13F-HR filed by AQR Arbitrage LLC
AQR Arbitrage LLC filed this 13F-HR for the quarter ended 2016-06-30, filed 2016-08-15, with 387 holding rows worth $9,245,789,000.
- Accession
- 0001085146-16-004357
- Filer
- CIK 1167456
- Filed
- 2016-08-15
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2016
A holdings report, 387 entries on the cover page, a total value of $9,245,789,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $9,245,789,000 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 |
|---|---|---|---|---|---|---|
| NVDA 1 12/1/18 | 67066GAC8 | Bond 30/360P2 U | 200,000,000 | $467,000,000 | thousands by filing date | principal |
| VERISIGN INC | 92343EAD4 | CORPORATE OBLIG | 136,800,000 | $344,993,000 | thousands by filing date | principal |
| INTEL CORP | 458140AF7 | CORPORATE OBLIG | 119,951,000 | $195,221,000 | thousands by filing date | principal |
| TYSON FOODS | 902494301 | COM | 2,510,325 | $186,341,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC | 595017AB0 | SDCV 2.125%12/1 | 87,600,000 | $184,781,000 | thousands by filing date | principal |
| KLA CORP | 482480100 | COM | 2,507,530 | $183,677,000 | thousands by filing date | |
| T MOBILE US INC | 872590203 | CONV PFD SER A | 2,443,375 | $179,612,000 | thousands by filing date | |
| TYCO INTL PLC | G91442106 | SHS | 3,970,111 | $169,127,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J116 | PFD CONV SER A | 200,400 | $166,883,000 | thousands by filing date | |
| YAHOO INC | 984332106 | COM | 4,348,079 | $163,314,000 | thousands by filing date | |
| HUMANA INC COM | 444859102 | Stock | 836,669 | $150,500,000 | thousands by filing date | |
| RITEAID CORP | 767754104 | COM | 19,634,002 | $147,059,000 | thousands by filing date | |
| DOMINION RES INC VA NEW | 25746U885 | UNIT 07/01/2016 | 2,394,200 | $146,274,000 | thousands by filing date | |
| CIGNA CORPORATION | 125509109 | COM | 1,131,649 | $144,840,000 | thousands by filing date | |
| STARWOOD HOTELS&RESORTS WRLD | 85590A401 | COM | 1,908,006 | $141,097,000 | thousands by filing date | |
| ST JUDE MED INC | 790849103 | COM | 1,710,778 | $133,441,000 | thousands by filing date | |
| ALERE INC | 01449J105 | COM | 3,182,963 | $132,666,000 | thousands by filing date | |
| FIAT CHRYSLER AUTOMOBILES N | N31738110 | MAN COV SEC 16 | 2,186,825 | $131,483,000 | thousands by filing date | |
| FIRSTMERIT CORP | 337915102 | COM | 6,430,387 | $130,344,000 | thousands by filing date | |
| ITC HLDGS CORP | 465685105 | COM | 2,779,760 | $130,148,000 | thousands by filing date | |
| FIRST NIAGARA FINANCIAL GROUP | 33582V108 | COM | 12,415,508 | $120,927,000 | thousands by filing date | |
| CROWN CASTLE INTL CORP NEW | 22822V200 | CNV PFD STK SR A | 985,825 | $119,388,000 | thousands by filing date | |
| ELEVANCE HEALTH INC | 036752202 | PREFERRED STOCK | 2,478,950 | $111,131,000 | thousands by filing date | |
| VALARIS ORD | 920355104 | COM | 1,017,839 | $109,957,000 | thousands by filing date | |
| AGL RES INC | 001204106 | COM | 1,603,656 | $105,793,000 | thousands by filing date | |
| WELLTOWER INC 6.50 PFD PREPET | 95040Q203 | CPFD | 1,484,525 | $101,087,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 54,129,000 | $98,819,000 | thousands by filing date | principal |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 76,050,000 | $97,296,000 | thousands by filing date | principal |
| DU PONT E I DE NEMOURS & CO | 263534109 | COM | 1,452,546 | $94,125,000 | thousands by filing date | |
| QUESTAR CORP | 748356102 | COM | 3,663,285 | $92,938,000 | thousands by filing date | |
| HAWAIIAN ELEC INDS INC MTN B | 419870100 | COM | 2,828,745 | $92,755,000 | thousands by filing date | |
| WESTAR ENERGY INC | 95709T100 | COMMON STOCK | 1,630,696 | $91,466,000 | thousands by filing date | |
| MGIC INVESTMENT CORP | 552848AE3 | CORPORATE OBLIG | 81,375,000 | $90,733,000 | thousands by filing date | principal |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 66,325,000 | $90,078,000 | thousands by filing date | principal |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 52,150,000 | $88,427,000 | thousands by filing date | principal |
| PRICELINE.COM INC 1.000 | 741503AQ9 | DEBT 1.000% 3/1 | 59,600,000 | $83,030,000 | thousands by filing date | principal |
| E M C CORP MASS | 268648102 | COM | 2,997,638 | $81,446,000 | thousands by filing date | |
| LINKEDIN CORP | 53578A108 | COM | 425,574 | $80,540,000 | thousands by filing date | |
| COLUMBIA PIPELINE GROUP INC | 198280109 | COM | 3,159,230 | $80,529,000 | thousands by filing date | |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 2,718,822 | $80,423,000 | thousands by filing date | |
| TECO ENERGY INC | 872375100 | COM | 2,693,753 | $74,455,000 | thousands by filing date | |
| PIEDMONT NATURAL GAS CO | 720186105 | COM | 1,220,783 | $73,393,000 | thousands by filing date | |
