Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q3 2015 (← Previous) (Next →)
Filing Date: Jan 12, 2016
Total Value: $465M (98.0% shares, 2.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| STC | STEWART INFORMATION SERVICES | 1,178,997 | $48.23M | 10.4% | $40.91 * | $38.27 | +3.8% | COM | 860372101 |
| — | WINTHROP REALTY TRUST | 2,257,723 | $32.42M | 7.0% | $14.36 | $15.36 | — | COM | 976391300 |
| — | GENERAL AMERICAN INVESTORS | 938,339 | $29.07M | 6.3% | $30.98 | $36.76 | — | COM | 368802104 |
| — | LMP REAL ESTATE INCOME FUND | 1,927,142 | $23.66M | 5.1% | $12.28 | $12.29 | — | COM | 50208C108 |
| — | EMERGENT CAPITAL INC | 4,076,463 | $22.22M | 4.8% | $5.45 | $5.45 | — | COM | 29102N105 |
| — | DIVERSIFIED REAL ASSET INCOM | 1,337,654 | $21.51M | 4.6% | $16.08 | $17.74 | — | COM | 25533B108 |
| — | DWS HIGH INCOME OPPORTUNITIES | 1,373,893 | $18.07M | 3.9% | $13.15 | $14.46 | — | COM | 23339M204 |
| — | NEUBERGER BERMAN REAL ESTATE | 3,025,301 | $13.95M | 3.0% | $4.61 | $4.59 | — | COM | 64190A103 |
| — | NUVEEN LONG/SHORT COMMODITY | 844,346 | $13.51M | 2.9% | $16.00 | $16.48 | — | COM | 670731108 |
| — | CLOUGH GLOBAL EQUITY FUND | 1,052,385 | $13.32M | 2.9% | $12.66 | $14.39 | — | COM | 18914C100 |
| — | GLOBAL HIGH INCOME FUND INC | 1,694,614 | $13.08M | 2.8% | $7.72 | $8.24 | — | COM | 37933G108 |
| — | ADVENT/CLAYMORE ENH GR & INC | 1,557,483 | $12.77M | 2.7% | $8.20 | $8.62 | — | COM | 00765E104 |
| — | HILL INTERNATIONAL INC | 3,644,390 | $11.95M | 2.6% | $3.28 | $4.26 | — | COM | 431466101 |
| — | LIBERTY ALL STAR EQUITY FD SH | 2,306,646 | $11.72M | 2.5% | $5.08 | $5.85 | — | COM | 530158104 |
| — | MVC CAPITAL INC | 1,412,685 | $11.6M | 2.5% | $8.21 | $12.69 | — | COM | 553829102 |
| — | SWISS HELVETIA FUND | 957,239 | $10.4M | 2.2% | $10.86 | $12.93 | — | COM | 870875101 |
| — | QUINPARIO ACQUISITION C-CW23 | 39,389 | $9.847M | 2.1% | $249.99 | $249.99 | — | Warrants | 74874U119 |
| — | BOULDER GROWTH & INCM FD INC | 1,269,995 | $9.461M | 2.0% | $7.45 | $7.58 | — | COM | 101507101 |
| — | IMPERIAL HOLDINGS INCIFT 8 1/2 02/15/19 | 8,667,000 | $9.252M | 2.0% | $1.07 | $1.09 | — | Bond | 452834AE4 |
| — | NEW YORK REIT INC | 880,186 | $8.855M | 1.9% | $10.06 | $9.97 | — | COM | 64976L109 |
| — | WHEELER REAL ESTATE INVESTME | 4,298,173 | $8.167M | 1.8% | $1.90 | $1.97 | — | COM | 963025101 |
| — | TRI CONTL CORP COM | 392,619 | $7.656M | 1.6% | $19.50 | $11.64 | — | COM | 895436103 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 721,410 | $6.139M | 1.3% | $8.51 * | $20.29 | -47.0% | COM | 33766Y100 |
| — | DWS GLBL HIGH INCOME FUND INC | 780,911 | $5.903M | 1.3% | $7.56 | $8.11 | — | COM | 23338W104 |
| — | GARNERO GROUP ACQUISITION CO | 585,800 | $5.78M | 1.2% | $9.87 | $9.55 | — | COM | G5866L108 |
| — | FIRST TRUST DIVIDEND AND INC | 693,758 | $5.425M | 1.2% | $7.82 | $7.82 | — | COM | 33731L100 |
| — | BDCA VENTURE INC | 1,140,617 | $5.35M | 1.2% | $4.69 | $4.93 | — | COM | 05543L106 |
| — | FULL CIRCLE CAPITAL CORP | 1,730,453 | $5.325M | 1.1% | $3.08 | $3.45 | — | COM | 359671104 |
