Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q4 2015 (← Previous) (Next →)
Filing Date: Feb 24, 2016
Total Value: $474M (96.5% shares, 3.5% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| STC | STEWART INFORMATION SERVICES | 1,135,499 | $42.39M | 8.9% | $37.33 * | $38.27 | +6.7% | COM | 860372101 |
| — | LMP REAL ESTATE INCOME FUND | 2,324,731 | $30.31M | 6.4% | $13.04 | $12.42 | — | COM | 50208C108 |
| — | WINTHROP REALTY TRUST | 2,320,962 | $30.1M | 6.3% | $12.97 | $15.30 | — | COM | 976391300 |
| — | NEUBERGER BERMAN REAL ESTATE | 4,898,711 | $24.54M | 5.2% | $5.01 | $4.75 | — | COM | 64190A103 |
| — | VIRTUS TOTAL RETURN FD | 1,099,076 | $22.14M | 4.7% | $20.14 | $20.14 | — | COM | 92829A103 |
| — | ISHARES US REAL 01/15/2016 75.50 | 29,500 | $18.73M | 3.9% | $635.02 | $635.02 | — | CallOptions | 464287909 |
| — | DWS HIGH INCOME OPPORTUNITIES | 1,387,377 | $18.12M | 3.8% | $13.06 | $14.46 | — | COM | 23339M204 |
| — | NUVEEN LONG/SHORT COMMODITY | 1,153,947 | $17.93M | 3.8% | $15.54 | $16.23 | — | COM | 670731108 |
| — | GLOBAL HIGH INCOME FUND INC | 1,932,140 | $16.42M | 3.5% | $8.50 | $8.27 | — | COM | 37933G108 |
| — | HILL INTERNATIONAL INC | 3,884,261 | $15.07M | 3.2% | $3.88 | $4.23 | — | COM | 431466101 |
| — | EMERGENT CAPITAL INC | 4,032,378 | $14.88M | 3.1% | $3.69 | $5.45 | — | COM | 29102N105 |
| — | NUVEEN GLOBAL EQU INC FD | 1,321,864 | $14.44M | 3.0% | $10.92 | $10.73 | — | COM | 6706EH103 |
| — | SOURCE CAP INC | 211,833 | $14.04M | 3.0% | $66.26 | $66.26 | — | COM | 836144105 |
| — | ADVENT/CLAYMORE ENH GR & INC | 1,521,674 | $12.58M | 2.7% | $8.27 | $8.62 | — | COM | 00765E104 |
| — | LIBERTY ALL STAR EQUITY FD SH | 2,208,963 | $11.82M | 2.5% | $5.35 | $5.85 | — | COM | 530158104 |
| — | GENERAL AMERICAN INVESTORS | 326,288 | $10.42M | 2.2% | $31.94 | $36.76 | — | COM | 368802104 |
| — | MVC CAPITAL INC | 1,388,826 | $10.24M | 2.2% | $7.37 | $12.69 | — | COM | 553829102 |
| — | SWISS HELVETIA FUND | 869,357 | $9.18M | 1.9% | $10.56 | $12.93 | — | CommonStock | 870875101 |
| — | ISHARES US REAL 01/15/2016 73.00 | 29,500 | $8.703M | 1.8% | $295.02 | $295.02 | — | PutOptions | 464287959 |
| — | WHEELER REAL ESTATE INVESTME | 4,253,438 | $8.209M | 1.7% | $1.93 | $1.97 | — | COM | 963025101 |
| — | FIRST TRUST DIVIDEND AND INC | 948,305 | $8.023M | 1.7% | $8.46 | $7.99 | — | COM | 33731L100 |
| — | TRI CONTL CORP COM | 389,371 | $7.795M | 1.6% | $20.02 | $11.64 | — | COM | 895436103 |
| — | BOULDER GROWTH & INCM FD INC | 1,001,932 | $7.755M | 1.6% | $7.74 | $7.58 | — | COM | 101507101 |
| — | IMPERIAL HOLDINGS INCIFT 8 1/2 02/15/19 | 9,243,000 | $7.753M | 1.6% | $0.84 | $1.07 | — | Bond | 452834AE4 |
| — | GARNERO GROUP ACQUISITION CO | 666,089 | $6.534M | 1.4% | $9.81 | $9.58 | — | COM | G5866L108 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 721,410 | $6.139M | 1.3% | $8.51 * | $20.29 | -60.7% | COM | 33766Y100 |
| — | DWS GLBL HIGH INCOME FD INC | 778,229 | $5.876M | 1.2% | $7.55 | $8.11 | — | COM | 23338W104 |
| — | MANAGED HI YLD PLUS FUND INC | 3,145,351 | $5.536M | 1.2% | $1.76 | $1.69 | — | COM | 561911108 |
| — | DIVERSIFIED REAL ASSET INCOM | 317,845 | $4.93M | 1.0% | $15.51 | $17.74 | — | COM | 25533B108 |
