Location: Rye, NY
CIK: 0000932724 · Show all filings
Period: Q3 2018 (← Previous) (Next →)
Filing Date: Nov 2, 2018
Total Value: $1B (99.5% shares, 0.5% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | AETNA INC (B:AET) COM | 235,156 | $47.7M | 4.8% | $202.85 | $178.87 | — | COM | 00817Y108 |
| NXPI | NXP SEMICONDUCTORS N V COM | 542,987 | $46.42M | 4.6% | $85.50 | $91.96 | -7.3% | COM | N6596X109 |
| — | ROCKWELL COLLINS INC COM | 290,036 | $40.74M | 4.1% | $140.47 | $135.21 | — | COM | 774341101 |
| — | EXPRESS SCRIPTS HOLDING COMPAN | 392,500 | $37.29M | 3.7% | $95.01 | $95.01 | — | COM | 30219G108 |
| GAMI | GAMCO INVESTORS INC COM | 1,526,250 | $35.74M | 3.6% | $23.42 * | $24.16 | -18.5% | PRIVATE INVESTME | 361438104 |
| — | PINNACLE FOODS INC DEL COM | 550,046 | $35.65M | 3.6% | $64.81 | $64.88 | — | COM | 72348P104 |
| — | SHIRE PLC ADR | 183,476 | $33.26M | 3.3% | $181.27 | $175.70 | — | COM | 82481R106 |
| — | ALTABA INC | 477,228 | $32.51M | 3.3% | $68.12 | $55.38 | — | COM | 021346101 |
| — | TWENTY FIRST CENTY FOX B | 673,164 | $30.84M | 3.1% | $45.82 | $46.25 | — | COM | 90130A200 |
| — | GRAMERCY PPTY TR COM NEW | 1,096,611 | $30.09M | 3.0% | $27.44 | $27.38 | — | COM | 385002308 |
| — | LIBERTY SIRIUS GROUP C | 608,400 | $26.43M | 2.6% | $43.45 | $31.46 | — | COM | 531229607 |
| — | KLX INC COM | 396,941 | $24.92M | 2.5% | $62.78 | $64.76 | — | COM | 482539103 |
| — | CA INC | 561,726 | $24.8M | 2.5% | $44.15 | $44.15 | — | COM | 12673P105 |
| — | ANDEAVOR | 158,551 | $24.34M | 2.4% | $153.50 | $147.00 | — | COM | 03349M105 |
| — | SODASTREAM INTERNATIONAL LTDUS | 163,349 | $23.37M | 2.3% | $143.08 | $143.08 | — | COM | M9068E105 |
| — | MITEL NETWORKS CORP COM | 2,082,979 | $22.95M | 2.3% | $11.02 | $10.99 | — | COM | 60671Q104 |
| — | TRIBUNE MEDIA CO - A | 556,138 | $21.37M | 2.1% | $38.43 | $40.23 | — | COM | 896047503 |
| — | KAPSTONE PAPER & PACKAGING CCO | 609,065 | $20.65M | 2.1% | $33.91 | $34.21 | — | COM | 48562P103 |
| — | ORBOTECH LTD ORD | 294,453 | $17.5M | 1.8% | $59.44 | $61.94 | — | COM | M75253100 |
| — | FOREST CITY REALTY TRUST CL A | 649,690 | $16.3M | 1.6% | $25.09 | $25.09 | — | REAL ESTATE INVE | 345605109 |
| — | U S G CORP COM NEW | 361,559 | $15.66M | 1.6% | $43.31 | $43.12 | — | COM | 903293405 |
| — | VECTREN INC. | 205,119 | $14.66M | 1.5% | $71.49 | $71.45 | — | COM | 92240G101 |
| — | ENVISION HEALTHCARE CORP | 320,421 | $14.65M | 1.5% | $45.73 | $44.45 | — | COM | 29414D100 |
| AVA | AVISTA CORP COM | 285,486 | $14.43M | 1.4% | $50.56 * | $36.01 | +3.0% | COM | 05379B107 |
