Location: Saddle Brook, NJ
CIK: 0001504304 · Show all filings
Period: Q1 2020 (← Previous) (Next →)
Filing Date: May 12, 2020
Total Value: $190M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | BRANDYWINE GLOBAL INCOME | 949,383 | $10M | 5.3% | $10.54 | $14.72 | — | Com | 10537L104 |
| — | CENTRAL SECS CORP COM | 339,471 | $8.765M | 4.6% | $25.82 | $21.85 | — | Com | 155123102 |
| — | GENERAL AMERICAN INVESTORS | 280,002 | $7.68M | 4.0% | $27.43 | $33.57 | — | Com | 368802104 |
| — | BOULDER GROWTH & INCM FD INC | 777,895 | $7.157M | 3.8% | $9.20 | $9.00 | — | Com | 101507101 |
| — | WESTERN ASSET CORPORATE LN FD | 896,529 | $6.364M | 3.4% | $7.10 | $9.23 | — | Com | 95790J102 |
| — | MORGAN STANLEY INDIA INVEST | 476,479 | $6.104M | 3.2% | $12.81 | $15.25 | — | Com | 61745C105 |
| — | SOURCE CAPITAL INC | 198,615 | $6.094M | 3.2% | $30.68 | $38.49 | — | Com | 836144105 |
| XVMMX | DELAWARE INV MINN MUNI II | 487,977 | $6.035M | 3.2% | $12.37 | $12.62 | — | Com | 24610V103 |
| CCIF | VERTICAL CAP INCOME FUND SHS B | 639,605 | $5.359M | 2.8% | $8.38 | $10.47 | — | Com | 92535C104 |
| — | RMR REAL ESTATE INCOME FUND COM | 485,566 | $4.927M | 2.6% | $10.15 | $10.91 | — | Com | 76970B101 |
| — | DIVIDEND AND INCOME FUND | 543,735 | $4.773M | 2.5% | $8.78 | $11.13 | — | Com | 25538A204 |
| — | ROYCE GLOBAL VALUE TR INC COM | 543,475 | $4.369M | 2.3% | $8.04 | $9.82 | — | Com | 78081T104 |
| — | TAIWAN FD INC | 248,352 | $4.085M | 2.2% | $16.45 | $20.41 | — | Com | 874036106 |
| — | EV FLOATING-RATE INCOME PLUS | 327,606 | $3.808M | 2.0% | $11.62 | $15.19 | — | Com | 278284104 |
| — | FORUM MERGER II CORPCL A | 357,243 | $3.677M | 1.9% | $10.29 | $10.09 | — | Com | 34986F103 |
| — | CF FIN ACQUISITION CORP CL A | 337,952 | $3.477M | 1.8% | $10.29 | $10.29 | — | Com | 12528N107 |
| — | GALILEO ACQUISITION CORP | 351,500 | $3.403M | 1.8% | $9.68 | $9.68 | — | Com | G3770A102 |
| — | DIAMONDPEAK HLDGS CORP COM CL A | 317,572 | $3.298M | 1.7% | $10.39 | $10.08 | — | Com | 25280H100 |
| — | Adams Nautal Resources | 366,524 | $3.038M | 1.6% | $8.29 | $16.15 | — | Com | 00548F105 |
| — | SUTTER ROCK CAP CORP COM | 482,207 | $2.824M | 1.5% | $5.86 | $5.99 | — | Com | 86944Q100 |
| — | LGL SYS ACQUISITION CORP UNIT | 266,346 | $2.682M | 1.4% | $10.07 | $10.20 | — | Unit | 50201G205 |
| — | TUSCAN HOLDINGS CORP II | 273,616 | $2.668M | 1.4% | $9.75 | $9.81 | — | Com | 90070A103 |
| — | JAPAN SMALLER CAPTLZTN FD INC | 364,423 | $2.569M | 1.4% | $7.05 | $10.04 | — | Com | 47109U104 |