| — | NUVEEN DIVERSIFIED COMMODITY | 476,214 | $4.911M | 1.1% | $10.31 | $11.69 | — | COM | 67074P104 |
| — | CENTRAL SECS CORP COM | 244,015 | $4.822M | 1.0% | $19.76 | $21.84 | — | COM | 155123102 |
| — | DT ASIA INVESTMENTS LTD | 448,950 | $4.493M | 1.0% | $10.01 | $9.94 | — | COM | G2615J104 |
| — | AROWANA INC | 400,000 | $4.068M | 0.9% | $10.17 | $10.13 | — | Units | G05011138 |
| — | GLOBAL DEFENSE & NATL SEC SYS | 351,599 | $3.699M | 0.8% | $10.52 | $10.05 | — | COM | 37953N108 |
| — | NUVEEN GLOBAL EQU INC FD | 341,201 | $3.477M | 0.7% | $10.19 | $10.19 | — | COM | 6706EH103 |
| IRT | INDEPENDENCE REALTY TRUST IN | 481,838 | $3.474M | 0.7% | $7.21 | $7.28 | — | COM | 45378A106 |
| — | SINO MERCURY ACQUISITION CORP | 275,000 | $2.694M | 0.6% | $9.80 | $9.95 | — | COM | 82936K102 |
| — | 1347 CAPITAL CORP | 253,884 | $2.607M | 0.6% | $10.27 | $10.10 | — | COM | 68245V202 |
| — | MANAGED HI YLD PLUS FUND INC | 1,509,946 | $2.43M | 0.5% | $1.61 | $1.61 | — | COM | 561911108 |
| — | ADAMS EXPRESS COMPANY | 170,381 | $2.172M | 0.5% | $12.75 | $11.96 | — | COM | 006212104 |
| — | HARMONY MERGER CORP | 200,918 | $1.989M | 0.4% | $9.90 | $9.90 | — | COM | 413247107 |
| — | TERRAPIN 3 ACQUISITION COR-A | 200,000 | $1.976M | 0.4% | $9.88 | $10.09 | — | COM | 88104P104 |
| GYRO | GYRODYNE LLC | 69,641 | $1.953M | 0.4% | $28.04 * | $19.48 | 0.0% | COM | 403829104 |
| — | TEMPLETON RUSSIA & EAST EURO | 196,209 | $1.909M | 0.4% | $9.73 | $9.73 | — | COM | 88022F105 |
| — | ROI ACQUISITION CORP II | 188,488 | $1.885M | 0.4% | $10.00 | $9.85 | — | COM | 74966G101 |
| — | PACHOLDER HIGH YIELD FUND | 280,158 | $1.771M | 0.4% | $6.32 | $6.32 | — | COM | 693742108 |
| — | BANCROFT FUND LTD | 92,809 | $1.736M | 0.4% | $18.71 | $17.33 | — | COM | 059695106 |
| — | FEDERATED ENHANCED TREASURY | 117,298 | $1.586M | 0.3% | $13.52 | $13.45 | — | COM | 314162108 |
| — | FINTECH ACQUISITION CORP | 155,000 | $1.575M | 0.3% | $10.16 | $10.57 | — | COM | 31809H209 |
| — | GORES HOLDINGS INC | 150,000 | $1.513M | 0.3% | $10.09 | $10.09 | — | COM | 382866200 |
| — | ELECTRUM SPECIAL ACQUISITI-U | 150,000 | $1.482M | 0.3% | $9.88 | $10.02 | — | COM | G3105C120 |
| — | CUSHING MLP TOTAL RETURN FUN | 99,174 | $1.166M | 0.3% | $11.76 | $11.76 | — | COM | 231631201 |
| — | CAMBRIDGE CAPITAL ACQUISITIO | 115,825 | $1.155M | 0.2% | $9.97 | $7.72 | — | COM | 13215Q106 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $1.008M | 0.2% | $10.08 | $10.08 | — | COM | G2920Y200 |
| EQS | EQUUS TOTAL RETURN INC | 523,605 | $916K | 0.2% | $1.75 * | $2.32 | -22.4% | COM | 294766100 |
| — | TRANSAMERICA INCOME SHARES | 40,178 | $870K | 0.2% | $21.65 | $21.65 | — | COM | 893506105 |
| KRNY | KEARNY FINANCIAL CORP/MD | 60,000 | $688K | 0.1% | $11.47 | $10.55 | +8.4% | COM | 48716P108 |
| — | BOULDER BRANDS INC | 81,895 | $671K | 0.1% | $8.19 | $8.19 | — | COM | 101405108 |
| — | GABELLI GLOBALDEAL FUND (THE) | 65,202 | $639K | 0.1% | $9.80 | $10.59 | — | COM | 361570104 |
| — | BARINGTON/HILCO ACQUISITION | 62,500 | $636K | 0.1% | $10.18 | $9.95 | — | COM | 06759V200 |
| — | ELLSWORTH FUND INC | 65,922 | $516K | 0.1% | $7.83 | $7.09 | — | COM | 289074106 |
