Location: Portland, OR
CIK: 0001668256 · Show all filings
Period: Q1 2021 (← Previous) (Next →)
Filing Date: May 17, 2021
Total Value: $347M (100.0% shares, 0.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| — | HIGHLAND INCOME FD | 1,464,000 | $16.23M | 4.7% | $11.09 | $9.66 | — | HIGHLAND INCOME | 43010E404 |
| — | MORGAN STANLEY CHINA A SH FD | 555,449 | $12.53M | 3.6% | $22.55 | $19.24 | — | COM | 617468103 |
| — | ADAMS DIVERSIFIED EQUITY FD | 653,830 | $11.94M | 3.4% | $18.26 | $13.62 | — | COM | 006212104 |
| — | CENTRAL SECS CORP | 294,840 | $11.18M | 3.2% | $37.91 | $27.31 | — | COM | 155123102 |
| — | MORGAN STANLEY EMERGING MKTS | 1,613,100 | $9.71M | 2.8% | $6.02 | $5.32 | — | COM | 617477104 |
| — | CALAMOS LNG SHR EQT DYNAMIC | 446,000 | $9M | 2.6% | $20.18 | $15.58 | — | COM | 12812C106 |
| NXDT | NEXPOINT STRATEGIC OPPORTES | 756,700 | $8.618M | 2.5% | $11.39 | $11.56 | — | COM NEW | 65340G205 |
| — | KAYNE ANDERSON NEXTGEN ENRGY | 1,233,902 | $8.217M | 2.4% | $6.66 | $4.65 | — | COM | 48661E108 |
| — | TORTOISE ENERGY INFRA CORP | 284,517 | $6.953M | 2.0% | $24.44 | $20.29 | — | COM | 89147L886 |
| — | ASA GOLD AND PRECIOUS MTLS L | 348,047 | $6.943M | 2.0% | $19.95 | $16.99 | — | SHS | G3156P103 |
| — | MORGAN STANLEY INDIA INVT FD | 279,534 | $6.516M | 1.9% | $23.31 | $16.09 | — | COM | 61745C105 |
| — | TEKLA LIFE SCIENCES INVS | 319,311 | $6.293M | 1.8% | $19.71 | $16.16 | — | SH BEN INT | 87911K100 |
| DGRO | ISHARES TR | 129,598 | $6.255M | 1.8% | $48.26 | $39.85 | +21.1% | CORE DIV GRWTH | 46434V621 |
| — | GENERAL AMERN INVS CO INC | 154,585 | $6.158M | 1.8% | $39.84 | $31.53 | — | COM | 368802104 |
| — | CLOUGH GLOBAL EQUITY FD | 396,000 | $6.015M | 1.7% | $15.19 | $9.82 | — | COM | 18914C100 |
| — | PIMCO ENRGY TACTICAL CR OPP | 564,558 | $5.843M | 1.7% | $10.35 | $5.37 | — | COM SHS BEN INT | 69346N107 |
| — | CLEARBRIDGE ENERGY MIDSTRM O | 295,271 | $5.515M | 1.6% | $18.68 | $13.43 | — | COM | 18469P209 |
| XHIEX | MILLER HOWARD HIGH INC EQTY | 560,000 | $5.376M | 1.5% | $9.60 | $6.10 | — | COM SHS BEN IN | 600379101 |
| — | HIGHLAND GLOBAL ALLOCATION F | 691,000 | $5.327M | 1.5% | $7.71 | $6.50 | — | COM | 43010T104 |
| — | BOULDER GROWTH & INCOME FD I | 408,618 | $5.14M | 1.5% | $12.58 | $9.57 | — | COM | 101507101 |
| — | NEUBERGER BERMAN MLP & ENERG | 1,223,585 | $5.139M | 1.5% | $4.20 | $3.37 | — | COM | 64129H104 |
