CIK: 0001584639 · Show all filings
Period: Q2 2014 (← Previous) (Next →)
Filing Date: Aug 14, 2014
Total Value ($000): $132,130 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | H & Q HEALTHCARE INVESTORS | 681,282 | $17,959 | 13.6% | $26.41 | — | SH BEN INT | 404052102 |
| — | CORNERSTONE PROGRESSIVE RTN | 1,837,042 | $8,432 | 6.4% | $4.61 | — | COM | 21925C101 |
| — | CORNERSTONE STRATEGIC VALUE | 1,244,030 | $7,576 | 5.7% | $6.60 | — | COM NEW | 21924B203 |
| — | H & Q LIFE SCIENCES INVS | 300,878 | $6,246 | 4.7% | $20.76 | — | SH BEN INT | 404053100 |
| — | OMNIAMERICAN BANCORP INC | 218,400 | $5,460 | 4.1% | $25.00 | — | COM | 68216R107 |
| — | FOREST LABS INC | 52,700 | $5,217 | 3.9% | $93.63 | — | COM | 345838106 |
| L | LOEWS CORP | 110,416 | $4,859 | 3.7% | $44.34 | -7.0% | COM | 540424108 |
| — | SAFEGUARD SCIENTIFICS INC | 211,323 | $4,393 | 3.3% | $20.44 | — | COM NEW | 786449207 |
| — | REAVES UTIL INCOME FD COM | 110,335 | $3,306 | 2.5% | $25.09 | — | SH BEN INT | 756158101 |
| — | INDIA FD INC | 126,376 | $3,207 | 2.4% | $21.94 | — | COM | 454089103 |
| TDS | TELEPHONE & DATA SYS INC | 119,438 | $3,119 | 2.4% | $28.28 | -6.3% | COM NEW | 879433829 |
| TPH | TRI POINTE HOMES INC | 183,500 | $2,885 | 2.2% | $16.16 | 0.0% | Put | 87265H109 |
| — | SUSSER HLDGS CORP | 33,000 | $2,664 | 2.0% | $80.73 | — | COM | 869233106 |
| — | CORNERSTONE TOTAL RTRN FD IN | 457,468 | $2,580 | 2.0% | $6.05 | — | COM NEW | 21924U201 |
| WY | WEYERHAEUSER CO | 77,213 | $2,555 | 1.9% | $19.29 | 0.0% | COM | 962166104 |
| — | NICHOLAS FINANCIAL INC | 173,449 | $2,491 | 1.9% | $15.15 | — | COM NEW | 65373J209 |
| — | SILVER EAGLE ACQUISITION COR | 254,745 | $2,484 | 1.9% | $9.67 | — | COM | 827694100 |
| — | DNP SELECT INCOME FD | 193,313 | $2,032 | 1.5% | $9.47 | — | COM | 23325P104 |
| — | TIME WARNER CABLE INC | 12,852 | $1,893 | 1.4% | $147.29 | — | COM | 88732J207 |
| — | CBS OUTDOOR AMERS INC | 55,000 | $1,797 | 1.4% | $32.69 | — | Put | 14987J106 |
| — | EMERITUS CORP | 55,379 | $1,753 | 1.3% | $31.65 | — | COM | 291005106 |
| — | NORTHSTAR RLTY FIN CORP | 100,000 | $1,738 | 1.3% | $17.38 | — | COM | 66704R100 |
| — | YAHOO INC | 49,200 | $1,728 | 1.3% | $36.12 | — | COM | 984332106 |
| — | HARVEST NATURAL RESOURCES IN | 317,184 | $1,583 | 1.2% | $4.10 | — | COM | 41754V103 |
| — | 1ST UNITED BANCORP INC | 179,836 | $1,550 | 1.2% | $8.62 | — | COM | 33740N105 |
| — | ROI ACQUISITION CORP II | 128,708 | $1,257 | 1.0% | $9.71 | — | COM | 74966G101 |
| — | SIRIUS XM HLDGS INC | 350,000 | $1,211 | 0.9% | $3.23 | — | COM | 82968B103 |
| — | BROOKFIELD HIGH INCOME FD IN | 38,541 | $966 | 0.7% | $19.77 | — | COM | 11273Q109 |
