13F-HR filed by AQR Arbitrage LLC
AQR Arbitrage LLC filed this 13F-HR for the quarter ended 2015-03-31, filed 2015-05-15, with 455 holding rows worth $7,771,158,000.
- Accession
- 0001085146-15-001281
- Filer
- CIK 1167456
- Filed
- 2015-05-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q1 2015
A holdings report, 455 entries on the cover page, a total value of $7,771,158,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,771,158,000 with VALUE read as thousands by filing date, 13F file number 028-10114. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerAQR Capital Management Holdings, LLC028-16752
- included managerAQR CAPITAL MANAGEMENT LLC028-10120
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 107,625,000 | $210,878,000 | thousands by filing date | principal |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 97,414,000 | $199,394,000 | thousands by filing date | principal |
| HUDSON CITY BANCORP | 443683107 | COM | 17,065,494 | $178,846,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 85,785,000 | $177,629,000 | thousands by filing date | principal |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 111,151,000 | $175,689,000 | thousands by filing date | principal |
| TIME WARNER CABLE INC | 88732J207 | COM | 1,166,995 | $174,909,000 | thousands by filing date | |
| LORILLARD INC | 544147101 | COM | 2,636,254 | $172,279,000 | thousands by filing date | |
| TRW AUTOMOTIVE HLDGS CORP | 87264S106 | COM | 1,575,868 | $165,230,000 | thousands by filing date | |
| FAMILY DLR STORES INC | 307000109 | COM | 2,019,681 | $160,040,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 1,150,929 | $159,116,000 | thousands by filing date | |
| SUNE 2 10/01/18 | 86732YAC3 | Bond 30/360P2 U | 91,975,000 | $158,599,000 | thousands by filing date | principal |
| DRESSER-RAND GROUP INC | 261608103 | COM | 1,817,170 | $146,010,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 105,206,000 | $143,803,000 | thousands by filing date | principal |
| HOSPIRA INC | 441060100 | COM | 1,628,207 | $143,022,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 84,025,000 | $123,779,000 | thousands by filing date | principal |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 3,797,900 | $121,989,000 | thousands by filing date | |
| DIRECTV | 25490A309 | COM | 1,427,555 | $121,485,000 | thousands by filing date | |
| PEPCO HOLDINGS INC | 713291102 | COM | 4,404,378 | $118,169,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,833,194 | $116,554,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738110 | MAN COV SEC 16 | 840,375 | $115,972,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 39,775,000 | $112,166,000 | thousands by filing date | principal |
| SALIX PHARMACEUTICALS INC | 795435106 | COM | 641,251 | $110,815,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 2,396,603 | $106,493,000 | thousands by filing date | |
| INTEGRYS ENERGY GROUP INC | 45822P105 | COM | 1,435,010 | $103,349,000 | thousands by filing date | |
| PHH CORP | 693320AQ6 | CNV | 51,352,000 | $101,870,000 | thousands by filing date | principal |
| POLYPORE INTL INC | 73179V103 | COM | 1,660,460 | $97,801,000 | thousands by filing date | |
| HEALTH CARE REIT INC CONV 6.50 | 42217K601 | PFD | 1,418,625 | $96,422,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 1,645,475 | $93,027,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 1,815,025 | $91,886,000 | thousands by filing date | |
| ACTAVIS PLC | G0083B116 | PFD CONV SER A | 88,000 | $90,970,000 | thousands by filing date | |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 55,925,000 | $90,039,000 | thousands by filing date | principal |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 1,592,950 | $89,707,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 1,827,850 | $89,364,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 1,475,900 | $86,945,000 | thousands by filing date | |
| TALISMAN ENERGY INC | 87425E103 | COM | 10,578,353 | $81,242,000 | thousands by filing date | |
| EXELIS INC | 30162A108 | COM | 3,198,377 | $77,944,000 | thousands by filing date | |
| SUNE 2.75 1/21 | 86732YAD1 | Bond 30/360P2 U | 43,975,000 | $77,011,000 | thousands by filing date | principal |
| PHARMACYCLICS INC | 716933106 | COM | 270,313 | $69,187,000 | thousands by filing date | |
| ORBITZ WORLDWIDE INC | 68557K109 | COM | 5,647,201 | $65,846,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 1,162,325 | $63,370,000 | thousands by filing date | |
| SUSQUEHANNA BANCSHARES INC P | 869099101 | COM | 4,500,149 | $61,697,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AK7 | BOND | 38,600,000 | $59,275,000 | thousands by filing date | principal |
| RIVERBED TECHNOLOGY INC | 768573107 | COM | 2,816,569 | $58,894,000 | thousands by filing date | |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 33,408,000 | $53,724,000 | thousands by filing date | principal |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 48,725,000 | $51,618,000 | thousands by filing date | principal |
