Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q3 2016 (← Previous) (Next →)
Filing Date: Nov 14, 2016
Total Value: $444M (98.2% shares, 1.8% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| STC | STEWART INFORMATION SERVICES | 1,019,318 | $45.31M | 10.2% | $44.45 | $38.27 | +17.2% | COM | 860372101 |
| — | NUVEEN GLOBAL EQU INC FD | 2,753,299 | $32.87M | 7.4% | $11.94 | $11.13 | — | COM | 6706EH103 |
| — | NEUBERGER BERMAN REAL ESTATE | 5,698,062 | $32.42M | 7.3% | $5.69 | $4.85 | — | COM | 64190A103 |
| — | VIRTUS TOTAL RETURN FD | 5,016,152 | $23.78M | 5.4% | $4.74 | $7.85 | — | COM | 92829A103 |
| — | NEW YORK REIT INC | 2,463,293 | $22.54M | 5.1% | $9.15 | $9.22 | — | COM | 64976L109 |
| — | FIRST TRUST DIVIDEND AND INC | 2,190,168 | $19.95M | 4.5% | $9.11 | $8.49 | — | COM | 33731L100 |
| — | NUVEEN LONG/SHORT COMMODITY | 1,468,743 | $19.42M | 4.4% | $13.22 | $15.98 | — | COM | 670731108 |
| — | SWISS HELVETIA FUND | 1,700,751 | $18.18M | 4.1% | $10.69 | $11.76 | — | COM | 870875101 |
| — | HILL INTERNATIONAL INC | 3,875,519 | $17.87M | 4.0% | $4.61 | $4.23 | — | COM | 431466101 |
| — | DEUTSCHE HIGH INCOME OPPORT | 1,012,392 | $14.32M | 3.2% | $14.15 | $13.30 | — | COM | 25158Y102 |
| — | LAZARD GLOBAL TOT RT & INC | 887,641 | $12.4M | 2.8% | $13.97 | $13.48 | — | COM | 52106W103 |
| — | ADVENT/CLAYMORE ENH GR & INC | 1,461,794 | $12.21M | 2.8% | $8.35 | $8.62 | — | COM | 00765E104 |
| — | EMERGENT CAPITAL INC | 4,032,377 | $11.81M | 2.7% | $2.93 | $5.45 | — | COM | 29102N105 |
| — | MVC CAPITAL INC | 1,378,812 | $11.43M | 2.6% | $8.29 | $12.69 | — | COM | 553829102 |
| — | CUSHING RENAISSANCE FD | 635,722 | $10.51M | 2.4% | $16.53 | $15.28 | — | COM | 231647108 |
| — | PACHOLDER HIGH YIELD FUND | 1,312,701 | $9.359M | 2.1% | $7.13 | $6.67 | — | COM | 693742108 |
| — | FIRST TRUST ABERDEEN GLOBAL | 768,304 | $9.051M | 2.0% | $11.78 | $11.32 | — | COM SHR | 337319107 |
| — | CLOUGH GLOBAL EQUITY FUND | 773,418 | $8.781M | 2.0% | $11.35 | $11.33 | — | COM | 18914C100 |
| — | IMPERIAL HLDGS INC | 9,243,000 | $8.082M | 1.8% | $0.87 | $1.07 | — | NOTE 8.500% 2/1 | 452834AE4 |
| — | TRI CONTL CORP COM | 313,691 | $6.707M | 1.5% | $21.38 | $11.64 | — | COM | 895436103 |
| — | WHEELER REAL ESTATE INVESTME | 3,746,911 | $6.557M | 1.5% | $1.75 | $1.96 | — | COM | 963025101 |
| — | STELLAR ACQUISITION III INC | 653,000 | $6.51M | 1.5% | $9.97 | $9.97 | — | UNIT 03/22/2022 | Y8172W123 |
| — | GENERAL AMERICAN INVESTORS | 189,259 | $6.179M | 1.4% | $32.65 | $36.71 | — | COM | 368802104 |
| — | NUVEEN DIVERSIFIED COMMODITY | 621,807 | $5.64M | 1.3% | $9.07 | $11.03 | — | COM | 67074P104 |
| — | DEUTSCHE HIGH INCOME TRUST | 496,077 | $4.818M | 1.1% | $9.71 | $9.59 | — | SHS | 25155R100 |
| — | JAPAN SMALLER CAPTLZTN FD INC | 444,626 | $4.792M | 1.1% | $10.78 | $10.78 | — | COM | 47109U104 |
| — | KOREA EQUITY FD INC | 555,167 | $4.756M | 1.1% | $8.57 | $8.23 | — | COM | 50063B104 |
