Location: Rye, NY
CIK: 0000932724 · Show all filings
Period: Q3 2019 (← Previous) (Next →)
Filing Date: Nov 1, 2019
Total Value: $889M (99.1% shares, 0.9% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| GAMI | GAMCO INVESTORS INC COM | 3,016,501 | $58.97M | 6.6% | $19.55 * | $19.94 | -26.3% | COM | 361438104 |
| — | CELGENE CORP | 544,390 | $54.06M | 6.1% | $99.30 | $94.11 | — | COM | 151020104 |
| — | ALLERGAN PLC SHS | 194,677 | $32.76M | 3.7% | $168.29 | $168.69 | — | COM | G0177J108 |
| — | VERSUM MATLS INC COM | 565,137 | $29.91M | 3.4% | $52.93 | $51.27 | — | COM | 92532W103 |
| — | MELLANOX TECHNOLOGIES LTD SHS | 270,959 | $29.69M | 3.3% | $109.59 | $115.36 | — | COM | M51363113 |
| — | ZAYO GROUP HLDGS INC COM | 871,840 | $29.55M | 3.3% | $33.90 | $33.28 | — | COM | 98919V105 |
| — | BUCKEYE PARTNERS L P UNIT LTD | 716,148 | $29.43M | 3.3% | $41.09 | $41.09 | — | OIL & GAS PARTNE | 118230101 |
| — | MEDIDATA SOLUTIONS INC COM | 303,850 | $27.8M | 3.1% | $91.50 | $91.01 | — | COM | 58471A105 |
| — | LIBERTY SIRIUS GROUP C | 641,500 | $26.92M | 3.0% | $41.96 | $31.90 | — | COM | 531229607 |
| — | WABCO HLDGS INC | 192,747 | $25.78M | 2.9% | $133.75 | $132.61 | — | COM | 92927K102 |
| — | SPARK THERAPEUTICS INC COM | 259,491 | $25.16M | 2.8% | $96.98 | $113.04 | — | COM | 84652J103 |
| — | WELLCARE HEALTH PLANS INC COM | 92,384 | $23.94M | 2.7% | $259.17 | $270.61 | — | COM | 94946T106 |
| — | SUNTRUST BANKS INC | 346,091 | $23.81M | 2.7% | $68.80 | $64.93 | — | COM | 867914103 |
| — | CYPRESS SEMICONDUCTOR CORP COM | 866,759 | $20.23M | 2.3% | $23.34 | $22.77 | — | COM | 232806109 |
| — | PIVOTAL SOFTWARE INC COM CL A | 1,327,689 | $19.81M | 2.2% | $14.92 | $14.92 | — | COM | 72582H107 |
| — | GENESEE & WYOMING INC. | 177,094 | $19.57M | 2.2% | $110.51 | $110.51 | — | COM | 371559105 |
| — | CARBON BLACK INC COM | 654,962 | $17.02M | 1.9% | $25.99 | $25.99 | — | COM | 14081R103 |
| — | ALTABA INC | 856,444 | $16.68M | 1.9% | $19.48 | $38.10 | — | COM | 021346101 |
| — | SOTHEBY HLDGS INC | 285,780 | $16.28M | 1.8% | $56.98 | $56.98 | — | COM | 835898107 |
| — | GDL FUND | 1,723,101 | $15.84M | 1.8% | $9.19 | $9.52 | — | MUTUAL FUNDS | 361570104 |
| — | EL PASO ELEC CO COM NEW | 207,383 | $13.91M | 1.6% | $67.08 | $66.81 | — | COM | 283677854 |
| — | ALDER BIOPHARMACEUTICALS INCCO | 703,703 | $13.27M | 1.5% | $18.86 | $18.86 | — | COM | 014339105 |
