CIK: 0001584639 · Show all filings
Period: Q3 2019 (← Previous) (Next →)
Filing Date: Nov 13, 2019
Total Value ($000): $340,796 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | ALTABA INC | 1,124,436 | $21,904 | 6.4% | $62.39 | — | COM | 021346101 |
| — | CELGENE CORP | 200,820 | $19,941 | 5.9% | $93.47 | — | COM | 151020104 |
| — | BUCKEYE PARTNERS L P | 463,750 | $19,055 | 5.6% | $41.08 | — | UNIT LTD PARTN | 118230101 |
| — | ALLERGAN PLC | 85,865 | $14,450 | 4.2% | $167.88 | — | SHS | G0177J108 |
| — | CORNERSTONE STRATEGIC VALUE | 1,157,611 | $13,150 | 3.9% | $14.05 | — | COM | 21924B302 |
| — | MELLANOX TECHNOLOGIES LTD | 92,900 | $10,181 | 3.0% | $113.65 | — | SHS | M51363113 |
| — | ZAYO GROUP HLDGS INC | 289,940 | $9,829 | 2.9% | $33.38 | — | COM | 98919V105 |
| — | WABCO HLDGS INC | 70,861 | $9,478 | 2.8% | $132.74 | — | COM | 92927K102 |
| — | SAFEGUARD SCIENTIFICS INC | 835,243 | $9,472 | 2.8% | $14.50 | — | COM NEW | 786449207 |
| — | VERSUM MATLS INC | 160,750 | $8,508 | 2.5% | $51.58 | — | COM | 92532W103 |
| — | CORNERSTONE TOTAL RTRN FD IN | 744,116 | $8,178 | 2.4% | $13.91 | — | COM | 21924U300 |
| — | IAC INTERACTIVECORP | 34,350 | $7,487 | 2.2% | $180.24 | — | COM | 44919P508 |
| — | PURE ACQUISITION CORP | 699,998 | $7,175 | 2.1% | $10.25 | — | CL A | 74621Q106 |
| — | DISCOVERY INC | 284,192 | $6,997 | 2.1% | $24.92 | — | COM SER C | 25470F302 |
| NXDT | NEXPOINT STRATEGIC OPORTUNT | 370,718 | $6,647 | 2.0% | $19.25 | — | COM NEW | 65340G205 |
| YTRA | YATRA ONLINE INC | 1,447,940 | $5,966 | 1.8% | $4.14 | 0.0% | ORD SHS | G98338109 |
| — | ADVANCED DISP SVCS INC DEL | 178,942 | $5,828 | 1.7% | $32.57 | — | COM | 00790X101 |
| — | GENESEE & WYO INC | 46,515 | $5,140 | 1.5% | $110.50 | — | CL A | 371559105 |
| — | NETFIN ACQUISITION CORP | 500,000 | $5,045 | 1.5% | $10.09 | — | UNIT 08/01/2024 | G6455A123 |
| — | GIGCAPITAL INC | 408,750 | $4,261 | 1.3% | $10.20 | — | COM | 37518N106 |
| — | GIGCAPITAL2 INC | 411,315 | $4,237 | 1.2% | $10.04 | — | UNIT 02/28/2026 | 375036209 |
| — | KBL MERGER CORP IV | 400,000 | $4,210 | 1.2% | $9.72 | — | COM | 48242A104 |
| — | MONOCLE ACQUISITION CORP | 400,000 | $4,176 | 1.2% | $10.08 | — | UNIT 99/99/9999 | 609754205 |
| — | TRINITY MERGER CORP | 371,868 | $3,882 | 1.1% | $10.44 | — | COM CL A | 89653L106 |
| — | TKK SYMPHONY ACQUISITION COR | 372,000 | $3,787 | 1.1% | $10.18 | — | ORD SHS | G88950103 |
| — | DNB FINL CORP | 75,444 | $3,358 | 1.0% | $44.51 | — | COM | 233237106 |
| STC | STEWART INFORMATION SVCS COR | 80,566 | $3,125 | 0.9% | $42.83 | -13.1% | COM | 860372101 |
| — | LIBERTY GLOBAL PLC | 127,233 | $3,027 | 0.9% | $23.79 | — | SHS CL C | G5480U120 |
| — | TWELVE SEAS INVESTMENT COMPA | 270,000 | $2,765 | 0.8% | $10.16 | — | SHS | G9145A107 |