| — | ADAMS EXPRESS COMPANY | 192,740 | $2.427M | 1.3% | $12.59 | $13.58 | — | Com | 006212104 |
| — | AMPLITUDE HEALTHCARE ACQ CLASS | 250,000 | $2.39M | 1.3% | $9.56 | $9.56 | — | Com | 03212A105 |
| — | PROPTECH ACQUISITION CORP UNIT | 229,500 | $2.281M | 1.2% | $9.94 | $10.24 | — | Units | 74349F200 |
| — | APEX TECHNOLOGY ACQUISITION | 220,000 | $2.233M | 1.2% | $10.15 | $10.19 | — | Units | 03768F201 |
| — | JUNIPER INDL HLDGS INC | 226,150 | $2.185M | 1.2% | $9.66 | $10.18 | — | Units | 48205G205 |
| — | LF CAP ACQUISITION | 203,225 | $2.084M | 1.1% | $10.25 | $9.90 | — | Com | 50200K108 |
| — | INVESCO HIGH INCOME TRUST | 131,781 | $1.886M | 1.0% | $14.31 | $13.18 | — | Com | 46131F101 |
| — | ACAMAR PARTNERS ACQUISITION CORP CL A | 191,292 | $1.886M | 1.0% | $9.86 | $9.72 | — | Com | 004285102 |
| — | HEALTHCARE MERGER CORP UNIT | 180,000 | $1.854M | 1.0% | $10.30 | $10.35 | — | Units | 42227L201 |
| XHNWX | PIONEER DIVERSIFIED HIGH INC | 175,010 | $1.835M | 1.0% | $10.49 | $13.95 | — | Com | 723653101 |
| RVPH | TENZING ACQUISTION | 173,120 | $1.821M | 1.0% | $10.52 | $10.30 | — | Com | G8708A116 |
| — | HIGHLAND GLOBAL ALLOCATION FD | 412,137 | $1.793M | 0.9% | $4.35 | $6.64 | — | Com | 43010T104 |
| TOTA | TOTTENHAM ACQUISTION | 169,281 | $1.777M | 0.9% | $10.50 | $10.35 | — | Com | G8959N106 |
| — | HILL INTL INC COM | 1,173,405 | $1.701M | 0.9% | $1.45 | $3.08 | — | Com | 431466101 |
| — | ANDINA ACQUISTION CORP III | 168,350 | $1.695M | 0.9% | $10.07 | $3.49 | — | Com | G04415108 |
| — | SOFTWARE ACQUISITION GRO CLASS A | 171,524 | $1.682M | 0.9% | $9.81 | $9.81 | — | Com | 83406B101 |
| — | FINSERV ACQUISITION CORP UNIT | 164,950 | $1.663M | 0.9% | $10.08 | $10.08 | — | Unit | 318085206 |
| — | WESTERN ASSET HI INC OPP | 377,371 | $1.585M | 0.8% | $4.20 | $4.75 | — | Com | 95766K109 |
| — | GORES HOLDINGS IV IN UTS EXP | 150,400 | $1.515M | 0.8% | $10.07 | $10.07 | — | Units | 382865202 |
| — | LANDCADIA HLDGS II INC CL A | 151,888 | $1.489M | 0.8% | $9.80 | $9.77 | — | Com | 51476X105 |
| BBDC | BARINGS BDC INC COM | 198,125 | $1.482M | 0.8% | $7.48 * | $5.26 | -0.5% | Com | 06759L103 |
| — | ABERDEEN ASIA PACIFIC INCOM FD | 432,108 | $1.459M | 0.8% | $3.38 | $4.13 | — | Com | 003009107 |
| — | GIGCAPITAL2 INC | 143,226 | $1.425M | 0.8% | $9.95 | $9.83 | — | Com | 375036100 |
| CCAP | CRESCENT CAP BDC INC | 143,003 | $1.379M | 0.7% | $9.64 * | $6.95 | 0.0% | Com | 225655109 |
| — | AMCI ACQUISITION CORP | 132,903 | $1.35M | 0.7% | $10.16 | $10.02 | — | Com | 00165R101 |