| — | ROYCE VALUE TRUST | 34,100 | $392K | 0.1% | $11.50 | $11.50 | — | COM | 780910105 |
| — | QUINPARIO ACQUISITION CORP 2 | 39,389 | $389K | 0.1% | $9.88 | $9.88 | — | COM | 74874U101 |
| — | SILVER BAY REALTY TRUST CORP | 23,931 | $383K | 0.1% | $16.00 | $16.00 | — | COM | 82735Q102 |
| — | CAESARS ACQUISITION CO-CL A | 49,458 | $351K | 0.1% | $7.10 | $7.10 | — | COM | 12768T103 |
| — | ALPINE TOTAL DYNAMIC DIVIDEN | 36,500 | $274K | 0.1% | $7.51 | $3.91 | — | COM | 021060108 |
| — | QUINPARIO ACQUISITION CORP 2 | 25,611 | $263K | 0.1% | $10.27 | $10.12 | — | COM | 74874U200 |
| — | NUVEEN GLOBAL HIGH INC FD | 15,975 | $230K | 0.0% | $14.40 | $17.25 | — | COM | 67075G103 |
| — | JETPAY CORP | 77,698 | $215K | 0.0% | $2.77 | $3.46 | — | COM | 477177109 |
| PANL | PANGAEA LOGISTICS SOLUTIONS | 54,345 | $168K | 0.0% | $3.09 * | $4.37 | -44.1% | COM | G6891L105 |
| — | SINO MERCURY ACQUISITION-RTS | 275,000 | $140K | 0.0% | $0.51 | $0.62 | — | Rights | 82936K110 |
| — | GARNERO GROUP ACQUISITIO-RTS | 534,500 | $118K | 0.0% | $0.22 | $0.30 | — | Rights | G5866L132 |
| — | GARNERO GROUP ACQUISITION CO | 10,000 | $101K | 0.0% | $10.10 | $10.00 | — | COM | G5866L124 |
| — | TERRAPIN 3 ACQUISITION-CW19 | 200,000 | $93,000 | 0.0% | $0.47 | $0.31 | — | Warrants | 88104P112 |
| — | MFS INTERMARKET INC TRUST I | 9,046 | $78,000 | 0.0% | $8.62 | $8.40 | — | COM | 59318R103 |
| — | GARNERO GROUP ACQUISIT-CW19 | 585,800 | $76,000 | 0.0% | $0.13 | $0.12 | — | Warrants | G5866L116 |
| — | HARMONY MERGER CORP-WARRANT | 200,918 | $60,000 | 0.0% | $0.30 | $0.30 | — | Warrants | 413247123 |
| — | RESOURCES CAPITAL CORP. | 5,000 | $56,000 | 0.0% | $11.20 | $6.16 | — | COM | 76120W302 |
| — | AR CAPITAL ACQUISITION-CW19 | 205,173 | $51,000 | 0.0% | $0.25 | $0.23 | — | Warrants | 00191R117 |
| — | DT ASIA INVESTMENTS LTD-RTS | 267,178 | $50,000 | 0.0% | $0.19 | $0.23 | — | Rights | G2615J112 |
| — | DELAWARE INV DIVIDEND & INC | 4,317 | $36,000 | 0.0% | $8.34 | $10.05 | — | COM | 245915103 |
| — | CAMBRIDGE CAPITAL ACQUI-CW18 | 115,825 | $29,000 | 0.0% | $0.25 | $0.40 | — | Warrants | 13215Q114 |
| — | ROYCE GLOBAL VALUE TR INC COM | 3,542 | $25,000 | 0.0% | $7.06 | $7.06 | — | COM | 78081T104 |
| — | DT ASIA INVTS LTD WT 033021 | 270,000 | $24,000 | 0.0% | $0.09 | $0.11 | — | Warrants | G2615J138 |
| — | CB PHARMA ACQUISITION-RTS | 75,000 | $23,000 | 0.0% | $0.31 | $0.36 | — | Rights | G2029P134 |
| — | ROI ACQUISITION CORP-CW17 | 54,486 | $20,000 | 0.0% | $0.37 | $0.22 | — | Warrants | 74966G119 |
| — | Put SPDR S&P 500 ET Apr10 115.00 | 10,200 | $17,000 | 0.0% | $1.67 | $1.67 | — | Put Options | OP95929 |
| — | DELTA TECHNOLOGY HOLDI-CW17 | 120,231 | $8,000 | 0.0% | $0.07 | $0.50 | — | Warrants | G8477B113 |
| — | Put ISHARES DJ US R Apr10 48.00 | 21,500 | $6,000 | 0.0% | $0.28 | $0.28 | — | Put Options | OP96052 |
| — | C B PHARMA ACQUISITION CORP | 23,814 | $5,000 | 0.0% | $0.21 | $0.39 | — | Warrants | G2029P118 |
| — | WHEELER REAL ESTATE INVESTME | 23,000 | $2,000 | 0.0% | $0.09 | $0.40 | — | Warrants | 963025119 |