CIK: 0001584639 · Show all filings
Period: Q3 2017 (← Previous) (Next →)
Filing Date: Nov 14, 2017
Total Value ($000): $300,654 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | ALTABA INC | 618,101 | $40,943 | 13.6% | $54.48 | — | COM | 021346101 |
| — | TIME WARNER INC | 306,146 | $31,365 | 10.4% | $99.00 | — | COM NEW | 887317303 |
| — | BARD C R INC | 68,350 | $21,906 | 7.3% | $316.32 | — | COM | 067383109 |
| — | CORNERSTONE STRATEGIC VALUE | 992,811 | $14,704 | 4.9% | $14.85 | — | COM | 21924B302 |
| — | CORNERSTONE TOTAL RTRN FD IN | 798,667 | $11,684 | 3.9% | $14.63 | — | COM | 21924U300 |
| NXPI | NXP SEMICONDUCTORS N V | 89,710 | $10,145 | 3.4% | $91.64 | +8.2% | COM | N6596X109 |
| — | LEVEL 3 COMMUNICATIONS INC | 156,040 | $8,315 | 2.8% | $59.30 | — | COM NEW | 52729N308 |
| L | LOEWS CORP | 152,300 | $7,289 | 2.4% | $44.92 | +2.1% | COM | 540424108 |
| — | SAFEGUARD SCIENTIFICS INC | 464,436 | $6,200 | 2.1% | $18.08 | — | COM NEW | 786449207 |
| — | PENSARE ACQUISITION CORP | 600,000 | $5,805 | 1.9% | $9.68 | — | COM | 70957E105 |
| — | BOULEVARD ACQUISITION | 557,819 | $5,578 | 1.9% | $10.01 | — | CL A | 10157Q102 |
| — | NEW YORK REIT INC | 686,976 | $5,393 | 1.8% | $8.63 | — | COM | 64976L109 |
| — | INDUSTREA ACQUISITION CORP | 500,000 | $5,055 | 1.7% | $10.11 | — | UNIT 07/21/2024 | 45579J203 |
| HOMB | HOME BANCSHARES INC | 192,641 | $4,858 | 1.6% | $24.02 | 0.0% | COM | 436893200 |
| — | PACIFIC CONTINENTAL CORP | 174,614 | $4,706 | 1.6% | $24.50 | — | COM | 69412V108 |
| — | DIGITALGLOBE INC | 130,725 | $4,608 | 1.5% | $33.63 | — | COM NEW | 25389M877 |
| — | ANCHOR BANCORP WA | 185,813 | $4,599 | 1.5% | $25.02 | — | COM | 032838104 |
| — | TRIBUNE MEDIA CO | 110,667 | $4,522 | 1.5% | $39.77 | — | CL A | 896047503 |
| — | DOUBLE EAGLE ACQUISITION COR | 444,000 | $4,484 | 1.5% | $10.10 | — | COM | G28195124 |
| — | SOUTHWEST BANCORP INC OKLA | 150,983 | $4,160 | 1.4% | $26.43 | — | COM | 844767103 |
| — | MONSANTO CO NEW | 32,783 | $3,928 | 1.3% | $117.13 | — | COM | 61166W101 |
| — | KBL MERGER CORP IV | 400,000 | $3,888 | 1.3% | $9.72 | — | COM | 48242A104 |
| — | WESTAR ENERGY INC | 74,652 | $3,703 | 1.2% | $56.34 | — | COM | 95709T100 |
| — | MODERN MEDIA ACQUISITION | 360,000 | $3,519 | 1.2% | $9.77 | — | COM | 60765P103 |
| — | BROCADE COMMUNICATIONS SYS I | 285,528 | $3,412 | 1.1% | $12.21 | — | COM NEW | 111621306 |
| — | CAPITAL BK FINL CORP | 82,414 | $3,383 | 1.1% | $41.05 | — | CL A COM | 139794101 |
| — | VIACOM INC NEW | 113,970 | $3,173 | 1.1% | $30.99 | — | CL B | 92553P201 |