| — | WESCO AIRCRAFT HLDGS INC COM | 1,168,969 | $12.87M | 1.4% | $11.01 | $11.01 | — | COM | 950814103 |
| — | MILACRON HLDGS CORP COM | 763,814 | $12.73M | 1.4% | $16.67 | $16.67 | — | COM | 59870L106 |
| — | GABELLI DIV&INC TR COM | 584,290 | $12.57M | 1.4% | $21.51 | $18.30 | — | MUTUAL FUNDS | 36242H104 |
| — | OMNOVA SOLUTIONS INC COM | 1,004,533 | $10.12M | 1.1% | $10.07 | $10.07 | — | COM | 682129101 |
| — | CAESARS ENTMT CORP COM | 834,272 | $9.728M | 1.1% | $11.66 | $11.74 | — | COM | 127686103 |
| — | CAMBREX CORP COM | 155,619 | $9.259M | 1.0% | $59.50 | $59.50 | — | COM | 132011107 |
| — | INTERNATIONAL SPEEDWAY A | 204,388 | $9.2M | 1.0% | $45.01 | $44.59 | — | COM | 460335201 |
| HEI/A | HEICO CORP NEW CL A | 82,091 | $7.988M | 0.9% | $97.31 * | $91.67 | +14.5% | COM | 422806208 |
| LEN/B | LENNAR B SHARES | 178,531 | $7.921M | 0.9% | $44.37 * | $32.35 | +6.4% | COM | 526057302 |
| GRFS | GRIFOLS SA SP ADR REP B NVT | 390,271 | $7.825M | 0.9% | $20.05 | $21.32 | — | COM | 398438408 |
| — | PRESIDIO INC COM | 461,455 | $7.799M | 0.9% | $16.90 | $16.90 | — | COM | 74102M103 |
| — | ACACIA COMMUNICATIONS INC COM | 111,449 | $7.289M | 0.8% | $65.40 | $65.40 | — | COM | 00401C108 |
| — | GABELLI GLOBAL UTIL & INCOMECO | 376,250 | $6.996M | 0.8% | $18.59 | $16.45 | — | MUTUAL FUNDS | 36242L105 |
| PACB | PACIFIC BIOSCIENCES CALIF INCO | 1,302,391 | $6.72M | 0.8% | $5.16 * | $6.88 | -18.7% | COM | 69404D108 |
| — | LORAL SPACE & COMMUNICATNS ICO | 152,201 | $6.301M | 0.7% | $41.40 | $44.99 | — | COM | 543881106 |
| — | ADVANCED DISP SVCS INC DEL COM | 192,210 | $6.26M | 0.7% | $32.57 | $32.57 | — | COM | 00790X101 |
| — | NEBULA ACQUISITION CORP COM CL | 546,393 | $5.573M | 0.6% | $10.20 | $9.93 | — | COM | 629076100 |
| CMG | CHIPOTLE MEXICAN GRILL INC CL | 6,500 | $5.463M | 0.6% | $840.46 * | $7.17 | +122.3% | COM | 169656105 |
| — | CIRCOR INTL INC COM | 124,337 | $4.669M | 0.5% | $37.55 | $43.50 | — | COM | 17273K109 |
| — | LF CAP ACQUISITION CORP CL A | 447,993 | $4.596M | 0.5% | $10.26 | $9.68 | — | COM | 50200K108 |
| FOX | FOX CORP CL B | 144,302 | $4.551M | 0.5% | $31.54 | $34.43 | -8.4% | COM | 35137L204 |
| — | MEGALITH FINANCIAL ACQUISITION | 443,200 | $4.49M | 0.5% | $10.13 | $9.64 | — | COM | 58518F109 |
| — | AMCI ACQUISITION CORP CLASS A | 442,500 | $4.438M | 0.5% | $10.03 | $9.86 | — | COM | 00165R101 |