| — | TORTOISE MIDSTRM ENERGY FD I | 189,000 | $4.859M | 1.4% | $25.71 | $21.42 | — | COM | 89148B200 |
| — | TORTOISE ESSENTIAL ASSETS IN | 331,170 | $4.748M | 1.4% | $14.34 | $10.10 | — | COM SH BEN INT | 89148A103 |
| MSFT | MICROSOFT CORP | 19,803 | $4.669M | 1.3% | $235.77 * | $86.00 | +163.7% | COM | 594918104 |
| — | ROYCE MICRO-CAP TR INC | 413,000 | $4.666M | 1.3% | $11.30 | $9.12 | — | COM | 780915104 |
| — | VOYA GLBL EQTY DIV & PREM OP | 797,100 | $4.543M | 1.3% | $5.70 | $4.85 | — | COM | 92912T100 |
| — | CBRE CLARION GLOBAL REAL EST | 581,449 | $4.541M | 1.3% | $7.81 | $6.11 | — | COM | 12504G100 |
| — | VOYA GLBL ADV & PREM OPP FD | 464,610 | $4.446M | 1.3% | $9.57 | $8.23 | — | COM | 92912R104 |
| AAPL | APPLE INC | 33,910 | $4.142M | 1.2% | $122.15 * | $91.91 | +29.6% | COM | 037833100 |
| — | TEKLA HEALTHCARE INVS | 169,541 | $4.138M | 1.2% | $24.41 | $20.05 | — | SH BEN INT | 87911J103 |
| — | GABELLI DIVID & INCOME TR | 165,002 | $3.953M | 1.1% | $23.96 | $17.18 | — | COM | 36242H104 |
| — | ABERDEEN ASIA-PACIFIC INCOME | 921,913 | $3.77M | 1.1% | $4.09 | $3.69 | — | COM | 003009107 |
| — | JAPAN SMALLER CAPITALIZATION | 393,221 | $3.656M | 1.1% | $9.30 | $7.18 | — | COM | 47109U104 |
| — | RMR MORTGAGE TR | 303,505 | $3.642M | 1.0% | $12.00 | $17.48 | — | COM | 76970B101 |
| CCIF | VERTICAL CAP INCOME FD | 352,700 | $3.632M | 1.0% | $10.30 | $9.40 | — | SHS BEN INT | 92535C104 |
| XXCHNXX | CHINA FD INC | 123,504 | $3.614M | 1.0% | $29.26 | $22.85 | — | COM | 169373107 |
| — | FIRST EAGLE SENIOR LOAN FUND | 246,509 | $3.534M | 1.0% | $14.34 | $12.83 | — | COM NEW | 32010E100 |
| — | BLACKROCK SCIENCE & TECH TR | 98,000 | $3.497M | 1.0% | $35.68 | $35.68 | — | SHS BEN INT | 09260K101 |
| — | GABELLI GLOBAL SMALL & MID C | 228,847 | $3.338M | 1.0% | $14.59 | $9.99 | — | COM | 36249W104 |
| — | BLACKROCK HEALTH SCIENCS TR | 125,000 | $3.287M | 0.9% | $26.30 | $26.30 | — | COM SHS | 09260E105 |
| AMLP | ALPS ETF TR | 100,000 | $3.05M | 0.9% | $30.50 | $28.17 | +8.3% | ALERIAN MLP | 00162Q452 |
| — | MACQUARIE GLOBAL INFRASTRUCT | 136,000 | $2.972M | 0.9% | $21.85 | $20.29 | — | COM | 55608D101 |
| — | SALIENT MIDSTREAM & MLP FD | 543,300 | $2.77M | 0.8% | $5.10 | $4.33 | — | SH BEN INT | 79471V105 |
| — | SWISS HELVETIA FD INC | 314,003 | $2.76M | 0.8% | $8.79 | $7.34 | — | COM | 870875101 |
| — | TAIWAN FD INC | 93,000 | $2.627M | 0.8% | $28.25 | $18.81 | — | COM | 874036106 |
