Location: Carlsbad, CA
CIK: 0001568303 · Show all filings
Period: Q3 2016 (← Previous) (Next →)
Filing Date: Nov 14, 2016
Total Value: $538M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | LEVEL 3 COMMUNICATIONS INC | 1,930,211 | $89.52M | 16.6% | $46.38 | $22.20 | — | COM NEW | 52729N308 |
| — | CHIMERA INVT CORP | 3,944,275 | $62.91M | 11.7% | $15.95 | $13.69 | — | COM NEW | 16934Q208 |
| SUI | SUN CMNTYS INC | 293,657 | $23.05M | 4.3% | $78.48 | $68.47 | — | COM | 866674104 |
| — | WEST CORP | 1,034,345 | $22.9M | 4.3% | $22.14 | $23.48 | — | COM | 952355204 |
| — | SPX CORP | 600 | $19.73M | 3.7% | $32880.00 | — | — | Call | 784635104 |
| EPD | ENTERPRISE PRODS PARTNERS L | 679,022 | $18.76M | 3.5% | $27.63 | $51.23 | — | COM | 293792107 |
| — | CYS INVTS INC | 2,139,532 | $18.66M | 3.5% | $8.72 | $8.46 | — | COM | 12673A108 |
| — | ANNALY CAP MGMT INC | 1,361,822 | $14.3M | 2.7% | $10.50 | $12.54 | — | COM | 035710409 |
| BKD | BROOKDALE SR LIVING INC | 810,940 | $14.15M | 2.6% | $17.45 | $25.17 | -31.5% | COM | 112463104 |
| SYK | STRYKER CORP | 131,220 | $14.11M | 2.6% | $107.54 * | $56.92 | +84.3% | COM | 863667101 |
| — | TWO HBRS INVT CORP | 1,307,654 | $11.15M | 2.1% | $8.53 | $10.07 | — | COM | 90187B101 |
| GS | GOLDMAN SACHS GROUP INC | 69,000 | $11.13M | 2.1% | $161.28 * | $120.06 | +11.4% | COM | 38141G104 |
| — | BARRICK GOLD CORP | 582,197 | $10.32M | 1.9% | $17.72 | $14.59 | — | COM | 067901108 |
| SLRC | SOLAR CAP LTD | 479,013 | $9.829M | 1.8% | $20.52 * | $6.98 | +19.7% | COM | 83413U100 |
| — | MFA FINL INC | 1,218,300 | $9.113M | 1.7% | $7.48 | $7.97 | — | COM | 55272X102 |
| — | MVC CAPITAL INC | 1,091,953 | $9.052M | 1.7% | $8.29 | $11.11 | — | COM | 553829102 |
| NEM | NEWMONT MINING CORP | 192,763 | $7.574M | 1.4% | $39.29 * | $17.09 | +90.7% | COM | 651639106 |
| — | SOLAR SR CAP LTD | 462,777 | $7.502M | 1.4% | $16.21 | $16.13 | — | COM | 83416M105 |
| — | ELLINGTON FINANCIAL LLC | 442,344 | $7.374M | 1.4% | $16.67 | $22.62 | — | COM | 288522303 |
| ARI | APOLLO COML REAL EST FIN INC | 389,286 | $6.373M | 1.2% | $16.37 | $15.82 | — | COM | 03762U105 |
| PNNT | PENNANTPARK INVT CORP | 748,056 | $5.625M | 1.0% | $7.52 * | $2.40 | +2.0% | COM | 708062104 |
| — | ZAIS FINL CORP | 377,284 | $5.444M | 1.0% | $14.43 | $17.26 | — | COM | 98886K108 |
| — | ALLIED WRLD ASSUR COM HLDG A | 128,340 | $5.188M | 1.0% | $40.42 | $55.85 | — | SHS | H01531104 |
| NMFC | NEW MTN FIN CORP | 350,515 | $4.823M | 0.9% | $13.76 * | $4.01 | +25.2% | COM | 647551100 |
| FDUS | FIDUS INVT CORP | 229,830 | $4.722M | 0.9% | $20.55 * | $4.72 | +17.7% | COM | 316500107 |
| — | THL CR INC | 487,803 | $4.649M | 0.9% | $9.53 | $11.61 | — | COM | 872438106 |
