13F-HR filed by Pine River Capital Management L.P.
Pine River Capital Management L.P. filed this 13F-HR for the quarter ended 2013-06-30, filed 2013-08-13, with 441 holding rows worth $6,441,051,000.
- Accession
- 0001288136-13-000063
- Filer
- CIK 1288136
- Filed
- 2013-08-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2013
A holdings report, 441 entries on the cover page, a total value of $6,441,051,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $6,441,051,000 with VALUE read as thousands by filing date, 13F file number 028-10902. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| SPY | 78462F103 | SHS | 4,893,800 | $785,062,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| SPY | 78462F103 | SHS | 1,450,000 | $232,609,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ANNALY CAP MGMT INC | 035710AB8 | NOTE 5.000% 5/1 | 165,597,000 | $167,037,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| GENERAL MTRS CO | 37045V126 | *W EXP 07/10/201 | 9,577,705 | $157,936,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OCWEN FINL CORP | 675746309 | COM NEW | 3,669,116 | $151,240,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 3,845,000 | $107,699,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN CAPITAL LTD | 02503Y103 | COM | 7,557,950 | $95,760,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| VODAFONE GP PLC | 92857W209 | ADR | 3,066,500 | $88,146,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 215,100 | $85,292,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 2,531,738 | $70,914,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KNIGHT CAPITAL GROUP INC | 499005AE6 | CONV BD US | 68,500,000 | $68,155,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 160,400 | $63,603,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN CAP MTG INVT CORP | 02504A104 | COM | 3,503,152 | $62,969,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CYS INVTS INC | 12673A108 | COM | 6,634,232 | $61,101,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SIGMA ALDRICH CORP | 826552101 | COM | 759,100 | $61,047,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SPRINT NEXTEL CORP | 852061100 | COM SER 1 | 8,639,117 | $60,647,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 57,700,000 | $57,424,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 1,000,000 | $57,300,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ANWORTH MORTGAGE ASSET CP | 037347101 | COM | 9,765,815 | $54,690,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW RESIDENTIAL INVT CORP | 64828T102 | COM | 8,112,823 | $54,681,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WALTER INVT MGMT CORP | 93317W102 | COM | 1,598,486 | $54,043,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TORONTO DOMINION BK ONT COM NEW | 891160509 | Stock | 625,100 | $52,802,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| GENERAL MTRS CO | 37045V118 | *W EXP 07/10/201 | 2,096,328 | $50,312,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Johnson & Johnson | 478160104 | COM | 584,600 | $50,193,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ARMOUR RESIDENTIAL REIT IN | 042315101 | COM | 10,418,348 | $49,070,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CLEARWIRE CORP NEW | 18538Q105 | CL A | 9,290,032 | $46,403,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL ELEC CO | 369604103 | COM | 1,951,100 | $45,246,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| LINCOLN NATL CORP IND COM | 534187109 | Stock | 1,239,293 | $45,198,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUNTRUST BANKS INC | 867914103 | COM | 1,418,868 | $44,795,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANNALY CAPITAL MANAGEMENT | 035710409 | COM | 3,522,200 | $44,274,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| DOMINION RESOURCES INC/VA | 25746UAT6 | CNV | 25,000,000 | $42,002,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| AETNA INC NEW | 00817Y108 | COM | 660,842 | $41,991,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SanDisk Corporation | 80004C101 | COM | 687,237 | $41,990,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 445,400 | $40,242,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK CDA COM | 780087102 | Stock | 644,700 | $39,508,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| COMERICAINC | 200340107 | COM | 984,066 | $39,195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMTRUST FINANCIAL SERVICES I | 032359AC5 | NOTE 5.500%12/1 | 26,900,000 | $37,728,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| PHH CORP | 693320AQ6 | CNV | 20,000,000 | $36,062,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| DISCOVER FINL SVCS | 254709108 | COM | 741,956 | $35,347,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MOHAWK INDS INC | 608190104 | COM | 309,538 | $34,820,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 380,900 | $34,415,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ZOETIS INC CL A | 98978V103 | Stock | 1,106,600 | $34,183,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HEARTLAND PMT SYS INC | 42235N108 | COM | 903,477 | $33,654,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| International Business Machines Corporation | 459200101 | COM | 174,800 | $33,406,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CMS ENERGY CORP | 125896BD1 | CNV | 16,685,000 | $33,224,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| NATIONAL RETAIL PPTYS INC NOTE 5.125% 6/1 | 637417AC0 | Common | 24,455,000 | $33,157,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| TD AMERITRADE HLDG CORP | 87236Y108 | COM | 1,361,071 | $33,061,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRUDENTIAL FINL INC COM | 744320102 | Stock | 446,428 | $32,602,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287184 | CHINA LG-CAP ETF | 1,000,000 | $32,520,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| WALTER INVESTMENT MANAGEMENT | 93317WAA0 | CNV | 31,138,000 | $31,332,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| SPRINT NEXTEL CORP | 852061100 | COM SER 1 | 4,383,000 | $30,768,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| TYSON