| ASND | ASCENDIS PHARMA A/S | 20,190 | $2.602M | 0.7% | $128.88 | $104.47 | — | SPONSORED ADR | 04351P101 |
| — | GABELLI HLTHCARE & WELLNESS | 206,220 | $2.569M | 0.7% | $12.46 | $11.21 | — | SHS | 36246K103 |
| AMZN | AMAZON COM INC | 824 | $2.549M | 0.7% | $3093.45 * | $66.32 | +133.3% | COM | 023135106 |
| XJEQX | ABERDEEN JAPAN EQUITY FD INC | 274,034 | $2.471M | 0.7% | $9.02 | $6.85 | — | COM | 00306J109 |
| — | KAYNE ANDERSON ENERGY INFRST | 343,603 | $2.463M | 0.7% | $7.17 | $3.63 | — | COM | 486606106 |
| — | LAM RESEARCH CORP | 4,030 | $2.398M | 0.7% | $595.04 | $313.38 | — | COM | 512807108 |
| — | RIVERNORTH SPECIALTY FIN COR | 129,855 | $2.324M | 0.7% | $17.90 | $16.62 | — | COM | 76882B108 |
| USB | US BANCORP DEL | 37,566 | $2.077M | 0.6% | $55.29 * | $29.67 | +51.6% | COM NEW | 902973304 |
| — | ROYCE VALUE TR INC | 114,207 | $2.068M | 0.6% | $18.11 | $14.87 | — | COM | 780910105 |
| — | SHOCKWAVE MED INC | 15,792 | $2.057M | 0.6% | $130.26 | $113.86 | — | COM | 82489T104 |
| — | PRINCIPAL REAL ESTATE INCOME | 148,877 | $2.01M | 0.6% | $13.50 | $12.10 | — | SHS BEN INT | 74255X104 |
| — | APOLLO SR FLOATING RATE FD I | 132,004 | $1.961M | 0.6% | $14.86 | $13.78 | — | COM | 037636107 |
| — | GDL FD | 215,513 | $1.924M | 0.6% | $8.93 | $9.11 | — | COM SH BEN IT | 361570104 |
| — | NEW IRELAND FD INC | 154,200 | $1.739M | 0.5% | $11.28 | $8.83 | — | COM | 645673104 |
| — | TEMPLETON EMERGING MKTS INCO | 235,531 | $1.735M | 0.5% | $7.37 | $8.06 | — | COM | 880192109 |
| — | CUSHING MLP & INFRASTRUCT | 66,048 | $1.644M | 0.5% | $24.89 | $21.82 | — | COM NEW | 231631300 |
| — | CENTER COAST BRKFLD MLP ENRG | 147,000 | $1.609M | 0.5% | $10.95 | $9.97 | — | SHS BEN INT | 151461209 |
| — | GOLDMAN SACHS MLP ENERGY REN | 147,902 | $1.431M | 0.4% | $9.68 | $7.73 | — | COM | 38148G206 |
| GOOGL | ALPHABET INC | 628 | $1.295M | 0.4% | $2062.10 * | $72.14 | +41.9% | CAP STK CL A | 02079K305 |
| — | CENTRAL & EASTERN EUROPE FD | 52,535 | $1.265M | 0.4% | $24.08 | $18.04 | — | COM | 153436100 |
| — | ABERDEEN STD GLOBAL INFRASTR | 61,670 | $1.233M | 0.4% | $19.99 | $18.50 | — | COM SHS BEN INT | 00326W106 |
| MLPX | GLOBAL X FDS | 35,000 | $1.106M | 0.3% | $31.60 | $27.44 | +15.1% | GLB X MLP ENRG I | 37954Y293 |
| ARVN | ARVINAS INC | 16,630 | $1.099M | 0.3% | $66.09 | $24.89 | +165.6% | COM | 04335A105 |
| — | ABERDEEN EMRG MRKTS EQT INM | 122,690 | $1.061M | 0.3% | $8.65 | $6.28 | — | COM | 00301W105 |
