13F-HR filed by AQR Arbitrage LLC
AQR Arbitrage LLC filed this 13F-HR for the quarter ended 2015-09-30, filed 2015-11-16, with 459 holding rows worth $8,257,405,000.
- Accession
- 0001085146-15-002428
- Filer
- CIK 1167456
- Filed
- 2015-11-16
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2015
A holdings report, 459 entries on the cover page, a total value of $8,257,405,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $8,257,405,000 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 |
|---|---|---|---|---|---|---|
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 163,175,000 | $341,342,000 | thousands by filing date | principal |
| FIAT CHRYSLER AUTOMOBILES N | N31738110 | MAN COV SEC 16 | 1,995,875 | $237,260,000 | thousands by filing date | |
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 97,414,000 | $191,236,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 107,625,000 | $189,151,000 | thousands by filing date | principal |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 188,350 | $177,638,000 | thousands by filing date | |
| HUDSON CITY BANCORP | 443683107 | COM | 17,150,822 | $174,424,000 | thousands by filing date | |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 111,151,000 | $167,908,000 | thousands by filing date | principal |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 2,391,550 | $165,758,000 | thousands by filing date | |
| SIGMA ALDRICH CORP | 826552101 | COM | 1,146,635 | $159,291,000 | thousands by filing date | |
| FREESCALE SEMICONDUCTOR LTD | G3727Q101 | SHS | 4,001,325 | $146,368,000 | thousands by filing date | |
| TYSON FOODS | 902494301 | COM | 2,754,625 | $142,579,000 | thousands by filing date | |
| BROADCOM CORP | 111320107 | CL A | 2,733,178 | $140,567,000 | thousands by filing date | |
| Chubb Corporation | 171232101 | Equity | 1,102,291 | $135,196,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 79,575,000 | $129,906,000 | thousands by filing date | principal |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 84,025,000 | $120,996,000 | thousands by filing date | principal |
| PEPCO HOLDINGS INC | 713291102 | COM | 4,957,883 | $120,080,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 59,354,000 | $112,105,000 | thousands by filing date | principal |
| ALTERA CORP | 021441100 | COM | 2,106,211 | $105,479,000 | thousands by filing date | |
| PRECISION CASTPARTS CORP | 740189105 | COM | 451,605 | $103,738,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 1,833,225 | $102,523,000 | thousands by filing date | |
| BAKER HUGHES INC | 057224107 | COM | 1,917,547 | $99,789,000 | thousands by filing date | |
| SANDISK CORP | 80004CAD3 | CORPORATE OBLIG | 77,831,000 | $96,997,000 | thousands by filing date | principal |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,553,050 | $94,317,000 | thousands by filing date | |
| TIME WARNER CABLE INC | 88732J207 | COM | 514,774 | $92,335,000 | thousands by filing date | |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 43,825,000 | $89,239,000 | thousands by filing date | principal |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 2,840,650 | $89,037,000 | thousands by filing date | |
| HCC INS HLDGS INC | 404132102 | COM | 1,140,001 | $88,316,000 | thousands by filing date | |
| CITY NATL CORP | 178566105 | COM | 1,000,772 | $88,128,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 647,300 | $87,398,000 | thousands by filing date | |
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 65,950,000 | $87,095,000 | thousands by filing date | principal |
| CYTEC INDS INC | 232820100 | COM | 1,140,948 | $84,259,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 2,873,660 | $83,078,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U703 | UNIT 04/01/2013 | 1,446,625 | $80,179,000 | thousands by filing date | |
| CLECO CORP NEW | 12561W105 | COM | 1,453,161 | $77,366,000 | thousands by filing date | |
| OFFICE DEPOT INC | 676220106 | COM | 11,675,473 | $74,957,000 | thousands by filing date | |
| KYTHERA BIOPHARMACEUTICALS I | 501570105 | COM | 997,893 | $74,822,000 | thousands by filing date | |
| THORATEC CORP | 885175307 | COM | 1,162,786 | $73,558,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 2,498,975 | $71,696,000 | thousands by filing date | |
| CON-WAY INC | 205944101 | COM | 1,477,297 | $70,098,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 651,750 | $66,387,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 358,880 | $64,240,000 | thousands by filing date | |
| HOME PROPERTIES INC | 437306103 | COM | 827,521 | $61,857,000 | thousands by filing date | |
| WILLIS GROUP HOLDINGS PLC | G96666105 | COM | 1,480,169 | $60,643,000 | thousands by filing date | |
| CAMERON INTERNATIONAL CORP | 13342B105 | COM | 964,138 | $59,121,000 | thousands by filing date | |
| XOOM CORP | 98419Q101 | COM | 2,229,830 | $55,478,000 | thousands by filing date | |
| IPC THE HOSPITALIST CO | 44984A105 | COM | 709,879 | $55,150,000 | thousands by filing date | |
| OM GROUP INC | 670872100 | COM | 1,671,795 | $54,985,000 | thousands by filing date | |
| STERICYCLE INC | 858912207 | DEP PFD A 1/10 | 530,350 | $53,995,000 | thousands by filing date | |
