | 0.5% | $4.12 | $4.12 | — | NOTE 2.125% 2/1 | 595112AV5 |
| MELI | MERCADOLIBRE INC | 17,500 | $5.958M | 0.5% | $340.46 | $338.65 | 0.0% | COM | 58733R102 |
| — | FORTIVE CORP | 5,000 | $5.394M | 0.4% | $1078.80 | $1078.80 | — | 5% PFD CNV SER A | 34959J207 |
| BBDC | BARINGS BDC INC | 525,304 | $5.258M | 0.4% | $10.01 * | $5.31 | 0.0% | COM | 06759L103 |
| — | BLACK RIDGE ACQUISITION CORP | 520,965 | $5.132M | 0.4% | $9.85 | $9.65 | — | COM | 09216T107 |
| — | KINDER MORGAN INC DEL | 150,000 | $4.988M | 0.4% | $33.25 | $33.25 | — | PFD SER A | 49456B200 |
| — | MODERN MEDIA ACQUISITION | 484,701 | $4.895M | 0.4% | $10.10 | $9.83 | — | COM | 60765P103 |
| — | TRINITY MERGER CORP | 485,000 | $4.758M | 0.4% | $9.81 | $9.77 | — | COM CL A | 89653L106 |
| DOCU | DOCUSIGN INC | 86,300 | $4.537M | 0.3% | $52.57 * | $56.71 | 0.0% | COM | 256163106 |
| PANW | PALO ALTO NETWORKS INC | 19,402 | $4.37M | 0.3% | $225.23 * | $36.40 | 0.0% | COM | 697435105 |
| GDX | VANECK VECTORS ETF TR | 224,000 | $4.148M | 0.3% | $18.52 | $18.52 | — | GOLD MINERS ETF | 92189F106 |
| — | KBL MERGER CORP IV | 405,839 | $4.099M | 0.3% | $10.10 | $9.74 | — | COM | 48242A104 |
| — | AIR LEASE CORP | 2,590,000 | $4.08M | 0.3% | $1.58 | $1.58 | — | NOTE 3.875%12/0 | 00912XAK0 |
| GDXJ | VANECK VECTORS ETF TR | 147,000 | $4.022M | 0.3% | $27.36 | $27.36 | — | JR GOLD MINERS E | 92189F791 |
| — | TENZING ACQUISITION CORP | 390,000 | $3.925M | 0.3% | $10.06 | $10.06 | — | UNIT 08/24/2024 | G8708A124 |
| — | HL ACQUISITIONS CORP | 400,000 | $3.824M | 0.3% | $9.56 | $9.56 | — | SHS | G4603R106 |
| — | TIBERIUS ACQUISITION CORP | 391,624 | $3.779M | 0.3% | $9.65 | $9.61 | — | COM | 88633A107 |
| — | BRIGHTSPHERE INVESTMNT GRP P | 283,200 | $3.512M | 0.3% | $12.40 | $15.37 | — | SHS | G1644T109 |
| — | MUDRICK CAP ACQUISITION CORP | 343,067 | $3.321M | 0.3% | $9.68 | $9.61 | — | COM CLASS A | 624745105 |
| — | GS ACQUISITION HLDGS CORP | 302,000 | $3.132M | 0.2% | $10.37 | $10.22 | — | UNIT 06/12/2023 | 36255F201 |
| — | LONGEVITY ACQUISITION CORP | 300,000 | $3.072M | 0.2% | $10.24 | $10.24 | — | UNIT 08/29/2024 | G56372108 |
| — | OPES ACQUISITION CORP | 300,000 | $2.955M | 0.2% | $9.85 | $9.70 | — | COM | 68373P100 |
| — | PURE ACQUISITION CORP | 299,800 | $2.91M | 0.2% | $9.71 | $9.64 | — | CL A | 74621Q106 |
| — | MAGNOLIA OIL & GAS CORP | 615,133 | $2.891M | 0.2% | $4.70 | $4.70 | — | *W EXP 07/31/202 | 559663117 |
