Location: Carlsbad, CA
CIK: 0001568303 · Show all filings
Period: Q4 2013 (← Previous) (Next →)
Filing Date: Feb 10, 2014
Total Value: $435M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | LEVEL 3 COMMUNICATIONS INC | 2,924,911 | $97.02M | 22.3% | $33.17 | $22.20 | — | COM NEW | 52729N308 |
| — | CHIMERA INVT CORP | 15,938,854 | $49.41M | 11.4% | $3.10 | $3.01 | — | COM | 16934Q109 |
| EPD | ENTERPRISE PRODS PARTNERS L | 339,511 | $22.51M | 5.2% | $66.30 | $62.15 | — | COM | 293792107 |
| BKD | BROOKDALE SR LIVING INC | 794,140 | $21.59M | 5.0% | $27.18 | $27.55 | +0.6% | COM | 112463104 |
| GS | GOLDMAN SACHS GROUP INC | 89,400 | $15.85M | 3.6% | $177.26 * | $120.06 | +8.8% | COM | 38141G104 |
| — | CYS INVTS INC | 2,019,210 | $14.96M | 3.4% | $7.41 | $8.50 | — | COM | 12673A108 |
| SYK | STRYKER CORP | 181,120 | $13.61M | 3.1% | $75.14 * | $56.92 | +10.8% | COM | 863667101 |
| — | ANNALY CAP MGMT INC | 1,361,822 | $13.58M | 3.1% | $9.97 | $12.54 | — | COM | 035710409 |
| MSFT | MICROSOFT CORP | 330,000 | $12.35M | 2.8% | $37.41 * | $26.70 | +12.4% | COM | 594918104 |
| — | GENERAL ELECTRIC CO | 427,669 | $11.99M | 2.8% | $28.03 | $23.19 | — | COM | 369604103 |
| — | TWO HBRS INVT CORP | 1,271,654 | $11.8M | 2.7% | $9.28 | $10.11 | — | COM | 90187B101 |
| ARI | APOLLO COML REAL EST FIN INC | 547,920 | $8.904M | 2.0% | $16.25 | $15.82 | — | COM | 03762U105 |
| — | MFA FINL INC | 1,164,000 | $8.218M | 1.9% | $7.06 | $7.98 | — | COM | 55272X102 |
| — | ELLINGTON FINANCIAL LLC | 297,374 | $6.741M | 1.6% | $22.67 | $22.81 | — | COM | 288522303 |
| — | ALLIED WRLD ASSUR COM HLDG A | 58,480 | $6.597M | 1.5% | $112.81 | $91.52 | — | SHS | H01531104 |
| — | MVC CAPITAL INC | 401,787 | $5.424M | 1.2% | $13.50 | $12.68 | — | COM | 553829102 |
| NMFC | NEW MTN FIN CORP | 339,800 | $5.111M | 1.2% | $15.04 * | $3.91 | +4.1% | COM | 647551100 |
| — | ZAIS FINL CORP | 309,211 | $4.957M | 1.1% | $16.03 | $17.81 | — | COM | 98886K108 |
| RIG | TRANSOCEAN LTD | 91,138 | $4.504M | 1.0% | $49.42 | $50.97 | -4.0% | REG SHS | H8817H100 |
| — | TARGA RESOURCES PARTNERS LP | 76,095 | $3.98M | 0.9% | $52.30 | $50.45 | — | COM UNIT | 87611X105 |
| — | REGENCY ENERGY PARTNERS L P | 148,835 | $3.908M | 0.9% | $26.26 | $26.97 | — | COM UNITS L P | 75885Y107 |
| PFE | PFIZER INC | 122,347 | $3.747M | 0.9% | $30.63 * | $16.46 | +7.1% | COM | 717081103 |
| — | NUSTAR ENERGY LP | 70,406 | $3.59M | 0.8% | $50.99 | $45.65 | — | UNIT COM | 67058H102 |
| PNNT | PENNANTPARK INVT CORP | 307,624 | $3.568M | 0.8% | $11.60 * | $2.41 | +7.8% | COM | 708062104 |
| — | HOME LN SERVICING SOLUTIONS | 136,000 | $3.124M | 0.7% | $22.97 | $23.97 | — | ORD SHS | G6648D109 |
