Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q3 2014 (← Previous) (Next →)
Filing Date: Nov 12, 2015
Total Value: $479M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | GENERAL AMERICAN INVESTORS | 1,255,599 | $46.53M | 9.7% | $37.06 | $36.86 | — | COM | 368802104 |
| — | NUVEEN DIVER CURRENCY OPP. | 3,481,434 | $37.11M | 7.7% | $10.66 | $11.04 | — | COM | 67090N109 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 1,354,665 | $32.53M | 6.8% | $24.01 * | $20.29 | +9.7% | COM | 33766Y100 |
| — | LIBERTY ALL STAR EQUITY FUND | 5,524,544 | $32.21M | 6.7% | $5.83 | $5.85 | — | COM | 530158104 |
| — | DIVERSIFIED REAL ASSET INCOME | 1,795,529 | $31.84M | 6.6% | $17.73 | $17.73 | — | COM | 25533B108 |
| STC | STEWART INFO. SERVICES | 968,989 | $28.44M | 5.9% | $29.35 * | $32.32 | -3.7% | COM | 860372101 |
| — | SWISS HELVETIA FUND | 1,738,973 | $23.53M | 4.9% | $13.53 | $12.97 | — | COM | 870875101 |
| — | MVC CAPITAL INC | 1,412,685 | $15.2M | 3.2% | $10.76 | $12.69 | — | COM | 553829102 |
| — | ALLIANCEBERNSTEIN INC FUND | 2,005,000 | $15.04M | 3.1% | $7.50 | $7.21 | — | COM | 01881E101 |
| — | IMPERIAL HOLDINGS INC | 2,296,697 | $14.81M | 3.1% | $6.45 | $2.90 | — | COM | 452834104 |
| — | DWS HIGH INCOME OPP. | 994,511 | $14.56M | 3.0% | $14.64 | $14.57 | — | COM | 23339M204 |
| — | HF2 FINANCIAL MANAGEMENT | 1,187,411 | $12.35M | 2.6% | $10.40 | $10.11 | — | COM | 40421A104 |
| — | NUVEEN GLOBAL INCOME OPP. | 912,199 | $11.28M | 2.4% | $12.36 | $12.75 | — | COM | 67073C104 |
| — | CLOUGH GLOBAL EQUITY FUND | 762,491 | $10.93M | 2.3% | $14.33 | $14.20 | — | COM | 18914C100 |
| — | ZWEIG TOTAL RETURN FD | 736,823 | $10.21M | 2.1% | $13.85 | $12.62 | — | COM | 989837208 |
| — | IMPERIAL HOLDINGS INC 8.5% 2/15/2019 | 8,667,000 | $10.1M | 2.1% | $1.16 | $1.21 | — | DEBT | 452834AB0 |
| — | ADAMS EXPRESS CO | 665,338 | $9.275M | 1.9% | $13.94 | $11.96 | — | COM | 006212104 |
| — | TRI CONTL CORP | 392,619 | $8.194M | 1.7% | $20.87 | $11.64 | — | COM | 895436103 |
| — | CENTRAL SECS CORP | 318,051 | $7.309M | 1.5% | $22.98 | $21.82 | — | COM | 155123102 |
| — | NUVEEN DIVID ADV MUNI FD 3 | 528,549 | $7.226M | 1.5% | $13.67 | $13.68 | — | COM | 67070X101 |
| — | VIRTUS TOTAL RETURN FUND | 1,463,628 | $6.806M | 1.4% | $4.65 | $4.07 | — | COM | 92829A103 |
| — | QUARTET MERGER CORP | 700,000 | $6.706M | 1.4% | $9.58 | $10.08 | — | COM | 747717304 |
| — | BOULDER GROWTH & INCOME FUND | 737,947 | $6.523M | 1.4% | $8.84 | $6.33 | — | COM | 101507101 |
| — | GARNERO GROUP ACQUISITION | 595,800 | $5.958M | 1.2% | $10.00 | $10.00 | — | COM | G5866L124 |
| — | GLOBAL DEFENSE & NATL SEC SYS | 549,900 | $5.675M | 1.2% | $10.32 | $10.05 | — | COM | 37953N108 |
