Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q4 2016 (← Previous) (Next →)
Filing Date: Feb 14, 2017
Total Value: $391M (98.3% shares, 1.7% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| STC | STEWART INFORMATION SERVICES | 1,019,318 | $46.97M | 12.0% | $46.08 * | $38.27 | +17.2% | COM | 860372101 |
| — | NEUBERGER BERMAN REAL ESTATE | 5,494,917 | $29.51M | 7.5% | $5.37 | $4.85 | — | COM | 64190A103 |
| — | NEW YORK REIT INC | 2,678,084 | $27.1M | 6.9% | $10.12 | $9.29 | — | COM | 64976L109 |
| — | VIRTUS TOTAL RETURN FD | 5,016,152 | $22.42M | 5.7% | $4.47 | $7.85 | — | COM | 92829A103 |
| — | SWISS HELVETIA FUND | 1,781,230 | $18.19M | 4.7% | $10.21 | $11.69 | — | COM | 870875101 |
| — | HILL INTERNATIONAL INC | 3,875,519 | $16.86M | 4.3% | $4.35 | $4.23 | — | COM | 431466101 |
| — | DEUTSCHE HIGH INCOME OPPORT | 1,012,392 | $14.59M | 3.7% | $14.41 | $13.30 | — | COM | 25158Y102 |
| — | ADVENT/CLAYMORE ENH GR & INC | 1,461,794 | $12.13M | 3.1% | $8.30 | $8.62 | — | COM | 00765E104 |
| — | MVC CAPITAL INC | 1,378,812 | $11.83M | 3.0% | $8.58 | $12.69 | — | COM | 553829102 |
| — | CLOUGH GLOBAL EQUITY FUND | 1,056,831 | $11.76M | 3.0% | $11.13 | $11.28 | — | COM | 18914C100 |
| — | JAPAN SMALLER CAPTLZTN FD INC | 1,164,976 | $11.33M | 2.9% | $9.72 | $10.13 | — | COM | 47109U104 |
| — | LAZARD GLOBAL TOT RT & INC | 816,828 | $11.22M | 2.9% | $13.74 | $13.48 | — | COM | 52106W103 |
| — | CUSHING RENAISSANCE FD | 598,826 | $10.41M | 2.7% | $17.38 | $15.28 | — | COM | 231647108 |
| — | PACHOLDER HIGH YIELD FUND | 1,429,253 | $10.29M | 2.6% | $7.20 | $6.71 | — | COM | 693742108 |
| — | PUTNAM HIGH INCOME SECURITIE | 1,207,014 | $9.898M | 2.5% | $8.20 | $7.97 | — | SHS BEN INT | 746779107 |
| — | FIRST TRUST ABERDEEN GLOBAL | 795,281 | $8.875M | 2.3% | $11.16 | $11.31 | — | COM SHR | 337319107 |
| — | TRI CONTL CORP COM | 313,691 | $6.917M | 1.8% | $22.05 | $11.64 | — | COM | 895436103 |
| — | STELLAR ACQUISITION III INC | 653,000 | $6.726M | 1.7% | $10.30 | $9.97 | — | UNIT 03/22/2022 | Y8172W123 |
| — | IMPERIAL HLDGS INC | 9,243,000 | $6.62M | 1.7% | $0.72 | $1.07 | — | NOTE 8.500% 2/1 | 452834AE4 |
| — | CENTRAL SECS CORP COM | 405,221 | $5.579M | 1.4% | $13.77 | $15.61 | — | COM | 155123102 |
| — | GREAT ELM CAP CORP | 470,056 | $5.485M | 1.4% | $11.67 | $11.67 | — | COM | 390320109 |
| — | LIBERTY ALL STAR EQUITY FD SH | 1,059,826 | $5.469M | 1.4% | $5.16 | $5.71 | — | SH BEN INT | 530158104 |
| — | JPMORGAN CHINA REGION FD INC | 338,204 | $5.27M | 1.3% | $15.58 | $15.78 | — | COM | 48126T104 |
| — | KOREA EQUITY FD INC | 674,051 | $4.995M | 1.3% | $7.41 | $8.09 | — | COM | 50063B104 |
| — | EMERGENT CAPITAL INC | 4,032,377 | $4.879M | 1.2% | $1.21 | $5.45 | — | COM | 29102N105 |
| — | WHEELER REAL ESTATE INVESTME | 2,584,730 | $4.394M | 1.1% | $1.70 | $1.96 | — | COM | 963025101 |
