CIK: 0001584639 · Show all filings
Period: Q3 2018 (← Previous) (Next →)
Filing Date: Nov 13, 2018
Total Value ($000): $527,081 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | ROCKWELL COLLINS INC | 281,726 | $39,574 | 7.5% | $135.36 | — | COM | 774341101 |
| — | REAVES UTIL INCOME FD | 931,189 | $28,550 | 5.4% | $30.94 | — | COM SH BEN INT | 756158101 |
| — | ALTABA INC | 379,600 | $25,858 | 4.9% | $58.60 | — | COM | 021346101 |
| — | CORNERSTONE STRATEGIC VALUE | 1,631,718 | $22,844 | 4.3% | $14.05 | — | COM | 21924B302 |
| FTV | FORTIVE CORP | 257,048 | $21,643 | 4.1% | $49.74 | 0.0% | COM | 34959J108 |
| FTV | FORTIVE CORP | 230,000 | $19,366 | 3.7% | $49.74 | 0.0% | Put | 34959J108 |
| — | AETNA INC NEW | 94,788 | $19,228 | 3.6% | $190.60 | — | COM | 00817Y108 |
| — | ANDEAVOR | 121,962 | $18,721 | 3.6% | $149.91 | — | COM | 03349M105 |
| NXPI | NXP SEMICONDUCTORS N V | 203,061 | $17,362 | 3.3% | $100.53 | -15.2% | COM | N6596X109 |
| — | PINNACLE ENTMT INC NEW | 461,474 | $15,547 | 2.9% | $32.67 | — | COM | 72348Y105 |
| — | CORNERSTONE TOTAL RTRN FD IN | 993,591 | $13,791 | 2.6% | $13.91 | — | COM | 21924U300 |
| — | IAC INTERACTIVECORP | 59,523 | $12,900 | 2.4% | $159.04 | — | COM | 44919P508 |
| — | PINNACLE FOODS INC DEL | 198,013 | $12,833 | 2.4% | $64.83 | — | COM | 72348P104 |
| — | GRAMERCY PPTY TR | 367,175 | $10,075 | 1.9% | $27.42 | — | COM NEW | 385002308 |
| — | TWENTY FIRST CENTY FOX INC | 178,500 | $8,270 | 1.6% | $46.33 | — | CL A | 90130A101 |
| — | NEVSUN RES LTD | 1,700,000 | $7,539 | 1.4% | $4.43 | — | COM | 64156L101 |
| T | AT&T INC | 223,829 | $7,516 | 1.4% | $14.48 | 0.0% | COM | 00206R102 |
| — | LASALLE HOTEL PPTYS | 213,576 | $7,388 | 1.4% | $34.59 | — | COM SH BEN INT | 517942108 |
| — | PURE ACQUISITION CORP | 700,000 | $7,263 | 1.4% | $10.25 | — | UNIT 04/13/2023 | 74621Q205 |
| — | ORBOTECH LTD | 119,260 | $7,089 | 1.3% | $60.49 | — | ORD | M75253100 |
| — | DISCOVERY INC | 228,153 | $6,749 | 1.3% | $21.20 | — | COM SER C | 25470F302 |
| — | KLX INC | 104,287 | $6,547 | 1.2% | $65.78 | — | COM | 482539103 |
| — | U S G CORP | 148,343 | $6,425 | 1.2% | $43.31 | — | COM NEW | 903293405 |
| — | PENSARE ACQUISITION CORP | 600,000 | $5,976 | 1.1% | $9.68 | — | COM | 70957E105 |
| — | GIGCAPITAL INC | 555,000 | $5,961 | 1.1% | $10.00 | — | UNIT 03/06/2025 | 37518N205 |
| — | SAFEGUARD SCIENTIFICS INC | 634,299 | $5,931 | 1.1% | $16.23 | — | COM NEW | 786449207 |
| — | EXPRESS SCRIPTS HLDG CO | 59,732 | $5,675 | 1.1% | $90.54 | — | COM | 30219G108 |
| — | FOREST CITY RLTY TR INC | 214,772 | $5,389 | 1.0% | $25.09 | — | COM CL A | 345605109 |