| — | TRINITY MERGER CORP COM CL A | 423,100 | $4.417M | 0.5% | $10.44 | $9.83 | — | COM | 89653L106 |
| — | MONOTYPE IMAGING HOLDINGS INCO | 213,214 | $4.224M | 0.5% | $19.81 | $19.81 | — | COM | 61022P100 |
| WFC | WELLS FARGO & CO NEW | 81,693 | $4.121M | 0.5% | $50.44 * | $27.36 | +45.4% | COM | 949746101 |
| — | CORINDUS VASCULAR ROBOTICS ICO | 936,853 | $4.01M | 0.5% | $4.28 | $4.28 | — | COM | 218730109 |
| — | FORUM MERGER II CORP CL A | 368,900 | $3.73M | 0.4% | $10.11 | $9.91 | — | COM | 34986F103 |
| — | MONOCLE ACQUISITION CORP COM | 364,700 | $3.632M | 0.4% | $9.96 | $9.90 | — | COM | 609754106 |
| — | VECTOIQ ACQUISITION CORP COM | 342,000 | $3.492M | 0.4% | $10.21 | $9.64 | — | COM | 92243N103 |
| KKR | KKR & CO INC CL A | 122,410 | $3.287M | 0.4% | $26.85 * | $21.06 | +17.2% | COM | 48251W104 |
| — | MAM SOFTWARE GROUP INC COM NEW | 269,673 | $3.252M | 0.4% | $12.06 | $12.06 | — | COM | 55277Q201 |
| BAC | BANK OF AMERICA | 110,729 | $3.23M | 0.4% | $29.17 * | $13.81 | +77.9% | COM | 060505104 |
| — | DISCOVERY INC-C | 128,793 | $3.171M | 0.4% | $24.62 | $25.66 | — | COM | 25470F302 |
| — | B RILEY PRINCIPAL MERGER CORCL | 300,100 | $2.974M | 0.3% | $9.91 | $9.75 | — | COM | 05586Y106 |
| — | CHASERG TECHNLGY ACQUISITN CCL | 295,536 | $2.958M | 0.3% | $10.01 | $9.87 | — | COM | 16166A103 |
| — | ENTEGRA FINL CORP COM | 97,400 | $2.926M | 0.3% | $30.04 | $30.12 | — | COM | 29363J108 |
| — | VIACOM INC NEW CL B | 116,854 | $2.808M | 0.3% | $24.03 | $24.03 | — | COM | 92553P201 |
| — | OPTION CARE HEALTH INC COM | 838,209 | $2.682M | 0.3% | $3.20 | $3.20 | — | COM | 68404L102 |
| YTRA | YATRA ONLINE INC ORD SHS | 628,348 | $2.589M | 0.3% | $4.12 | $4.14 | 0.0% | COM | G98338109 |
| — | GENOMIC HEALTH INC COM | 38,100 | $2.584M | 0.3% | $67.82 | $67.82 | — | COM | 37244C101 |
| — | GABELLI MULTIMEDIA TRST INC | 313,253 | $2.544M | 0.3% | $8.12 | $7.31 | — | MUTUAL FUNDS | 36239Q109 |
| — | NEW PROVIDENCE ACQ C | 248,300 | $2.506M | 0.3% | $10.09 | $10.09 | — | COM | 64822P205 |
| — | ANDINA ACQUISITION CORP III SH | 243,600 | $2.434M | 0.3% | $9.99 | $9.91 | — | COM | G04415108 |
| — | TALLGRASS ENERGY LP CLASS A SH | 124,600 | $2.425M | 0.3% | $19.46 | $19.46 | — | COM | 874696107 |
| — | VITAMIN SHOPPE INC COM | 355,453 | $2.318M | 0.3% | $6.52 | $6.52 | — | COM | 92849E101 |
| — | STEWARDSHIP FINL CORP COM | 144,555 | $2.255M | 0.3% | $15.60 | $15.46 | — | COM | 860326107 |