FOODS INC | 902494AP8 | NOTE | 20,000,000 | $30,662,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| ZOETIS INC CL A | 98978V103 | Stock | 980,665 | $30,293,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 500,100 | $28,656,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN CAPITAL AGENCY CORP | 02503X105 | COMMON STOCK | 1,237,138 | $28,466,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOME LN SERVICING SOLUTIONS | G6648D109 | ORD SHS | 1,177,882 | $28,236,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TESLA MOTORS INC 1.500 | 88160RAA9 | NOTE 1.500% 6/0 | 25,000,000 | $28,076,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Schlumberger Limited | 806857108 | COM | 390,454 | $27,981,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 1,800,000 | $26,820,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 740,400 | $25,574,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 629,400 | $25,246,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ARBITRON INC | 03875Q108 | COM | 519,307 | $24,122,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| APOLLO RESIDENTIAL MORTGAGE | 03763V102 | COM | 1,449,642 | $23,891,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLSTATE CORP COM | 020002101 | Stock | 494,966 | $23,818,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MYLAN INC | 628530AJ6 | CORPORATE OBLIG | 10,000,000 | $23,709,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 312,500 | $23,326,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Chevron Corporation | 166764100 | COM | 195,800 | $23,171,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| STERLITE INDS INDIA LTD | 859737AB4 | NOTE 4.000%10/3 | 23,700,000 | $23,077,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 1,170,000 | $22,751,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| EVERTEC INC | 30040P103 | COM | 1,021,043 | $22,434,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Wells Fargo & Company | 949746101 | COM | 542,000 | $22,369,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Johnson & Johnson | 478160104 | COM | 259,300 | $22,263,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| USBANCORPDEL | 902973304 | COM NEW | 606,550 | $21,928,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Lowes Companies,Inc. | 548661107 | COM | 533,200 | $21,808,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AVALONBAY CMNTYS INC COM | 053484101 | REIT | 161,150 | $21,741,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Pfizer Inc. | 717081103 | COM | 752,400 | $21,076,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Procter & Gamble Co | 742718109 | COM | 272,000 | $20,941,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 1,000,000 | $20,710,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 1,000,000 | $20,710,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| TARGET CORP COM | 87612E106 | Stock | 300,000 | $20,656,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ZOETIS INC CL A | 98978V103 | Stock | 659,300 | $20,366,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ANADARKO PETROLEUM CORP | 032511107 | COM | 235,503 | $20,237,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SCORPIO TANKERS INC | Y7542C106 | COMMON STOCK-FO | 2,215,324 | $19,894,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 575,900 | $19,891,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CIENA CORP | 171779AK7 | DEBT 4.000%12/1 | 15,300,000 | $19,831,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| PUBLIC STORAGE COM | 74460D109 | REIT | 128,205 | $19,657,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JPMorgan Chase & Co | 46625H100 | COM | 370,500 | $19,560,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 552,000 | $19,541,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| HALLIBURTON CO COM | 406216101 | Stock | 467,456 | $19,502,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BANK MONTREAL MEDIUM COM | 063671101 | Stock | 312,500 | $19,063,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Procter & Gamble Co | 742718109 | COM | 245,300 | $18,886,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| LIBERTY MEDIA CORP | 530715AN1 | DEB 3.500% 1/1 | 36,500,000 | $18,706,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Chevron Corporation | 166764100 | COM | 155,784 | $18,436,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SEI INVTS CO COM | 784117103 | Stock | 641,811 | $18,246,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walmart Inc. | 931142103 | COM | 244,400 | $18,206,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 508,900 | $18,015,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HUMANA INC COM | 444859102 | Stock | 211,744 | $17,866,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GENERAL ELEC CO | 369604103 | COM | 769,400 | $17,842,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 382,300 | $17,758,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CUBESMART COM | 229663109 | REIT | 1,095,873 | $17,512,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 38259p508 | COM | 19,800 | $17,428,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. | |
| International Business Machines Corporation | 459200101 | COM | 90,900 | $17,373,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Wells Fargo & Company | 949746101 | COM | 416,400 | $17,186,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAPITAL CORP | 74348TAC6 | NOTE 6.250% | 15,707,000 | $17,072,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 1,002,700 | $16,464,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| RAIT FINANCIAL TRUST | 749227AA2 | NOTE 7.000% 4/0 | 13,184,000 | $16,416,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| EVERCORE INC CLASS A | 29977A105 | Stock | 382,190 | $15,012,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO LTD SHS | G491BT108 | Stock | 468,000 | $14,882,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 902,700 | $14,822,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JPMorgan Chase & Co | 46625H100 | COM | 280,000 | $14,782,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 281,400 | $14,166,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| APOLLO INVT CORP | 03761U106 | COM | 1,809,317 | $14,003,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 574,800 | $13,987,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| PRICELINE GRP INC | 741503403 | COM NEW | 16,853 | $13,932,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 344,800 | $13,830,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| 38259p508 | COM | 15,600 | $13,733,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. | |