| — | PROFICIENT ALPHA ACQUSTN COR | 275,000 | $2,750 | 0.8% | $10.05 | — | UNIT 04/30/2026 | 74317H204 |
| OXY | OCCIDENTAL PETE CORP | 59,999 | $2,668 | 0.8% | $41.72 | 0.0% | COM | 674599105 |
| — | LF CAP ACQUISITION CORP | 250,000 | $2,647 | 0.8% | $10.07 | — | UNIT 06/19/2025 | 50200K207 |
| ELAN | ELANCO ANIMAL HEALTH INC | 95,757 | $2,546 | 0.7% | $30.46 | -1.5% | COM | 28414H103 |
| — | TUSCAN HLDGS CORP II | 247,080 | $2,483 | 0.7% | $10.05 | — | UNIT 04/01/2026 | 90070A202 |
| — | GRAF INDL CORP | 240,000 | $2,472 | 0.7% | $10.01 | — | UNIT 12/31/2025 | 384278206 |
| — | NII HLDGS INC | 1,244,708 | $2,440 | 0.7% | $1.96 | — | COM PAR | 62913F508 |
| — | TUSCAN HOLDINGS CORP | 225,000 | $2,405 | 0.7% | $10.43 | — | UNIT 99/99/9999 | 90069K203 |
| — | SPARK THERAPEUTICS INC | 24,400 | $2,366 | 0.7% | $102.38 | — | COM | 84652J103 |
| — | LEISURE ACQUISITION CORP | 222,000 | $2,269 | 0.7% | $9.41 | — | COM | 52539T107 |
| — | TIBERIUS ACQUISITION CORP | 200,000 | $2,260 | 0.7% | $10.06 | — | UNIT 02/28/2021 | 88633A206 |
| — | SCHULTZE SPL PURP ACQUSTN CO | 213,333 | $2,208 | 0.6% | $9.96 | — | UNIT 12/31/2023 | 80821R208 |
| — | EL PASO ELEC CO | 32,714 | $2,194 | 0.6% | $65.89 | — | COM NEW | 283677854 |
| — | ALLEGRO MERGER CORP | 200,000 | $2,114 | 0.6% | $10.27 | — | UNIT 12/31/2023 | 01749N301 |
| — | GORDON POINTE ACQUISITION CO | 200,000 | $2,094 | 0.6% | $10.47 | — | COM CLASS A | 382788107 |
| — | GX ACQUISITION CORP | 187,000 | $2,074 | 0.6% | $10.05 | — | UNIT 05/24/2026 | 36251A206 |
| FOXA | FOX CORP | 64,272 | $2,027 | 0.6% | $35.41 | -10.3% | CL A COM | 35137L105 |
| L | LOEWS CORP | 38,398 | $1,977 | 0.6% | $45.06 | +11.5% | COM | 540424108 |
| — | ALDER BIOPHARMACEUTICALS INC | 100,500 | $1,895 | 0.6% | $18.86 | — | COM | 014339105 |
| — | ENTEGRA FINL CORP | 59,111 | $1,776 | 0.5% | $30.11 | — | COM | 29363J108 |
| — | REAVES UTIL INCOME FD | 48,027 | $1,763 | 0.5% | $30.94 | — | COM SH BEN INT | 756158101 |
| — | BIG ROCK PARTNERS ACQUISI CO | 165,000 | $1,746 | 0.5% | $9.72 | — | COM | 089482103 |
| — | TORTOISE MIDSTRM ENERGY FD I | 140,197 | $1,723 | 0.5% | $16.63 | — | COM | 89148B101 |
| — | FINTECH ACQUISITION CORP III | 160,000 | $1,709 | 0.5% | $10.00 | — | UNIT 12/01/2023 | 31811A309 |
| BABA | ALIBABA GROUP HLDG LTD | 10,000 | $1,672 | 0.5% | $167.20 | — | SPONSORED ADS | 01609W102 |
| — | TRINE ACQUISITION CORP | 160,000 | $1,656 | 0.5% | $10.02 | — | UNIT 03/31/2021 | 89628U207 |
| — | MUDRICK CAP ACQUISITION CORP | 150,000 | $1,628 | 0.5% | $10.22 | — | UNIT 02/01/2023 | 624745204 |
| — | NIELSEN HLDGS PLC | 75,000 | $1,594 | 0.5% | $22.23 | — | SHS EUR | G6518L108 |
| — | GREENLAND ACQUISITIN CORPORA | 149,718 | $1,550 | 0.5% | $10.35 | — | SHS | G40981139 |