| — | DT ASIA INVESTMENTS LTD | 434,872 | $4.37M | 0.9% | $10.05 | $9.94 | — | COM | G2615J104 |
| — | NUVEEN DIVERSIFIED COMMODITY | 476,214 | $4.295M | 0.9% | $9.02 | $11.69 | — | COM | 67074P104 |
| — | FULL CIRCLE CAPITAL CORP | 1,678,185 | $4.145M | 0.9% | $2.47 | $3.45 | — | COM | 359671104 |
| — | AROWANA INC | 400,000 | $4.02M | 0.8% | $10.05 | $10.13 | — | Units | G05011138 |
| — | CROSSROADS CAPITAL INC | 1,126,341 | $3.615M | 0.8% | $3.21 | $3.21 | — | COM | 227656105 |
| — | PACHOLDER HIGH YIELD FUND | 593,169 | $3.6M | 0.8% | $6.07 | $6.19 | — | COM | 693742108 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $3.015M | 0.6% | $10.05 | $10.05 | — | UNIT99/99/9999 | G68588139 |
| — | BLACKROCK RESOURCES & COMMOD | 361,572 | $2.571M | 0.5% | $7.11 | $7.11 | — | CommonStocks | 09257A108 |
| — | ADAMS EXPRESS COMPANY | 167,036 | $2.143M | 0.5% | $12.83 | $11.96 | — | COM | 006212104 |
| — | ANDINA ACQUISITION CORP II | 205,000 | $2.033M | 0.4% | $9.92 | $9.92 | — | SHS | G0441P112 |
| — | TERRAPIN 3 ACQUISITION COR-A | 200,000 | $1.972M | 0.4% | $9.86 | $10.09 | — | COM | 88104P104 |
| — | HARMONY MERGER CORP | 200,000 | $1.96M | 0.4% | $9.80 | $9.90 | — | COM | 413247107 |
| — | 1347 CAPITAL CORP Units | 174,798 | $1.779M | 0.4% | $10.18 | $10.10 | — | COM | 68245V202 |
| — | FINTECH ACQUISITION CORP | 150,000 | $1.521M | 0.3% | $10.14 | $10.57 | — | COM | 31809H209 |
| — | GORES HOLDINGS INC | 150,000 | $1.5M | 0.3% | $10.00 | $10.09 | — | COM | 382866200 |
| — | FIRST TRUST ABERDEEN GLOBAL | 144,780 | $1.467M | 0.3% | $10.13 | $10.13 | — | COMSHR | 337319107 |
| — | NEW YORK REIT INC | 122,962 | $1.414M | 0.3% | $11.50 | $9.97 | — | CommonStocks | 64976L109 |
| — | BANCROFT FUND LTD | 75,134 | $1.367M | 0.3% | $18.19 | $18.19 | — | CommonStocks | 59695106 |
| — | STRATEGIC GLOBAL INCOME FD | 152,647 | $1.337M | 0.3% | $8.76 | $8.76 | — | COM | 862719101 |
| — | BOULDER BRANDS INC | 111,957 | $1.229M | 0.3% | $10.98 | $8.94 | — | CommonStocks | 101405108 |
| GYRO | GYRODYNE LLC | 47,368 | $1.21M | 0.3% | $25.54 * | $19.48 | -14.8% | COM | 403829104 |
| — | ELECTRUM SPL ACQUISITION COR | 107,117 | $1.033M | 0.2% | $9.64 | $9.64 | — | SHS | G3105C104 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $1M | 0.2% | $10.00 | $10.08 | — | COM | G2920Y200 |
| EQS | EQUUS TOTAL RETURN INC | 511,628 | $916K | 0.2% | $1.79 * | $2.32 | -29.3% | COM | 294766100 |
| — | GSV CAPITAL CORP | 82,812 | $776K | 0.2% | $9.37 | $9.37 | — | COM | 36191J101 |
| — | PREFERRED APT CMNTYS INC | 58,553 | $766K | 0.2% | $13.08 | $13.08 | — | COM | 74039L103 |
| — | PUTNAM HIGH INCOME SECURITIE | 104,177 | $762K | 0.2% | $7.31 | $7.31 | — | SHSBENINT | 746779107 |
| KRNY | KEARNY FINANCIAL CORP/MD | 60,000 | $760K | 0.2% | $12.67 * | $10.55 | +15.5% | COM | 48716P108 |
| — | 1347 CAP CORP | 76,600 | $755K | 0.2% | $9.86 | $9.86 | — | COM | 68245V103 |
| — | CREDIT SUISSE ASSET MGMT INC | 271,464 | $755K | 0.2% | $2.78 | $2.78 | — | COM | 224916106 |
| — | CUSHING RENAISSANCE FD | 47,682 | $680K | 0.1% | $14.26 | $14.26 | — | COM | 231647108 |
| — | ZWEIG TOTAL RETURN FUND INC | 52,604 | $641K | 0.1% | $12.19 | $12.19 | — | COMNEW | 989837208 |
