Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q3 2012 (← Previous) (Next →)
Filing Date: Dec 30, 2015
Total Value: $378M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | EATON VANCE RISK MNGD DIV EQ | 6,228,107 | $65.58M | 17.3% | $10.53 | $10.62 | — | Com | 27829G106 |
| — | LIBERTY ALL STAR EQUITY FD | 7,728,700 | $37.33M | 9.9% | $4.83 | $5.98 | — | SH BEN INT | 530158104 |
| — | GYRODYNE CO AMER INC | 248,587 | $27M | 7.1% | $108.63 | $46.00 | — | Com | 403820103 |
| — | ZWEIG TOTAL RETURN FD INC | 1,771,992 | $22.43M | 5.9% | $12.66 | $12.66 | — | Com | 989837208 |
| — | AMERICAN STRATEGIC INCOME III | 2,252,675 | $16.87M | 4.5% | $7.49 | $6.92 | — | Com | 03009T101 |
| — | THAI CAP FD INC | 1,367,632 | $15.96M | 4.2% | $11.67 | $11.57 | — | COM NEW | 882905201 |
| — | DIAMOND HILL FINL TRNDS FD I | 1,063,298 | $11.92M | 3.1% | $11.21 | $10.27 | — | COM | 25264C101 |
| SVVC | FIRSTHAND TECH VALUE FD INC | 631,708 | $11.02M | 2.9% | $17.44 | $17.44 | — | Com | 33766Y100 |
| — | THAI FD INC | 623,818 | $10.96M | 2.9% | $17.57 | $16.35 | — | Com | 882904105 |
| — | MVC CAPITAL INC | 823,331 | $10.54M | 2.8% | $12.80 | $12.57 | — | Com | 553829102 |
| — | MACQUARIE GLBL INFRA TOTL RE | 509,067 | $9.748M | 2.6% | $19.15 | $17.36 | — | Com | 55608D101 |
| — | AUSTRALIA ACQUISITION CORP | 872,000 | $8.783M | 2.3% | $10.07 | $9.38 | — | SHS | G06368107 |
| — | SCG FINL ACQUISITION CORP | 851,400 | $8.37M | 2.2% | $9.83 | $9.69 | — | COM | 78404K103 |
| — | IMPERIAL HLDGS INC | 2,428,493 | $8.281M | 2.2% | $3.41 | $2.88 | — | Com | 452834104 |
| MYRX | MYREXIS INC | 2,641,878 | $6.42M | 1.7% | $2.43 | $2.79 | — | Com | 62856H107 |
| — | TRI CONTL CORP | 391,619 | $6.352M | 1.7% | $16.22 | $11.56 | — | Com | 895436103 |
| — | NAUTILUS MARINE ACQUISIT COR | 564,524 | $5.623M | 1.5% | $9.96 | $9.53 | — | SHS | Y6255E101 |
| — | UNIVERSAL BUSINESS PMT SOL A | 917,600 | $5.532M | 1.5% | $6.03 | $5.82 | — | COM | 913384103 |
| — | BGS ACQUISITION CORP | 525,300 | $5.2M | 1.4% | $9.90 | $9.86 | — | UNIT 99/99/9999 | G1082J126 |
| — | HEALTHCARE TR AMER INC | 523,342 | $5.118M | 1.4% | $9.78 | $9.78 | — | CL A | 42225P105 |
| — | ROYCE VALUE TR INC | 380,203 | $4.969M | 1.3% | $13.07 | $11.48 | — | Com | 780910105 |
| — | BOULDER GROWTH & INCOME FD INC | 707,601 | $4.635M | 1.2% | $6.55 | $6.20 | — | Com | 101507101 |
| — | ROYCE MICRO-CAP TR INC | 475,218 | $4.491M | 1.2% | $9.45 | $8.13 | — | Com | 780915104 |
| — | GREATER CHINA FD INC | 388,090 | $4.424M | 1.2% | $11.40 | $11.42 | — | Com | 39167B102 |
| — | BOULDER TOTAL RETURN FD INC | 197,425 | $4.071M | 1.1% | $20.62 | $14.58 | — | Com | 101541100 |