| STRATEGIC HOTEL & RESORTS | 86272T106 | COM | 3,876,951 | $53,463,000 | thousands by filing date | |
| SHIP FINANCE INTERNATIONAL L | G81075AE6 | NOTE 3.250% 2/0 | 50,500,000 | $53,120,000 | thousands by filing date | principal |
| ELECTRONIC ARTS INC | 285512AA7 | NOTE 0.750% 7/1 | 24,750,000 | $52,578,000 | thousands by filing date | principal |
| SYMETRA FINANCIAL CORP | 87151Q106 | COMMON STOCK | 1,656,344 | $52,407,000 | thousands by filing date | |
| ALCATEL-LUCENT | 013904305 | SPONSORED ADR | 13,652,552 | $49,832,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 29,975,000 | $49,552,000 | thousands by filing date | principal |
| SUNE 2 10/01/18 | 86732YAC3 | Bond 30/360P2 U | 64,475,000 | $48,880,000 | thousands by filing date | principal |
| CABLEVISION SYS CORP | 12686C109 | CL A NY CABLVS | 1,470,756 | $47,755,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 72,025,000 | $45,151,000 | thousands by filing date | principal |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 920,900 | $44,174,000 | thousands by filing date | |
| STANCORP FINL GROUP INC | 852891100 | COM | 384,892 | $43,955,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 49,200,000 | $43,573,000 | thousands by filing date | principal |
| NATIONAL PENN BANCSHARES INC | 637138108 | COM | 3,642,465 | $42,799,000 | thousands by filing date | |
| AGL RES INC | 001204106 | COM | 679,908 | $41,502,000 | thousands by filing date | |
| SOLERA HOLDINGS INC | 83421A104 | COM | 759,170 | $40,995,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 37,800,000 | $38,651,000 | thousands by filing date | principal |
| DOMINION RES INC VA NEW | 25746U869 | UNIT 99/99/9999 | 745,300 | $37,362,000 | thousands by filing date | |
| EQUINIX INC | 29444UAH9 | CNV | 10,950,000 | $37,340,000 | thousands by filing date | principal |
| Boulevard Acquisition Corp II | 10157Q201 | CL A | 3,735,685 | $37,282,000 | thousands by filing date | |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 26,875,000 | $36,584,000 | thousands by filing date | principal |
| GORES HLDGS INC | 382866200 | UNIT 99/99/9999 | 3,500,000 | $35,490,000 | thousands by filing date | |
| DOT HILL SYS CORP | 25848T109 | COM | 3,543,873 | $34,482,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 1,296,374 | $34,043,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 667,175 | $32,438,000 | thousands by filing date | |
| ZULILY INC | 989774104 | CL A | 1,819,543 | $31,660,000 | thousands by filing date | |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 22,375,000 | $31,563,000 | thousands by filing date | principal |
| INTEGRATED SILICON SOLUTION | 45812P107 | COM | 1,448,984 | $31,139,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 734,217 | $30,915,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U101 | COM | 3,132,926 | $30,703,000 | thousands by filing date | |
| WL ROSS HLDG CORP | 92939D104 | COM SHS | 2,909,350 | $30,199,000 | thousands by filing date | |
| SQUARE 1 FINL INC | 85223W101 | CL A | 1,165,363 | $29,921,000 | thousands by filing date | |
| UTI WORLDWIDE INC (UTIW) 68.97 | 90349LAB0 | CONV | 39,700,000 | $29,477,000 | thousands by filing date | principal |
| MDCO 1.375 6/17 | 584688AC9 | Bond 30/360P2 U | 20,055,000 | $29,293,000 | thousands by filing date | principal |
| AVOLON HLDGS LTD | G52237107 | COM | 933,196 | $28,406,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 26,025,000 | $27,814,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 26,675,000 | $26,975,000 | thousands by filing date | principal |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 25,875,000 | $26,587,000 | thousands by filing date | principal |
| GP INVTS ACQUISITION COR | G40357124 | SHS | 2,750,000 | $26,428,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 28,225,000 | $26,338,000 | thousands by filing date | principal |
| CONVERGYS CORP | 212485AE6 | SDCV | 12,550,000 | $26,245,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 15,700,000 | $26,121,000 | thousands by filing date | principal |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 28,300,000 | $25,612,000 | thousands by filing date | principal |
| Lowes Companies Inc | 42222G108 | LOW | 417,300 | $25,130,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 24,150,000 | $24,075,000 | thousands by filing date | principal |
| PARTNERRE LTD | G6852T105 | COM | 170,496 | $23,678,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 22,825,000 | $23,610,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 25,650,000 | $23,277,000 | thousands by filing date | principal |
| GARNERO GROUP ACQUISITION CO | G5866L108 | SHS | 2,370,000 | $23,273,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BB8 | NOTE | 22,475,000 | $22,840,000 | thousands by filing date | principal |
| DOUBLE EAGLE ACQUISITION COR | G28195108 | UNIT 99/99/9999 | 2,250,000 | $22,815,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 25,800,000 | $22,720,000 | thousands by filing date | principal |
| RADIAN GROUP INC | 750236AN1 | NOTE 2.250% 3/0 | 14,208,000 | $21,490,000 | thousands by filing date | principal |
| GOOGLE INC | 38259P706 | CL C | 35,215 | $21,426,000 | thousands by filing date | |
