13F-HR filed by AQR Arbitrage LLC
AQR Arbitrage LLC filed this 13F-HR for the quarter ended 2018-12-31, filed 2019-02-14, with 574 holding rows worth $7,281,033,000.
- Accession
- 0001085146-19-000780
- Filer
- CIK 1167456
- Filed
- 2019-02-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2018
A holdings report, 574 entries on the cover page, a total value of $7,281,033,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $7,281,033,000 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 |
|---|---|---|---|---|---|---|
| NOVELLUS SYS INC | 670008AD3 | NOTE 2.625% 5/1 | 108,555,000 | $448,202,000 | thousands by filing date | principal |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 85,200,000 | $207,356,000 | thousands by filing date | principal |
| L3 TECHNOLOGIES INC | 502413107 | COM | 1,170,292 | $203,233,000 | thousands by filing date | |
| NXP SEMICONDUCTORS N V COM | N6596X109 | Stock | 2,384,779 | $174,757,000 | thousands by filing date | |
| ARRIS INTL INC SHS | G0551A103 | SHS | 5,095,389 | $155,766,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 40,654,000 | $147,203,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY INC | 458118106 | COMMON STOCK | 3,000,963 | $145,337,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 2,488,238 | $144,169,000 | thousands by filing date | |
| U S G CORP | 903293405 | COM NEW | 3,317,976 | $141,545,000 | thousands by filing date | |
| ESTERLINE TECHNOLOGIES CORP | 297425100 | COM | 1,158,960 | $140,756,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 96,500,000 | $136,397,000 | thousands by filing date | principal |
| VECTREN CORP | 92240G101 | COM | 1,815,310 | $130,666,000 | thousands by filing date | |
| RANDGOLD RES LTD | 752344309 | ADR | 1,506,772 | $129,075,000 | thousands by filing date | |
| TWENTY FIRST CENTY FOX INC | 90130A101 | CL A | 2,620,384 | $126,093,000 | thousands by filing date | |
| RED HAT INC | 756577102 | COM | 712,262 | $125,102,000 | thousands by filing date | |
| AVISTA CORP COM | 05379B107 | Stock | 2,816,358 | $119,639,000 | thousands by filing date | |
| SCANA CORP NEW | 80589M102 | COM | 2,474,877 | $118,250,000 | thousands by filing date | |
| DUN & BRADSTREET CORP DEL NE | 26483E100 | COM | 790,822 | $112,882,000 | thousands by filing date | |
| ATHENAHEALTH INC | 04685W103 | COMMON STOCK | 855,380 | $112,850,000 | thousands by filing date | |
| TRIBUNE COMPANY | 896047503 | COMMON | 2,430,253 | $110,285,000 | thousands by filing date | |
| MOLINA HEALTHCARE INC | 60855RAC4 | NOTE 1.125% 1/1 | 38,325,000 | $110,281,000 | thousands by filing date | principal |
| ORBOTECH LTD | M75253100 | ORD | 1,949,327 | $110,215,000 | thousands by filing date | |
| NXSTAGE MEDICAL INC | 67072V103 | COMMON STOCK | 3,684,861 | $105,461,000 | thousands by filing date | |
| ASPEN INSURANCE HOLDINGS LTD | G05384105 | SHS | 2,502,153 | $105,065,000 | thousands by filing date | |
| TESARO INC | 881569107 | COM | 1,226,783 | $91,089,000 | thousands by filing date | |
| SPRINT CORP | 85207U105 | COM SER 1 | 14,484,662 | $84,301,000 | thousands by filing date | |
| PALO ALTO NETWORKS INC | 697435AB1 | NOTE 7/0 | 48,400,000 | $82,257,000 | thousands by filing date | principal |
| NEWFIELD EXPL CO | 651290108 | COM | 5,554,579 | $81,430,000 | thousands by filing date | |
| MICRON TECHNOLOGY INC | 595112AV5 | NOTE 2.125% 2/1 | 27,379,000 | $79,311,000 | thousands by filing date | principal |
| BELMOND LTD | G1154H107 | COMMON STOCK-FO | 3,162,731 | $79,163,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 31,635,000 | $77,386,000 | thousands by filing date | principal |
| FINISAR CORP | 31787A507 | COM NEW | 3,418,268 | $73,835,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 33,950,000 | $57,125,000 | thousands by filing date | principal |
| HERBALIFE LTD | 42703MAB9 | NOTE 2.000% 8/1 | 40,000,000 | $55,264,000 | thousands by filing date | principal |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 44,275,000 | $55,068,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 55,941,000 | $54,994,000 | thousands by filing date | principal |
| CHESAPEAKE ENERGY CORP | 165167CY1 | NOTE 5.500% 9/1 | 67,825,000 | $54,759,000 | thousands by filing date | principal |
| NUTRI SYS INC NEW | 67069D108 | COM | 1,214,326 | $53,285,000 | thousands by filing date | |
| MB FINANCIAL INC | 55264U108 | COMMON STOCK | 1,232,585 | $48,847,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 6,584,898 | $48,728,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 10,091,078 | $47,024,000 | thousands by filing date | |
| APPTIO INC | 03835C108 | CL A | 1,207,846 | $45,850,000 | thousands by filing date | |
| ELECTRO SCIENTIFIC INDS | 285229100 | COM | 1,487,372 | $44,562,000 | thousands by filing date | |
| IMPERVA INC | 45321L100 | COM | 756,364 | $42,122,000 | thousands by filing date | |
| TERADYNE INC | 880770AG7 | NOTE | 34,450,000 | $40,931,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 20,000,000 | $39,609,000 | thousands by filing date | principal |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 33,075,000 | $36,910,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 24,250,000 | $35,696,000 | thousands by filing date | principal |
| NEVSUN RES LTD | 64156L101 | COM | 7,986,500 | $35,026,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 2,076,937 | $33,626,000 | thousands by filing date | |
| SENDGRID INC | 816883102 | COM | 767,534 | $33,134,000 | thousands by filing date | |
| FCB Financial Holdings Inc Cla | 30255G103 | COM | 939,124 | $31,536,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 26,500,000 | $30,873,000 | thousands by filing date | principal |
| INFRAREIT INC | 45685L100 | COM | 1,441,225 | $30,295,000 | thousands by filing date | |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 32,975,000 | $30,227,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 31,525,000 | $30,131,000 | thousands by filing date | principal |