| NKE | NIKE INC | 7,501 | $996K | 0.3% | $132.78 * | $45.73 | +171.2% | CL B | 654106103 |
| XNDPX | TORTOISE ENERGY INDEPENDENC | 55,000 | $951K | 0.3% | $17.29 | $13.27 | — | COM | 89148K200 |
| INTC | INTEL CORP | 14,828 | $949K | 0.3% | $64.00 * | $32.31 | +80.2% | COM | 458140100 |
| XFDEX | FIRST TR DYNAMIC EUROPE EQUI | 73,522 | $933K | 0.3% | $12.69 | $12.69 | — | COM SHS | 33740D107 |
| — | NUVEEN DIVERSIFIED DIVID & I | 93,813 | $889K | 0.3% | $9.48 | $7.04 | — | COM | 6706EP105 |
| — | ANGEL OAK DYNAMIC FINL STRAT | 47,000 | $885K | 0.3% | $18.83 | $18.40 | — | COM BEN INT | 03462A102 |
| — | NEUBERGER BRMAN CLIFRN MUNI | 65,100 | $879K | 0.3% | $13.50 | $13.12 | — | COM | 64123C101 |
| — | NUVEEN MORTGAGE AND INCOME F | 41,000 | $850K | 0.2% | $20.73 | $19.85 | — | COM | 670735109 |
| — | VIRTUS ALLIANZGI CONVERTIBLE | 170,010 | $846K | 0.2% | $4.98 | $4.98 | — | COM | 92838U108 |
| — | BRANDYWINEGBL GBL INCM OPP F | 68,000 | $820K | 0.2% | $12.06 | $12.45 | — | COM | 10537L104 |
| — | NUVEEN SHT DUR CR OPP FD | 58,000 | $818K | 0.2% | $14.10 | $13.07 | — | COM | 67074X107 |
| ELV | ANTHEM INC | 2,272 | $815K | 0.2% | $358.71 * | $196.08 | +71.6% | COM | 036752103 |
| — | NUVEEN NEW JERSEY QULT MUN F | 56,146 | $812K | 0.2% | $14.46 | $13.40 | — | COM | 67069Y102 |
| — | ARES DYNAMIC CR ALLOCATION F | 54,000 | $811K | 0.2% | $15.02 | $12.05 | — | COM | 04014F102 |
| — | APOLLO TACTICAL INCOME FD IN | 53,570 | $797K | 0.2% | $14.88 | $11.48 | — | COM | 037638103 |
| XNBOX | NEUBERGER BRMAN NY MUNI FD I | 64,148 | $789K | 0.2% | $12.30 | $12.33 | — | COM | 64124K102 |
| — | ANGEL OAK FINL STRATEGIES IN | 45,000 | $783K | 0.2% | $17.40 | $16.83 | — | COM BEN INT | 03464A100 |
| — | MORGAN STANLEY EMER MKTS DEB | 87,000 | $779K | 0.2% | $8.95 | $8.49 | — | COM | 61744H105 |
| — | PGIM GLOBAL HIGH YIELD FD FO | 52,000 | $775K | 0.2% | $14.90 | $13.83 | — | COM | 69346J106 |
| — | KKR INCOME OPPORTUNITIES FD | 48,788 | $771K | 0.2% | $15.80 | $15.80 | — | COM | 48249T106 |
| — | EAGLE CAP GROWTH FD INC | 92,301 | $770K | 0.2% | $8.34 | $7.80 | — | COM | 269451100 |
| — | EATON VANCE CALIF MUN INCOM | 57,800 | $765K | 0.2% | $13.24 | $13.24 | — | SH BEN INT | 27826F101 |
| HD | HOME DEPOT INC | 2,504 | $764K | 0.2% | $305.11 * | $173.79 | +56.5% | COM | 437076102 |
| XBFZX | BLACKROCK CALIF MUN INCOME T | 52,261 | $750K | 0.2% | $14.35 | $13.45 | — | SH BEN INT | 09248E102 |