| — | HL ACQUISITIONS CORP | 144,000 | $1,532 | 0.4% | $10.06 | — | UNIT 06/21/2023 | G4603R114 |
| — | THUNDER BRDG ACQUISTION II L | 150,000 | $1,527 | 0.4% | $10.18 | — | UNIT 99/99/9999 | G8857S124 |
| — | STEWARDSHIP FINL CORP | 97,000 | $1,513 | 0.4% | $15.46 | — | COM | 860326107 |
| — | HERTZ GLOBAL HLDGS INC | 106,506 | $1,474 | 0.4% | $13.84 | — | COM | 42806J106 |
| — | HEALTH INS INNOVATIONS INC | 57,739 | $1,439 | 0.4% | $24.92 | — | COM CL A | 42225K106 |
| — | MSG NETWORK INC | 81,000 | $1,353 | 0.4% | $16.70 | — | CL A | 553573106 |
| T | AT&T INC | 35,129 | $1,329 | 0.4% | $14.48 | +17.4% | COM | 00206R102 |
| — | PIVOTAL ACQUISITION CORP | 129,000 | $1,313 | 0.4% | $10.15 | — | CL A COM | 72583A101 |
| — | CUSHING RENAISSANCE FD | 98,505 | $1,307 | 0.4% | $13.72 | — | COM | 231647108 |
| — | FORUM MERGER II CORP | 120,000 | $1,284 | 0.4% | $10.11 | — | UNIT 09/30/2025 | 34986F202 |
| — | MILACRON HLDGS CORP | 76,489 | $1,275 | 0.4% | $16.67 | — | COM | 59870L106 |
| — | OPES ACQUISITION CORP | 120,730 | $1,251 | 0.4% | $10.36 | — | COM | 68373P100 |
| — | MORGAN STANLEY INDIA INVS FD | 62,977 | $1,193 | 0.4% | $23.45 | — | COM | 61745C105 |
| — | DOVA PHARMACEUTICALS INC | 40,000 | $1,118 | 0.3% | $27.95 | — | COM | 25985T102 |
| — | ACT II GLOBAL ACQUISITION CO | 100,000 | $1,038 | 0.3% | $10.12 | — | UNIT 04/30/2026 | G0080J112 |
| — | AMCI ACQUISITION CORP | 100,000 | $1,035 | 0.3% | $9.95 | — | UNIT 01/07/2019 | 00165R200 |
| — | GANNETT CO INC | 96,000 | $1,031 | 0.3% | $10.74 | — | COM | 36473H104 |
| — | PIVOTAL INVT CORP II | 100,000 | $1,018 | 0.3% | $10.18 | — | UNIT 06/01/2025 | 72582K209 |
| — | B RILEY PRINCIPAL MERGER COR | 100,500 | $1,015 | 0.3% | $9.98 | — | UNIT 99/99/9999 | 05586Y205 |
| — | AVAYA HLDGS CORP | 98,051 | $1,003 | 0.3% | $11.91 | — | COM | 05351X101 |
| — | CHASERG TECHNLGY ACQUISITN C | 91,060 | $970 | 0.3% | $9.99 | — | UNIT 09/30/2023 | 16166A202 |
| BKD | BROOKDALE SR LIVING INC | 127,900 | $969 | 0.3% | $12.96 | -38.9% | COM | 112463104 |
| — | GABELLI DIVD & INCOME TR | 44,900 | $966 | 0.3% | $21.51 | — | COM | 36242H104 |
| — | FRANKLIN LTD DURATION INC TR | 100,520 | $936 | 0.3% | $9.02 | — | COM | 35472T101 |
| BFH | ALLIANCE DATA SYSTEMS CORP | 7,258 | $930 | 0.3% | $100.40 | 0.0% | COM | 018581108 |
| — | CLOUGH GLOBAL DIVND AND INC | 85,571 | $928 | 0.3% | $10.84 | — | COM | 18913Y103 |
| — | NEW PROVIDENCE ACQUISITIN CO | 90,100 | $909 | 0.3% | $10.09 | — | UNIT 09/01/2024 | 64822P205 |
| — | CARRIZO OIL & GAS INC | 105,677 | $907 | 0.3% | $8.58 | — | COM | 144577103 |
| — | CONDOR HOSPITALITY TR INC | 72,883 | $805 | 0.2% | $11.05 | — | COM NEW | 20676Y403 |
| — | INSURANCE ACQUISITION CORP | 75,000 | $782 | 0.2% | $10.11 | — | UNIT 03/31/2024 | 457867307 |