| SHIRE PLC | 82481R106 | COMMON STOCK-FO | 162,242 | $28,237,000 | thousands by filing date | |
| MINDBODY INC | 60255W105 | COM CL A | 773,975 | $28,173,000 | thousands by filing date | |
| RESTORATION HARDWARE HLDGS I | 761283AC4 | DBCV 7/1 | 23,900,000 | $27,845,000 | thousands by filing date | principal |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 25,543,000 | $27,666,000 | thousands by filing date | principal |
| ISTAR INC | 45031UCB5 | NOTE 3.125% 9/1 | 30,350,000 | $27,422,000 | thousands by filing date | principal |
| NUVASIVE INC | 670704AG0 | NOTE 2.250% 3/1 | 25,401,000 | $26,797,000 | thousands by filing date | principal |
| STATE BANK FINL CORP COM | 856190103 | COM | 1,175,187 | $25,372,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T200 | UNIT 11/26/2025 | 2,500,000 | $24,825,000 | thousands by filing date | |
| INPHI CORP | 45772FAC1 | NOTE 0.750% 9/0 | 26,150,000 | $24,240,000 | thousands by filing date | principal |
| HURON CONSULTING GROUP INC | 447462AB8 | NOTE 1.250%10/0 | 23,955,000 | $23,593,000 | thousands by filing date | principal |
| FINTECH ACQUISITION CORP III | 31811A309 | UNIT 12/01/2023 | 2,300,000 | $23,069,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R200 | UNIT 01/07/2019 | 2,300,000 | $22,885,000 | thousands by filing date | |
| HORTONWORKS INC | 440894103 | COM | 1,567,016 | $22,596,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 23,600,000 | $21,999,000 | thousands by filing date | principal |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 1,547,421 | $21,834,000 | thousands by filing date | |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 717,037 | $21,683,000 | thousands by filing date | |
| TRAVELPORT WORLDWIDE LTD | G9019D104 | SHS | 1,325,466 | $20,704,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 23,575,000 | $20,369,000 | thousands by filing date | principal |
| WEATHERFORD INTL LTD | 947075AH0 | NOTE 5.875% 7/0 | 31,825,000 | $20,271,000 | thousands by filing date | principal |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 21,150,000 | $20,069,000 | thousands by filing date | principal |
| CF FIN ACQUISITION CORP | 12528N206 | UNIT 04/30/2025 | 2,000,000 | $20,000,000 | thousands by filing date | |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 20,000,000 | $19,532,000 | thousands by filing date | principal |
| TESLA INC | 88160RAD3 | NOTE 2.375% 3/1 | 15,750,000 | $19,149,000 | thousands by filing date | principal |
| PROSPECT CAP CORP | 74348TAR3 | NOTE 4.950% 7/1 | 19,250,000 | $18,481,000 | thousands by filing date | principal |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 440,124 | $18,221,000 | thousands by filing date | |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 18,875,000 | $18,173,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 18,450,000 | $18,022,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AD7 | BOND | 18,875,000 | $17,764,000 | thousands by filing date | principal |
| JBG SMITH PPTYS COM | 46590V100 | REIT | 508,510 | $17,701,000 | thousands by filing date | |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 23,000,000 | $17,460,000 | thousands by filing date | principal |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 764,088 | $17,161,000 | thousands by filing date | |
| REDWOOD TRUST INC | 758075AC9 | BOND | 18,575,000 | $17,065,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 19,244,000 | $17,045,000 | thousands by filing date | principal |
| ACORDA THERAPEUTICS INC | 00484MAA4 | NOTE 1.750% 6/1 | 20,325,000 | $16,918,000 | thousands by filing date | principal |
| CENTERPOINT ENERGY INC | 15189T503 | DEP RP PFD CV B | 331,450 | $16,720,000 | thousands by filing date | |
| MICRO FOCUS INTL PLC NPV ADR | 594837304 | SPON ADR NEW | 965,357 | $16,614,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 1,650,000 | $15,840,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 910,298 | $15,038,000 | thousands by filing date | |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 329,003 | $14,927,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950103 | ORD SHS | 1,530,000 | $14,765,000 | thousands by filing date | |
| EZCORP INC | 302301AB2 | NOTE 2.125% 6/1 | 15,075,000 | $14,751,000 | thousands by filing date | principal |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 216,851 | $14,501,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 19,700,000 | $14,357,000 | thousands by filing date | principal |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 698,537 | $14,355,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CORP | 80821R208 | UNIT EX 123123 | 1,440,000 | $14,328,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R100 | SHS CLASS A | 1,440,000 | $14,256,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAB7 | NOTE 2.000%12/0 | 14,500,000 | $14,163,000 | thousands by filing date | principal |
| INTEGRATED DEVICE TECHNOLOGY | 458118AC0 | NOTE 0.87511/1 | 9,000,000 | $13,964,000 | thousands by filing date | principal |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 1,440,000 | $13,939,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 1,440,000 | $13,896,000 | thousands by filing date | |
| J2 GLOBAL INC | 48123VAC6 | NOTE 3.250% 6/1 | 12,000,000 | $13,819,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 10,000,000 | $13,494,000 | thousands by filing date | principal |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 1,390,000 | $13,483,000 | thousands by filing date | |
| NAVIGATORS GROUP INC | 638904102 | COM | 191,845 | $13,331,000 | thousands by filing date | |
| ILLUMINA INC | 452327AF6 | NOTE 6/1 | 10,879,000 | $13,322,000 | thousands by filing date | principal |
| PARK HOTELS & RESORTS INC COM | 700517105 | REIT | 509,892 | $13,247,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 1,350,000 | $13,230,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 13,950,000 | $13,226,000 | thousands by filing date | principal |