| — | DUN & BRADSTREET CORP | 100,450 | $14.31M | 1.4% | $142.51 | $142.51 | — | COM | 26483E100 |
| — | LASALLE HOTEL PPTYS COM SH BEN | 395,205 | $13.67M | 1.4% | $34.59 | $34.41 | — | COM | 517942108 |
| T | A T & T INC (NEW) | 313,881 | $10.54M | 1.1% | $33.58 * | $14.53 | -0.4% | COM | 00206R102 |
| — | PINNACLE ENTMT INC NEW COM | 309,812 | $10.44M | 1.0% | $33.69 | $33.70 | — | COM | 72348Y105 |
| — | NXSTAGE MEDICAL INC COM | 354,545 | $9.888M | 1.0% | $27.89 | $26.77 | — | COM | 67072V103 |
| — | K2M GROUP HLDGS INC COM | 355,492 | $9.73M | 1.0% | $27.37 | $27.37 | — | COM | 48273J107 |
| — | KMG CHEMICALS INC | 122,420 | $9.25M | 0.9% | $75.56 | $75.56 | — | COM | 482564101 |
| — | REIS INC COM | 376,600 | $8.662M | 0.9% | $23.00 | $23.00 | — | COM | 75936P105 |
| — | INTEGRATED DEVICE TECH INC COM | 181,643 | $8.539M | 0.9% | $47.01 | $47.01 | — | COM | 458118106 |
| — | XO GROUP INC COM | 231,644 | $7.987M | 0.8% | $34.48 | $34.48 | — | COM | 983772104 |
| — | LIFEPOINT HOSPS INC COM | 119,971 | $7.726M | 0.8% | $64.40 | $64.40 | — | COM | 53219L109 |
| — | COBIZ FINANCIAL INC COM | 333,739 | $7.389M | 0.7% | $22.14 | $21.88 | — | COM | 190897108 |
| — | AV HOMES INC COM | 318,271 | $6.795M | 0.7% | $21.35 | $21.40 | — | COM | 00234P102 |
| GRFS | GRIFOLS SA SP ADR REP B NVT | 316,651 | $6.767M | 0.7% | $21.37 | $21.49 | — | COM | 398438408 |
| — | GDL FUND | 740,516 | $6.729M | 0.7% | $9.09 | $9.98 | — | MUTUAL FUNDS | 361570104 |
| — | ENERGEN CORP COM | 77,200 | $6.652M | 0.7% | $86.17 | $86.17 | — | COM | 29265N108 |
| — | LORAL SPACE & COMMUNICATNS ICO | 143,668 | $6.523M | 0.7% | $45.40 | $45.64 | — | COM | 543881106 |
| — | SUPERVALU INC COM NEW | 199,777 | $6.437M | 0.6% | $32.22 | $32.22 | — | COM | 868536301 |
| LEN/B | LENNAR B SHARES | 166,155 | $6.397M | 0.6% | $38.50 * | $32.42 | +12.4% | COM | 526057302 |
| — | SYNTEL INC | 154,100 | $6.315M | 0.6% | $40.98 | $40.98 | — | COM | 87162H103 |
| — | ASPEN INSURANCE HOLDINGS LTDSH | 147,326 | $6.158M | 0.6% | $41.80 | $41.80 | — | COM | G05384105 |
| — | GCI LIBERTY INC COM CLASS A | 120,509 | $6.146M | 0.6% | $51.00 | $52.14 | — | COM | 36164V305 |
| — | INDUSTREA ACQUISITION CORP CL | 570,982 | $5.824M | 0.6% | $10.20 | $9.74 | — | COM | 45579J104 |
| — | PHH CORP COM NEW | 464,512 | $5.105M | 0.5% | $10.99 | $10.74 | — | COM | 693320202 |
| — | XCERRA CORP COM | 321,901 | $4.594M | 0.5% | $14.27 | $12.59 | — | COM | 98400J108 |
| WFC | WELLS FARGO & CO NEW | 81,693 | $4.294M | 0.4% | $52.56 * | $27.36 | +70.0% | COM | 949746101 |
| — | FIRST CONN BANCORP INC MD COM | 142,440 | $4.209M | 0.4% | $29.55 | $30.60 | — | COM | 319850103 |