| — | CREDIT SUISSE ASSET MGMT INC | 1,339,089 | $4.232M | 1.1% | $3.16 | $3.07 | — | COM | 224916106 |
| — | M I ACQUISITION CORP | 390,000 | $3.962M | 1.0% | $10.16 | $10.02 | — | UNIT 99/99/9999 | 55304A203 |
| — | BLACKROCK DEBT STRAT FD INC | 336,619 | $3.817M | 1.0% | $11.34 | $11.34 | — | COM NEW | 09255R202 |
| — | BOULDER GROWTH & INCM FD INC | 426,605 | $3.814M | 1.0% | $8.94 | $7.58 | — | COM | 101507101 |
| — | DELAWARE ENHANCED GBL DIV & | 308,956 | $3.124M | 0.8% | $10.11 | $10.11 | — | COM | 246060107 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $3.095M | 0.8% | $10.32 | $10.02 | — | SHS | G68588105 |
| — | ABERDEEN SINGAPORE FD INC | 305,070 | $2.642M | 0.7% | $8.66 | $8.85 | — | COM | 003244100 |
| — | M III ACQUISITION CORP | 265,200 | $2.617M | 0.7% | $9.87 | $9.83 | — | UNIT 99/99/9999T | 55378T203 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 250,000 | $2.531M | 0.6% | $10.12 | $10.12 | — | UNIT | G0726L109 |
| — | CROSSROADS CAPITAL INC | 1,121,332 | $2.388M | 0.6% | $2.13 | $3.21 | — | COM | 227656105 |
| — | NEW IRELAND FUND INC | 188,323 | $2.254M | 0.6% | $11.97 | $11.99 | — | COM | 645673104 |
| — | MORGAN STANLEY ASIA PAC FD | 105,971 | $2.24M | 0.6% | $21.14 | $18.32 | — | COM | 61744U106 |
| SVVC | FIRSTHAND TECHNOLOGY VALUE | 278,489 | $2.136M | 0.5% | $7.67 * | $20.29 | -60.6% | COM | 33766Y100 |
| — | ADAMS EXPRESS COMPANY | 166,914 | $2.121M | 0.5% | $12.71 | $11.96 | — | COM | 006212104 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $1.999M | 0.5% | $9.93 | $9.69 | — | SHS | G0441P104 |
| — | DELAWARE INV DIVIDEND & INV | 193,447 | $1.93M | 0.5% | $9.98 | $9.97 | — | COM | 245915103 |
| — | HUNTER MARITIME ACQUISITION | 189,400 | $1.922M | 0.5% | $10.15 | $10.15 | — | UNIT | Y37828103 |
| — | ROYCE VALUE TRUST | 118,300 | $1.584M | 0.4% | $13.39 | $12.10 | — | COM | 780910105 |
| — | GENERAL AMERICAN INVESTORS | 48,808 | $1.522M | 0.4% | $31.18 | $36.71 | — | COM | 368802104 |
| — | ASIA TIGERS FUND INC | 144,450 | $1.323M | 0.3% | $9.16 | $9.63 | — | COM | 04516T105 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $1.018M | 0.3% | $10.18 | $10.04 | — | ORD SHS | G2920Y101 |
| EQS | EQUUS TOTAL RETURN INC | 497,162 | $999K | 0.3% | $2.01 * | $2.32 | -18.2% | COM | 294766100 |
| TGLS | TECNOGLASS INC | 72,748 | $891K | 0.2% | $12.25 * | $9.08 | +0.7% | SHS | G87264100 |
| — | DEUTSCHE MULTI-MARKET INCOME | 100,341 | $855K | 0.2% | $8.52 | $8.31 | — | SHS | 25160E102 |
| — | MORGAN STANLEY EMER MKTS FD | 56,083 | $739K | 0.2% | $13.18 | $13.18 | — | COM | 61744G107 |
| — | ELLSWORTH FUND INC | 77,045 | $637K | 0.2% | $8.27 | $7.75 | — | COM | 289074106 |
| COTY | COTY INC-CL A | 28,474 | $521K | 0.1% | $18.30 | $22.50 | -19.3% | COM CL A | 222070203 |
| — | BARINGTON HILCO ACQUISITION | 50,823 | $516K | 0.1% | $10.15 | $9.83 | — | COM | 06759V101 |