| — | TF FINL CORP | 22,000 | $941 | 0.7% | $42.77 | — | COM | 872391107 |
| — | DIRECTV | 11,000 | $935 | 0.7% | $85.00 | — | COM | 25490A309 |
| SPG | SIMON PPTY GROUP INC | 5,500 | $915 | 0.7% | $93.21 | 0.0% | NEW COM | 828806109 |
| — | CBS OUTDOOR AMERS INC | 27,900 | $912 | 0.7% | $32.69 | — | COM | 14987J106 |
| — | CBS CORP NEW | 14,000 | $870 | 0.7% | $62.14 | — | CL B | 124857202 |
| — | NORDION INC | 66,000 | $830 | 0.6% | $12.58 | — | COM | 65563C105 |
| — | GABELLI UTIL TR | 108,986 | $800 | 0.6% | $6.39 | — | COM | 36240A101 |
| — | DELAWARE INVTS DIV & INCOME | 72,112 | $753 | 0.6% | $10.44 | — | COM | 245915103 |
| — | KEATING CAPITAL INC | 126,610 | $748 | 0.6% | $6.15 | — | COM | 48722R106 |
| — | BROOKFIELD TOTAL RETURN FD I | 29,617 | $746 | 0.6% | $23.77 | — | COM | 11283U108 |
| — | FIDELITY NATIONAL FINANCIAL | 22,741 | $745 | 0.6% | $32.76 | — | CL A | 31620R105 |
| — | E M C CORP MASS | 27,500 | $724 | 0.5% | $27.40 | — | COM | 268648102 |
| — | GABELLI GLOBL UTIL & INCOME | 32,237 | $673 | 0.5% | $20.04 | — | COM SH BEN INT | 36242L105 |
| — | DIVIDEND & INCOME FUND | 38,439 | $613 | 0.5% | $15.11 | — | COM NEW | 25538A204 |
| TPH | TRI POINTE HOMES INC | 38,872 | $611 | 0.5% | $16.16 | 0.0% | COM | 87265H109 |
| — | UNS ENERGY CORP | 10,000 | $604 | 0.5% | $60.00 | — | COM | 903119105 |
| — | LIBERTY ALL STAR EQUITY FD | 99,765 | $600 | 0.5% | $5.87 | — | SH BEN INT | 530158104 |
| — | FURIEX PHARMACEUTICALS INC | 5,500 | $584 | 0.4% | $106.18 | — | COM | 36106P101 |
| — | PLX TECHNOLOGY INC | 87,593 | $567 | 0.4% | $6.58 | — | COM | 693417107 |
| — | SAFEWAY INC | 16,500 | $567 | 0.4% | $34.36 | — | COM NEW | 786514208 |
| — | REALNETWORKS INC | 71,275 | $544 | 0.4% | $7.55 | — | COM NEW | 75605L708 |
| — | COHEN & STEERS TOTAL RETURN | 43,340 | $537 | 0.4% | $12.39 | — | COM | 19247R103 |
| — | AVENUE INCOME CR STRATEGIES | 29,808 | $536 | 0.4% | $17.58 | — | COM | 05358E106 |
| — | QUESTCOR PHARMACEUTICALS INC | 5,500 | $509 | 0.4% | $92.55 | — | COM | 74835Y101 |
| — | COVIDIEN PLC | 5,500 | $496 | 0.4% | $90.18 | — | CAL | G2554F113 |
| — | NATIONAL OILWELL VARCO INC | 5,500 | $453 | 0.3% | $82.36 | — | COM | 637071101 |
| LBTYAUSD | LIBERTY GLOBAL PLC | 10,553 | $446 | 0.3% | $42.26 | — | SHS CL A | G5480U104 |
| — | INTERNATIONAL GAME TECHNOLOG | 27,500 | $438 | 0.3% | $15.93 | — | COM | 459902102 |
| OXY | OCCIDENTAL PETE CORP DEL | 4,000 | $411 | 0.3% | $66.18 | 0.0% | COM | 674599105 |
| — | MONTAGE TECHNOLOGY GROUP LTD | 19,250 | $398 | 0.3% | $20.68 | — | SHS | G6209T105 |