| ASTORIA FINANCIAL CORP | 046265104 | COMMON STOCK | 4,302,859 | $65,963,000 | thousands by filing date | |
| DEMANDWARE INC | 24802Y105 | COM | 878,499 | $65,800,000 | thousands by filing date | |
| FEI CO | 30241L109 | COM | 562,197 | $60,088,000 | thousands by filing date | |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 59,700,000 | $59,178,000 | thousands by filing date | principal |
| HATTERAS FINL CORP | 41902R103 | COM | 3,565,466 | $58,474,000 | thousands by filing date | |
| Empire District Electric Co/Th | 291641108 | COM | 1,713,586 | $58,211,000 | thousands by filing date | |
| DREAMWORKS ANIMATION SKG INC | 26153C103 | CL A | 1,417,112 | $57,917,000 | thousands by filing date | |
| Q | 74876Y101 | Stock | 863,974 | $56,435,000 | thousands by filing date | |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 51,419,000 | $56,015,000 | thousands by filing date | principal |
| LNKD .5 11/19 | 53578AAB4 | Bond 30/360P2 U | 56,115,000 | $55,659,000 | thousands by filing date | principal |
| Media General Ord Shs | 58441K100 | COM | 3,104,515 | $53,367,000 | thousands by filing date | |
| CVENT INC | 23247G109 | COM | 1,452,324 | $51,877,000 | thousands by filing date | |
| TIVO INC | 888706108 | COM | 5,056,700 | $50,061,000 | thousands by filing date | |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 40,475,000 | $47,887,000 | thousands by filing date | principal |
| ROFIN-SINAR TECHNOLOGIES INC | 775043102 | COMMON STOCK | 1,496,261 | $47,791,000 | thousands by filing date | |
| Weyerhaeuser Co. | 962166872 | CONVERTIBLE PREFERRED STOCK | 920,800 | $46,298,000 | thousands by filing date | |
| MU 2.375 5/1/32 | 595112AW3 | Bond 30/360P2 U | 29,975,000 | $45,037,000 | thousands by filing date | principal |
| SHIP FINANCE INTERNATIONAL L | G81075AE6 | NOTE 3.250% 2/0 | 42,075,000 | $44,573,000 | thousands by filing date | principal |
| HEARTWARE INTL INC | 422368100 | COM | 768,758 | $44,396,000 | thousands by filing date | |
| FAIRCHILD SEMICONDUCTOR | 303726103 | COMMON STOCK | 2,126,309 | $42,207,000 | thousands by filing date | |
| AXIALL CORP | 05463D100 | COM | 1,284,176 | $41,877,000 | thousands by filing date | |
| CEMEX SAB DE CV | 151290BC6 | NOTE 3.750% 3/1 | 39,500,000 | $40,734,000 | thousands by filing date | principal |
| LEXMARK INTL NEW | 529771107 | CL A | 1,009,052 | $38,092,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AH2 | NOTE 1.50010/0 | 32,894,000 | $37,890,000 | thousands by filing date | principal |
| FRONTIER COMMUNICATIONS CORP | 35906A207 | PFD CONV SER-A | 394,400 | $37,419,000 | thousands by filing date | |
| APOLLO GROUP INC | 037604105 | CL A | 4,043,273 | $36,875,000 | thousands by filing date | |
| TALMER BANCORP INC | 87482X101 | COM | 1,919,186 | $36,791,000 | thousands by filing date | |
| PRIVATEBANCORP INC | 742962103 | COM | 835,410 | $36,783,000 | thousands by filing date | |
| CHENIERE ENERGY INC | 16411RAG4 | NOTE 4.250% 3/1 | 63,275,000 | $36,067,000 | thousands by filing date | principal |
| SPIRIT RLTY CAP INC NEW | 84860WAA0 | NOTE 2.875% 5/1 | 32,725,000 | $35,364,000 | thousands by filing date | principal |
| INCONTACT INC | 45336E109 | COM | 2,549,193 | $35,306,000 | thousands by filing date | |
| INGRAM MICRO INC | 457153104 | CL A | 989,470 | $34,414,000 | thousands by filing date | |
| MARKETO INC | 57063L107 | COM | 983,245 | $34,237,000 | thousands by filing date | |
| CELATOR PHARMACEUTICALS INC | 15089R102 | Cmn | 1,111,391 | $33,542,000 | thousands by filing date | |
| MEMORIAL RESOURCE DEVELOPMENT | 58605Q109 | COM | 2,108,526 | $33,483,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 22,930,000 | $33,291,000 | thousands by filing date | principal |
| WBMD 1.5 12/20 | 94770VAK8 | Bond 30/360P2 U | 25,875,000 | $32,974,000 | thousands by filing date | principal |
| DIAMOND RESORTS INTL INC | 25272T104 | COM | 1,079,036 | $32,328,000 | thousands by filing date | |
| BLACK HILLS CORP | 092113125 | UNIT 99/99/9999 | 448,500 | $31,772,000 | thousands by filing date | |
| EXAMWORKS GROUP INC COM | 30066A105 | COM | 897,441 | $31,276,000 | thousands by filing date | |
| TALEN ENERGY CORP | 87422J105 | COM | 2,290,411 | $31,035,000 | thousands by filing date | |
| TUMI HLDGS INC | 89969Q104 | COM | 1,152,975 | $30,831,000 | thousands by filing date | |
| QLOGIC CORP | 747277101 | COM | 2,026,431 | $29,870,000 | thousands by filing date | |
| ALLSCRIPTS HEALTHCARE SOLUTN | 01988PAD0 | NOTE 1.250% 7/0 | 29,525,000 | $29,636,000 | thousands by filing date | principal |
| WEBMD HEALTH CORP | 94770VAF9 | NOTE 2.500% 1/3 | 26,675,000 | $29,443,000 | thousands by filing date | principal |
| CARMIKE CINEMAS INC | 143436400 | COMMON STOCK | 960,090 | $28,918,000 | thousands by filing date | |