| — | INVESCO PA VALUE MUN INC TR | 55,837 | $728K | 0.2% | $13.04 | $12.65 | — | COM | 46132K109 |
| — | BLACKROCK MUNIYIELD N J FD I | 49,545 | $718K | 0.2% | $14.49 | $13.96 | — | COM | 09254Y109 |
| — | DTF TAX-FREE INCOME INC | 48,000 | $688K | 0.2% | $14.33 | $14.33 | — | COM | 23334J107 |
| — | SOLITON INC | 38,818 | $682K | 0.2% | $17.57 | $7.82 | — | COM | 834251100 |
| XYZ | SQUARE INC | 2,900 | $658K | 0.2% | $226.90 | $233.92 | -2.9% | CL A | 852234103 |
| — | CLOUGH GLOBAL OPPORTUNITIES | 53,146 | $651K | 0.2% | $12.25 | $7.17 | — | SH BEN INT | 18914E106 |
| — | HERZFELD CARIBBEAN BASIN FD | 105,933 | $622K | 0.2% | $5.87 | $3.48 | — | COM | 42804T106 |
| BRK/B | BERKSHIRE HATHAWAY INC DEL | 2,330 | $595K | 0.2% | $255.36 | $149.76 | +70.6% | CL B NEW | 084670702 |
| XVMMX | DELAWARE INVTS MINN MUN INCO | 44,793 | $590K | 0.2% | $13.17 | $13.09 | — | COM | 24610V103 |
| — | NUVEEN GLOBAL HIGH INCOME FD | 38,103 | $589K | 0.2% | $15.46 | $13.54 | — | SHS | 67075G103 |
| — | IVY HIGH INCOME OPPORTUNITIE | 41,193 | $561K | 0.2% | $13.62 | $13.62 | — | COM | 465893105 |
| — | BLACKSTONE STRATEGIC CREDIT | 39,000 | $519K | 0.1% | $13.31 | $10.72 | — | COM SHS BEN IN | 09257R101 |
| — | INDIA FD INC | 24,181 | $518K | 0.1% | $21.42 | $14.21 | — | COM | 454089103 |
| LOW | LOWES COS INC | 2,700 | $513K | 0.1% | $190.00 * | $156.97 | +10.9% | COM | 548661107 |
| MA | MASTERCARD INCORPORATED | 1,416 | $504K | 0.1% | $355.93 * | $204.31 | +69.6% | CL A | 57636Q104 |
| NOC | NORTHROP GRUMMAN CORP | 1,560 | $504K | 0.1% | $323.08 * | $169.04 | +77.2% | COM | 666807102 |
| — | ORBCOMM INC | 65,213 | $497K | 0.1% | $7.62 | $8.25 | — | COM | 68555P100 |
| DIS | DISNEY WALT CO | 2,670 | $492K | 0.1% | $184.27 * | $180.17 | +0.1% | COM | 254687106 |
| HUM | HUMANA INC | 1,174 | $492K | 0.1% | $419.08 * | $259.35 | +54.7% | COM | 444859102 |
| — | BLACKSTONE LONG-SHORT CREDIT | 34,700 | $490K | 0.1% | $14.12 | $10.53 | — | COM SHS BN INT | 09257D102 |
| MED | MEDIFAST INC | 2,300 | $487K | 0.1% | $211.74 * | $105.60 | +77.7% | COM | 58470H101 |
| PYPL | PAYPAL HLDGS INC | 2,000 | $485K | 0.1% | $242.50 | $251.93 | -3.8% | COM | 70450Y103 |
| SBUX | STARBUCKS CORP | 4,445 | $485K | 0.1% | $109.11 * | $46.75 | +109.7% | COM | 855244109 |
| — | MAXIM INTEGRATED PRODS INC | 5,233 | $478K | 0.1% | $91.34 | $39.94 | — | COM | 57772K101 |