| Chevron Corporation | 166764100 | COM | 115,200 | $13,632,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 270,600 | $13,622,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| NOBLE ENERGY INC | 655044105 | COM | 219,779 | $13,195,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOMARIN PHARMACEUTICAL INC | 09061GAD3 | CNV | 4,700,000 | $13,089,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| U S AIRWAYS GROUP INC | 90341W108 | COM | 793,900 | $13,036,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Bank of America Corp | 060505104 | COM | 992,700 | $12,766,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Merck & Co.,Inc. | 58933Y105 | COM | 274,500 | $12,751,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| AT&T Inc | 00206R102 | COM | 354,314 | $12,543,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PepsiCo,Inc. | 713448108 | COM | 152,500 | $12,473,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Apple Inc | 037833100 | COM | 31,419 | $12,459,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Citigroup Inc. | 172967424 | COM | 257,500 | $12,352,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Home Depot, Inc | 437076102 | COM | 157,400 | $12,194,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN CAMPUS COMMUNITIES | 024835100 | COM | 292,700 | $11,902,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| DRESSER-RAND GROUP INC | 261608103 | COM | 196,821 | $11,805,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LENNAR CORP CL A | 526057104 | Stock | 326,011 | $11,750,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 483,600 | $11,717,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| MORGANS HOTEL GROUP CO | 61748W108 | COM | 1,442,890 | $11,630,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PepsiCo,Inc. | 713448108 | COM | 140,300 | $11,474,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Comcast Corp | 20030N101 | COM | 268,200 | $11,197,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| USBANCORPDEL | 902973304 | COM NEW | 308,800 | $11,164,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 176,200 | $11,127,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 99,200 | $11,102,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Berkshire Hathaway Inc | 084670702 | COM | 98,700 | $11,046,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Marsh & McLennan Companies,Inc. | 571748102 | COM | 275,500 | $10,998,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Cisco Systems,Inc. | 17275R102 | COM | 451,700 | $10,993,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| MASCO CORP | 574599106 | COM | 562,300 | $10,958,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 179,000 | $10,935,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| KBHOME | 48666K109 | COM | 556,300 | $10,921,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Intel Corp | 458140100 | COM | 447,000 | $10,830,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| GENCORP INC | 368682AN0 | SDCV | 5,792,000 | $10,726,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Bank of America Corp | 060505104 | COM | 822,600 | $10,579,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Citigroup Inc. | 172967424 | COM | 220,200 | $10,563,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| COBALT INTL ENERGY INC | 19075F106 | COM | 391,128 | $10,392,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 200,000 | $10,354,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CHINA MOBILE LIMITED | 16941M109 | SPONSORED ADR | 200,000 | $10,354,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Walt Disney Co | 254687106 | COM | 162,800 | $10,282,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| COLONY FINL INC | 19624RAA4 | NOTE 5.000% 4/1 | 10,000,000 | $10,217,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Amazon.com, Inc | 023135106 | COM | 36,000 | $9,996,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BEAZER HOMES USA INC | 07556Q881 | COMMON STOCK | 554,415 | $9,713,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Comcast Corp | 20030N101 | COM | 224,600 | $9,377,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Oracle Corporation | 68389X105 | COM | 303,600 | $9,323,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| BANK NOVA SCOTIA B C COM | 064149107 | Stock | 162,500 | $9,128,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HAWAIIAN TELCOM HOLDCO INC | 420031106 | COM | 361,003 | $9,082,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Home Depot, Inc | 437076102 | COM | 116,100 | $8,995,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CNA FINL CORP | 126117100 | COM | 273,473 | $8,921,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 145,900 | $8,914,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CHART INDS INC | 16115Q308 | COM | 92,843 | $8,736,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HORNBECK OFFSHORE SVCS INC N | 440543106 | COM | 162,146 | $8,675,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIMAREX ENERGY CO COM | 171798101 | Stock | 132,686 | $8,624,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amazon.com, Inc | 023135106 | COM | 30,900 | $8,580,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| APACHE CORP | 037411105 | COM | 101,331 | $8,495,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 85,100 | $8,426,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Walmart Inc. | 931142103 | COM | 113,000 | $8,417,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 87,700 | $8,150,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SUPERIOR ENERGY SVCS INC | 