| — | TRINITY MERGER CORP COM CL A | 423,100 | $4.159M | 0.4% | $9.83 | $9.83 | — | COM | 89653L106 |
| — | MODERN MEDIA ACQUISITION COM | 384,939 | $3.888M | 0.4% | $10.10 | $9.79 | — | COM | 60765P103 |
| — | XEROX CORP | 138,525 | $3.737M | 0.4% | $26.98 | $27.44 | — | COM | 984121608 |
| — | FORUM MERGER II CORP UNIT EX 0 | 368,900 | $3.726M | 0.4% | $10.10 | $10.10 | — | UNITS | 34986F202 |
| — | GORDON POINTE ACQUISITION COCO | 373,900 | $3.683M | 0.4% | $9.85 | $9.85 | — | COM | 382788107 |
| — | SPARTON CORP COM | 252,531 | $3.644M | 0.4% | $14.43 | $20.72 | — | COM | 847235108 |
| — | ATHENAHEALTH INC COM | 26,649 | $3.56M | 0.4% | $133.59 | $150.93 | — | COM | 04685W103 |
| — | DELL TECHNOLOGIES INC COM CL V | 36,284 | $3.524M | 0.4% | $97.12 | $81.28 | — | COM | 24703L103 |
| BAC | BANK OF AMERICA | 117,229 | $3.454M | 0.3% | $29.46 * | $13.81 | +84.5% | COM | 060505104 |
| AKAM | AKAMAI TECHNOLOGIES INC COM | 45,000 | $3.292M | 0.3% | $73.16 * | $57.11 | +31.5% | COM | 00971T101 |
| — | XERIUM TECHNOLOGIES INC COM NE | 241,114 | $3.245M | 0.3% | $13.46 | $13.41 | — | COM | 98416J118 |
| — | LF CAP ACQUISITION CORP CL A | 339,000 | $3.241M | 0.3% | $9.56 | $9.56 | — | COM | 50200K108 |
| CMG | CHIPOTLE MEXICAN GRILL INC CL | 6,500 | $2.954M | 0.3% | $454.46 * | $7.17 | +32.6% | COM | 169656105 |
| — | AKORN INC | 220,296 | $2.859M | 0.3% | $12.98 | $32.57 | — | COM | 009728106 |
| — | NAVIGATORS GROUP INC COM | 41,047 | $2.836M | 0.3% | $69.09 | $69.09 | — | COM | 638904102 |
| — | WEB COM GROUP INC COM | 99,422 | $2.774M | 0.3% | $27.90 | $27.90 | — | COM | 94733A104 |
| — | OCLARO INC COM NEW | 303,664 | $2.715M | 0.3% | $8.94 | $8.94 | — | COM | 67555N206 |
| ADBE | ADOBE INC | 10,000 | $2.7M | 0.3% | $270.00 * | $70.88 | +263.8% | COM | 00724F101 |
| — | OCEAN RIG UDW INC COM CL A | 77,350 | $2.678M | 0.3% | $34.62 | $34.62 | — | COM | G66964118 |
| — | INVUITY INC COM NEW | 350,975 | $2.597M | 0.3% | $7.40 | $7.40 | — | COM | 46187J205 |
| UPBD | RENT A CTR INC NEW COM | 179,640 | $2.583M | 0.3% | $14.38 * | $14.19 | +3.6% | COM | 76009N100 |
| — | NEBULA ACQUISITION CORP COM CL | 260,895 | $2.531M | 0.3% | $9.70 | $9.70 | — | COM | 629076100 |
| — | FALCON MINERALS CORP | 225,923 | $2.485M | 0.2% | $11.00 | $11.00 | — | COM | 30607B109 |
| — | VECTOIQ ACQUISITION CORP COM | 242,600 | $2.322M | 0.2% | $9.57 | $9.57 | — | COM | 92243N103 |
| — | SOCIAL CAPITAL HEDOSOPHIE HO | 217,903 | $2.223M | 0.2% | $10.20 | $10.29 | — | COM | G8250R111 |
| — | GABELLI GLOBAL UTIL & INCOMECO | 107,171 | $2.12M | 0.2% | $19.78 | $16.90 | — | MUTUAL FUNDS | 36242L105 |