| — | GORES HOLDINGS III INC | 259,000 | $2.647M | 0.2% | $10.22 | $10.22 | — | UNIT 09/07/2024 | 38286G208 |
| SPPP | SPROTT PHYSICAL PLAT PALLAD | 299,993 | $2.634M | 0.2% | $8.78 | $8.33 | — | UNIT | 85207Q104 |
| — | UNION ACQUISITION CORP | 266,250 | $2.596M | 0.2% | $9.75 | $9.58 | — | SHS | G9366W101 |
| — | GREENLAND ACQUISITIN CORPORA | 261,827 | $2.532M | 0.2% | $9.67 | $9.67 | — | SHS | G40981139 |
| XLK | SELECT SECTOR SPDR TR | 32,100 | $2.418M | 0.2% | $75.33 | $69.85 | — | TECHNOLOGY | 81369Y803 |
| — | MEDLEY MGMT INC | 459,013 | $2.41M | 0.2% | $5.25 | $5.25 | — | CL A COM | 58503T106 |
| — | WILLSCOT CORP | 138,292 | $2.372M | 0.2% | $17.15 | $17.15 | — | COM | 971375126 |
| — | PENNYMAC FINL SVCS INC | 100,000 | $2.09M | 0.2% | $20.90 | $19.65 | — | CL A | 70932B101 |
| TOTA | TOTTENHAM ACQUISITION I LTD | 212,000 | $2.056M | 0.2% | $9.70 | $9.70 | — | SHS | G8959N106 |
| XLE | SELECT SECTOR SPDR TR | 25,000 | $1.893M | 0.1% | $75.72 | $67.40 | — | ENERGY | 81369Y506 |
| TEVA | TEVA PHARMACEUTICAL INDS LTD | 86,000 | $1.852M | 0.1% | $21.53 | — | — | Call | 881624209 |
| ANIP | ANI PHARMACEUTICALS INC | 32,565 | $1.841M | 0.1% | $56.53 * | $61.20 | 0.0% | COM | 00182C103 |
| TH | PLATINUM EAGLE ACQUISITIN CO | 175,000 | $1.718M | 0.1% | $9.82 | $9.82 | — | SHS CL A | G7126L100 |
| — | NEW FRONTIER CORP | 175,000 | $1.683M | 0.1% | $9.62 | $9.62 | — | COM CL A | G6485P108 |
| — | LF CAP ACQUISITION CORP | 173,525 | $1.666M | 0.1% | $9.60 | $10.07 | — | CL A | 50200K108 |
| MUB | ISHARES TR | 15,000 | $1.619M | 0.1% | $107.93 | $107.93 | — | NATIONAL MUN ETF | 464288414 |
| — | LEGACY ACQUISITION CORP | 160,000 | $1.557M | 0.1% | $9.73 | $9.73 | — | COM CL A | 524643103 |
| — | GTY TECHNOLOGY HOLDINGS INC | 148,200 | $1.503M | 0.1% | $10.14 | $9.94 | — | CL A | G4182A102 |
| — | BISON CAP ACQUISITION CORP | 142,482 | $1.455M | 0.1% | $10.21 | $9.88 | — | ORD SHS | G1142P104 |
| — | ROYAL BK SCOTLAND GROUP PLC | 49,637 | $1.26M | 0.1% | $25.38 | $25.48 | — | SP ADR PREF S | 780097739 |
| NTB | BANK OF NT BUTTERFIELD&SON L | 24,000 | $1.248M | 0.1% | $52.00 * | $30.42 | +16.2% | SHS NEW | G0772R208 |
| — | ASIA PAC FD INC | 83,625 | $1.129M | 0.1% | $13.50 | $13.50 | — | COM | 044901106 |
| — | CELGENE CORP | 11,372 | $1.018M | 0.1% | $89.52 | $118.34 | — | COM | 151020104 |
| NBIX | NEUROCRINE BIOSCIENCES INC | 7,865 | $967K | 0.1% | $122.95 * | $61.32 | +85.0% | COM | 64125C109 |