| SOUTHWESTERN ENERGY CO DEP SHS 120 B | 845467208 | Convertible Preferred | 940,150 | $28,528,000 | thousands by filing date | |
| VIRGIN AMER INC | 92765X208 | COM VTG | 497,997 | $27,992,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP | 682189AH8 | NOTE 2.625%12/1 | 26,714,000 | $27,849,000 | thousands by filing date | principal |
| DYNEGY INC NEW DEL | 26817R405 | UNIT 07/01/20191 | 250,000 | $26,963,000 | thousands by filing date | |
| WHITING PETE CORP NEW | 966387AU6 | DBCV 1.250% 6/0 | 30,000,000 | $26,925,000 | thousands by filing date | principal |
| STANDARD PAC CORP 1.250 | 85375CBC4 | NOTE 1.250% 8/0 | 24,880,000 | $26,870,000 | thousands by filing date | principal |
| EXELON CORP | 30161N127 | UNIT 99/99/9999 | 527,025 | $26,088,000 | thousands by filing date | |
| STARWOOD PROPERTY TRUST INC | 85571BAA3 | CORPORATE OBLIG | 23,875,000 | $24,994,000 | thousands by filing date | principal |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 1,558,168 | $24,666,000 | thousands by filing date | |
| MONSANTO CO NEW | 61166W101 | COM | 234,585 | $24,258,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AX1 | NOTE 3.125% 5/0 | 15,700,000 | $24,070,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAC4 | NOTE 7.875% 3/0 | 21,281,000 | $23,994,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAC5 | NOTE 0.750% 7/1 | 21,325,000 | $23,777,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 26,950,000 | $23,682,000 | thousands by filing date | principal |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 22,500,000 | $22,416,000 | thousands by filing date | principal |
| WPX ENERGY INC | 98212B202 | PFD SER A CV | 474,725 | $22,184,000 | thousands by filing date | |
| PROSPECT CAPITAL CORPORATION | 74348TAQ5 | NOTE 4.750% 4/1 | 22,875,000 | $21,746,000 | thousands by filing date | principal |
| WRIGHT MED GROUP INC | 98235TAE7 | NOTE 2.000% 2/1 | 23,300,000 | $21,407,000 | thousands by filing date | principal |
| PDLI 4 2/1/18 | 69329YAF1 | Bond 30/360P2 U | 22,225,000 | $21,169,000 | thousands by filing date | principal |
| ENVISION HEALTHCARE HLDGS IN | 29413U103 | COM | 833,718 | $21,151,000 | thousands by filing date | |
| ENERGIZER HLDGS INC COM | 29272W109 | Stock | 396,972 | $20,440,000 | thousands by filing date | |
| TOPBUILD COR COM | 89055F103 | Stock | 552,208 | $19,990,000 | thousands by filing date | |
| EBS 2.875 01/21 | 29089QAB1 | Bond 30/360P2 U | 16,875,000 | $19,185,000 | thousands by filing date | principal |
| KLX INC | 482539103 | COM | 614,130 | $19,038,000 | thousands by filing date | |
| KEYSIGHT TECHNOLOGIES INC COM | 49338L103 | Stock | 642,392 | $18,687,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 1,020,470 | $18,644,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 687,373 | $18,593,000 | thousands by filing date | |
| CABLE ONE INC | 12685J105 | COM | 36,086 | $18,455,000 | thousands by filing date | |
| HORIZON PHARMA INVT LTD | 44052TAB7 | NOTE 2.500% 3/1 | 19,900,000 | $18,134,000 | thousands by filing date | principal |
| PARKWAY PPTYS INC | 70159Q104 | COM | 1,063,606 | $17,794,000 | thousands by filing date | |
| MEDIVATION INC | 58501N101 | COM | 293,778 | $17,715,000 | thousands by filing date | |
| CDK GLOBAL INC | 12508E101 | COM | 315,988 | $17,534,000 | thousands by filing date | |
| COLONY CAP INC | 19624RAB2 | NOTE 3.875% 1/1 | 18,375,000 | $17,502,000 | thousands by filing date | principal |
| MENTOR GRAPHICS CORP 4.000 | 587200AK2 | SDCV 4.000% 4/0 | 15,775,000 | $17,313,000 | thousands by filing date | principal |
| LDR HLDG CORP | 50185U105 | COM | 461,387 | $17,048,000 | thousands by filing date | |
| GENCORP INC | 368682AN0 | SDCV | 8,250,000 | $16,758,000 | thousands by filing date | principal |
| FERRARI N V | N3167Y103 | COM | 406,472 | $16,637,000 | thousands by filing date | |
| HALYARD HEALTH INC | 40650V100 | COM | 509,716 | $16,576,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 11,050,000 | $16,075,000 | thousands by filing date | principal |
| COMMUNICATIONS SALES&LEAS IN | 20341J104 | COM | 544,685 | $15,741,000 | thousands by filing date | |
| MSG NETWORK INC | 553573106 | CL A | 1,014,368 | $15,560,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 518,411 | $15,480,000 | thousands by filing date | |
| Starwood Property Trust, Inc. | 85571BAB1 | CONV | 14,600,000 | $15,449,000 | thousands by filing date | principal |
| LIBERTY TRIPADVISOR HLDGS IN | 531465102 | COM SER A | 702,611 | $15,373,000 | thousands by filing date | |
| Dow Chemical Company | 260543103 | COM | 308,227 | $15,322,000 | thousands by filing date | |
| CARE CAP PPTYS INC | 141624106 | COM | 583,891 | $15,304,000 | thousands by filing date | |
| UTS CF CORP | G20307123 | UNIT | 1,500,000 | $14,880,000 | thousands by filing date | |
| NORTHSTAR REIT. | 66704R803 | Common Stock | 1,300,747 | $14,868,000 | thousands by filing date | |