| XXHYBXX | NEW AMER HIGH INCOME FD INC | 52,764 | $478K | 0.1% | $9.06 | $8.66 | — | COM NEW | 641876800 |
| ROBO | EXCHANGE TRADED CONCEPTS TR | 7,466 | $474K | 0.1% | $63.49 | $65.78 | -3.5% | ROBO GLB ETF | 301505707 |
| — | DWS STRATEGIC MUN INCOME TR | 40,029 | $473K | 0.1% | $11.82 | $10.64 | — | COM | 23342Q101 |
| — | WESTERN ASSET / CLAYMORE INF | 38,800 | $471K | 0.1% | $12.14 | $11.02 | — | COM | 95766R104 |
| — | CUSHING NEXTGEN INFRA INCM F | 11,226 | $453K | 0.1% | $40.35 | $36.34 | — | COM | 231647207 |
| WMT | WALMART INC | 3,320 | $450K | 0.1% | $135.54 * | $16.79 | +153.0% | COM | 931142103 |
| RNG | RINGCENTRAL INC | 1,500 | $446K | 0.1% | $297.33 | $367.69 | -19.0% | CL A | 76680R206 |
| JPM | JPMORGAN CHASE & CO | 2,901 | $441K | 0.1% | $152.02 * | $127.25 | +5.8% | COM | 46625H100 |
| XLU | SELECT SECTOR SPDR TR | 6,546 | $419K | 0.1% | $64.01 * | $31.98 | +0.1% | SBI INT-UTILS | 81369Y886 |
| LMT | LOCKHEED MARTIN CORP | 1,125 | $415K | 0.1% | $368.89 * | $177.68 | +82.7% | COM | 539830109 |
| ISRG | INTUITIVE SURGICAL INC | 541 | $399K | 0.1% | $737.52 * | $115.47 | +113.3% | COM NEW | 46120E602 |
| COST | COSTCO WHSL CORP NEW | 1,086 | $382K | 0.1% | $351.75 * | $169.26 | +97.4% | COM | 22160K105 |
| — | KALA PHARMACEUTICALS INC | 56,100 | $378K | 0.1% | $6.74 | $7.75 | — | COM | 483119103 |
| SBIO | ALPS ETF TR | 7,440 | $373K | 0.1% | $50.13 | $39.45 | +27.4% | MED BREAKTHGH | 00162Q593 |
| — | FIRST TR ENERGY INFRASTRCTR | 30,000 | $371K | 0.1% | $12.37 | $10.03 | — | COM | 33738C103 |
| GD | GENERAL DYNAMICS CORP | 1,770 | $321K | 0.1% | $181.36 * | $114.56 | +42.7% | COM | 369550108 |
| — | NUVEEN OHIO QLTY MUN INCOME | 20,608 | $321K | 0.1% | $15.58 | $14.77 | — | COM | 670980101 |
| TM | TOYOTA MOTOR CORP | 2,000 | $312K | 0.1% | $156.00 | $151.26 | +3.2% | SP ADR REP2COM | 892331307 |
| — | BARINGS GLOBAL SHORT DURATIO | 18,888 | $303K | 0.1% | $16.04 | $16.04 | — | COM | 06760L100 |
| IWD | ISHARES TR | 1,900 | $287K | 0.1% | $151.05 | $128.27 | +18.1% | RUS 1000 VAL ETF | 464287598 |
| UNH | UNITEDHEALTH GROUP INC | 750 | $279K | 0.1% | $372.00 * | $261.11 | +31.8% | COM | 91324P102 |
| MMM | 3M CO | 1,430 | $275K | 0.1% | $192.31 * | $94.99 | +42.2% | COM | 88579Y101 |
| CVX | CHEVRON CORP NEW | 2,621 | $274K | 0.1% | $104.54 * | $65.02 | +32.2% | COM | 166764100 |
| JNJ | JOHNSON & JOHNSON | 1,670 | $274K | 0.1% | $164.07 * | $102.48 | +40.0% | COM | 478160104 |