| — | QUINPARIO ACQUISITION CORP 2 | 51,097 | $508K | 0.1% | $9.94 | $9.83 | — | COM | 74874U101 |
| — | HERZFELD CARIBBEAN BASIN FD | 65,545 | $440K | 0.1% | $6.71 | $6.71 | — | COM | 42804T106 |
| — | FIRST TR ENHANCED EQTY INC | 31,633 | $427K | 0.1% | $13.50 | $13.50 | — | COM | 337318109 |
| — | VIVOPOWER INTERNATIONAL PLC | 59,990 | $330K | 0.1% | $5.50 | $5.50 | — | SHS | G9376R100 |
| — | GSV CAPITAL CORP | 63,225 | $318K | 0.1% | $5.03 | $9.37 | — | COM | 36191J101 |
| — | GDL FUND | 26,554 | $261K | 0.1% | $9.83 | $10.49 | — | COM | 361570104 |
| — | FRANKLIN UNVL TR | 36,790 | $246K | 0.1% | $6.69 | $6.69 | — | SH BEN INT | 355145103 |
| — | JETPAY CORP | 100,877 | $227K | 0.1% | $2.25 | $2.80 | — | COM | 477177109 |
| — | ORIGO ACQUISITION CORP | 20,085 | $209K | 0.1% | $10.41 | $10.41 | — | SHS | G67789126 |
| — | FRANKLIN LTD DURATION INC TR | 16,860 | $203K | 0.1% | $12.04 | $12.04 | — | COM | 35472T101 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $159K | 0.0% | $0.53 | $0.14 | — | RIGHT 03/15/2017 | G68588113 |
| — | E-COMPASS ACQUISITION CORP | 100,000 | $98,000 | 0.0% | $0.98 | $0.22 | — | RIGHT 02/18/2017 | G2920Y119 |
| — | PACIFIC SPECIAL ACQUISITION | 300,000 | $84,000 | 0.0% | $0.28 | $0.09 | — | *W EXP 10/20/202 | G68588121 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $79,000 | 0.0% | $0.39 | $0.23 | — | RIGHT 09/01/2017 | G0441P120 |
| — | HARMONY MERGER CORP-WARRANT | 200,000 | $70,000 | 0.0% | $0.35 | $0.30 | — | *W EXP 01/01/202 | 413247123 |
| — | ANDINA ACQUISITION CORP II | 201,285 | $54,000 | 0.0% | $0.27 | $0.10 | — | *W EXP 11/23/202 | G0441P138 |
| — | ELECTRUM SPL ACQUISITION COR | 151,020 | $42,000 | 0.0% | $0.28 | $0.22 | — | *W EXP 99/99/999 | G3105C112 |
| — | ORIGO ACQUISITION CORP-RTS | 75,000 | $32,000 | 0.0% | $0.43 | $0.15 | — | RIGHT 12/12/2016 | G67789134 |
| MFIN | MEDALLION FINL CORP | 10,000 | $30,000 | 0.0% | $3.00 | $4.72 | -36.4% | COM | 583928106 |
| — | ORIGO ACQUISITION COR. WT | 75,000 | $23,000 | 0.0% | $0.31 | $0.07 | — | *W EXP 12/17/202 | G67789118 |
| — | BARINGTON HILCO ACQUISITION | 50,823 | $13,000 | 0.0% | $0.26 | $0.17 | — | Rights | 06759V119 |
| — | QUINPARIO ACQUISITION C-CW23 | 51,097 | $10,000 | 0.0% | $0.20 | $153.33 | — | *W EXP 01/01/202 | 74874U119 |
| — | COPSYNC INC | 10,794 | $7,000 | 0.0% | $0.65 | $2.07 | — | COM NEW | 217712207 |
| — | BARINGTON HILCO ACQUISITION | 50,823 | $7,000 | 0.0% | $0.14 | $0.11 | — | *W EXP 02/11/201 | 06759V127 |
| — | ISHARES US REAL 1/20/2017 79.00 | 11,900 | $4,000 | 0.0% | $0.34 | $0.74 | — | Call Options | 464287909 |
| — | ISHARES US REAL 1/20/2017 73.00 | 11,900 | $2,000 | 0.0% | $0.17 | $0.09 | — | Put Options | 464287959 |
| — | COPSYNC INC | 10,794 | $1,000 | 0.0% | $0.09 | $0.50 | — | *W EXP 11/12/202 | 217712116 |