| — | PIVOTALINVESTMENT COIRP II | 135,379 | $1.348M | 0.7% | $9.96 | $10.16 | — | Units | 72582K209 |
| — | RMG ACQUISITION CORP | 118,398 | $1.175M | 0.6% | $9.92 | $9.98 | — | Com | 749641106 |
| — | GRIFFIN INL RLTY INC | 35,071 | $1.147M | 0.6% | $32.71 | $32.71 | — | Com | 398231100 |
| — | ASA GOLD AND PRECIOUS METALS | 107,569 | $1.109M | 0.6% | $10.31 | $10.31 | — | Com | G3156P103 |
| — | WESTERN ASST VARIABL RTE | 80,112 | $1.106M | 0.6% | $13.81 | $13.81 | — | Com | 957667108 |
| — | GARRISON CAP INC COM | 626,709 | $1.065M | 0.6% | $1.70 | $5.28 | — | Com | 366554103 |
| — | MVC CAPITAL INC | 242,311 | $1.059M | 0.6% | $4.37 | $12.69 | — | Com | 553829102 |
| — | CHP MERGER CORP | 105,000 | $1.038M | 0.5% | $9.89 | $10.17 | — | Units | 12558Y205 |
| — | SPARTAN ENERGY ACQUISITI CLASS A | 100,000 | $1.012M | 0.5% | $10.12 | $10.12 | — | Com | 846784106 |
| — | FRANKLIN UNIVERSAL TRUST | 158,848 | $971K | 0.5% | $6.11 | $7.32 | — | Com | 355145103 |
| — | GORDON POINTE ACQUISI | 90,834 | $963K | 0.5% | $10.60 | $10.56 | — | Com | 382788107 |
| — | SCHULTZE SPL PURP ACQUSTN CORP COM | 95,000 | $961K | 0.5% | $10.12 | $10.12 | — | Com | 80821R109 |
| XJEQX | ABERDEEN JAPAN EQUITY FD | 149,244 | $933K | 0.5% | $6.25 | $8.13 | — | Com | 00306J109 |
| — | CHURCHILL CAP CORP III | 90,000 | $900K | 0.5% | $10.00 | $10.00 | — | Com | 17144C203 |
| SPY | SPDR S&P 500 | 3,457 | $884K | 0.5% | $255.71 | $261.00 | — | Com | 78462F103 |
| — | FS KKR CAPITAL CORP COM | 288,713 | $865K | 0.5% | $3.00 | $5.95 | — | Com | 302635107 |
| TGNA | TEGNA INC | 79,340 | $862K | 0.5% | $10.86 * | $15.77 | +1.5% | Com | 87901J105 |
| — | ABERDEEN EMERGIONG MKT EQ | 161,825 | $838K | 0.4% | $5.18 | $6.42 | — | Com | 00301W105 |
| — | DMY TECHNOLOGY GR 27 UTS EXP 02/21/27 | 82,725 | $813K | 0.4% | $9.83 | $9.83 | — | Unit | 233253202 |
| LOAC | LONGEVITY ACQUISTION CORP | 77,386 | $810K | 0.4% | $10.47 | $10.12 | — | Com | G56372132 |
| SCPE/U | SC HEALTH CORP UNIT 99/99/9999 | 78,715 | $807K | 0.4% | $10.25 | $10.34 | — | Units | G78516302 |
| — | HAYMAKER ACQUISITIONCORP II | 75,959 | $743K | 0.4% | $9.78 | $9.90 | — | Com | 42087L101 |
| — | HANCOCK JOHN INV TRUST TAX ADV GLB SH | 130,822 | $655K | 0.3% | $5.01 | $7.07 | — | Com | 41013P749 |
| — | BROOKFIELD PPTY REIT INC CLASS A | 71,926 | $611K | 0.3% | $8.49 | $16.15 | — | Units | 11282X103 |
| — | NEW IRELAND FUND INC COM | 98,329 | $607K | 0.3% | $6.17 | $7.31 | — | Com | 645673104 |
| — | HOWARD HUGHES CORP | 12,000 | $606K | 0.3% | $50.50 | $114.08 | — | Com | 44267D107 |