| — | TKK SYMPHONY ACQUISITION CORUN | 208,580 | $2.107M | 0.2% | $10.10 | $10.10 | — | UNITS | G88950111 |
| — | GABELLI GO ANYWHERE TRUST | 102,213 | $1.921M | 0.2% | $18.79 | $20.05 | — | MUTUAL FUNDS | 36250J109 |
| — | MEGALITH FINANCIAL ACQUISITION | 200,000 | $1.902M | 0.2% | $9.51 | $9.51 | — | COM | 58518F109 |
| HRI | HERC HLDGS INC COM | 35,625 | $1.824M | 0.2% | $51.20 * | $50.58 | -1.5% | COM | 42704L104 |
| — | PENSARE ACQUISITION CORP COM | 181,453 | $1.807M | 0.2% | $9.96 | $9.69 | — | COM | 70957E105 |
| GYRO | GYRODYNE LLC COM | 87,994 | $1.804M | 0.2% | $20.50 | $16.93 | +20.4% | COM | 403829104 |
| FCX | FREEPORT MCMORAN COPPER&GOLD C | 127,400 | $1.773M | 0.2% | $13.92 | $7.10 | +94.2% | COM | 35671D857 |
| — | MONEYGRAM INTERNATIONAL INC CO | 291,925 | $1.562M | 0.2% | $5.35 | $10.19 | — | COM | 60935Y208 |
| — | TENZING ACQUISITION CORP | 149,000 | $1.499M | 0.1% | $10.06 | $10.06 | — | COM | G8708A124 |
| — | SONIC CORP | 34,100 | $1.478M | 0.1% | $43.34 | $43.34 | — | COM | 835451105 |
| POST | POST HOLDINGS INC | 15,000 | $1.471M | 0.1% | $98.07 * | $34.36 | +78.6% | COM | 737446104 |
| — | LIBERTY GLOBAL PLC SHS CL C | 49,599 | $1.397M | 0.1% | $28.17 | $28.56 | — | COM | G5480U120 |
| CCB | COASTAL FINANCIAL CORP/WA | 80,000 | $1.36M | 0.1% | $17.00 * | $16.55 | 0.0% | COM | 19046P209 |
| — | BANCROFT FUND LTD COM | 56,000 | $1.282M | 0.1% | $22.89 | $18.26 | — | MUTUAL FUNDS | 059695106 |
| GNW | GENWORTH FINL INC COM CL A | 286,636 | $1.195M | 0.1% | $4.17 * | $3.64 | +24.1% | COM | 37247D106 |
| MSFT | MICROSOFT CORP | 10,350 | $1.184M | 0.1% | $114.40 * | $38.94 | +158.9% | COM | 594918104 |
| — | TKK SYMPHONY ACQUISTION COR | 124,000 | $1.178M | 0.1% | $9.50 | $9.50 | — | COM | G88950103 |
| SONY | SONY CORP-ADR (B:SNE US) | 19,200 | $1.164M | 0.1% | $60.63 | $21.34 | — | COM | 835699307 |
| — | CIGNA CORP | 5,500 | $1.145M | 0.1% | $208.18 | $208.18 | — | COM | 125509109 |
| PEP | PEPSICO INC | 10,000 | $1.118M | 0.1% | $111.80 * | $64.88 | +39.2% | COM | 713448108 |
| — | SOCIAL CAP HEDOSOPHIA HLDGS CL | 109,122 | $1.081M | 0.1% | $9.91 | $9.91 | — | COM | G8250R103 |
| CVX | CHEVRON CORP | 8,600 | $1.052M | 0.1% | $122.33 * | $58.05 | +51.4% | COM | 166764100 |
| — | CONNECTICUT WTR SVC INC COM | 15,100 | $1.047M | 0.1% | $69.34 | $69.34 | — | COM | 207797101 |
| — | GABELLI MULTIMEDIA TRST INC | 107,673 | $995K | 0.1% | $9.24 | $7.74 | — | MUTUAL FUNDS | 36239Q109 |
| — | GABELLI GLB SML & MD CP VAL CO | 78,828 | $961K | 0.1% | $12.19 | $11.18 | — | MUTUAL FUNDS | 36249W104 |
