Location: Carlsbad, CA
CIK: 0001568303 · Show all filings
Period: Q3 2013 (← Previous) (Next →)
Filing Date: Nov 12, 2013
Total Value: $395M (98.1% shares, 1.9% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | LEVEL 3 COMMUNICATIONS INC | 2,655,006 | $70.86M | 18.0% | $21.08 | — | COM NEW | 52729N308 |
| — | CHIMERA INVT CORP | 14,943,452 | $45.43M | 11.5% | $3.00 | — | COM | 16934Q109 |
| BKD | BROOKDALE SR LIVING INC | 794,140 | $20.89M | 5.3% | $27.55 | -0.5% | COM | 112463104 |
| EPD | ENTERPRISE PRODS PARTNERS L | 339,511 | $20.72M | 5.2% | $62.15 | — | COM | 293792107 |
| — | ANNALY CAP MGMT INC | 1,344,222 | $15.57M | 3.9% | $12.57 | — | COM | 035710409 |
| GS | GOLDMAN SACHS GROUP INC | 89,400 | $14.14M | 3.6% | $120.06 | +5.9% | COM | 38141G104 |
| SYK | STRYKER CORP | 201,120 | $13.59M | 3.4% | $56.92 | +4.4% | COM | 863667101 |
| — | TWO HBRS INVT CORP | 1,154,855 | $11.21M | 2.8% | $10.19 | — | COM | 90187B101 |
| — | CYS INVTS INC | 1,357,826 | $11.04M | 2.8% | $9.03 | — | COM | 12673A108 |
| MSFT | MICROSOFT CORP | 330,000 | $10.98M | 2.8% | $26.70 | +1.1% | COM | 594918104 |
| — | GENERAL ELECTRIC CO | 452,069 | $10.8M | 2.7% | $23.19 | — | COM | 369604103 |
| ARI | APOLLO COML REAL EST FIN INC | 514,606 | $7.858M | 2.0% | $15.79 | — | COM | 03762U105 |
| — | LEVEL 3 COMMUNICATIONS INC | 5,000,000 | $7.544M | 1.9% | $1.36 | — | NOTE 6.500%10/0 | 52729NBR0 |
| — | MFA FINL INC | 899,500 | $6.701M | 1.7% | $8.25 | — | COM | 55272X102 |
| — | ELLINGTON FINANCIAL LLC | 297,374 | $6.682M | 1.7% | $22.81 | — | COM | 288522303 |
| — | ALLIED WRLD ASSUR COM HLDG A | 58,480 | $5.812M | 1.5% | $91.52 | — | SHS | H01531104 |
| — | MVC CAPITAL INC | 380,752 | $4.973M | 1.3% | $12.64 | — | COM | 553829102 |
| — | ZAIS FINL CORP | 283,776 | $4.924M | 1.2% | $17.96 | — | COM | 98886K108 |
| NMFC | NEW MTN FIN CORP | 339,800 | $4.897M | 1.2% | $3.91 | +1.1% | COM | 647551100 |
| ZBH | ZIMMER HLDGS INC | 59,600 | $4.895M | 1.2% | $67.30 | +5.6% | COM | 98956P102 |
| — | REGENCY ENERGY PARTNERS L P | 148,835 | $4.257M | 1.1% | $26.97 | — | COM UNITS L P | 75885Y107 |
| RIG | TRANSOCEAN LTD | 91,138 | $4.056M | 1.0% | $50.97 | -7.2% | REG SHS | H8817H100 |
| — | TARGA RESOURCES PARTNERS LP | 76,095 | $3.917M | 1.0% | $50.45 | — | COM UNIT | 87611X105 |
| PFE | PFIZER INC | 122,347 | $3.514M | 0.9% | $16.46 | -0.6% | COM | 717081103 |
| — | TOTAL S A | 60,000 | $3.475M | 0.9% | $48.70 | — | SPONSORED ADR | 89151E109 |
| PNNT | PENNANTPARK INVT CORP | 307,624 | $3.47M | 0.9% | $2.41 | +4.7% | COM | 708062104 |
| — | HOME LN SERVICING SOLUTIONS | 136,000 | $2.993M | 0.8% | $23.97 | — | ORD SHS | G6648D109 |
| — | NUSTAR ENERGY LP | 70,406 | $2.824M | 0.7% | $45.65 | — | UNIT COM | 67058H102 |
| CSCO | CISCO SYS INC | 120,000 | $2.812M | 0.7% | $15.24 | +11.1% | COM | 17275R102 |
| SLRC | SOLAR CAP LTD | 126,462 | $2.805M | 0.7% | $7.36 | -0.9% | COM | 83413U100 |
| STWD | STARWOOD PPTY TR INC | 111,753 | $2.679M | 0.7% | $24.75 | — | COM | 85571B105 |