| — | CYPRESS SEMICONDUCTOR CORP | 30,000 | $700 | 0.2% | $22.25 | — | COM | 232806109 |
| — | RIVERNORTH MARKETPLACE LENDI | 34,761 | $663 | 0.2% | $19.58 | — | COM | 76882B108 |
| — | ROYCE VALUE TR INC | 47,932 | $660 | 0.2% | $15.72 | — | COM | 780910105 |
| — | ABERDEEN EMRG MRKTS EQT INM | 94,041 | $655 | 0.2% | $7.27 | — | COM | 00301W105 |
| PFLT | PENNANTPARK FLOATING RATE CA | 54,334 | $630 | 0.2% | $5.05 | +12.1% | COM | 70806A106 |
| SVVC | FIRSTHAND TECH VALUE FD INC | 81,579 | $624 | 0.2% | $13.57 | -39.2% | COM | 33766Y100 |
| — | LONGEVITY ACQUISITION CORP | 50,000 | $544 | 0.2% | $10.24 | — | UNIT 08/29/2024 | G56372108 |
| — | HAYMAKER ACQUISITION CORP II | 50,000 | $517 | 0.2% | $10.22 | — | UNIT 10/31/2026 | 42087L200 |
| — | LIBERTY ALL-STAR GROWTH FD I | 86,068 | $510 | 0.1% | $4.39 | — | COM | 529900102 |
| — | SPIRIT MTA REIT | 55,326 | $467 | 0.1% | $8.44 | — | COM SHS BEN IN | 84861U105 |
| LILA | LIBERTY LATIN AMERICA LTD | 25,623 | $437 | 0.1% | $20.73 | -23.6% | COM CL A | G9001E102 |
| — | ABERDEEN INCOME CR STRATEGIE | 35,000 | $436 | 0.1% | $12.46 | — | COM | 003057106 |
| — | TRINITY MERGER CORP | 341,868 | $434 | 0.1% | $1.27 | — | *W EXP 05/11/202 | 89653L114 |
| STC | STEWART INFORMATION SVCS COR | 10,500 | $407 | 0.1% | $42.83 | -13.1% | Put | 860372101 |
| BMY | BRISTOL MYERS SQUIBB CO | 8,000 | $406 | 0.1% | — | — | Put | 110122108 |
| RRGB | RED ROBIN GOURMET BURGERS IN | 11,892 | $396 | 0.1% | $32.84 | 0.0% | COM | 75689M101 |
| — | RIVERNORTH OPPRTUNITIES FD I | 21,750 | $376 | 0.1% | $17.29 | — | COM | 76881Y109 |
| — | GIGCAPITAL INC | 419,299 | $373 | 0.1% | $0.65 | — | RIGHT 03/06/2020 | 37518N114 |
| — | PURE ACQUISITION CORP | 349,999 | $367 | 0.1% | $1.05 | — | *W EXP 04/17/202 | 74621Q114 |
| — | BLACKROCK CR ALLCTN INC TR | 26,487 | $361 | 0.1% | $12.99 | — | COM | 092508100 |
| BBCP | CONCRETE PUMPING HLDGS INC | 80,246 | $319 | 0.1% | $5.05 | -25.9% | COM | 206704108 |
| — | MERRIMACK PHARMACEUTICALS IN | 66,934 | $301 | 0.1% | $11.04 | — | COM NEW | 590328209 |
| — | OLD LINE BANCSHARES INC | 10,000 | $290 | 0.1% | $29.00 | — | COM | 67984M100 |
| — | GIGCAPITAL INC | 416,250 | $282 | 0.1% | $0.28 | — | *W EXP 06/08/202 | 37518N122 |
| — | HIGHLAND INCOME FUND | 16,896 | $226 | 0.1% | $13.77 | — | HIGHLAND INCOME | 43010E404 |
| AGAE | ALLIED ESPORTS ENTMT INC | 39,600 | $207 | 0.1% | $6.90 | 0.0% | COM | 019170109 |
| — | AKAZOO SA | 32,400 | $205 | 0.1% | $6.33 | — | SHS | L0164E108 |
| RPAY | REPAY HLDGS CORP | 14,103 | $188 | 0.1% | $12.17 | 0.0% | COM CL A | 76029L100 |
| — | PENSARE ACQUISITION CORP | 600,000 | $180 | 0.1% | $0.40 | — | RIGHT 99/99/9999 | 70957E121 |
| — | PIVOTAL ACQUISITION CORP | 129,000 | $169 | 0.0% | $1.35 | — | *W EXP 12/01/202 | 72583A119 |