| CITY NATL CORP | 178566105 | COM | 566,549 | $50,468,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 59,325,000 | $49,351,000 | thousands by filing date | principal |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 447,125 | $46,872,000 | thousands by filing date | |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 24,750,000 | $45,911,000 | thousands by filing date | principal |
| MGM RESORTS INTL | 55303QAE0 | CORPORATE OBLIG | 39,383,000 | $44,897,000 | thousands by filing date | principal |
| AVIV REIT INC | 05381L101 | COMMON STOCK | 1,227,597 | $44,807,000 | thousands by filing date | |
| UTI WORLDWIDE INC (UTIW) 68.97 | 90349LAB0 | CONV | 39,700,000 | $44,712,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 15,700,000 | $43,695,000 | thousands by filing date | principal |
| ARUBA NETWORKS INC | 043176106 | COM | 1,740,104 | $42,615,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 28,275,000 | $42,395,000 | thousands by filing date | principal |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 37,800,000 | $41,698,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 37,450,000 | $41,663,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 49,950,000 | $41,240,000 | thousands by filing date | principal |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 39,000,000 | $39,146,000 | thousands by filing date | principal |
| HEALTH CARE REIT INC | 42217KAR7 | NOTE | 25,175,000 | $37,589,000 | thousands by filing date | principal |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 2,224,742 | $36,797,000 | thousands by filing date | |
| ADVENT SOFTWARE INC | 007974108 | COM | 812,593 | $35,843,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U200 | UNIT 01/01/2023X | 3,500,000 | $35,280,000 | thousands by filing date | |
| MEADWESTVACO CORP | 583334107 | COM | 695,722 | $34,696,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D104 | COM SHS | 3,450,000 | $34,500,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 3,464,422 | $31,873,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 10,950,000 | $31,666,000 | thousands by filing date | principal |
| AMERICAN RLTY CAP PPTYS INC | 02917TAA2 | NOTE 3.000% 8/0 | 32,400,000 | $31,590,000 | thousands by filing date | principal |
| MAVENIR SYS INC | 577675101 | COM | 1,671,043 | $29,644,000 | thousands by filing date | |
| AUSPEX PHARMACE | 05211J102 | Common Stock | 288,468 | $28,925,000 | thousands by filing date | |
| SHIP FINANCE INTERNATIONAL L | G81075AE6 | NOTE 3.250% 2/0 | 28,675,000 | $28,657,000 | thousands by filing date | principal |
| CATAMARAN CORP | 148887102 | COM | 476,934 | $28,397,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BB8 | NOTE | 25,175,000 | $28,306,000 | thousands by filing date | principal |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 22,825,000 | $26,391,000 | thousands by filing date | principal |
| CONVERGYS CORP | 212485AE6 | SDCV | 12,550,000 | $26,300,000 | thousands by filing date | principal |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 24,150,000 | $25,297,000 | thousands by filing date | principal |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 606,660 | $24,727,000 | thousands by filing date | |
| MACERICH CO | 554382101 | COM | 278,798 | $23,511,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 23,925,000 | $23,013,000 | thousands by filing date | principal |
| GARNERO GROUP ACQUISITION CO | G5866L108 | SHS | 2,370,000 | $22,752,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 18,054,000 | $21,913,000 | thousands by filing date | principal |
| GENCORP INC | 368682AN0 | SDCV | 8,250,000 | $21,249,000 | thousands by filing date | principal |
| SQUARE 1 FINL INC | 85223W101 | CL A | 787,986 | $21,094,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 19,925,000 | $19,925,000 | thousands by filing date | principal |
| TEREX CORP NEW | 880779AV5 | NOTE 4.000% 6/0 | 12,085,000 | $19,902,000 | thousands by filing date | principal |
| JOURNAL COMMUNICATIONS INC-A | 481130102 | COMMON STOCK | 1,329,349 | $19,701,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 7,775,000 | $19,350,000 | thousands by filing date | principal |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 2,000,000 | $18,900,000 | thousands by filing date | |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 14,730,000 | $18,238,000 | thousands by filing date | principal |
| HARMONY MERGER CORP | 413247206 | UNIT 99/99/9999 | 1,800,000 | $18,000,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 320,847 | $17,637,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 14,725,000 | $17,237,000 | thousands by filing date | principal |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 1,700,000 | $16,320,000 | thousands by filing date | |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 12,710,000 | $16,213,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 11,400,000 | $16,074,000 | thousands by filing date | principal |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 1,584,000 | $15,919,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 10,625,000 | $15,031,000 | thousands by filing date | principal |
