Location: Carlsbad, CA
CIK: 0001568303 · Show all filings
Period: Q4 2015 (← Previous) (Next →)
Filing Date: Feb 11, 2016
Total Value: $390M (99.8% shares, 0.2% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | CHIMERA INVT CORP | 4,209,375 | $57.42M | 14.7% | $13.64 | $13.69 | — | COM NEW | 16934Q208 |
| — | WEST CORP | 1,034,345 | $22.31M | 5.7% | $21.57 | $23.48 | — | COM | 952355204 |
| SUI | SUN CMNTYS INC | 270,148 | $18.51M | 4.7% | $68.53 | $67.76 | — | COM | 866674104 |
| EPD | ENTERPRISE PRODS PARTNERS L | 679,022 | $17.37M | 4.5% | $25.58 | $51.23 | — | COM | 293792107 |
| — | CYS INVTS INC | 2,120,310 | $15.12M | 3.9% | $7.13 | $8.46 | — | COM | 12673A108 |
| BKD | BROOKDALE SR LIVING INC | 735,940 | $13.59M | 3.5% | $18.46 * | $26.19 | -17.8% | COM | 112463104 |
| — | ANNALY CAP MGMT INC | 1,361,822 | $12.77M | 3.3% | $9.38 | $12.54 | — | COM | 035710409 |
| GS | GOLDMAN SACHS GROUP INC | 69,400 | $12.51M | 3.2% | $180.23 * | $120.06 | +25.9% | COM | 38141G104 |
| SYK | STRYKER CORP | 131,220 | $12.2M | 3.1% | $92.94 * | $56.92 | +49.7% | COM | 863667101 |
| — | TWO HBRS INVT CORP | 1,307,654 | $10.59M | 2.7% | $8.10 | $10.07 | — | COM | 90187B101 |
| — | LEVEL 3 COMMUNICATIONS INC | 1,930,211 | $10.49M | 2.7% | $5.44 | $22.20 | — | COM NEW | 52729N308 |
| — | MFA FINL INC | 1,218,300 | $8.041M | 2.1% | $6.60 | $7.97 | — | COM | 55272X102 |
| SLRC | SOLAR CAP LTD | 479,013 | $7.87M | 2.0% | $16.43 * | $6.98 | -4.3% | COM | 83413U100 |
| — | ELLINGTON FINANCIAL LLC | 442,344 | $7.423M | 1.9% | $16.78 | $22.62 | — | COM | 288522303 |
| — | MVC CAPITAL INC | 971,122 | $7.157M | 1.8% | $7.37 | $11.46 | — | COM | 553829102 |
| — | SOLAR SR CAP LTD | 462,645 | $6.893M | 1.8% | $14.90 | $16.13 | — | COM | 83416M105 |
| ARI | APOLLO COML REAL EST FIN INC | 389,286 | $6.707M | 1.7% | $17.23 | $15.82 | — | COM | 03762U105 |
| — | ALLIED WRLD ASSUR COM HLDG A | 150,440 | $5.595M | 1.4% | $37.19 | $55.85 | — | SHS | H01531104 |
| — | ZAIS FINL CORP | 343,168 | $5.175M | 1.3% | $15.08 | $17.49 | — | COM | 98886K108 |
| NMFC | NEW MTN FIN CORP | 384,462 | $5.006M | 1.3% | $13.02 * | $4.01 | +16.2% | COM | 647551100 |
| PNNT | PENNANTPARK INVT CORP | 748,056 | $4.623M | 1.2% | $6.18 * | $2.40 | -19.2% | COM | 708062104 |
| GSBD | GOLDMAN SACHS BDC INC | 228,702 | $4.345M | 1.1% | $19.00 * | $22.86 | -13.5% | SHS | 38147U107 |
| — | BARRICK GOLD CORP | 582,197 | $4.297M | 1.1% | $7.38 | $14.59 | — | COM | 067901108 |
| SYF | SYNCHRONY FINL | 140,362 | $4.268M | 1.1% | $30.41 * | $25.00 | 0.0% | COM | 87165B103 |
| — | THL CR INC | 392,893 | $4.204M | 1.1% | $10.70 | $11.95 | — | COM | 872438106 |
| NEM | NEWMONT MINING CORP | 192,763 | $3.468M | 0.9% | $17.99 * | $17.09 | -15.7% | COM | 651639106 |
| CMCSA | COMCAST CORP NEW | 60,000 | $3.386M | 0.9% | $56.43 * | $23.76 | 0.0% | CL A | 20030N101 |