| — | COMCAST CORP NEW | 60,000 | $2.601M | 0.7% | $39.67 | — | CL A SPL | 20030N200 |
| — | TRANSATLANTIC PETROLEUM LTD | 2,992,596 | $2.514M | 0.6% | $0.69 | — | SHS | G89982105 |
| — | SOLAR SR CAP LTD | 131,980 | $2.386M | 0.6% | $18.41 | — | COM | 83416M105 |
| — | MEDLEY CAP CORP | 159,611 | $2.201M | 0.6% | $13.58 | — | COM | 58503F106 |
| EXC | EXELON CORP | 70,000 | $2.075M | 0.5% | $15.41 | -8.9% | COM | 30161N101 |
| XOM | EXXON MOBIL CORP | 23,240 | $2M | 0.5% | $53.69 | +0.9% | COM | 30231G102 |
| — | CALUMET SPECIALTY PRODS PTNR | 69,547 | $1.898M | 0.5% | $36.38 | — | UT LTD PARTNER | 131476103 |
| — | TC PIPELINES LP | 38,000 | $1.851M | 0.5% | $48.29 | — | UT COM LTD PRT | 87233Q108 |
| — | JPMORGAN CHASE & CO | 108,800 | $1.823M | 0.5% | — | — | Call | 46634E114 |
| — | BUCKEYE PARTNERS L P | 26,963 | $1.767M | 0.4% | $69.06 | — | UNIT LTD PARTN | 118230101 |
| VALE | VALE S A | 105,600 | $1.648M | 0.4% | $13.15 | — | ADR | 91912E105 |
| — | TRAVELCENTERS OF AMERICA LLC | 208,000 | $1.633M | 0.4% | $10.94 | — | COM | 894174101 |
| — | BOARDWALK PIPELINE PARTNERS | 49,796 | $1.512M | 0.4% | $30.20 | — | UT LTD PARTNER | 096627104 |
| HRZN | HORIZON TECHNOLOGY FIN CORP | 113,334 | $1.51M | 0.4% | $3.38 | +0.7% | COM | 44045A102 |
| PBR | PETROLEO BRASILEIRO SA PETRO | 95,000 | $1.472M | 0.4% | $13.41 | — | SPONSORED ADR | 71654V408 |
| — | MB FINANCIAL INC NEW | 50,000 | $1.411M | 0.4% | $26.80 | — | COM | 55264U108 |
| — | VODAFONE GROUP PLC NEW | 40,000 | $1.407M | 0.4% | $28.75 | — | SPONS ADR NEW | 92857W209 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 24,600 | $1.388M | 0.4% | $54.51 | — | COM UNIT RP LP | 559080106 |
| GM | GENERAL MTRS CO | 35,306 | $1.27M | 0.3% | $23.62 | +13.2% | COM | 37045V100 |
| ZTS | ZOETIS INC | 38,559 | $1.2M | 0.3% | $29.32 | -5.2% | CL A | 98978V103 |
| GM | GENERAL MTRS CO | 1,175 | $1.194M | 0.3% | $23.62 | +13.2% | Call | 37045V100 |
| YPF | YPF SOCIEDAD ANONIMA | 57,500 | $1.157M | 0.3% | $14.77 | — | SPON ADR CL D | 984245100 |
| — | KKR FINL HLDGS LLC | 102,541 | $1.059M | 0.3% | $10.55 | — | COM | 48248A306 |
| CUBI | CUSTOMERS BANCORP INC | 65,000 | $1.047M | 0.3% | $15.14 | +0.4% | COM | 23204G100 |
| — | E M C CORP MASS | 40,000 | $1.022M | 0.3% | $23.63 | — | COM | 268648102 |
| ABBV | ABBVIE INC | 22,000 | $984K | 0.2% | $26.55 | +2.3% | COM | 00287Y109 |
| VEOEY | VEOLIA ENVIRONNEMENT | 55,000 | $942K | 0.2% | $11.42 | — | SPONSORED ADR | 92334N103 |
| — | INVESCO MORTGAGE CAPITAL INC | 60,834 | $936K | 0.2% | $16.57 | — | COM | 46131B100 |
| LLY | LILLY ELI & CO | 18,000 | $906K | 0.2% | $42.21 | -2.9% | COM | 532457108 |
| — | ISTAR FINL INC | 75,000 | $903K | 0.2% | $11.29 | — | COM | 45031U101 |
| KBR | KBR INC | 27,000 | $881K | 0.2% | $26.54 | -0.2% | COM | 48242W106 |
| — | GENERAL MTRS CO | 32,096 | $848K | 0.2% | — | — | Call | 37045V118 |
| PFLT | PENNANTPARK FLOATING RATE CA | 59,604 | $821K | 0.2% | $4.10 | -1.7% | COM | 70806A106 |