| PFLT | PENNANTPARK FLOATING RATE CA | 348,278 | $4.608M | 0.9% | $13.23 * | $4.26 | +14.1% | COM | 70806A106 |
| — | SPX CORP | 3,515 | $4.51M | 0.8% | $1283.07 | — | — | Put | 784635104 |
| CMCSA | COMCAST CORP NEW | 60,000 | $3.98M | 0.7% | $66.33 * | $23.76 | +12.0% | CL A | 20030N101 |
| SYF | SYNCHRONY FINL | 140,362 | $3.93M | 0.7% | $28.00 * | $25.00 | -12.1% | COM | 87165B103 |
| CSCO | CISCO SYS INC | 120,000 | $3.806M | 0.7% | $31.72 * | $15.24 | +51.4% | COM | 17275R102 |
| C | CITIGROUP INC | 79,400 | $3.75M | 0.7% | $47.23 * | $31.24 | +9.3% | COM NEW | 172967424 |
| GSBD | GOLDMAN SACHS BDC INC | 168,279 | $3.663M | 0.7% | $21.77 * | $22.59 | -7.5% | SHS | 38147U107 |
| STWD | STARWOOD PPTY TR INC | 160,853 | $3.622M | 0.7% | $22.52 | $23.47 | — | COM | 85571B105 |
| — | NUSTAR ENERGY LP | 70,406 | $3.491M | 0.6% | $49.58 | $45.65 | — | UNIT COM | 67058H102 |
| BXMT | BLACKSTONE MTG TR INC | 111,249 | $3.276M | 0.6% | $29.45 | $27.85 | — | COM CL A | 09257W100 |
| — | MEDLEY CAP CORP | 426,351 | $3.253M | 0.6% | $7.63 | $8.74 | — | COM | 58503F106 |
| — | FACTORSHARES TR | 116,600 | $3.253M | 0.6% | $27.90 | $25.72 | — | ISE CYBER SEC | 30304R407 |
| NEWT | NEWTEK BUSINESS SVCS CORP | 226,647 | $3.232M | 0.6% | $14.26 * | $14.05 | -4.7% | COM NEW | 652526203 |
| ZBH | ZIMMER BIOMET HLDGS INC | 22,100 | $2.873M | 0.5% | $130.00 * | $67.30 | +70.0% | COM | 98956P102 |
| PFE | PFIZER INC | 84,247 | $2.853M | 0.5% | $33.86 * | $16.46 | +35.2% | COM | 717081103 |
| — | TCP CAP CORP | 167,136 | $2.738M | 0.5% | $16.38 | $14.18 | — | COM | 87238Q103 |
| GM | GENERAL MTRS CO | 79,149 | $2.515M | 0.5% | $31.78 * | $26.01 | -0.6% | COM | 37045V100 |
| MSFT | MICROSOFT CORP | 42,400 | $2.442M | 0.5% | $57.59 * | $26.70 | +88.3% | COM | 594918104 |
| — | GENERAL ELECTRIC CO | 79,952 | $2.368M | 0.4% | $29.62 | $23.19 | — | COM | 369604103 |
| EXC | EXELON CORP | 70,000 | $2.33M | 0.4% | $33.29 * | $15.41 | +17.4% | COM | 30161N101 |
| TRGP | TARGA RES CORP | 47,178 | $2.317M | 0.4% | $49.11 * | $15.07 | +91.7% | COM | 87612G101 |
| — | ENERGY TRANSFER PRTNRS L P | 61,380 | $2.271M | 0.4% | $37.00 | $52.20 | — | UNIT LTD PARTN | 29273R109 |
| — | TC PIPELINES LP | 38,000 | $2.167M | 0.4% | $57.03 | $48.29 | — | UT COM LTD PRT | 87233Q108 |
| XOM | EXXON MOBIL CORP | 23,240 | $2.028M | 0.4% | $87.26 * | $53.69 | +9.0% | COM | 30231G102 |
| KGC | KINROSS GOLD CORP | 463,352 | $1.951M | 0.4% | $4.21 * | $4.62 | +4.3% | COM NO PAR | 496902404 |
| — | BUCKEYE PARTNERS L P | 26,963 | $1.931M | 0.4% | $71.62 | $69.06 | — | UNIT LTD PARTN | 118230101 |
| AXP | AMERICAN EXPRESS CO | 30,000 | $1.921M | 0.4% | $64.03 * | $50.49 | +11.6% | COM | 025816109 |
