Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q1 2016 (← Previous) (Next →)
Filing Date: May 13, 2016
Total Value: $427M (90.1% shares, 9.9% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| STC | STEWART INFORMATION SERVICES | 1,129,900 | $41.07M | 9.6% | $36.35 * | $38.27 | -11.5% | COM | 860372101 |
| — | LMP REAL ESTATE INCOME FUND | 2,504,359 | $34.17M | 8.0% | $13.64 | $12.51 | — | COM | 50208C108 |
| — | WINTHROP REALTY TRUST | 2,468,054 | $32.33M | 7.6% | $13.10 | $15.17 | — | COM | 976391300 |
| — | NEUBERGER BERMAN REAL ESTATE | 5,250,352 | $26.72M | 6.3% | $5.09 | $4.78 | — | COM | 64190A103 |
| — | NUVEEN LONG/SHORT COMMODITY | 1,455,100 | $21.9M | 5.1% | $15.05 | $15.98 | — | COM | 670731108 |
| — | NUVEEN GLOBAL EQU INC FD | 1,891,487 | $20.69M | 4.8% | $10.94 | $10.79 | — | COM | 6706EH103 |
| — | DEUTSCHE HIGH INCOME OPPORT | 1,432,772 | $19.05M | 4.5% | $13.30 | $13.30 | — | COM | 25158Y102 |
| — | GLOBAL HIGH INCOME FUND INC | 2,084,103 | $18.1M | 4.2% | $8.68 | $8.30 | — | COM | 37933G108 |
| — | EMERGENT CAPITAL INC | 4,032,378 | $16.25M | 3.8% | $4.03 | $5.45 | — | COM | 29102N105 |
| — | VIRTUS TOTAL RETURN FD | 3,616,434 | $15.34M | 3.6% | $4.24 | $9.07 | — | COM | 92829A103 |
| — | FIRST TRUST DIVIDEND AND INC | 1,565,430 | $13.55M | 3.2% | $8.66 | $8.25 | — | COM | 33731L100 |
| — | HILL INTERNATIONAL INC | 3,875,519 | $12.95M | 3.0% | $3.34 | $4.23 | — | COM | 431466101 |
| — | ADVENT/CLAYMORE ENH GR & INC | 1,467,024 | $12.04M | 2.8% | $8.20 | $8.62 | — | COM | 00765E104 |
| — | MVC CAPITAL INC | 1,378,812 | $10.27M | 2.4% | $7.45 | $12.69 | — | COM | 553829102 |
| — | SWISS HELVETIA FUND | 840,092 | $8.527M | 2.0% | $10.15 | $12.93 | — | COM | 870875101 |
| — | IMPERIAL HOLDINGS INCIFT 8 1/2 02/15/19 | 9,243,000 | $8.067M | 1.9% | $0.87 | $1.07 | — | Bond | 452834AE4 |
| — | MANAGED HI YLD PLUS FUND INC | 4,209,907 | $7.494M | 1.8% | $1.78 | $1.71 | — | COM | 561911108 |
| — | GARNERO GROUP ACQUISITION CO | 682,585 | $6.775M | 1.6% | $9.93 | $9.59 | — | COM | G5866L108 |
| — | TRI CONTL CORP COM | 313,691 | $6.271M | 1.5% | $19.99 | $11.64 | — | COM | 895436103 |
| — | DEUTSCHE GLOBAL HIGH INCOME | 777,416 | $5.999M | 1.4% | $7.72 | $7.72 | — | COM | 25158V108 |
| — | GENERAL AMERICAN INVESTORS | 189,259 | $5.925M | 1.4% | $31.31 | $36.76 | — | COM | 368802104 |
| — | DT ASIA INVESTMENTS LTD | 556,373 | $5.647M | 1.3% | $10.15 | $9.99 | — | COM | G2615J104 |
| — | NUVEEN DIVERSIFIED COMMODITY | 621,807 | $5.506M | 1.3% | $8.85 | $11.03 | — | COM | 67074P104 |
| — | WHEELER REAL ESTATE INVESTME | 4,250,833 | $5.269M | 1.2% | $1.24 | $1.97 | — | COM | 963025101 |
| — | PACHOLDER HIGH YIELD FUND | 703,768 | $4.471M | 1.0% | $6.35 | $6.21 | — | COM | 693742108 |
| — | LIBERTY ALL STAR EQUITY FD SH | 851,229 | $4.231M | 1.0% | $4.97 | $5.85 | — | COM | 530158104 |
| — | FULL CIRCLE CAPITAL CORP | 1,650,429 | $4.225M | 1.0% | $2.56 | $3.45 | — | COM | 359671104 |
| — | AROWANA INC | 400,000 | $3.99M | 0.9% | $9.97 | $9.97 | — | SHS | G05011104 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 459,400 | $3.446M | 0.8% | $7.50 * | $20.29 | -64.4% | COM | 33766Y100 |