| CDK GLOBAL INC | 12508E101 | COM | 314,792 | $14,720,000 | thousands by filing date | |
| AMERICAN TOWER CORP NEW | 03027X308 | PFD CONV SER A | 141,426 | $14,585,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP II | 14056V105 | COM | 1,431,900 | $14,477,000 | thousands by filing date | |
| RTI INTL METALS INC | 74973W107 | COM | 402,116 | $14,440,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 6,475,000 | $14,273,000 | thousands by filing date | principal |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 12,450,000 | $14,255,000 | thousands by filing date | principal |
| HUDSON VALLEY HOLDING CORP | 444172100 | COM | 549,443 | $14,044,000 | thousands by filing date | |
| LIFE TIME FITNESS INC | 53217R207 | COM | 191,888 | $13,616,000 | thousands by filing date | |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 9,150,000 | $13,491,000 | thousands by filing date | principal |
| RED HAT INC | 756577102 | COM | 172,880 | $13,096,000 | thousands by filing date | |
| WESCO INTERNATIONAL INC | 95082PAH8 | CNV | 5,000,000 | $12,378,000 | thousands by filing date | principal |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 9,400,000 | $12,014,000 | thousands by filing date | principal |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 92,875 | $11,528,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 491,644 | $11,475,000 | thousands by filing date | |
| SEARS HOLDINGS CORP XXX | 812350106 | COM | 265,364 | $10,981,000 | thousands by filing date | |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 414,643 | $10,872,000 | thousands by filing date | |
| MIG 5 3/15/20 | 58319PAC2 | Bond 30/360P2 U | 9,375,000 | $10,729,000 | thousands by filing date | principal |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 8,900,000 | $10,558,000 | thousands by filing date | principal |
| AV HOMES INC | 00234PAB8 | BOND | 10,360,000 | $10,425,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 9,425,000 | $10,362,000 | thousands by filing date | principal |
| ROI ACQUISITION CORP II | 74966G101 | COM | 1,050,000 | $10,353,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP | 31809H209 | UNIT 99/99/9999 | 1,000,000 | $10,200,000 | thousands by filing date | |
| AMERICAN RLTY CAP PPTYS INC | 02917TAB0 | NOTE 3.750%12/1 | 10,414,000 | $10,193,000 | thousands by filing date | principal |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 239,586 | $10,065,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 9,850,000 | $10,059,000 | thousands by filing date | principal |
| RAMBUS INC | 750917AE6 | CNV | 8,175,000 | $9,943,000 | thousands by filing date | principal |
| SQNM 5 10/1/17 | 817337AB4 | Bond 30/360P2 U | 9,450,000 | $9,887,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 9,675,000 | $9,687,000 | thousands by filing date | principal |
| TIME WARNER INC | 887317303 | COM NEW | 114,182 | $9,642,000 | thousands by filing date | |
| AR CAPITAL ACQUISITION CORP | 00191R109 | COM | 1,010,000 | $9,605,000 | thousands by filing date | |
| SALIX PHARMACEUTICAL 1.500 | 795435AE6 | NOTE 1.500% 3/ | 3,600,000 | $9,587,000 | thousands by filing date | principal |
| Automatic Data Processing,Inc. | 053015103 | COM | 110,901 | $9,498,000 | thousands by filing date | |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 10,250,000 | $9,328,000 | thousands by filing date | principal |
| GLOBAL DEFENSE & NATL SEC SY | 37953N108 | COM | 895,500 | $9,277,000 | thousands by filing date | |
| MEADOWBROOK INS GROUP INC | 58319P108 | COM | 1,080,390 | $9,183,000 | thousands by filing date | |
| WEBMD HEALTH CORP | 94770VAH5 | NOTE 2.250% 3/3 | 9,075,000 | $9,137,000 | thousands by filing date | principal |
| TIME INC NEW | 887228104 | COM | 405,716 | $9,104,000 | thousands by filing date | |
| NAVIENT CORPORATION COM | 63938C108 | Stock | 445,403 | $9,055,000 | thousands by filing date | |
| SLM CORP COM | 78442P106 | Stock | 965,318 | $8,958,000 | thousands by filing date | |
| COURIER CORP | 222660102 | COMMON STOCK | 357,938 | $8,762,000 | thousands by filing date | |
| TIMKEN CO | 887389104 | COM | 206,017 | $8,682,000 | thousands by filing date | |
| COWEN INC | 223622AB7 | NOTE 3.000 3/1 | 7,600,000 | $8,678,000 | thousands by filing date | principal |
| AVATAR HLDGS INC | 053494AG5 | NOTE 7.500% 2/1 | 8,688,000 | $8,661,000 | thousands by filing date | principal |
| HYPERION THERAPEUTICS INC | 44915N101 | COM | 180,923 | $8,304,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 166,450 | $8,218,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 6,775,000 | $8,210,000 | thousands by filing date | principal |
| DDR CORP | 251591AX1 | NOTE | 6,467,000 | $8,173,000 | thousands by filing date | principal |
| NORTHSTAR REIT | 66704R704 | Common Stock | 449,649 | $8,148,000 | thousands by filing date | |
| WP GLIMCHER IN | 92939N102 | COM | 487,024 | $8,099,000 | thousands by filing date | |
| ACCURAY INC | 004397AF2 | NOTE 3.500% 2/0 | 4,500,000 | $8,027,000 | thousands by filing date | principal |
| OMNICARE CAP TR II | 68214Q200 | PFD B TR 4.00% | 84,900 | $8,026,000 | thousands by filing date | |