| — | LIFEPOINT HEALTH INC | 80,346 | $5,174 | 1.0% | $64.40 | — | COM | 53219L109 |
| — | INDUSTREA ACQUISITION CORP | 500,000 | $5,100 | 1.0% | $9.74 | — | CL A | 45579J104 |
| — | KAPSTONE PAPER & PACKAGING C | 147,800 | $5,012 | 1.0% | $34.43 | — | COM | 48562P103 |
| — | ROYCE VALUE TR INC | 302,095 | $4,939 | 0.9% | $15.72 | — | COM | 780910105 |
| — | ANCHOR BANCORP WA | 167,113 | $4,729 | 0.9% | $25.02 | — | COM | 032838104 |
| — | DUN & BRADSTREET CORP DEL NE | 32,644 | $4,652 | 0.9% | $142.51 | — | COM | 26483E100 |
| — | TRIBUNE MEDIA CO | 116,333 | $4,471 | 0.8% | $39.85 | — | CL A | 896047503 |
| — | THUNDER BRIDGE ACQUISITION L | 400,000 | $4,064 | 0.8% | $10.03 | — | UNIT 01/01/2025 | G8857R118 |
| — | KBL MERGER CORP IV | 400,000 | $4,040 | 0.8% | $9.72 | — | COM | 48242A104 |
| — | CM SEVEN STAR ACQUISITION CO | 400,000 | $4,032 | 0.8% | $9.65 | — | SHS | G2345N102 |
| — | CA INC | 90,000 | $3,974 | 0.8% | $44.16 | — | COM | 12673P105 |
| — | BLACK RIDGE ACQUISITION CORP | 396,000 | $3,889 | 0.7% | $9.68 | — | COM | 09216T107 |
| — | NEW YORK REIT INC | 210,725 | $3,823 | 0.7% | $21.51 | — | COM NEW | 64976L208 |
| — | TRINITY MERGER CORP | 371,868 | $3,817 | 0.7% | $10.06 | — | UNIT 05/11/2025 | 89653L205 |
| — | TKK SYMPHONY ACQUISITION COR | 372,000 | $3,767 | 0.7% | $10.13 | — | UNIT 08/15/2023 | G88950111 |
| — | MODERN MEDIA ACQUISITION | 360,000 | $3,636 | 0.7% | $9.77 | — | COM | 60765P103 |
| — | TORTOISE MLP FD INC | 220,811 | $3,551 | 0.7% | $16.63 | — | COM | 89148B101 |
| — | ENVISION HEALTHCARE CORP | 75,000 | $3,430 | 0.7% | $44.01 | — | COM | 29414D100 |
| — | CONVERGYS CORP | 134,100 | $3,184 | 0.6% | $23.74 | — | COM | 212485106 |
| — | DELL TECHNOLOGIES INC | 32,539 | $3,160 | 0.6% | $63.24 | — | COM CL V | 24703L103 |
| — | ASPEN INSURANCE HOLDINGS LTD | 75,000 | $3,135 | 0.6% | $41.80 | — | SHS | G05384105 |
| — | TWELVE SEAS INVESTMENT COMPA | 270,000 | $2,784 | 0.5% | $10.06 | — | UNIT 06/21/2023 | G9145A123 |
| — | UNION ACQUISITION CORP | 251,200 | $2,625 | 0.5% | $10.23 | — | UNIT 99/99/9999 | G9366W119 |
| STC | STEWART INFORMATION SVCS COR | 57,247 | $2,577 | 0.5% | $43.02 | +4.1% | COM | 860372101 |
| — | LF CAP ACQUISITION CORP | 250,000 | $2,538 | 0.5% | $10.07 | — | UNIT 06/19/2025 | 50200K207 |
| — | PHH CORP | 206,822 | $2,273 | 0.4% | $10.49 | — | COM NEW | 693320202 |
| L | LOEWS CORP | 43,398 | $2,180 | 0.4% | $44.92 | +8.1% | COM | 540424108 |
| — | LEISURE ACQUISITION CORP | 222,000 | $2,151 | 0.4% | $9.41 | — | COM | 52539T107 |