| — | ANDINA ACQUISITION CORP | 410,000 | $4.016M | 1.1% | $9.80 | $10.68 | — | COM | G0440W100 |
| — | NEUBERGER BERMAN REAL ESTATE | 826,375 | $3.9M | 1.0% | $4.72 | $3.21 | — | COM | 64190A103 |
| — | CAZADOR ACQUISITION CORP | 372,226 | $3.737M | 1.0% | $10.04 | $9.65 | — | SHS | G19867103 |
| — | NEW IRELAND FUND INC | 432,222 | $3.674M | 1.0% | $8.50 | $8.06 | — | Com | 645673104 |
| — | CLOUGH GLBL OPPORTUNITIES FD | 288,729 | $3.378M | 0.9% | $11.70 | $10.90 | — | SH BEN INT | 18914E106 |
| — | SWISS HELVETIA FUND | 285,751 | $3.078M | 0.8% | $10.77 | $11.21 | — | Com | 870875101 |
| — | INFINITY CROSS BORDER ACQUIS | 363,700 | $2.966M | 0.8% | $8.16 | $8.16 | — | UNIT 99/99/9999 | G4772R127 |
| — | ADAMS EXPRESS CO | 260,693 | $2.956M | 0.8% | $11.34 | $9.82 | — | Com | 006212104 |
| — | PRIME ACQUISITION CORP | 283,500 | $2.798M | 0.7% | $9.87 | $9.47 | — | SHS | G72436101 |
| — | HYDE PK ACQUISITION CORP II | 220,000 | $2.211M | 0.6% | $10.05 | $10.05 | — | COM | 448640102 |
| — | CHINA GROWTH EQUITY INV LTD | 200,300 | $1.984M | 0.5% | $9.91 | $9.49 | — | SHS | G2114K107 |
| — | CENTRAL EUR RUSS & TURK FD INC | 59,042 | $1.971M | 0.5% | $33.38 | $33.38 | — | Com | 153436100 |
| — | ROI ACQUISITION CORP | 199,900 | $1.929M | 0.5% | $9.65 | $9.55 | — | COM | 74966A104 |
| — | BLUE WOLF MONGOLIA HOLDINGS | 193,900 | $1.901M | 0.5% | $9.80 | $9.21 | — | SHS | G11962100 |
| — | MEXICO EQUITY AND INCOME FD | 118,522 | $1.522M | 0.4% | $12.84 | $7.65 | — | Com | 592834105 |
| — | GLOBAL EAGLE ENTERTAINMENT INC | 154,028 | $1.514M | 0.4% | $9.83 | $9.83 | — | Com | 37951D102 |
| — | DIVIDEND & INCOME FD INC | 380,236 | $1.384M | 0.4% | $3.64 | $3.62 | — | Com | 25538A105 |
| EQS | EQUUS TOTAL RETURN | 558,754 | $1.224M | 0.3% | $2.19 | $2.28 | — | Com | 294766100 |
| — | INDIA FUND INC | 51,877 | $1.206M | 0.3% | $23.25 | $23.25 | — | COM | 454089103 |
| — | BANCROFT FUND LTD | 62,738 | $1.053M | 0.3% | $16.78 | $15.57 | — | Com | 059695106 |
| — | ROBERTS REALTY INVS | 705,798 | $960K | 0.3% | $1.36 | $1.45 | — | Com | 769900101 |
| — | MORGAN STANLEY ASIA PAC FD I | 60,951 | $851K | 0.2% | $13.96 | $14.32 | — | Com | 61744U106 |
| — | ELLSWORTH FUND LTD | 94,012 | $691K | 0.2% | $7.35 | $6.56 | — | Com | 289074106 |
| — | SPDR S&P 500 ET 10/20/2012 141 | 276,400 | $643K | 0.2% | $2.33 | — | — | Call | 78462F903 |
| — | ABERDEEN ISRAEL FUND INC COM | 44,909 | $579K | 0.2% | $12.89 | $12.89 | — | Com | 00301L109 |
| — | AMERICAN RLTY CAP PPTYS INC | 45,256 | $566K | 0.1% | $12.51 | $10.44 | — | Com | 02917T104 |
| — | GDL FUND | 39,327 | $464K | 0.1% | $11.80 | $13.49 | — | COM SH BEN IT | 361570104 |
