Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q2 2016 (← Previous) (Next →)
Filing Date: Aug 12, 2016
Total Value: $389M (98.0% shares, 2.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| STC | STEWART INFORMATION SERVICES | 1,130,200 | $46.8M | 12.0% | $41.41 * | $38.27 | -3.8% | COM | 860372101 |
| — | NEUBERGER BERMAN REAL ESTATE | 5,698,062 | $32.37M | 8.3% | $5.68 | $4.85 | — | COM | 64190A103 |
| — | NUVEEN GLOBAL EQU INC FD | 2,166,135 | $25.28M | 6.5% | $11.67 | $10.90 | — | COM | 6706EH103 |
| — | WINTHROP REALTY TRUST | 2,558,908 | $22.49M | 5.8% | $8.79 | $14.94 | — | COM | 976391300 |
| — | NUVEEN LONG/SHORT COMMODITY | 1,468,743 | $21.8M | 5.6% | $14.84 | $15.98 | — | COM | 670731108 |
| — | VIRTUS TOTAL RETURN FD | 4,391,983 | $20.38M | 5.2% | $4.64 | $8.29 | — | COM | 92829A103 |
| — | DEUTSCHE HIGH INCOME OPPORT | 1,246,289 | $16.95M | 4.4% | $13.60 | $13.30 | — | COM | 25158Y102 |
| — | HILL INTERNATIONAL INC | 3,875,519 | $15.77M | 4.1% | $4.07 | $4.23 | — | COM | 431466101 |
| — | FIRST TRUST DIVIDEND AND INC | 1,691,267 | $15.21M | 3.9% | $8.99 | $8.31 | — | COM | 33731L100 |
| — | EMERGENT CAPITAL INC | 4,032,377 | $13.55M | 3.5% | $3.36 | $5.45 | — | COM | 29102N105 |
| — | ADVENT/CLAYMORE ENH GR & INC | 1,461,794 | $11.97M | 3.1% | $8.19 | $8.62 | — | COM | 00765E104 |
| — | MVC CAPITAL INC | 1,378,812 | $11.09M | 2.9% | $8.04 | $12.69 | — | COM | 553829102 |
| — | SWISS HELVETIA FUND | 1,010,103 | $10.45M | 2.7% | $10.35 | $12.50 | — | COM | 870875101 |
| — | PACHOLDER HIGH YIELD FUND | 1,472,141 | $10.42M | 2.7% | $7.08 | $6.67 | — | COM | 693742108 |
| — | CUSHING RENAISSANCE FD | 529,001 | $8.289M | 2.1% | $15.67 | $15.02 | — | COM | 231647108 |
| — | IMPERIAL HLDGS INC | 9,243,000 | $7.891M | 2.0% | $0.85 | $1.07 | — | NOTE 8.500% 2/1 | 452834AE4 |
| — | WHEELER REAL ESTATE INVESTME | 4,328,415 | $6.666M | 1.7% | $1.54 | $1.96 | — | COM | 963025101 |
| — | LAZARD GLOBAL TOT RT & INC | 493,347 | $6.454M | 1.7% | $13.08 | $13.08 | — | COM | 52106W103 |
| — | TRI CONTL CORP COM | 313,691 | $6.443M | 1.7% | $20.54 | $11.64 | — | COM | 895436103 |
| — | NUVEEN DIVERSIFIED COMMODITY | 621,807 | $6.106M | 1.6% | $9.82 | $11.03 | — | COM | 67074P104 |
| — | GENERAL AMERICAN INVESTORS | 186,696 | $5.754M | 1.5% | $30.82 | $36.76 | — | COM | 368802104 |
| — | NEW YORK REIT INC | 531,394 | $4.915M | 1.3% | $9.25 | $9.49 | — | COM | 64976L109 |
| — | FIRST TRUST ABERDEEN GLOBAL | 410,647 | $4.698M | 1.2% | $11.44 | $10.91 | — | COM SHR | 337319107 |
| — | FULL CIRCLE CAPITAL CORP | 1,650,429 | $4.456M | 1.1% | $2.70 | $3.45 | — | COM | 359671104 |
| — | LIBERTY ALL STAR EQUITY FD SH | 851,229 | $4.273M | 1.1% | $5.02 | $5.85 | — | COM | 530158104 |
| — | AROWANA INC | 400,000 | $4.022M | 1.0% | $10.05 | $9.97 | — | SHS | G05011104 |
| — | BOULDER GROWTH & INCM FD INC | 426,605 | $3.458M | 0.9% | $8.11 | $7.58 | — | COM | 101507101 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $3.066M | 0.8% | $10.22 | $10.02 | — | SHS | G68588105 |
| — | CENTRAL SECS CORP COM | 137,645 | $2.703M | 0.7% | $19.64 | $19.20 | — | COM | 155123102 |