| CHEMOURS CO COM | 163851108 | Stock | 1,782,454 | $14,687,000 | thousands by filing date | |
| EBAY INC. COM | 278642103 | Stock | 620,380 | $14,523,000 | thousands by filing date | |
| STARZ | 85571Q102 | COM SER A | 476,640 | $14,261,000 | thousands by filing date | |
| IHS INC | 451734107 | CL A | 123,100 | $14,232,000 | thousands by filing date | |
| NORTHSTAR ASSET | 66705Y104 | Common Stock | 1,391,041 | $14,203,000 | thousands by filing date | |
| KRISPY KREME DOUGHNUTS INC | 501014104 | COM | 676,839 | $14,187,000 | thousands by filing date | |
| EXELIXIS INC | 30161QAC8 | NOTE 4.250% 8/1 | 9,350,000 | $13,902,000 | thousands by filing date | principal |
| SUNPOWER CORP | 867652AG4 | DBCV 0.750% 6/0 | 14,450,000 | $13,791,000 | thousands by filing date | principal |
| HOLOGIC INC 2.000 | 436440AB7 | FRNT 2.000%12/1 | 9,150,000 | $13,765,000 | thousands by filing date | principal |
| GANNETT SPINCO INC | 36473H104 | COM | 990,974 | $13,685,000 | thousands by filing date | |
| TIVO INC | 888706AF5 | NOTE 2.000%10/0 | 12,400,000 | $12,168,000 | thousands by filing date | principal |
| INGEVITY CORP COM | 45688C107 | Stock | 355,208 | $12,091,000 | thousands by filing date | |
| CASH AMER INTL INC | 14754D100 | COM | 280,168 | $11,941,000 | thousands by filing date | |
| TIME INC NEW | 887228104 | COM | 720,054 | $11,852,000 | thousands by filing date | |
| STWD 3.75 10/17 | 85571BAC9 | Bond 30/360P2 U | 11,000,000 | $11,144,000 | thousands by filing date | principal |
| CONVERGYS CORP | 212485AE6 | SDCV | 4,725,000 | $10,782,000 | thousands by filing date | principal |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 428,352 | $10,366,000 | thousands by filing date | |
| SPIRIT RLTY CAP INC NEW | 84860WAB8 | NOTE 3.750% 5/1 | 9,025,000 | $10,108,000 | thousands by filing date | principal |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 8,010,000 | $10,043,000 | thousands by filing date | principal |
| FIDELITY & GTY LIFE COM | 315785105 | Stock | 414,291 | $9,603,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 8,475,000 | $9,439,000 | thousands by filing date | principal |
| GCP APPLIED TECHNOLOGIES INC | 36164Y101 | COM | 360,864 | $9,397,000 | thousands by filing date | |
| INTEL CORP | 458140AD2 | SDCV 2.950%12/1 | 7,225,000 | $9,361,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 9,225,000 | $9,064,000 | thousands by filing date | principal |
| RYLAND GROUP INC | 783764AQ6 | NOTE 1.625% | 7,000,000 | $9,008,000 | thousands by filing date | principal |
| XURA INC COM | 98420V107 | COM | 362,839 | $8,864,000 | thousands by filing date | |
| AROWANA INC | G05011104 | SHS | 875,000 | $8,768,000 | thousands by filing date | |
| LIBERTY BROADBAND A | 530307107 | COMMON STOCK | 143,159 | $8,504,000 | thousands by filing date | |
| BLACKHAWK NETWORK HOLDING INC | 09238E104 | COMMON STOCK | 253,019 | $8,474,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP | 31809H100 | COM | 755,000 | $7,459,000 | thousands by filing date | |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 7,125,000 | $7,272,000 | thousands by filing date | principal |
| MDSO 1 8/01/18 | 58471AAB1 | Bond 30/360P2 U | 5,675,000 | $6,179,000 | thousands by filing date | principal |
| HERBALIFE LTD | G4412G101 | COM SHS | 101,210 | $5,924,000 | thousands by filing date | |
| AMRS 9.5 04/19 | 03236MAD3 | Bond 30/360P2 U | 12,049,000 | $5,814,000 | thousands by filing date | principal |
| GENERAL CABLE CORP | 369300AL2 | CORPORATE OBLIG | 9,852,000 | $5,683,000 | thousands by filing date | principal |
| ELIZABETH ARDEN INC | 28660G106 | COM | 407,192 | $5,603,000 | thousands by filing date | |
| SQNM 5 1/1/18 | 817337AC2 | Bond 30/360P2 U | 9,450,000 | $5,528,000 | thousands by filing date | principal |
| HYDRA INDS ACQUISITION CORP | 448740100 | COM | 539,900 | $5,340,000 | thousands by filing date | |
| KLR ENERGY ACQUISITION CORP | 49877M207 | UNIT 12/31/2020 | 500,000 | $5,050,000 | thousands by filing date | |
| LANDCADIA HLDGS INC | 51476W206 | UNIT 12/31/2021T | 500,000 | $5,015,000 | thousands by filing date | |
| SUFFOLK BANCORP | 864739107 | COM | 158,385 | $4,959,000 | thousands by filing date | |
| ANW 4 11/1/18 | Y0020QAA9 | Bond 30/360P2 U | 6,250,000 | $4,938,000 | thousands by filing date | principal |
| WESTERN DIGITAL CORP | 958102105 | COM | 100,576 | $4,753,000 | thousands by filing date | |
| ALON USA ENERGY INC | 020520AB8 | NOTE 3.000% 9/1 | 5,450,000 | $4,748,000 | thousands by filing date | principal |
| ELECTRO RENT CORP | 285218103 | COM | 277,490 | $4,276,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 4,000,000 | $4,240,000 | thousands by filing date | principal |
| PACIFIC SPL ACQUISITION CORP | G68588105 | SHS | 415,000 | $4,187,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V103 | COM | 450,540 | $4,172,000 | thousands by filing date | |