| STWD | STARWOOD PPTY TR INC | 160,853 | $3.307M | 0.8% | $20.56 | $23.47 | — | COM | 85571B105 |
| CSCO | CISCO SYS INC | 120,000 | $3.259M | 0.8% | $27.16 * | $15.24 | +32.3% | COM | 17275R102 |
| GM | GENERAL MTRS CO | 88,211 | $3M | 0.8% | $34.01 * | $26.01 | +6.5% | COM | 37045V100 |
| BXMT | BLACKSTONE MTG TR INC | 111,249 | $2.977M | 0.8% | $26.76 | $27.85 | — | COM CL A | 09257W100 |
| PFLT | PENNANTPARK FLOATING RATE CA | 263,584 | $2.965M | 0.8% | $11.25 * | $4.21 | -2.6% | COM | 70806A106 |
| — | NUSTAR ENERGY LP | 70,406 | $2.823M | 0.7% | $40.10 | $45.65 | — | UNIT COM | 67058H102 |
| ZBH | ZIMMER BIOMET HLDGS INC | 27,100 | $2.78M | 0.7% | $102.58 * | $67.30 | +33.8% | COM | 98956P102 |
| PFE | PFIZER INC | 84,247 | $2.719M | 0.7% | $32.27 * | $16.46 | +23.8% | COM | 717081103 |
| FDUS | FIDUS INVT CORP | 193,358 | $2.647M | 0.7% | $13.69 * | $4.61 | -1.3% | COM | 316500107 |
| — | DOW CHEM CO | 50,000 | $2.574M | 0.7% | $51.48 | $51.48 | — | COM | 260543103 |
| — | GENERAL ELECTRIC CO | 79,952 | $2.491M | 0.6% | $31.16 | $23.19 | — | COM | 369604103 |
| — | MEDLEY CAP CORP | 322,733 | $2.427M | 0.6% | $7.52 | $9.56 | — | COM | 58503F106 |
| HRZN | HORIZON TECHNOLOGY FIN CORP | 206,354 | $2.421M | 0.6% | $11.73 * | $3.32 | +2.9% | COM | 44045A102 |
| NEWT | NEWTEK BUSINESS SVCS CORP | 168,345 | $2.411M | 0.6% | $14.32 * | $14.91 | +4.4% | COM NEW | 652526203 |
| MSFT | MICROSOFT CORP | 42,400 | $2.352M | 0.6% | $55.47 * | $26.70 | +72.0% | COM | 594918104 |
| — | ENERGY TRANSFER PRTNRS L P | 61,380 | $2.07M | 0.5% | $33.72 | $52.20 | — | UNIT LTD PARTN | 29273R109 |
| SYNA | SYNAPTICS INC | 25,073 | $2.014M | 0.5% | $80.33 * | $66.96 | +26.8% | COM | 87157D109 |
| EXC | EXELON CORP | 70,000 | $1.944M | 0.5% | $27.77 * | $15.41 | -8.0% | COM | 30161N101 |
| — | FACTORSHARES TR | 75,000 | $1.943M | 0.5% | $25.91 | $26.70 | — | ISE CYBER SEC | 30304R407 |
| — | TC PIPELINES LP | 38,000 | $1.889M | 0.5% | $49.71 | $48.29 | — | UT COM LTD PRT | 87233Q108 |
| XOM | EXXON MOBIL CORP | 23,240 | $1.812M | 0.5% | $77.97 * | $53.69 | -4.3% | COM | 30231G102 |
| — | BUCKEYE PARTNERS L P | 26,963 | $1.778M | 0.5% | $65.94 | $69.06 | — | UNIT LTD PARTN | 118230101 |
| — | TCP CAP CORP | 124,179 | $1.73M | 0.4% | $13.93 | $13.93 | — | COM | 87238Q103 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 24,600 | $1.671M | 0.4% | $67.93 | $54.51 | — | COM UNIT RP LP | 559080106 |
| — | JPMORGAN CHASE & CO | 70,200 | $1.663M | 0.4% | $23.69 | $23.69 | — | *W EXP 10/28/201 | 46634E114 |
| — | MB FINANCIAL INC NEW | 50,000 | $1.619M | 0.4% | $32.38 | $26.80 | — | COM | 55264U108 |
| — | AMERICAN CAPITAL AGENCY CORP | 87,633 | $1.52M | 0.4% | $17.35 | $20.16 | — | COM | 02503X105 |
| LLY | LILLY ELI & CO | 18,000 | $1.517M | 0.4% | $84.28 * | $42.21 | +65.1% | COM | 532457108 |
| RIG | TRANSOCEAN LTD | 121,138 | $1.5M | 0.4% | $12.38 * | $24.77 | -41.8% | REG SHS | H8817H100 |