| — | PROMOTORA DE INFORMACIONES S | 180,984 | $385K | 0.1% | $2.13 | $9.54 | — | ADR CL B CONV | 74343G303 |
| — | JOHN HANCOCK BK &THRIFT OPP | 19,653 | $361K | 0.1% | $18.37 | $15.13 | — | SH BEN INT NEW | 409735206 |
| — | AUSTRALIA ACQUISITION-CW15 | 1,171,000 | $304K | 0.1% | $0.26 | $0.38 | — | *W EXP 99/99/999 | G06368115 |
| — | CAZADOR ACQUISITION COR-CW15 | 635,000 | $267K | 0.1% | $0.42 | $0.34 | — | *W EXP 99/99/999 | G19867129 |
| — | VIRTUS TOTAL RETURN FD | 59,636 | $234K | 0.1% | $3.92 | $3.81 | — | Com | 92829A103 |
| — | CENTRAL SECS CORP | 11,106 | $224K | 0.1% | $20.17 | $19.88 | — | Com | 155123102 |
| — | KOREA EQUITY FD INC | 22,261 | $221K | 0.1% | $9.93 | $9.49 | — | Com | 50063B104 |
| — | COHEN & STEERS INFRASTRUCTUR | 11,747 | $214K | 0.1% | $18.22 | $14.72 | — | Com | 19248A109 |
| — | FEDERATED ENHANC TREAS INCM | 12,906 | $184K | 0.0% | $14.26 | $15.02 | — | COM SH BEN INT | 314162108 |
| — | GABELLI HLTHCARE & WELLNESS | 19,070 | $174K | 0.0% | $9.12 | $7.33 | — | SHS | 36246K103 |
| — | UNIVERSAL BUSINESS PMT SOL A | 917,600 | $164K | 0.0% | $0.18 | $0.27 | — | *W EXP 05/09/201 | 913384111 |
| — | YAHOO! INC | 10,000 | $160K | 0.0% | $16.00 | $16.10 | — | COM | 984332106 |
| — | ROYCE FOCUS TR COM | 17,500 | $118K | 0.0% | $6.74 | $6.34 | — | COM | 78080N108 |
| — | ANDINA ACQUISITION CORP-CW15 | 410,000 | $108K | 0.0% | $0.26 | $0.25 | — | Warrants | G0440W126 |
| — | NAUTILUS MARINE ACQUISI-CW16 | 564,524 | $107K | 0.0% | $0.19 | $0.37 | — | *W EXP 06/17/201 | Y6255E119 |
| — | PROMOTORA DE INFORMACIONES S | 43,370 | $82,000 | 0.0% | $1.89 | $5.61 | — | ADR CL A SHS | 74343G204 |
| — | BLUE WOLF MONGOLIA HOLDINGS | 193,900 | $76,000 | 0.0% | $0.39 | $0.66 | — | *W EXP 07/20/201 | G11962118 |
| — | ROI ACQUISITION CORP | 199,900 | $71,000 | 0.0% | $0.36 | $0.36 | — | *W EXP 02/28/201 | 74966A112 |
| — | PRIME ACQUISITION CORP | 217,500 | $65,000 | 0.0% | $0.30 | $0.57 | — | *W EXP 99/99/999 | G72436127 |
| — | CHINA GROWTH EQUITY INVE-CW | 200,000 | $46,000 | 0.0% | $0.23 | $0.46 | — | *W EXP 99/99/999 | G2114K123 |
| ZNOG | ZION OIL & GAS INC | 17,589 | $41,000 | 0.0% | $2.33 | $1.96 | — | Com | 989696109 |
| — | ISHARES FTSE CH 12/22/2012 34.00 | 25,000 | $33,000 | 0.0% | $1.32 | — | — | Put | 464287954 |
| — | GLOBAL EAGLE ENTERTAINMENT INC | 100,000 | $25,000 | 0.0% | $0.25 | $0.25 | — | *W EXP 05/13/201 | 37951D110 |
| — | ISHARES MSCI EM 10/20/2012 40.00 | 22,700 | $17,000 | 0.0% | $0.75 | — | — | Put | 464286958 |
| — | INDIA GLOBALIZATION CAP INC | 45,808 | $8,000 | 0.0% | $0.17 | $1.38 | — | COM | 45408X100 |
| — | YAHOO! INC 01/19/2013 15.00 | 10,000 | $5,000 | 0.0% | $0.50 | — | — | Put | 984332956 |