| — | RED HAT INC | 525,000 | $966K | 0.1% | $1.84 | $1.84 | — | NOTE 0.250%10/0 | 756577AD4 |
| — | CAPSTEAD MTG CORP | 121,807 | $963K | 0.1% | $7.91 | $8.03 | — | COM NO PAR | 14067E506 |
| — | BARCLAYS BK PLC | 35,000 | $933K | 0.1% | $26.66 | $26.66 | — | IPATH S&P500 VIX | 06746L422 |
| IONS | IONIS PHARMACEUTICALS INC | 17,983 | $928K | 0.1% | $51.60 * | $53.52 | -12.2% | COM | 462222100 |
| — | SWISS HELVETIA FD INC | 103,207 | $878K | 0.1% | $8.51 | $8.51 | — | COM | 870875101 |
| — | PENSARE ACQUISITION CORP | 78,268 | $837K | 0.1% | $10.69 | $10.69 | — | UNIT 07/27/2022 | 70957E204 |
| GILD | GILEAD SCIENCES INC | 10,070 | $778K | 0.1% | $77.26 * | $56.07 | +1.4% | COM | 375558103 |
| — | TIBERIUS ACQUISITION CORP | 75,000 | $769K | 0.1% | $10.25 | $10.09 | — | UNIT 02/28/2021 | 88633A206 |
| — | I AM CAP ACQUISITION CO | 75,000 | $764K | 0.1% | $10.19 | $9.87 | — | COM | 45074Q108 |
| VRTX | VERTEX PHARMACEUTICALS INC | 3,808 | $734K | 0.1% | $192.75 * | $149.14 | +19.4% | COM | 92532F100 |
| STNL | SENTINEL ENERGY SVCS INC | 73,245 | $719K | 0.1% | $9.82 | $9.73 | — | COM CL A | G8062D102 |
| INCY | INCYTE CORP | 10,249 | $708K | 0.1% | $69.08 | $115.43 | -40.5% | COM | 45337C102 |
| — | LAM RESEARCH CORP | 4,602 | $698K | 0.1% | $151.67 | $151.67 | — | COM | 512807108 |
| — | PERFICIENT INC | 23,900 | $637K | 0.0% | $26.65 | $26.65 | — | COM | 71375U101 |
| NOW | SERVICENOW INC | 3,208 | $628K | 0.0% | $195.76 * | $37.82 | 0.0% | COM | 81762P102 |
| — | ALEXION PHARMACEUTICALS INC | 4,150 | $577K | 0.0% | $139.04 | $127.27 | — | COM | 015351109 |
| AGIO | AGIOS PHARMACEUTICALS INC | 7,462 | $575K | 0.0% | $77.06 * | $64.12 | +25.5% | COM | 00847X104 |
| — | FLUIDIGM CORP DEL | 500,000 | $554K | 0.0% | $1.11 | $1.11 | — | NOTE 2.750% 2/0 | 34385PAD0 |
| — | PLATINUM EAGLE ACQUISITIN CO | 49,000 | $509K | 0.0% | $10.39 | $10.14 | — | UNIT 01/09/2023 | G7126L126 |
| — | NEBULA ACQUISITION CORP | 50,000 | $487K | 0.0% | $9.74 | $9.74 | — | COM CLASS A | 629076100 |
| WFC | WELLS FARGO CO NEW | 9,000 | $473K | 0.0% | $52.56 | — | — | Put | 949746101 |
| — | VECTOIQ ACQUISITION CORP | 43,500 | $415K | 0.0% | $9.54 | $9.58 | — | COM | 92243N103 |
| — | VANTAGE ENERGY ACQUISITION | 38,720 | $385K | 0.0% | $9.94 | $9.76 | — | COM CL A | 92211L105 |
| HALO | HALOZYME THERAPEUTICS INC | 20,814 | $378K | 0.0% | $18.16 * | $18.38 | -4.7% | COM | 40637H109 |