| — | BARINGTON HILCO ACQUISITION | 274,740 | $2,844 | 0.9% | $10.16 | — | COM | 06759V101 |
| — | DOWDUPONT INC | 39,800 | $2,755 | 0.9% | — | — | Call | 26078J100 |
| — | IAC INTERACTIVECORP | 22,136 | $2,603 | 0.9% | $117.59 | — | COM | 44919P508 |
| — | WEST CORP | 108,141 | $2,538 | 0.8% | $23.39 | — | COM | 952355204 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 226,798 | $2,531 | 0.8% | $11.16 | — | SH BEN INT | 18914E106 |
| — | ELECTRUM SPL ACQUISITION COR | 229,645 | $2,354 | 0.8% | $9.84 | — | SHS | G3105C104 |
| — | TURKISH INVT FD INC | 249,714 | $2,341 | 0.8% | $9.55 | — | COM | 900145103 |
| — | FORUM MERGER CORP | 234,000 | $2,276 | 0.8% | $9.73 | — | COM CL A | 34985B103 |
| — | CALPINE CORP | 135,300 | $1,996 | 0.7% | $14.75 | — | COM NEW | 131347304 |
| — | ANDINA ACQUISITION CORP II | 187,500 | $1,905 | 0.6% | $10.16 | — | SHS | G0441P104 |
| BKD | BROOKDALE SR LIVING INC | 179,500 | $1,903 | 0.6% | $12.96 | -2.4% | COM | 112463104 |
| — | DRAPER OAKWOOD TECHNOLOGY | 180,000 | $1,840 | 0.6% | $10.22 | — | UNIT 09/30/2024 | 26146L202 |
| — | ADVISORY BRD CO | 33,800 | $1,813 | 0.6% | $53.64 | — | COM | 00762W107 |
| — | VWR CORP | 53,252 | $1,763 | 0.6% | $33.11 | — | COM | 91843L103 |
| — | LIBERTY GLOBAL PLC | 71,197 | $1,692 | 0.6% | $23.14 | — | LILAC SHS CL A | G5480U138 |
| — | GENERAL COMMUNICATION INC | 40,284 | $1,643 | 0.5% | $36.64 | — | CL A | 369385109 |
| — | ASB BANCORP INC N C | 33,312 | $1,625 | 0.5% | $45.69 | — | COM | 00213T109 |
| — | CONSTELLATION ALPHA CAP CORP | 150,000 | $1,540 | 0.5% | $10.14 | — | UNIT 99/99/9999 | G2379F124 |
| LBTYAUSD | LIBERTY GLOBAL PLC | 45,147 | $1,531 | 0.5% | $32.29 | — | SHS CL A | G5480U104 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 150,000 | $1,500 | 0.5% | $10.00 | — | CL A | G0726L125 |
| FOR | FORESTAR GROUP INC | 85,050 | $1,463 | 0.5% | $17.19 | 0.0% | COM | 346232101 |
| — | ALERE INC | 28,197 | $1,438 | 0.5% | $50.19 | — | COM | 01449J105 |
| — | DELL TECHNOLOGIES INC | 17,539 | $1,354 | 0.5% | $47.81 | — | COM CL V | 24703L103 |
| — | ROCKWELL COLLINS INC | 10,000 | $1,307 | 0.4% | $130.70 | — | COM | 774341101 |
| COTY | COTY INC | 72,394 | $1,197 | 0.4% | $18.17 | -10.5% | COM CL A | 222070203 |
| — | RICE ENERGY INC | 40,000 | $1,158 | 0.4% | $28.95 | — | COM | 762760106 |
| — | RITE AID CORP | 537,946 | $1,054 | 0.4% | $6.82 | — | COM | 767754104 |
| — | QIWI PLC | 61,000 | $1,033 | 0.3% | $16.93 | — | SPON ADR REP B | 74735M108 |
| — | DISCOVERY COMMUNICATNS NEW | 48,333 | $1,029 | 0.3% | $26.95 | — | COM SER A | 25470F104 |