| — | FULL CIRCLE CAP CORP | 1,752,062 | $4.625M | 1.0% | $2.64 | $3.40 | — | COM | 359671104 |
| — | PUTNAM HIGH INCOME SECURITIE | 566,995 | $4.547M | 1.0% | $8.02 | $7.71 | — | SHS BEN INT | 746779107 |
| — | LIBERTY ALL STAR EQUITY FD SH | 851,229 | $4.409M | 1.0% | $5.18 | $5.85 | — | Common Stock | 530158104 |
| — | AROWANA INC | 400,000 | $4.076M | 0.9% | $10.19 | $9.97 | — | SHS | G05011104 |
| — | M I ACQUISITION CORP | 390,000 | $3.908M | 0.9% | $10.02 | $10.02 | — | UNIT 99/99/9999 | 55304A203 |
| — | BOULDER GROWTH & INCM FD INC | 426,605 | $3.575M | 0.8% | $8.38 | $7.58 | — | COM | 101507101 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $3.075M | 0.7% | $10.25 | $10.02 | — | SHS | G68588105 |
| — | CENTRAL SECS CORP COM | 137,645 | $2.924M | 0.7% | $21.24 | $19.20 | — | COM | 155123102 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 315,041 | $2.473M | 0.6% | $7.85 * | $20.29 | -64.3% | COM | 33766Y100 |
| — | CROSSROADS CAPITAL INC | 1,121,032 | $2.309M | 0.5% | $2.06 | $3.21 | — | COM | 227656105 |
| — | JPMORGAN CHINA REGION FD INC | 132,784 | $2.288M | 0.5% | $17.23 | $16.08 | — | COM | 48126T104 |
| — | ADAMS EXPRESS COMPANY | 166,914 | $2.195M | 0.5% | $13.15 | $11.96 | — | COM | 006212104 |
| — | CREDIT SUISSE ASSET MGMT INC | 669,142 | $2.101M | 0.5% | $3.14 | $2.98 | — | COM | 224916106 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $1.989M | 0.4% | $9.88 | $9.69 | — | SHS | G0441P104 |
| — | M III ACQUISITION CORP | 165,000 | $1.617M | 0.4% | $9.80 | $9.80 | — | UNIT 99/99/9999T | 55378T203 |
| — | ROYCE VALUE TRUST | 88,300 | $1.118M | 0.3% | $12.66 | $11.66 | — | COM | 780910105 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $1.024M | 0.2% | $10.24 | $10.04 | — | ORD SHS | G2920Y101 |
| EQS | EQUUS TOTAL RETURN INC | 497,162 | $925K | 0.2% | $1.86 * | $2.32 | -26.1% | COM | 294766100 |
| TGLS | TECNOGLASS INC | 72,748 | $876K | 0.2% | $12.04 * | $9.08 | 0.0% | SHS | G87264100 |
| — | ABERDEEN SINGAPORE FD INC | 93,379 | $875K | 0.2% | $9.37 | $9.29 | — | COM | 003244100 |
| — | ASIA TIGERS FUND INC | 82,840 | $833K | 0.2% | $10.06 | $9.97 | — | COM | 04516T105 |
| — | MORGAN STANLEY ASIA PAC FD | 49,443 | $746K | 0.2% | $15.09 | $15.09 | — | COM | 61744U106 |
| — | DEUTSCHE MULTI-MARKET INCOME | 71,219 | $609K | 0.1% | $8.55 | $8.23 | — | SHS | 25160E102 |
| COTY | COTY INC-CL A | 25,000 | $588K | 0.1% | $23.52 | $23.11 | 0.0% | COM CL A | 222070203 |
| — | BARINGTON HILCO ACQUISITION | 50,823 | $512K | 0.1% | $10.07 | $9.83 | — | COM | 06759V101 |
| — | QUINPARIO ACQUISITION CORP 2 | 51,097 | $506K | 0.1% | $9.90 | $9.83 | — | COM | 74874U101 |
| — | JETPAY CORP | 144,207 | $388K | 0.1% | $2.69 | $2.80 | — | COM | 477177109 |
| — | GSV CAPITAL CORP | 80,704 | $381K | 0.1% | $4.72 | $9.37 | — | COM | 36191J101 |
| — | GDL FUND | 28,598 | $284K | 0.1% | $9.93 | $10.49 | — | COM | 361570104 |
| — | ELLSWORTH FUND INC | 34,123 | $279K | 0.1% | $8.18 | $7.09 | — | COM | 289074106 |
