13F-HR filed by AQR Arbitrage LLC
AQR Arbitrage LLC filed this 13F-HR for the quarter ended 2019-09-30, filed 2019-11-14, with 449 holding rows worth $6,833,779,000.
- Accession
- 0001085146-19-003012
- Filer
- CIK 1167456
- Filed
- 2019-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2019
A holdings report, 449 entries on the cover page, a total value of $6,833,779,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,833,779,000 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 LLC028-10120
- included managerAQR Capital Management Holdings, LLC028-16752
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 | 80,783,000 | $578,475,000 | thousands by filing date | principal |
| SUNTRUST BANKS INC | 867914103 | COM | 3,142,940 | $216,234,000 | thousands by filing date | |
| MEDIDATE SOLUTIONS INC | 58471A105 | COM | 2,097,920 | $191,960,000 | thousands by filing date | |
| WABCO HLDGS INC | 92927K102 | COM | 1,429,797 | $191,235,000 | thousands by filing date | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 93,800,000 | $177,912,000 | thousands by filing date | principal |
| ZAYO GROUP HLDGS INC COM | 98919V105 | Stock | 4,859,244 | $164,728,000 | thousands by filing date | |
| CYPRESS SEMICONDUCTOR CORP | 232806109 | COM | 6,983,287 | $162,990,000 | thousands by filing date | |
| ALLERGAN PLC | G0177J108 | SHS | 926,096 | $155,853,000 | thousands by filing date | |
| ADVANCED MICRO DEVICES INC | 007903BD8 | COM | 40,000,000 | $149,145,000 | thousands by filing date | principal |
| SPRINT CORP | 85207U105 | COM SER 1 | 22,420,593 | $138,335,000 | thousands by filing date | |
| MELLANOX TECHNOLOGIES LTD | M51363113 | COMMON STOCK | 1,248,175 | $136,787,000 | thousands by filing date | |
| VERSUM MATLS INC | 92532W103 | COM | 2,521,740 | $133,476,000 | thousands by filing date | |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 505,470 | $131,003,000 | thousands by filing date | |
| ACACIA COMMUNICATIONS INC | 00401C108 | COM | 1,996,120 | $130,546,000 | thousands by filing date | |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 38,204,000 | $127,989,000 | thousands by filing date | principal |
| ADVANCED DISP SVCS INC DEL | 00790X101 | COM | 3,905,576 | $127,205,000 | thousands by filing date | |
| CELGENE CORP | 151020104 | COM | 1,255,337 | $124,655,000 | thousands by filing date | |
| GENESEE & WYOMING INC | 371559105 | CL A | 845,290 | $93,413,000 | thousands by filing date | |
| CZR | 127686103 | Stock | 7,802,046 | $90,972,000 | thousands by filing date | |
| MERCADOLIBRE INC | 58733RAD4 | NOTE 2.000% 8/1 | 56,575,000 | $83,334,000 | thousands by filing date | principal |
| SPARK THERAPEUTICS INC | 84652J103 | COM | 857,478 | $83,158,000 | thousands by filing date | |
| SQUARE INC | 852234AB9 | NOTE 0.375% 3/0 | 28,195,000 | $76,891,000 | thousands by filing date | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AH7 | NOTE 2.250% 2/1 | 57,185,000 | $73,723,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAF8 | NOTE 0.250%10/0 | 42,500,000 | $55,925,000 | thousands by filing date | principal |
| SPLUNK INC | 848637AD6 | BOND | 50,700,000 | $55,675,000 | thousands by filing date | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 55,525,000 | $54,878,000 | thousands by filing date | principal |
| AEROJET ROCKETDYNE HLDGS INC | 007800AB1 | NOTE 2.250%12/1 | 26,750,000 | $53,416,000 | thousands by filing date | principal |
| VIACOM INC | 92553P201 | CL B | 2,206,711 | $53,027,000 | thousands by filing date | |
| EL PASO ELECTRIC CO | 283677854 | COM NEW | 789,937 | $52,989,000 | thousands by filing date | |
| GENWORTH FINL INC | 37247D106 | COM SHS | 11,285,319 | $49,655,000 | thousands by filing date | |
| ALTABA INC | 021346101 | COM | 2,488,238 | $48,471,000 | thousands by filing date | |
| CARRIZO OIL & GAS INC | 144577103 | COM | 5,324,549 | $45,711,000 | thousands by filing date | |
| MANDIANT INC | 31816QAF8 | NOTE 0.875% 6/0 | 48,075,000 | $45,288,000 | thousands by filing date | principal |
| ZENDESK INC | 98936JAB7 | NOTE 0.250% 3/1 | 34,125,000 | $45,232,000 | thousands by filing date | principal |
| RAYTHEON CO | 755111507 | COM NEW | 227,308 | $44,596,000 | thousands by filing date | |
| SOTHEBYS | 835898107 | COM | 687,697 | $39,185,000 | thousands by filing date | |
| SERVICENOW INC | 81762PAC6 | NOTE 6/0 | 19,782,000 | $37,912,000 | thousands by filing date | principal |
| NEXTERA ENERGY INC | 65339F796 | COM | 725,000 | $36,522,000 | thousands by filing date | |
| PACIFIC BIOSCIENCES CALIF INC COM | 69404D108 | Stock | 6,867,971 | $35,439,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 32,950,000 | $34,820,000 | thousands by filing date | principal |
| CLEVELAND CLIFFS INC | 185899AA9 | DBCV 1.500% 1/1 | 32,050,000 | $34,804,000 | thousands by filing date | principal |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 36,675,000 | $33,694,000 | thousands by filing date | principal |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 33,025,000 | $33,625,000 | thousands by filing date | principal |
| LEGACY TEX FINL GROUP INC | 52471Y106 | COM | 761,146 | $33,133,000 | thousands by filing date | |
| CHEGG INC | 163092AB5 | NOTE 0.250% 5/1 | 24,300,000 | $31,140,000 | thousands by filing date | principal |
| COLFAX CORP | 194014205 | UNIT 01/15/2022T | 237,725 | $30,973,000 | thousands by filing date | |
| SYNAPTICS INC | 87157DAD1 | NOTE 0.500% 6/1 | 32,703,000 | $30,536,000 | thousands by filing date | principal |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 24,960,000 | $30,504,000 | thousands by filing date | principal |
| CAMBREX CORP | 132011107 | COM | 511,475 | $30,433,000 | thousands by filing date | |
| TTM TECHNOLOGIES INC | 87305RAD1 | NOTE 1.750%12/1 | 22,250,000 | $29,722,000 | thousands by filing date | principal |
| CARBON BLACK INC | 14081R103 | COM | 1,131,128 | $29,398,000 | thousands by filing date | |