| IRONWOOD PHARMACEUTICALS INC | 46333XAD0 | DBCV 2.250% 6/1 | 14,025,000 | $13,182,000 | thousands by filing date | principal |
| PRECIGEN INC | 46122TAA0 | NOTE 3.500% 7/0 | 18,800,000 | $13,159,000 | thousands by filing date | principal |
| UNION ACQUISITION CORP | G9366W101 | SHS | 1,250,000 | $12,588,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R103 | COM CL A | 1,300,000 | $12,415,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 455,155 | $12,326,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 1,229,800 | $12,298,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 1,235,000 | $12,128,000 | thousands by filing date | |
| BENEFICIAL BANCORP INC | 08171T102 | COM | 845,356 | $12,080,000 | thousands by filing date | |
| VAREX IMAGING CORP | 92214X106 | COMMON STOCK | 508,718 | $12,046,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 1,249,996 | $12,037,000 | thousands by filing date | |
| FRONTDOOR INC COM | 35905A109 | Stock | 452,254 | $12,034,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P100 | COM CL A | 1,191,100 | $11,947,000 | thousands by filing date | |
| Verastem Inc 5.00 per cent 11-2048 | 92337CAA2 | NOTE 5.000%11/0 | 15,000,000 | $11,772,000 | thousands by filing date | principal |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 12,000,000 | $11,398,000 | thousands by filing date | principal |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 252,288 | $11,368,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745105 | COM CLASS A | 1,150,000 | $11,351,000 | thousands by filing date | |
| BEMIS INC | 081437105 | COM | 246,917 | $11,333,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 12,500,000 | $11,232,000 | thousands by filing date | principal |
| VECTOR GROUP LTD | 92240MAY4 | CORPORATE OBLIG | 10,878,000 | $11,202,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 11,400,000 | $11,150,000 | thousands by filing date | principal |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 11,500,000 | $10,717,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,275,000 | $10,585,000 | thousands by filing date | principal |
| ARCOSA INC COM | 039653100 | Stock | 368,787 | $10,212,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 1,032,000 | $10,010,000 | thousands by filing date | |
| AKAMAI TECHNOLOGIES INC | 00971TAG6 | DBCV 2/1 | 10,000,000 | $9,963,000 | thousands by filing date | principal |
| BLUE HILLS BANCORP INC | 095573101 | COM | 466,340 | $9,952,000 | thousands by filing date | |
| CONDUENT INC | 206787103 | COM | 934,760 | $9,936,000 | thousands by filing date | |
| PANDORA MEDIA INC | 698354107 | COM | 1,224,188 | $9,904,000 | thousands by filing date | |
| ROWAN COMPANIES PLC | G7665A101 | SHS CL A | 1,163,866 | $9,765,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 114,571 | $9,756,000 | thousands by filing date | |
| AMYRIS INC | 03236MAF8 | NOTE 9.500 4/1 | 9,626,000 | $9,656,000 | thousands by filing date | principal |
| GARRETT MOTION INC | 366505105 | COM | 781,284 | $9,641,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A107 | SHS | 960,000 | $9,427,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 960,000 | $9,408,000 | thousands by filing date | |
| HILTON GRAND VACATIONS INC COM | 43283X105 | Stock | 351,225 | $9,269,000 | thousands by filing date | |
| TAHOE RES INC | 873868103 | COM | 2,519,027 | $9,194,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870107 | COM CLASS A | 899,960 | $9,009,000 | thousands by filing date | |
| BRIGHTHOUSE FINL INC | 10922N103 | COM | 295,024 | $8,992,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 900,000 | $8,856,000 | thousands by filing date | |
| VEONEER INC | 92336X109 | COM | 372,209 | $8,773,000 | thousands by filing date | |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 8,531,000 | $8,302,000 | thousands by filing date | principal |
| GUARANTY BANCORP | 40075T607 | COM | 396,709 | $8,232,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 849,996 | $8,219,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 8,150,000 | $8,104,000 | thousands by filing date | principal |
| PLATINUM EAGLE ACQUISITIN CO | G7126L100 | SHS CL A | 799,998 | $8,064,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L106 | COM CL A | 800,000 | $7,976,000 | thousands by filing date | |
| NEW FRONTIER CORP | G6485P108 | COM CL A | 800,000 | $7,840,000 | thousands by filing date | |
| INPHI CORP | 45772FAB3 | NOTE 1.125%12/0 | 7,325,000 | $7,722,000 | thousands by filing date | principal |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 799,998 | $7,720,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 7,500,000 | $7,384,000 | thousands by filing date | principal |
| ALLEGRO MERGER CORP | 01749N103 | COM | 750,000 | $7,313,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E109 | COM | 749,999 | $7,207,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 8,750,000 | $6,967,000 | thousands by filing date | principal |
| NEW MTN FIN CORP | 647551AC4 | BOND | 7,000,000 | $6,945,000 | thousands by filing date | principal |
| TELADOC HEALTH INC | 87918AAB1 | NOTE 3.000%12/1 | 5,000,000 | $6,881,000 | thousands by filing date | principal |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 71,225 | $6,849,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 675,000 | $6,818,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 838,808 | $6,727,000 | thousands by filing date | |
| Engility Holdings Inc | 29286C107 | COM | 236,216 | $6,723,000 | thousands by filing date | |
| RED HAT INC | 756577AD4 | NOTE 0.250%10/0 | 2,788,000 | $6,636,000 | thousands by filing date | principal |
| CITRIX SYS INC | 177376AD2 | NOTE 0.500% 4/1 | 4,625,000 | $6,578,000 | thousands by filing date | principal |
| PENSARE ACQUISITION CORP | 70957E105 | COM | 636,600 | $6,449,000 | thousands by filing date | |