| — | PUTNAM HIGH INCOME SECURITIE | 344,699 | $2.644M | 0.7% | $7.67 | $7.51 | — | SHS BEN INT | 746779107 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 316,141 | $2.354M | 0.6% | $7.45 | $20.29 | -63.3% | COM | 33766Y100 |
| — | 1347 CAPITAL CORP | 252,484 | $2.338M | 0.6% | $9.26 | $9.88 | — | COM | 68245V103 |
| — | CROSSROADS CAPITAL INC | 1,121,032 | $2.309M | 0.6% | $2.06 | $3.21 | — | COM | 227656105 |
| — | DEUTSCHE GLOBAL HIGH INCOME | 268,610 | $2.184M | 0.6% | $8.13 | $7.72 | — | COM | 25158V108 |
| — | KOREA EQUITY FD INC | 277,704 | $2.183M | 0.6% | $7.86 | $7.89 | — | COM | 50063B104 |
| — | ADAMS EXPRESS COMPANY | 166,914 | $2.115M | 0.5% | $12.67 | $11.96 | — | COM | 006212104 |
| — | TERRAPIN 3 ACQUISITION COR-A | 200,000 | $1.992M | 0.5% | $9.96 | $10.09 | — | COM | 88104P104 |
| — | ANDINA ACQUISITION CORP II | 204,285 | $1.987M | 0.5% | $9.73 | $9.69 | — | SHS | G0441P104 |
| — | FINTECH ACQUISITION CORP | 153,399 | $1.534M | 0.4% | $10.00 | $10.05 | — | COM | 31809H100 |
| — | GORES HLDGS INC | 150,000 | $1.455M | 0.4% | $9.70 | $9.69 | — | CL A | 382866101 |
| — | BANCROFT FUND LTD | 39,976 | $1.309M | 0.3% | $32.74 | $17.96 | — | COM | 059695106 |
| — | CREDIT SUISSE ASSET MGMT INC | 402,956 | $1.181M | 0.3% | $2.93 | $2.88 | — | COM | 224916106 |
| — | ROYCE VALUE TRUST | 88,300 | $1.039M | 0.3% | $11.77 | $11.66 | — | COM | 780910105 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $1.015M | 0.3% | $10.15 | $10.04 | — | COM | G2920Y101 |
| — | JPMORGAN CHINA REGION FD INC | 63,232 | $961K | 0.2% | $15.20 | $14.81 | — | COM | 48126T104 |
| EQS | EQUUS TOTAL RETURN INC | 497,162 | $885K | 0.2% | $1.78 * | $2.32 | -26.5% | COM | 294766100 |
| — | DEUTSCHE HIGH INCOME TRUST | 67,655 | $594K | 0.2% | $8.78 | $8.78 | — | SHS | 25155R100 |
| — | QUINPARIO ACQUISITION CORP 2 | 56,097 | $555K | 0.1% | $9.89 | $9.83 | — | COM | 74874U101 |
| — | GDL FUND | 53,898 | $535K | 0.1% | $9.93 | $10.49 | — | COM SH BEN IT | 361570104 |
| — | BARINGTON HILCO ACQUISITION | 55,823 | $509K | 0.1% | $9.12 | $9.83 | — | COM | 06759V101 |
| — | DEUTSCHE MULTI-MARKET INCOME | 56,604 | $461K | 0.1% | $8.14 | $8.14 | — | SHS | 25160E102 |
| — | GSV CAPITAL CORP | 80,704 | $405K | 0.1% | $5.02 | $9.37 | — | COM | 36191J101 |
| — | JETPAY CORP | 153,651 | $350K | 0.1% | $2.28 | $2.80 | — | COM | 477177109 |
| KRNY | KEARNY FINANCIAL CORP/MD | 25,000 | $315K | 0.1% | $12.60 | $10.55 | +21.5% | COM | 48716P108 |
| — | ELLSWORTH FUND INC | 35,123 | $277K | 0.1% | $7.89 | $7.09 | — | COM | 289074106 |
| — | CLOUGH GLOBAL EQUITY FUND | 21,876 | $234K | 0.1% | $10.70 | $10.70 | — | COM | 18914C100 |
| — | ATLANTIC ALLIANCE PARTNER CO | 20,000 | $208K | 0.1% | $10.40 | $10.45 | — | SHS | G04897107 |
| — | ABERDEEN SINGAPORE FD INC | 17,530 | $158K | 0.0% | $9.01 | $8.97 | — | COM | 003244100 |
| — | ASIA TIGERS FUND INC | 14,791 | $142K | 0.0% | $9.60 | $9.60 | — | COM | 04516T105 |
| — | DT ASIA INVESTMENTS LTD-RTS | 261,050 | $94,000 | 0.0% | $0.36 | $0.22 | — | RIGHT 03/30/2016 | G2615J112 |
| — | 1347 CAP CORP | 250,000 | $80,000 | 0.0% | $0.32 | $0.18 | — | *W EXP 07/15/202 | 68245V129 |
