13F-HR/A filed by BRC Group Holdings, Inc.
BRC Group Holdings, Inc. filed this 13F-HR/A for the quarter ended 2017-06-30, filed 2017-08-25, with 216 holding rows worth $367,819,000.
- Accession
- 0001615774-17-004735
- Filer
- CIK 1464790
- Filed
- 2017-08-25
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2017
A holdings report, amendment of type new holdings, 223 entries on the cover page, a total value of $367,819,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $367,823,000 with VALUE read as thousands by filing date, 13F file number 028-17148. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerB. RILEY CAPITAL MANAGEMENT, LLC028-17147
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 |
|---|---|---|---|---|---|---|
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 301,200 | $41,457,000 | thousands by filing date | put |
| iShares Russell 2000 ETF | 464287655 | SHS | 190,000 | $26,775,000 | thousands by filing date | put |
| VANGUARD INDEX FDS | 922908637 | LARGE CAP ETF | 78,189 | $8,681,000 | thousands by filing date | |
| HC2 HLDGS INC | 404139107 | COM | 1,434,511 | $8,435,000 | thousands by filing date | |
| COVISINT CORP | 22357R103 | COM | 3,141,213 | $7,696,000 | thousands by filing date | |
| ARISTA NETWORKS INC | 040413106 | COM | 50,000 | $7,490,000 | thousands by filing date | put |
| ROYAL BK CDA COM | 780087102 | Stock | 100,000 | $7,252,000 | thousands by filing date | put |
| FERROGLOBE PLC | G33856108 | SHS | 568,035 | $6,788,000 | thousands by filing date | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 65,334 | $6,646,000 | thousands by filing date | |
| MCBC HLDGS INC | 55276F107 | COM | 317,907 | $6,215,000 | thousands by filing date | |
| HEALTH INS INNOVATIONS INC | 42225K106 | COM CL A | 250,000 | $5,875,000 | thousands by filing date | |
| KEMET CORP | 488360207 | COM NEW | 430,296 | $5,508,000 | thousands by filing date | |
| C H ROBINSON WORLDWIDE IN COM NEW | 12541W209 | Stock | 80,000 | $5,494,000 | thousands by filing date | put |
| FINJAN HLDGS INC | 31788H303 | COM NEW | 1,664,319 | $5,459,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 75,000 | $5,108,000 | thousands by filing date | put |
| VANECK ETF TRUST | 92189F676 | COM | 60,000 | $4,912,000 | thousands by filing date | put |
| SOLAR SENIOR CAPITAL LTD | 83416M105 | COM | 277,831 | $4,651,000 | thousands by filing date | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 75,000 | $4,490,000 | thousands by filing date | call |
| FORD MTR CO COM | 345370860 | Stock | 400,000 | $4,476,000 | thousands by filing date | put |
| CLIPPER REALTY INC | 18885T306 | COM | 354,604 | $4,376,000 | thousands by filing date | |
| SOMNIGROUP INTERNATIONAL INC COM | 88023U101 | Stock | 70,000 | $3,737,000 | thousands by filing date | |
| INVUITY INC | 46187J205 | COM NEW | 500,000 | $3,625,000 | thousands by filing date | |
| iShares Russell Midcap ETF | 464287499 | SHS | 17,793 | $3,418,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 42,247 | $3,381,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 23,191 | $3,305,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 50,000 | $3,205,000 | thousands by filing date | put |
| Microsoft Corp | 594918104 | COM | 46,355 | $3,195,000 | thousands by filing date | |
| TELENAV INC | 879455103 | COMMON STOCK | 375,393 | $3,041,000 | thousands by filing date | |
| iShares Floating Rate Bond ETF | 46429B655 | SHS | 59,625 | $3,036,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 34,584 | $3,027,000 | thousands by filing date | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 3,000 | $2,806,000 | thousands by filing date | put |