| ALLEGHENY TECHNOLOGIES INC | 01741RAG7 | NOTE | 18,525,000 | $29,090,000 | thousands by filing date | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 33,825,000 | $28,138,000 | thousands by filing date | principal |
| ETSY INC | 29786AAC0 | NOTE 3/0 | 16,500,000 | $27,834,000 | thousands by filing date | principal |
| AMAG PHARMACEUTICALS INC | 00163UAD8 | NOTE 3.250% 6/0 | 31,875,000 | $26,297,000 | thousands by filing date | principal |
| II VI INC | 902104AB4 | NOTE 0.250% 9/0 | 25,050,000 | $25,918,000 | thousands by filing date | principal |
| PIVOTAL SOFTWARE INC | 72582H107 | COM CL A | 1,728,899 | $25,795,000 | thousands by filing date | |
| GANNETT SPINCO INC | 36473H104 | COM | 2,328,573 | $25,009,000 | thousands by filing date | |
| MILACRON HLDGS CORP | 59870L106 | COM | 1,495,800 | $24,935,000 | thousands by filing date | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 17,950,000 | $24,622,000 | thousands by filing date | principal |
| MERITOR INC | 59001KAF7 | NOTE 3.250%10/1 | 25,075,000 | $24,600,000 | thousands by filing date | principal |
| RMG ACQUISITION CORP | 749641106 | CL A | 2,499,996 | $24,450,000 | thousands by filing date | |
| SFL CORPORATION LTD | G81075AF3 | NOTE 5.750%10/1 | 23,325,000 | $24,420,000 | thousands by filing date | principal |
| TRINE ACQUISITION CORP | 89628U108 | COM CL A | 2,300,000 | $22,701,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H100 | COM CL A | 2,299,998 | $22,586,000 | thousands by filing date | |
| CHANGE HEALTHCARE INC | 15912K209 | UNIT 99/99/9999 | 465,675 | $22,222,000 | thousands by filing date | |
| DYCOM INDS INC | 267475AB7 | NOTE 0.750% 9/1 | 22,898,000 | $22,088,000 | thousands by filing date | principal |
| CONNECTICUT WTR SVC INC | 207797101 | COM | 312,956 | $21,926,000 | thousands by filing date | |
| INFINERA CORP | 45667GAC7 | BOND | 25,075,000 | $21,880,000 | thousands by filing date | principal |
| PRICELINE GRP INC | 741503AS5 | NOTE 0.350% 6/1 | 14,200,000 | $21,269,000 | thousands by filing date | principal |
| WORKDAY INC | 98138HAD3 | NOTE 1.500% 7/1 | 10,000,000 | $20,929,000 | thousands by filing date | principal |
| VEECO INSTRS INC DEL | 922417AD2 | NOTE 2.700% 1/1 | 23,000,000 | $20,589,000 | thousands by filing date | principal |
| TORTOISE ACQUISITION CORP | 89154L100 | CL A | 2,077,938 | $20,322,000 | thousands by filing date | |
| OPTIMUM COMMUNICATIONS INC | 02156K103 | CL A | 703,195 | $20,062,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 2,000,000 | $19,900,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L101 | COM CL A | 1,999,998 | $19,800,000 | thousands by filing date | |
| RH | 74967XAA1 | BOND | 18,250,000 | $19,796,000 | thousands by filing date | principal |
| THERAVANCE INC | 88338TAB0 | CORPORATE OBLIG | 20,743,000 | $19,576,000 | thousands by filing date | principal |
| GANNETT CO INC | 36473HAB0 | NOTE 4.750% 4/1 | 18,050,000 | $19,552,000 | thousands by filing date | principal |
| CREE INC | 225447AB7 | NOTE 0.875% 9/0 | 17,750,000 | $19,526,000 | thousands by filing date | principal |
| LIGAND PHARMACEUTICALS INC | 53220KAF5 | NOTE 0.750% 5/1 | 23,325,000 | $19,499,000 | thousands by filing date | principal |
| APOLLO COML REAL ESTATE FIN | 03762UAC9 | BOND | 18,650,000 | $19,165,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AD7 | BOND | 18,675,000 | $19,007,000 | thousands by filing date | principal |
| SEACOR HOLDINGS INC | 811904AM3 | NOTE 2.500%12/1 | 19,244,000 | $18,957,000 | thousands by filing date | principal |
| EXACT SCIENCES CORP | 30063PAA3 | NOTE 1.000% 1/1 | 13,337,000 | $18,855,000 | thousands by filing date | principal |
| FRONTDOOR INC COM | 35905A109 | Stock | 378,799 | $18,398,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AE5 | BOND | 15,000,000 | $18,110,000 | thousands by filing date | principal |
| HERCULES CAPITAL INC | 427096AF9 | DBCV 4.375% 2/0 | 17,425,000 | $17,882,000 | thousands by filing date | principal |
| ILLUMINA INC | 452327109 | COM | 58,622 | $17,815,000 | thousands by filing date | |
| ZILLOW GROUP INC | 98954MAC5 | NOTE 1.500% 7/0 | 19,900,000 | $17,574,000 | thousands by filing date | principal |
| BLACKSTONE MTG TR INC | 09257WAC4 | NOTE 4.750% 3/1 | 16,675,000 | $17,488,000 | thousands by filing date | principal |
| LANDCADIA HLDGS II INC | 51476X105 | CL A | 1,749,996 | $17,097,000 | thousands by filing date | |
| OASIS PETE INC NEW | 674215AJ7 | NOTE | 22,500,000 | $16,714,000 | thousands by filing date | principal |
| SWITCHBACK ENERGY ACQUISTN C | 87105M102 | COM CL A | 1,699,998 | $16,507,000 | thousands by filing date | |
| PROSPECT CAP CORP | 74348TAT9 | BOND | 15,500,000 | $16,470,000 | thousands by filing date | principal |
| REDWOOD TRUST INC | 758075AC9 | BOND | 16,475,000 | $16,459,000 | thousands by filing date | principal |
| OPKO HEALTH INC | 68375NAD5 | NOTE 4.500% 2/1 | 19,875,000 | $16,317,000 | thousands by filing date | principal |
| HOPE BANCORP INC | 43940TAB5 | NOTE 2.000% 5/1 | 17,600,000 | $16,302,000 | thousands by filing date | principal |
| FORTIVE CORP | 34959J207 | PREFERRED | 18,050 | $16,290,000 | thousands by filing date | |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 13,896,000 | $16,154,000 | thousands by filing date | principal |
| WYNDHAM HOTELS & RESORTS INC | 98311A105 | COM | 309,595 | $16,018,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754106 | COM | 1,580,597 | $15,743,000 | thousands by filing date | |
| KONTOOR BRANDS INC | 50050N103 | COM | 448,271 | $15,734,000 | thousands by filing date | |
| NVENT ELEC PLC SHS | G6700G107 | Stock | 716,792 | $15,662,000 | thousands by filing date | |
| FOX CORP CL A COM | 35137L105 | Stock | 474,625 | $14,967,000 | thousands by filing date | |
| SCORPIO TANKERS INC | 80918TAB5 | NOTE 3.000% 5/1 | 13,825,000 | $14,702,000 | thousands by filing date | principal |
| MFA FINL INC | 55272XAA0 | BOND | 14,225,000 | $14,670,000 | thousands by filing date | principal |