| FORTIVE CORP | 34959J207 | PREFERRED | 7,025 | $6,387,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 168,126 | $6,352,000 | thousands by filing date | |
| RESOLUTE ENERGY CORP | 76116A306 | COM NEW | 218,298 | $6,326,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 646,700 | $6,241,000 | thousands by filing date | |
| ASSURANT INC | 04621X207 | 6.50% CONV PFD D | 62,125 | $6,104,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 6,000,000 | $6,082,000 | thousands by filing date | principal |
| MODERN MEDIA ACQUISITION | 60765P103 | COM | 595,031 | $6,069,000 | thousands by filing date | |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 6,000,000 | $6,041,000 | thousands by filing date | principal |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 421,616 | $6,038,000 | thousands by filing date | |
| RANGER OIL CORPORATION CLASS A COM | 70788V102 | Stock | 110,459 | $5,971,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 6,750,000 | $5,965,000 | thousands by filing date | principal |
| CARS COM INC | 14575E105 | COM | 273,103 | $5,872,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 599,996 | $5,850,000 | thousands by filing date | |
| ENCORE CAP GROUP INC | 292554AK8 | NOTE 3.250% 3/1 | 7,000,000 | $5,757,000 | thousands by filing date | principal |
| FINISAR CORP | 31787AAP6 | NOTE 0.500%12/1 | 6,000,000 | $5,710,000 | thousands by filing date | principal |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 550,000 | $5,418,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 540,000 | $5,292,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AC4 | NOTE 1.250% 5/0 | 7,375,000 | $5,184,000 | thousands by filing date | principal |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 522,777 | $5,134,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 5,000,000 | $4,944,000 | thousands by filing date | principal |
| PROS HOLDINGS INC | 74346YAD5 | NOTE 2.000% 6/0 | 5,000,000 | $4,664,000 | thousands by filing date | principal |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 5,000,000 | $4,631,000 | thousands by filing date | principal |
| MEDICINES CO | 584688AE5 | NOTE 2.500% 1/1 | 4,700,000 | $4,056,000 | thousands by filing date | principal |
| CM SEVEN STAR ACQUISITION CO | G2345N102 | SHS | 387,500 | $3,914,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 2,216 | $3,817,000 | thousands by filing date | |
| INTERDIGITAL INC | 458660AD9 | NOTE 1.500% 3/0 | 3,500,000 | $3,686,000 | thousands by filing date | principal |
| NEW YORK MTG TRUST | 649604AD7 | NOTE 6.250% 1/1 | 3,725,000 | $3,676,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327109 | COM | 12,116 | $3,634,000 | thousands by filing date | |
| INNOVIVA INC | 45781MAB7 | NOTE 2.500% 8/1 | 3,000,000 | $3,619,000 | thousands by filing date | principal |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 3,000,000 | $3,589,000 | thousands by filing date | principal |
| CONSTELLATION ALPHA CAP CORP | G2379F108 | SHS | 349,500 | $3,572,000 | thousands by filing date | |
| WIX COM LTD SHS | M98068105 | Stock | 37,633 | $3,400,000 | thousands by filing date | |
| Collier Creek Holdings | G22707106 | COM | 349,998 | $3,374,000 | thousands by filing date | |
| LEGACY RESERVES LP/ LEGACY F | 52471TAF4 | NOTE 8.000 9/2 | 10,000,000 | $3,000,000 | thousands by filing date | principal |
| INVACARE CORP | 461203AF8 | NOTE 5.000% 2/1 | 4,000,000 | $2,894,000 | thousands by filing date | principal |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 5,000,000 | $2,775,000 | thousands by filing date | principal |
| PRA GROUP INC | 69354NAB2 | Convertible Debt | 3,275,000 | $2,771,000 | thousands by filing date | principal |
| TESARO INC | 881569AA5 | NOTE 3.00010/0 | 1,200,000 | $2,616,000 | thousands by filing date | principal |
| GREEN BANCORP INC | 39260X100 | COM | 151,640 | $2,599,000 | thousands by filing date | |
| LIONSGATE STUDIOS CORP F | 316394105 | COM | 96,000 | $2,498,000 | thousands by filing date | |
| SELECT INCOME REIT | 81618T100 | COM SH BEN INT | 327,361 | $2,409,000 | thousands by filing date | |
| CARBONITE INC | 141337AB1 | NOTE 2.500% 4/0 | 2,000,000 | $2,388,000 | thousands by filing date | principal |
| NATIONAL HEALTH INVS INC | 63633DAE4 | NOTE 3.250% 4/0 | 2,000,000 | $2,199,000 | thousands by filing date | principal |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 23,000 | $2,176,000 | thousands by filing date | |
| HARMONIC INC | 413160AB8 | NOTE 4.000%12/0 | 2,000,000 | $2,116,000 | thousands by filing date | principal |
| BLACK RIDGE ACQUISITION CORP | 09216T107 | COM | 210,000 | $2,108,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 106,783 | $2,100,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 216,000 | $2,074,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 6,197 | $2,062,000 | thousands by filing date | |
| GOPRO INC | 38268TAB9 | NOTE 3.500% 4/1 | 2,500,000 | $2,059,000 | thousands by filing date | principal |
| MAGNACHIP SEMICONDUCTOR SA | 55932XAB0 | NOTE 5.000% 3/0 | 2,000,000 | $2,048,000 | thousands by filing date | principal |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 200,000 | $2,000,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 69,601 | $1,986,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 15,719 | $1,949,000 | thousands by filing date | |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 41,200 | $1,937,000 | thousands by filing date | |
| DELL TECHNOLOGIES INC CL C | 24703L202 | Stock | 38,200 | $1,867,000 | thousands by filing date | |
| CORENERGY INFRASTRUCTURE TR | 21870UAA4 | NOTE 7.000% 6/1 | 1,500,000 | $1,582,000 | thousands by filing date | principal |
| TIMKENSTEEL CORP | 887399AA1 | CONVERTIBLE BOND | 1,500,000 | $1,554,000 | thousands by filing date | principal |
| MEDICINES CO | 584688105 | COM | 80,854 | $1,548,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 134,116 | $1,522,000 | thousands by filing date | |