| Boulevard Acquisition Corp II | 10157Q102 | CL A | 277,048 | $2,776,000 | thousands by filing date | |
| LONESTAR RES US INC | 54240F103 | CL A VTG | 638,101 | $2,744,000 | thousands by filing date | |
| VANGUARD MALVERN FDS | 922020805 | SHS | 52,996 | $2,609,000 | thousands by filing date | |
| PENNANTPARK FLOATING RATE CA | 70806A106 | COM | 183,585 | $2,590,000 | thousands by filing date | |
| PENNANTPARK INVESTMENT CORPORA | 708062104 | COM | 346,270 | $2,559,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A102 | CL A | 250,099 | $2,526,000 | thousands by filing date | |
| SNAP ON INC COM | 833034101 | Stock | 15,000 | $2,370,000 | thousands by filing date | put |
| HP INC COM | 40434L105 | Stock | 134,048 | $2,343,000 | thousands by filing date | |
| VWO | 922042858 | SHS | 52,553 | $2,146,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U102 | COM CL A | 209,998 | $2,041,000 | thousands by filing date | |
| VERITONE INC | 92347M100 | COM | 172,643 | $2,022,000 | thousands by filing date | |
| VONAGE HLDGS CORP | 92886T201 | COM | 307,500 | $2,011,000 | thousands by filing date | |
| C&J ENERGY SVCS INC NEW | 12674R100 | COM | 57,465 | $1,969,000 | thousands by filing date | |
| VTI | 922908769 | COM | 15,697 | $1,953,000 | thousands by filing date | |
| USANA HEALTH SCIENCES INC | 90328M107 | COMMON STOCK | 30,000 | $1,923,000 | thousands by filing date | |
| AEHR TEST SYSTEMS | 00760J108 | COMMON STOCK | 503,838 | $1,889,000 | thousands by filing date | |
| VERSO CORP | 92531L207 | CL A | 395,000 | $1,853,000 | thousands by filing date | |
| BROOKFIELD INFRASTRUCTURE PA | G16252101 | LP INT UNIT | 44,675 | $1,828,000 | thousands by filing date | |
| ISHARES TR | 464288448 | INTL SEL DIV ETF | 55,056 | $1,801,000 | thousands by filing date | |
| SELECT WATER SOLUTIONS INC | 81617J301 | CL A COM | 147,600 | $1,793,000 | thousands by filing date | |
| DOUBLELINE INCOME SOLUTIONS | 258622109 | COM | 85,546 | $1,767,000 | thousands by filing date | |
| Micron Technology,Inc. | 595112103 | COM | 58,962 | $1,761,000 | thousands by filing date | |
| MARVELL TECHNOLOGY GROUP LTD | G5876H105 | ORD | 105,948 | $1,750,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 7,180 | $1,736,000 | thousands by filing date | |
| DIGITAL TURBINE INC | 25400W102 | COM NEW | 1,682,399 | $1,733,000 | thousands by filing date | |
| ISHARES 1-5 YEAR INVESTMENT GRADE CORPORATE BOND ETF | 464288646 | ETF | 15,852 | $1,669,000 | thousands by filing date | |
| AMERICAN OUTDOOR BRANDS CORP | 02874P103 | COM | 75,000 | $1,662,000 | thousands by filing date | put |
| TONIX PHARMACEUTICALS HLDG C | 890260409 | COM | 378,138 | $1,637,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 10,661 | $1,535,000 | thousands by filing date | |
| GORES HLDGS II INC | 382867109 | COM CL A | 150,000 | $1,505,000 | thousands by filing date | |
| Vanguard Dividend Appreciation ETF | 921908844 | SHS | 16,183 | $1,500,000 | thousands by filing date | |
| ISHARES TR | 464288323 | NEW YORK MUN ETF | 13,446 | $1,500,000 | thousands by filing date | |
| FINISAR CORP | 31787A507 | COM NEW | 55,768 | $1,449,000 | thousands by filing date | |
| ISHARES TR | 464287465 | MSCI EAFE ETF | 21,782 | $1,420,000 | thousands by filing date | |
| NETLIST INC | 64118P109 | COM | 1,351,013 | $1,378,000 | thousands by filing date | |
| CREDIT ACCEP CORP MICH | 225310101 | COM | 5,200 | $1,337,000 | thousands by filing date | |