| EZCHIP SEMICONDUCTOR LIMITED | M4146Y108 | ORD | 834,937 | $21,007,000 | thousands by filing date | |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 23,475,000 | $20,805,000 | thousands by filing date | principal |
| SUNE 2.75 1/21 | 86732YAD1 | Bond 30/360P2 U | 28,575,000 | $20,306,000 | thousands by filing date | principal |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 2,000,000 | $19,400,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L201 | UNIT 07/29/2020 | 1,850,000 | $18,593,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 12,125,000 | $18,303,000 | thousands by filing date | principal |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 18,375,000 | $17,651,000 | thousands by filing date | principal |
| TAKE-TWO INTERACTIVE SOFTWAR | 874054AC3 | NOTE 1.750%12/0 | 11,400,000 | $17,627,000 | thousands by filing date | principal |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 11,155,000 | $17,123,000 | thousands by filing date | principal |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 14,730,000 | $17,114,000 | thousands by filing date | principal |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 12,710,000 | $16,682,000 | thousands by filing date | principal |
| DEALERTRACK TECHNOLOGIES INC | 242309102 | COM | 259,117 | $16,366,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247107 | COM | 1,631,880 | $16,074,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q106 | COM | 1,584,000 | $15,761,000 | thousands by filing date | |
| UNITED STATES STL CORP NEW | 912909AH1 | NOTE 2.750% 4/0 | 15,729,000 | $15,660,000 | thousands by filing date | principal |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 9,150,000 | $15,641,000 | thousands by filing date | principal |
| PERRIGO CO PLC SHS | G97822103 | Stock | 96,199 | $15,129,000 | thousands by filing date | |
| Terrapin 3 Acquisition Corporation | 88104P104 | Common | 1,530,000 | $15,116,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 314,992 | $15,050,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 8,250,000 | $14,824,000 | thousands by filing date | principal |
| DDR CORP | 251591AX1 | NOTE | 13,525,000 | $14,387,000 | thousands by filing date | principal |
| TORNIER NV | N87237108 | COMMON STOCK-FO | 696,627 | $14,204,000 | thousands by filing date | |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 92,875 | $13,757,000 | thousands by filing date | |
| STANDARD PAC CORP NEW | 85375C101 | COM | 1,671,116 | $13,369,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 9,400,000 | $12,537,000 | thousands by filing date | principal |
| Comcast Corp | 20030N101 | COM | 208,976 | $11,887,000 | thousands by filing date | |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 329,525 | $11,879,000 | thousands by filing date | |
| GLOBAL PARTNER ACQUISITION C | 37954X105 | COM | 1,200,000 | $11,700,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 160,704 | $11,551,000 | thousands by filing date | |
| LAM RESEARCH CORP 0.500 | 512807AJ7 | NOTE 0.500% 5/1 | 10,000,000 | $11,356,000 | thousands by filing date | principal |
| REMY INTL INC NEW | 75971M108 | COM | 385,315 | $11,270,000 | thousands by filing date | |
| ELECTRUM SPL ACQUISITION COR | G3105C104 | SHS | 1,100,000 | $10,670,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J100 | COM | 1,103,201 | $10,536,000 | thousands by filing date | |
| STILLWATER MINING COMPAN | 86074QAL6 | NOTE | 9,675,000 | $9,911,000 | thousands by filing date | principal |
| AR CAPITAL ACQUISITION CORP | 00191R109 | COM | 1,010,000 | $9,696,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 8,466,000 | $9,688,000 | thousands by filing date | principal |
| RAMBUS INC | 750917AE6 | CNV | 8,175,000 | $9,575,000 | thousands by filing date | principal |
| STEINER LEISURE LTD | P8744Y102 | ORD | 150,663 | $9,519,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 11,375,000 | $9,498,000 | thousands by filing date | principal |
| EBAY INC. COM | 278642103 | Stock | 380,148 | $9,291,000 | thousands by filing date | |
| GLOBAL DEFENSE & NATL SEC SY | 37953N108 | COM | 870,500 | $9,158,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 8,700,000 | $9,005,000 | thousands by filing date | principal |
| CARE CAP PPTYS INC | 141624106 | COM | 270,767 | $8,916,000 | thousands by filing date | |
| Automatic Data Processing,Inc. | 053015103 | COM | 110,901 | $8,912,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 9,675,000 | $8,847,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAH5 | NOTE 2.250% 3/3 | 8,775,000 | $8,813,000 | thousands by filing date | principal |
| ATMEL CORP | 049513104 | COM | 1,081,223 | $8,725,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP | 31809H100 | COM | 890,000 | $8,678,000 | thousands by filing date | |
| NISOURCE INC COM | 65473P105 | Stock | 453,979 | $8,421,000 | thousands by filing date | |
| BAXALTA INC | 07177M103 | COM | 260,438 | $8,206,000 | thousands by filing date | |
| LIBERTY INTERACTIVE CORP | 53071M880 | LBT VENT COM A | 202,686 | $8,178,000 | thousands by filing date | |
| VENTAS INC COM | 92276F100 | REIT | 143,209 | $8,028,000 | thousands by filing date | |