| DVN | DEVON ENERGY CORP NEW | 23,200 | $927K | 0.1% | $39.96 * | $16.97 | +78.9% | COM | 25179M103 |
| — | RITE AID CORP COM | 718,314 | $919K | 0.1% | $1.28 | $6.25 | — | COM | 767754104 |
| — | I AM CAP ACQUISITION CO COM | 86,645 | $879K | 0.1% | $10.14 | $9.85 | — | COM | 45074Q108 |
| MDLZ | MONDELEZ INTERNATIONAL | 20,400 | $876K | 0.1% | $42.94 * | $30.91 | +15.2% | COM | 609207105 |
| CW | CURTISS WRIGHT CORP | 5,000 | $687K | 0.1% | $137.40 * | $63.33 | +100.1% | COM | 231561101 |
| ETN | EATON CORP PLC SHS | 7,900 | $685K | 0.1% | $86.71 * | $47.54 | +49.6% | COM | G29183103 |
| — | KLX ENERGY SERVICES HOLD | 20,725 | $663K | 0.1% | $31.99 | $31.99 | — | COM | 48253L106 |
| TGNA | TEGNA INC COM | 55,000 | $658K | 0.1% | $11.96 * | $11.35 | 0.0% | COM | 87901J105 |
| TDS | TELEPHONE & DATA SYS | 20,400 | $621K | 0.1% | $30.44 * | $24.08 | +18.5% | COM | 879433829 |
| — | CBS CORP CLASS A | 10,450 | $607K | 0.1% | $58.09 | $51.70 | — | COM | 124857103 |
| LBTYAUSD | LIBERTY GLOBAL PLC SHS CL A | 20,354 | $589K | 0.1% | $28.94 | $28.98 | — | COM | G5480U104 |
| — | AMD 2 1/8 9/1/26 | 150,000 | $584K | 0.1% | $3.89 | $1.09 | — | CONVERTIBLE BOND | 007903BD8 |
| BK | BANK OF NEW YORK MELLON CORP | 11,000 | $561K | 0.1% | $51.00 * | $28.21 | +51.4% | COM | 064058100 |
| — | SUPERIOR ENERGY SVCS INC COM | 52,500 | $511K | 0.1% | $9.73 | $9.73 | — | COM | 868157108 |
| — | TWO 6 1/4 1/15/22 | 500,000 | $511K | 0.1% | $1.02 | $1.03 | — | CONVERTIBLE BOND | 90187BAA9 |
| IEP | ICAHN ENTERPRISES LP DEPOSITRY | 7,200 | $509K | 0.1% | $70.69 | $58.13 | — | COM | 451100101 |
| — | ZYNGA INC CL A | 121,500 | $487K | 0.0% | $4.01 | $4.07 | — | COM | 98986T108 |
| TV | GRUPO TELEVISA SA DE CV ADR (B | 27,000 | $479K | 0.0% | $17.74 | $20.65 | — | COM | 40049J206 |
| — | CLF 1 1/2 1/15/25 | 275,000 | $463K | 0.0% | $1.68 | $1.11 | — | CONVERTIBLE BOND | 185899AA9 |
| — | EXAS 1.000 01/15/25 | 375,000 | $463K | 0.0% | $1.23 | $0.89 | — | CONVERTIBLE BOND | 30063PAA3 |
| — | VIACOM INC NEW CL A | 12,200 | $446K | 0.0% | $36.56 | $49.28 | — | COM | 92553P102 |
| — | SPWR 4 1/15/23 | 525,000 | $442K | 0.0% | $0.84 | $0.86 | — | CONVERTIBLE BOND | 867652AL3 |
| CHTR | CHARTER COMMUNICATIONS INC | 1,302 | $424K | 0.0% | $325.65 * | $214.89 | +42.0% | COM | 16119P108 |
| — | INTEL CORP 3.25 8/1/39 | 175,000 | $402K | 0.0% | $2.30 | $1.64 | — | CONVERTIBLE BOND | 458140AF7 |
| NFG | NATIONAL FUEL GAS CO N J COM | 7,100 | $398K | 0.0% | $56.06 | $54.71 | +0.9% | COM | 636180101 |
| — | ENERGY TRANSFER PARTNERS LP | 17,900 | $398K | 0.0% | $22.23 | $22.23 | — | COM | 29278N103 |