| BIOX | BIOCERES CROP SOLUTIONS CORP | 25,119 | $162 | 0.0% | $8.27 | -25.4% | SHS | G1117K114 |
| — | RITE AID CORP | 21,901 | $152 | 0.0% | $7.99 | — | COM | 767754872 |
| — | GABELLI CONV&INCOM SECS FD I | 27,134 | $144 | 0.0% | $4.39 | — | COM | 36240B109 |
| — | AKAZOO SA | 180,000 | $139 | 0.0% | $0.77 | — | *W EXP 09/11/202 | L0164E116 |
| — | A H BELO CORP | 35,942 | $135 | 0.0% | $6.97 | — | COM CL A | 001282102 |
| — | LAZYDAYS HLDGS INC | 25,758 | $123 | 0.0% | $10.04 | — | COM | 52110H100 |
| — | TIVO CORP | 14,000 | $107 | 0.0% | $13.57 | — | COM | 88870P106 |
| — | STEEL CONNECT INC | 54,804 | $96 | 0.0% | $2.12 | — | COM | 858098106 |
| ORGO | ORGANOGENESIS HLDGS INC | 14,250 | $94 | 0.0% | $5.56 | 0.0% | COM | 68621F102 |
| — | TWELVE SEAS INVESTMENT COMPA | 270,000 | $94 | 0.0% | $0.31 | — | RIGHT 12/22/2019 | G9145A131 |
| — | TKK SYMPHONY ACQUISITION COR | 372,000 | $89 | 0.0% | $0.24 | — | RIGHT 02/20/2020 | G88950137 |
| — | SANOFI | 155,177 | $87 | 0.0% | $0.34 | — | RIGHT 12/31/2020 | 80105N113 |
| — | TWELVE SEAS INVESTMENT COMPA | 270,000 | $86 | 0.0% | $0.21 | — | *W EXP 12/22/202 | G9145A115 |
| — | BIOCERES CROP SOLUTIONS CORP | 251,200 | $85 | 0.0% | $0.27 | — | *W EXP 03/14/202 | G1117K106 |
| — | LEISURE ACQUISITION CORP | 111,000 | $84 | 0.0% | $0.99 | — | *W EXP 12/05/201 | 52539T115 |
| — | GORDON POINTE ACQUISITION CO | 200,000 | $80 | 0.0% | $0.40 | — | *W EXP 07/30/202 | 382788115 |
| — | KAIXIN AUTO HLDGS | 42,500 | $77 | 0.0% | $2.21 | — | SHS | G5223X100 |
| — | KBL MERGER CORP IV | 400,000 | $72 | 0.0% | $0.29 | — | RIGHT 09/09/2019 | 48242A120 |
| — | PENSARE ACQUISITION CORP | 300,000 | $71 | 0.0% | $0.50 | — | *W EXP 07/27/202 | 70957E113 |
| — | MEDLEY MGMT INC | 18,508 | $65 | 0.0% | $5.24 | — | CL A COM | 58503T106 |
| HL | HECLA MNG CO | 36,412 | $64 | 0.0% | $2.94 | -40.7% | COM | 422704106 |
| — | REALNETWORKS INC | 26,522 | $44 | 0.0% | $7.55 | — | COM NEW | 75605L708 |
| — | KBL MERGER CORP IV | 400,000 | $38 | 0.0% | $0.17 | — | *W EXP 01/15/202 | 48242A112 |
| — | BIG ROCK PARTNERS ACQUISI CO | 165,000 | $34 | 0.0% | $0.41 | — | RIGHT 12/01/2022 | 089482129 |
| — | TKK SYMPHONY ACQUISITION COR | 372,000 | $33 | 0.0% | $0.09 | — | *W EXP 02/20/202 | G88950129 |
| — | NOVELION THERAPEUTICS INC | 36,428 | $26 | 0.0% | $10.73 | — | COM NEW | 67001K202 |
| — | OPES ACQUISITION CORP | 120,730 | $22 | 0.0% | $0.18 | — | *W EXP 03/13/202 | 68373P118 |
| — | DERMTECH INC | 150,000 | $18 | 0.0% | $0.12 | — | *W EXP 08/29/202 | 24984K113 |
| — | BIG ROCK PARTNERS ACQUISI CO | 82,500 | $14 | 0.0% | $0.46 | — | *W EXP 12/01/202 | 089482111 |
| — | ASSERTIO THERAPEUTICS INC | 10,100 | $13 | 0.0% | $5.84 | — | COM | 04545L107 |
| — | ESTRE AMBIENTAL INC | 124,450 | $3 | 0.0% | $0.75 | — | *W EXP 12/21/202 | G3206V118 |