| TKR | TIMKEN CO | 5,500 | $373 | 0.3% | $45.32 | 0.0% | COM | 887389104 |
| — | EXPRESS INC | 21,400 | $364 | 0.3% | $17.01 | — | COM | 319460101 |
| — | MORGAN STANLEY INDIA INVS FD | 15,522 | $359 | 0.3% | $17.46 | — | COM | 61745C105 |
| — | NEUBERGER BERMAN RE ES SEC F | 66,733 | $334 | 0.3% | $4.35 | — | COM | 64190A103 |
| — | EQUAL ENERGY LTD | 60,689 | $329 | 0.2% | $4.58 | — | COM | 29390Q109 |
| WEN | WENDYS CO | 38,214 | $326 | 0.2% | $9.16 | -8.0% | COM | 95058W100 |
| FMC | F M C CORP | 4,500 | $320 | 0.2% | $50.90 | 0.0% | COM NEW | 302491303 |
| — | AMER RLTY CAP HEALTHCAR TR I | 27,500 | $299 | 0.2% | $10.87 | — | COM | 02917R108 |
| — | CASCADE BANCORP | 56,516 | $294 | 0.2% | $5.20 | — | COM NEW | 147154207 |
| — | MODUSLINK GLOBAL SOLUTIONS I | 75,970 | $284 | 0.2% | $4.65 | — | COM | 60786L107 |
| — | OXFORD LANE CAP CORP | 16,532 | $280 | 0.2% | $16.69 | — | COM | 691543102 |
| — | COMPUWARE CORP | 27,590 | $276 | 0.2% | $11.20 | — | COM | 205638109 |
| HBIO | HARVARD BIOSCIENCE INC | 60,375 | $275 | 0.2% | $4.37 | -3.8% | COM | 416906105 |
| — | LORAL SPACE & COMMUNICATNS I | 3,754 | $273 | 0.2% | $72.72 | — | COM | 543881106 |
| — | ZYNGA INC | 77,000 | $247 | 0.2% | $3.21 | — | CL A | 98986T108 |
| — | THAI FD INC | 21,198 | $238 | 0.2% | $13.22 | — | COM | 882904105 |
| — | THERAVANCE INC | 7,900 | $235 | 0.2% | $30.93 | — | COM | 88338T104 |
| — | GSV CAP CORP | 21,900 | $231 | 0.2% | $10.55 | — | COM | 36191J101 |
| VOD | VODAFONE GROUP PLC NEW | 6,544 | $219 | 0.2% | $36.83 | — | SPNSR ADR NO PAR | 92857W308 |
| — | SWISS HELVETIA FUND | 14,462 | $211 | 0.2% | $14.17 | — | COM | 870875101 |
| — | QLT INC | 34,204 | $211 | 0.2% | $5.58 | — | COM | 746927102 |
| — | GLOBAL DEFENSE & NATL SEC SY | 19,263 | $197 | 0.1% | $10.23 | — | COM | 37953N108 |
| — | JUNIPER NETWORKS INC | 7,500 | $184 | 0.1% | $25.77 | — | COM | 48203R104 |
| — | RENTECH INC | 66,668 | $173 | 0.1% | $1.75 | — | COM | 760112102 |
| A | AGILENT TECHNOLOGIES INC | 3,000 | $172 | 0.1% | $36.49 | 0.0% | COM | 00846U101 |
| — | RIVERBED TECHNOLOGY INC | 8,200 | $169 | 0.1% | $19.70 | — | COM | 768573107 |
| — | INTERNET PATENTS CORP | 52,996 | $164 | 0.1% | $3.11 | — | COM | 46063G101 |
| — | SYMANTEC CORP | 7,082 | $162 | 0.1% | $22.87 | — | COM | 871503108 |
| — | YONGYE INTL INC | 21,900 | $154 | 0.1% | $6.80 | — | COM | 98607B106 |
| — | GLEACHER & CO INC | 13,436 | $141 | 0.1% | $10.49 | — | COM NEW | 377341201 |
| — | DSP GROUP INC | 15,670 | $133 | 0.1% | $9.70 | — | COM | 23332B106 |
| — | CABLEVISION SYS CORP | 7,500 | $132 | 0.1% | $17.60 | — | CL A NY CABLVS | 12686C109 |