| — | ALDR 2 1/2 2/1/25 | 2,020,000 | $2.237M | 0.3% | $1.11 | $1.11 | — | CONVERTIBLE BOND | 014339AA3 |
| — | GIGCAPITAL2 INC | 203,500 | $2.096M | 0.2% | $10.30 | $10.19 | — | COM | 375036209 |
| RVPH | TENZING ACQUISITION CORP ORD S | 194,500 | $2.013M | 0.2% | $10.35 | $10.07 | — | COM | G8708A116 |
| — | GABELLI CV SECURITIES FUND | 357,988 | $1.904M | 0.2% | $5.32 | $4.39 | — | MUTUAL FUNDS | 36240B109 |
| — | GANNETT INC | 175,181 | $1.881M | 0.2% | $10.74 | $10.74 | — | COM | 36473H104 |
| — | BANCORP NEW JERSEY INC NEW COM | 104,080 | $1.758M | 0.2% | $16.89 | $16.89 | — | COM | 059915108 |
| GYRO | GYRODYNE LLC COM | 87,994 | $1.73M | 0.2% | $19.66 * | $16.93 | +11.4% | COM | 403829104 |
| IBKR | INTERACTIVE BROKERS | 32,000 | $1.721M | 0.2% | $53.78 * | $12.75 | -6.2% | COM | 45841N107 |
| — | GABELLI GO ANYWHERE TRUST | 107,297 | $1.692M | 0.2% | $15.77 | $19.85 | — | MUTUAL FUNDS | 36250J109 |
| — | PIVOTAL INVT CORP II UNIT EX 0 | 164,800 | $1.678M | 0.2% | $10.18 | $10.18 | — | UNITS | 72582K209 |
| — | PROFICIENT ALPHA ACQUISITION C | 164,000 | $1.64M | 0.2% | $10.00 | $10.05 | — | COM | 74317H204 |
| VZ | VERIZON COMMUNICATIONS | 27,000 | $1.63M | 0.2% | $60.37 * | $38.62 | +4.7% | COM | 92343V104 |
| — | NII HLDGS INC COM PAR $0.001 | 775,308 | $1.52M | 0.2% | $1.96 | $1.96 | — | COM | 62913F508 |
| — | AROTECH CORP COM NEW | 516,300 | $1.518M | 0.2% | $2.94 | $2.94 | — | COM | 042682203 |
| — | FELLAZO INC | 145,800 | $1.452M | 0.2% | $9.96 | $9.96 | — | COM | G3362K104 |
| — | BANCROFT FUND LTD COM | 60,941 | $1.441M | 0.2% | $23.65 | $18.29 | — | MUTUAL FUNDS | 059695106 |
| SONY | SONY CORP-ADR (B:SNE US) | 24,000 | $1.419M | 0.2% | $59.13 | $26.89 | — | COM | 835699307 |
| VLY | VALLEY NATL BANCORP COM | 110,224 | $1.198M | 0.1% | $10.87 | $10.70 | 0.0% | COM | 919794107 |
| GNW | GENWORTH FINL INC COM CL A | 267,073 | $1.175M | 0.1% | $4.40 * | $4.08 | +2.1% | COM | 37247D106 |
| — | EDTECHX HLDGS ACQUISITION COCO | 107,700 | $1.093M | 0.1% | $10.15 | $9.75 | — | COM | 28138X103 |
| — | TRINE ACQUISITION CORP COM CL | 99,000 | $977K | 0.1% | $9.87 | $9.70 | — | COM | 89628U108 |
| — | BUNGE LIMITED | 100 | $945K | 0.1% | $9450.00 | — | — | Call | G16962905 |
| — | DOVA PHARMACEUTICALS INC COM | 33,000 | $922K | 0.1% | $27.94 | $27.94 | — | COM | 25985T102 |