| GENOMIC HEALTH, INC. | 37244C101 | COM | 212,182 | $14,390,000 | thousands by filing date | |
| BLACK KNIGHT INC COM | 09215C105 | Stock | 231,166 | $14,115,000 | thousands by filing date | |
| CORTEVA INC COM | 22052L104 | Stock | 502,114 | $14,059,000 | thousands by filing date | |
| ARCOSA INC COM | 039653100 | Stock | 404,607 | $13,842,000 | thousands by filing date | |
| DOW HLDGS INC COM | 260557103 | Stock | 289,228 | $13,782,000 | thousands by filing date | |
| NEWMARK GROUP INC | 65158N102 | CL A | 1,510,591 | $13,686,000 | thousands by filing date | |
| INDUSTRIAL LOGISTICS PPTYS T | 456237106 | COM SHS BEN INT | 643,795 | $13,681,000 | thousands by filing date | |
| APERGY CORP | 03755L104 | COM | 482,461 | $12,973,000 | thousands by filing date | |
| ALCON AG ORD SHS | H01301128 | Stock | 221,187 | $12,893,000 | thousands by filing date | |
| SEMGROUP CORP | 81663A105 | CL A | 788,363 | $12,882,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP | 22564L105 | COM CL A | 1,300,000 | $12,779,000 | thousands by filing date | |
| STEWART INFORMATION SVCS COR | 860372101 | COM | 319,828 | $12,406,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 1,138,910 | $12,221,000 | thousands by filing date | |
| CENTERPOINT ENERGY INC | 15189T503 | DEP RP PFD CV B | 231,425 | $12,139,000 | thousands by filing date | |
| ACT II GLOBAL ACQUISITIO-A | G0080J104 | CL A SHS | 1,200,000 | $11,820,000 | thousands by filing date | |
| NUTANIX INC | 67059NAB4 | NOTE 1/1 | 12,500,000 | $11,695,000 | thousands by filing date | principal |
| PRECIGEN INC | 46122TAA0 | NOTE 3.500% 7/0 | 18,600,000 | $11,532,000 | thousands by filing date | principal |
| APOLLO COML REAL EST FIN INC | 03762UAB1 | NOTE 4.750% 8/2 | 11,150,000 | $11,350,000 | thousands by filing date | principal |
| RESIDEO TECHNOLOGIES INC COM | 76118Y104 | Stock | 790,569 | $11,345,000 | thousands by filing date | |
| TEAM INC | 878155AE0 | NOTE 5.000% 8/0 | 10,000,000 | $11,076,000 | thousands by filing date | principal |
| ACAMAR PARTNERS ACQSITION CO | 004285102 | CL A | 1,100,000 | $10,956,000 | thousands by filing date | |
| QUOTIENT TECHNOLOGY INC | 749119AB9 | NOTE 1.750%12/0 | 11,450,000 | $10,817,000 | thousands by filing date | principal |
| TRANSOCEAN INC | 893830BJ7 | DEB 0.500% 1/3 | 12,625,000 | $10,376,000 | thousands by filing date | principal |
| SOUTH MTN MERGER CORP | 838884104 | COM CL A | 1,050,000 | $10,290,000 | thousands by filing date | |
| THUNDER BRDG ACQUISTION II L | G8857S124 | UNIT 99/99/9999 | 1,000,000 | $10,180,000 | thousands by filing date | |
| NEW PROVIDENCE ACQUISITION | 64822P205 | UNIT 09/01/2024 | 1,000,000 | $10,070,000 | thousands by filing date | |
| EXPERIENCE INVT CORP | 30217C208 | UNIT 09/01/2026 | 1,000,000 | $10,010,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551AC4 | BOND | 9,500,000 | $9,977,000 | thousands by filing date | principal |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 10,000,000 | $9,885,000 | thousands by filing date | principal |
| PIVOTAL INVT CORP II | 72582K100 | COM CL A | 999,996 | $9,700,000 | thousands by filing date | |
| VIAVI SOLUTIONS INC | 925550AB1 | NOTE 1.000% 3/0 | 7,740,000 | $9,530,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 950,000 | $9,320,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N107 | COM CL A | 917,006 | $9,298,000 | thousands by filing date | |
| WESCO AIRCRAFT HOLDINGS INC | 950814103 | COMMON STOCK | 832,171 | $9,162,000 | thousands by filing date | |
| BOXWOOD MERGER CORP; TNT ACQ DT: 11/16/2020; CASH | 10319t101 | COM | 894,065 | $9,012,000 | thousands by filing date | |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 9,850,000 | $8,902,000 | thousands by filing date | principal |
| INSURANCE ACQUISITION CORP | 457867109 | CL A | 900,000 | $8,865,000 | thousands by filing date | |
| EQUITRANS MIDSTREAM CORP NPV | 294600101 | COM | 617,439 | $8,817,000 | thousands by filing date | |
| HELLO GROUP INC | 60879BAB3 | NOTE 1.250% 7/0 | 9,725,000 | $8,805,000 | thousands by filing date | principal |
| BLACKSTONE MORTGAGE TRUST IN | 09257WAB6 | NOTE 4.375% 5/0 | 8,375,000 | $8,762,000 | thousands by filing date | principal |
| MONOTYPE IMAGING HOLDINGS, INC | 61022P100 | COM | 439,922 | $8,715,000 | thousands by filing date | |
| TRAVERE THERAPEUTICS INC | 761299AB2 | NOTE 2.500% 9/1 | 11,500,000 | $8,570,000 | thousands by filing date | principal |
| NIELSEN HOLDINGS PLC | G6518L108 | SHS EUR | 402,187 | $8,500,000 | thousands by filing date | |
| HUBSPOT INC | 443573AB6 | NOTE 0.250% 6/0 | 5,000,000 | $8,384,000 | thousands by filing date | principal |
| GARRETT MOTION INC | 366505105 | COM | 819,263 | $8,160,000 | thousands by filing date | |
| SILVER SPIKE ACQUISITION COR | G8136L122 | UNIT 99/99/9999 | 800,000 | $8,072,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C104 | CL A COM | 800,000 | $8,000,000 | thousands by filing date | |
| ALDER BIOPHARMACEUTICALS INC | 014339105 | COM | 422,832 | $7,975,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130107 | COM | 800,000 | $7,920,000 | thousands by filing date | |
| LIVENT CORP | 53814L108 | COM | 1,180,366 | $7,897,000 | thousands by filing date | |
| SIXTH STREET SPECIALTY LENDING | 87265KAD4 | NOTE 4.500% 8/0 | 7,500,000 | $7,859,000 | thousands by filing date | principal |
| GDS HLDGS LTD | 36165LAB4 | NOTE 2.000% 6/0 | 7,500,000 | $7,828,000 | thousands by filing date | principal |
| ECHO GLOBAL LOGISTICS INC | 27875TAA9 | NOTE | 7,631,000 | $7,631,000 | thousands by filing date | principal |
| UPHEALTH INC | 375036100 | Common Stock | 765,000 | $7,520,000 | thousands by filing date | |
| Q2 HLDGS INC | 74736LAB5 | NOTE 0.750% 2/1 | 5,000,000 | $7,347,000 | thousands by filing date | principal |
| Verastem Inc 5.00 per cent 11-2048 | 92337CAA2 | NOTE 5.000%11/0 | 15,000,000 | $7,041,000 | thousands by filing date | principal |