| PENN | PENN NATL GAMING INC | 10,458 | $127 | 0.1% | $11.82 | 0.0% | COM | 707569109 |
| NMFC | NEW MTN FIN CORP | 7,418 | $110 | 0.1% | $4.19 | 0.0% | COM | 647551100 |
| — | JAKKS PAC INC | 13,882 | $107 | 0.1% | $6.71 | — | COM | 47012E106 |
| — | MONSTER WORLDWIDE INC | 16,050 | $105 | 0.1% | $6.54 | — | COM | 611742107 |
| KOPN | KOPIN CORP | 30,912 | $101 | 0.1% | $3.84 | -14.3% | COM | 500600101 |
| — | SIZMEK INC | 10,354 | $99 | 0.1% | $9.56 | — | COM | 83013P105 |
| — | ENDOCYTE INC | 14,200 | $94 | 0.1% | $6.62 | — | COM | 29269A102 |
| BB | BLACKBERRY LTD | 8,023 | $82 | 0.1% | $7.88 | 0.0% | COM | 09228F103 |
| — | SANOFI | 164,477 | $82 | 0.1% | $0.34 | — | RIGHT 12/31/2020 | 80105N113 |
| — | TURQUOISE HILL RES LTD | 23,063 | $77 | 0.1% | $3.32 | — | COM | 900435108 |
| GLPI | GAMING & LEISURE PPTYS INC | 2,147 | $73 | 0.1% | $34.00 | — | COM | 36467J108 |
| — | FTD COS INC | 2,240 | $71 | 0.1% | $31.70 | — | COM | 30281V108 |
| — | MERGE HEALTHCARE INC | 30,800 | $70 | 0.1% | $2.31 | — | COM | 589499102 |
| — | WRIGHT MED GROUP INC | 45,300 | $67 | 0.1% | $0.66 | — | RIGHT 03/01/2019 | 98235T115 |
| — | SAMSON OIL & GAS LTD | 141,204 | $62 | 0.0% | $0.42 | — | SPON ADR | 796043107 |
| LUNA | LUNA INNOVATIONS | 45,000 | $62 | 0.0% | $1.53 | -6.2% | COM | 550351100 |
| — | KINDER MORGAN INC DEL | 19,526 | $54 | 0.0% | $4.05 | — | *W EXP 05/25/201 | 49456B119 |
| — | WASHINGTON PRIME GROUP INC | 2,750 | $52 | 0.0% | $18.91 | — | COM | 939647103 |
| PFS | PROVIDENT FINL SVCS INC | 2,831 | $49 | 0.0% | $10.34 | 0.0% | COM | 74386T105 |
| LTRE | LEARNING TREE INTL INC | 17,988 | $46 | 0.0% | $3.09 | -6.4% | COM | 522015106 |
| — | LIFEVANTAGE CORP | 32,161 | $46 | 0.0% | $1.65 | — | COM | 53222K106 |
| — | SWS GROUP INC | 6,200 | $45 | 0.0% | $7.26 | — | COM | 78503N107 |
| GULTU | GULF COAST ULTRA DEEP RTY TR | 14,923 | $44 | 0.0% | $2.95 | — | ROYALTY TR UNT | 40222T104 |
| HTB | HOMETRUST BANCSHARES INC | 2,743 | $43 | 0.0% | $15.45 | 0.0% | COM | 437872104 |
| — | TRANS WORLD ENTMT CORP | 10,400 | $40 | 0.0% | $3.85 | — | COM | 89336Q100 |
| — | GABELLI HLTHCARE & WELLNESS | 103,460 | $40 | 0.0% | $0.39 | — | RIGHT 07/08/2014 | 36246K137 |
| — | GABELLI MULTIMEDIA TR INC | 147,054 | $23 | 0.0% | $0.16 | — | RIGHT 07/18/2014 | 36239Q141 |
| ATLC | ATLANTICUS HLDGS CORP | 8,298 | $23 | 0.0% | $2.70 | 0.0% | COM | 04914Y102 |
| — | CUBIST PHARMACEUTICALS INC | 196,892 | $23 | 0.0% | $1.28 | — | RIGHT 99/99/9999 | 229678123 |
| ENZN | ENZON PHARMACEUTICALS INC | 5,981 | $6 | 0.0% | $0.07 | 0.0% | COM | 293904108 |
| — | VALLEY NATL BANCORP | 5,004 | $1 | 0.0% | $0.20 | — | *W EXP 06/30/201 | 919794123 |