| STWD | STARWOOD PPTY TR INC | 111,753 | $3.096M | 0.7% | $27.70 | $24.75 | — | COM | 85571B105 |
| — | TRANSATLANTIC PETROLEUM LTD | 3,594,900 | $3.056M | 0.7% | $0.85 | $0.72 | — | SHS | G89982105 |
| — | COMCAST CORP NEW | 60,000 | $2.993M | 0.7% | $49.88 | $39.67 | — | CL A SPL | 20030N200 |
| SLRC | SOLAR CAP LTD | 121,462 | $2.739M | 0.6% | $22.55 * | $7.36 | +0.7% | COM | 83413U100 |
| CSCO | CISCO SYS INC | 120,000 | $2.692M | 0.6% | $22.43 * | $15.24 | -0.2% | COM | 17275R102 |
| ZBH | ZIMMER HLDGS INC | 27,100 | $2.525M | 0.6% | $93.17 * | $67.30 | +16.3% | COM | 98956P102 |
| — | SOLAR SR CAP LTD | 131,980 | $2.405M | 0.6% | $18.22 | $18.41 | — | COM | 83416M105 |
| XOM | EXXON MOBIL CORP | 23,240 | $2.352M | 0.5% | $101.20 * | $53.69 | +4.2% | COM | 30231G102 |
| — | MEDLEY CAP CORP | 159,611 | $2.211M | 0.5% | $13.85 | $13.58 | — | COM | 58503F106 |
| — | JPMORGAN CHASE & CO | 108,800 | $2.11M | 0.5% | $19.39 | — | — | Call | 46634E114 |
| — | TRAVELCENTERS OF AMERICA LLC | 208,000 | $2.026M | 0.5% | $9.74 | $10.94 | — | COM | 894174101 |
| EXC | EXELON CORP | 70,000 | $1.917M | 0.4% | $27.39 * | $15.41 | -15.4% | COM | 30161N101 |
| — | BUCKEYE PARTNERS L P | 26,963 | $1.915M | 0.4% | $71.02 | $69.06 | — | UNIT LTD PARTN | 118230101 |
| — | TC PIPELINES LP | 38,000 | $1.84M | 0.4% | $48.42 | $48.29 | — | UT COM LTD PRT | 87233Q108 |
| — | CALUMET SPECIALTY PRODS PTNR | 69,547 | $1.81M | 0.4% | $26.03 | $36.38 | — | UT LTD PARTNER | 131476103 |
| GM | GENERAL MTRS CO | 1,175 | $1.739M | 0.4% | $1480.00 * | $23.62 | +19.3% | Call | 37045V100 |
| — | TOTAL S A | 27,700 | $1.697M | 0.4% | $61.26 | $48.70 | — | SPONSORED ADR | 89151E109 |
| VALE | VALE S A | 105,600 | $1.61M | 0.4% | $15.25 | $13.15 | — | ADR | 91912E105 |
| HRZN | HORIZON TECHNOLOGY FIN CORP | 113,334 | $1.61M | 0.4% | $14.21 * | $3.38 | +2.9% | COM | 44045A102 |
| — | MB FINANCIAL INC NEW | 50,000 | $1.603M | 0.4% | $32.06 | $26.80 | — | COM | 55264U108 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 24,600 | $1.556M | 0.4% | $63.25 | $54.51 | — | COM UNIT RP LP | 559080106 |
| — | BARRICK GOLD CORP | 85,950 | $1.515M | 0.3% | $17.63 | $17.20 | — | COM | 067901108 |
| YPF | YPF SOCIEDAD ANONIMA | 44,500 | $1.467M | 0.3% | $32.97 | $14.77 | — | SPON ADR CL D | 984245100 |
| GM | GENERAL MTRS CO | 32,180 | $1.315M | 0.3% | $40.86 * | $23.62 | +19.3% | COM | 37045V100 |
| PBR | PETROLEO BRASILEIRO SA PETRO | 95,000 | $1.309M | 0.3% | $13.78 | $13.41 | — | SPONSORED ADR | 71654V408 |
| PFLT | PENNANTPARK FLOATING RATE CA | 93,520 | $1.284M | 0.3% | $13.73 * | $4.08 | -0.9% | COM | 70806A106 |