| RAMBUS INC | 750917AE6 | CNV | 3,575,000 | $4,160,000 | thousands by filing date | principal |
| CALIFORNIA RES CORP | 13057Q206 | COM NEW | 327,650 | $3,997,000 | thousands by filing date | |
| CITRIX SYSTEMS INC | 177376100 | COM | 44,800 | $3,588,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789126 | SHS | 350,000 | $3,577,000 | thousands by filing date | |
| HIGHER ONE HOLDINGS INC | 42983D104 | COM | 671,714 | $3,432,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 393,876 | $3,033,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 265,042 | $3,008,000 | thousands by filing date | |
| FOX CHASE BANCORP INC | 35137T108 | COM | 137,454 | $2,796,000 | thousands by filing date | |
| ROUSE PPTYS INC | 779287101 | COM | 151,860 | $2,771,000 | thousands by filing date | |
| COWEN INC | 223622AB7 | NOTE 3.000 3/1 | 3,050,000 | $2,768,000 | thousands by filing date | principal |
| AMTRUST FINL SVCS INC | 032359AG6 | NOTE 2.750%12/1 | 3,425,000 | $2,654,000 | thousands by filing date | principal |
| KEYCORP NEW | 493267405 | PFD 7.75% SR A | 20,000 | $2,648,000 | thousands by filing date | |
| ISTAR FINL INC | 45031UBR1 | NOTE 3.000%11/1 | 2,600,000 | $2,628,000 | thousands by filing date | principal |
| COMMUNITYONE BANCORP | 20416Q108 | COM | 201,952 | $2,553,000 | thousands by filing date | |
| CENVEO CORP | 15671BAJ0 | NOTE 7.000% 5/1 | 2,725,000 | $2,539,000 | thousands by filing date | principal |
| WILSHIRE BANCORP INC | 97186T108 | COM | 239,657 | $2,497,000 | thousands by filing date | |
| INVACARE CORP | 461203AD3 | SDCV 4.125% 2/0 | 2,500,000 | $2,458,000 | thousands by filing date | principal |
| LIBERTY ALL-STAR EQUITY FUND | 530158104 | SH BEN INT | 474,160 | $2,380,000 | thousands by filing date | |
| CARRIAGE SVCS INC | 143905AM9 | NOTE 2.750% 3/1 | 2,000,000 | $2,359,000 | thousands by filing date | principal |
| SCIQUEST INC NEW | 80908T101 | COM | 133,172 | $2,352,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 283,142 | $2,330,000 | thousands by filing date | |
| AVENUE FINL HLDGS INC | 05358K102 | COM | 116,735 | $2,294,000 | thousands by filing date | |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 170,071 | $2,279,000 | thousands by filing date | |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 5,000,000 | $2,250,000 | thousands by filing date | principal |
| ENERNOC INC | 292764AB3 | DBCV 2.250% 8/1 | 3,000,000 | $2,168,000 | thousands by filing date | principal |
| ALPINE GLOBAL PREMIER PPTYS | 02083A103 | COM SBI | 392,364 | $2,154,000 | thousands by filing date | |
| HWAY 1.5 7/18 | 422245AB6 | Bond 30/360P2 U | 2,250,000 | $2,125,000 | thousands by filing date | principal |
| SILVER RUN ACQUISITION CORP | 82811P101 | CL A | 217,500 | $2,079,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 2,450,000 | $2,056,000 | thousands by filing date | principal |
| SWAY 4.5 10/17 | 85571WAD1 | Bond 30/360P2 U | 1,850,000 | $2,044,000 | thousands by filing date | principal |
| JENSYN ACQUISITION CORP | 47632B201 | UNIT 99/99/9999 | 200,000 | $2,018,000 | thousands by filing date | |
| MWW 3.50 10/19 | 611742AB3 | Bond 30/360P2 U | 2,325,000 | $2,015,000 | thousands by filing date | principal |
| DT ASIA INVTS LTD | G2615J104 | SHS | 209,241 | $1,956,000 | thousands by filing date | |
| AMERICAN SCIENCE + ENGINEERI | 029429107 | COM | 51,880 | $1,941,000 | thousands by filing date | |
| DHT HOLDINGS INC | 23335SAB2 | DEBT 4.50010/0 | 2,000,000 | $1,909,000 | thousands by filing date | principal |
| NATIONAL INTERSTATE CORP | 63654U100 | COM | 62,591 | $1,893,000 | thousands by filing date | |
| ALIBABA GROUP HLDG LTD | 01609W102 | SPONSORED ADS | 22,335 | $1,776,000 | thousands by filing date | |
| C1 FINL INC | 12591N109 | COM | 75,940 | $1,772,000 | thousands by filing date | |
| XENOPORT INC | 98411C100 | COM | 243,917 | $1,717,000 | thousands by filing date | |
| ACCURAY INC | 004397AF2 | NOTE 3.500% 2/0 | 1,475,000 | $1,672,000 | thousands by filing date | principal |
| AMSURG CORP | 03232P504 | PFD CNV SR A-1 % | 11,400 | $1,659,000 | thousands by filing date | |
| TRONC INC | 89703P107 | COM | 119,509 | $1,649,000 | thousands by filing date | |
| AMRI 2.25 11/18 | 012423AB5 | Bond 30/360P2 U | 1,600,000 | $1,647,000 | thousands by filing date | principal |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 200,028 | $1,616,000 | thousands by filing date | |
| QUORUM HEALTH CORP | 74909E106 | COM | 148,519 | $1,591,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 115,147 | $1,580,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 101,114 | $1,500,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 1,500,000 | $1,497,000 | thousands by filing date | principal |