| MITK | MITEK SYS INC COM NEW | 95,120 | $918K | 0.1% | $9.65 * | $11.22 | -11.2% | COM | 606710200 |
| — | GABELLI GLB SML & MD CP VAL CO | 81,737 | $910K | 0.1% | $11.13 | $11.19 | — | MUTUAL FUNDS | 36249W104 |
| CCB | COASTAL FINANCIAL CORP/WA | 60,000 | $907K | 0.1% | $15.12 | $16.55 | -8.1% | COM | 19046P209 |
| — | AGBA ACQUISTION LTD | 87,800 | $893K | 0.1% | $10.17 | $10.02 | — | COM | G0120M133 |
| BK | BANK OF NEW YORK MELLON CORP | 19,000 | $859K | 0.1% | $45.21 * | $33.03 | +12.0% | COM | 064058100 |
| — | BROOKFIELD ASSET MGMT INC CL A | 15,469 | $821K | 0.1% | $53.07 | $53.07 | — | COM | 112585104 |
| — | APEX TECHNOLOGY ACQUISITN | 79,500 | $810K | 0.1% | $10.19 | $10.19 | — | UNITS | 03768F201 |
| — | GCP APPLIED TECHNOLOGIES INCCO | 39,586 | $762K | 0.1% | $19.25 | $23.41 | — | COM | 36164Y101 |
| RHP | RYMAN HOSPITALITY PPTYS INC CO | 8,800 | $720K | 0.1% | $81.82 | $67.83 | — | COM | 78377T107 |
| — | SPWR 4 1/15/23 | 725,000 | $667K | 0.1% | $0.92 | $0.88 | — | CONVERTIBLE BOND | 867652AL3 |
| ETN | EATON CORP PLC SHS | 7,900 | $657K | 0.1% | $83.16 * | $47.54 | +51.7% | COM | G29183103 |
| — | AVAYA HLDGS CORP COM | 63,300 | $648K | 0.1% | $10.24 | $11.91 | — | COM | 05351X101 |
| — | CONNECTICUT WTR SVC INC COM | 8,464 | $593K | 0.1% | $70.06 | $69.11 | — | COM | 207797101 |
| — | TESLA MOTORS 1.250 03/1/21 | 600,000 | $587K | 0.1% | $0.98 | $1.07 | — | CONVERTIBLE BOND | 88160RAC5 |
| MSGS | MADISON SQUARE GARDEN CO NEWCL | 2,200 | $580K | 0.1% | $263.64 * | $196.08 | 0.0% | COM | 55825T103 |
| — | TBPH 3 1/4 11/1/23 | 600,000 | $555K | 0.1% | $0.93 | $0.89 | — | CONVERTIBLE BOND | 88339KAA0 |
| NDAQ | NASDAQ STOCK MARKET INC COM | 5,500 | $546K | 0.1% | $99.27 * | $22.72 | +33.4% | COM | 631103108 |
| — | TRINITY MERGER CORP WT EXP 051 | 423,100 | $537K | 0.1% | $1.27 | $0.50 | — | WARRANT AND RIGH | 89653L114 |
| — | B RILEY PRINCIPAL MERGER COR | 53,100 | $536K | 0.1% | $10.09 | $10.09 | — | COM | 05586Y205 |
| C | CITIGROUP INC | 7,500 | $518K | 0.1% | $69.07 * | $49.36 | +9.7% | COM | 172967424 |
| — | TWO 6 1/4 1/15/22 | 500,000 | $513K | 0.1% | $1.03 | $1.01 | — | CONVERTIBLE BOND | 90187BAA9 |
| PNC | PNC FINANCIAL CORP | 3,600 | $505K | 0.1% | $140.28 * | $98.99 | +8.8% | COM | 693475105 |
| TDS | TELEPHONE & DATA SYS | 19,400 | $501K | 0.1% | $25.82 * | $24.08 | +15.9% | COM | 879433829 |
| ENR | ENERGIZER HLDGS INC NEW | 11,500 | $501K | 0.1% | $43.57 * | $31.38 | 0.0% | COM | 29272W109 |