| — | FIREEYE INC | 119,800 | $1.765M | 0.3% | $14.73 | $18.30 | — | COM | 31816Q101 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 24,600 | $1.74M | 0.3% | $70.73 | $54.51 | — | COM UNIT RP LP | 559080106 |
| — | JPMORGAN CHASE & CO | 70,200 | $1.729M | 0.3% | $24.63 | $23.69 | — | *W EXP 10/28/201 | 46634E114 |
| THC | TENET HEALTHCARE CORP | 75,000 | $1.7M | 0.3% | $22.67 * | $26.03 | 0.0% | COM NEW | 88033G407 |
| SYNA | SYNAPTICS INC | 25,073 | $1.469M | 0.3% | $58.59 * | $66.96 | -17.9% | COM | 87157D109 |
| LLY | LILLY ELI & CO | 18,000 | $1.445M | 0.3% | $80.28 * | $42.21 | +62.5% | COM | 532457108 |
| HRZN | HORIZON TECHNOLOGY FIN CORP | 106,472 | $1.444M | 0.3% | $13.56 * | $3.32 | +37.6% | COM | 44045A102 |
| — | TRANSATLANTIC PETROLEUM LTD | 1,179,026 | $1.438M | 0.3% | $1.22 | $5.37 | — | SHS NEW | G89982113 |
| AAPL | APPLE INC | 1,700 | $1.433M | 0.3% | $842.94 | — | — | Call | 037833100 |
| ABBV | ABBVIE INC | 22,000 | $1.388M | 0.3% | $63.09 * | $26.55 | +65.4% | COM | 00287Y109 |
| — | MB FINANCIAL INC NEW | 35,000 | $1.331M | 0.2% | $38.03 | $26.80 | — | COM | 55264U108 |
| RIG | TRANSOCEAN LTD | 121,138 | $1.291M | 0.2% | $10.66 | $24.77 | -57.3% | REG SHS | H8817H100 |
| — | SOLARCITY CORP | 500 | $1.115M | 0.2% | $2230.00 | — | — | Put | 83416T100 |
| ZTS | ZOETIS INC | 21,174 | $1.101M | 0.2% | $52.00 * | $29.32 | +60.6% | CL A | 98978V103 |
| QCOM | QUALCOMM INC | 16,000 | $1.096M | 0.2% | $68.50 * | $37.73 | +24.3% | COM | 747525103 |
| — | PLAINS GP HLDGS L P | 82,000 | $1.061M | 0.2% | $12.94 | $25.78 | — | SHS A REP LTPN | 72651A108 |
| — | TPG SPECIALTY LENDING INC | 55,220 | $1M | 0.2% | $18.11 | $16.14 | — | COM | 87265K102 |
| ABT | ABBOTT LABS | 22,000 | $930K | 0.2% | $42.27 * | $28.85 | +25.3% | COM | 002824100 |
| — | LAYNE CHRISTENSEN CO | 1,000,000 | $882K | 0.2% | $0.88 | $0.70 | — | NOTE 4.250%11/1 | 521050AB0 |
| MDLZ | MONDELEZ INTL INC | 20,000 | $878K | 0.2% | $43.90 * | $23.16 | +52.1% | CL A | 609207105 |
| — | BOARDWALK PIPELINE PARTNERS | 49,796 | $854K | 0.2% | $17.15 | $30.20 | — | UT LTD PARTNER | 096627104 |
| — | AMERICAN CAPITAL AGENCY CORP | 42,933 | $839K | 0.2% | $19.54 | $20.16 | — | COM | 02503X105 |
| — | ISTAR INC | 75,000 | $805K | 0.1% | $10.73 | $11.29 | — | COM | 45031U101 |
| — | SILVER BAY RLTY TR CORP | 36,791 | $645K | 0.1% | $17.53 | $16.55 | — | COM | 82735Q102 |
| — | COLONY STARWOOD HOMES | 22,350 | $641K | 0.1% | $28.68 | $24.74 | — | COM | 19625X102 |
| CFG | CITIZENS FINL GROUP INC | 24,000 | $593K | 0.1% | $24.71 * | $17.55 | -8.3% | COM | 174610105 |
| — | NUVEEN QUALITY MUNCP INCOME | 37,385 | $563K | 0.1% | $15.06 | $15.06 | — | COM | 67066V101 |