| iShares iBoxx Inv Grade Corporate Bond ETF | 464287242 | SHS | 10,572 | $1,274,000 | thousands by filing date | |
| ARES CAPITAL CORP | 04010L103 | COM | 76,733 | $1,257,000 | thousands by filing date | |
| AUTOLIV INC | 052800109 | COM | 11,426 | $1,255,000 | thousands by filing date | |
| ATLANTIC ALLIANCE PARTNER CO | G04897107 | SHS | 122,381 | $1,254,000 | thousands by filing date | |
| TWITTER INC | 90184L102 | COM | 70,000 | $1,251,000 | thousands by filing date | call |
| STURM, RUGER & COMPANY INC | 864159108 | COM | 20,000 | $1,243,000 | thousands by filing date | put |
| DORMAN PRODS INC | 258278100 | COM | 15,000 | $1,242,000 | thousands by filing date | put |
| NMI HLDGS INC | 629209305 | COM | 313,870 | $1,229,000 | thousands by filing date | |
| CANADIAN IMPERIAL BANK OF COMM COM | 136069101 | Stock | 15,000 | $1,217,000 | thousands by filing date | put |
| MIMEDX GROUP INC | 602496101 | COM | 80,000 | $1,198,000 | thousands by filing date | call |
| PIMCO ETF TR | 72201R718 | ENHNCD LW DUR AC | 11,544 | $1,169,000 | thousands by filing date | |
| GW PHARMACEUTICALS PLC | 36197T103 | ADS | 11,600 | $1,163,000 | thousands by filing date | put |
| CADIZ INC | 127537207 | COM NEW | 84,042 | $1,135,000 | thousands by filing date | |
| ISHARES TR | 464288281 | JPMORGAN USD EMG | 9,899 | $1,132,000 | thousands by filing date | |
| ISHARES INC | 464286525 | MSCI GBL MIN VOL | 14,269 | $1,129,000 | thousands by filing date | |
| PowerShares QQQ Trust Unit Ser | 73935A104 | COM | 8,108 | $1,116,000 | thousands by filing date | |
| CARVANA CO CL A | 146869102 | Stock | 53,758 | $1,100,000 | thousands by filing date | |
| PRIMO WTR CORP | 74165N105 | COM | 84,375 | $1,072,000 | thousands by filing date | |
| iShares MSCI USA Min Vol Factor ETF | 46429B697 | SHS | 21,269 | $1,041,000 | thousands by filing date | |
| ISHARES TR | 464287168 | COM | 11,093 | $1,023,000 | thousands by filing date | |
| LUMENTUM HLDGS INC COM | 55024U109 | Stock | 17,775 | $1,014,000 | thousands by filing date | |
| ORGANOGENESIS HOLDINGS INC | G0726L125 | Stock | 100,000 | $985,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G109 | COM | 100,000 | $980,000 | thousands by filing date | |
| MODEL PERFORMANCE ACQUISIT-A | 57682V106 | Common | 100,000 | $966,000 | thousands by filing date | |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 8,758 | $964,000 | thousands by filing date | |
| ISHARES MSCI TURKEY ETF | 464286715 | ETF | 23,000 | $955,000 | thousands by filing date | |
| HEXCEL CORP NEW | 428291108 | COM | 17,885 | $944,000 | thousands by filing date | |
| OOMA INC | 683416101 | COM | 115,845 | $927,000 | thousands by filing date | |
| HEWLETT PACKARD ENTERPRISE CO COM | 42824C109 | Stock | 55,312 | $918,000 | thousands by filing date | |
| MIMEDX GROUP INC | 602496101 | COM | 59,900 | $897,000 | thousands by filing date | |
| HANESBRANDS INC | 410345102 | COM | 38,500 | $892,000 | thousands by filing date | put |
| TORTOISE MIDSTRM ENERGY FD I | 89148B101 | COM | 46,160 | $890,000 | thousands by filing date | |
| SEQUANS COMMUNICATIONS SA | 817323108 | COM | 254,000 | $841,000 | thousands by filing date | |
| ROOKLINE BANCORP INC DEL | 11373M107 | COM | 57,206 | $835,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X541 | ST STR NAT ETF | 19,839 | $824,000 | thousands by filing date | |
| ENERGOUS CORP | 29272C103 | COM | 50,000 | $813,000 | thousands by filing date | put |
| Vanguard Long-Term Corporate Bond ETF | 92206C813 | SHS | 8,396 | $783,000 | thousands by filing date | |