| BOULEVARD ACQUI | 10157P104 | Common Stock | 804,905 | $7,888,000 | thousands by filing date | |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 436,148 | $7,803,000 | thousands by filing date | |
| BANK OF KENTUCKY FINL CORP | 062896105 | COM | 150,000 | $7,358,000 | thousands by filing date | |
| LANDS END INC | 51509F105 | COMMON STOCK | 201,897 | $7,244,000 | thousands by filing date | |
| OUTFRONT MEDIA INC | 69007J106 | COM | 239,672 | $7,171,000 | thousands by filing date | |
| RAYONIER INC COM | 754907103 | REIT | 262,767 | $7,084,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 8,747,000 | $6,970,000 | thousands by filing date | principal |
| GOOGLE INC | 38259P706 | CL C | 12,827 | $6,967,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 7,250,000 | $6,665,000 | thousands by filing date | principal |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 476,973 | $6,420,000 | thousands by filing date | |
| DNOW INC | 67011P100 | COMMON STOCK | 291,693 | $6,312,000 | thousands by filing date | |
| HERITAGE FINANCIAL GROUP INC | 42726X102 | COM | 220,966 | $6,017,000 | thousands by filing date | |
| Barington/Hilco Acquisition Corp. | 06759V200 | UNIT | 600,000 | $5,970,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 421,708 | $5,828,000 | thousands by filing date | |
| RIO ALTO MNG LTD NEW | 76689T104 | COM | 2,311,700 | $5,698,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 141,136 | $5,613,000 | thousands by filing date | |
| KOFAX LTD | G5307C105 | COM USD | 511,772 | $5,604,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 443,547 | $5,509,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 558,791 | $5,342,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 5,600,000 | $5,205,000 | thousands by filing date | principal |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 47,635 | $5,102,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 240,170 | $5,036,000 | thousands by filing date | |
| SYNCHRONYFINL | 87165B103 | STOK | 162,161 | $4,922,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 94,858 | $4,878,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 4,375,000 | $4,848,000 | thousands by filing date | principal |
| METALLUS INC | 887399103 | COMMON STOCK | 183,123 | $4,847,000 | thousands by filing date | |
| RITE AID CORP | 767754BU7 | CNV | 1,435,000 | $4,823,000 | thousands by filing date | principal |
| VANTAGE DRILLING COMPANY | G93205AA3 | NOTE 7.875% 9/0 | 5,250,000 | $4,787,000 | thousands by filing date | principal |
| HERBALIFE LTD | G4412G101 | COM SHS | 111,742 | $4,778,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 75,439 | $4,700,000 | thousands by filing date | |
| LEVY ACQUISITION CORP-CW18 | 52748T112 | W | 1,105,000 | $4,586,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAB9 | CORPORATE OBLIG | 4,425,000 | $4,583,000 | thousands by filing date | principal |
| VIASYSTEMS GROUP INC | 92553H803 | COM PAR$.01 | 259,270 | $4,535,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 405,084 | $4,521,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 308,808 | $4,444,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 480,692 | $4,350,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 3,650,000 | $4,332,000 | thousands by filing date | principal |
| 1347 CAP CORP | 68245V103 | COM | 450,540 | $4,325,000 | thousands by filing date | |
| RAYONIER ADVANCED MATLS INC | 75508B104 | COM | 288,494 | $4,299,000 | thousands by filing date | |
| EMULEX CORP | 292475209 | COM NEW | 534,532 | $4,260,000 | thousands by filing date | |
| L N B BANCORP INC | 502100100 | COM | 238,768 | $4,260,000 | thousands by filing date | |
| BEAZER HOMES USA INC | 07556Q709 | UNIT 99/99/9999 | 150,000 | $4,074,000 | thousands by filing date | |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 3,775,000 | $4,070,000 | thousands by filing date | principal |
| VITESSE SEMICONDUCTOR CORP | 928497304 | COM NEW | 690,000 | $3,664,000 | thousands by filing date | |
| NATIONAL OILWELL VARCO INC | 637071101 | COM | 73,089 | $3,654,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 56,816 | $3,629,000 | thousands by filing date | |
| RETROPHIN INC | 761299106 | COM | 149,500 | $3,582,000 | thousands by filing date | |
| ENTROPIC COMMUNICATIONS INC | 29384R105 | COM | 1,204,929 | $3,567,000 | thousands by filing date | |
| HAMPDEN BANCORP INC | 40867E107 | COM | 158,112 | $3,499,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P126 | SHS | 350,000 | $3,423,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAA3 | NOTE 3.250% 9/1 | 2,875,000 | $3,418,000 | thousands by filing date | principal |
| INTERNATIONAL GAME TECHNOLOG | 459902102 | COM | 187,916 | $3,272,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 553,489 | $3,232,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 197,271 | $3,231,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 198,356 | $3,209,000 | thousands by filing date | |
| LA QUINTA HLDGS INC | 50420D108 | COM | 135,000 | $3,197,000 | thousands by filing date | |
| CITIZENS FINL GROUP INC COM | 174610105 | Stock | 130,843 | $3,157,000 | thousands by filing date | |