| COWEN INC | 223622AB7 | NOTE 3.000 3/1 | 7,600,000 | $7,999,000 | thousands by filing date | principal |
| SQNM 5 1/1/18 | 817337AC2 | Bond 30/360P2 U | 9,450,000 | $7,985,000 | thousands by filing date | principal |
| MASCO CORP | 574599106 | COM | 314,243 | $7,913,000 | thousands by filing date | |
| AROWANA INC | G05011104 | SHS | 800,000 | $7,848,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 8,275,000 | $7,685,000 | thousands by filing date | principal |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 9,375,000 | $7,629,000 | thousands by filing date | principal |
| YODLEE INC | 98600P201 | COM | 459,679 | $7,415,000 | thousands by filing date | |
| AMYRIS INC | 03236MAC5 | NOTE 6.500 5/1 | 9,245,000 | $6,633,000 | thousands by filing date | principal |
| PAYPALHLDGSINC | 70450Y103 | STOK | 209,368 | $6,499,000 | thousands by filing date | |
| EDGEWELL PERSONAL CARE CO | 28035Q102 | COM | 78,577 | $6,412,000 | thousands by filing date | |
| LUMENIS LTD | M6778Q121 | SHS CL B | 462,233 | $6,402,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 7,050,000 | $6,314,000 | thousands by filing date | principal |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 5,564,000 | $6,242,000 | thousands by filing date | principal |
| PREMIERE GLOBAL SVCS INC | 740585104 | COM | 430,826 | $5,920,000 | thousands by filing date | |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 295,883 | $5,400,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V101 | COM | 545,520 | $5,357,000 | thousands by filing date | |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 8,622,000 | $5,222,000 | thousands by filing date | principal |
| KIMBERLY-CLARK CORP COM | 494368103 | Stock | 47,635 | $5,194,000 | thousands by filing date | |
| PACE HLDGS CORP | G6865N129 | UNIT 99/99/9999 | 500,000 | $5,125,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 500,000 | $5,060,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 4,150,000 | $5,050,000 | thousands by filing date | principal |
| ACCURAY INC | 004397AF2 | NOTE 3.500% 2/0 | 4,500,000 | $4,961,000 | thousands by filing date | principal |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 941,400 | $4,754,000 | thousands by filing date | |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 97,926 | $4,720,000 | thousands by filing date | |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 50,000 | $4,691,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 360,700 | $4,584,000 | thousands by filing date | |
| COLUMBIA PIPELINE GROUP INC | 198280109 | COM | 248,700 | $4,549,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V103 | COM | 450,540 | $4,393,000 | thousands by filing date | |
| DYCOM INDS INC COM | 267475101 | Stock | 59,888 | $4,333,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 334,807 | $4,326,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 4,900,000 | $4,242,000 | thousands by filing date | principal |
| HERBALIFE LTD | G4412G101 | COM SHS | 77,658 | $4,232,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 346,312 | $4,215,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 9,651 | $4,048,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 409,564 | $4,042,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 57,492 | $3,983,000 | thousands by filing date | |
| KOHLBERG CAPITAL CORP | 500233AB7 | BOND | 4,000,000 | $3,960,000 | thousands by filing date | principal |
| ROI ACQUISITION CORP II | 74966G101 | COM | 395,995 | $3,960,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 349,529 | $3,950,000 | thousands by filing date | |
| MERGE HEALTHCARE INC | 589499102 | COM | 554,125 | $3,934,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 308,607 | $3,913,000 | thousands by filing date | |
| UIL HOLDINGS CORPORATION | 902748102 | COMMON STOCK | 76,538 | $3,848,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 480,099 | $3,831,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 121,613 | $3,766,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 553,926 | $3,584,000 | thousands by filing date | |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 3,775,000 | $3,574,000 | thousands by filing date | principal |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 4,925,000 | $3,540,000 | thousands by filing date | principal |
| C B PHARMA ACQUISITION CORP | G2029P126 | SHS | 350,000 | $3,472,000 | thousands by filing date | |
| CHAMBERS STR PPTYS | 157842105 | COM | 522,471 | $3,391,000 | thousands by filing date | |
| BAXTER INTL INC | 071813109 | COM | 103,186 | $3,390,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 196,726 | $3,335,000 | thousands by filing date | |
| PHOENIX COS INC NEW | 71902E604 | COM NEW | 99,823 | $3,293,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 84,956 | $3,289,000 | thousands by filing date | |
| METRO BANCORP INC | 59161R101 | COM | 110,923 | $3,260,000 | thousands by filing date | |
| GRAHAM HLDGS CO COM CL B | 384637104 | Stock | 5,600 | $3,231,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 225,924 | $3,210,000 | thousands by filing date | |