| — | CASTLE BRANDS INC COM | 386,730 | $487K | 0.1% | $1.26 | $1.26 | — | COM | 148435100 |
| IEP | ICAHN ENTERPRISES LP DEPOSITRY | 7,200 | $462K | 0.1% | $64.17 | $58.13 | — | COM | 451100101 |
| — | CBS CORP CLASS A | 10,450 | $453K | 0.1% | $43.35 | $51.70 | — | COM | 124857103 |
| — | NEE 4.872 9/1/22 CV PFD | 9,000 | $452K | 0.1% | $50.22 | $50.22 | — | CONVERTIBLE PREF | 65339F796 |
| — | FALCON MINERALS CORP | 78,514 | $451K | 0.1% | $5.74 | $11.00 | — | COM | 30607B109 |
| CNS | COHEN & STEERS INC COM | 7,500 | $412K | 0.0% | $54.93 * | $27.16 | +52.1% | COM | 19247A100 |
| NFG | NATIONAL FUEL GAS CO N J COM | 8,500 | $399K | 0.0% | $46.94 * | $53.56 | -9.3% | COM | 636180101 |
| DIS | DISNEY WALT PRODTNS | 3,000 | $391K | 0.0% | $130.33 * | $107.88 | +24.4% | COM | 254687106 |
| — | VANECK VECTORS ETF TR | 100 | $390K | 0.0% | $3900.00 | — | — | Call | 92189F906 |
| TXN | TEXAS INSTRUMENTS INC | 3,000 | $388K | 0.0% | $129.33 * | $63.00 | +63.3% | COM | 882508104 |
| TXT | TEXTRON INC | 7,900 | $387K | 0.0% | $48.99 | $50.27 | -3.7% | COM | 883203101 |
| — | WELLS FARGO CV PFD L 7.500 | 250 | $375K | 0.0% | $1500.00 | $1185.20 | — | CONVERTIBLE PREF | 949746804 |
| CAG | CONAGRA BRANDS INC | 12,000 | $368K | 0.0% | $30.67 * | $22.59 | -1.8% | COM | 205887102 |
| — | RDUS 3.000 09/01/24 | 400,000 | $367K | 0.0% | $0.92 | $0.84 | — | CONVERTIBLE BOND | 750469AA6 |
| VMC | VULCAN MATLS CO COM | 2,400 | $363K | 0.0% | $151.25 * | $95.27 | +40.3% | COM | 929160109 |
| NEM | NEWMONT GOLDCORP CORP | 9,000 | $341K | 0.0% | $37.89 * | $14.41 | +124.7% | COM | 651639106 |
| GDX | VANECK VECTORS GOLD MINERS ETF | 12,300 | $329K | 0.0% | $26.75 | $25.70 | — | ETF - EQUITY | 92189F106 |
| — | VIACOM INC NEW CL A | 12,200 | $320K | 0.0% | $26.23 | $49.28 | — | COM | 92553P102 |
| — | ICPT 2.000 05/15/26 | 350,000 | $318K | 0.0% | $0.91 | $0.99 | — | CONVERTIBLE BOND | 45845PAB4 |
| — | LIBERTY BRAVES GROUP C | 11,339 | $315K | 0.0% | $27.78 | $15.24 | — | COM | 531229888 |
| — | INFN 2 1/8 9/1/24 | 350,000 | $306K | 0.0% | $0.87 | $0.69 | — | CONVERTIBLE BOND | 45667GAC7 |
| — | MDCO 2 3/4 7/15/23 | 250,000 | $304K | 0.0% | $1.22 | $0.84 | — | CONVERTIBLE BOND | 584688AG0 |
| — | PDCE 1 1/8 9/15/21 | 325,000 | $301K | 0.0% | $0.93 | $0.94 | — | CONVERTIBLE BOND | 69327RAD3 |
| BC | BRUNSWICK CORP | 5,700 | $297K | 0.0% | $52.11 * | $42.52 | -0.6% | COM | 117043109 |