| RESOURCE CAP CORP | 76120WAB0 | NOTE 8.000% 1/1 | 1,500,000 | $1,471,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 1,500,000 | $1,424,000 | thousands by filing date | principal |
| CHARTER COMMUNICATIONS INC N | 16119P108 | COM | 6,156 | $1,408,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAA4 | NOTE 2.500 2/1 | 1,250,000 | $1,383,000 | thousands by filing date | principal |
| RESOURCE AMERICA INC-CL A | 761195205 | CL A | 140,353 | $1,364,000 | thousands by filing date | |
| SPECTRUM PHARMACEUTICALS INC | 84763AAB4 | NOTE 2.750%12/1 | 1,450,000 | $1,346,000 | thousands by filing date | principal |
| UNIVAR SOLUTIONS | 65342H110 | EQUITY WRT | 1,947,000 | $1,343,000 | thousands by filing date | |
| QTM 4.5 11/17 | 747906AJ4 | Bond 30/360P2 U | 1,650,000 | $1,218,000 | thousands by filing date | principal |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 58,201 | $1,195,000 | thousands by filing date | |
| CENTRAL SECURITIES CORP | 155123102 | COM | 57,681 | $1,133,000 | thousands by filing date | |
| Del Taco Restaurants | 245496112 | W EXP 06/30/202 | 579,250 | $1,124,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 36,364 | $1,121,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AD6 | NOTE 3.250%10/0 | 1,000,000 | $1,121,000 | thousands by filing date | principal |
| HUNTINGTON BANCSHARES INC | 446150401 | PREFERRED STOCK | 800 | $1,110,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 79,814 | $1,097,000 | thousands by filing date | |
| YOUR CMNTY BANKSHARES INC | 98779U106 | COM | 29,529 | $1,097,000 | thousands by filing date | |
| RMR REAL ESTATE INCOME FD | 76970B101 | COM | 50,980 | $1,084,000 | thousands by filing date | |
| QUIDEL CORP | 74838JAA9 | NOTE 3.250%12/1 | 1,000,000 | $931,000 | thousands by filing date | principal |
| MANITOWOC COMPANY INC | 563571108 | COM | 170,694 | $930,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 78,024 | $918,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 21,613 | $911,000 | thousands by filing date | |
| BLACKROCK CORE BD TR | 09249E101 | SHS BEN INT | 64,340 | $899,000 | thousands by filing date | |
| GORES HOLDINGS INC-CW20 | 382866119 | Warrants | 3,375,000 | $844,000 | thousands by filing date | |
| ADVENT CLAY CONV SEC INC FD | 007639107 | COM | 151,205 | $835,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 20,121 | $827,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 27,660 | $809,000 | thousands by filing date | |
| HUTCHINSON TECHNOLOGY INC | 448407106 | COM | 236,795 | $803,000 | thousands by filing date | |
| ARMSTRONG FLOORING INC | 04238R106 | COM | 46,614 | $790,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 23,015 | $774,000 | thousands by filing date | |
| FIRST TR ABERDEEN GLBL OPP F | 337319107 | COM SHS | 67,597 | $773,000 | thousands by filing date | |
| SKULLCANDY INC | 83083J104 | COM | 122,831 | $754,000 | thousands by filing date | |
| ALPINE TOTAL DYNAMIC DIVID F | 021060207 | COM SH BEN INT N | 100,037 | $726,000 | thousands by filing date | |
| TRI CONTL CORP | 895436103 | COM | 34,438 | $707,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 62,919 | $693,000 | thousands by filing date | |
| ONEOK PARTNERS LP LTD PARTN | 68268N103 | UNIT | 17,057 | $683,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 8,957 | $681,000 | thousands by filing date | |
| SILVER STD RES INC | 82823L106 | COM | 52,629 | $680,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 30,696 | $657,000 | thousands by filing date | |
| WILLIAMS PARTNERS L P NEW | 96949L105 | COM UNIT LTD PAR | 18,936 | $656,000 | thousands by filing date | |
| MANITOWOC FOODSERVICE INC | 563568104 | COM | 36,879 | $650,000 | thousands by filing date | |
| BOARDWALK PIPELINE PARTNERS | 096627104 | UT LTD PARTNER | 37,202 | $649,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 49,250 | $648,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP | 31809H118 | *W EXP 02/19/202 | 810,000 | $648,000 | thousands by filing date | |
| HENNESSY CAP ACQUISITION COR | 42588J118 | *W EXP 07/28/202 | 1,028,837 | $648,000 | thousands by filing date | |
| SPX CORP | 784635104 | COMMON STOCK | 43,234 | $642,000 | thousands by filing date | |
| ALPINE GLOBAL DYNAMIC DIVD F | 02082E205 | COM NEW | 75,821 | $641,000 | thousands by filing date | |
| MODUSLINK GLOBAL SOLUTIONS I | 60786LAB3 | NOTE 5.250 3/0 | 900,000 | $641,000 | thousands by filing date | principal |
| LAPORTE BANCORP INC MD | 516651106 | COM | 38,851 | $634,000 | thousands by filing date | |
| ENERGY TRANSFER PRTNRS L P | 29273R109 | UNIT LTD PARTN | 16,605 | $632,000 | thousands by filing date | |
| GREAT WESTN BANCORP INC | 391416104 | COM | 19,927 | $628,000 | thousands by filing date | |
| SYMMETRY SURGICAL INC | 87159G100 | COM | 47,366 | $622,000 | thousands by filing date | |
| BARNES & NOBLE ED INC | 06777U101 | COM | 61,196 | $621,000 | thousands by filing date | |