| — | BISON CAP ACQUISITION CORP | 100,000 | $1,027 | 0.3% | $10.20 | — | UNIT 99/99/9999T | G1142P120 |
| NXDT | NEXPOINT CR STRATEGIES FD | 43,463 | $1,002 | 0.3% | $21.78 | — | COM NEW | 65340G205 |
| — | SCICLONE PHARMACEUTICALS INC | 85,500 | $958 | 0.3% | $11.01 | — | COM | 80862K104 |
| — | XCERRA CORP | 95,919 | $945 | 0.3% | $9.77 | — | COM | 98400J108 |
| — | KITE PHARMA INC | 5,000 | $899 | 0.3% | $179.80 | — | COM | 49803L109 |
| — | FINTECH ACQUISITION CORP II | 81,200 | $853 | 0.3% | $10.20 | — | UNIT 99/99/9999 | 31810G208 |
| — | HSN INC | 20,842 | $814 | 0.3% | $39.06 | — | COM | 404303109 |
| — | NXSTAGE MEDICAL INC | 26,721 | $737 | 0.2% | $27.58 | — | COM | 67072V103 |
| — | VIACOM INC NEW | 20,000 | $734 | 0.2% | — | — | Put | 92553P102 |
| — | CLOUGH GLOBAL EQUITY FD | 50,658 | $672 | 0.2% | $12.64 | — | COM | 18914C100 |
| — | ROYAL BANCSHARES PA INC | 146,532 | $654 | 0.2% | $4.23 | — | CL A | 780081105 |
| PFLT | PENNANTPARK FLOATING RATE CA | 38,756 | $561 | 0.2% | $4.61 | +27.0% | COM | 70806A106 |
| — | WASHINGTONFIRST BANKSHARES I | 14,408 | $513 | 0.2% | $35.61 | — | COM | 940730104 |
| — | GABELLI EQUITY TR INC | 71,096 | $462 | 0.2% | $6.40 | — | COM | 362397101 |
| OFS | OFS CAP CORP | 33,072 | $436 | 0.1% | $14.52 | -7.0% | COM | 67103B100 |
| — | PARAGON COML CORP | 7,207 | $407 | 0.1% | $56.47 | — | COM NEW | 69911U403 |
| — | REAVES UTIL INCOME FD | 9,979 | $316 | 0.1% | $30.77 | — | COM SH BEN INT | 756158101 |
| — | DOUBLE EAGLE ACQUISITION COR | 444,000 | $306 | 0.1% | $0.69 | — | *W EXP 09/16/202 | G28195116 |
| — | DIVIDEND & INCOME FUND | 21,188 | $272 | 0.1% | $11.02 | — | COM NEW | 25538A204 |
| — | DELAWARE INVTS DIV & INCOME | 25,081 | $270 | 0.1% | $10.34 | — | COM | 245915103 |
| IYR | ISHARES TR | 3,276 | $262 | 0.1% | $79.98 | — | U.S. REAL ES ETF | 464287739 |
| — | NOVELION THERAPEUTICS INC | 36,428 | $256 | 0.1% | $10.73 | — | COM NEW | 67001K202 |
| SVVC | FIRSTHAND TECH VALUE FD INC | 30,064 | $241 | 0.1% | $18.00 | -56.5% | COM | 33766Y100 |
| — | PENSARE ACQUISITION CORP | 600,000 | $240 | 0.1% | $0.40 | — | RIGHT 99/99/9999 | 70957E121 |
| — | SYMANTEC CORP | 7,082 | $232 | 0.1% | $30.64 | — | COM | 871503108 |
| — | ADVENT CLAYMORE ENH GRW & IN | 26,775 | $231 | 0.1% | $8.69 | — | COM | 00765E104 |
| — | MERRIMACK PHARMACEUTICALS IN | 15,407 | $224 | 0.1% | $14.54 | — | COM NEW | 590328209 |
| — | LIBERTY ALL STAR EQUITY FD | 34,538 | $208 | 0.1% | $5.87 | — | SH BEN INT | 530158104 |
| — | A H BELO CORP | 35,942 | $165 | 0.1% | $6.97 | — | COM CL A | 001282102 |