| — | SAGE THERAPEUTICS INC | 2,620 | $370K | 0.0% | $141.22 | $164.89 | — | COM | 78667J108 |
| AGO | ASSURED GUARANTY LTD | 8,624 | $364K | 0.0% | $42.21 * | $34.73 | +0.6% | COM | G0585R106 |
| NVO | NOVO-NORDISK A S | 7,616 | $359K | 0.0% | $47.14 | $53.70 | — | ADR | 670100205 |
| — | RADIUS HEALTH INC | 18,906 | $337K | 0.0% | $17.83 | $27.18 | — | COM NEW | 750469207 |
| — | BLACKROCK ENERGY & RES TR | 22,455 | $327K | 0.0% | $14.56 | $14.56 | — | COM | 09250U101 |
| — | THUNDER BRIDGE ACQUISITION L | 30,000 | $305K | 0.0% | $10.17 | $10.04 | — | UNIT 01/01/2025 | G8857R118 |
| MEOH | METHANEX CORP | 3,658 | $289K | 0.0% | $79.00 * | $58.66 | +24.1% | COM | 59151K108 |
| — | MEGALITH FINL ACQUISITION CO | 480,300 | $288K | 0.0% | $0.60 | $0.60 | — | *W EXP 08/26/202 | 58518F117 |
| — | UBS AG LONDON BRH | 18,383 | $288K | 0.0% | $15.67 | $15.67 | — | ETRACS MTH2XRE | 90269A302 |
| GIL | GILDAN ACTIVEWEAR INC | 9,018 | $275K | 0.0% | $30.49 * | $27.18 | -5.3% | COM | 375916103 |
| IMO | IMPERIAL OIL LTD | 8,306 | $269K | 0.0% | $32.39 * | $26.33 | 0.0% | COM NEW | 453038408 |
| — | JUST ENERGY GROUP INC | 84,415 | $262K | 0.0% | $3.10 | $4.52 | — | COM | 48213W101 |
| MGA | MAGNA INTL INC | 4,847 | $255K | 0.0% | $52.61 * | $48.93 | -9.1% | COM | 559222401 |
| — | MYOVANT SCIENCES LTD | 9,552 | $254K | 0.0% | $26.59 | $21.25 | — | COM | G637AM102 |
| — | PENSARE ACQUISITION CORP | 25,000 | $249K | 0.0% | $9.96 | $9.96 | — | COM | 70957E105 |
| — | MOSAIC ACQUISITION CORP | 25,000 | $244K | 0.0% | $9.76 | $9.75 | — | SHS CL A | G62848109 |
| — | DFB HEALTHCARE ACQUISTION CO | 25,000 | $240K | 0.0% | $9.60 | $9.60 | — | COM | 23291E109 |
| — | COLUMBIA SELIGM PREM TECH GR | 11,102 | $237K | 0.0% | $21.35 | $21.35 | — | COM | 19842X109 |
| REGN | REGENERON PHARMACEUTICALS | 571 | $231K | 0.0% | $404.55 * | $378.49 | 0.0% | COM | 75886F107 |
| EARN | ELLINGTON RESIDENTIAL MTG RE | 20,118 | $227K | 0.0% | $11.28 | $11.28 | — | COM SHS BEN INT | 288578107 |
| ALNY | ALNYLAM PHARMACEUTICALS INC | 2,460 | $215K | 0.0% | $87.40 * | $125.65 | -19.9% | COM | 02043Q107 |
| TJX | TJX COS INC NEW | 1,855 | $208K | 0.0% | $112.13 * | $46.49 | 0.0% | COM | 872540109 |
| PGR | PROGRESSIVE CORP OHIO | 2,903 | $206K | 0.0% | $70.96 * | $50.74 | 0.0% | COM | 743315103 |
| MA | MASTERCARD INCORPORATED | 919 | $205K | 0.0% | $223.07 * | $200.34 | 0.0% | CL A | 57636Q104 |