| MCD | MCDONALDS CORP | 661 | $1.407M | 0.4% | $2128.59 | — | — | Call | 580135101 |
| — | CALUMET SPECIALTY PRODS PTNR | 69,547 | $1.385M | 0.4% | $19.91 | $36.38 | — | UT LTD PARTNER | 131476103 |
| ABBV | ABBVIE INC | 22,000 | $1.303M | 0.3% | $59.23 * | $26.55 | +43.0% | COM | 00287Y109 |
| — | TARGA RESOURCES PARTNERS LP | 76,095 | $1.258M | 0.3% | $16.53 | $50.45 | — | COM UNIT | 87611X105 |
| TR | TOOTSIE ROLL INDS INC | 38,736 | $1.224M | 0.3% | $31.60 * | $22.10 | +13.6% | COM | 890516107 |
| — | E M C CORP MASS | 40,000 | $1.027M | 0.3% | $25.68 | $23.63 | — | COM | 268648102 |
| ZTS | ZOETIS INC | 21,174 | $1.015M | 0.3% | $47.94 * | $29.32 | +42.4% | CL A | 98978V103 |
| — | FIFTH STREET FINANCE CORP | 158,804 | $1.013M | 0.3% | $6.38 | $6.38 | — | COM | 31678A103 |
| ABT | ABBOTT LABS | 22,000 | $988K | 0.3% | $44.91 * | $28.85 | +26.7% | COM | 002824100 |
| — | TRANSATLANTIC PETROLEUM LTD | 686,528 | $954K | 0.2% | $1.39 | $8.35 | — | SHS NEW | G89982113 |
| HTGC | HERCULES TECH GROWTH CAP INC | 77,982 | $951K | 0.2% | $12.20 * | $11.34 | -0.7% | COM | 427096508 |
| MDLZ | MONDELEZ INTL INC | 20,000 | $897K | 0.2% | $44.85 * | $23.16 | +53.2% | CL A | 609207105 |
| — | ISTAR INC | 75,000 | $880K | 0.2% | $11.73 | $11.29 | — | COM | 45031U101 |
| KGC | KINROSS GOLD CORP | 463,352 | $843K | 0.2% | $1.82 * | $4.62 | -57.3% | COM NO PAR | 496902404 |
| — | PLAINS GP HLDGS L P | 82,000 | $775K | 0.2% | $9.45 | $25.78 | — | SHS A REP LTPN | 72651A108 |
| — | INVESCO MORTGAGE CAPITAL INC | 60,834 | $754K | 0.2% | $12.39 | $16.57 | — | COM | 46131B100 |
| AAPL | APPLE INC | 2,400 | $730K | 0.2% | $304.17 | — | — | Call | 037833100 |
| — | LAYNE CHRISTENSEN CO | 500,000 | $710K | 0.2% | $1.42 | $0.68 | — | NOTE 4.250%11/1 | 521050AB0 |
| — | BOARDWALK PIPELINE PARTNERS | 49,796 | $646K | 0.2% | $12.97 | $30.20 | — | UT LTD PARTNER | 096627104 |
| CFG | CITIZENS FINL GROUP INC | 24,000 | $629K | 0.2% | $26.21 * | $17.55 | -1.0% | COM | 174610105 |
| — | SILVER BAY RLTY TR CORP | 36,791 | $576K | 0.1% | $15.66 | $16.55 | — | COM | 82735Q102 |
| — | GENERAL GROWTH PPTYS INC NEW | 20,719 | $564K | 0.1% | $27.22 | $19.87 | — | COM | 370023103 |
| — | TOTAL S A | 12,500 | $562K | 0.1% | $44.96 | $48.70 | — | SPONSORED ADR | 89151E109 |
| PMT | PENNYMAC MTG INVT TR | 35,500 | $542K | 0.1% | $15.27 | $15.46 | — | COM | 70931T103 |
| — | OCWEN FINL CORP | 76,400 | $533K | 0.1% | $6.98 | $13.85 | — | COM NEW | 675746309 |
| — | NUVEEN PREM INCOME MUN FD | 37,251 | $525K | 0.1% | $14.09 | $12.32 | — | COM | 67062T100 |
| — | AMERICAN CAP LTD | 38,000 | $524K | 0.1% | $13.79 | $14.79 | — | COM | 02503Y103 |
| — | STARWOOD WAYPOINT RESIDENTL | 22,350 | $506K | 0.1% | $22.64 | $28.77 | — | COM SHS | 85571W109 |
| — | ZAIS GROUP HLDGS INC | 54,355 | $503K | 0.1% | $9.25 | $9.16 | — | COM | 98887G106 |