| PIMCO DYNAMIC CR INCOME FD | 72202D106 | COM SHS | 173,260 | $3,165,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 438,549 | $3,114,000 | thousands by filing date | |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 577,975 | $2,936,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 202,932 | $2,859,000 | thousands by filing date | |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 502,612 | $2,805,000 | thousands by filing date | |
| Media General Ord Shs | 58441K100 | COM | 198,081 | $2,771,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 135,854 | $2,769,000 | thousands by filing date | |
| AFFYMETRIX INC | 00826TAH1 | NOTE 4.000% 7/0 | 1,750,000 | $2,719,000 | thousands by filing date | principal |
| WL ROSS HLDG CORP | 92939D112 | WARRANT | 3,315,000 | $2,718,000 | thousands by filing date | |
| VIVINT SOLAR INC. | 92854Q106 | Common Stock | 251,400 | $2,635,000 | thousands by filing date | |
| AMRI 2.25 11/18 | 012423AB5 | Bond 30/360P2 U | 2,125,000 | $2,635,000 | thousands by filing date | principal |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 20,000 | $2,603,000 | thousands by filing date | |
| MERITAGE HOMES CORP | 59001AAR3 | NOTE | 2,475,000 | $2,483,000 | thousands by filing date | principal |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 2,725,000 | $2,470,000 | thousands by filing date | principal |
| INVACARE CORP | 461203AD3 | SDCV 4.125% 2/0 | 2,500,000 | $2,447,000 | thousands by filing date | principal |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 331,474 | $2,446,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 123,556 | $2,354,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 130,741 | $2,266,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J104 | SHS | 225,112 | $2,235,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 468,876 | $2,199,000 | thousands by filing date | |
| NUVEEN PREM INCOME MUN FD | 67062T100 | COM | 160,997 | $2,157,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 5,000,000 | $2,150,000 | thousands by filing date | principal |
| M/I HOMES INC | 55292PAB1 | NOTE 3.000% 3/0 | 2,150,000 | $2,104,000 | thousands by filing date | principal |
| ENERNOC INC | 292764AB3 | DBCV 2.250% 8/1 | 3,000,000 | $2,102,000 | thousands by filing date | principal |
| ONEIDA FINL CORP MD | 682479100 | COM | 100,786 | $2,064,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550105 | COM | 377,500 | $2,027,000 | thousands by filing date | |
| ARVINMERITOR INC 4.625 | 043353AF8 | NOTE | 2,000,000 | $1,995,000 | thousands by filing date | principal |
| HENNESSY CAPITAL ACQUISITION | 42588J209 | UNIT 99/99/9999 | 200,000 | $1,972,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 170,724 | $1,938,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 147,898 | $1,896,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 81,245 | $1,865,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 304,373 | $1,854,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 140,413 | $1,772,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 1,875,000 | $1,725,000 | thousands by filing date | principal |
| NUVEEN INSD QUALITY MUN FD I | 67062N103 | COM | 130,550 | $1,700,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 151,289 | $1,649,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 117,328 | $1,639,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 113,470 | $1,639,000 | thousands by filing date | |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 71,523 | $1,586,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AF9 | NOTE 3.000% 7/0 | 1,575,000 | $1,570,000 | thousands by filing date | principal |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 57,755 | $1,558,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 119,805 | $1,550,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 144,254 | $1,525,000 | thousands by filing date | |
| NTELOS HLDGS CORP | 67020Q305 | COM NEW | 167,463 | $1,512,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 152,741 | $1,479,000 | thousands by filing date | |
| NUVEEN DIV ADVANTAGE MUN FD | 67070F100 | COM | 106,253 | $1,447,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 1,500,000 | $1,415,000 | thousands by filing date | principal |
| LINDBLAD EXPEDITIONS HLDGS I | 535219117 | *W EXP 07/08/202 | 806,550 | $1,403,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 70,758 | $1,398,000 | thousands by filing date | |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 311,975 | $1,395,000 | thousands by filing date | |
| QTM 4.5 11/17 | 747906AJ4 | Bond 30/360P2 U | 1,650,000 | $1,390,000 | thousands by filing date | principal |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 111,683 | $1,376,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 245,850 | $1,335,000 | thousands by filing date | |
| SYNERGETICS USA INC | 87160G107 | COM | 201,800 | $1,326,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 88,780 | $1,265,000 | thousands by filing date | |
| WABASH NATL CORP | 929566AH0 | CNV | 1,100,000 | $1,255,000 | thousands by filing date | principal |