| — | LMP REAL ESTATE INCOME FUND | 492,746 | $5.534M | 1.2% | $11.23 | $11.20 | — | COM | 50208C108 |
| — | NUVEEN DIVID ADV MUNI INC FD | 386,731 | $5.457M | 1.1% | $14.11 | $14.14 | — | COM | 67071L106 |
| — | BOULDER TOTAL RETURN FD INC | 192,385 | $5.067M | 1.1% | $26.34 | $14.75 | — | COM | 101541100 |
| — | CAPITOL ACQUISITION CORP II | 475,152 | $4.661M | 1.0% | $9.81 | $9.66 | — | COM | 14056V105 |
| — | MFS INTERMARKET INC TRUST I | 379,025 | $3.165M | 0.7% | $8.35 | $8.36 | — | COM | 59318R103 |
| — | PREFERRED APARTMENT COMMUN-A | 346,550 | $2.883M | 0.6% | $8.32 | $8.43 | — | COM | 74039L103 |
| — | SINO MERCURY ACQUIS. COR. | 275,000 | $2.75M | 0.6% | $10.00 | $10.00 | — | COM | 82936K201 |
| — | 1347 CAPITAL CORP | 253,884 | $2.564M | 0.5% | $10.10 | $10.10 | — | COM | 68245V202 |
| — | ROYCE VALUE TR INC | 150,866 | $2.188M | 0.5% | $14.50 | $11.48 | — | COM | 780910105 |
| — | BANCROFT FUND LTD | 102,168 | $2.019M | 0.4% | $19.76 | $17.33 | — | COM | 059695106 |
| — | TERRAPIN 3 ACQUISITION CORP | 200,000 | $2.01M | 0.4% | $10.05 | $10.05 | — | COM | 88104P203 |
| — | HENNESSY CAPITAL ACQUIS | 200,000 | $1.96M | 0.4% | $9.80 | $9.80 | — | COM | 425886108 |
| — | DWS GLBL HIGH INCOME FD | 239,325 | $1.939M | 0.4% | $8.10 | $8.08 | — | COM | 23338W104 |
| — | LEVY ACQUISITION CORP | 200,000 | $1.936M | 0.4% | $9.68 | $9.68 | — | COM | 52748T104 |
| — | ROI ACQUISITION CORP II | 190,936 | $1.881M | 0.4% | $9.85 | $9.85 | — | COM | 74966G101 |
| — | NUVEEN MUNI ADVANTAGE FUND | 135,234 | $1.824M | 0.4% | $13.49 | $13.49 | — | COM | 67062H106 |
| — | FIFTH STREET SENIOR FLOATING | 148,600 | $1.759M | 0.4% | $11.84 | $11.84 | — | COM | 31679F101 |
| — | NEUBERGER BERMAN REAL ESTATE | 359,824 | $1.734M | 0.4% | $4.82 | $3.21 | — | COM | 64190A103 |
| — | ABERDEEN ISRAEL FUND INC | 85,223 | $1.481M | 0.3% | $17.38 | $13.95 | — | COM | 00301L109 |
| — | ELLSWORTH FUND LTD | 148,608 | $1.285M | 0.3% | $8.65 | $7.09 | — | COM | 289074106 |
| — | BDCA VENTURE INC | 222,163 | $1.166M | 0.2% | $5.25 | $5.25 | — | COM | 05543L106 |
| EQS | EQUUS TOTAL RETURN INC | 1,157,167 | $1.157M | 0.2% | $1.00 * | $2.32 | +1.5% | COM | 294766100 |
| — | CAMBRIDGE CAPITAL ACQUIS | 115,825 | $1.133M | 0.2% | $9.78 | $9.68 | — | COM | 13215Q106 |
| — | WHEELER REIT 9% SERIES B | 40,000 | $948K | 0.2% | $23.70 | $23.70 | — | CV PFD SER B | 963025309 |
| — | CLOUGH GLOBAL ALLOCATION | 54,355 | $778K | 0.2% | $14.31 | $15.30 | — | COM | 18913Y103 |
| — | MERGEWORTHRX CORP | 85,785 | $706K | 0.1% | $8.23 | $8.15 | — | COM | 58952R106 |
| — | NUVEEN QUALITY INCOME MUNI | 50,730 | $694K | 0.1% | $13.68 | $13.68 | — | COM | 670977107 |
| — | GABELLI GLOBALDEAL FUND | 63,251 | $667K | 0.1% | $10.55 | $10.61 | — | COM | 361570104 |