868157108 | COM | 310,406 | $8,052,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Philip Morris International Inc. | 718172109 | COM | 91,300 | $7,909,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| PGT INNOVATIONS INC | 69336V101 | COM | 909,635 | $7,886,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Philip Morris International Inc. | 718172109 | COM | 90,900 | $7,873,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Morgan Stanley | 617446448 | COM | 316,000 | $7,719,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Schlumberger Limited | 806857108 | COM | 106,800 | $7,652,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ACTAVIS INC | 00507K103 | COM | 60,469 | $7,633,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Schlumberger Limited | 806857108 | COM | 106,100 | $7,602,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Altria Group Inc | 02209S103 | COM | 210,700 | $7,372,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| American Express Company | 025816109 | COM | 95,300 | $7,125,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ELLINGTON CREDIT COMPANY | 288578107 | COM SHS BEN INT | 398,658 | $7,116,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Amgen Inc. | 031162100 | COM | 71,900 | $7,094,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 46,700 | $7,064,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| SM ENERGY COMPANY COM | 78454L100 | Stock | 117,757 | $7,063,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SLR INVESTMENT CORP | 83413U100 | COM | 301,879 | $6,970,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARES CAP CORP | 04010LAD5 | NOTE 5.125% 6/0 | 6,500,000 | $6,924,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| 3M CO COM | 88579Y101 | Stock | 63,000 | $6,889,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Amgen Inc. | 031162100 | COM | 69,400 | $6,848,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HEARTWARE INTL INC | 422368100 | COM | 71,320 | $6,783,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Oracle Corporation | 68389X105 | COM | 220,500 | $6,772,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| SAFEGUARD SCIENTIFICS INC | 786449AJ7 | BOND | 6,000,000 | $6,635,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| ISHARES TR | 464288513 | IBOXX HI YD ETF | 72,860 | $6,622,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA UNICOM HONG KONG | 16945R104 | SPONSORED ADR | 500,000 | $6,570,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Gilead Sciences,Inc. | 375558103 | COM | 124,800 | $6,401,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| KOSMOS ENERGY LTD | G5315B107 | SHS | 629,213 | $6,393,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| American Express Company | 025816109 | COM | 85,500 | $6,392,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| OCEANEERING INTL INC | 675232102 | COM | 88,315 | $6,377,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHEMED CORP NEW 1.875 | 16359RAC7 | NOTE | 6,000,000 | $6,325,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| UNITED TECHNOLOGIES CORP | 913017109 | COM | 67,400 | $6,263,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| BARCLAYS BK PLC | 06740C188 | IPATH S&P500 VIX | 300,000 | $6,214,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GULFMARK OFFSHORE INC | 402629208 | COMMON STOCK | 137,655 | $6,207,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Gilead Sciences,Inc. | 375558103 | COM | 120,700 | $6,191,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| HEALTHSOUTH CORP | 421924309 | COM NEW | 213,009 | $6,135,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OCCIDENTAL PETE CORP | 674599105 | COM | 68,700 | $6,132,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 61,700 | $6,109,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| COTERRA ENERGY INC COM | 127097103 | Stock | 84,962 | $6,034,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ConocoPhillips | 20825C104 | COM | 98,000 | $5,931,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| ConocoPhillips | 20825C104 | COM | 97,400 | $5,893,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| ARES CAPITAL CORP | 04010L103 | COM | 341,598 | $5,875,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 3M CO COM | 88579Y101 | Stock | 53,400 | $5,839,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| LJ INTL INC | G55312105 | ORD | 2,946,050 | $5,804,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SOUTHWESTERN ENERGY CO | 845467109 | COM | 158,696 | $5,797,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AbbVie,Inc. | 00287Y109 | COM | 139,100 | $5,750,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| OCCIDENTAL PETE CORP | 674599105 | COM | 63,600 | $5,676,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Union Pacific Corporation | 907818108 | COM | 36,600 | $5,647,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Union Pacific Corporation | 907818108 | COM | 36,600 | $5,647,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CVS Health Corporation | 126650100 | COM | 97,900 | $5,598,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| CVS Health Corporation | 126650100 | COM | 97,800 | $5,593,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Procter & Gamble Co | 742718109 | COM | 72,625 | $5,591,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PERFORMANT HEALTHCARE INC | 71377E105 | COM | 482,017 | $5,586,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Goldman Sachs Group,Inc. | 38141G104 | COM | 36,700 | $5,551,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Coca-Cola Company | 191216100 | COM | 136,313 | $5,468,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Walmart Inc. | 931142103 | COM | 73,080 | $5,444,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TAMINCO CORP | 87509U106 | COM | 257,999 | $5,261,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Philip Morris International Inc. | 718172109 | COM | 60,722 | $5,260,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STONE ENERGY CORP | 861642106 | COMMON STOCK | 237,966 | $5,242,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Visa