| — | GORDON POINTE ACQUISITION CO | 200,000 | $2,105 | 0.4% | $10.33 | — | UNIT 01/18/2023 | 382788206 |
| — | ALTRA INDL MOTION CORP | 50,000 | $2,065 | 0.4% | — | — | Put | 02208R106 |
| — | ALLEGRO MERGER CORP | 200,000 | $2,054 | 0.4% | $10.27 | — | UNIT 12/31/2023 | 01749N301 |
| — | TIBERIUS ACQUISITION CORP | 200,000 | $2,045 | 0.4% | $10.06 | — | UNIT 02/28/2021 | 88633A206 |
| — | MORGAN STANLEY INDIA INVS FD | 86,422 | $2,027 | 0.4% | $23.45 | — | COM | 61745C105 |
| — | DRAPER OAKWOOD TECHNOLOGY | 180,000 | $1,836 | 0.3% | $9.78 | — | COM CL A | 26146L103 |
| — | KMG CHEMICALS INC | 24,000 | $1,813 | 0.3% | $75.54 | — | COM | 482564101 |
| — | BARINGTON HILCO ACQUISITION | 160,000 | $1,738 | 0.3% | $10.16 | — | COM | 06759V101 |
| — | NXSTAGE MEDICAL INC | 61,721 | $1,721 | 0.3% | $25.68 | — | COM | 67072V103 |
| — | AV HOMES INC | 79,853 | $1,713 | 0.3% | $21.45 | — | COM | 00234P102 |
| — | BIG ROCK PARTNERS ACQUISI CO | 165,000 | $1,650 | 0.3% | $9.72 | — | COM | 089482103 |
| — | MUDRICK CAP ACQUISITION CORP | 150,000 | $1,544 | 0.3% | $10.22 | — | UNIT 02/01/2023 | 624745204 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 150,000 | $1,520 | 0.3% | $10.00 | — | CL A | G0726L125 |
| — | CONSTELLATION ALPHA CAP CORP | 150,000 | $1,518 | 0.3% | $9.73 | — | SHS | G2379F108 |
| — | HL ACQUISITIONS CORP | 144,000 | $1,476 | 0.3% | $10.06 | — | UNIT 06/21/2023 | G4603R114 |
| — | THUNDER BRIDGE ACQUISITION L | 150,000 | $1,457 | 0.3% | $9.71 | — | SHS CLASS A | G8857R100 |
| BKD | BROOKDALE SR LIVING INC | 137,900 | $1,356 | 0.3% | $12.96 | -29.0% | COM | 112463104 |
| — | OPES ACQUISITION CORP | 120,730 | $1,227 | 0.2% | $10.06 | — | UNIT 03/07/2023 | 68373P209 |
| — | FORUM MERGER II CORP | 120,000 | $1,213 | 0.2% | $10.11 | — | UNIT 09/30/2025 | 34986F202 |
| NXDT | NEXPOINT STRATEGIC OPORTUNT | 52,403 | $1,174 | 0.2% | $21.95 | — | COM NEW | 65340G205 |
| LILA | LIBERTY LATIN AMERICA LTD | 52,370 | $1,091 | 0.2% | $20.73 | -10.8% | COM CL A | G9001E102 |
| — | BISON CAP ACQUISITION CORP | 100,000 | $1,021 | 0.2% | $9.87 | — | ORD SHS | G1142P104 |
| — | HAYMAKER ACQUISITION CORP | 100,000 | $976 | 0.2% | $9.53 | — | COM CLASS A | 420870107 |
| — | INTEGRATED DEVICE TECHNOLOGY | 20,100 | $945 | 0.2% | $47.01 | — | COM | 458118106 |
| — | DEUTSCHE MULTI-MKT INCOME TR | 99,258 | $891 | 0.2% | $8.79 | — | SHS | 25160E102 |
| — | XCERRA CORP | 61,516 | $878 | 0.2% | $13.41 | — | COM | 98400J108 |
| LBTYAUSD | LIBERTY GLOBAL PLC | 29,200 | $845 | 0.2% | $31.56 | — | SHS CL A | G5480U104 |