| — | ALLERGAN PLC SHS | 2,040 | $389K | 0.0% | $190.69 | $248.08 | — | COM | G0177J108 |
| TXT | TEXTRON INC | 5,400 | $386K | 0.0% | $71.48 * | $50.44 | +33.9% | COM | 883203101 |
| — | TESLA MOTORS 1.250 03/1/21 | 400,000 | $383K | 0.0% | $0.96 | $1.13 | — | CONVERTIBLE BOND | 88160RAC5 |
| — | CHINA BIOLOGIC PRODS HLDGS ICO | 4,400 | $352K | 0.0% | $80.00 | $80.00 | — | COM | G21515104 |
| — | ACOR 1 3/4 6/15/21 | 400,000 | $341K | 0.0% | $0.85 | $0.86 | — | CONVERTIBLE BOND | 00484MAA4 |
| — | WELLS FARGO CV PFD L 7.500 | 250 | $321K | 0.0% | $1284.00 | $1185.20 | — | CONVERTIBLE PREF | 949746804 |
| TXN | TEXAS INSTRUMENTS INC | 2,900 | $311K | 0.0% | $107.24 * | $62.45 | +44.5% | COM | 882508104 |
| — | DISH NETWORK CORPORATION | 8,700 | $311K | 0.0% | $35.75 | $52.56 | — | COM | 25470M109 |
| — | LIBERTY BRAVES GROUP C | 11,339 | $309K | 0.0% | $27.25 | $15.24 | — | COM | 531229888 |
| MGM | MGM RESORTS INTERNATIONAL | 11,000 | $307K | 0.0% | $27.91 | $30.36 | -7.8% | COM | 552953101 |
| NPO | ENPRO INDS INC COM | 3,800 | $277K | 0.0% | $72.89 | $74.69 | -1.0% | COM | 29355X107 |
| — | LIBERTY EXPEDIA HOLDINGS SER A | 5,800 | $273K | 0.0% | $47.07 | $39.71 | — | COM | 53046P109 |
| NEM | NEWMONT MINING CORP HOLDING CO | 9,000 | $272K | 0.0% | $30.22 * | $14.41 | +87.8% | COM | 651639106 |
| SSP | SCRIPPS E W CO OHIO CL A | 16,500 | $272K | 0.0% | $16.48 * | $13.36 | -18.5% | COM | 811054402 |
| — | THE MEDICINES CO. 2.5 1/15/22 | 250,000 | $268K | 0.0% | $1.07 | $1.22 | — | CONVERTIBLE BOND | 584688AE5 |
| — | HLX 4 1/8 9/15/23 | 200,000 | $259K | 0.0% | $1.29 | $1.19 | — | CONVERTIBLE BOND | 42330PAJ6 |
| NDAQ | NASDAQ STOCK MARKET INC COM | 3,000 | $257K | 0.0% | $85.67 * | $19.86 | +38.5% | COM | 631103108 |
| — | BELMOND LTD CL A | 12,900 | $235K | 0.0% | $18.22 | $18.22 | — | COM | G1154H107 |
| — | HC2 HLDGS INC COM | 37,100 | $227K | 0.0% | $6.12 | $8.43 | — | COM | 404139107 |
| — | GCP APPLIED TECHNOLOGIES INCCO | 8,500 | $226K | 0.0% | $26.59 | $26.59 | — | COM | 36164Y101 |
| — | BANK OF AMERICA CV PFD L 7.250 | 175 | $226K | 0.0% | $1291.43 | $1274.29 | — | CONVERTIBLE PREF | 060505682 |
| TWIN | TWIN DISC INC COM | 9,750 | $225K | 0.0% | $23.08 * | $23.67 | +3.8% | COM | 901476101 |
| — | TESLA INC | 100 | $220K | 0.0% | $2200.00 | — | — | Put | 88160R951 |
| — | BUNGE LIMITED COM | 3,200 | $220K | 0.0% | $68.75 | $68.75 | — | COM | G16962105 |
| — | GENERAL ELECTRIC CO | 100 | $216K | 0.0% | $2160.00 | — | — | Call | 369604903 |
| CNH | CNH INDUSTRIAL NV | 18,000 | $216K | 0.0% | $12.00 * | $8.72 | 0.0% | COM | N20944109 |