| AKORN INC | 009728106 | COM | 408,656 | $1,385,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 17,975 | $1,361,000 | thousands by filing date | |
| EXPEDIA GROUP INC COM NEW | 30212P303 | Stock | 12,022 | $1,354,000 | thousands by filing date | |
| NATIONAL COMM CORP | 63546L102 | COM | 37,002 | $1,332,000 | thousands by filing date | |
| BLACKROCK MUN TARGET TERM TR | 09257P105 | COM SHS BEN IN | 64,165 | $1,316,000 | thousands by filing date | |
| IVC 4 1/2 6/1/22 | 461203AH4 | CONVERTIBLE BOND | 1,950,000 | $1,315,000 | thousands by filing date | principal |
| RENEWABLE ENERGY GROUP INC | 75972AAA1 | NOTE 2.750 6/1 | 675,000 | $1,303,000 | thousands by filing date | principal |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 103,744 | $1,301,000 | thousands by filing date | |
| NUVEEN CA DIVI ADV MUN | 67066Y105 | COM | 101,257 | $1,291,000 | thousands by filing date | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 101,697 | $1,252,000 | thousands by filing date | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 110,704 | $1,238,000 | thousands by filing date | |
| WYNN RESORTS LTD | 983134107 | COM | 12,450 | $1,231,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY | 09254E103 | COM | 100,475 | $1,211,000 | thousands by filing date | |
| GUIDEWIRE SOFTWARE INC COM | 40171V100 | Stock | 15,046 | $1,207,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 1,115,000 | $1,193,000 | thousands by filing date | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 87,748 | $1,186,000 | thousands by filing date | |
| NUVEEN AMT FREE MUN CR INC F | 67071L106 | COM | 84,668 | $1,184,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N Y QUAL | 09255E102 | COM | 102,289 | $1,178,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 104,185 | $1,176,000 | thousands by filing date | |
| BLACKROCK CALIFORNIA MUNICIPAL | 09248E102 | SH BEN INT | 97,494 | $1,167,000 | thousands by filing date | |
| NUVEEN NEW YORK AMT QLT MUNI | 670656107 | COM | 99,906 | $1,164,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 91,454 | $1,157,000 | thousands by filing date | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 90,630 | $1,149,000 | thousands by filing date | |
| INVESCO TR INVT GRADE MUNS | 46131M106 | COM | 97,325 | $1,117,000 | thousands by filing date | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 98,731 | $1,108,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 1,330,000 | $1,100,000 | thousands by filing date | principal |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254N103 | COM | 86,094 | $1,088,000 | thousands by filing date | |
| BLACKROCK MUNIHLDNGS CALI | 09254L107 | COM | 87,754 | $1,082,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 1,000,000 | $1,073,000 | thousands by filing date | principal |
| BLACKROCK MUNIHOLDINGS INVESTM | 09254P108 | COM | 83,928 | $1,069,000 | thousands by filing date | |
| ENBRIDGE INC COM | 29250N105 | Stock | 33,984 | $1,056,000 | thousands by filing date | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 93,910 | $1,046,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745113 | *W EXP 02/12/202 | 2,250,000 | $1,013,000 | thousands by filing date | |
| HUNTER MARITIME ACQUISITION | Y37828111 | CL A | 100,000 | $1,004,000 | thousands by filing date | |
| NUVEEN NEW JERSEY QULT MUN F | 67069Y102 | COM | 78,343 | $998,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NY QLTY | 09255C106 | COM | 82,388 | $987,000 | thousands by filing date | |
| EZCORP INC | 302301AF3 | NOTE2.875% 7/0 | 1,000,000 | $987,000 | thousands by filing date | principal |
| PURE ACQUISITION CORP | 74621Q114 | *W EXP 04/17/202 | 862,500 | $983,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CORP SHS CL A | G3165V109 | COM | 100,000 | $980,000 | thousands by filing date | |
| PUTNAM MUNICIPAL OPPORTUNITIES | 746922103 | SH BEN INT | 86,829 | $975,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 100,000 | $970,000 | thousands by filing date | |
| VITAMIN SHOPPE INC | 92849EAB7 | NOTE 2.25012/0 | 1,000,000 | $953,000 | thousands by filing date | principal |
| INTREXON CORP | 46122T102 | COM | 144,759 | $947,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 91,267 | $940,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 69,888 | $923,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 16,899 | $912,000 | thousands by filing date | |
| BLACKROCK MUNIHLDGS NJ QLTY | 09254X101 | COM | 72,493 | $912,000 | thousands by filing date | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 66,695 | $895,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD QUALITY FU | 09254F100 | COM | 68,746 | $892,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 68,652 | $889,000 | thousands by filing date | |
| TRINITY MERGER CORP | 89653L114 | *W EXP 05/11/202 | 2,250,000 | $889,000 | thousands by filing date | |
| ALLIANCE NATIONAL MUNICIPAL IN | 01864U106 | COM | 72,280 | $877,000 | thousands by filing date | |
| ONE MADISON CORP | G6772P126 | *W EXP 99/99/999 | 1,125,000 | $877,000 | thousands by filing date | |
| Cigna Corporation | 125523100 | COM | 4,541 | $862,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD CALIFORNIA | 09254M105 | COM | 65,803 | $850,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 67,970 | $844,000 | thousands by filing date | |
| NUVEEN NY DIVI ADV | 67066X107 | COM | 67,079 | $822,000 | thousands by filing date | |
| TRANSMONTAIGNE PARTNERS L P | 89376V100 | COM UNIT L P | 20,221 | $821,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUNS INC | 261932107 | COM | 113,706 | $816,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N111 | *W EXP 05/11/202 | 1,620,000 | $810,000 | thousands by filing date | |
| BLACKROCK MUNICIPAL INCOME QUA | 092479104 | COM | 64,384 | $804,000 | thousands by filing date | |
| INVESCO ADVANTAGE MUN INCOME | 46132E103 | SH BEN INT | 80,959 | $799,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 21,785 | $786,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 27,936 | $780,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 31,800 | $774,000 | thousands by filing date | |