Inc | 92826C839 | COM | 27,900 | $5,098,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| QIWI PLC | 74735M108 | SPON ADR REP B | 218,411 | $5,068,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MOLSON COORS BREWING CO | 60871RAA8 | NOTE 2.500% 7/3 | 5,000,000 | $5,031,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Visa Inc | 92826C839 | COM | 27,400 | $5,007,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Oracle Corporation | 68389X105 | COM | 161,302 | $4,954,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRINA SOLAR LIMITED | 89628EAA2 | NOTE 4.000% 7/1 | 5,000,000 | $4,945,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 217,000 | $4,856,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| WHITEWAVE FOODS CO | 966244204 | COM CL B | 318,615 | $4,844,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PETROCHINA CO LTD ADR | 71646E100 | SPONSORED ADR | 43,378 | $4,801,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AbbVie,Inc. | 00287Y109 | COM | 115,400 | $4,770,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| BAIDU INC SPON ADR REP A | 056752108 | ADR | 50,000 | $4,730,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 204,273 | $4,524,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| STEALTHGAS INC | Y81669106 | COM | 398,810 | $4,387,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RENAISSANCERE HLDGS LTD COM | G7496G103 | Stock | 49,974 | $4,337,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XILINX INC 2.625 | 983919AF8 | NOTE 2.625% 6/1 | 3,000,000 | $4,309,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| MFA FINL INC | 55272X102 | COM | 502,136 | $4,243,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BGS ACQUISITION CORP | G1082J100 | SH | 411,500 | $4,165,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALLEGHENY TECHNOLOGIES INC | 01741RAD4 | NOTE | 4,000,000 | $4,137,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| CHATHAM LODGING TR | 16208T102 | COM | 236,595 | $4,064,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Bristol-Myers Squibb Company | 110122108 | COM | 89,000 | $3,978,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| EBAY INC. COM | 278642103 | Stock | 76,700 | $3,967,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| Bristol-Myers Squibb Company | 110122108 | COM | 88,400 | $3,951,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Comcast Corp | 20030N101 | COM | 93,443 | $3,901,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA PETROLEUM AND CHEMICAL-A | 16941R108 | SPON ADR H SHS | 42,513 | $3,890,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Altria Group Inc | 02209S103 | COM | 110,100 | $3,852,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| CATAMARAN CORP | 148887102 | COM | 78,893 | $3,846,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIS ACQUISITION LTD | G21490209 | SHS SER A | 380,000 | $3,823,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Qualcomm Incorporated | 747525103 | COM | 61,462 | $3,755,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SONY GROUP CORP SPONSORED ADR | 835699307 | ADR | 175,640 | $3,721,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KEY ENERGY SVCS INC | 492914106 | COM | 624,042 | $3,713,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EXPRESS SCRIPTS HLDG CO | 30219G108 | COM | 59,867 | $3,696,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOAMBER INC | 09072Q106 | COM | 537,500 | $3,655,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Progressive Corporation | 743315103 | COM | 141,494 | $3,597,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| USBANCORPDEL | 902973304 | COM NEW | 99,300 | $3,591,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 30,000 | $3,574,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| SPDR GOLD TR | 78463V107 | GOLD SHS | 30,000 | $3,574,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL BRASS & COPPR HLDGS I | 37953G103 | COM | 269,900 | $3,574,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COLLABRIUM JAPAN ACQUISITN C | G2266G102 | SHS | 350,011 | $3,536,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESTMENT TECHNOLOGY GROUP | 46145F105 | COMMON STOCK | 250,000 | $3,495,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| DRIL-QUIP INC | 262037104 | COM | 38,573 | $3,483,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK CORPORATE HIGH YIELD | 09255P107 | COM | 289,026 | $3,462,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OMNICOM GROUP INC | 681919AV8 | NOTE 7/3 | 3,000,000 | $3,444,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| MARATHON OIL CORP | 565849106 | COM | 99,133 | $3,428,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Verizon Communications Inc | 92343V104 | COM | 66,571 | $3,351,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SINOVAC BIOTECH LTD | P8696W104 | SHS | 846,554 | $3,326,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEW ORIENTAL EDUCATION & TECHN | 647581107 | SPON ADR | 150,000 | $3,323,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| UnitedHealth Group Inc | 91324P102 | COM | 50,000 | $3,274,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| UnitedHealth Group Inc | 91324P102 | COM | 49,900 | $3,268,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| Amgen Inc. | 031162100 | COM | 32,908 | $3,247,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EBAY INC. COM | 278642103 | Stock | 62,700 | $3,242,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| IAC INTERACTIVECORP | 44919P508 | COM | 67,780 | $3,225,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MELCO RESORTS & ENTERTAINMENT | 585464100 | ADR | 143,426 | $3,207,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PEDIATRIX MEDICAL GROUP INC | 58502B106 | COM | 34,735 | $3,181,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MAXIMUS INC | 577933104 | COM | 41,930 | $3,123,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARGO GROUP INTERNATIONAL | G0464B107 | COMMON STOCK | 73,260 | $3,106,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ICONIX BRAND GROUP INC | 451055107 | COM | 105,300 | $3,097,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SS&C TECH HLDGS COM | 78467J100 | Stock | 91,732 | $3,018,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EDWARDS GROUP LTD | 281736108 | SPONSORED ADR | 352,727 | $2,998,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAPITAL CORPORATION | 74348T102 | COM | 274,978 | $2,970,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR STRATEGIC HIGH INC | 337353304 | COM SHS NEW | 188,042 | $2,961,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 275,000 | $2,893,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RED HAT INC | 756577102 | COM | 59,033 | $2,823,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HMS HLDGS CORP | 40425J101 | COM | 119,556 | $2,785,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CAMPUS CREST COMMUNITIES I | 13466Y105 | COM | 240,650 | $2,778,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Boeing Company | 097023105 | COM | 26,500 | $2,715,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET HIGH YIELD DEF | 95768B107 | COM | 149,290 | $2,639,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIRST TR HIGH INCOME L/S FD | 33738E109 | COM | 147,826 | $2,596,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TETRAPHASE PHARMACEUTICALS INC | 88165N105 | COMMON STOCK | 363,667 | $2,557,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| 38259p508 | COM | 2,881 | $2,537,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. | |
| CEMEX SAB DE CV SPON ADR NEW | 151290889 | ADR | 239,200 | $2,531,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UBIQUITI NETWORKS INC | 90347A100 | COM | 143,698 | $2,520,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INFINITY CROSS BORDER ACQUIS | G4772R101 | SHS | 315,000 | $2,470,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AQUASITION CORP | Y0192H103 | COM | 249,900 | $2,469,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET HIGH INCOME OP | 95766K109 | COM | 414,458 | $2,462,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FIFTH STREET FIN CORP COM | 31678A103 | COM | 229,569 | $2,399,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MARIN SOFTWARE INC | 56804T106 | COM | 226,000 | $2,315,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| McDonalds Corporation | 580135101 | COM | 23,302 | $2,307,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK CORPOR HI YLD FD V | 09255N102 | COM | 188,671 | $2,307,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Boeing Company | 097023105 | COM | 21,800 | $2,234,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| EXXON MOBIL CORP | 30231G102 | COM | 24,688 | $2,231,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EBAY INC. COM | 278642103 | Stock | 42,824 | $2,215,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TOWERSTREAM CORP | 892000100 | COM | 859,041 | $2,191,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PEOPLE'S UNITED FINANCIAL INC | 712704105 | COM | 138,856 | $2,069,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ADVANCED MICRO DEVICES | 007903AL1 | CORPORATE OBLIG | 2,030,000 | $2,069,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| DFC GLOBAL CORP | 23324T107 | COM | 141,000 | $1,948,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EDGEN GROUP INC | 28014Q107 | CL A | 300,000 | $1,914,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AK STEEL HOLDING CORP | 001547108 | COM | 592,600 | $1,802,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HA SUSTAINABLE INFRA CAP INC | 41068X100 | COM | 150,000 | $1,782,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PERICOM SEMICONDUCTOR CORP | 713831105 | COM | 250,000 | $1,780,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MEDIVATION INC | 58501N101 | COM | 35,100 | $1,727,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| LAS VEGAS SANDS CORP COM | 517834107 | Stock | 32,322 | $1,711,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NETAPP INC COM | 64110D104 | Stock | 44,884 | $1,696,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CYAN INC | 23247W104 | COM | 156,620 | $1,637,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RITE AID CORP | 767754BU7 | CNV | 1,150,000 | $1,632,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| INCONTACT INC | 45336E109 | COM | 197,921 | $1,627,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WELLPOINT INC | 94973V107 | COM | 19,798 | $1,621,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ST JUDE MED INC | 790849103 | COM | 35,021 | $1,598,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| THORATEC CORP | 885175307 | COM | 50,802 | $1,591,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYAL BK CDA COM | 780087102 | Stock | 25,361 | $1,554,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ECOTALITY INC | 27922Y202 | COM NEW | 1,000,000 | $1,550,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QUICKSILVER RESOURCES INC. | 74837R104 | COMMON STOCK | 911,657 | $1,532,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOLOGIC INC | 436440101 | COM | 79,356 | $1,531,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| F5 INC COM | 315616102 | Stock | 22,240 | $1,530,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 105,000 | $1,497,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHART ACQUISITION CORP | 161151105 | COM | 148,400 | $1,494,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COGNIZANT TECHNOLOGY SOLUTIONS CL A | 192446102 | Stock | 23,286 | $1,459,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| United Parcel Service,Inc. Class B | 911312106 | COM | 16,600 | $1,436,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| TAKE-TWO INTERACTIVE SOFTWARE COM | 874054109 | Stock | 94,300 | $1,412,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZYNGA INC. | 98986T108 | CL A | 500,000 | $1,390,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FRANKLIN STR PPTYS CORP | 35471R106 | COM | 103,837 | $1,371,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TITAN MACHY INC | 88830R101 | COM | 69,500 | $1,364,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| OFS CAPITAL CORP | 67103B100 | COM | 114,098 | $1,358,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GREENBRIER COS INC | 393657101 | COM | 53,488 | $1,304,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NEUBERGER BERMAN HIGH YIELD ST | 64128C106 | COM | 100,567 | $1,289,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN COASTAL INSURANCE C | 910710102 | COMMON STOCK | 180,229 | $1,259,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| KNOT OFFSHORE PARTNERS LP | Y48125101 | COM UNITS | 56,345 | $1,241,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMBIT BIOSCIENCES CORP | 02318X100 | COM | 174,100 | $1,219,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BALTIC TRADING LTD | Y0553W103 | COM | 325,000 | $1,205,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 26,900 | $1,202,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| AMERICAN INTL GROUP INC COM NEW | 026874784 | Stock | 26,900 | $1,202,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| NQ MOBILE INC | 64118U108 | ADR REPR CL A | 145,853 | $1,178,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANDINA ACQUISITION CORP | G0440W100 | COM | 116,944 | $1,163,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INLAND REAL ESTATE CORP 5% CB 11/15/2029-REGISTERED | 457461AC5 | Bond | 1,059,000 | $1,148,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| Caterpillar Inc. | 149123101 | COM | 13,700 | $1,130,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| United Parcel Service,Inc. Class B | 911312106 | COM | 12,900 | $1,116,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| MAST THERAPEUTICS INC | 576314108 | COM | 2,578,486 | $1,106,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WELLCARE HEALTH PLANS INC | 94946T106 | COM | 19,889 | $1,105,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BROADSOFT INC | 11133B409 | COM | 39,843 | $1,099,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AVANTAX INC | 095229100 | COMMON STOCK | 59,100 | $1,096,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PULTE GROUP INC COM | 745867101 | Stock | 55,735 | $1,057,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Thermo Fisher Scientific Inc. | 883556102 | COM | 12,339 | $1,044,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MEDTRONIC INC | 585055106 | COM | 19,882 | $1,023,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MGIC INVESTMENT CORP | 552848AD5 | CONV BND | 1,000,000 | $1,020,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| RACKSPACE HOSTING INC | 750086100 | COM | 26,697 | $1,012,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GLOBAL POWER EQUIPMENT GRP I | 37941P306 | COM PAR $0.01 | 61,139 | $985,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PepsiCo,Inc. | 713448108 | COM | 11,734 | $960,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BROOKDALE SR LIVING INC | 112463104 | COM | 35,800 | $946,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Altria Group Inc | 02209S103 | COM | 26,502 | $927,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BRIGHT HORIZONS FAM SOL IN DEL COM | 109194100 | Stock | 25,978 | $902,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOSCRIP INC | 09069N108 | COM | 53,079 | $876,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIENA CORP COM NEW | 171779309 | Stock | 43,296 | $841,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MOSYS INC COM | 619718109 | COM | 207,349 | $834,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| YINGLI GREEN ENERGY HLDG CO | 98584B103 | ADR | 253,505 | $821,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INFORMATICA CORP | 45666Q102 | COM | 23,162 | $810,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CONSTANT CONTACT INC | 210313102 | COM | 50,223 | $807,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SUNTECH PWR HLDGS CO LTD | 86800CAE4 | NOTE 3.000% 3/1 | 3,000,000 | $795,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| WESTERN ASSET MGD HI INCM FD | 95766L107 | COM | 135,460 | $791,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AUTODESK INC COM | 052769106 | Stock | 22,877 | $776,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TTM TECHNOLOGIES INC | 87305R109 | COM | 92,464 | $776,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Gilead Sciences,Inc. | 375558103 | COM | 14,913 | $765,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QIHOO 360 TECHNOLOGY CO LTD | 74734M109 | COMMON STOCK-FO | 15,972 | $738,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MANAGED HIGH YIELD PLUS FD I | 561911108 | COM | 366,765 | $734,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HMS HLDGS CORP | 40425J101 | COM | 30,000 | $699,000 | thousands by filing date | callThe filing omitted confidential holdings, a later amendment may add them. |
| STRATEGY INC CL A NEW | 594972408 | Stock | 7,614 | $662,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HELIOS ADVANTAGE INCOME FD I | 42327W206 | COM NEW | 77,625 | $645,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ALTISOURCE RESIDENTIAL CORP | 02153W100 | CL B | 36,654 | $612,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FORTINET INC COM | 34959E109 | Stock | 34,636 | $606,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HELIOS MULTI SEC HI INC FD I | 42327Y202 | COM NEW | 105,025 | $600,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EINSTEIN NOAH REST GROUP INC | 28257U104 | COM | 42,188 | $599,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| GIANT INTERACTIVE GROUP INC | 374511103 | ADR | 74,790 | $599,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 55,200 | $578,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ZHONGPIN INC | 98952K107 | COM | 42,500 | $571,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| TIBCO SOFTWARE INC | 88632Q103 | COM | 26,308 | $563,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| QLIK TECHNOLOGIES INC | 74733T105 | COM | 19,082 | $540,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MORGAN STANLEY EASTN EUR FD | 616988101 | COM | 33,139 | $536,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| JA SOLAR HOLDINGS CO LTD | 466090206 | SPON ADR REP5ORD | 74,000 | $533,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNIVERSAL HLTH SVCS INC CL B | 913903100 | Stock | 7,866 | $527,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT CAPITAL CORPORATION | 74348TAK8 | MTNF 5.375%10/1 | 500,000 | $518,000 | thousands by filing date | principalThe filing omitted confidential holdings, a later amendment may add them. |