| — | GRAF INDL CORP | 57,856 | $589K | 0.3% | $10.18 | $10.18 | — | Com | 384278107 |
| XPHDX | PIONEER FLOATING RATE CF | 68,505 | $524K | 0.3% | $7.65 | $7.65 | — | Com | 72369J102 |
| — | THL CR SR LN FD COM | 38,771 | $448K | 0.2% | $11.56 | $15.17 | — | Com | 87244R103 |
| — | HL ACQUISITION | 42,081 | $438K | 0.2% | $10.41 | $9.95 | — | Com | G4603R106 |
| — | HIGH INCOME SECS FD | 70,000 | $433K | 0.2% | $6.19 | $9.48 | — | Com | 42968F108 |
| — | SWISS HELVETIA FUND | 62,248 | $433K | 0.2% | $6.96 | $11.75 | — | Com | 870875101 |
| — | VOYA PRIME RATE CF | 111,790 | $415K | 0.2% | $3.71 | $3.71 | — | Com | 92913A100 |
| TPHS | TRINITY PLACE HOLDINGS INC | 228,523 | $410K | 0.2% | $1.79 * | $6.40 | -55.0% | Com | 89656D101 |
| — | FIRST TR HIGH INCOME L/S FD CO | 27,849 | $339K | 0.2% | $12.17 | $15.01 | — | Com | 33738E109 |
| — | ANDINA ACQUISITION CORP III UNITS | 31,300 | $319K | 0.2% | $10.19 | $10.17 | — | Units | G04415116 |
| — | CHANGE HEALTHCARE INC | 29,866 | $294K | 0.2% | $9.84 | $9.84 | — | Com | 15912K100 |
| — | EAGLE GRWTH & INCOME OPPTY FD | 22,624 | $240K | 0.1% | $10.61 | $17.03 | — | Com | 26958J105 |
| — | THL CREDIT INC | 80,055 | $212K | 0.1% | $2.65 | $2.65 | — | Com | 872438106 |
| — | MEGALITH FINL ACQUISITIO CLASS A | 16,500 | $170K | 0.1% | $10.30 | $10.30 | — | Com | 58518F109 |
| — | SC HEALTH CORP WTF WARRANTS EXP | 170,000 | $162K | 0.1% | $0.95 | $0.95 | — | Warrants | G78516401 |
| — | THUNDER BRDG ACQUISI UTS | 14,500 | $148K | 0.1% | $10.21 | $10.48 | — | Units | G8857S124 |
| — | DIAMONDPEAK HLDGS COR | 15,010 | $148K | 0.1% | $9.86 | $10.22 | — | Units | 25280H209 |
| — | FIRST TR SR FLTG RT INC FD 2 | 13,584 | $129K | 0.1% | $9.50 | $9.50 | — | Com | 33733U108 |
| — | GDL FUND/THE | 15,746 | $123K | 0.1% | $7.81 | $7.81 | — | Com | 361570104 |
| — | CRESCENT ACQUISITION CORP CL A | 12,500 | $123K | 0.1% | $9.84 | $9.84 | — | Com | 22564L105 |
| — | CHURCHILL CAP CORP II WT EXP | 64,419 | $106K | 0.1% | $1.65 | $1.44 | — | Warrants | 17143G114 |
| — | MEXICO FUND INC | 12,621 | $105K | 0.1% | $8.32 | $8.32 | — | Com | 592835102 |
| — | HENNESSY CAPITAL ACQUISI CLASS A | 10,200 | $103K | 0.1% | $10.10 | $10.10 | — | Com | 42589C104 |
| EQS | EQUUS TOTAL RETURN INC | 106,919 | $102K | 0.1% | $0.95 * | $2.32 | -32.3% | Com | 294766100 |
| — | VECTOIQ ACQUISTION CORP | 48,325 | $94,000 | 0.0% | $1.95 | $0.43 | — | Warrants | 92243N111 |
| — | LEGACY ACQUISITION CORP | 365,152 | $92,000 | 0.0% | $0.25 | $0.30 | — | Warrants | 524643111 |