| — | BOULDER GROWTH & INCM FD INC | 426,605 | $3.378M | 0.8% | $7.92 | $7.58 | — | COM | 101507101 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $3.005M | 0.7% | $10.02 | $10.02 | — | SHS | G68588105 |
| — | SOURCE CAP INC | 82,562 | $2.942M | 0.7% | $35.63 | $66.26 | — | COM | 836144105 |
| — | CUSHING RENAISSANCE FD | 210,136 | $2.937M | 0.7% | $13.98 | $14.04 | — | COM | 231647108 |
| — | CROSSROADS CAPITAL INC | 1,121,332 | $2.929M | 0.7% | $2.61 | $3.21 | — | COM | 227656105 |
| — | CENTRAL SECS CORP COM | 137,645 | $2.643M | 0.6% | $19.20 | $19.20 | — | COM | 155123102 |
| — | 1347 CAPITAL CORP | 252,484 | $2.497M | 0.6% | $9.89 | $9.88 | — | COM | 68245V103 |
| — | FIRST TRUST ABERDEEN GLOBAL | 201,338 | $2.203M | 0.5% | $10.94 | $10.36 | — | COM SHR | 337319107 |
| — | ADAMS EXPRESS COMPANY | 166,914 | $2.12M | 0.5% | $12.70 | $11.96 | — | COM | 006212104 |
| — | TERRAPIN 3 ACQUISITION COR-A | 200,000 | $1.98M | 0.5% | $9.90 | $10.09 | — | COM | 88104P104 |
| — | ANDINA ACQUISITION CORP II | 204,285 | $1.979M | 0.5% | $9.69 | $9.69 | — | SHS | G0441P104 |
| — | NEW YORK REIT INC | 167,962 | $1.696M | 0.4% | $10.10 | $10.00 | — | COM | 64976L109 |
| — | FINTECH ACQUISITION CORP | 153,399 | $1.541M | 0.4% | $10.05 | $10.05 | — | COM | 31809H100 |
| — | GORES HLDGS INC | 150,000 | $1.453M | 0.3% | $9.69 | $9.69 | — | COM | 382866101 |
| — | STRATEGIC GLOBAL INCOME FD | 150,680 | $1.343M | 0.3% | $8.91 | $8.76 | — | COM | 862719101 |
| — | BANCROFT FUND LTD | 69,976 | $1.257M | 0.3% | $17.96 | $17.96 | — | COM | 059695106 |
| — | PUTNAM HIGH INCOME SECURITIE | 156,060 | $1.141M | 0.3% | $7.31 | $7.31 | — | SHS BEN INT | 746779107 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $1.004M | 0.2% | $10.04 | $10.04 | — | COM | G2920Y101 |
| — | KOREA EQUITY FD INC | 112,973 | $897K | 0.2% | $7.94 | $7.94 | — | COM | 50063B104 |
| EQS | EQUUS TOTAL RETURN INC | 497,162 | $794K | 0.2% | $1.60 | $2.32 | -31.4% | COM | 294766100 |
| — | JPMORGAN CHINA REGION FD INC | 53,388 | $787K | 0.2% | $14.74 | $14.74 | — | COM | 48126T104 |
| KRNY | KEARNY FINANCIAL CORP/MD | 60,000 | $741K | 0.2% | $12.35 * | $10.55 | +13.7% | COM | 48716P108 |
| — | GABELLI GLOBALDEAL FUND (THE) | 70,173 | $703K | 0.2% | $10.02 | $10.49 | — | COM | 361570104 |
| — | BARINGTON HILCO ACQUISITION | 55,823 | $554K | 0.1% | $9.92 | $9.83 | — | COM | 06759V101 |
| — | QUINPARIO ACQUISITION CORP 2 | 56,097 | $548K | 0.1% | $9.77 | $9.83 | — | COM | 74874U101 |
| — | ROYCE VALUE TRUST | 44,100 | $516K | 0.1% | $11.70 | $11.56 | — | COM | 780910105 |
| — | GSV CAPITAL CORP | 80,704 | $455K | 0.1% | $5.64 | $9.37 | — | COM | 36191J101 |
| — | CREDIT SUISSE ASSET MGMT INC | 149,110 | $426K | 0.1% | $2.86 | $2.78 | — | COM | 224916106 |
| — | DELAWARE INV DIVIDEND & INC | 32,667 | $297K | 0.1% | $9.09 | $9.16 | — | COM | 245915103 |
| — | ELLSWORTH FUND INC | 35,123 | $267K | 0.1% | $7.60 | $7.09 | — | COM | 289074106 |
| — | WL ROSS HLDG CORP | 25,000 | $251K | 0.1% | $10.04 | $10.04 | — | COM SHS | 92939D104 |
| — | ATLANTIC ALLIANCE PARTNER CO | 20,000 | $209K | 0.0% | $10.45 | $10.45 | — | SHS | G04897107 |
| — | JETPAY CORP | 68,328 | $158K | 0.0% | $2.31 | $3.46 | — | COM | 477177109 |