| SCZ | ISHARES TR | 3,700 | $265K | 0.1% | $71.62 | $57.32 | +25.3% | EAFE SML CP ETF | 464288273 |
| TGT | TARGET CORP | 1,300 | $257K | 0.1% | $197.69 * | $163.21 | +6.0% | COM | 87612E106 |
| — | 1LIFE HEALTHCARE INC | 6,194 | $242K | 0.1% | $39.07 | $39.07 | — | COM | 68269G107 |
| XTTPX | TORTOISE PIPELINE & ENERGY F | 11,721 | $240K | 0.1% | $20.48 | $16.98 | — | COM | 89148H207 |
| GOLD | A-MARK PRECIOUS METALS INC | 6,500 | $234K | 0.1% | $36.00 * | $15.68 | +14.8% | COM | 00181T107 |
| — | FIRST TR HIGH YIELD OPPRT 20 | 11,510 | $228K | 0.1% | $19.81 | $19.81 | — | COM | 33741Q107 |
| PG | PROCTER AND GAMBLE CO | 1,633 | $221K | 0.1% | $135.33 * | $116.35 | +3.3% | COM | 742718109 |
| — | NUVEEN AMT-FREE MUN VALUE FD | 13,470 | $221K | 0.1% | $16.41 | $16.41 | — | COM | 670695105 |
| ITW | ILLINOIS TOOL WKS INC | 1,000 | $221K | 0.1% | $221.00 * | $181.01 | +9.6% | COM | 452308109 |
| V | VISA INC | 960 | $203K | 0.1% | $211.46 * | $197.22 | +3.7% | COM CL A | 92826C839 |
| — | NUVEEN CR STRATEGIES INCOME | 31,249 | $203K | 0.1% | $6.50 | $5.67 | — | COM SHS | 67073D102 |
| — | INVESCO TR INVT GRADE NEW YO | 14,300 | $187K | 0.1% | $13.08 | $12.38 | — | COM | 46131T101 |
| — | CREDIT SUISSE HIGH YIELD BD | 70,000 | $168K | 0.0% | $2.40 | $2.40 | — | SH BEN INT | 22544F103 |
| GHG | GREENTREE HOSPITALITY GROUP | 10,000 | $131K | 0.0% | $13.10 | $11.99 | +9.7% | SPONSORED ADS | 39579V100 |
| UUUU | ENERGY FUELS INC | 19,114 | $108K | 0.0% | $5.65 | $2.50 | +127.0% | COM NEW | 292671708 |
| — | ORCHARD THERAPEUTICS PLC | 14,450 | $104K | 0.0% | $7.20 | $4.15 | — | ADS | 68570P101 |
| — | SIENTRA INC | 13,818 | $100K | 0.0% | $7.24 | $3.40 | — | COM | 82621J105 |
| WVE | WAVE LIFE SCIENCES LTD | 17,173 | $96,000 | 0.0% | $5.59 | $23.09 | -75.7% | SHS | Y95308105 |
| — | SOLID BIOSCIENCES INC | 17,500 | $96,000 | 0.0% | $5.49 | $8.81 | — | COM | 83422E105 |
| — | DUFF & PHELPS SLT ENGY AND M | 13,022 | $95,000 | 0.0% | $7.30 | $4.84 | — | COM NEW | 26433F207 |
| NG | NOVAGOLD RES INC | 10,000 | $87,000 | 0.0% | $8.70 | $4.27 | +105.2% | COM NEW | 66987E206 |
| — | VERASTEM INC | 35,000 | $86,000 | 0.0% | $2.46 | $2.64 | — | COM | 92337C104 |
| — | VOYA NAT RES EQUITY INCOME F | 23,100 | $76,000 | 0.0% | $3.29 | $3.67 | — | COM | 92913C106 |
| LPTH | LIGHTPATH TECHNOLOGIES INC | 13,480 | $41,000 | 0.0% | $3.04 | $2.14 | +45.0% | COM CL A | 532257805 |