| ON SEMICONDUCTOR CORP COM | 682189105 | Stock | 55,311 | $777,000 | thousands by filing date | |
| PLATFORM SPECIALTY PRODS COR | 72766Q105 | COM | 60,000 | $761,000 | thousands by filing date | |
| IMMERSION CORPORATION | 452521107 | COMMON STOCK | 83,440 | $758,000 | thousands by filing date | |
| COHEN & STEERS LTD DURATION | 19248C105 | COM | 28,006 | $748,000 | thousands by filing date | |
| GOLDMAN SACHS MLP INC OPP FD | 38147W103 | COM SHS | 77,344 | $745,000 | thousands by filing date | |
| APOLLO SENIOR FLOATING RATE FU | 037636107 | COM | 42,018 | $709,000 | thousands by filing date | |
| EHEALTH INC | 28238P109 | COM | 37,500 | $705,000 | thousands by filing date | |
| NEWS CORP NEW CL A | 65249B109 | Stock | 51,400 | $704,000 | thousands by filing date | |
| TRUECAR INC | 89785L107 | COM | 34,095 | $680,000 | thousands by filing date | |
| BAZAARVOICE INC | 073271108 | COM | 132,918 | $658,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 2,114 | $656,000 | thousands by filing date | |
| MADDEN STEVEN LTD | 556269108 | COM | 16,429 | $656,000 | thousands by filing date | |
| S&W SEED COMPANY COM | 785135104 | COM | 158,054 | $656,000 | thousands by filing date | |
| CALAMP CORP | 128126109 | COMMON STOCK | 32,133 | $653,000 | thousands by filing date | |
| WISDOMTREE TR | 97717W844 | GLB US QTLY DIV | 12,222 | $651,000 | thousands by filing date | |
| SUPERIOR INDS INTL INC | 868168105 | COM | 31,491 | $647,000 | thousands by filing date | |
| INSEEGO CORP | 45782BAA2 | NOTE 5.500% 6/1 | 900,000 | $647,000 | thousands by filing date | principal |
| TIVO CORP | 88870P106 | COM | 34,021 | $634,000 | thousands by filing date | |
| Vanguard FTSE Pacific ETF | 922042866 | SHS | 9,546 | $628,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 10,275 | $626,000 | thousands by filing date | |
| FIRST BANCORP NC | 318910106 | COMMON STOCK | 20,000 | $625,000 | thousands by filing date | |
| VIASAT INC | 92552V100 | COM | 9,424 | $624,000 | thousands by filing date | |
| AXONENTERPRISEINC | 05464C101 | STOK | 24,725 | $622,000 | thousands by filing date | |
| TRANSACT TECHNOLOGIES INC | 892918103 | CMN | 73,254 | $622,000 | thousands by filing date | |
| WILDHORSE RESOURCE DEV CORP | 96812T102 | COM | 50,247 | $622,000 | thousands by filing date | |
| POWERSHARES | 73936T565 | EXCHANGE TRADED | 40,527 | $612,000 | thousands by filing date | |
| ISHARES MSCI EAFE MIN VOL FACTOR ETF | 46429B689 | ETF | 8,819 | $611,000 | thousands by filing date | |
| BRUNSWICK CORP | 117043109 | COM | 9,729 | $610,000 | thousands by filing date | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 98,792 | $609,000 | thousands by filing date | |
| OCLARO INC | 67555N206 | COM | 64,940 | $607,000 | thousands by filing date | |
| CARBONITE INC | 141337105 | COM | 27,670 | $603,000 | thousands by filing date | |
| NETSCOUT SYS INC | 64115T104 | COM | 17,503 | $602,000 | thousands by filing date | |
| KRATOS DEFENSE & SEC SOLUTIO | 50077B207 | COM NEW | 50,722 | $602,000 | thousands by filing date | |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 25,985 | $591,000 | thousands by filing date | |
| SKYWORKS SOLUTIONS INC COM | 83088M102 | Stock | 6,100 | $585,000 | thousands by filing date | |
| STAMPS COM INC | 852857200 | COM NEW | 3,751 | $581,000 | thousands by filing date | |
| ARTIVION INC | 228903100 | COM | 29,000 | $579,000 | thousands by filing date | |
| RIGEL PHARMACEUTICALS INC | 766559603 | COMMON STOCK | 203,000 | $554,000 | thousands by filing date | |