| V | VISA INC | 1,346 | $202K | 0.0% | $150.07 * | $135.08 | 0.0% | COM CL A | 92826C839 |
| CSCO | CISCO SYS INC | 4,119 | $200K | 0.0% | $48.56 * | $36.04 | 0.0% | COM | 17275R102 |
| — | LATIN AMERN DISCOVERY FD INC | 17,609 | $197K | 0.0% | $11.19 | $11.19 | — | COM | 51828C106 |
| — | SENTINEL ENERGY SVCS INC | 18,544 | $191K | 0.0% | $10.30 | $9.97 | — | UNIT 11/02/2022 | G8062D128 |
| — | ALDER BIOPHARMACEUTICALS INC | 10,882 | $181K | 0.0% | $16.63 | $16.63 | — | COM | 014339105 |
| — | CONSOLIDATED COMM HLDGS INC | 13,848 | $181K | 0.0% | $13.07 | $13.07 | — | COM | 209034107 |
| — | NORTHSTAR REALTY EUROPE CORP | 12,250 | $173K | 0.0% | $14.12 | $14.12 | — | COM | 66706L101 |
| — | COLONY CAP INC NEW | 26,157 | $159K | 0.0% | $6.08 | $6.22 | — | CL A COM | 19626G108 |
| — | SPIRIT RLTY CAP INC NEW | 19,547 | $158K | 0.0% | $8.08 | $8.27 | — | COM | 84860W102 |
| — | WASHINGTON PRIME GROUP NEW | 21,431 | $156K | 0.0% | $7.28 | $7.74 | — | COM | 93964W108 |
| — | GENERAL ELECTRIC CO | 13,787 | $156K | 0.0% | $11.32 | $13.28 | — | COM | 369604103 |
| CNX | CNX RESOURCES CORPORATION | 10,916 | $156K | 0.0% | $14.29 * | $15.00 | +5.8% | COM | 12653C108 |
| — | RETAIL PPTYS AMER INC | 12,458 | $152K | 0.0% | $12.20 | $11.70 | — | CL A | 76131V202 |
| — | NEW SR INVT GROUP INC | 25,676 | $151K | 0.0% | $5.88 | $9.27 | — | COM | 648691103 |
| — | DDR CORP | 11,135 | $149K | 0.0% | $13.38 | $13.38 | — | COM | 23317H854 |
| — | PARTY CITY HOLDCO INC | 10,829 | $147K | 0.0% | $13.57 | $15.27 | — | COM | 702149105 |
| — | BLACKROCK ENHANCED EQT DIV T | 13,103 | $124K | 0.0% | $9.46 | $9.46 | — | COM | 09251A104 |
| — | JAPAN SMALLER CAPTLZTN FD IN | 11,035 | $122K | 0.0% | $11.06 | $12.30 | — | COM | 47109U104 |
| — | NEW FRONTIER CORP | 87,500 | $103K | 0.0% | $1.18 | $1.18 | — | *W EXP 99/99/999 | G6485P124 |
| — | HORNBECK OFFSHORE SVCS INC N | 15,974 | $94,000 | 0.0% | $5.88 | $3.94 | — | COM | 440543106 |
| — | NII HLDGS INC | 15,966 | $94,000 | 0.0% | $5.89 | $5.89 | — | COM PAR | 62913F508 |
| ENPH | ENPHASE ENERGY INC | 18,463 | $90,000 | 0.0% | $4.87 * | $5.48 | 0.0% | COM | 29355A107 |
| — | STEIN MART INC | 38,416 | $90,000 | 0.0% | $2.34 | $2.39 | — | COM | 858375108 |
| — | AMYRIS INC | 11,041 | $88,000 | 0.0% | $7.97 | $6.43 | — | COM NEW | 03236M200 |
| — | ASCENA RETAIL GROUP INC | 18,733 | $86,000 | 0.0% | $4.59 | $4.09 | — | COM | 04351G101 |