| — | BOARDWALK PIPELINE PARTNERS | 49,796 | $1.271M | 0.3% | $25.52 | $30.20 | — | UT LTD PARTNER | 096627104 |
| — | LEVEL 3 COMMUNICATIONS INC | 6,000 | $1.199M | 0.3% | $199.83 | $22.20 | — | Put | 52729N308 |
| ABBV | ABBVIE INC | 22,000 | $1.162M | 0.3% | $52.82 * | $26.55 | +14.5% | COM | 00287Y109 |
| FSLR | FIRST SOLAR INC | 20,000 | $1.093M | 0.3% | $54.65 | $54.68 | 0.0% | COM | 336433107 |
| — | ISTAR FINL INC | 75,000 | $1.07M | 0.2% | $14.27 | $11.29 | — | COM | 45031U101 |
| — | GENERAL MTRS CO | 33,799 | $1.053M | 0.2% | $31.15 | — | — | Call | 37045V118 |
| — | E M C CORP MASS | 40,000 | $1.006M | 0.2% | $25.15 | $23.63 | — | COM | 268648102 |
| — | AMERICAN CAPITAL AGENCY CORP | 50,100 | $966K | 0.2% | $19.28 | $21.53 | — | COM | 02503X105 |
| LLY | LILLY ELI & CO | 18,000 | $918K | 0.2% | $51.00 * | $42.21 | -6.2% | COM | 532457108 |
| GLW | CORNING INC | 3,200 | $907K | 0.2% | $283.44 | — | — | Call | 219350105 |
| — | INVESCO MORTGAGE CAPITAL INC | 60,834 | $893K | 0.2% | $14.68 | $16.57 | — | COM | 46131B100 |
| KBR | KBR INC | 27,000 | $861K | 0.2% | $31.89 * | $26.54 | +4.8% | COM | 48242W106 |
| ABT | ABBOTT LABS | 22,000 | $843K | 0.2% | $38.32 * | $28.85 | +1.3% | COM | 002824100 |
| — | GENERAL GROWTH PPTYS INC NEW | 40,719 | $817K | 0.2% | $20.06 | $19.87 | — | COM | 370023103 |
| — | GENERAL MTRS CO | 33,799 | $781K | 0.2% | $23.11 | — | — | Call | 37045V126 |
| MDLZ | MONDELEZ INTL INC | 20,000 | $706K | 0.2% | $35.30 * | $23.16 | +10.2% | CL A | 609207105 |
| ZTS | ZOETIS INC | 21,174 | $692K | 0.2% | $32.68 * | $29.32 | -1.1% | CL A | 98978V103 |
| — | SILVER BAY RLTY TR CORP | 36,791 | $588K | 0.1% | $15.98 | $16.55 | — | COM | 82735Q102 |
| ESNT | ESSENT GROUP LTD | 23,600 | $568K | 0.1% | $24.07 * | $19.64 | 0.0% | COM | G3198U102 |
| — | VALE S A | 37,500 | $525K | 0.1% | $14.00 | $12.16 | — | ADR REPSTG PFD | 91912E204 |
| COP | CONOCOPHILLIPS | 7,200 | $509K | 0.1% | $70.69 * | $39.96 | +21.1% | COM | 20825C104 |
| — | NUVEEN PREM INCOME MUN FD | 37,251 | $459K | 0.1% | $12.32 | $12.32 | — | COM | 67062T100 |
| — | SANDRIDGE ENERGY INC | 61,162 | $371K | 0.1% | $6.07 | $4.76 | — | COM | 80007P307 |
| — | GENERAL ELECTRIC CO | 2,760 | $367K | 0.1% | $132.97 | $23.19 | — | Put | 369604103 |
| BA | BOEING CO | 100 | $365K | 0.1% | $3650.00 | — | — | Call | 097023105 |
| — | KRAFT FOODS GROUP INC | 6,666 | $359K | 0.1% | $53.86 | $55.81 | — | COM | 50076Q106 |
| XYL | XYLEM INC | 10,000 | $346K | 0.1% | $34.60 * | $23.44 | +17.7% | COM | 98419M100 |
| EARN | ELLINGTON RESIDENTIAL MTG RE | 22,478 | $346K | 0.1% | $15.39 | $15.39 | — | COM SHS BEN INT | 288578107 |