| BLACKROCK MUNIENHANCED FD IN | 09253Y100 | COM | 78,131 | $773,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 21,184 | $763,000 | thousands by filing date | |
| JENSYN ACQUISITION CORP | 47632B102 | COM | 69,000 | $759,000 | thousands by filing date | |
| MTECH ACQUISITION CORP | 55378W107 | COM CLASS A | 75,000 | $755,000 | thousands by filing date | |
| EATON VANCE CALIFORNIA MUNI BO | 27828A100 | COM | 76,155 | $754,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 60,254 | $751,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E117 | *W EXP 04/11/202 | 599,999 | $738,000 | thousands by filing date | |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 62,917 | $737,000 | thousands by filing date | |
| NUVEEN PA INVT QUALITY MUN F | 670972108 | COM | 60,046 | $733,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 1,620,000 | $729,000 | thousands by filing date | |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 63,735 | $721,000 | thousands by filing date | |
| GRAF INDL CORP | 384278115 | Stock | 1,782,000 | $713,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 52,696 | $701,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 23,115 | $700,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 191,430 | $697,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 57,915 | $690,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 27,760 | $683,000 | thousands by filing date | |
| OIL STS INTL INC | 678026105 | COM | 47,387 | $677,000 | thousands by filing date | |
| DREYFUS STRATEGIC MUN BD FD | 26202F107 | COM | 94,169 | $657,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 55,855 | $655,000 | thousands by filing date | |
| DISCOVERY INC | 25470F302 | COM SER C | 28,190 | $651,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950137 | RIGHT 02/20/2020 | 1,850,000 | $648,000 | thousands by filing date | |
| PGIM HIGH YIELD BOND FUND IN | 69346H100 | COM | 49,371 | $643,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 29,037 | $640,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 46,900 | $635,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 22,100 | $631,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 53,154 | $627,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F110 | *W EXP 06/12/202 | 500,000 | $625,000 | thousands by filing date | |
| PGIM GLOBAL HIGH YIELD FUND IN | 69346J106 | COM | 47,761 | $617,000 | thousands by filing date | |
| CHURCHILL CAP CORP | 17142R111 | *W EXP 09/11/202 | 697,500 | $607,000 | thousands by filing date | |
| ALLIANCEBERNSTEIN GLOBAL HIG | 01879R106 | COM | 57,266 | $603,000 | thousands by filing date | |
| THUNDER BRIDGE ACQUISITION L | G8857R126 | *W EXP 01/01/202 | 1,620,000 | $599,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 29,751 | $596,000 | thousands by filing date | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 45,845 | $592,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A111 | W EXP 04/10/202 | 810,000 | $592,000 | thousands by filing date | |
| VALERO ENERGY PARTNERS LP | 91914J102 | COM UNT REP LP | 13,821 | $583,000 | thousands by filing date | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 50,864 | $581,000 | thousands by filing date | |
| BLACKROCK CREDIT ALLOCATION IN | 092508100 | COM | 51,939 | $581,000 | thousands by filing date | |
| PUTNAM MANAGED MUN INCOME TR | 746823103 | COM | 85,222 | $573,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 67,179 | $561,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 34,400 | $560,000 | thousands by filing date | |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 42,042 | $558,000 | thousands by filing date | |
| INVESCO DYNAMIC CR OPPORTUNI | 46132R104 | COM | 53,856 | $553,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 9,657 | $551,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 20,646 | $547,000 | thousands by filing date | |
| NUVEEN CR STRATEGIES INCOME | 67073D102 | COM SHS | 73,400 | $543,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 12,745 | $537,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 46,278 | $531,000 | thousands by filing date | |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 56,755 | $527,000 | thousands by filing date | |
| BLACKROCK INVESTMENT QUALITY M | 09247D105 | COM | 39,699 | $524,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 46,405 | $523,000 | thousands by filing date | |
| WESTERN GAS PARTNERS LP | 958254104 | COM UNIT LP IN | 12,341 | $521,000 | thousands by filing date | |
| TRANSOCEAN LTD REGISTERED SHS | H8817H100 | Stock | 74,055 | $514,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 30,300 | $514,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 54,753 | $513,000 | thousands by filing date | |
| WESTERN ASSET HIGH INCOM FD | 95766J102 | COM | 88,508 | $510,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 34,818 | $507,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 15,700 | $504,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K116 | *W EXP 06/22/202 | 1,200,000 | $504,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 80,943 | $499,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 625,000 | $494,000 | thousands by filing date | |
| TEMPLETON GLOBAL INCOME FD | 880198106 | COM | 81,749 | $493,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP | 420870115 | *W EXP 10/27/202 | 599,990 | $492,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 34,461 | $491,000 | thousands by filing date | |
| ANDEAVOR LOGISTICS LP NPV | 03350F106 | COM UNIT LP INT | 15,100 | $491,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 409,500 | $491,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 38,842 | $487,000 | thousands by filing date | |