| ZS PHARMA INC | 98979G105 | Common Stock | 75,000 | $3,156,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 2,925,000 | $3,141,000 | thousands by filing date | principal |
| CHESAPEAKE LODGING TR | 165240102 | SH BEN INT | 90,000 | $3,045,000 | thousands by filing date | |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 2,775,000 | $2,855,000 | thousands by filing date | principal |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 404,217 | $2,765,000 | thousands by filing date | |
| AMRI 2.25 11/18 | 012423AB5 | Bond 30/360P2 U | 2,125,000 | $2,716,000 | thousands by filing date | principal |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 84,623 | $2,690,000 | thousands by filing date | |
| ZENDESK INC | 98936J101 | COM | 118,000 | $2,677,000 | thousands by filing date | |
| INVACARE CORP | 461203AD3 | SDCV 4.125% 2/0 | 2,500,000 | $2,656,000 | thousands by filing date | principal |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 20,000 | $2,593,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 2,725,000 | $2,565,000 | thousands by filing date | principal |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 50,000 | $2,564,000 | thousands by filing date | |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 2,475,000 | $2,554,000 | thousands by filing date | principal |
| HUBSPOTINC | 443573100 | STOK | 61,300 | $2,446,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 97,545 | $2,431,000 | thousands by filing date | |
| MANNKIND CORP | 56400PAC6 | BOND | 2,295,000 | $2,362,000 | thousands by filing date | principal |
| BRIDGE CAP HLDGS | 108030107 | COM | 89,367 | $2,333,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 164,725 | $2,309,000 | thousands by filing date | |
| INTERNATIONAL PAPER CO COM | 460146103 | Stock | 40,179 | $2,230,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J104 | SHS | 225,112 | $2,211,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 238,695 | $2,136,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 3,450,000 | $2,105,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 5,000,000 | $2,081,000 | thousands by filing date | principal |
| SIMON PPTY GROUP INC NEW COM | 828806109 | REIT | 10,521 | $2,058,000 | thousands by filing date | |
| QTM 4.5 11/17 | 747906AJ4 | Bond 30/360P2 U | 1,750,000 | $2,050,000 | thousands by filing date | principal |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 104,930 | $2,041,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 2,000,000 | $2,031,000 | thousands by filing date | principal |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 147,126 | $2,017,000 | thousands by filing date | |
| NUANCE COMMUNICATIONS | 67020YAF7 | CORPORATE OBLIG | 2,000,000 | $1,995,000 | thousands by filing date | principal |
| HAWAIIAN HOLDINGS INC | 419879AD3 | NOTE 5.000% 3/1 | 700,000 | $1,984,000 | thousands by filing date | principal |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 1,825,000 | $1,976,000 | thousands by filing date | principal |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 139,140 | $1,974,000 | thousands by filing date | |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 146,706 | $1,964,000 | thousands by filing date | |
| SUCAMPO PHARMACEUTICALS-CL A | 864909106 | CL A | 126,000 | $1,961,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 364,913 | $1,941,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 2,000,000 | $1,928,000 | thousands by filing date | principal |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 136,219 | $1,891,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 139,628 | $1,864,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 274,515 | $1,845,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 2,331,300 | $1,842,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 254,472 | $1,830,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 149,151 | $1,815,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 108,983 | $1,770,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 79,870 | $1,741,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 1,875,000 | $1,723,000 | thousands by filing date | principal |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 114,447 | $1,702,000 | thousands by filing date | |
| CELLULAR DYNAMICS INTL INC | 15117V109 | COM | 103,321 | $1,698,000 | thousands by filing date | |
| ONEIDA FINL CORP MD | 682479100 | COM | 85,100 | $1,680,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 114,919 | $1,665,000 | thousands by filing date | |
| CIVEO CORP | 178787107 | COM | 651,559 | $1,655,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 136,278 | $1,631,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 120,937 | $1,581,000 | thousands by filing date | |
| Q2 HLDGS INC COM | 74736L109 | Stock | 72,494 | $1,533,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 294,426 | $1,522,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 119,387 | $1,521,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 107,018 | $1,518,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 93,378 | $1,507,000 | thousands by filing date | |