| — | ATLANTIC ALLIANCE PARTNER CO | 20,000 | $210K | 0.0% | $10.50 | $10.45 | — | SHS | G04897107 |
| — | NEW IRELAND FUND INC | 13,985 | $171K | 0.0% | $12.23 | $12.23 | — | COM | 645673104 |
| — | DELAWARE INV DIVIDEND & INV | 14,049 | $139K | 0.0% | $9.89 | $9.89 | — | COM | 245915103 |
| — | HARMONY MERGER CORP-WARRANT | 200,918 | $110K | 0.0% | $0.55 | $0.30 | — | *W EXP 01/01/202 | 413247123 |
| — | AROWANA INC | 400,000 | $74,000 | 0.0% | $0.18 | $0.23 | — | RIGHT 01/01/2017 | G05011120 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $61,000 | 0.0% | $0.20 | $0.14 | — | RIGHT 03/15/2017 | G68588113 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $56,000 | 0.0% | $0.28 | $0.23 | — | RIGHT 09/01/2017 | G0441P120 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $55,000 | 0.0% | $0.55 | $0.22 | — | RIGHT 02/18/2017 | G2920Y119 |
| — | CHINA LENDING CORP | 251,050 | $50,000 | 0.0% | $0.20 | $0.20 | — | *W EXP 03/30/202 | G21612117 |
| — | ELECTRUM SPL ACQUISITION COR | 151,020 | $44,000 | 0.0% | $0.29 | $0.22 | — | *W EXP 99/99/999 | G3105C112 |
| MFIN | MEDALLION FINL CORP | 10,000 | $42,000 | 0.0% | $4.20 * | $4.72 | 0.0% | COM | 583928106 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $40,000 | 0.0% | $0.13 | $0.09 | — | *W EXP 10/20/202 | G68588121 |
| — | AROWANA INC | 400,000 | $39,000 | 0.0% | $0.10 | $0.08 | — | *W EXP 04/29/202 | G05011112 |
| — | TERRAPIN 3 ACQUISITION-CW19 | 200,000 | $36,000 | 0.0% | $0.18 | $0.31 | — | Warrants | 88104P112 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $32,000 | 0.0% | $0.16 | $0.10 | — | *W EXP 11/23/202 | G0441P138 |
| — | COPSYNC INC | 30,000 | $21,000 | 0.0% | $0.70 | $2.07 | — | COM NEW | 217712207 |
| — | GORES HOLDINGS INC | 21,500 | $19,000 | 0.0% | $0.88 | $0.25 | — | *W EXP 08/13/202 | 382866119 |
| — | ORIGO ACQUISITION CORP-RTS | 75,000 | $14,000 | 0.0% | $0.19 | $0.15 | — | RIGHT 12/12/2016 | G67789134 |
| — | ISHARES US REAL 10/21/2016 82.00 | 25,000 | $13,000 | 0.0% | $0.52 | $0.74 | — | Call Options | 464287909 |
| — | SPDR S&P 500 ET 10/21/2016 209.00 | 16,000 | $12,000 | 0.0% | $0.75 | $0.78 | — | Put Options | 78462F953 |
| — | AR CAPITAL ACQUISITION-CW19 | 200,173 | $12,000 | 0.0% | $0.06 | $0.23 | — | *W EXP 10/06/201 | 00191R117 |
| — | QUINPARIO ACQUISITION C-CW23 | 51,097 | $9,000 | 0.0% | $0.18 | $153.33 | — | *W EXP 01/01/202 | 74874U119 |
| — | ORIGO ACQUISITION COR. WT | 75,000 | $8,000 | 0.0% | $0.11 | $0.07 | — | *W EXP 12/17/202 | G67789118 |
| — | BARINGTON HILCO ACQUISITION | 50,823 | $8,000 | 0.0% | $0.16 | $0.17 | — | Rights | 06759V119 |
| — | BARINGTON HILCO ACQUISITION | 50,823 | $5,000 | 0.0% | $0.10 | $0.11 | — | *W EXP 02/11/201 | 06759V127 |
| — | COPSYNC INC | 30,000 | $3,000 | 0.0% | $0.10 | $0.50 | — | *W EXP 11/12/202 | 217712116 |
| — | ISHARES US REAL 10/21/2016 72.00 | 12,800 | $1,000 | 0.0% | $0.08 | $0.09 | — | Put Options | 464287959 |