| SVVC | FIRSTHAND TECH VALUE FD INC | 48,421 | $820 | 0.2% | $14.55 | +0.1% | COM | 33766Y100 |
| — | ABERDEEN EMRG MRKTS EQT INM | 113,153 | $776 | 0.1% | $7.28 | — | COM | 00301W105 |
| PFLT | PENNANTPARK FLOATING RATE CA | 54,334 | $714 | 0.1% | $5.05 | +19.7% | COM | 70806A106 |
| — | CONNECTICUT WTR SVC INC | 10,045 | $697 | 0.1% | $69.39 | — | COM | 207797101 |
| — | SPARTON CORP | 47,126 | $680 | 0.1% | $17.40 | — | COM | 847235108 |
| — | RITE AID CORP | 438,046 | $561 | 0.1% | $6.82 | — | COM | 767754104 |
| — | FGL HOLDINGS-CW21 Equity WRT | 270,000 | $532 | 0.1% | $1.97 | — | *W EXP 11/30/202 | G3402M110 |
| — | QIWI PLC | 40,000 | $527 | 0.1% | $17.00 | — | SPON ADR REP B | 74735M108 |
| — | NUVEEN BUILD AMER BD FD | 25,788 | $516 | 0.1% | $20.01 | — | COM | 67074C103 |
| — | LONGEVITY ACQUISITION CORP | 50,000 | $512 | 0.1% | $10.24 | — | UNIT 08/29/2024 | G56372108 |
| — | INDUSTREA ACQUISITION CORP | 426,220 | $426 | 0.1% | $0.42 | — | *W EXP 08/01/202 | 45579J112 |
| — | DEUTSCHE STRATEGIC INCOME TR | 28,984 | $364 | 0.1% | $12.32 | — | SHS | 25160F109 |
| — | MERRIMACK PHARMACEUTICALS IN | 66,934 | $357 | 0.1% | $11.04 | — | COM NEW | 590328209 |
| AXTA | AXALTA COATING SYS LTD | 11,100 | $324 | 0.1% | $31.67 | -5.3% | COM | G0750C108 |
| OFS | OFS CAP CORP | 24,572 | $292 | 0.1% | $14.52 | -17.6% | COM | 67103B100 |
| — | PENSARE ACQUISITION CORP | 600,000 | $270 | 0.1% | $0.40 | — | RIGHT 99/99/9999 | 70957E121 |
| — | COASTWAY BANCORP INC | 8,364 | $236 | 0.0% | $27.74 | — | COM | 190632109 |
| — | ENERGY XXI GULF COAST INC | 27,419 | $229 | 0.0% | $8.35 | — | COM | 29276K101 |
| — | CONVERGEONE HLDGS INC | 23,400 | $218 | 0.0% | $9.23 | — | COM CL A | 212481105 |
| — | LAZYDAYS HLDGS INC | 25,758 | $194 | 0.0% | $10.04 | — | COM | 52110H100 |
| — | KBL MERGER CORP IV | 400,000 | $184 | 0.0% | $0.29 | — | RIGHT 03/22/2019 | 48242A120 |
| — | CM SEVEN STAR ACQUISITION CO | 350,000 | $184 | 0.0% | $0.32 | — | RIGHT 08/21/2022 | G2345N136 |
| — | TIVO CORP | 14,000 | $174 | 0.0% | $13.57 | — | COM | 88870P106 |
| — | BLACK RIDGE ACQUISITION CORP | 396,000 | $174 | 0.0% | $0.33 | — | *W EXP 07/10/202 | 09216T115 |
| — | A H BELO CORP | 35,942 | $165 | 0.0% | $6.97 | — | COM CL A | 001282102 |
| — | PENSARE ACQUISITION CORP | 300,000 | $156 | 0.0% | $0.50 | — | *W EXP 07/27/202 | 70957E113 |
| — | BLACK RIDGE ACQUISITION CORP | 396,000 | $150 | 0.0% | $0.28 | — | RIGHT 07/10/2019 | 09216T123 |
| — | MODERN MEDIA ACQUISITION | 324,000 | $141 | 0.0% | $0.38 | — | RIGHT 99/99/9999 | 60765P129 |
| — | LEISURE ACQUISITION CORP | 111,000 | $130 | 0.0% | $0.99 | — | *W EXP 12/05/201 | 52539T115 |