| VEONEER INC | 92336X109 | COM | 466,175 | $6,988,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N106 | COM | 675,000 | $6,885,000 | thousands by filing date | |
| IAA INC | 449253103 | COM | 164,624 | $6,870,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER CORP | 05586Y106 | Com | 650,000 | $6,435,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 26,686 | $6,428,000 | thousands by filing date | |
| UNITED FINL BANCORP INC NEW | 910304104 | COM | 470,878 | $6,418,000 | thousands by filing date | |
| SEMPRA ENERGY | 816851406 | 6% PFD CONV A | 54,225 | $6,409,000 | thousands by filing date | |
| NAVIGANT CONSULTING INC | 63935N107 | COM | 227,858 | $6,369,000 | thousands by filing date | |
| PENTAIR PLC SHS | G7S00T104 | Stock | 164,975 | $6,226,000 | thousands by filing date | |
| PROS HOLDINGS INC | 74346YAB9 | NOTE 2.00012/0 | 3,500,000 | $6,177,000 | thousands by filing date | principal |
| GORDON POINTE ACQUISITION CO | 382788107 | COM CLASS A | 579,800 | $6,076,000 | thousands by filing date | |
| AVANTOR INC | 05352A209 | 6.25 PFD CNV SR | 113,150 | $6,069,000 | thousands by filing date | |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 6,000,000 | $5,991,000 | thousands by filing date | principal |
| NANOMETRICS | 630077105 | COM | 183,469 | $5,985,000 | thousands by filing date | |
| GREEN PLAINS INC | 393222AF1 | NOTE 4.125% 9/0 | 7,250,000 | $5,952,000 | thousands by filing date | principal |
| DIAMOND EAGLE ACQUISITION CO | 25258L109 | COM CL A | 600,000 | $5,910,000 | thousands by filing date | |
| SC HEALTH CORP | G78516203 | COM CL A | 600,000 | $5,892,000 | thousands by filing date | |
| LF Capital Acquisition Corp | 50200K108 | LF CAPITAL ACQUISITION COR-A | 560,000 | $5,746,000 | thousands by filing date | |
| GRAF INDL CORP | 384278107 | COM | 566,000 | $5,677,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 5,000,000 | $5,618,000 | thousands by filing date | principal |
| GS ACQUISITION HLDGS CORP | 36255F102 | COM CL A | 549,902 | $5,609,000 | thousands by filing date | |
| DELPHI TECHNOLOGIES PLC | G2709G107 | SHS | 421,616 | $5,595,000 | thousands by filing date | |
| COVETRUS INC | 22304C100 | COM | 465,027 | $5,511,000 | thousands by filing date | |
| DHT HOLDINGS INC | 23335SAD8 | NOTE 4.500% 8/1 | 4,700,000 | $5,421,000 | thousands by filing date | principal |
| BIOMARIN PHARMACEUTICAL INC | 09061G101 | COM | 77,351 | $5,213,000 | thousands by filing date | |
| ORITANI FINANCIAL CORP | 68633D103 | COM | 294,299 | $5,208,000 | thousands by filing date | |
| GRANITE PT MTG TR INC | 38741LAC1 | NOTE 6.375%10/0 | 5,000,000 | $5,173,000 | thousands by filing date | principal |
| TUSCAN HLDGS CORP | 90069K104 | COM | 520,000 | $5,096,000 | thousands by filing date | |
| WAYFAIR INC | 94419L101 | CL A | 45,072 | $5,053,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872109 | COM CL A | 499,998 | $5,000,000 | thousands by filing date | |
| IAC INTERACTIVECORP | 44919P508 | COM | 22,692 | $4,946,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A107 | SHS CL A | 500,000 | $4,880,000 | thousands by filing date | |
| AIR TRANS SVCS GROUP INC | 00922RAB1 | BOND | 4,925,000 | $4,607,000 | thousands by filing date | principal |
| DOCUSIGN INC COM | 256163106 | Stock | 75,175 | $4,546,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V CLA | 31811A101 | COM | 450,000 | $4,500,000 | thousands by filing date | |
| EZCORP INC | 302301AE6 | NOTE 2.375% 5/0 | 5,500,000 | $4,387,000 | thousands by filing date | principal |
| INTERNATIONAL SPEEDWAY CORP | 460335201 | COMMON STOCK | 92,399 | $4,159,000 | thousands by filing date | |
| CLARIVATE ANALYTICS PLC | G21810117 | *W EXP 05/13/202 | 697,500 | $4,108,000 | thousands by filing date | |
| HELIX ENERGY SOLUTIONS GRP I | 42330PAJ6 | NOTE 4.125% 9/1 | 3,500,000 | $4,099,000 | thousands by filing date | principal |
| APEX TECHNOLOGY ACQUISITION | 03768F201 | UNIT 06/11/2026 | 400,000 | $4,076,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N103 | COM | 390,000 | $3,978,000 | thousands by filing date | |
| INVACARE CORP | 461203AF8 | NOTE 5.000% 2/1 | 4,000,000 | $3,778,000 | thousands by filing date | principal |
| ARLO TECHNOLOGIES INC | 04206A101 | COMMON STOCK | 1,097,102 | $3,741,000 | thousands by filing date | |
| PLUG POWER INC | 72919PAB9 | NOTE 5.500% 3/1 | 3,000,000 | $3,711,000 | thousands by filing date | principal |
| NEW RELIC INC | 64829BAB6 | NOTE 0.500% 5/0 | 3,900,000 | $3,701,000 | thousands by filing date | principal |
| VECTOR GROUP LTD | 92240MBC1 | FRNT 4/1 | 3,500,000 | $3,651,000 | thousands by filing date | principal |
| DOMINION ENERGY INC | 25746U133 | UNIT 99/99/9999 | 34,225 | $3,623,000 | thousands by filing date | |
| AMCI ACQUISITION CORP | 00165R101 | CLASS A | 360,000 | $3,611,000 | thousands by filing date | |
| Booking Holdings Inc. | 09857L108 | COM | 1,833 | $3,587,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CL A ORD | 30734W109 | COM | 349,998 | $3,577,000 | thousands by filing date | |
| Collier Creek Holdings | G22707106 | COM | 349,998 | $3,566,000 | thousands by filing date | |
| SKILLSOFT CORP CL A | 17143G106 | Stock | 349,998 | $3,507,000 | thousands by filing date | |
| CAESARS ENTMT CORP | 127686AA1 | NOTE | 2,000,000 | $3,402,000 | thousands by filing date | principal |
| PRESIDIO INC | 74102M103 | COM | 198,991 | $3,363,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760102 | COM CL A | 322,777 | $3,331,000 | thousands by filing date | |
| RAPID7 INC | 753422AB0 | NOTE | 2,500,000 | $3,253,000 | thousands by filing date | principal |
| LIVEPERSON, INC. | 538146101 | COM | 88,716 | $3,167,000 | thousands by filing date | |
| PROOFPOINT INC | 743424103 | COM | 25,354 | $3,150,000 | thousands by filing date | |
| CLOVIS ONCOLOGY INC | 189464AC4 | NOTE 1.250% 5/0 | 7,350,000 | $3,145,000 | thousands by filing date | principal |