| SHPSQ | GALILEO ACQUISITI 26 WTS WARRANTS | 351,500 | $88,000 | 0.0% | $0.25 | $0.25 | — | Warrants | G3770A110 |
| — | ATLAS TECHNICAL C 25 WTS WARRANTS | 118,700 | $85,000 | 0.0% | $0.72 | $0.72 | — | Warrants | 049430119 |
| — | INTL GNRL INSURANCE HLDNGS LTD WT EX | 132,500 | $57,000 | 0.0% | $0.43 | $0.43 | — | Warrants | G4809J114 |
| — | DIAMONDPEAK HLDGS CORP RED WT | 105,770 | $48,000 | 0.0% | $0.45 | $0.62 | — | Warrants | 25280H118 |
| — | SOFTWARE ACQUISIT 26 WTS | 85,762 | $47,000 | 0.0% | $0.55 | $0.55 | — | Warrants | 83406B119 |
| — | KBL MERGER CORP IV-RTS | 293,792 | $46,000 | 0.0% | $0.16 | $0.36 | — | Rights | 48242A120 |
| — | GIGCAPITAL2 INC W EXP 02/28/202 | 143,226 | $44,000 | 0.0% | $0.31 | $0.28 | — | Warrants | 375036118 |
| — | NETFIN ACQUISITIO 24 WTF WARRANTS | 103,700 | $40,000 | 0.0% | $0.39 | $0.39 | — | Warrants | G6455A115 |
| — | TUSCAN HLDGS CORP II | 177,747 | $38,000 | 0.0% | $0.21 | $0.40 | — | Warrants | 90070A111 |
| — | FORUM MERGER II CORPWT EXP 09/30/2025 | 134,189 | $36,000 | 0.0% | $0.27 | $0.45 | — | Warrants | 34986F111 |
| — | LF CAP ACQUISITION | 169,250 | $31,000 | 0.0% | $0.18 | $0.39 | — | Warrants | 50200K116 |
| — | ACAMAR PARTNERS ACQUISITION CORP WT | 63,751 | $30,000 | 0.0% | $0.47 | $0.74 | — | Warrants | 004285110 |
| — | RMG ACQUISITION CORP | 47,603 | $29,000 | 0.0% | $0.61 | $0.61 | — | Warants | 749641114 |
| — | WEALTHBRIDGE ACQUISITION LTD R | 63,438 | $29,000 | 0.0% | $0.46 | $0.18 | — | Rights | G4887W136 |
| — | HAYMAKER ACQUISITIONCORP II | 25,314 | $27,000 | 0.0% | $1.07 | $1.50 | — | Warrants | 42087L119 |
| — | CF FIN ACQUISITION CORP RED WT | 50,064 | $25,000 | 0.0% | $0.50 | $0.60 | — | Warrants | 12528N115 |
| — | ANDINA ACQUISITION CORP III | 168,350 | $24,000 | 0.0% | $0.14 | $0.34 | — | Rights | G04415132 |
| — | ALBERTON ACQUISITION CORP | 115,555 | $21,000 | 0.0% | $0.18 | $0.25 | — | Rights | G35006132 |
| — | LANDCADIA HLDGS II INC W EXP 05/09/202 | 50,628 | $20,000 | 0.0% | $0.40 | $0.77 | — | Warrants | 51476X113 |
| — | MUDRICK CAP ACQ. | 56,682 | $20,000 | 0.0% | $0.35 | $0.46 | — | Warrants | 624745113 |
| — | ALLEGRO MERGER CORP | 216,330 | $19,000 | 0.0% | $0.09 | $0.51 | — | Rights | 01749N129 |
| — | TRIDENT ACQUISITIONS CORP | 193,670 | $18,000 | 0.0% | $0.09 | $0.30 | — | Warrants | 89615T114 |
| SNAXW | ANDINA ACQUISITION CORP III | 166,350 | $17,000 | 0.0% | $0.10 | $0.20 | — | Warrants | G04415124 |
| — | MONOCLE ACQUISITION CORP WT 6/12/2024 | 55,000 | $17,000 | 0.0% | $0.31 | $0.37 | — | Warrants | 609754114 |