| NUVEEN PREM INCOME MUN FD | 67063W102 | COM | 91,456 | $1,248,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 93,475 | $1,237,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 101,026 | $1,227,000 | thousands by filing date | |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 88,637 | $1,185,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 89,850 | $1,184,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 552,100 | $1,159,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 91,190 | $1,148,000 | thousands by filing date | |
| PINNACLE ENTMT INC | 723456109 | COM | 33,805 | $1,144,000 | thousands by filing date | |
| NUVEEN MUN MKT OPPORTUNITY | 67062W103 | COM | 86,150 | $1,129,000 | thousands by filing date | |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 82,668 | $1,115,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 59,641 | $1,073,000 | thousands by filing date | |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 800 | $1,067,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 66,626 | $1,055,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 81,347 | $1,036,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 78,515 | $1,030,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 90,345 | $1,000,000 | thousands by filing date | |
| MITEL NETWORKS CORP | 60671Q104 | COM | 153,287 | $989,000 | thousands by filing date | |
| JOURNAL MEDIA GROUP INC | 48114A109 | COM | 126,061 | $945,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000,000 | $931,000 | thousands by filing date | principal |
| State Investors Bancorp, Inc. | 857030100 | Common Stock | 43,225 | $923,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 89,930 | $916,000 | thousands by filing date | |
| ENVIVIO INC | 29413T106 | COM | 219,275 | $897,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 1,000,000 | $889,000 | thousands by filing date | principal |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 66,432 | $884,000 | thousands by filing date | |
| PRUDENTIAL GLB SHT DUR HG YL | 74433A109 | COM | 63,849 | $880,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 88,675 | $872,000 | thousands by filing date | |
| NUVEEN PERFORMANCE PLUS MUN | 67062P108 | COM | 61,063 | $866,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 75,359 | $853,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 111,594 | $845,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 141,448 | $830,000 | thousands by filing date | |
| CAS 7 12/15/17 | 148411AF8 | Bond 30/360P2 U | 1,550,000 | $816,000 | thousands by filing date | principal |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 26,290 | $814,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 50,741 | $797,000 | thousands by filing date | |
| PRUDENTIAL SHT DURATION HG Y | 74442F107 | COM | 54,280 | $796,000 | thousands by filing date | |
| BWX TECHNOLOGIES INC | 05605H100 | COM | 30,101 | $793,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 27,367 | $758,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 63,391 | $758,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U119 | *W EXP 01/01/202 | 3,500,000 | $753,000 | thousands by filing date | |
| DEPT TECHNOLOGY INC | 006854202 | COM NEW | 57,802 | $749,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 87,156 | $745,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 82,730 | $742,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 37,580 | $733,000 | thousands by filing date | |
| TRANSAMERICA INCOME SHS INC | 893506105 | COM | 33,862 | $733,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 52,493 | $731,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 101,393 | $725,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 57,775 | $723,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 2,000,000 | $720,000 | thousands by filing date | |
| NUVEEN GBL VL OPPORTUNITIES | 6706EH103 | COM | 69,505 | $708,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 191,430 | $704,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 27,660 | $689,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 55,675 | $684,000 | thousands by filing date | |
| NUVEEN SHORT DURATION CREDIT | 67074X107 | COM | 44,808 | $682,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 16,605 | $682,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 29,516 | $668,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P112 | *W EXP 06/27/201 | 1,700,000 | $664,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 48,928 | $662,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 36,741 | $645,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L132 | RIGHT 06/25/2016 | 2,900,000 | $638,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 88,654 | $625,000 | thousands by filing date | |
| MILLENNIAL MEDIA INC | 60040N105 | COM | 351,500 | $615,000 | thousands by filing date | |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 76,460 | $610,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 18,936 | $604,000 | thousands by filing date | |
| MORGAN STANLEY TRUSTS | 61745P874 | INCOME SECS INC | 34,449 | $599,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 47,603 | $596,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 92,967 | $594,000 | thousands by filing date | |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 32,759 | $586,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 2,331,300 | $583,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 2,000,000 | $580,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 117,799 | $577,000 | thousands by filing date | |
