Location: Carlsbad, CA
CIK: 0001568303 · Show all filings
Period: Q4 2016 (← Previous) (Next →)
Filing Date: Feb 13, 2017
Total Value: $568M (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 | $109M | 19.2% | $56.36 | $22.20 | — | COM NEW | 52729N308 |
| — | CHIMERA INVT CORP | 3,407,875 | $58M | 10.2% | $17.02 | $13.69 | — | COM NEW | 16934Q208 |
| — | WEST CORP | 1,591,636 | $39.41M | 6.9% | $24.76 | $23.93 | — | COM | 952355204 |
| — | SPX CORP | 600 | $23.5M | 4.1% | $39160.00 | — | — | Call | 784635104 |
| SUI | SUN CMNTYS INC | 293,657 | $22.5M | 4.0% | $76.61 | $68.47 | — | COM | 866674104 |
| EPD | ENTERPRISE PRODS PARTNERS L | 679,022 | $18.36M | 3.2% | $27.04 | $51.23 | — | COM | 293792107 |
| — | CYS INVTS INC | 2,139,532 | $16.54M | 2.9% | $7.73 | $8.46 | — | COM | 12673A108 |
| GS | GOLDMAN SACHS GROUP INC | 69,000 | $16.52M | 2.9% | $239.45 * | $120.06 | +39.7% | COM | 38141G104 |
| SYK | STRYKER CORP | 121,220 | $14.52M | 2.6% | $119.81 * | $56.92 | +82.6% | COM | 863667101 |
| — | ANNALY CAP MGMT INC | 1,361,822 | $13.58M | 2.4% | $9.97 | $12.54 | — | COM | 035710409 |
| — | TWO HBRS INVT CORP | 1,307,654 | $11.4M | 2.0% | $8.72 | $10.07 | — | COM | 90187B101 |
| BKD | BROOKDALE SR LIVING INC | 810,940 | $10.07M | 1.8% | $12.42 * | $25.17 | -46.7% | COM | 112463104 |
| SLRC | SOLAR CAP LTD | 479,013 | $9.973M | 1.8% | $20.82 * | $6.98 | +24.2% | COM | 83413U100 |
| — | MVC CAPITAL INC | 1,103,953 | $9.472M | 1.7% | $8.58 | $11.08 | — | COM | 553829102 |
| — | BARRICK GOLD CORP | 582,197 | $9.304M | 1.6% | $15.98 | $14.59 | — | COM | 067901108 |
| — | MFA FINL INC | 1,218,300 | $9.296M | 1.6% | $7.63 | $7.97 | — | COM | 55272X102 |
| — | SOLAR SR CAP LTD | 462,777 | $7.608M | 1.3% | $16.44 | $16.13 | — | COM | 83416M105 |
| — | ELLINGTON FINANCIAL LLC | 442,344 | $6.865M | 1.2% | $15.52 | $22.62 | — | COM | 288522303 |
| NEM | NEWMONT MINING CORP | 192,763 | $6.567M | 1.2% | $34.07 * | $17.09 | +57.2% | COM | 651639106 |
| — | SUTHERLAND ASSET MGMT CORP M | 485,793 | $6.534M | 1.2% | $13.45 | $13.45 | — | COM | 86933G105 |
| ARI | APOLLO COML REAL EST FIN INC | 389,286 | $6.47M | 1.1% | $16.62 | $15.82 | — | COM | 03762U105 |
| — | THL CR INC | 601,403 | $6.02M | 1.1% | $10.01 | $11.31 | — | COM | 872438106 |
| PNNT | PENNANTPARK INVT CORP | 748,056 | $5.73M | 1.0% | $7.66 * | $2.40 | +6.6% | COM | 708062104 |
| SYF | SYNCHRONY FINL | 140,362 | $5.071M | 0.9% | $36.13 * | $25.00 | +2.7% | COM | 87165B103 |
| NMFC | NEW MTN FIN CORP | 350,515 | $4.942M | 0.9% | $14.10 * | $4.01 | +29.6% | COM | 647551100 |
| PFLT | PENNANTPARK FLOATING RATE CA | 348,377 | $4.916M | 0.9% | $14.11 * | $4.26 | +22.4% | COM | 70806A106 |
| FDUS | FIDUS INVT CORP | 299,830 | $4.716M | 0.8% | $15.73 * | $4.96 | +15.8% | COM | 316500107 |