| AB | ALLIANCE BERNSTEIN HLDGS LP UN | 7,000 | $213K | 0.0% | $30.43 | $28.57 | — | COM | 01881G106 |
| — | TRINITY MERGER CORP WT EXP 051 | 423,100 | $212K | 0.0% | $0.50 | $0.50 | — | WARRANT AND RIGH | 89653L114 |
| — | BMRN 1 1/2 10/15/20 | 175,000 | $210K | 0.0% | $1.20 | $1.19 | — | CONVERTIBLE BOND | 09061GAF8 |
| CTS | CTS CORP | 6,100 | $209K | 0.0% | $34.26 | $30.56 | +14.1% | COM | 126501105 |
| CORT | CORCEPT THERAPEUTICS INC OC-CO | 14,600 | $205K | 0.0% | $14.04 | $1.80 | +677.5% | COM | 218352102 |
| — | ICPT 3 1/4 7/1/23 | 200,000 | $202K | 0.0% | $1.01 | $0.81 | — | CONVERTIBLE BOND | 45845PAA6 |
| HON | HONEYWELL INT'L INC | 1,200 | $200K | 0.0% | $166.67 * | $121.60 | 0.0% | COM | 438516106 |
| — | LF CAP ACQUISITION CORP WT EXP | 339,000 | $186K | 0.0% | $0.55 | $0.55 | — | WARRANT AND RIGH | 50200K116 |
| — | INDUSTREA ACQUISITION CORP WT | 167,792 | $168K | 0.0% | $1.00 | $0.40 | — | WARRANT AND RIGH | 45579J112 |
| — | WEATHERFORD INTERNATIONAL PLC | 60,550 | $164K | 0.0% | $2.71 | $5.64 | — | COM | G48833100 |
| — | CLEAR CHANNEL OUTDOOR HLDGS CL | 27,500 | $164K | 0.0% | $5.96 | $6.45 | — | COM | 18451C109 |
| — | RDUS 3.000 09/01/24 | 200,000 | $154K | 0.0% | $0.77 | $0.77 | — | CONVERTIBLE BOND | 750469AA6 |
| — | GANNETT INC | 15,000 | $150K | 0.0% | $10.00 | $10.00 | — | COM | 36473H104 |
| — | VECTOIQ ACQUISITION CORP WT EX | 242,600 | $148K | 0.0% | $0.61 | $0.61 | — | WARRANT AND RIGH | 92243N111 |
| — | GORDON POINTE ACQUISITION COWT | 223,900 | $146K | 0.0% | $0.65 | $0.65 | — | WARRANT AND RIGH | 382788115 |
| — | INTERNAP CORP COM PAR | 10,000 | $126K | 0.0% | $12.60 | $15.70 | — | COM | 45885A409 |
| — | NEBULA ACQUISITION CORP WT EXP | 86,965 | $121K | 0.0% | $1.39 | $1.39 | — | WARRANT AND RIGH | 629076118 |
| AGI | ALAMOS GOLD INC NEW COM CL A | 18,847 | $87,000 | 0.0% | $4.62 | $3.74 | +24.1% | COM | 011532108 |
| — | GAMCO NAT RESOURCE GOLD X | 11,372 | $67,000 | 0.0% | $5.89 | $6.75 | — | MUTUAL FUNDS | 36465E101 |
| — | VEON LTD ADR | 22,000 | $64,000 | 0.0% | $2.91 | $3.70 | — | COM | 91822M106 |
| — | GABELLI GOLD NAT RES & INCOM | 12,265 | $58,000 | 0.0% | $4.73 | $5.54 | — | MUTUAL FUNDS | 36465A109 |
| VXRT | VAXART INC | 18,843 | $54,000 | 0.0% | $2.87 * | $6.46 | -52.9% | COM | 92243A200 |
| — | I AM CAP ACQUISITION RIGHT | 85,000 | $43,000 | 0.0% | $0.51 | $0.30 | — | WARRANT AND RIGH | 45074Q124 |
| OPK | OPKO HEALTH INC COM | 10,000 | $35,000 | 0.0% | $3.50 * | $13.24 | -60.2% | COM | 68375N103 |
| — | COMMUNITY HEALTH SYSTEMS-CVR | 471,530 | $3,000 | 0.0% | $0.01 | $0.06 | — | WARRANT AND RIGH | 203668116 |