| ALERE INC | 01449JAA3 | CORPORATE OBLIG | 500,000 | $570,000 | thousands by filing date | principal |
| ROYCE VALUE TRUST | 780910105 | COM | 49,413 | $568,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 56,225 | $568,000 | thousands by filing date | |
| NUVEEN PREMIER MUN INCOME FD | 670988104 | COM | 42,993 | $561,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 42,909 | $551,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 8,957 | $538,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 27,864 | $537,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 37,532 | $525,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 17,976 | $515,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 41,309 | $509,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 17,387 | $505,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 37,000 | $502,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 53,596 | $496,000 | thousands by filing date | |
| GENERAL MTRS CO COM | 37045V100 | Stock | 16,411 | $493,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247123 | *W EXP 01/01/202 | 1,631,880 | $490,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 525,000 | $486,000 | thousands by filing date | principal |
| INVESCO HIGH INCOME TRUST II | 46131F101 | COM | 37,588 | $484,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 18,085 | $476,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 35,563 | $471,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 9,875 | $470,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 44,118 | $457,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 10,964 | $455,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 31,232 | $451,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 16,573 | $451,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 10,221 | $451,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 36,435 | $443,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 11,260 | $442,000 | thousands by filing date | |
| NEUBERGER BERMAN REAL ESTATE S | 64190A103 | COM | 95,432 | $440,000 | thousands by filing date | |
| ZWEIG TOTAL RETURN FD INC | 989837208 | COM | 38,486 | $440,000 | thousands by filing date | |
| CAMBRIDGE CAP ACQUISITION CO | 13215Q114 | *W EXP 12/17/201 | 1,760,000 | $440,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 37,202 | $438,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 9,566 | $429,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 10,414 | $419,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 38,522 | $418,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 32,071 | $416,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 9,250 | $416,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 14,107 | $413,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 10,726 | $411,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 8,245 | $406,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 8,578 | $402,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 61,817 | $400,000 | thousands by filing date | |
| ADVENT CLAYMORE ENH GRW & IN | 00765E104 | COM | 48,439 | $397,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 6,687 | $396,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 15,981 | $395,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 31,289 | $389,000 | thousands by filing date | |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 39,010 | $378,000 | thousands by filing date | |
| ROI ACQUISITION CORP II | 74966G119 | *W EXP 09/17/201 | 1,050,000 | $378,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 35,152 | $376,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 15,077 | $368,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 23,370 | $368,000 | thousands by filing date | |
| INVESCO PA VALUE MUN INC TR | 46132K109 | COM | 29,783 | $365,000 | thousands by filing date | |
| ADDUS HOMECARE CORP | 006739106 | COM | 11,400 | $355,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 9,234 | $353,000 | thousands by filing date | |
| BABSON CAP GLB SHT DURHGH YL | 05617T100 | COM | 20,288 | $352,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 58,494 | $346,000 | thousands by filing date | |
| MARKWEST ENERGY PARTNERS L P | 570759100 | UNIT LTD PARTN | 8,025 | $344,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 14,149 | $342,000 | thousands by filing date | |
| STONE HBR EMERG MKTS TL INC | 86164W100 | COM | 29,103 | $331,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 25,923 | $328,000 | thousands by filing date | |
| Global Partner Acquisition Corp | 37954X113 | *W EXP 07/01/202 | 1,200,000 | $324,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 21,886 | $319,000 | thousands by filing date | |
