CIK: 0001584639 · Show all filings
Period: Q4 2016 (← Previous) (Next →)
Filing Date: Feb 13, 2017
Total Value ($000): $204,977 (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value ($000) | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| — | AMERICAN CAP LTD | 1,688,660 | $30,261 | 14.8% | $17.03 | — | COM | 02503Y103 |
| — | RITE AID CORP | 1,531,272 | $12,618 | 6.2% | $7.89 | — | COM | 767754104 |
| — | YAHOO INC | 255,925 | $9,897 | 4.8% | $38.32 | — | COM | 984332106 |
| — | MEDIA GEN INC NEW | 493,893 | $9,300 | 4.5% | $17.86 | — | COM | 58441K100 |
| — | SPECTRA ENERGY CORP | 218,450 | $8,976 | 4.4% | $41.09 | — | COM | 847560109 |
| — | ST JUDE MED INC | 88,000 | $7,057 | 3.4% | $78.30 | — | COM | 790849103 |
| — | SAFEGUARD SCIENTIFICS INC | 475,138 | $6,391 | 3.1% | $18.08 | — | COM NEW | 786449207 |
| — | SYNGENTA AG | 80,368 | $6,353 | 3.1% | $79.05 | — | SPONSORED ADR | 87160A100 |
| — | WESTERN REFNG INC | 144,115 | $5,455 | 2.7% | $37.85 | — | COM | 959319104 |
| — | BOULEVARD ACQUISITION | 519,500 | $5,278 | 2.6% | $9.96 | — | UNIT 99/99/9999 | 10157Q201 |
| — | WHITEWAVE FOODS CO | 87,000 | $4,837 | 2.4% | $55.33 | — | COM | 966244105 |
| — | DOUBLE EAGLE ACQUISITION COR | 444,000 | $4,684 | 2.3% | $10.14 | — | UNIT 99/99/9999 | G28195108 |
| — | WESTAR ENERGY INC | 81,337 | $4,583 | 2.2% | $56.34 | — | COM | 95709T100 |
| — | BROADCOM LTD | 24,000 | $4,242 | 2.1% | $155.00 | — | Put | Y09827109 |
| — | CABELAS INC | 66,200 | $3,876 | 1.9% | $58.55 | — | COM | 126804301 |
| — | TIME WARNER INC | 40,000 | $3,861 | 1.9% | $96.53 | — | COM NEW | 887317303 |
| — | CORNERSTONE STRATEGIC VALUE | 235,072 | $3,566 | 1.7% | $15.17 | — | COM | 21924B302 |
| — | LIBERTY GLOBAL PLC | 156,628 | $3,316 | 1.6% | $24.57 | — | LILAC SHS CL C | G5480U153 |
| — | ORIGO ACQUISITION CORP | 309,070 | $3,214 | 1.6% | $10.40 | — | SHS | G67789126 |
| — | B/E AEROSPACE INC | 53,000 | $3,190 | 1.6% | $60.19 | — | COM | 073302101 |
| — | REAVES UTIL INCOME FD | 100,500 | $3,086 | 1.5% | $25.97 | — | COM SH BEN INT | 756158101 |
| — | NEUBERGER BERMAN RE ES SEC F | 550,467 | $2,956 | 1.4% | $5.19 | — | COM | 64190A103 |
| KLAC | KLA-TENCOR CORP | 37,268 | $2,932 | 1.4% | $55.00 | +19.5% | COM | 482480100 |
| LBTYAUSD | LIBERTY GLOBAL PLC | 92,610 | $2,833 | 1.4% | $30.91 | — | SHS CL A | G5480U104 |
| COTY | COTY INC | 151,294 | $2,770 | 1.4% | $18.17 | 0.0% | COM CL A | 222070203 |
| — | CST BRANDS INC | 55,299 | $2,663 | 1.3% | $48.16 | — | COM | 12646R105 |