| FLAMEL TECHNOLOGIES-SP ADR | 338488109 | SPON | 83,300 | $1,498,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 108,441 | $1,486,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 125,477 | $1,471,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 82,596 | $1,461,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 113,806 | $1,429,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 100,826 | $1,421,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 115,777 | $1,419,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 100,481 | $1,397,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 19,014 | $1,394,000 | thousands by filing date | |
| NUVEEN | 67072C105 | EXCHANGE TRADED | 133,841 | $1,226,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 77,554 | $1,225,000 | thousands by filing date | |
| MONTPELIER RE HLDGS LTD SH | G62185106 | COM | 31,500 | $1,211,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 85,841 | $1,205,000 | thousands by filing date | |
| SURGICAL CARE AFFILIATES INC COM | 86881L106 | Stock | 35,000 | $1,202,000 | thousands by filing date | |
| ONE GAS INC COM | 68235P108 | Stock | 27,769 | $1,200,000 | thousands by filing date | |
| GLOBANT S A | L44385109 | COM | 56,438 | $1,189,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 157,647 | $1,165,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 27,367 | $1,151,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 86,828 | $1,121,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 84,275 | $1,111,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 61,127 | $1,100,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 77,370 | $1,098,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 51,274 | $1,090,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000,000 | $1,090,000 | thousands by filing date | principal |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 94,471 | $1,071,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 800 | $1,069,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 75,505 | $1,050,000 | thousands by filing date | |
| CAS 7 12/15/17 | 148411AF8 | Bond 30/360P2 U | 1,550,000 | $1,034,000 | thousands by filing date | principal |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 78,464 | $1,004,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 76,549 | $992,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 84,116 | $978,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 47,887 | $976,000 | thousands by filing date | |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 70,837 | $975,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 185,113 | $963,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 76,949 | $939,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 66,210 | $934,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 143,381 | $933,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 18,936 | $932,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 27,660 | $911,000 | thousands by filing date | |
| EATON VANCE RISK-MANAGED DIVSF | 27829G106 | COM | 83,943 | $908,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP | 14056V113 | W | 891,000 | $891,000 | thousands by filing date | |
| State Investors Bancorp, Inc. | 857030100 | Common Stock | 41,625 | $874,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 59,381 | $871,000 | thousands by filing date | |
| NATIONSTAR MORTGAGE HOLDINGS | 63861C109 | COMMON STOCK | 35,000 | $867,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 58,219 | $849,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 65,200 | $840,000 | thousands by filing date | |
| Colonial Financial Services, Inc. | 19566B101 | Common Stock | 57,122 | $817,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 63,445 | $809,000 | thousands by filing date | |
| Tandem Diabetes Care, Inc. | 875372104 | COM | 62,723 | $792,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 52,293 | $770,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 61,680 | $761,000 | thousands by filing date | |
| VERSO PAPER CORP | 92531L108 | COM | 412,918 | $743,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 2,000,000 | $740,000 | thousands by filing date | |
| BLACKROCK MUNIYLD MICH QLTY | 09254W103 | COM | 56,266 | $732,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 17,472 | $722,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 29,516 | $707,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 52,522 | $706,000 | thousands by filing date | |
| ANR 4.875 12/20 | 02076XAF9 | Bond 30/360P2 U | 2,700,000 | $704,000 | thousands by filing date | principal |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 66,247 | $683,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 36,258 | $678,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 8,690 | $667,000 | thousands by filing date | |