| LEISURE ACQUISITION CORP | 52539T107 | COM | 300,000 | $3,066,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643103 | COM CL A | 300,000 | $3,060,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745105 | COM CLASS A | 300,000 | $3,057,000 | thousands by filing date | |
| CHASERG TECHNOLOGY ACQ CORP; TNT ACQ DT: 4/4/2020 | 16166a103 | COM | 300,000 | $3,003,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076100 | COM CLASS A | 289,998 | $2,946,000 | thousands by filing date | |
| FLEXION THERAPEUTICS INC | 33938JAB2 | NOTE | 3,245,000 | $2,922,000 | thousands by filing date | principal |
| INNOVIVA INC | 45781MAB7 | NOTE 2.500% 8/1 | 3,000,000 | $2,897,000 | thousands by filing date | principal |
| SCHULTZE SPL PURP ACQUSTN CO COM | 80821R109 | Stock | 288,000 | $2,866,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR COM | 74317h105 | COM | 280,000 | $2,786,000 | thousands by filing date | |
| MAGNACHIP SEMICONDUCTOR SA | 55932XAB0 | NOTE 5.000% 3/0 | 2,000,000 | $2,761,000 | thousands by filing date | principal |
| COMPUCREDIT HLDGS CORP | 20478NAD2 | NOTE 5.875%11/3 | 5,000,000 | $2,550,000 | thousands by filing date | principal |
| PDC ENERGY INC | 69327R101 | COM | 91,722 | $2,545,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784106 | CL A COM STK | 239,998 | $2,424,000 | thousands by filing date | |
| PIVOTAL ACQUISITION CORP | 72583A119 | *W EXP 12/01/202 | 1,800,000 | $2,412,000 | thousands by filing date | |
| PARATEK PHARMACEUTICALS INC | 699374AB0 | Convertible Bond | 3,050,000 | $2,236,000 | thousands by filing date | principal |
| TRINITY MERGER CORP | 89653L114 | *W EXP 05/11/202 | 1,750,000 | $2,223,000 | thousands by filing date | |
| QTS RLTY TR INC | 74736A301 | 6.50% CON PFD B | 18,100 | $2,201,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R106 | SHS | 216,000 | $2,199,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482103 | COM | 200,000 | $2,094,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A107 | COM | 200,000 | $2,052,000 | thousands by filing date | |
| ALLEGRO MERGER CORP | 01749N103 | COM | 200,000 | $2,024,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G109 | CLASS A | 199,998 | $2,022,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415108 | SHS | 200,000 | $1,998,000 | thousands by filing date | |
| VEONEER INC | 92336XAA7 | NOTE 4.000% 6/0 | 2,000,000 | $1,981,000 | thousands by filing date | principal |
| OAKTREE ACQUISITION CORP | G67145105 | SHS CL A | 199,998 | $1,950,000 | thousands by filing date | |
| VIRTUS INVT PARTNERS INC | 92828Q208 | PFD CV SER D | 17,975 | $1,721,000 | thousands by filing date | |
| EURONET WORLDWIDE INC COM | 298736109 | Stock | 11,392 | $1,667,000 | thousands by filing date | |
| IVC 4 1/2 6/1/22 | 461203AH4 | CONVERTIBLE BOND | 1,950,000 | $1,638,000 | thousands by filing date | principal |
| SOUTH JERSEY INDS INC | 838518116 | UNIT 99/99/9999 | 30,925 | $1,616,000 | thousands by filing date | |
| BLOCK INC CL A | 852234103 | Stock | 26,243 | $1,609,000 | thousands by filing date | |
| ARBOR REALTY TRUST INC | 038923AH1 | NOTE 5.250% 7/0 | 1,500,000 | $1,606,000 | thousands by filing date | principal |
| MEGALITH FINL ACQUISITION CO | 58518F109 | CL A COM | 156,400 | $1,584,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q106 | CL A | 150,000 | $1,538,000 | thousands by filing date | |
| ENVESTNET INC | 29404KAA4 | NOTE 1.75012/1 | 1,500,000 | $1,526,000 | thousands by filing date | principal |
| TKK SYMPHONY ACQUISITION COR | G88950103 | ORD SHS | 150,000 | $1,520,000 | thousands by filing date | |
| INTREXON CORP | 46122T102 | COM | 265,429 | $1,518,000 | thousands by filing date | |
| TATTOOED CHEF INC CL A | 34986F103 | Stock | 150,000 | $1,517,000 | thousands by filing date | |
| MUDRICK CAP ACQUISITION CORP | 624745113 | *W EXP 02/12/202 | 2,250,000 | $1,418,000 | thousands by filing date | |
| TIMKENSTEEL CORP | 887399AA1 | CONVERTIBLE BOND | 1,500,000 | $1,404,000 | thousands by filing date | principal |
| FINTECH ACQUISITION CORP III | 31811A119 | *W EXP 12/01/202 | 1,150,000 | $1,403,000 | thousands by filing date | |
| HENNESSY CAP ACQUSTION CORP | 42589C112 | W EXP 09/05/202 | 1,500,000 | $1,275,000 | thousands by filing date | |
| MPLX LP | 55336V100 | COM UNIT REP LTD | 45,295 | $1,269,000 | thousands by filing date | |
| ONEOK INC NEW | 682680103 | COM | 16,899 | $1,238,000 | thousands by filing date | |
| BOXWOOD MERGER CORP | 10319T119 | W EXP 11/26/202 | 1,750,000 | $1,225,000 | thousands by filing date | |
| TUSCAN HLDGS CORP | 90069K112 | *W EXP 04/01/202 | 1,600,000 | $1,216,000 | thousands by filing date | |
| LIBERTY MEDIA CORP DEL | 531229AB8 | NOTE 1.375%10/1 | 1,000,000 | $1,197,000 | thousands by filing date | principal |
| ENBRIDGE INC COM | 29250N105 | Stock | 33,984 | $1,192,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P100 | COM | 100,000 | $1,037,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CORP SHS CL A | G3165V109 | COM | 100,000 | $1,031,000 | thousands by filing date | |
| CRESTWOOD EQUITY PARTNERS LP U | 226344208 | UNIT LTD PARTNER | 27,936 | $1,020,000 | thousands by filing date | |
| HAYMAKER ACQUISITION CORP II | 42087L119 | *W EXP 10/31/202 | 666,666 | $1,000,000 | thousands by filing date | |
| CHENIERE ENERGY PARTNERS L P | 16411Q101 | COM UNIT | 21,785 | $991,000 | thousands by filing date | |
| BLACKROCK FLOATING RATE INCO | 09255X100 | COM | 76,371 | $964,000 | thousands by filing date | |
| FORUM MERGER II CORP | 34986F111 | W EXP 09/30/202 | 1,620,000 | $956,000 | thousands by filing date | |
| EZCORP INC | 302301AF3 | NOTE2.875% 7/0 | 1,000,000 | $947,000 | thousands by filing date | principal |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 14,000 | $928,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 69,888 | $914,000 | thousands by filing date | |