| — | CIS AQUISITION LTD | 63,666 | $658K | 0.1% | $10.34 | $10.01 | — | COM | G21490209 |
| — | HERZFELD CARIBBEAN BASIN FD | 78,853 | $631K | 0.1% | $8.00 | $8.11 | — | COM | 42804T106 |
| — | QUARTET MERGER CORP RTS | 700,000 | $595K | 0.1% | $0.85 | $0.67 | — | RTS | 747717205 |
| — | FIVE OAKS INVESTMENT CORP | 55,000 | $578K | 0.1% | $10.51 | $11.29 | — | COM | 33830W106 |
| — | GABELLI EQUITY TRUST | 81,148 | $518K | 0.1% | $6.38 | $6.38 | — | COM | 362397101 |
| — | MADISON STRATEGIC SECTR PREM | 39,728 | $492K | 0.1% | $12.38 | $12.20 | — | COM | 558268108 |
| — | NUVEEN FLEXIBLE INVT INCOME FD | 26,943 | $472K | 0.1% | $17.52 | $17.52 | — | COM | 67075B104 |
| — | ROBERTS REALTY INVESTORS INC | 607,114 | $461K | 0.1% | $0.76 | $1.43 | — | COM | 769900101 |
| — | QUEST RESOURCE HOLDING CORP | 215,000 | $370K | 0.1% | $1.72 | $1.72 | — | COM | 74836W104 |
| — | ALPINE TOTAL DYNAMIC DIVIDEN | 36,500 | $311K | 0.1% | $8.52 | $3.91 | — | COM | 021060108 |
| — | QUAD GRAPHICS INC | 15,255 | $294K | 0.1% | $19.27 | $19.27 | — | COM | 474301109 |
| — | SILVER EAGLE ACQUISITION | 27,992 | $278K | 0.1% | $9.93 | $9.68 | — | COM | 827694100 |
| — | CENTRAL EUR RUSS & TURK FD INC | 10,484 | $260K | 0.1% | $24.80 | $28.88 | — | COM | 153436100 |
| — | CHART ACQUISITION CORP | 368,393 | $203K | 0.0% | $0.55 | $0.61 | — | W | 161151113 |
| — | WINTHROP REALTY TRUST | 13,263 | $200K | 0.0% | $15.08 | $15.35 | — | COM | 976391300 |
| — | AQUASITION CORP WTS 01/22/18 | 884,647 | $146K | 0.0% | $0.17 | $0.24 | — | W | Y0192H111 |
| — | JETPAY CORP | 93,037 | $142K | 0.0% | $1.53 | $3.46 | — | COM | 477177109 |
| — | HENNESSY CAPITAL ACQUIS-CW19 | 200,000 | $135K | 0.0% | $0.68 | $0.68 | — | W | 425886116 |
| — | COLLABRIUM JAPAN ACQUISITION | 578,381 | $108K | 0.0% | $0.19 | $0.18 | — | W | G2266G110 |
| — | CAPITOL ACQUISITION CORP | 237,576 | $97,000 | 0.0% | $0.41 | $0.56 | — | W | 14056V113 |
| — | RESOURCES CAPITAL CORP. | 20,000 | $97,000 | 0.0% | $4.85 | $6.16 | — | COM | 76120W302 |
| — | CIS ACQUISITION LTD-CW17 | 184,944 | $74,000 | 0.0% | $0.40 | $0.29 | — | W | G21490118 |
| — | LEVY ACQUISITION CORP-CW18 | 125,000 | $44,000 | 0.0% | $0.35 | $0.35 | — | W | 52748T112 |
| — | CAMBRIDGE CAPITAL ACQUI-CW18 | 115,825 | $43,000 | 0.0% | $0.37 | $0.42 | — | W | 13215Q114 |
| — | ROI ACQUISITION CORP-CW17 | 190,936 | $42,000 | 0.0% | $0.22 | $0.22 | — | W | 74966G119 |
| — | WHEELER REIT | 48,000 | $19,000 | 0.0% | $0.40 | $0.40 | — | W | 963025119 |
| — | SILVER EAGLE ACQUISITION | 27,992 | $13,000 | 0.0% | $0.46 | $0.61 | — | W | 827694118 |
| — | GABELLI EQUITY TRUST-RTS | 56,364 | $3,000 | 0.0% | $0.05 | $0.05 | — | RTS | 362397184 |