| STATE STR SPDR DOW JONES IND | 78467X109 | UT SER 1 | 2,592 | $553,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 3,544 | $535,000 | thousands by filing date | |
| NUVEEN TAXABLE MUNICPAL INM FD COM | 67074C103 | CEF | 25,223 | $529,000 | thousands by filing date | |
| IJH | 464287507 | COM | 3,033 | $528,000 | thousands by filing date | |
| ISTAR INC | 45031U101 | COMMON STOCK | 43,000 | $518,000 | thousands by filing date | |
| iShares MSCI ACWI ex U.S. ETF | 464288240 | SHS | 11,203 | $511,000 | thousands by filing date | |
| VANGUARD STAR FDS | 921909768 | COM | 9,756 | $507,000 | thousands by filing date | |
| IMAX CORP | 45245E109 | COM | 23,004 | $506,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A103 | COM CL A | 49,998 | $506,000 | thousands by filing date | |
| CLOUDERA INC | 18914U100 | COM | 31,490 | $504,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 20,000 | $493,000 | thousands by filing date | put |
| GARRISON CAP INC | 366554103 | COM | 58,435 | $483,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 2,800 | $474,000 | thousands by filing date | |
| Vanguard FTSE Europe ETF | 922042874 | SHS | 8,572 | $473,000 | thousands by filing date | |
| JINKOSOLAR HLDG CO LTD | G51385AA3 | DEBT 4.000 2/0 | 22,000 | $458,000 | thousands by filing date | |
| NEW MTN FIN CORP | 647551100 | COM | 30,000 | $437,000 | thousands by filing date | |
| PAPA MURPHYS HLDGS INC | 698814100 | COM | 100,000 | $437,000 | thousands by filing date | |
| SPLUNK INC | 848637104 | COM | 7,579 | $431,000 | thousands by filing date | |
| SENSUS HEALTHCARE INC | 81728J109 | COM | 104,794 | $421,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 2,416 | $408,000 | thousands by filing date | |
| KBL MERGER CORP IV | 48242A203 | UNIT 01/15/2024 | 40,000 | $408,000 | thousands by filing date | |
| URBAN EDGE PPTYS | 91704F104 | COM | 16,523 | $392,000 | thousands by filing date | |
| MERIDIAN BANCORP INC MD | 58958U103 | COM | 23,000 | $389,000 | thousands by filing date | |
| APOLLO TACTICAL INCOME FD INC | 037638103 | COM | 23,648 | $385,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 9,048 | $374,000 | thousands by filing date | |
| DXC TECHNOLOGY CO COM | 23355L106 | Stock | 4,751 | $364,000 | thousands by filing date | |
| FORMFACTOR INC COM | 346375108 | Stock | 29,189 | $362,000 | thousands by filing date | |
| EVERSPIN TECHNOLOGIES INC | 30041T104 | COMMON STOCK | 17,312 | $346,000 | thousands by filing date | |
| Vanguard FTSE All-World ex-US ETF | 922042775 | SHS | 6,784 | $339,000 | thousands by filing date | |
| KULICKE & SOFFA INDS INC | 501242101 | COM | 17,820 | $339,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 2,578 | $328,000 | thousands by filing date | |
| ISHARES TR | 464288695 | GLOBAL MATER ETF | 5,448 | $326,000 | thousands by filing date | |
| ALPS ETF TR | 00162Q866 | ALERIAN MLP | 26,420 | $316,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 3,440 | $308,000 | thousands by filing date | |
| APOLLO INVT CORP | 03761U106 | COM | 48,206 | $308,000 | thousands by filing date | |
| TERADYNE INC COM | 880770102 | Stock | 9,904 | $297,000 | thousands by filing date | |
| ONE LIBERTY PROPERTIES INC | 682406103 | REIT | 22,849 | $293,000 | thousands by filing date | |
| POWERSHARES ETF TRUST | 73935X856 | DYN BIOT & GEN | 6,102 | $279,000 | thousands by filing date | |
| ISHARES INC MSCI BRAZIL ETF | 464286400 | MSCI BRAZIL ETF | 8,130 | $278,000 | thousands by filing date | |