| — | ABERDEEN SINGAPORE FD INC | 14,400 | $129K | 0.0% | $8.96 | $8.96 | — | COM | 003244100 |
| — | AROWANA INC | 400,000 | $94,000 | 0.0% | $0.23 | $0.23 | — | RIGHT 01/01/2017 | G05011120 |
| — | GARNERO GROUP ACQUISITIO-RTS | 535,528 | $91,000 | 0.0% | $0.17 | $0.30 | — | Rights | G5866L132 |
| — | 1347 CAP CORP | 252,484 | $84,000 | 0.0% | $0.33 | $0.24 | — | RIGHT 07/21/2016 | 68245V111 |
| — | COPSYNC INC | 30,000 | $54,000 | 0.0% | $1.80 | $2.07 | — | COM NEW | 217712207 |
| — | TERRAPIN 3 ACQUISITION-CW19 | 200,000 | $53,000 | 0.0% | $0.27 | $0.31 | — | Warrants | 88104P112 |
| — | DT ASIA INVESTMENTS LTD-RTS | 261,050 | $51,000 | 0.0% | $0.20 | $0.22 | — | RIGHT 03/30/2016 | G2615J112 |
| — | 1347 CAP CORP | 252,484 | $49,000 | 0.0% | $0.19 | $0.18 | — | *W EXP 07/15/202 | 68245V129 |
| — | ISHARES US REAL 01/15/2016 75.50 | 34,800 | $49,000 | 0.0% | $1.41 | $635.02 | — | Call | 464287909 |
| — | ANDINA ACQUISITION CORP II | 204,258 | $48,000 | 0.0% | $0.23 | $0.23 | — | RIGHT 09/01/2017 | G0441P120 |
| — | GARNERO GROUP ACQUISIT-CW19 | 586,828 | $46,000 | 0.0% | $0.08 | $0.12 | — | *W EXP 06/24/201 | G5866L116 |
| — | FINTECH ACQUISITION CORP | 76,516 | $44,000 | 0.0% | $0.58 | $0.58 | — | *W EXP 02/19/202 | 31809H118 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $41,000 | 0.0% | $0.14 | $0.14 | — | RIGHT 03/15/2017 | G68588113 |
| — | HARMONY MERGER CORP-WARRANT | 200,918 | $39,000 | 0.0% | $0.19 | $0.30 | — | *W EXP 01/01/202 | 413247123 |
| — | GORES HOLDINGS INC | 150,000 | $37,000 | 0.0% | $0.25 | $0.25 | — | *W EXP 08/13/202 | 382866119 |
| — | AROWANA INC | 400,000 | $32,000 | 0.0% | $0.08 | $0.08 | — | *W EXP 04/29/202 | G05011112 |
| — | ELECTRUM SPL ACQUISITION COR | 151,020 | $31,000 | 0.0% | $0.21 | $0.22 | — | *W EXP 99/99/999 | G3105C112 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $26,000 | 0.0% | $0.09 | $0.09 | — | *W EXP 10/20/202 | G68588121 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $22,000 | 0.0% | $0.22 | $0.22 | — | RIGHT 02/18/2017 | G2920Y119 |
| — | ANDINA ACQUISITION CORP II | 204,285 | $20,000 | 0.0% | $0.10 | $0.10 | — | *W EXP 11/23/202 | G0441P138 |
| — | AR CAPITAL ACQUISITION-CW19 | 200,173 | $19,000 | 0.0% | $0.09 | $0.23 | — | *W EXP 10/06/201 | 00191R117 |
| — | COPSYNC INC | 30,000 | $16,000 | 0.0% | $0.53 | $0.50 | — | *W EXP 11/12/202 | 217712116 |
| — | DT ASIA INVTS LTD WT 033021 | 261,050 | $13,000 | 0.0% | $0.05 | $0.11 | — | *W EXP 03/29/202 | G2615J138 |
| — | BARINGTON HILCO ACQUISITION | 55,823 | $11,000 | 0.0% | $0.20 | $0.17 | — | Rights | 06759V119 |
| — | QUINPARIO ACQUISITION C-CW23 | 56,097 | $11,000 | 0.0% | $0.20 | $153.33 | — | *W EXP 01/01/202 | 74874U119 |
| — | C B PHARMA ACQUISITION CORP | 75,000 | $6,000 | 0.0% | $0.08 | $0.18 | — | Warrants | G2029P118 |
| — | CB PHARMA ACQUISITION-RTS | 75,000 | $6,000 | 0.0% | $0.08 | $0.36 | — | Rights | G2029P134 |
| — | BARINGTON HILCO ACQUISITION | 55,823 | $6,000 | 0.0% | $0.11 | $0.11 | — | *W EXP 02/11/201 | 06759V127 |
| — | ISHARES US REAL 01/15/2016 73.00 | 34,800 | $1,000 | 0.0% | $0.03 | $295.02 | — | Put | 464287959 |
| — | WHEELER REAL ESTATE INVESTME | 17,000 | $0 | 0.0% | $0.00 | $0.40 | — | *W EXP 04/29/201 | 963025119 |