| — | MIDDLEBURG FINANCIAL CORP | 76,253 | $2,650 | 1.3% | $34.75 | — | COM | 596094102 |
| — | WHITEWAVE FOODS CO | 46,600 | $2,591 | 1.3% | $55.33 | — | Call | 966244105 |
| — | QUINPARIO ACQUISITION CORP 2 | 243,850 | $2,426 | 1.2% | $9.76 | — | COM | 74874U101 |
| — | WHITEWAVE FOODS CO | 40,900 | $2,274 | 1.1% | $55.33 | — | Put | 966244105 |
| — | DISCOVERY COMMUNICATNS NEW | 78,111 | $2,141 | 1.0% | $26.08 | — | COM SER A | 25470F104 |
| — | ANDINA ACQUISITION CORP II | 187,500 | $1,964 | 1.0% | $9.92 | — | UNIT 99/99/9999 | G0441P112 |
| — | INTEROIL CORP | 37,842 | $1,801 | 0.9% | $49.81 | — | COM | 460951106 |
| — | GABELLI EQUITY TR INC | 313,808 | $1,732 | 0.8% | $6.40 | — | COM | 362397101 |
| — | ALLERGAN PLC | 8,235 | $1,729 | 0.8% | $268.04 | — | SHS | G0177J108 |
| — | SUFFOLK BANCORP | 38,676 | $1,656 | 0.8% | $31.31 | — | COM | 864739107 |
| — | VIACOM INC NEW | 45,334 | $1,591 | 0.8% | $41.21 | — | CL B | 92553P201 |
| — | AVISTA HEALTHCARE PUB ACQ CO | 150,000 | $1,519 | 0.7% | $10.13 | — | UNIT 99/99/9999 | G0726L109 |
| — | WEBMD HEALTH CORP | 29,062 | $1,441 | 0.7% | $49.58 | — | COM | 94770V102 |
| — | ENDURANCE SPECIALTY HLDGS LT | 14,205 | $1,313 | 0.6% | $92.43 | — | SHS | G30397106 |
| — | ELECTRUM SPL ACQUISITION COR | 129,645 | $1,285 | 0.6% | $9.65 | — | SHS | G3105C104 |
| — | FIDELITY & GTY LIFE | 53,000 | $1,256 | 0.6% | $23.19 | — | COM | 315785105 |
| — | HENNESSY CAP ACQUISITION COR | 120,000 | $1,210 | 0.6% | $9.68 | — | COM | 42588J100 |
| — | MERCHANTS BANCSHARES | 20,465 | $1,109 | 0.5% | $54.19 | — | COM | 588448100 |
| — | TRIBUNE MEDIA CO | 31,400 | $1,098 | 0.5% | $34.97 | — | CL A | 896047503 |
| — | CASCADE BANCORP | 126,500 | $1,027 | 0.5% | $8.12 | — | COM NEW | 147154207 |
| — | DELL TECHNOLOGIES INC | 17,539 | $964 | 0.5% | $47.81 | — | COM CL V | 24703L103 |
| — | HARVEST NATURAL RESOURCES IN | 153,375 | $948 | 0.5% | $6.18 | — | COM NEW | 41754V202 |
| — | HARMONY MERGER CORP | 90,000 | $911 | 0.4% | $9.76 | — | COM | 413247107 |
| — | G & K SVCS INC | 8,408 | $811 | 0.4% | $96.46 | — | CL A | 361268105 |
| — | HARMONY MERGER CORP | 75,000 | $773 | 0.4% | $10.00 | — | UNIT 99/99/9999 | 413247206 |
| — | BROCADE COMMUNICATIONS SYS I | 60,100 | $751 | 0.4% | $12.50 | — | COM NEW | 111621306 |
| — | GP INVTS ACQUISITION COR | 72,301 | $716 | 0.3% | $9.72 | — | SHS | G40357124 |
| — | NORTHSTAR ASSET MGMT GROUP I | 42,353 | $632 | 0.3% | $14.92 | — | COM | 66705Y104 |
| PFLT | PENNANTPARK FLOATING RATE CA | 41,160 | $581 | 0.3% | $4.46 | +16.8% | COM | 70806A106 |