| — | INVESCO QUALITY MUNI INC TRS | 30,674 | $341K | 0.1% | $11.12 | $11.12 | — | COM | 46133G107 |
| — | INVESCO MUN OPPORTUNITY TR | 27,800 | $326K | 0.1% | $11.73 | $11.73 | — | COM | 46132C107 |
| — | INVESCO MUN TR | 26,900 | $312K | 0.1% | $11.60 | $11.60 | — | COM | 46131J103 |
| — | INVESCO ADVANTAGE MUNICIPAL | 28,300 | $298K | 0.1% | $10.53 | $10.53 | — | SH BEN INT | 46132E103 |
| — | INVESCO TR INVT GRADE MUNS | 24,400 | $297K | 0.1% | $12.17 | $12.17 | — | COM | 46131M106 |
| QCOM | QUALCOMM INC | 250 | $294K | 0.1% | $1176.00 | — | — | Call | 747525103 |
| — | EATON VANCE MUN BD FD | 25,500 | $288K | 0.1% | $11.29 | $11.29 | — | COM | 27827X101 |
| — | ALLIANCEBERNSTEIN NATL MUNI | 22,450 | $281K | 0.1% | $12.52 | $12.52 | — | COM | 01864U106 |
| — | ALTISOURCE PORTFOLIO SOLNS S | 121 | $279K | 0.1% | $2305.79 | — | — | Call | L0175J104 |
| KMI | KINDER MORGAN INC DEL | 7,600 | $274K | 0.1% | $36.05 * | $20.66 | -7.8% | COM | 49456B101 |
| — | PUTNAM MANAGED MUN INCOM TR | 32,800 | $218K | 0.1% | $6.65 | $6.65 | — | COM | 746823103 |
| RIG | TRANSOCEAN LTD | 300 | $214K | 0.0% | $713.33 * | $50.97 | -4.0% | Put | H8817H100 |
| — | EXELIS INC | 10,000 | $191K | 0.0% | $19.10 | $13.80 | — | COM | 30162A108 |
| — | INTREPID POTASH INC | 9,100 | $144K | 0.0% | $15.82 | $19.01 | — | COM | 46121Y102 |
| — | OCWEN FINL CORP | 100 | $129K | 0.0% | $1290.00 | — | — | Call | 675746309 |
| BKD | BROOKDALE SR LIVING INC | 1,400 | $119K | 0.0% | $85.00 * | $27.55 | +0.6% | Put | 112463104 |
| MSFT | MICROSOFT CORP | 2,970 | $111K | 0.0% | $37.37 * | $26.70 | +12.4% | Put | 594918104 |
| — | NEW RESIDENTIAL INVT CORP | 12,000 | $80,000 | 0.0% | $6.67 | $6.75 | — | COM | 64828T102 |
| — | NEWCASTLE INVT CORP | 12,000 | $69,000 | 0.0% | $5.75 | $5.25 | — | COM | 65105M108 |
| — | INVESCO CALIF VALUE MUN INC | 5,000 | $57,000 | 0.0% | $11.40 | $11.40 | — | COM | 46132H106 |
| SONY | SONY CORP | 2,000 | $35,000 | 0.0% | $17.50 | $21.00 | — | ADR NEW | 835699307 |
| — | CABELAS INC | 100 | $15,000 | 0.0% | $150.00 | — | — | Put | 126804301 |
| — | BURGER KING WORLDWIDE INC | 400 | $10,000 | 0.0% | $25.00 | — | — | Put | 121220107 |
| GS | GOLDMAN SACHS GROUP INC | 300 | $2,000 | 0.0% | $6.67 * | $120.06 | +8.8% | Put | 38141G104 |
| AAPL | APPLE INC | 50 | $1,000 | 0.0% | $20.00 | — | — | Put | 037833100 |
| — | BARRICK GOLD CORP | 2,000 | $1,000 | 0.0% | $0.50 | $17.20 | — | Call | 067901108 |
| PFE | PFIZER INC | 966 | $1,000 | 0.0% | $1.04 * | $16.46 | +7.1% | Put | 717081103 |
| — | PENNEY J C INC | 500 | $1,000 | 0.0% | $2.00 | — | — | Call | 708160106 |