| — | DISH NETWORK CORPORATION | 8,700 | $296K | 0.0% | $34.02 | $52.56 | — | COM | 25470M109 |
| TV | GRUPO TELEVISA SA DE CV ADR (B | 29,500 | $289K | 0.0% | $9.80 | $16.86 | — | COM | 40049J206 |
| — | GENERAL ELEC CO | 31,000 | $277K | 0.0% | $8.94 | $7.56 | — | COM | 369604103 |
| CNH | CNH INDUSTRIAL NV | 27,000 | $274K | 0.0% | $10.15 * | $8.32 | -5.7% | COM | N20944109 |
| — | BANK OF AMERICA CV PFD L 7.250 | 175 | $262K | 0.0% | $1497.14 | $1274.29 | — | CONVERTIBLE PREF | 060505682 |
| — | TEXAS PAC LD TR SUB CTF PROP I | 400 | $260K | 0.0% | $650.00 | $542.50 | — | COM | 882610108 |
| BHC | BAUSCH HEALTH COMPANIES INC CO | 11,800 | $258K | 0.0% | $21.86 * | $22.88 | 0.0% | COM | 071734107 |
| — | BUNGE LIMITED COM | 4,500 | $255K | 0.0% | $56.67 | $53.06 | — | COM | G16962105 |
| HCA | HCA HEALTHCARE INC | 2,000 | $241K | 0.0% | $120.50 | $120.17 | +1.9% | COM | 40412C101 |
| — | CLVS 2 1/2 9/15/21 | 275,000 | $240K | 0.0% | $0.87 | $0.86 | — | CONVERTIBLE BOND | 189464AB6 |
| — | IPHI 1 1/8 12/1/20 | 150,000 | $235K | 0.0% | $1.57 | $1.34 | — | CONVERTIBLE BOND | 45772FAB3 |
| — | HLX 4 1/8 9/15/23 | 200,000 | $234K | 0.0% | $1.17 | $1.19 | — | CONVERTIBLE BOND | 42330PAJ6 |
| MLI | MUELLER INDS INC COM | 8,000 | $229K | 0.0% | $28.63 * | $13.36 | -4.0% | COM | 624756102 |
| — | MIC 2 10/1/23 | 250,000 | $228K | 0.0% | $0.91 | $0.91 | — | CONVERTIBLE BOND | 55608BAB1 |
| — | ALEXION PHARMACEUTICALS INC CO | 2,250 | $220K | 0.0% | $97.78 | $97.78 | — | COM | 015351109 |
| — | FORUM MERGER II CORP WT EXP 09 | 368,900 | $218K | 0.0% | $0.59 | $0.44 | — | WARRANT AND RIGH | 34986F111 |
| MGM | MGM RESORTS INTERNATIONAL | 7,800 | $216K | 0.0% | $27.69 * | $30.36 | -6.9% | COM | 552953101 |
| — | GENERAL ELEC CO | 100 | $216K | 0.0% | $2160.00 | — | — | Call | 369604903 |
| NPO | ENPRO INDS INC COM | 3,100 | $213K | 0.0% | $68.71 * | $65.34 | -0.6% | COM | 29355X107 |
| CORT | CORCEPT THERAPEUTICS INC OC-CO | 14,600 | $206K | 0.0% | $14.11 * | $1.80 | +583.6% | COM | 218352102 |
| — | CHENIERE ENERGY, INC. 4.250 0 | 250,000 | $194K | 0.0% | $0.78 | $0.78 | — | CONVERTIBLE BOND | 16411RAG4 |
| SSP | SCRIPPS E W CO OHIO CL A | 14,500 | $193K | 0.0% | $13.31 * | $13.25 | -21.9% | COM | 811054402 |
| BRSL | INTERNATIONAL GAME TECH PLC SH | 13,543 | $192K | 0.0% | $14.18 * | $8.97 | -0.6% | COM | G4863A108 |