| — | AROWANA INC | 400,000 | $74,000 | 0.0% | $0.18 | $0.23 | — | RIGHT 01/01/2017 | G05011120 |
| — | 1347 CAP CORP | 250,000 | $65,000 | 0.0% | $0.26 | $0.24 | — | RIGHT 07/21/2016 | 68245V111 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $63,000 | 0.0% | $0.21 | $0.14 | — | RIGHT 03/15/2017 | G68588113 |
| — | GARNERO GROUP ACQUISITIO-RTS | 535,528 | $48,000 | 0.0% | $0.09 | $0.30 | — | RIGHT 06/25/2016 | G5866L132 |
| — | ISHARES US REAL 07/15/2016 81.00 | 61,100 | $45,000 | 0.0% | $0.74 | $0.74 | — | Call Options | 464287909 |
| — | TERRAPIN 3 ACQUISITION-CW19 | 200,000 | $42,000 | 0.0% | $0.21 | $0.31 | — | Warrants | 88104P112 |
| — | HARMONY MERGER CORP-WARRANT | 200,918 | $40,000 | 0.0% | $0.20 | $0.30 | — | *W EXP 01/01/202 | 413247123 |
| — | COPSYNC INC | 30,000 | $39,000 | 0.0% | $1.30 | $2.07 | — | COM NEW | 217712207 |
| — | GORES HOLDINGS INC | 150,000 | $38,000 | 0.0% | $0.25 | $0.25 | — | *W EXP 08/13/202 | 382866119 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $36,000 | 0.0% | $0.18 | $0.23 | — | RIGHT 09/01/2017 | G0441P120 |
| — | ELECTRUM SPL ACQUISITION COR | 151,020 | $35,000 | 0.0% | $0.23 | $0.22 | — | *W EXP 99/99/999 | G3105C112 |
| — | FINTECH ACQUISITION CORP | 43,116 | $34,000 | 0.0% | $0.79 | $0.58 | — | *W EXP 02/19/202 | 31809H118 |
| — | AROWANA INC | 400,000 | $32,000 | 0.0% | $0.08 | $0.08 | — | *W EXP 04/29/202 | G05011112 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $30,000 | 0.0% | $0.10 | $0.09 | — | *W EXP 10/20/202 | G68588121 |
| — | DT ASIA INVTS LTD WT 033021 | 261,050 | $29,000 | 0.0% | $0.11 | $0.11 | — | *W EXP 03/29/202 | G2615J138 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $24,000 | 0.0% | $0.24 | $0.22 | — | RIGHT 02/18/2017 | G2920Y119 |
| — | GARNERO GROUP ACQUISIT-CW19 | 586,828 | $23,000 | 0.0% | $0.04 | $0.12 | — | *W EXP 06/24/201 | G5866L116 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $16,000 | 0.0% | $0.08 | $0.10 | — | *W EXP 11/23/202 | G0441P138 |
| — | AR CAPITAL ACQUISITION-CW19 | 205,173 | $14,000 | 0.0% | $0.07 | $0.23 | — | *W EXP 10/06/201 | 00191R117 |
| — | ORIGO ACQUISITION CORP-RTS | 75,000 | $11,000 | 0.0% | $0.15 | $0.15 | — | RIGHT 12/12/2016 | G67789134 |
| — | QUINPARIO ACQUISITION C-CW23 | 56,097 | $10,000 | 0.0% | $0.18 | $153.33 | — | *W EXP 01/01/202 | 74874U119 |
| — | SPDR S&P 500 ET 07/15/2016 204.00 | 10,000 | $8,000 | 0.0% | $0.80 | $0.80 | — | Put Options | 78462F953 |
| — | BARINGTON HILCO ACQUISITION | 55,823 | $8,000 | 0.0% | $0.14 | $0.17 | — | RIGHT 02/13/2017 | 06759V119 |
| — | COPSYNC INC | 30,000 | $8,000 | 0.0% | $0.27 | $0.50 | — | *W EXP 11/12/202 | 217712116 |
| — | ORIGO ACQUISITION COR. WT | 75,000 | $5,000 | 0.0% | $0.07 | $0.07 | — | *W EXP 12/17/202 | G67789118 |
| — | BARINGTON HILCO ACQUISITION | 55,823 | $4,000 | 0.0% | $0.07 | $0.11 | — | *W EXP 02/11/201 | 06759V127 |
| — | SPDR S&P 500 ET 07/15/2016 214.00 | 10,000 | $3,000 | 0.0% | $0.30 | $0.30 | — | Call Options | 78462F903 |
| — | ISHARES US REAL 07/15/2016 74.00 | 11,100 | $1,000 | 0.0% | $0.09 | $0.09 | — | Put Options | 464287959 |