| NEUBERGER BERMAN MUN FD INC | 64124P101 | COM | 37,689 | $477,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 440,925 | $476,000 | thousands by filing date | |
| UNION ACQUISITION CORP | G9366W135 | RIGHT 12/02/2019 | 1,250,000 | $475,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 39,629 | $472,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 48,221 | $471,000 | thousands by filing date | |
| GABELLI DIVID & INCOME TR | 36242H104 | COM | 25,634 | $469,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 64,391 | $464,000 | thousands by filing date | |
| ALLIANZGI DIVIDEND INT & PRM | 01883A107 | COM | 43,391 | $463,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F117 | *W EXP 08/26/202 | 1,153,800 | $462,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 36,389 | $461,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 24,171 | $461,000 | thousands by filing date | |
| U S WELL SVCS INC | 91274U119 | *W EXP 03/15/202 | 757,700 | $455,000 | thousands by filing date | |
| COHEN & STEERS QUALITY INCOME | 19247L106 | COM | 43,608 | $452,000 | thousands by filing date | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 40,950 | $449,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 46,948 | $447,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 24,165 | $446,000 | thousands by filing date | |
| ENLINK MIDSTREAM PARTNERS LP | 29336U107 | COM UNIT REP LTD | 39,709 | $437,000 | thousands by filing date | |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 45,127 | $436,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 36,598 | $434,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G117 | *W EXP 09/11/202 | 333,332 | $433,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 9,980 | $432,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788115 | *W EXP 07/30/202 | 1,106,820 | $431,000 | thousands by filing date | |
| MFS MUNICIPAL INCOME TRUST | 552738106 | SH BEN INT | 69,841 | $429,000 | thousands by filing date | |
| BLACKROCK LIMITED DURATION INC | 09249W101 | COM SHS | 31,935 | $427,000 | thousands by filing date | |
| BLACKROCK MULTI-SECTOR INCOME | 09258A107 | COM | 27,727 | $426,000 | thousands by filing date | |
| MODERN MEDIA ACQUISITION | 60765P129 | RIGHT 99/99/9999 | 1,700,000 | $425,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 23,610 | $424,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 35,617 | $423,000 | thousands by filing date | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 30,976 | $422,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784122 | *W EXP 08/27/202 | 434,999 | $422,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A131 | RIGHT 12/22/2019 | 1,200,000 | $420,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 40,794 | $419,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 37,274 | $417,000 | thousands by filing date | |
| COHEN & STEERS REIT AND PREFER | 19247X100 | COM | 23,338 | $415,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643111 | *W EXP 11/30/202 | 1,250,000 | $414,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N114 | RIGHT 03/06/2020 | 1,500,000 | $412,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 1,057,500 | $412,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 29,599 | $408,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 57,744 | $408,000 | thousands by filing date | |
| EATON VANCE NEW YORK MUN BD | 27827Y109 | COM | 37,077 | $408,000 | thousands by filing date | |
| NEW FRONTIER HEA | G6485P124 | EQUITY WRT | 450,000 | $405,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 33,029 | $404,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 13,800 | $400,000 | thousands by filing date | |
| CVS Health Corporation | 126650100 | COM | 6,084 | $399,000 | thousands by filing date | |
| BLACKROCK ENHANCED EQUITY DI | 09251A104 | COM | 50,988 | $396,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 31,590 | $396,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 31,299 | $393,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 299,999 | $390,000 | thousands by filing date | |
| KBL MERGER CORP IV RT | 48242A120 | Common Stock | 1,000,000 | $390,000 | thousands by filing date | |
| CONCRETE PUMPING HLDGS INC | 206704116 | *W EXP 08/01/202 | 500,000 | $390,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 31,264 | $384,000 | thousands by filing date | |
| ALLSPRING INCOME OPPORTUNITIES | 94987B105 | INC OPPTY FD | 52,631 | $381,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 34,119 | $376,000 | thousands by filing date | |
| WESTERN ASSET GLOBAL HIGH INCO | 95766B109 | COM | 45,105 | $373,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 32,865 | $372,000 | thousands by filing date | |
| INVESCO CALIF VALUE MUNI INCOM | 46132H106 | COM | 32,726 | $370,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 22,409 | $368,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 17,439 | $365,000 | thousands by filing date | |
| ANTERO MIDSTREAM GP LP | 03675Y103 | COM SHS REPSTG | 32,600 | $364,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 29,138 | $361,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 60,150 | $361,000 | thousands by filing date | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 26,702 | $360,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 36,602 | $360,000 | thousands by filing date | |
| INVESCO TR INVT GRADE NEW YO | 46131T101 | COM | 29,935 | $357,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS FD II | 09253P109 | COM | 27,377 | $355,000 | thousands by filing date | |
| AMERIGAS PARTNERS MLP | 030975106 | COM | 13,864 | $351,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 34,700 | $349,000 | thousands by filing date | |
| PLATINUM EAGLE ACQUISITIN CO | G7126L118 | *W EXP 01/17/202 | 266,666 | $347,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 13,469 | $345,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 29,095 | $343,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 23,664 | $341,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 24,333 | $335,000 | thousands by filing date | |