| — | GAS NAT INC | 44,680 | $561 | 0.3% | $12.56 | — | COM | 367204104 |
| — | WELLS FARGO MULTI SECTOR INC | 40,100 | $514 | 0.3% | $12.82 | — | COM | 94987D101 |
| — | LIBERTY ALL STAR EQUITY FD | 92,538 | $477 | 0.2% | $5.87 | — | SH BEN INT | 530158104 |
| — | VIDEOCON D2H LTD | 47,423 | $390 | 0.2% | $12.61 | — | ADR | 92657J101 |
| — | AVENUE INCOME CR STRATEGIES | 28,482 | $383 | 0.2% | $17.58 | — | COM | 05358E106 |
| — | BOULEVARD ACQUISITION | 38,319 | $379 | 0.2% | $9.84 | — | CL A | 10157Q102 |
| — | DIVIDEND & INCOME FUND | 29,306 | $347 | 0.2% | $11.02 | — | COM NEW | 25538A204 |
| — | RENTECH INC | 131,249 | $325 | 0.2% | $4.31 | — | COM NEW | 760112201 |
| — | CROSSROADS CAP INC | 142,096 | $303 | 0.1% | $3.13 | — | COM | 227656105 |
| XLU | SELECT SECTOR SPDR TR | 5,580 | $271 | 0.1% | $48.57 | — | SBI INT-UTILS | 81369Y886 |
| — | VALSPAR CORP | 2,600 | $269 | 0.1% | $103.46 | — | COM | 920355104 |
| — | BARINGTON HILCO ACQUISITION | 24,740 | $251 | 0.1% | $9.74 | — | COM | 06759V101 |
| — | FIDELITY NATIONAL FINANCIAL | 17,563 | $241 | 0.1% | $12.60 | — | FNFV GROUP COM | 31620R402 |
| — | A H BELO CORP | 35,942 | $228 | 0.1% | $6.97 | — | COM CL A | 001282102 |
| SVVC | FIRSTHAND TECH VALUE FD INC | 21,139 | $162 | 0.1% | $22.26 | -64.1% | COM | 33766Y100 |
| — | REALNETWORKS INC | 28,576 | $139 | 0.1% | $7.55 | — | COM NEW | 75605L708 |
| — | ADVENT CLAYMORE ENH GRW & IN | 15,555 | $129 | 0.1% | $8.29 | — | COM | 00765E104 |
| — | MODUSLINK GLOBAL SOLUTIONS I | 69,804 | $102 | 0.0% | $3.84 | — | COM NEW | 60786L206 |
| KOPN | KOPIN CORP | 23,746 | $67 | 0.0% | $3.84 | -36.8% | COM | 500600101 |
| — | SANOFI | 155,177 | $59 | 0.0% | $0.34 | — | RIGHT 12/31/2020 | 80105N113 |
| LUNA | LUNA INNOVATIONS | 34,483 | $51 | 0.0% | $1.53 | -10.5% | COM | 550351100 |
| — | WRIGHT MED GROUP N V | 38,308 | $51 | 0.0% | $1.02 | — | RIGHT 03/01/2019 | N96617126 |
| PRZM | PRISM TECHNOLOGIES GROUP INC | 132,586 | $40 | 0.0% | $2.97 | -92.6% | COM | 74273Y100 |
| — | ENDOCYTE INC | 14,200 | $36 | 0.0% | $6.62 | — | COM | 29269A102 |
| — | COVISINT CORP | 18,549 | $35 | 0.0% | $2.67 | — | COM | 22357R103 |
| — | TRANS WORLD ENTMT CORP | 10,400 | $34 | 0.0% | $3.85 | — | COM | 89336Q100 |
| — | BROADCOM LTD | 98 | $17 | 0.0% | $155.00 | — | SHS | Y09827109 |
| — | AXAR ACQUISITION CORP | 142,500 | $11 | 0.0% | $0.08 | — | *W EXP 12/31/202 | 05455L110 |
| — | SAMSON OIL & GAS LTD | 14,119 | $10 | 0.0% | $1.42 | — | SPON ADR NEW | 796043206 |