| PJT PARTNERS INC | 69343T107 | COM CL A | 26,861 | $618,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 48,671 | $616,000 | thousands by filing date | |
| CAPITOL ACQUISITION CORP III | 14055M114 | *W EXP 10/19/202 | 1,750,000 | $613,000 | thousands by filing date | |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 675,000 | $612,000 | thousands by filing date | principal |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 17,646 | $609,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 17,387 | $602,000 | thousands by filing date | |
| WESTERN ASSET WORLDWIDE INCO | 957668106 | COM | 54,506 | $599,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 26,128 | $597,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 11,739 | $585,000 | thousands by filing date | |
| EASTERLY ACQUISITION CORP | 27616L110 | *W EXP 07/29/202 | 925,000 | $583,000 | thousands by filing date | |
| UNITED ONLINE INC | 911268209 | COM NEW | 52,321 | $576,000 | thousands by filing date | |
| BOSTON PRIVATE FINL HLDGS IN | 101119113 | WARRANT | 116,799 | $573,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 42,053 | $568,000 | thousands by filing date | |
| ANI PHARMACEUTICALS INC | 00182CAA1 | NOTE 3.00012/0 | 525,000 | $568,000 | thousands by filing date | principal |
| LAKE SUNAPEE BK GROUP | 510866106 | COM | 33,111 | $567,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 9,875 | $565,000 | thousands by filing date | |
| QUINPARIO ACQUISITION CORP 2 | 74874U119 | *W EXP 01/01/202 | 3,500,000 | $560,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 191,430 | $557,000 | thousands by filing date | |
| Chicopee Bancorp, Inc. | 168565109 | Common Stock | 30,432 | $556,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 18,085 | $542,000 | thousands by filing date | |
| LMP CAPITAL AND INCOME FUND | 50208A102 | COM | 39,917 | $524,000 | thousands by filing date | |
| BOULEVARD ACQUISITION | 10157Q110 | *W EXP 09/25/202 | 1,867,842 | $523,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 10,341 | $521,000 | thousands by filing date | |
| ARK RESTAURANTS CORP | 040712101 | COM | 23,278 | $520,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 53,769 | $518,000 | thousands by filing date | |
| TALLGRASS ENERGY PARTNERS LP | 874697105 | COM UNIT | 11,260 | $518,000 | thousands by filing date | |
| ROSE ROCK MIDSTREAM LP | 777149105 | COM U REP LTD | 19,584 | $517,000 | thousands by filing date | |
| SUNOCO LOGISTICS PRTNRS L P | 86764L108 | COM UNITS | 17,976 | $517,000 | thousands by filing date | |
| KINDER MORGAN INC DEL COM | 49456B101 | Stock | 27,367 | $512,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 10,964 | $512,000 | thousands by filing date | |
| AGROFRESH SOLUTIONS INC | 00856G117 | *W EXP 07/31/2 | 540,000 | $512,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 35,892 | $510,000 | thousands by filing date | |
| RICE MIDSTREAM PARTNERS LP | 762819100 | UNIT LTD PARTN | 24,868 | $508,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 79,197 | $504,000 | thousands by filing date | |
| WCI CMNTYS INC | 92923C807 | COM PAR $0.01 | 29,776 | $503,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 43,066 | $500,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 12,925 | $496,000 | thousands by filing date | |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 2,689 | $495,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 32,053 | $493,000 | thousands by filing date | |
| Spectra Energy Partners | 84756N109 | COM | 10,414 | $491,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 17,670 | $486,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 29,009 | $482,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 10,221 | $480,000 | thousands by filing date | |
| AVENUE INCOME CR STRATEGIES | 05358E106 | COM | 39,701 | $476,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 6,687 | $470,000 | thousands by filing date | |
| JASON INDS INC | 471172114 | *W EXP 06/30/201 | 1,933,070 | $464,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 76,817 | $462,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 8,245 | $461,000 | thousands by filing date | |
| TESORO LOGISTICS LP | 88160T107 | COM UNIT LP | 9,250 | $458,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 22,636 | $456,000 | thousands by filing date | |
| ENBRIDGE ENERGY PARTNERS L P | 29250R106 | Domestic Common | 19,465 | $452,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 18,768 | $434,000 | thousands by filing date | |
| BLACKSTONE LONG-SHORT CREDIT I | 09257D102 | COM SHS BN INT | 29,637 | $428,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 45,033 | $420,000 | thousands by filing date | |
| GCAP 4.1250 18 | 36268WAB6 | Bond 30/360P2 U | 450,000 | $415,000 | thousands by filing date | principal |