| BLUE BIRD CORP WARRANTS EXP 01 | 095306114 | com | 900,000 | $666,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 81,230 | $662,000 | thousands by filing date | |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 14,200 | $662,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 69,871 | $658,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 45,692 | $633,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 93,746 | $633,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 49,552 | $631,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 36,563 | $627,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 44,546 | $619,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 16,411 | $615,000 | thousands by filing date | |
| MARLIN MIDSTREAM PARTNERS LP | 57118V100 | COM UTLTD PTN IN | 27,655 | $611,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 43,567 | $606,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 525,000 | $606,000 | thousands by filing date | principal |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 117,799 | $605,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 67,754 | $596,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 62,903 | $594,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 500,000 | $592,000 | thousands by filing date | principal |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 52,418 | $590,000 | thousands by filing date | |
| REGENCY ENERGY PARTNERS ML | 75885Y107 | COM | 25,613 | $586,000 | thousands by filing date | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 40,336 | $578,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 37,598 | $569,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 37,749 | $557,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 7,579 | $555,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L132 | RIGHT 06/25/2016 | 2,900,000 | $551,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 5,722 | $548,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 40,620 | $548,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P112 | *W EXP 06/27/201 | 1,700,000 | $544,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 39,041 | $539,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 36,494 | $539,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 8,726 | $530,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 16,782 | $528,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INCOME FD | 67071S101 | COM | 61,844 | $528,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 11,040 | $524,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 17,460 | $523,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 20,970 | $519,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 10,248 | $518,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 12,635 | $516,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 15,988 | $516,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 95,029 | $515,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 7,781 | $512,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 7,314 | $483,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 43,292 | $481,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 33,135 | $481,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 13,463 | $477,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 6,737 | $476,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 49,783 | $476,000 | thousands by filing date | |
| QEP MIDSTREAM PARTNERS LP | 74735R115 | COM | 29,955 | $470,000 | thousands by filing date | |
| NUVEEN INS MUNICIPAL OPP FD | 670984103 | mf | 31,859 | $468,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 356,485 | $463,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 9,660 | $454,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 80,923 | $448,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 9,224 | $446,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 24,681 | $440,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 8,497 | $440,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 191,430 | $436,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 29,757 | $432,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 8,953 | $427,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 25,923 | $425,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 13,195 | $424,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 31,373 | $423,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 17,519 | $422,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q114 | *W EXP 12/17/201 | 1,760,000 | $422,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 48,469 | $420,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 6,375 | $415,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 74,097 | $410,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 11,378 | $410,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 5,416 | $409,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 11,024 | $407,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 10,685 | $399,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 8,056 | $393,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 23,883 | $385,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 32,856 | $378,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 26,030 | $374,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 26,999 | $373,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 26,777 | $364,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD NJ QLTY | 09255A100 | COM | 24,941 | $363,000 | thousands by filing date | |