| — | GABELLI GLOBALDEAL FUND (THE) | 57,581 | $576K | 0.1% | $10.00 | $10.59 | — | COM | 361570104 |
| — | BARINGTON HILCO ACQUISITION | 53,026 | $521K | 0.1% | $9.83 | $9.83 | — | COM | 06759V101 |
| — | ROYCE VALUE TRUST | 44,100 | $519K | 0.1% | $11.77 | $11.56 | — | COM | 780910105 |
| — | ELECTRUM SPECIAL ACQUISITI-U | 46,800 | $466K | 0.1% | $9.96 | $10.02 | — | COM | G3105C120 |
| — | ELLSWORTH FUND INC | 50,078 | $388K | 0.1% | $7.75 | $7.09 | — | COM | 289074106 |
| — | SILVER BAY REALTY TRUST CORP | 23,931 | $375K | 0.1% | $15.67 | $16.00 | — | COM | 82735Q102 |
| — | QUINPARIO ACQUISITION CORP 2 | 34,389 | $334K | 0.1% | $9.71 | $9.88 | — | COM | 74874U101 |
| — | JETPAY CORP | 77,698 | $211K | 0.0% | $2.72 | $3.46 | — | COM | 477177109 |
| — | QUINPARIO ACQUISITION CORP 2 (units) | 19,645 | $192K | 0.0% | $9.77 | $10.12 | — | COM | 74874U200 |
| — | GARNERO GROUP ACQUISITIO-RTS | 528,456 | $127K | 0.0% | $0.24 | $0.30 | — | Rights | G5866L132 |
| — | DELAWARE INV DIVIDEND & INC | 12,991 | $115K | 0.0% | $8.85 | $9.25 | — | COM | 245915103 |
| — | ALPINE TOTAL DYNAMIC DIVIDEN | 13,750 | $106K | 0.0% | $7.71 | $3.91 | — | COM | 021060108 |
| — | GARNERO GROUP ACQUISIT-CW19 | 578,822 | $75,000 | 0.0% | $0.13 | $0.12 | — | Warrants | G5866L116 |
| — | COPSYNC INC | 30,000 | $62,000 | 0.0% | $2.07 | $2.07 | — | COMNEW | 217712207 |
| — | HARMONY MERGER CORP-WARRANT | 200,918 | $60,000 | 0.0% | $0.30 | $0.30 | — | Warrants | 413247123 |
| — | TERRAPIN 3 ACQUISITION-CW19 | 200,000 | $57,000 | 0.0% | $0.28 | $0.31 | — | Warrants | 88104P112 |
| PANL | PANGAEA LOGISTICS SOLUTIONS | 20,191 | $53,000 | 0.0% | $2.62 * | $4.37 | -48.7% | COM | G6891L105 |
| — | AR CAPITAL ACQUISITION-CW19 | 200,173 | $36,000 | 0.0% | $0.18 | $0.23 | — | Warrants | 00191R117 |
| — | DT ASIA INVESTMENTS LTD-RTS | 251,050 | $28,000 | 0.0% | $0.11 | $0.23 | — | Rights | G2615J112 |
| — | DT ASIA INVTS LTD WT 033021 | 253,872 | $25,000 | 0.0% | $0.10 | $0.11 | — | Warrants | G2615J138 |
| — | ELECTRUM SPL ACQUISITION COR | 107,117 | $24,000 | 0.0% | $0.22 | $0.22 | — | *WEXP99/99/999 | G3105C112 |
| — | SPDR S&P 500 ET 01/15/16 203.00 | 7,200 | $16,000 | 0.0% | $2.22 | $2.22 | — | PutOptions | 78462F953 |
| — | COPSYNC INC | 30,000 | $15,000 | 0.0% | $0.50 | $0.50 | — | *WEXP11/12/202 | 217712116 |
| — | CB PHARMA ACQUISITION-RTS | 75,000 | $15,000 | 0.0% | $0.20 | $0.36 | — | Rights | G2029P134 |
| — | 1347 CAP CORP | 76,600 | $11,000 | 0.0% | $0.14 | $0.14 | — | *WEXP07/15/202 | 68245V129 |
| — | BARINGTON HILCO ACQUISITION | 53,026 | $9,000 | 0.0% | $0.17 | $0.17 | — | Rights | 06759V119 |
| — | QUINPARIO ACQUISITION C-CW23 | 34,389 | $7,000 | 0.0% | $0.20 | $249.99 | — | Warrants | 74874U119 |
| — | SPDR S&P 500 ET 01/15/16 208.00 | 7,200 | $6,000 | 0.0% | $0.83 | $0.83 | — | CallOptions | 78462F903 |
| — | BARINGTON HILCO ACQUISITION | 53,026 | $6,000 | 0.0% | $0.11 | $0.11 | — | *WEXP02/11/201 | 06759V127 |
| — | C B PHARMA ACQUISITION CORP | 23,814 | $4,000 | 0.0% | $0.17 | $0.39 | — | Warrants | G2029P118 |
| — | 1347 CAP CORP | 76,600 | $2,000 | 0.0% | $0.03 | $0.03 | — | RIGHT07/21/2016 | 68245V111 |
| — | WHEELER REAL ESTATE INVESTME | 23,000 | $1,000 | 0.0% | $0.04 | $0.40 | — | Warrants | 963025119 |