| — | LEVEL 3 COMMUNICATIONS INC | 500 | $480K | 0.1% | $960.00 | $22.20 | — | Call | 52729N308 |
| KBR | KBR INC | 27,000 | $457K | 0.1% | $16.93 * | $26.54 | -40.2% | COM | 48242W106 |
| EARN | ELLINGTON RESIDENTIAL MTG RE | 36,573 | $452K | 0.1% | $12.36 | $15.62 | — | COM SHS BEN INT | 288578107 |
| — | SOLARCITY CORP | 500 | $448K | 0.1% | $896.00 | — | — | Put | 83416T100 |
| — | APOLLO INVT CORP | 80,800 | $422K | 0.1% | $5.22 | $8.48 | — | COM | 03761U106 |
| — | INVESCO QUALITY MUNI INC TRS | 30,674 | $389K | 0.1% | $12.68 | $11.12 | — | COM | 46133G107 |
| — | FS INVT CORP | 42,200 | $379K | 0.1% | $8.98 | $9.31 | — | COM | 302635107 |
| — | INVESCO MUN OPPORTUNITY TR | 27,800 | $366K | 0.1% | $13.17 | $11.73 | — | COM | 46132C107 |
| — | INVESCO MUN TR | 26,900 | $344K | 0.1% | $12.79 | $11.60 | — | COM | 46131J103 |
| COP | CONOCOPHILLIPS | 7,200 | $336K | 0.1% | $46.67 * | $39.96 | -4.0% | COM | 20825C104 |
| — | INVESCO ADVANTAGE MUNICIPAL | 28,300 | $333K | 0.1% | $11.77 | $10.53 | — | SH BEN INT | 46132E103 |
| — | EATON VANCE MUN BD FD | 25,500 | $331K | 0.1% | $12.98 | $11.29 | — | COM | 27827X101 |
| QCOM | QUALCOMM INC | 6,600 | $330K | 0.1% | $50.00 * | $39.99 | 0.0% | COM | 747525103 |
| — | INVESCO TR INVT GRADE MUNS | 24,400 | $325K | 0.1% | $13.32 | $12.17 | — | COM | 46131M106 |
| — | CONCHO RES INC | 150 | $323K | 0.1% | $2153.33 | — | — | Put | 20605P101 |
| GM | GENERAL MTRS CO | 750 | $319K | 0.1% | $425.33 * | $26.01 | +6.5% | Call | 37045V100 |
| SYNA | SYNAPTICS INC | 250 | $289K | 0.1% | $1156.00 * | $66.96 | +26.8% | Call | 87157D109 |
| — | FIREEYE INC | 13,700 | $284K | 0.1% | $20.73 | $20.73 | — | COM | 31816Q101 |
| EPR | EPR PPTYS | 4,400 | $257K | 0.1% | $58.41 | $57.56 | — | COM SH BEN INT | 26884U109 |
| — | AMERICAN CAPITAL AGENCY CORP | 2,300 | $243K | 0.1% | $105.65 | $20.16 | — | Call | 02503X105 |
| — | PUTNAM MANAGED MUN INCOM TR | 32,800 | $241K | 0.1% | $7.35 | $6.65 | — | COM | 746823103 |
| RITM | NEW RESIDENTIAL INVT CORP | 19,646 | $239K | 0.1% | $12.17 | $15.02 | — | COM NEW | 64828T201 |
| ARCC | ARES CAP CORP | 13,800 | $197K | 0.1% | $14.28 * | $5.76 | 0.0% | COM | 04010L103 |
| VALE | VALE S A | 53,100 | $175K | 0.0% | $3.30 | $13.15 | — | ADR | 91912E105 |
| — | PENNEY J C INC | 25,000 | $167K | 0.0% | $6.68 | $8.62 | — | COM | 708160106 |
| — | VALE S A | 37,500 | $96,000 | 0.0% | $2.56 | $12.16 | — | ADR REPSTG PFD | 91912E204 |
| QCOM | QUALCOMM INC | 400 | $78,000 | 0.0% | $195.00 * | $39.99 | 0.0% | Call | 747525103 |
| — | HI-CRUSH PARTNERS LP | 10,000 | $59,000 | 0.0% | $5.90 | $35.10 | — | COM UNIT LTD | 428337109 |
| — | OCWEN FINL CORP | 400 | $32,000 | 0.0% | $80.00 | $13.85 | — | Call | 675746309 |
| BKD | BROOKDALE SR LIVING INC | 750 | $17,000 | 0.0% | $22.67 * | $26.19 | -17.8% | Call | 112463104 |
| — | FIREEYE INC | 2,148 | $1,000 | 0.0% | $0.47 | $20.73 | — | Call | 31816Q101 |