| — | GENERAL GROWTH PPTYS INC NEW | 40,719 | $785K | 0.2% | $19.87 | — | COM | 370023103 |
| ABT | ABBOTT LABS | 22,000 | $730K | 0.2% | $28.85 | -4.0% | COM | 002824100 |
| — | AMERICAN CAPITAL AGENCY CORP | 30,100 | $680K | 0.2% | $23.02 | — | COM | 02503X105 |
| MDLZ | MONDELEZ INTL INC | 20,000 | $628K | 0.2% | $23.16 | +2.4% | CL A | 609207105 |
| — | GENERAL MTRS CO | 32,096 | $597K | 0.2% | — | — | Call | 37045V126 |
| — | SILVER BAY RLTY TR CORP | 36,791 | $576K | 0.1% | $16.55 | — | COM | 82735Q102 |
| XYL | XYLEM INC | 20,000 | $559K | 0.1% | $23.44 | -3.1% | COM | 98419M100 |
| — | VALE S A | 37,500 | $533K | 0.1% | $12.16 | — | ADR REPSTG PFD | 91912E204 |
| COP | CONOCOPHILLIPS | 7,200 | $500K | 0.1% | $39.96 | +11.3% | COM | 20825C104 |
| — | LEVEL 3 COMMUNICATIONS INC | 1,750 | $414K | 0.1% | $21.08 | — | Put | 52729N308 |
| — | BARRICK GOLD CORP | 19,250 | $358K | 0.1% | $15.74 | — | COM | 067901108 |
| — | SANDRIDGE ENERGY INC | 61,162 | $358K | 0.1% | $4.76 | — | COM | 80007P307 |
| BKD | BROOKDALE SR LIVING INC | 1,400 | $350K | 0.1% | $27.55 | -0.5% | Put | 112463104 |
| — | KRAFT FOODS GROUP INC | 6,666 | $350K | 0.1% | $55.81 | — | COM | 50076Q106 |
| — | EXELIS INC | 20,000 | $314K | 0.1% | $13.80 | — | COM | 30162A108 |
| GLW | CORNING INC | 5,200 | $312K | 0.1% | — | — | Call | 219350105 |
| — | ITT CORP NEW | 8,300 | $298K | 0.1% | $29.40 | — | COM NEW | 450911201 |
| KMI | KINDER MORGAN INC DEL | 7,600 | $270K | 0.1% | $20.66 | -2.4% | COM | 49456B101 |
| — | CABELAS INC | 850 | $236K | 0.1% | — | — | Put | 126804301 |
| BA | BOEING CO | 100 | $186K | 0.0% | — | — | Call | 097023105 |
| QCOM | QUALCOMM INC | 250 | $158K | 0.0% | — | — | Call | 747525103 |
| — | INTREPID POTASH INC | 9,100 | $143K | 0.0% | $19.01 | — | COM | 46121Y102 |
| — | OCWEN FINL CORP | 100 | $141K | 0.0% | $480.00 | — | Call | 675746309 |
| — | GENERAL ELECTRIC CO | 407 | $132K | 0.0% | $23.19 | — | Put | 369604103 |
| MSFT | MICROSOFT CORP | 2,320 | $129K | 0.0% | $26.70 | +1.1% | Put | 594918104 |
| SYK | STRYKER CORP | 800 | $105K | 0.0% | $56.92 | +4.4% | Put | 863667101 |
| — | NEW RESIDENTIAL INVT CORP | 12,000 | $79,000 | 0.0% | $6.75 | — | COM | 64828T102 |
| — | NEWCASTLE INVT CORP | 12,000 | $67,000 | 0.0% | $5.25 | — | COM | 65105M108 |
| GS | GOLDMAN SACHS GROUP INC | 300 | $49,000 | 0.0% | $120.06 | +5.9% | Put | 38141G104 |
| SONY | SONY CORP | 2,000 | $43,000 | 0.0% | $21.00 | — | ADR NEW | 835699307 |
| ZBH | ZIMMER HLDGS INC | 325 | $31,000 | 0.0% | $67.30 | +5.6% | Put | 98956P102 |
| PFE | PFIZER INC | 966 | $22,000 | 0.0% | $16.46 | -0.6% | Put | 717081103 |
| GLD | SPDR GOLD TRUST | 1,000 | $18,000 | 0.0% | — | — | Call | 78463V107 |
| — | BARRICK GOLD CORP | 2,000 | $15,000 | 0.0% | $15.74 | — | Call | 067901108 |
| AAPL | APPLE INC | 50 | $12,000 | 0.0% | $13.16 | +8.5% | Put | 037833100 |
| — | PENNEY J C INC | 500 | $5,000 | 0.0% | — | — | Call | 708160106 |