| TEVA PHARMACEUTICAL FIN LLC | 88163VAE9 | DBCV 0.250% 2/0 | 1,000,000 | $910,000 | thousands by filing date | principal |
| TRINE ACQUISITION CORP | 89628U116 | *W EXP 03/31/202 | 1,150,000 | $909,000 | thousands by filing date | |
| ATLANTICUS HOLDINGS CORP | 04914Y102 | COMMON STOCK | 107,866 | $901,000 | thousands by filing date | |
| CF FIN ACQUISITION CORP | 12528N115 | *W EXP 04/30/202 | 1,500,000 | $900,000 | thousands by filing date | |
| PURE ACQUISITION CORP | 74621Q114 | *W EXP 04/17/202 | 862,500 | $880,000 | thousands by filing date | |
| DFB HEALTHCARE ACQUISTION CO | 23291E117 | *W EXP 04/11/202 | 599,999 | $864,000 | thousands by filing date | |
| ENTERPRISE PRODS PARTNERS L | 293792107 | COM | 30,000 | $857,000 | thousands by filing date | |
| JAZZ PHARMACEUTICALS PLC SHS USD | G50871105 | Stock | 6,677 | $849,000 | thousands by filing date | |
| TARGA RES CORP COM | 87612G101 | Stock | 21,184 | $845,000 | thousands by filing date | |
| GOL LINHAS AEREAS INTELIGENT | 38045R206 | SPON ADR PFD NEW | 53,581 | $829,000 | thousands by filing date | |
| LEO HOLDINGS CORP | G5463L113 | *W EXP 07/31/202 | 1,115,000 | $825,000 | thousands by filing date | |
| ADVENT TECHNOLOGIES HOLDNG INC WT EXP 020326 | 00165R119 | Stock | 2,300,000 | $805,000 | thousands by filing date | |
| VECTOIQ ACQUISITION CORP | 92243N111 | *W EXP 05/11/202 | 1,620,000 | $794,000 | thousands by filing date | |
| ACTTW US 30 Apr 24 C11.5 (Act II Global Acquisitio | G0080J120 | W EXP 04/30/202 | 900,000 | $792,000 | thousands by filing date | |
| Phillips 66 Partners LP | 718549207 | COM UNIT REP INT | 13,900 | $787,000 | thousands by filing date | |
| BUCKEYE PARTNERS LP (BPL) | 118230101 | UNIT LTD PARTN | 19,000 | $781,000 | thousands by filing date | |
| EATON VANCE SENIOR FLOATING-RA | 27828Q105 | COM | 59,593 | $777,000 | thousands by filing date | |
| WILLIAMS COS INC COM | 969457100 | Stock | 31,910 | $768,000 | thousands by filing date | |
| GIGCAPITAL INC | 37518N122 | *W EXP 06/08/202 | 1,125,000 | $763,000 | thousands by filing date | |
| MONOCLE ACQUISITION CORP | 609754114 | *W EXP 12/06/202 | 1,680,597 | $756,000 | thousands by filing date | |
| EATON VANCE FLOATING-RATE INCO | 278279104 | COM | 56,782 | $751,000 | thousands by filing date | |
| CRESCENT ACQUISITION CORP WT EXP 03/07/24 | 22564L113 | Warrants | 1,000,000 | $750,000 | thousands by filing date | |
| GS ACQUISITION HLDGS CORP | 36255F110 | *W EXP 06/12/202 | 500,000 | $750,000 | thousands by filing date | |
| PLAINS ALL AMERN PIPELINE L | 726503105 | UNIT LTD PARTN | 36,000 | $747,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896104 | COM CL A | 75,000 | $746,000 | thousands by filing date | |
| ADAM NAT RES FD INC | 00548F105 | COM | 46,664 | $739,000 | thousands by filing date | |
| CHASERG TECHNLGY ACQUISITN C | 16166A111 | W EXP 04/10/202 | 810,000 | $721,000 | thousands by filing date | |
| TALLGRASS ENERGY LP | 874696107 | CLASS A SHS | 35,000 | $705,000 | thousands by filing date | |
| GRAF INDL CORP | 384278115 | Stock | 1,782,000 | $695,000 | thousands by filing date | |
| DIAMONDPEAK HLDGS COR | 25280H118 | *W EXP 02/22/202 | 766,666 | $675,000 | thousands by filing date | |
| Brooge Holdings ltd | G9145A115 | *W EXP 12/20/202 | 1,200,000 | $672,000 | thousands by filing date | |
| TC PIPELINES LP | 87233Q108 | UT COM LTD PRT | 15,700 | $639,000 | thousands by filing date | |
| SOUTH MTN MERGER CORP | 838884112 | *W EXP 06/20/202 | 750,000 | $638,000 | thousands by filing date | |
| TORTOISE ACQUISITION CORP | 89154L118 | W EXP 03/04/202 | 1,038,969 | $634,000 | thousands by filing date | |
| FIRST TRUST SENIOR FLOATING RA | 33733U108 | COM | 52,466 | $630,000 | thousands by filing date | |
| DCP MIDSTREAM LP | 23311P100 | COM UT LTD PTN | 24,000 | $629,000 | thousands by filing date | |
| BLACKROCK GLOBAL OPP EQUITY TR | 092501105 | COM | 59,853 | $624,000 | thousands by filing date | |
| TIBERIUS ACQUISITION CORP | 88633A115 | *W EXP 02/28/202 | 1,057,500 | $624,000 | thousands by filing date | |
| BLACKROCK DEBT STRATEGIES FD I | 09255R202 | COM NEW | 57,453 | $618,000 | thousands by filing date | |
| ENABLE MIDSTREAM PARTNERS LP | 292480100 | COM UNIT RP IN | 50,000 | $602,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A115 | *W EXP 05/24/202 | 1,000,000 | $600,000 | thousands by filing date | |
| HESS MIDSTREAM PARTNERS LP | 428104103 | UNIT LTD PR INT | 30,300 | $584,000 | thousands by filing date | |
| RANPAK HLDGS CORP | 75321W111 | *W EXP 06/03/202 | 775,000 | $581,000 | thousands by filing date | |
| GENESIS ENERGY L.P. | 371927104 | UNIT LTD PARTN | 27,000 | $580,000 | thousands by filing date | |
| BLACKROCK GLOBAL FLOATING RATE | 091941104 | COM | 47,273 | $580,000 | thousands by filing date | |
| WESTERN MIDSTREAM PARTNERS L | 958669103 | COM UNIT LP INT | 23,000 | $572,000 | thousands by filing date | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 22,100 | $558,000 | thousands by filing date | |
| SWITCHBACK ENERGY ACQUISTN C | 87105M110 | W EXP 07/25/202 | 566,666 | $538,000 | thousands by filing date | |
| SHELL MIDSTREAM PARTNERS L P | 822634101 | UNIT LTD INT | 26,000 | $532,000 | thousands by filing date | |
| DIVIDEND & INCOME FD INC | 25538A204 | COM NEW | 44,354 | $530,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 35,373 | $525,000 | thousands by filing date | |
| PIONEER FLOATING RATE FUND I | 72369J102 | COM | 49,256 | $519,000 | thousands by filing date | |
| NUVEEN FLOATING RATE INCOME OP | 6706EN100 | COM SHS | 53,889 | $514,000 | thousands by filing date | |
| CNX MIDSTREAM PARTNERS LP | 12654A101 | COM UNIT REPST | 36,000 | $508,000 | thousands by filing date | |
| ABRDN HEALTHCARE INVESTORS | 87911J103 | SH BEN INT | 27,497 | $504,000 | thousands by filing date | |
| SCHULTZE SPL PURP ACQUSTN CO | 80821R117 | W EXP 12/31/202 | 1,440,000 | $504,000 | thousands by filing date | |