| — | KBL MERGER CORP IV-CW22 | 300,407 | $17,000 | 0.0% | $0.06 | $0.24 | — | Warrants | 48242A112 |
| — | GIGCAPITAL2 INC RIGHT 02/28/2026 | 143,226 | $16,000 | 0.0% | $0.11 | $0.29 | — | Rights | 375036126 |
| — | SCHULTZE SPL PURP ACQUISITION CORP WT | 72,500 | $16,000 | 0.0% | $0.22 | $0.38 | — | Warrants | 80821R117 |
| — | GRAF INDL CORP | 151,406 | $15,000 | 0.0% | $0.10 | $0.10 | — | Warrants | 384278115 |
| — | LONGEVITY ACQUISTION CORP | 100,315 | $15,000 | 0.0% | $0.15 | $0.21 | — | Rights | G56372124 |
| — | LONGEVITY ACQUISTION CORP | 121,215 | $13,000 | 0.0% | $0.11 | $0.16 | — | Warrants | G56372116 |
| — | 180 DEGREE CAP CORP COM | 10,000 | $13,000 | 0.0% | $1.30 | $1.30 | — | Com | 68235B109 |
| — | BIG ROCK PARTNERS ACQUISTION-RT | 120,302 | $11,000 | 0.0% | $0.09 | $0.35 | — | Rights | 089482129 |
| — | ALLEGRO MERGER CORP | 216,330 | $10,000 | 0.0% | $0.05 | $0.28 | — | Warrants | 01749N111 |
| — | AGBA ACQUISITION LTD RTS | 124,850 | $10,000 | 0.0% | $0.08 | $0.19 | — | Rights | G0120M125 |
| — | TUSCAN HOLDINGS C 26 WTS | 23,194 | $9,000 | 0.0% | $0.39 | $0.59 | — | Warrants | 90069K112 |
| — | WEALTHBRIDGE ACQUISITION LTD W | 63,438 | $8,000 | 0.0% | $0.13 | $0.07 | — | Warrants | G4887W128 |
| — | PROFICIENT ALPHA ACQUISITION CORP RT | 35,500 | $7,000 | 0.0% | $0.20 | $0.17 | — | Rights | 74317H121 |
| — | AGBA ACQUISITION LTD WT 5/10/24 | 124,850 | $7,000 | 0.0% | $0.06 | $0.08 | — | Warrants | G0120M117 |
| — | PENSARE ACQUISITION CORP | 30,000 | $4,000 | 0.0% | $0.13 | $0.13 | — | Rights | 70957E121 |
| — | HL ACQUISITION | 49,031 | $4,000 | 0.0% | $0.08 | $0.25 | — | Rights | G4603R130 |
| — | ALBERTON ACQUISITION CORP | 115,555 | $3,000 | 0.0% | $0.03 | $0.10 | — | Warrants | G35006124 |
| — | BIG ROCK PARTNERS ACQUISTION-CW22 | 53,793 | $3,000 | 0.0% | $0.06 | $0.37 | — | Warrants | 089482111 |
| — | GLORY STAR NEW ME 25 WTF WARRANTS | 42,082 | $3,000 | 0.0% | $0.07 | $0.07 | — | Warrants | G39973113 |
| — | TOTTENHAM ACQUISTION | 36,974 | $2,000 | 0.0% | $0.05 | $0.11 | — | Warrants | G8959N114 |
| — | TENZING ACQUISTION | 23,358 | $2,000 | 0.0% | $0.09 | $0.33 | — | Warrants | G8708A108 |
| — | PROFICIENT ALPHA ACQUISITION CORP WT | 36,100 | $2,000 | 0.0% | $0.06 | $0.14 | — | Warrants | 74317H113 |
| — | HL ACQUISITION | 49,031 | $2,000 | 0.0% | $0.04 | $0.32 | — | Warrants | G4603R122 |
| — | PENSARE ACQUISITION CORP | 21,154 | $1,000 | 0.0% | $0.05 | $0.63 | — | Warrants | 70957E113 |
| — | GREENLAND TECHNOLOGIES HLDG CORP WT | 24,700 | $0 | 0.0% | $0.00 | — | — | Warrants | G4095T115 |