| UPBOUND GROUP INC COM | 76009N100 | Stock | 23,206 | $272,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 2,490 | $265,000 | thousands by filing date | |
| ZION OIL & GAS INC | 989696109 | COM | 76,070 | $261,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 1 | $255,000 | thousands by filing date | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 10,938 | $254,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 2,053 | $244,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 3,422 | $240,000 | thousands by filing date | |
| NUVEEN MORTGAGE AND INCOME F | 670735109 | COM | 9,383 | $240,000 | thousands by filing date | |
| ARES DYNAMIC CR ALLOCATION F | 04014F102 | COM | 13,989 | $229,000 | thousands by filing date | |
| ENERGY TRANSFER L P | 29273V100 | COM UT LTD PTN | 12,590 | $226,000 | thousands by filing date | |
| THESTREET INC | 88368Q103 | COM | 263,200 | $218,000 | thousands by filing date | |
| Costco Wholesale Corporation | 22160K105 | COM | 1,355 | $217,000 | thousands by filing date | |
| M I ACQUISITIONS INC | 55304A104 | COM | 21,500 | $215,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 1,360 | $209,000 | thousands by filing date | |
| PowerShares CEF Income Composite | 73936Q843 | Com | 8,830 | $209,000 | thousands by filing date | |
| SLR INVESTMENT CORP | 83413U100 | COM | 9,530 | $208,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F726 | BIOTECH ETF | 1,619 | $203,000 | thousands by filing date | |
| THL CREDIT INC | 872438106 | COM | 20,000 | $199,000 | thousands by filing date | |
| BLACKSTONE SENIOR FLOATING RAT | 09256U105 | COM | 10,000 | $179,000 | thousands by filing date | |
| HORNBECK OFFSHORE SVCS INC N | 440543AN6 | NOTE 1.500 9/0 | 225,000 | $163,000 | thousands by filing date | principal |
| LINDBLAD EXPEDITIONS HLDGS I | 535219109 | COM | 15,420 | $162,000 | thousands by filing date | |
| Fusion Telecomm Intl Inc | 36113B400 | COM NEW | 100,000 | $145,000 | thousands by filing date | |
| Sensus Healthcare, Inc @6.75 6 | 81728J117 | warrants | 231,256 | $139,000 | thousands by filing date | |
| BRT APARTMENTS CORP | 055645303 | REIT | 82,512 | $99,000 | thousands by filing date | |
| COMSTOCK RES INC | 205768AM6 | NOTE 7.750% 4/0 | 126,598 | $97,000 | thousands by filing date | principal |
| GORES HLDGS II INC | 382867117 | *W EXP 01/13/202 | 50,000 | $75,000 | thousands by filing date | |
| NUMEREX CORP -CL A | 67053A102 | CL A | 15,000 | $74,000 | thousands by filing date | |
| GTY TECHNOLOGY HOLDINGS INC | G4182A128 | *W EXP 10/25/202 | 58,333 | $64,000 | thousands by filing date | |
| KAYNE ANDERSON ACQUISITION | 48661U110 | *W EXP 06/30/202 | 66,666 | $52,000 | thousands by filing date | |
| MATLIN & PARTNERS ACQUISITIO | 57682V114 | *W EXP 05/28/202 | 100,000 | $38,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP II | 31810G117 | *W EXP 01/19/202 | 50,000 | $38,000 | thousands by filing date | |
| SILVER RUN ACQUISITION | 82812A111 | *W EXP 03/28/202 | 16,666 | $30,000 | thousands by filing date | |
| NOVAVAX INC | 670002104 | COMMON STOCK | 10,500 | $12,000 | thousands by filing date | |
| REDWOOD TR INC | 758075AB1 | NOTE 4.625% 4/1 | 10,000 | $10,000 | thousands by filing date | principal |
| LADENBURG THALMANN FINANCIAL | 50575Q102 | COM | 81,050 | $6,000 | thousands by filing date |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001615774-17-004274 | superseded | 2017-08-11 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001615774-17-004735 | this filing | 2017-08-25 | acceptance time not in the bulk data set |