| RATTLER MIDSTREAM LP | 75419T103 | CMN | 28,159 | $502,000 | thousands by filing date | |
| GORES HOLDINGS III INC | 38286G117 | *W EXP 09/11/202 | 333,332 | $500,000 | thousands by filing date | |
| NUSTAR ENERGY LP | 67058H102 | UNIT COM | 17,439 | $494,000 | thousands by filing date | |
| TEEKAY LNG PARTNERS L P | Y8564M105 | PRTNRSP UNITS | 36,000 | $491,000 | thousands by filing date | |
| LEISURE ACQUISITION CORP | 52539T115 | *W EXP 12/05/201 | 625,000 | $469,000 | thousands by filing date | |
| ENLINK MIDSTREAM LLC | 29336T100 | COM UNIT REP LTD | 55,000 | $468,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 30,757 | $458,000 | thousands by filing date | |
| NEW FRONTIER HEA | G6485P124 | EQUITY WRT | 450,000 | $450,000 | thousands by filing date | |
| TWELVE SEAS INVESTMENT COMPA | G9145A131 | RIGHT 12/22/2019 | 1,200,000 | $444,000 | thousands by filing date | |
| GORDON POINTE ACQUISITION CO | 382788115 | *W EXP 07/30/202 | 1,106,820 | $443,000 | thousands by filing date | |
| PATRIOT NATL BANCORP INC | 70336F203 | COM NEW | 34,442 | $439,000 | thousands by filing date | |
| LEGACY ACQUISITION CORP | 524643111 | *W EXP 11/30/202 | 1,250,000 | $438,000 | thousands by filing date | |
| MEGALITH FINL ACQUISITION CO | 58518F117 | *W EXP 08/26/202 | 1,153,800 | $438,000 | thousands by filing date | |
| EQM MIDSTREAM PARTNERS LP | 26885B100 | UNIT LTD PARTN | 13,000 | $425,000 | thousands by filing date | |
| BIOCERES CROP SOLUTIONS CORP | G1117K106 | *W EXP 03/14/202 | 1,249,900 | $425,000 | thousands by filing date | |
| NUVEEN VA QUALITY MUN INCOM | 67064R102 | COM | 30,282 | $419,000 | thousands by filing date | |
| LANDCADIA HLDGS II INC | 51476X113 | *W EXP 05/09/202 | 583,332 | $414,000 | thousands by filing date | |
| REPLAY ACQUISITION CORP | G75130115 | *W EXP 03/01/202 | 575,000 | $397,000 | thousands by filing date | |
| WESTERN ASSET INTER MUNI FD | 958435109 | COM | 42,799 | $393,000 | thousands by filing date | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 52,600 | $389,000 | thousands by filing date | |
| NUVEEN SENIOR INCOME FUND | 67067Y104 | COM | 67,433 | $389,000 | thousands by filing date | |
| LF CAP ACQUISITION CORP | 50200K116 | *W EXP 06/22/202 | 1,200,000 | $384,000 | thousands by filing date | |
| EATON VANCE SENIOR INCOME FUND | 27826S103 | SH BEN INT | 62,630 | $383,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 25,048 | $379,000 | thousands by filing date | |
| BLACKROCK INTERNATIONAL GROWTH | 092524107 | COM BENE INTER | 69,052 | $375,000 | thousands by filing date | |
| ROYCE VALUE TRUST | 780910105 | COM | 26,933 | $371,000 | thousands by filing date | |
| FAR PT ACQUISITION CORP | 30734W117 | *W EXP 06/01/202 | 299,999 | $360,000 | thousands by filing date | |
| SC HEALTH CORP | G78516401 | *W EXP 99/99/999 | 300,000 | $360,000 | thousands by filing date | |
| PIVOTAL INVT CORP II | 72582K118 | *W EXP 06/01/202 | 333,332 | $357,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD PA QUALI | 09255G107 | COM | 24,508 | $348,000 | thousands by filing date | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 27,210 | $315,000 | thousands by filing date | |
| CBRE GBL REAL ESTATE INC FD COM | 12504G100 | CEF | 39,648 | $314,000 | thousands by filing date | |
| LEO HOLDINGS CORP II-CLASS A | G5463L105 | CMN | 30,600 | $313,000 | thousands by filing date | |
| UGI CORP NEW COM | 902681105 | Stock | 6,017 | $302,000 | thousands by filing date | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 21,084 | $299,000 | thousands by filing date | |
| BP MIDSTREAM PARTNERS LP | 0556EL109 | UNIT LTD PTNR | 20,000 | $292,000 | thousands by filing date | |
| VOYA INFRASTRUCTURE INDLS & | 92912X101 | COM | 24,671 | $282,000 | thousands by filing date | |
| ENVISTA HOLDINGS CORPORATION | 29415F104 | COM | 10,000 | $279,000 | thousands by filing date | |
| SOURCE CAPITAL COM SHS OF BEN I | 836144105 | CEF | 7,603 | $278,000 | thousands by filing date | |
| CLOUGH GLOBAL OPPORTUNITIES | 18914E106 | SH BEN INT | 30,155 | $276,000 | thousands by filing date | |
| MEDALLIA INC | 584021109 | COM | 10,000 | $274,000 | thousands by filing date | |
| DELAWARE INV MN MUN INC FD I | 24610V103 | COM | 20,831 | $273,000 | thousands by filing date | |
| REGALWOOD GLOBAL ENERGY LTD | G74760128 | *W EXP 12/05/202 | 440,925 | $265,000 | thousands by filing date | |
| NUVEEN MICH QUALITY INCOME MUN FD INC | 670979103 | CEF | 18,858 | $263,000 | thousands by filing date | |
| SPARTAN ENERGY ACQUISITION C | 846784122 | *W EXP 08/27/202 | 434,999 | $261,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A111 | *W EXP 04/01/202 | 475,000 | $259,000 | thousands by filing date | |
| BLACKROCK RESOURCES & COMMODIT | 09257A108 | SHS | 34,349 | $257,000 | thousands by filing date | |
| THL CR SR LN FD | 87244R103 | COM | 17,070 | $256,000 | thousands by filing date | |
| RETAIL VALUE INC | 76133Q102 | COM | 6,915 | $256,000 | thousands by filing date | |
| ANDINA ACQUISITION CORP III | G04415124 | *W EXP 07/31/202 | 1,200,000 | $252,000 | thousands by filing date | |
| BLACKROCK N Y MUN INCOME TRU | 09248L106 | SH BEN INT | 16,821 | $238,000 | thousands by filing date | |
| NEBULA ACQUISITION CORP | 629076118 | *W EXP 03/12/202 | 233,332 | $233,000 | thousands by filing date | |
| GORES METROPOULOS INC | 382872117 | *W EXP 01/28/202 | 166,666 | $233,000 | thousands by filing date | |
| DTF TAX-FREE INCOME 2028 TER | 23334J107 | COM | 15,883 | $230,000 | thousands by filing date | |
| B RILEY PRINCIPAL MERGER COR | 05586Y114 | *W EXP 04/08/202 | 425,000 | $230,000 | thousands by filing date | |
| ABRDN TOTAL DYNAMIC DIVIDEND | 00326L100 | COM SH BEN INT | 27,271 | $227,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 17,359 | $222,000 | thousands by filing date | |
| SRH TOTAL RETURN FUND INC | 101507101 | COM | 19,694 | $221,000 | thousands by filing date | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 17,405 | $218,000 | thousands by filing date | |