| PMT | PENNYMAC MTG INVT TR | 35,500 | $553K | 0.1% | $15.58 | $15.46 | — | COM | 70931T103 |
| — | TOTAL S A | 11,100 | $529K | 0.1% | $47.66 | $48.70 | — | SPONSORED ADR | 89151E109 |
| EARN | ELLINGTON RESIDENTIAL MTG RE | 36,573 | $475K | 0.1% | $12.99 | $15.62 | — | COM SHS BEN INT | 288578107 |
| — | APOLLO INVT CORP | 80,800 | $469K | 0.1% | $5.80 | $8.48 | — | COM | 03761U106 |
| GLW | CORNING INC | 1,500 | $425K | 0.1% | $283.33 | — | — | Call | 219350105 |
| — | INVESCO QUALITY MUNI INC TRS | 30,674 | $423K | 0.1% | $13.79 | $11.12 | — | COM | 46133G107 |
| KBR | KBR INC | 27,000 | $409K | 0.1% | $15.15 * | $26.54 | -51.4% | COM | 48242W106 |
| MCD | MCDONALDS CORP | 250 | $398K | 0.1% | $1592.00 | — | — | Call | 580135101 |
| — | AMERICAN CAP LTD | 1,800 | $374K | 0.1% | $207.78 | $14.80 | — | Call | 02503Y103 |
| — | EATON VANCE MUN BD FD | 25,500 | $347K | 0.1% | $13.61 | $11.29 | — | COM | 27827X101 |
| — | CALUMET SPECIALTY PRODS PTNR | 69,547 | $314K | 0.1% | $4.51 | $36.38 | — | UT LTD PARTNER | 131476103 |
| COP | CONOCOPHILLIPS | 7,200 | $313K | 0.1% | $43.47 * | $39.96 | -22.1% | COM | 20825C104 |
| VALE | VALE S A | 53,100 | $292K | 0.1% | $5.50 | $13.15 | — | ADR | 91912E105 |
| QCOM | QUALCOMM INC | 150 | $281K | 0.1% | $1873.33 * | $37.73 | +24.3% | Call | 747525103 |
| — | OCWEN FINL CORP | 76,400 | $280K | 0.1% | $3.66 | $13.85 | — | COM NEW | 675746309 |
| HTGC | HERCULES CAPITAL INC | 20,000 | $271K | 0.1% | $13.55 | $11.24 | +18.7% | COM | 427096508 |
| RITM | NEW RESIDENTIAL INVT CORP | 19,646 | $271K | 0.1% | $13.79 | $15.02 | — | COM NEW | 64828T201 |
| MSFT | MICROSOFT CORP | 300 | $242K | 0.0% | $806.67 * | $26.70 | +88.3% | Call | 594918104 |
| — | PENNEY J C INC | 25,000 | $231K | 0.0% | $9.24 | $8.62 | — | COM | 708160106 |
| — | SEADRILL LIMITED | 500,000 | $220K | 0.0% | $0.44 | $0.53 | — | SHS | G7945E105 |
| — | DELL TECHNOLOGIES INC. | 4,458 | $213K | 0.0% | $47.78 | $47.78 | — | COM CL V | 24703L103 |
| BKD | BROOKDALE SR LIVING INC | 669 | $192K | 0.0% | $287.00 * | $25.17 | -31.5% | Call | 112463104 |
| — | VALE S A | 37,500 | $177K | 0.0% | $4.72 | $12.16 | — | ADR REPSTG PFD | 91912E204 |
| — | INVESCO MORTGAGE CAPITAL INC | 10,000 | $152K | 0.0% | $15.20 | $16.57 | — | COM | 46131B100 |
| — | LEVEL 3 COMMUNICATIONS INC | 800 | $126K | 0.0% | $157.50 | $22.20 | — | Call | 52729N308 |
| — | ZAIS GROUP HLDGS INC | 54,355 | $125K | 0.0% | $2.30 | $9.16 | — | COM | 98887G106 |
| GS | GOLDMAN SACHS GROUP INC | 200 | $96,000 | 0.0% | $480.00 * | $120.06 | +11.4% | Put | 38141G104 |
| GM | GENERAL MTRS CO | 300 | $60,000 | 0.0% | $200.00 * | $26.01 | -0.6% | Call | 37045V100 |
| — | OCWEN FINL CORP | 400 | $2,000 | 0.0% | $5.00 | $13.85 | — | Call | 675746309 |