| INVESCO BD FD | 46132L107 | COM | 18,064 | $318,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 10,307 | $313,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 39,875 | $299,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J118 | *W EXP 07/28/202 | 1,103,201 | $298,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 12,415 | $297,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 12,202 | $297,000 | thousands by filing date | |
| VOYA PRIME RATE TRUST | 92913A100 | SH BEN INT | 58,416 | $296,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 5,722 | $295,000 | thousands by filing date | |
| BLACKROCK LONG-TERM MUNCIPAL A | 09250B103 | COM | 26,597 | $293,000 | thousands by filing date | |
| TORTOISE PIPELINE & ENERGY F | 89148H108 | COM | 16,317 | $293,000 | thousands by filing date | |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 29,698 | $290,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 16,095 | $284,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 4,053 | $275,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 23,474 | $270,000 | thousands by filing date | |
| Targa Resources Partners, LP | 87611X105 | LTD | 9,171 | $266,000 | thousands by filing date | |
| Crestwood Mid Lp New | 226378107 | UNIT LTD PARTNER | 42,821 | $265,000 | thousands by filing date | |
| ALLIANZGI EQUITY & CONV INCO | 018829101 | COM | 15,207 | $261,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP | 31809H118 | *W EXP 02/19/202 | 890,000 | $258,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 78,900 | $251,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 19,593 | $246,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 17,701 | $238,000 | thousands by filing date | |
| EATON VANCE TAX-ADVANTAGED BON | 27829M103 | COM SH BEN INT | 19,010 | $232,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 29,716 | $230,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME INV QL | 09250G102 | COM | 15,746 | $220,000 | thousands by filing date | |
| AZURE MIDSTREAM PARTNERS LP COM UNIT | 05501X100 | COMMON | 36,877 | $218,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 15,049 | $217,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 15,800 | $210,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 35,227 | $208,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 35,122 | $208,000 | thousands by filing date | |
| DEUTSCHE HIGH INCOME TR SHS | 25155R100 | CEF | 26,320 | $206,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 15,190 | $200,000 | thousands by filing date | |
| MANNKIND CORP | 56400P201 | COM | 60,656 | $195,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 14,156 | $187,000 | thousands by filing date | |
| BABCOCK & WILCOX ENTERPRISES INC | 05614L100 | COM | 11,036 | $185,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 13,579 | $184,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 24,972 | $182,000 | thousands by filing date | |
| AR CAP ACQUISITION CORP | 00191R117 | *W EXP 10/06/201 | 750,000 | $180,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 12,451 | $173,000 | thousands by filing date | |
| NEW AMERICA HIGH INCOME FUND I | 641876800 | COM NEW | 21,301 | $170,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V111 | RIGHT 07/21/2016 | 500,600 | $170,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 11,928 | $164,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD INVESTMENT | 09254T100 | COM | 11,685 | $158,000 | thousands by filing date | |
| PIONEER DIVERSIFIED HIGH INCOM | 723653101 | COM | 10,227 | $151,000 | thousands by filing date | |
| HANCOCK JOHN INCOME SECS TR | 410123103 | COM | 10,661 | $149,000 | thousands by filing date | |
| EAGLE ROCK ENERGY PARTNERS L | 26985R104 | UNIT | 117,574 | $149,000 | thousands by filing date | |
| AROWANA INC | G05011120 | RIGHT 01/01/2017 | 800,000 | $144,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 19,400 | $135,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V129 | *W EXP 07/15/202 | 500,600 | $135,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 10,238 | $128,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 16,796 | $125,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 545,520 | $109,000 | thousands by filing date | |
| C B PHARMA ACQUISITION CORP | G2029P134 | RIGHT 06/17/2016 | 350,000 | $105,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 10,200 | $101,000 | thousands by filing date | |
| LIBERTY ALL STAR GROWTH FUND I | 529900102 | COM | 19,906 | $90,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 10,026,149 | $90,000 | thousands by filing date | |
| NUVEEN QUALITY PFD INC FD 3 | 67072W101 | COM | 10,100 | $81,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 10,499 | $74,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 545,520 | $71,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 17,980 | $53,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 23,450 | $50,000 | thousands by filing date | |
| ATLAS ENERGY GROUP LL LP | 04929Q102 | MLP | 15,815 | $35,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 225,112 | $32,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 116,185 | $15,000 | thousands by filing date | |
| GENERAL MTRS CO | 37045V134 | WAR | 356,485 | $15,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-15-002428 | this filing | 2015-11-16 | acceptance time not in the bulk data set |