| BLACKROCK MUNIHOLDINGS QUALI | 09254A101 | COM | 16,880 | $216,000 | thousands by filing date | |
| GIGCAPITAL2 INC | 375036118 | *W EXP 02/28/202 | 765,000 | $215,000 | thousands by filing date | |
| NUVEEN OHIO QUALITY INC MUNI | 670980101 | COM | 13,464 | $212,000 | thousands by filing date | |
| NUVEEN ARIZ PREM INCOME MUN | 67061W104 | COM | 15,705 | $211,000 | thousands by filing date | |
| GAIN CAP HLDGS INC | 36268WAF7 | NOTE 5.000% 8/1 | 225,000 | $211,000 | thousands by filing date | principal |
| SOCIAL CAP HEDOSOPHIA HLDGS | G8250R129 | *W EXP 99/99/999 | 83,334 | $208,000 | thousands by filing date | |
| WTS/ALLEGRO MERGER CORP EXP01/06/25 | 01749N111 | WARR | 900,000 | $207,000 | thousands by filing date | |
| NRC GROUP HLDGS CORP | 629375114 | *W EXP 10/17/202 | 87,500 | $207,000 | thousands by filing date | |
| ABRDN GLOBAL PREMIER PPTYS F | 00302L108 | COM SH BEN INT | 33,154 | $206,000 | thousands by filing date | |
| TEKLA LIFE SCIENCES INVESTORS | 87911K100 | SH BEN INT | 12,784 | $193,000 | thousands by filing date | |
| MARTIN MIDSTREAM PRTNRS L P | 573331105 | UNIT L P INT | 40,794 | $185,000 | thousands by filing date | |
| TARGET HOSPITALITY CORP | 87615L115 | *W EXP 03/15/202 | 266,666 | $183,000 | thousands by filing date | |
| CYCLERION THERAPEUTICS INC | 23255M105 | COM | 14,842 | $180,000 | thousands by filing date | |
| SUMMIT MIDSTREAM PARTNERS LP | 866142102 | COM UNIT LTD | 36,000 | $175,000 | thousands by filing date | |
| CHURCHILL CAP CORP II | 17143G114 | *W EXP 07/02/202 | 116,666 | $175,000 | thousands by filing date | |
| ABERDEEN GLOBAL DYNAMIC DIVIDE | 00302M106 | COM | 18,023 | $174,000 | thousands by filing date | |
| ADVENT CONVERTIBLE AND INCOME | 00764C109 | COM | 11,932 | $174,000 | thousands by filing date | |
| BLACKROCK MUNIYIELD N J FD I | 09254Y109 | COM | 11,043 | $169,000 | thousands by filing date | |
| DELAWARE ENHANCED GLOBAL DIVID | 246060107 | COM | 16,905 | $167,000 | thousands by filing date | |
| TKK SYMPHONY ACQUISITION COR | G88950129 | *W EXP 02/20/202 | 1,850,000 | $167,000 | thousands by filing date | |
| DEACW US 30 Jun 26 C11.5 (Diamond Eagle Acquisitio | 25258L117 | W EXP 06/30/202 | 200,000 | $162,000 | thousands by filing date | |
| ADESTO TECHNOLOGIES CORP | 00687D101 | COM | 18,245 | $156,000 | thousands by filing date | |
| NATIONAL ENERGY SERVICES REU | G6375R115 | *W EXP 06/06/202 | 383,983 | $154,000 | thousands by filing date | |
| COLLIER CREEK HOLDINGS | G22707114 | *W EXP 99/99/999 | 116,666 | $152,000 | thousands by filing date | |
| NUVEEN CONNECTICUT PREM INC | 67060D107 | COM | 11,140 | $149,000 | thousands by filing date | |
| BlackRock Muniy Michigan | 09254V105 | Fund | 10,544 | $148,000 | thousands by filing date | |
| NUVEEN NC PREM INCOME MUN | 67060P100 | COM | 10,940 | $148,000 | thousands by filing date | |
| NETFIN ACQUISITION CORP | G6455A115 | *W EXP 08/01/202 | 500,000 | $148,000 | thousands by filing date | |
| VOYA GLBL EQTY DIV & PREM OP | 92912T100 | COM | 20,813 | $125,000 | thousands by filing date | |
| AKAZOO SA | L0164E116 | *W EXP 09/11/202 | 154,697 | $119,000 | thousands by filing date | |
| SPIRIT MTA REIT | 84861U105 | COM SHS BEN IN | 13,370 | $113,000 | thousands by filing date | |
| TPG PACE HLDGS CORP | G89827110 | *W EXP 06/27/202 | 66,666 | $105,000 | thousands by filing date | |
| WTS/DERMTECH INC. 11.5000EXP03/23/2024 | 24984K113 | WARR | 700,000 | $84,000 | thousands by filing date | |
| FALCON MINERALS CORP | 30607B208 | *W EXP 07/21/202 | 222,879 | $82,000 | thousands by filing date | |
| MADISON COVERED CALL & EQUITY | 557437100 | COM | 11,895 | $76,000 | thousands by filing date | |
| ARYA SCIENCES ACQUISITION CO | G3165V125 | *W EXP 10/10/202 | 50,000 | $76,000 | thousands by filing date | |
| NESCO HLDGS INC | 64083J112 | *W EXP 01/01/202 | 83,333 | $72,000 | thousands by filing date | |
| HL ACQUISITIONS CORP | G4603R122 | W EXP 06/21/202 | 270,000 | $70,000 | thousands by filing date | |
| DASEKE INC | 23753F115 | *W EXP 02/27/202 | 378,003 | $68,000 | thousands by filing date | |
| REVIVA PHARMACEUTCLS HLDGS INC WT EXP 122525 | G8708A108 | Stock | 250,000 | $62,000 | thousands by filing date | |
| OAKTREE ACQUISITION CORP | G67145113 | *W EXP 99/99/999 | 66,666 | $57,000 | thousands by filing date | |
| WRLSW US 08 Aug 22 C11.5 | 70957E113 | W EXP 07/27/202 | 250,000 | $55,000 | thousands by filing date | |
| SENTINEL ENERGY SVCS INC | 81728P113 | *W EXP 11/02/202 | 133,333 | $53,000 | thousands by filing date | |
| ROSEHILL RES INC | 777385113 | *W EXP 04/27/202 | 244,800 | $47,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A112 | W EXP 01/15/202 | 500,000 | $45,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482129 | RIGHT 12/01/2022 | 200,000 | $44,000 | thousands by filing date | |
| CONYERS PK II ACQUISITION CO | 212896112 | *W EXP 07/18/202 | 18,750 | $38,000 | thousands by filing date | |
| OPES ACQUISITION CORP | 68373P118 | *W EXP 03/13/202 | 250,000 | $34,000 | thousands by filing date | |
| PROFICIENT ALPHA ACQUSTN COR | 74317H113 | *W EXP 04/30/202 | 400,000 | $28,000 | thousands by filing date | |
| ESTRE AMBIENTAL INC WT EXP 122 | G3206V118 | WT | 661,870 | $26,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372124 | RIGHT 11/30/2020 | 125,000 | $25,000 | thousands by filing date | |
| BIG ROCK PARTNERS ACQUISITIO | 089482111 | *W EXP 12/01/202 | 100,000 | $17,000 | thousands by filing date | |
| PHUNWARE INC | 71948P118 | *W EXP 12/26/202 | 58,632 | $16,000 | thousands by filing date | |
| LONGEVITY ACQUISITION CORP | G56372116 | *W EXP 07/31/202 | 125,000 | $11,000 | thousands by filing date | |
| INFRA AND ENERGY ALTRNTIVE I | 45686J112 | WTS | 343,006 | $10,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001085146-19-003012 | this filing | 2019-11-14 | acceptance time not in the bulk data set |