| DENALI FD INC | 24823A102 | COM | 26,099 | $508,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Caterpillar Inc. | 149123101 | COM | 6,000 | $495,000 | thousands by filing date | putThe filing omitted confidential holdings, a later amendment may add them. |
| RLI CORP COM | 749607107 | Stock | 6,472 | $495,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EMERITUS CORP | 291005106 | COMMON STOCK | 19,474 | $452,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SINCLAIR BROADCAST GROUP INC | 829226109 | CL A | 14,747 | $433,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HELIOS HIGH | 42327X204 | COM NEW | 52,874 | $431,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHANGYOU COM LTD | 15911M107 | ADS REP CL A | 14,000 | $426,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ROYCE FOCUS TR | 78080N108 | COM | 57,342 | $400,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SILVER STD RES INC | 82823L106 | COM | 60,000 | $380,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ATLAS FINANCIAL HOLDINGS INC | G06207115 | SHS NEW | 42,209 | $378,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| XUEDA ED GROUP | 98418W109 | SPONSORED ADR | 111,467 | $362,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN SELECT QUALITY MUN FD | 670973106 | COM | 25,700 | $349,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| UNIVERSAL BUSINESS PMT SOL A | 913384103 | COM | 111,234 | $334,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| HOVNANIAN ENTPR INC | 442487203 | COMMON STOCK | 57,220 | $321,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| TRINA SOLAR LIMITED | 89628E104 | SPON ADR | 51,550 | $307,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BIOAMBER INC | 09072Q114 | *W EXP 05/09/201 | 532,000 | $293,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 22,300 | $270,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| Microsoft Corp | 594918104 | COM | 7,300 | $252,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| SOHU.COM INC | 83408W103 | COMMON STOCK | 4,000 | $246,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AIR METHODS CORP | 009128307 | COM PAR $.06 | 7,265 | $246,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ConocoPhillips | 20825C104 | COM | 3,978 | $241,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 15,884 | $234,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MACQUARIE GLOBAL INFRASTRUCTUR | 55608D101 | COM | 11,302 | $231,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN QUALITY INC MUNI FUND | 670977107 | mf | 16,900 | $228,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PARKERVISION INC | 701354102 | COM | 50,000 | $228,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CIS ACQUISITION LTD | G21490118 | *W EXP 99/99/999 | 774,600 | $225,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| WUXI PHARMATECH CAYMAN INC | 929352102 | SPONS ADR SHS | 10,100 | $212,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| INFINITY CROSS BORDER ACQUIS | G4772R119 | *W EXP 07/25/201 | 315,000 | $199,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| EATON VANCE NATIONAL MUNICIPAL | 27829L105 | COM SHS | 10,000 | $197,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| MFS INVT GRADE MUN TR | 59318B108 | SH BEN INT | 20,800 | $194,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MD PREM INC MUNI FUND | 67061Q107 | mf | 14,350 | $192,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NUVEEN MUN ADVANTAGE FD IN | 67062H106 | COM | 13,800 | $186,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| FEDERATED PREM INTR MUN INC | 31423M105 | COM | 13,345 | $174,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BLUE WOLF MONGOLIA HOLDINGS | G11962118 | *W EXP 07/20/201 | 581,400 | $146,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| BGS ACQUISITION CORP | G1082J118 | *W EXP 03/21/201 | 676,000 | $135,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| COLLABRIUM JAPAN ACQUISITN C | G2266G110 | *W EXP 99/99/999 | 350,000 | $109,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PROSPECT GLOBAL RES INC | 74348X103 | COM | 1,003,211 | $81,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHART ACQUISITION CORP | 161151113 | *W EXP 12/19/201 | 148,400 | $77,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ANDINA ACQUISITION CORP | G0440W126 | *W EXP 03/16/201 | 295,100 | $71,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| PRIME ACQUISITION CORP | G72436127 | WRT | 181,000 | $68,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| AQUASITION CORP | Y0192H111 | *W EXP 99/99/999 | 256,600 | $62,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| NAUTILUS MARINE ACQUISIT COR | Y6255E119 | *W EXP 06/17/201 | 696,915 | $55,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA XD PLASTICS CO LTD | 16948F107 | COM | 13,000 | $53,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| ARMOUR RESIDENTIAL REIT INC | 042315119 | WARRANT | 5,036,672 | $50,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CHINA HYDROELECTRIC CORPORAT | G2112E145 | *W EXP 01/25/201 | 649,292 | $22,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| CRUMBS BAKE SHOP INC | 228803110 | *W EXP 05/05/201 | 95,609 | $9,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
| RESOLUTE ENERGY CORP | 76116A116 | WTS | 19,466 | $7,000 | thousands by filing date | The filing omitted confidential holdings, a later amendment may add them. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001288136-13-000063 | this filing | 2013-08-13 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-13-000080 | added | 2013-11-12 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-14-000060 | added | 2014-05-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001288136-14-000083 | added | 2014-08-12 | acceptance time not in the bulk data set |