| CMCSA | COMCAST CORP NEW | 60,000 | $4.143M | 0.7% | $69.05 * | $23.76 | +12.8% | CL A | 20030N101 |
| CSCO | CISCO SYS INC | 120,000 | $3.626M | 0.6% | $30.22 * | $15.24 | +51.3% | COM | 17275R102 |
| STWD | STARWOOD PPTY TR INC | 160,853 | $3.531M | 0.6% | $21.95 | $23.47 | — | COM | 85571B105 |
| — | NUSTAR ENERGY LP | 70,406 | $3.506M | 0.6% | $49.80 | $45.65 | — | UNIT COM | 67058H102 |
| — | NEOVASC INC | 2,000,000 | $3.46M | 0.6% | $1.73 | $1.73 | — | COM | 64065J106 |
| NEWT | NEWTEK BUSINESS SVCS CORP | 216,647 | $3.445M | 0.6% | $15.90 * | $14.05 | +6.6% | COM NEW | 652526203 |
| — | FACTORSHARES TR | 116,600 | $3.083M | 0.5% | $26.44 | $25.72 | — | ISE CYBER SEC | 30304R407 |
| BXMT | BLACKSTONE MTG TR INC | 96,249 | $2.894M | 0.5% | $30.07 | $27.85 | — | COM CL A | 09257W100 |
| — | TCP CAP CORP | 167,136 | $2.825M | 0.5% | $16.90 | $14.18 | — | COM | 87238Q103 |
| — | MEDLEY CAP CORP | 367,236 | $2.758M | 0.5% | $7.51 | $8.74 | — | COM | 58503F106 |
| GM | GENERAL MTRS CO | 79,149 | $2.758M | 0.5% | $34.85 * | $26.01 | +8.3% | COM | 37045V100 |
| PFE | PFIZER INC | 84,247 | $2.736M | 0.5% | $32.48 * | $16.46 | +24.6% | COM | 717081103 |
| TRGP | TARGA RES CORP | 47,178 | $2.645M | 0.5% | $56.06 * | $15.07 | +127.8% | COM | 87612G101 |
| MSFT | MICROSOFT CORP | 42,400 | $2.635M | 0.5% | $62.15 * | $26.70 | +102.0% | COM | 594918104 |
| — | GENERAL ELECTRIC CO | 79,952 | $2.526M | 0.4% | $31.59 | $23.19 | — | COM | 369604103 |
| EXC | EXELON CORP | 70,000 | $2.484M | 0.4% | $35.49 * | $15.41 | +11.9% | COM | 30161N101 |
| C | CITIGROUP INC | 39,700 | $2.359M | 0.4% | $59.42 * | $31.24 | +30.0% | COM NEW | 172967424 |
| ZBH | ZIMMER BIOMET HLDGS INC | 22,100 | $2.281M | 0.4% | $103.21 * | $67.30 | +47.8% | COM | 98956P102 |
| — | TC PIPELINES LP | 38,000 | $2.236M | 0.4% | $58.84 | $48.29 | — | UT COM LTD PRT | 87233Q108 |
| — | JPMORGAN CHASE & CO | 50,200 | $2.222M | 0.4% | $44.26 | $23.69 | — | *W EXP 10/28/201 | 46634E114 |
| AXP | AMERICAN EXPRESS CO | 30,000 | $2.222M | 0.4% | $74.07 * | $50.49 | +20.8% | COM | 025816109 |
| — | ENERGY TRANSFER PRTNRS L P | 61,380 | $2.198M | 0.4% | $35.81 | $52.20 | — | UNIT LTD PARTN | 29273R109 |
| XOM | EXXON MOBIL CORP | 23,240 | $2.098M | 0.4% | $90.28 * | $53.69 | +8.3% | COM | 30231G102 |
| — | MAGELLAN MIDSTREAM PRTNRS LP | 24,600 | $1.86M | 0.3% | $75.61 | $54.51 | — | COM UNIT RP LP | 559080106 |
| — | ALLIED WRLD ASSUR COM HLDG A | 34,373 | $1.846M | 0.3% | $53.70 | $55.85 | — | SHS | H01531104 |
| RIG | TRANSOCEAN LTD | 121,138 | $1.786M | 0.3% | $14.74 * | $24.77 | -52.2% | REG SHS | H8817H100 |
| — | BUCKEYE PARTNERS L P | 26,963 | $1.784M | 0.3% | $66.16 | $69.06 | — | UNIT LTD PARTN | 118230101 |
| — | MB FINANCIAL INC NEW | 35,000 | $1.653M | 0.3% | $47.23 | $26.80 | — | COM | 55264U108 |