| — | DUFF & PHELPS SLCT ENGY MLP | 14,039 | $85,000 | 0.0% | $6.05 | $5.55 | — | COM | 26433F108 |
| — | QUOTIENT LTD | 11,179 | $84,000 | 0.0% | $7.51 | $7.51 | — | SHS | G73268107 |
| — | NOBLE CORP PLC | 11,927 | $84,000 | 0.0% | $7.04 | $6.29 | — | SHS USD | G65431101 |
| — | ADVERUM BIOTECHNOLOGIES INC | 13,604 | $82,000 | 0.0% | $6.03 | $5.86 | — | COM | 00773U108 |
| — | AVID BIOSERVICES INC | 11,554 | $79,000 | 0.0% | $6.84 | $6.84 | — | COM | 05368M106 |
| SRNE | SORRENTO THERAPEUTICS INC | 17,398 | $77,000 | 0.0% | $4.43 * | $5.54 | 0.0% | COM NEW | 83587F202 |
| LAB | FLUIDIGM CORP DEL | 10,313 | $77,000 | 0.0% | $7.47 * | $5.70 | +24.7% | COM | 34385P108 |
| MFIN | MEDALLION FINL CORP | 11,262 | $75,000 | 0.0% | $6.66 * | $4.00 | +22.7% | COM | 583928106 |
| GENNQ | GENESIS HEALTHCARE INC | 54,446 | $74,000 | 0.0% | $1.36 * | $1.58 | 0.0% | CL A COM | 37185X106 |
| TTI | TETRA TECHNOLOGIES INC DEL | 15,820 | $71,000 | 0.0% | $4.49 | $4.13 | +9.6% | COM | 88162F105 |
| — | CHESAPEAKE ENERGY CORP | 70,000 | $69,000 | 0.0% | $0.99 | $0.99 | — | NOTE 2.250%12/1 | 165167CB1 |
| — | TUESDAY MORNING CORP | 20,200 | $65,000 | 0.0% | $3.22 | $3.09 | — | COM NEW | 899035505 |
| — | FORUM MERGER II CORP | 100,000 | $58,000 | 0.0% | $0.58 | $0.58 | — | *W EXP 09/30/202 | 34986F111 |
| — | SECOND SIGHT MED PRODS INC | 29,691 | $56,000 | 0.0% | $1.89 | $1.71 | — | COM | 81362J100 |
| APPS | DIGITAL TURBINE INC | 43,437 | $54,000 | 0.0% | $1.24 * | $1.71 | -18.7% | COM NEW | 25400W102 |
| — | ACETO CORP | 21,900 | $49,000 | 0.0% | $2.24 | $2.24 | — | COM | 004446100 |
| — | NOVAVAX INC | 23,062 | $43,000 | 0.0% | $1.86 | $1.30 | — | COM | 670002104 |
| INFIQ | INFINITY PHARMACEUTICALS INC | 13,101 | $36,000 | 0.0% | $2.75 * | $2.07 | 0.0% | COM | 45665G303 |
| — | TRIDENT ACQUISITIONS CORP | 90,700 | $26,000 | 0.0% | $0.29 | $0.32 | — | *W EXP 05/09/202 | 89615T114 |
| — | COMMUNITY HEALTH SYS INC NEW | 3,000,000 | $18,000 | 0.0% | $0.01 | $0.06 | — | RIGHT 12/31/2019 | 203668116 |
| — | DHX MEDIA LTD | 12,159 | $18,000 | 0.0% | $1.48 | $2.09 | — | COM VAR VTG | 252406152 |
| — | CASTLE BRANDS INC | 14,989 | $16,000 | 0.0% | $1.07 | $1.22 | — | COM | 148435100 |
| — | GABELLI CONV&INCOM SECS FD I | 38,175 | $3,000 | 0.0% | $0.08 | $0.08 | — | RIGHT 10/17/2018 | 36240B125 |
| — | FRANKLIN LTD DURATION INCM T | 24,800 | $2,000 | 0.0% | $0.08 | $0.08 | — | RIGHT 10/18/2018 | 353793110 |