| — | DOMINION DIAMOND CORP | 10,719 | $152 | 0.1% | $12.55 | — | COM | 257287102 |
| — | PENSARE ACQUISITION CORP | 300,000 | $150 | 0.0% | $0.50 | — | *W EXP 07/27/202 | 70957E113 |
| — | NEW IRELAND FUND INC | 10,000 | $137 | 0.0% | $13.70 | — | COM | 645673104 |
| TGNA | TEGNA INC | 10,000 | $133 | 0.0% | $15.37 | -12.7% | COM | 87901J105 |
| — | MODUSLINK GLOBAL SOLUTIONS I | 69,804 | $131 | 0.0% | $3.84 | — | COM NEW | 60786L206 |
| — | REALNETWORKS INC | 26,522 | $127 | 0.0% | $7.55 | — | COM NEW | 75605L708 |
| — | VIDEOCON D2H LTD | 14,125 | $126 | 0.0% | $12.61 | — | ADR | 92657J101 |
| — | MODERN MEDIA ACQUISITION | 324,000 | $120 | 0.0% | $0.38 | — | RIGHT 99/99/9999 | 60765P129 |
| — | KBL MERGER CORP IV | 400,000 | $116 | 0.0% | $0.29 | — | RIGHT 03/22/2019 | 48242A120 |
| — | BOULEVARD ACQUISITION | 124,450 | $111 | 0.0% | $0.72 | — | *W EXP 09/25/202 | 10157Q110 |
| — | ANDINA ACQUISITION CORP II | 187,500 | $111 | 0.0% | $0.59 | — | RIGHT 09/01/2017 | G0441P120 |
| — | MFS INVT GRADE MUN TR | 10,779 | $108 | 0.0% | $10.02 | — | SH BEN INT | 59318B108 |
| — | MODERN MEDIA ACQUISITION | 180,000 | $97 | 0.0% | $0.36 | — | *W EXP 05/17/202 | 60765P111 |
| — | DEPOMED INC | 15,100 | $87 | 0.0% | $12.58 | — | COM | 249908104 |
| — | FORUM MERGER CORP | 234,000 | $80 | 0.0% | $0.34 | — | RIGHT 06/01/2019 | 34985B129 |
| — | NEXTDECADE CORP | 75,000 | $70 | 0.0% | $0.93 | — | *W EXP 07/23/202 | 65342K113 |
| — | KBL MERGER CORP IV | 400,000 | $68 | 0.0% | $0.17 | — | *W EXP 01/15/202 | 48242A112 |
| — | ANDINA ACQUISITION CORP II | 187,500 | $68 | 0.0% | $0.36 | — | *W EXP 11/23/202 | G0441P138 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 150,000 | $60 | 0.0% | $0.40 | — | *W EXP 99/99/999 | G0726L117 |
| — | RENTECH INC | 131,249 | $60 | 0.0% | $4.31 | — | COM NEW | 760112201 |
| — | WRIGHT MED GROUP N V | 38,308 | $59 | 0.0% | $1.02 | — | RIGHT 03/01/2019 | N96617126 |
| LUNA | LUNA INNOVATIONS | 34,483 | $58 | 0.0% | $1.53 | -4.4% | COM | 550351100 |
| — | SANOFI | 155,177 | $56 | 0.0% | $0.34 | — | RIGHT 12/31/2020 | 80105N113 |
| — | FORUM MERGER CORP | 117,000 | $45 | 0.0% | $0.38 | — | *W EXP 06/01/202 | 34985B111 |
| — | REAVES UTIL INCOME FD | 80,504 | $30 | 0.0% | $0.37 | — | RIGHT 10/04/2017 | 756158135 |
| — | TRANS WORLD ENTMT CORP | 10,400 | $21 | 0.0% | $3.85 | — | COM | 89336Q100 |
| — | ENDOCYTE INC | 14,200 | $20 | 0.0% | $6.62 | — | COM | 29269A102 |
| — | SAMSON OIL & GAS LTD | 14,119 | $5 | 0.0% | $1.42 | — | SPON ADR NEW | 796043206 |