| GSBD | GOLDMAN SACHS BDC INC | 63,881 | $1.502M | 0.3% | $23.51 * | $22.59 | -0.9% | SHS | 38147U107 |
| AGNC | AGNC INVT CORP | 82,733 | $1.5M | 0.3% | $18.13 | $18.13 | — | COM | 00123Q104 |
| KGC | KINROSS GOLD CORP | 463,352 | $1.441M | 0.3% | $3.11 * | $4.62 | -24.1% | COM NO PAR | 496902404 |
| — | FIREEYE INC | 119,800 | $1.426M | 0.3% | $11.90 | $18.30 | — | COM | 31816Q101 |
| ABBV | ABBVIE INC | 22,000 | $1.378M | 0.2% | $62.64 * | $26.55 | +57.4% | COM | 00287Y109 |
| SYNA | SYNAPTICS INC | 25,073 | $1.343M | 0.2% | $53.56 * | $66.96 | -13.6% | COM | 87157D109 |
| LLY | LILLY ELI & CO | 18,000 | $1.324M | 0.2% | $73.56 * | $42.21 | +52.1% | COM | 532457108 |
| AAPL | APPLE INC | 1,600 | $1.317M | 0.2% | $823.13 | — | — | Call | 037833100 |
| — | TRANSATLANTIC PETROLEUM LTD | 1,179,026 | $1.309M | 0.2% | $1.11 | $5.37 | — | SHS NEW | G89982113 |
| ZTS | ZOETIS INC | 21,174 | $1.133M | 0.2% | $53.51 * | $29.32 | +61.6% | COM | 98978V103 |
| HRZN | HORIZON TECHNOLOGY FIN CORP | 106,472 | $1.121M | 0.2% | $10.53 * | $3.32 | +23.8% | COM | 44045A102 |
| THC | TENET HEALTHCARE CORP | 75,000 | $1.113M | 0.2% | $14.84 * | $26.03 | -31.1% | COM NEW | 88033G407 |
| — | TPG SPECIALTY LENDING INC | 55,220 | $1.032M | 0.2% | $18.69 | $16.14 | — | COM | 87265K102 |
| WFC | WELLS FARGO & CO NEW | 900 | $956K | 0.2% | $1062.22 | — | — | Call | 949746101 |
| — | ISTAR INC | 75,000 | $928K | 0.2% | $12.37 | $11.29 | — | COM | 45031U101 |
| — | LAYNE CHRISTENSEN CO | 1,000,000 | $908K | 0.2% | $0.91 | $0.70 | — | NOTE 4.250%11/1 | 521050AB0 |
| MDLZ | MONDELEZ INTL INC | 20,000 | $887K | 0.2% | $44.35 * | $23.16 | +50.0% | CL A | 609207105 |
| — | BOARDWALK PIPELINE PARTNERS | 49,796 | $864K | 0.2% | $17.35 | $30.20 | — | UT LTD PARTNER | 096627104 |
| CFG | CITIZENS FINL GROUP INC | 24,000 | $855K | 0.2% | $35.63 * | $17.55 | +21.5% | COM | 174610105 |
| ABT | ABBOTT LABS | 22,000 | $845K | 0.1% | $38.41 * | $28.85 | +16.6% | COM | 002824100 |
| TSLA | TESLA MTRS INC | 500 | $823K | 0.1% | $1646.00 | — | — | Put | 88160R101 |
| ARCC | ARES CAP CORP | 44,796 | $739K | 0.1% | $16.50 * | $6.62 | 0.0% | COM | 04010L103 |
| — | PLAINS GP HLDGS L P | 18,776 | $651K | 0.1% | $34.67 | $25.78 | — | SHS A REP LTPN | 72651A108 |
| — | COLONY STARWOOD HOMES | 22,350 | $644K | 0.1% | $28.81 | $24.74 | — | COM | 19625X102 |
| — | TOTAL S A | 12,500 | $637K | 0.1% | $50.96 | $48.95 | — | SPONSORED ADR | 89151E109 |
| — | SILVER BAY RLTY TR CORP | 36,791 | $631K | 0.1% | $17.15 | $16.55 | — | COM | 82735Q102 |
| — | GENERAL ELECTRIC CO | 2,000 | $620K | 0.1% | $310.00 | $23.19 | — | Call | 369604103 |
| PMT | PENNYMAC MTG INVT TR | 35,500 | $581K | 0.1% | $16.37 | $15.46 | — | COM | 70931T103 |
| — | LEVEL 3 COMMUNICATIONS INC | 800 | $556K | 0.1% | $695.00 | $22.20 | — | Call | 52729N308 |