| — | STEEL CONNECT INC | 54,804 | $117 | 0.0% | $2.12 | — | COM | 858098106 |
| — | NOVELION THERAPEUTICS INC | 36,428 | $108 | 0.0% | $10.73 | — | COM NEW | 67001K202 |
| — | MODERN MEDIA ACQUISITION | 180,000 | $104 | 0.0% | $0.36 | — | *W EXP 05/17/202 | 60765P111 |
| — | KBL MERGER CORP IV | 400,000 | $104 | 0.0% | $0.17 | — | *W EXP 01/15/202 | 48242A112 |
| HL | HECLA MNG CO | 36,412 | $102 | 0.0% | $2.94 | 0.0% | COM | 422704106 |
| — | MEDLEY MGMT INC | 18,508 | $97 | 0.0% | $5.24 | — | CL A COM | 58503T106 |
| — | INTERNATIONAL MNY EXPRESS IN | 40,600 | $95 | 0.0% | $2.34 | — | *W EXP 01/19/202 | 46005L119 |
| — | DRAPER OAKWOOD TECHNOLOGY | 180,000 | $92 | 0.0% | $0.52 | — | RIGHT 09/19/2018 | 26146L129 |
| — | CM SEVEN STAR ACQUISITION CO | 175,000 | $85 | 0.0% | $0.29 | — | *W EXP 08/21/202 | G2345N110 |
| — | SANOFI | 155,177 | $82 | 0.0% | $0.34 | — | RIGHT 12/31/2020 | 80105N113 |
| — | REALNETWORKS INC | 26,522 | $78 | 0.0% | $7.55 | — | COM NEW | 75605L708 |
| — | BIG ROCK PARTNERS ACQUISI CO | 165,000 | $77 | 0.0% | $0.41 | — | RIGHT 12/01/2022 | 089482129 |
| LUNA | LUNA INNOVATIONS | 19,516 | $63 | 0.0% | $1.53 | +131.6% | COM | 550351100 |
| — | HAYMAKER ACQUISITION CORP | 50,000 | $63 | 0.0% | $0.80 | — | *W EXP 10/27/202 | 420870115 |
| — | CONSTELLATION ALPHA CAP CORP | 150,000 | $60 | 0.0% | $0.35 | — | RIGHT 99/99/9999 | G2379F132 |
| — | ASSERTIO THERAPEUTICS INC | 10,100 | $59 | 0.0% | $5.84 | — | COM | 04545L107 |
| — | WRIGHT MED GROUP N V | 38,308 | $54 | 0.0% | $1.02 | — | RIGHT 03/01/2019 | N96617126 |
| — | BISON CAP ACQUISITION CORP | 100,000 | $53 | 0.0% | $0.38 | — | RIGHT 03/20/2019 | G1142P138 |
| — | DRAPER OAKWOOD TECHNOLOGY | 90,000 | $53 | 0.0% | $0.61 | — | *W EXP 09/19/202 | 26146L111 |
| — | ESTRE AMBIENTAL INC | 124,450 | $44 | 0.0% | $0.75 | — | *W EXP 12/21/202 | G3206V118 |
| — | LASALLE HOTEL PPTYS | 1,100 | $38 | 0.0% | $34.59 | — | Put | 517942108 |
| — | BIG ROCK PARTNERS ACQUISI CO | 82,500 | $34 | 0.0% | $0.46 | — | *W EXP 12/01/202 | 089482111 |
| — | CONSTELLATION ALPHA CAP CORP | 150,000 | $33 | 0.0% | $0.26 | — | *W EXP 03/23/202 | G2379F116 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 150,000 | $30 | 0.0% | $0.40 | — | *W EXP 10/07/202 | G0726L117 |
| — | BISON CAP ACQUISITION CORP | 50,000 | $25 | 0.0% | $0.36 | — | *W EXP 06/20/202 | G1142P112 |
| — | TRANS WORLD ENTMT CORP | 10,400 | $10 | 0.0% | $3.85 | — | COM | 89336Q100 |
| — | FRANKLIN LTD DURATION INCM T | 25,200 | $2 | 0.0% | $0.08 | — | RIGHT 10/18/2018 | 353793110 |