| ROYAL BANK OF SCOT-SPON ADR | 780097689 | SPON | 35,877 | $362,000 | thousands by filing date | |
| BOULEVARD ACQUISITION CORP | 10157P112 | *W EXP 02/19/201 | 600,000 | $360,000 | thousands by filing date | |
| COHEN & STEERS TOTAL RETURN | 19247R103 | COM | 26,005 | $356,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 30,047 | $347,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 24,672 | $344,000 | thousands by filing date | |
| SEVENTY SEVEN ENERGY INC | 818097107 | COM | 82,312 | $342,000 | thousands by filing date | |
| NICHOLAS FINANCIAL INC | 65373J209 | COM NEW | 24,095 | $338,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 6,042 | $337,000 | thousands by filing date | |
| ENOVA INTL INC | 29357K103 | COM | 16,509 | $325,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 7,849 | $325,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 2,000,000 | $320,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 22,567 | $291,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 12,050 | $286,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 117,574 | $274,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 18,227 | $264,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 96,200 | $256,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 28,872 | $256,000 | thousands by filing date | |
| INDEPENDENT BK CORP MASS | 453836108 | COM | 5,821 | $255,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD 4 | 6706K4105 | COM | 18,771 | $251,000 | thousands by filing date | |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 16,069 | $243,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 36,336 | $242,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 6,438 | $239,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 16,191 | $233,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 16,504 | $233,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 10,360,044 | $228,000 | thousands by filing date | |
| NUVEEN MASS QUALITY MUN INC | 67061E104 | COM | 16,958 | $227,000 | thousands by filing date | |
| NUVEEN CA DIV ADVANTG MUN FD | 67069X104 | COM | 15,292 | $221,000 | thousands by filing date | |
| CALLIDUS SOFTWARE INC | 13123E500 | COM | 16,962 | $215,000 | thousands by filing date | |
| PARAMOUNT GOLD & SILVER CORP | 69924P102 | COM | 212,022 | $214,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 14,330 | $207,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 13,760 | $206,000 | thousands by filing date | |
| NUVEEN NY PERFORMANCE PLUS FD | 67062R104 | COMMON STOCK | 13,840 | $204,000 | thousands by filing date | |
| ELLSWORTH GROWTH AND INCOME FU | 289074106 | COM | 21,272 | $186,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 1,050,000 | $181,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 12,421 | $178,000 | thousands by filing date | |
| NUVEEN CA DIV ADV MUNI FD 3 | 67070Y109 | COM SH BEN INT | 12,768 | $175,000 | thousands by filing date | |
| HANCOCK JOHN PREM DIVID FD | 41013T105 | COM SH BEN INT | 11,661 | $162,000 | thousands by filing date | |
| Ft Dearborn Inc Sec Inc | 347200107 | COM | 11,290 | $162,000 | thousands by filing date | |
| AR CAP ACQUISITION CORP | 00191R117 | *W EXP 10/06/201 | 750,000 | $150,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 10,400 | $147,000 | thousands by filing date | |
| WESTERN ASSET INVESTMENT GRA | 95766T100 | COM | 10,554 | $146,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 15,268 | $138,000 | thousands by filing date | |
| LMP REAL ESTATE INCOME FD IN | 50208C108 | COM | 10,199 | $133,000 | thousands by filing date | |
| LAKES ENTERTAINMEN | 51206P208 | COM | 12,400 | $106,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P134 | RIGHT 06/17/2016 | 350,000 | $102,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V129 | *W EXP 07/15/202 | 500,600 | $100,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V111 | RIGHT 07/21/2016 | 500,600 | $100,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 15,815 | $95,000 | thousands by filing date | |
| ABRDN GLOBAL INCOME FUND INC | 003013109 | COM | 10,099 | $94,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 12,837 | $93,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 17,527 | $91,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 17,980 | $81,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 23,450 | $59,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 225,112 | $36,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 116,185 | $23,000 | thousands by filing date | |
| DENISON MINES CORP | 91688T104 | COM | 16,400 | $18,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-15-001281 | this filing | 2015-05-15 | acceptance time not in the bulk data set |