| DWS STRATEGIC MUN INCOME TR | 23342Q101 | COM | 32,400 | $334,000 | thousands by filing date | |
| BLACKROCK MUN BD TR | 09249H104 | COM | 24,678 | $330,000 | thousands by filing date | |
| GOPRO INC | 38268T103 | CL A | 77,342 | $328,000 | thousands by filing date | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 23,543 | $327,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 65,376 | $326,000 | thousands by filing date | |
| COHEN & STEERS INFRASTRUCTUR | 19248A109 | COM | 16,464 | $325,000 | thousands by filing date | |
| PRIORITY TECHNOLOGY HLDGS IN | 74275G115 | *W EXP 11/15/202 | 250,000 | $325,000 | thousands by filing date | |
| NUVEEN GA DIVID | 67072B107 | COM | 29,260 | $320,000 | thousands by filing date | |
| GENERAL AMERICAN INVESTORS CO | 368802104 | COM | 11,060 | $315,000 | thousands by filing date | |
| DREYFUS MUN BD INFRSTRCTR FD | 26203D101 | SHS | 26,442 | $314,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076118 | *W EXP 03/12/202 | 233,332 | $314,000 | thousands by filing date | |
| UNION ACQUISITION CORP | G9366W127 | *W EXP 07/01/202 | 1,250,000 | $313,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 343,006 | $312,000 | thousands by filing date | |
| Brooge Holdings ltd | G9145A115 | *W EXP 12/20/202 | 1,200,000 | $312,000 | thousands by filing date | |
| NUVEEN INTERMEDIATE DURATION M | 670671106 | COM | 25,136 | $311,000 | thousands by filing date | |
| PIONEER HIGH INCOME FUND INC | 72369H106 | COM | 39,038 | $311,000 | thousands by filing date | |
| DREYFUS MUN INCOME INC | 26201R102 | COM | 39,490 | $301,000 | thousands by filing date | |
| CM SEVEN STAR ACQUISITION CO | G2345N136 | RIGHT 08/21/2022 | 750,000 | $300,000 | thousands by filing date | |
| BARINGS GLOBAL SHORT DURATIO | 06760L100 | COM | 18,497 | $295,000 | thousands by filing date | |
| IVY HIGH INCOME OPPORTUNITIE | 465893105 | COM | 24,294 | $295,000 | thousands by filing date | |
| KLX ENERGY SERVICS HOLDNGS I | 48253L106 | COM | 12,542 | $294,000 | thousands by filing date | |
| PENSARE ACQUISITION CORP | 70957E121 | RIGHT 99/99/9999 | 1,000,000 | $290,000 | thousands by filing date | |
| JOHN HANCOCK TAX-ADVANTAGED DI | 41013V100 | COM | 14,149 | $289,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 20,833 | $287,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 31,713 | $286,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 24,337 | $281,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 136,752 | $278,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950129 | *W EXP 02/20/202 | 1,850,000 | $278,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 17,500 | $272,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N122 | *W EXP 06/08/202 | 1,125,000 | $272,000 | thousands by filing date | |
| WTS/ALLEGRO MERGER CORP EXP01/06/25 | 01749N111 | WARR | 900,000 | $270,000 | thousands by filing date | |
| FIRST TR DYNAMIC EUROPE EQUI | 33740D107 | COM SHS | 21,346 | $270,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 45,729 | $268,000 | thousands by filing date | |
| STARWOOD PPTY TR INC COM | 85571B105 | REIT | 13,533 | $267,000 | thousands by filing date | |
| CALAMOS CONVERTIBLE OPPORTUNIT | 128117108 | SH BEN INT | 29,464 | $261,000 | thousands by filing date | |
| ALLEGRO MERGER CORP-RTS | 01749N129 | RIGHT 12/31/2023 | 900,000 | $261,000 | thousands by filing date | |
| ALLSPRING MULTI SECTOR INCOM | 94987D101 | COM | 23,423 | $260,000 | thousands by filing date | |
| ALLIANCE CALIFORNIA MUNICIPAL | 018546101 | COM | 18,969 | $259,000 | thousands by filing date | |
| EATON VANCE TAX ADVANTAGED GLO | 27828S101 | COM | 19,036 | $258,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A128 | *W EXP 10/25/202 | 324,900 | $253,000 | thousands by filing date | |
| MAGNOLIA OIL & GAS CORP | 559663117 | *W EXP 07/31/202 | 83,333 | $252,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 45,580 | $251,000 | thousands by filing date | |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 19,042 | $250,000 | thousands by filing date | |
| FRANKLIN LTD DURATION INCOME | 35472T101 | COM | 27,679 | $250,000 | thousands by filing date | |
| BLACKROCK MUN INCOME TR | 09248F109 | SH BEN INT | 20,215 | $246,000 | thousands by filing date | |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 12,902 | $243,000 | thousands by filing date | |
| GAIN CAP HLDGS INC | 36268WAF7 | NOTE 5.000% 8/1 | 225,000 | $232,000 | thousands by filing date | principal |
| NUVEEN ENHANCED MUNICIPAL VALU | 67074M101 | COM | 17,907 | $230,000 | thousands by filing date | |
| BROOKFIELD GLOBL LISTED INFR | 11273Q109 | COM SHS | 22,507 | $228,000 | thousands by filing date | |
| WESTERN ASSET MANAGED MUNS F | 95766M105 | COM | 17,136 | $218,000 | thousands by filing date | |
| WSTRN AST GLBL CORP OPP FD I | 95790C107 | COM | 14,568 | $218,000 | thousands by filing date | |
| NUVEEN TEXAS QUAL MUN IN | 670983105 | COM | 17,536 | $217,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 5,077 | $213,000 | thousands by filing date | |
| ORGANOGENESIS HLDGS INC | 68621F110 | *W EXP 10/07/202 | 1,000,000 | $210,000 | thousands by filing date | |
| EATON VANCE SHORT DURATION D | 27828V104 | COM | 16,570 | $206,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R130 | RIGHT 07/17/2023 | 270,000 | $204,000 | thousands by filing date | |
| NUVEEN REAL ESTATE INCOME FD | 67071B108 | COM | 23,933 | $202,000 | thousands by filing date | |
| VIRTUS TOTAL RETURN FUND INC | 92837G100 | COM | 22,175 | $192,000 | thousands by filing date | |
| KKR INCOME OPPORTUNITIES FD | 48249T106 | COM | 13,418 | $191,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 26,740 | $191,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-000780 | this filing | 2019-02-14 | acceptance time not in the bulk data set |