| — | ICPT 3 1/4 7/1/23 | 200,000 | $172K | 0.0% | $0.86 | $0.81 | — | CONVERTIBLE BOND | 45845PAA6 |
| — | OIS 1 1/2 2/15/23 | 200,000 | $170K | 0.0% | $0.85 | $0.85 | — | CONVERTIBLE BOND | 678026AH8 |
| CCO | CLEAR CHANNEL OUTDOOR HLDG | 64,500 | $163K | 0.0% | $2.53 * | $4.09 | -23.3% | COM | 18453H106 |
| — | AMCI ACQUISITION CORP WT EXP 0 | 418,600 | $147K | 0.0% | $0.35 | $0.28 | — | WARRANT AND RIGH | 00165R119 |
| — | LF CAP ACQUISITION CORP WT EXP | 447,993 | $143K | 0.0% | $0.32 | $0.50 | — | WARRANT AND RIGH | 50200K116 |
| — | VECTOIQ ACQUISITION CORP WT EX | 279,200 | $140K | 0.0% | $0.50 | $0.59 | — | WARRANT AND RIGH | 92243N111 |
| EVH | EVOLENT HEALTH INC CL A | 18,700 | $134K | 0.0% | $7.17 | $13.43 | -46.6% | COM | 30050B101 |
| — | CHASERG TECHNLGY ACQUISITN CWT | 147,768 | $132K | 0.0% | $0.89 | $0.65 | — | WARRANT AND RIGH | 16166A111 |
| — | ROAN RES INC CL A COM | 105,550 | $130K | 0.0% | $1.23 | $1.74 | — | COM | 769755109 |
| — | MONOCLE ACQUISITION CORP WT EX | 284,300 | $128K | 0.0% | $0.45 | $0.35 | — | WARRANT AND RIGH | 609754114 |
| — | VEON LTD ADR | 42,000 | $101K | 0.0% | $2.40 | $3.14 | — | COM | 91822M106 |
| — | NEBULA ACQUISITION CORP WT EXP | 93,031 | $93,000 | 0.0% | $1.00 | $1.35 | — | WARRANT AND RIGH | 629076118 |
| — | ANDINA ACQUISITION CORP III RT | 243,600 | $73,000 | 0.0% | $0.30 | $0.26 | — | WARRANT AND RIGH | G04415132 |
| — | GAMCO NAT RESOURCE GOLD X | 12,664 | $72,000 | 0.0% | $5.69 | $5.83 | — | MUTUAL FUNDS | 36465E101 |
| — | TKK SYMPHONY ACQUISITION CORRT | 208,580 | $50,000 | 0.0% | $0.24 | $0.32 | — | WARRANT AND RIGH | G88950137 |
| SNAXW | ANDINA ACQUISITION CORP III WT | 243,600 | $49,000 | 0.0% | $0.20 | $0.21 | — | WARRANT AND RIGH | G04415124 |
| — | TENZING ACQUISITION CORP WT EX | 194,500 | $49,000 | 0.0% | $0.25 | $0.16 | — | WARRANT AND RIGH | G8708A108 |
| — | B RILEY PRINCIPAL MERGER CORWT | 100,150 | $46,000 | 0.0% | $0.46 | $0.50 | — | WARRANT AND RIGH | 05586Y114 |
| — | TRINE ACQUISITION CORP WT EXP | 49,500 | $39,000 | 0.0% | $0.79 | $0.75 | — | WARRANT AND RIGH | 89628U116 |
| — | INTERNAP CORP COM PAR | 10,000 | $26,000 | 0.0% | $2.60 | $15.70 | — | COM | 45885A409 |
| OPK | OPKO HEALTH INC COM | 10,000 | $21,000 | 0.0% | $2.10 * | $7.71 | -73.5% | COM | 68375N103 |
| — | TKK SYMPHONY ACQUISITION CORWT | 208,580 | $19,000 | 0.0% | $0.09 | $0.17 | — | WARRANT AND RIGH | G88950129 |