| WESTERN ASSET GLB PTNRS INCO | 95766G108 | COM | 48,287 | $414,000 | thousands by filing date | |
| AVID TECHNOLOGY INC | 05367PAB6 | NOTE 2.000% 6/1 | 600,000 | $410,000 | thousands by filing date | principal |
| GABELLI HEALTHCARE & WELLNES | 36246K103 | SHS | 36,039 | $385,000 | thousands by filing date | |
| NUVEEN DIVERSIFIED DIVID & I | 6706EP105 | COM | 31,873 | $373,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740118 | *W EXP 10/20/202 | 2,000,000 | $360,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 26,296 | $355,000 | thousands by filing date | |
| ADAMS DIVERSIFIED EQUITY FD | 006212104 | COM | 27,121 | $344,000 | thousands by filing date | |
| SPROTT FOCUS TR INC | 85208J109 | COM | 53,638 | $344,000 | thousands by filing date | |
| TOTAL RETURN SECURITIES FUND | 870875101 | COM | 32,878 | $340,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 30,720 | $336,000 | thousands by filing date | |
| HARMONY MERGER CORP | 413247123 | *W EXP 01/01/202 | 1,631,880 | $326,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 9,609 | $325,000 | thousands by filing date | |
| INTERVAL LEISURE GROUP INC | 46113M108 | COM | 19,706 | $313,000 | thousands by filing date | |
| HYDRA INDS ACQUISITION CORP | 448740126 | RIGHT 99/99/9999 | 2,000,000 | $310,000 | thousands by filing date | |
| CONE MIDSTREAM PARTNERS LP | 206812109 | COM UNIT REPST | 16,400 | $284,000 | thousands by filing date | |
| CALAMOS GBL DYN INCOME FUND | 12811L107 | COM | 38,983 | $274,000 | thousands by filing date | |
| RESOURCE CAP CORP | 76120WAA2 | NOTE 6.000prct12/0 | 275,000 | $267,000 | thousands by filing date | principal |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 26,896 | $261,000 | thousands by filing date | |
| PUTMAN HIGH INCOME SEC FUND | 746779107 | SHS BEN INT | 32,506 | $249,000 | thousands by filing date | |
| ROYCE MICRO-CAP TRUST INC | 780915104 | COM | 32,429 | $238,000 | thousands by filing date | |
| GARNERO GROUP ACQUISITION CO | G5866L132 | RIGHT 06/25/2016 | 2,785,000 | $237,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 20,319 | $229,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 16,366 | $228,000 | thousands by filing date | |
| TERRAPIN 3 ACQUISITION CORP | 88104P112 | *W EXP 06/27/201 | 1,428,000 | $228,000 | thousands by filing date | |
| Global Partner Acquisition Corp | 37954X113 | *W EXP 07/01/202 | 1,068,000 | $224,000 | thousands by filing date | |
| CLOUGH GLOBAL EQUITY FD | 18914C100 | COM | 19,275 | $206,000 | thousands by filing date | |
| ALLSPRING GLOBAL DIVIDEND OPPO | 94987C103 | COM | 30,882 | $184,000 | thousands by filing date | |
| LAZARD GLOBAL TOTAL RETURN & | 52106W103 | COM | 12,992 | $170,000 | thousands by filing date | |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 13,642 | $163,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 12,764 | $157,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V129 | *W EXP 07/15/202 | 500,600 | $150,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 15,168 | $136,000 | thousands by filing date | |
| 1347 CAP CORP | 68245V111 | RIGHT 07/21/2016 | 500,600 | $130,000 | thousands by filing date | |
| PANGAEA LOGISTICS SOLUTIONS | G6891L105 | COMMON STOCK | 46,772 | $113,000 | thousands by filing date | |
| AROWANA INC | G05011120 | RIGHT 01/01/2017 | 800,000 | $103,000 | thousands by filing date | |
| PACIFIC SPL ACQUISITION CORP | G68588113 | RIGHT 03/15/2017 | 415,000 | $87,000 | thousands by filing date | |
| SILVER RUN ACQUISITION CORP | 82811P119 | *W EXP 02/23/202 | 72,500 | $83,000 | thousands by filing date | |
| DT ASIA INVTS LTD | G2615J112 | RIGHT 03/30/2016 | 225,112 | $83,000 | thousands by filing date | |
| VANGUARD | 92205F106 | Domestic Common | 54,023 | $76,000 | thousands by filing date | |
| BROOKFIELD HIGH INCOME FD INC COM | 11272P102 | CEF | 10,081 | $73,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V119 | RIGHT 08/11/2017 | 545,520 | $65,000 | thousands by filing date | |
| AR CAP ACQUISITION CORP | 00191R117 | *W EXP 10/06/201 | 750,000 | $53,000 | thousands by filing date | |
| ORIGO ACQUISITION CORP | G67789134 | RIGHT 03/12/2018 | 350,000 | $46,000 | thousands by filing date | |
| COMMUNITY HEALTH SYS INC NEW | 203668116 | RIGHT 99/99/9999 | 10,026,149 | $45,000 | thousands by filing date | |
| ENERGY FUELS INC | 292671708 | COM NEW | 17,980 | $40,000 | thousands by filing date | |
| ASSOCIATED BANC CORP | 045487113 | WTS | 23,450 | $28,000 | thousands by filing date | |
| BARINGTON HILCO ACQUISITION | 06759V127 | *W EXP 02/11/202 | 545,520 | $27,000 | thousands by filing date | |
| VALLEY NATIONAL BANCORP-CW18 | 919794131 | WTS | 116,185 | $8,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-16-004357 | this filing | 2016-08-15 | acceptance time not in the bulk data set |