| MCD | MCDONALDS CORP | 250 | $541K | 0.1% | $2164.00 | — | — | Call | 580135101 |
| — | NUVEEN QUALITY MUNCP INCOME | 37,385 | $522K | 0.1% | $13.96 | $15.06 | — | COM | 67066V101 |
| — | AMERICAN CAP LTD | 1,800 | $520K | 0.1% | $288.89 | — | — | Call | 02503Y103 |
| EARN | ELLINGTON RESIDENTIAL MTG RE | 36,573 | $476K | 0.1% | $13.02 | $15.62 | — | COM SHS BEN INT | 288578107 |
| — | APOLLO INVT CORP | 80,800 | $473K | 0.1% | $5.85 | $8.48 | — | COM | 03761U106 |
| GLW | CORNING INC | 1,500 | $466K | 0.1% | $310.67 | — | — | Call | 219350105 |
| KBR | KBR INC | 27,000 | $451K | 0.1% | $16.70 * | $26.54 | -47.1% | COM | 48242W106 |
| PAGP | PLAINS GP HLDGS L P | 12,016 | $417K | 0.1% | $34.70 | $34.70 | — | LTD PARTNR INT A | 72651A207 |
| VALE | VALE S A | 53,100 | $405K | 0.1% | $7.63 | $13.15 | — | ADR | 91912E105 |
| — | INVESCO QUALITY MUNI INC TRS | 30,674 | $380K | 0.1% | $12.39 | $11.12 | — | COM | 46133G107 |
| MSFT | MICROSOFT CORP | 300 | $367K | 0.1% | $1223.33 * | $26.70 | +102.0% | Call | 594918104 |
| COP | CONOCOPHILLIPS | 7,200 | $361K | 0.1% | $50.14 * | $39.96 | -13.0% | COM | 20825C104 |
| TPVG | TRIPLEPOINT VENTURE GROWTH B | 30,035 | $354K | 0.1% | $11.79 | $11.66 | 0.0% | COM | 89677Y100 |
| — | EATON VANCE MUN BD FD | 25,500 | $316K | 0.1% | $12.39 | $11.29 | — | COM | 27827X101 |
| RITM | NEW RESIDENTIAL INVT CORP | 19,646 | $309K | 0.1% | $15.73 | $15.02 | — | COM NEW | 64828T201 |
| HTGC | HERCULES CAPITAL INC | 20,000 | $282K | 0.0% | $14.10 * | $11.24 | +21.2% | COM | 427096508 |
| — | CALUMET SPECIALTY PRODS PTNR | 69,547 | $278K | 0.0% | $4.00 | $36.38 | — | UT LTD PARTNER | 131476103 |
| — | VALE S A | 37,500 | $258K | 0.0% | $6.88 | $12.16 | — | ADR REPSTG PFD | 91912E204 |
| — | DELL TECHNOLOGIES INC | 4,458 | $245K | 0.0% | $54.96 | $47.78 | — | COM CL V | 24703L103 |
| QCOM | QUALCOMM INC | 150 | $230K | 0.0% | $1533.33 * | $37.73 | +38.5% | Call | 747525103 |
| — | PENNEY J C INC | 25,000 | $208K | 0.0% | $8.32 | $8.62 | — | COM | 708160106 |
| COP | CONOCOPHILLIPS | 250 | $182K | 0.0% | $728.00 * | $39.96 | -13.0% | Call | 20825C104 |
| — | INVESCO MORTGAGE CAPITAL INC | 10,000 | $146K | 0.0% | $14.60 | $16.57 | — | COM | 46131B100 |
| GM | GENERAL MTRS CO | 300 | $119K | 0.0% | $396.67 * | $26.01 | +8.3% | Call | 37045V100 |
| — | ZAIS GROUP HLDGS INC | 26,340 | $39,000 | 0.0% | $1.48 | $9.16 | — | COM | 98887G106 |
| — | SPX CORP | 265 | $25,000 | 0.0% | $94.34 | — | — | Put | 784635104 |
| BKD | BROOKDALE SR LIVING INC | 669 | $15,000 | 0.0% | $22.42 * | $25.17 | -46.7% | Call | 112463104 |
| AXP | AMERICAN EXPRESS CO | 300 | $3,000 | 0.0% | $10.00 * | $50.49 | +20.8% | Put | 025816109 |
| GS | GOLDMAN SACHS GROUP INC | 200 | $1,000 | 0.0% | $5.00 * | $120.06 | +39.7% | Put | 38141G104 |