InvestorAdvent Capital Management /de/
Insider ProfileADVENT CAPITAL MANAGEMENT /DE/
Portfolio Value $ 5,093,200,000
Current Positions99
Opened Positions5
Closed Positions54


Latest Holdings, Performance, AUM (from 13F, 13D)

Advent Capital Management /de/ has disclosed 99 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 5,093,200,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). Advent Capital Management /de/'s top holdings are Yahoo! Inc. (NASDAQ:YHOO) , Citrix Systems, Inc. 0.5% Convertible Bond due 2019-04-15 (177376AD2) , Intel Corp. 3.25% Bond Due 8/1/2039 (458140AF7) , Liberty Media Corporation Bond (531229AE2) , and Wright Medical Group N.V. (NASDAQ:WMGIZ) . Advent Capital Management /de/'s new positions include Yahoo! Inc. (NASDAQ:YHOO) , Citrix Systems, Inc. 0.5% Convertible Bond due 2019-04-15 (177376AD2) , Intel Corp. 3.25% Bond Due 8/1/2039 (458140AF7) , Liberty Media Corporation Bond (531229AE2) , and Wright Medical Group N.V. (NASDAQ:WMGIZ) .

All Advent Capital Management /de/ holdings are listed in the following tables. Data is sourced from 13D/13G, 13F, and N-Q filings. Green rows indicate new positions. Red rows indicate closed positions.

This form was filed on May 11, 2018. Click the link icon to see the full transaction history.

Reporting
Period
Form Security Opt Imputed
Share Price
Prev
Shares
Current
Shares
Change
(Percent)
Prev Value
($1000)
Current Value
($1000)
Change
(Percent)
2018-03-31 13F-HR 04010LAM5 / Ares Capital Corp. 4.375% Bond Due 1/15/2019 62,221 55,348 -11.05
2018-03-31 13F-HR ARCP / 16,097 5,573 -65.38
2018-03-31 13F-HR CZR / Caesars Entertainment Corporation 11.26 56,831 41,831 -26.39 719 471 -34.49
2018-03-31 13F-HR 09238EAB0 / Blackhawk Network Holdings, Inc. Bond 1.500% 1/1 8,416 3 -99.96
2018-03-31 13F-HR 42330PAH0 / Helix Energy Solutions Group, Inc. 4.25% Convertible Bond due 2022-05-01 5 5 0.00
2018-03-31 13F-HR FB / Facebook, Inc. 159.83 0 6,000 0 959
2018-03-31 13F-HR 80004CAF8 / SanDisk Corporation Bond 839 839 0.00
2018-03-31 13F-HR CCI / Crown Castle International Corp. 1,115.36 34,495 33,373 -3.25 39,097 37,223 -4.79
2018-03-31 13F-HR SYF / Synchrony Financial 33.53 69,310 103,810 49.78 2,676 3,481 30.08
2018-03-31 13F-HR 09061GAF8 / BioMarin Pharmaceutical Inc. Bond 1.5% 10/15/2020 28,517 28,571 0.19
2018-03-31 13F-HR 267475AB7 / Dycom Industries, Inc. Bond 61,805 51,585 -16.54
2018-03-31 13F-HR 743424AD5 / Proofpoint, Inc. 0.75% Convertible Bond due 2020-06-15 29,105 16,632 -42.86
2018-03-31 13F-HR 00912XAK0 / Air Lease Corporation Bond 37,325 36,176 -3.08
2018-03-31 13F-HR 88163VAE9 / Teva Pharmaceutical Fin Llc Bond 7,992 12,526 56.73
2018-03-31 13F-HR NEE / NextEra Energy, Inc. 72.83 743,150 107,771 -85.50 42,952 7,849 -81.73
2018-03-31 13F-HR NEE / NextEra Energy, Inc. 57.80 111,271 743,150 567.87 7,786 42,952 451.66
2018-03-31 13F-HR 94973VBG1 / Anthem, Inc. Bond 47,671 46,022 -3.46
2018-03-31 13F-HR 78454LAM2 / SM Energy Co Bond 20,114 18,486 -8.09
2018-03-31 13F-HR 29266SAA4 / Endologix, Inc. Bond 581 581 0.00
2018-03-31 13F-HR 092533AC2 / Blackrock Capital Investment Bond 20,541 22,295 8.54
2018-03-31 13F-HR 670008AD3 / NOVELLUS SYS INC Bond 845 935 10.65
2018-03-31 13F-HR 84860WAA0 / Spirit Realty Capital, Inc. Bond 37,220 37,702 1.30
2018-03-31 13F-HR MRK / Merck & Co., Inc. 54.47 81,000 111,000 37.04 4,558 6,046 32.65
2018-03-31 13F-HR NAV / Navistar International Corp. 35.00 19,478 15,000 -22.99 835 525 -37.13
2018-03-31 13F-HR YHOO / Yahoo! Inc. 74.12 2,550 189
2018-03-31 13F-HR YHOO / Yahoo! Inc. 206,306 132,133 -35.95
2018-03-31 13F-HR AL / Air Lease Corporation 42.64 0 11,000 0 469
2018-03-31 13F-HR 67020YAK6 / Nuance Communications, Inc. 1.00% Bond Due 12/15/2035 70,672 66,546 -5.84
2018-03-31 13F-HR BMY / Bristol-Myers Squibb Co. 63.25 0 16,000 0 1,012
2018-03-31 13F-HR AAL / American Airlines Group Inc. 52.00 0 7,000 0 364
2018-03-31 13F-HR HES / Hess Corp. 59.75 0 285,908 0 17,083
2018-03-31 13F-HR 44052TAB7 / Horizon Pharma plc 2.5% Bond due 2022-03-15 28,343 25,169 -11.20
2018-03-31 13F-HR D / Dominion Resources, Inc. 67.45 556,535 23,500 -95.78 25,803 1,585 -93.86
2018-03-31 13F-HR D / Dominion Resources, Inc. 46.36 554,922 556,535 0.29 28,740 25,803 -10.22
2018-03-31 13F-HR 55608BAA3 / Macquarie Infrastructure Company LLC 2.875% Bond Due 7/15/2019 41,405 21,225 -48.74
2018-03-31 13F-HR N72482AA5 / QIAGEN N.V. Bond 15,153 15,336 1.21
2018-03-31 13F-HR 85571BAB1 / Starwood Property Trust Inc Bond 25,667 25,262 -1.58
2018-03-31 13F-HR 584688AG0 / Medicines Company Bond 11,612 10,974 -5.49
2018-03-31 13F-HR 682189AK1 / ON Semiconductor Corporation 1% Bond due 2020-12-01 45,391 6,678 -85.29
2018-03-31 13F-HR 452327AH2 / Illumina, Inc. Bond 97,187 71,050 -26.89
2018-03-31 13F-HR 85571WAB5 / Colony Starwood Homes Bond 3.000% 7/0 17,522 17,096 -2.43
2018-03-31 13F-HR CMA / Comerica, Inc. 95.93 0 24,800 0 2,379
2018-03-31 13F-HR 049164BJ4 / Atlasairworldwide1.875 01jun24 Bond 16,181 16,292 0.69
2018-03-31 13F-HR 472145AB7 / Jazz Pharmaceuticals, Inc. Bond 62,337 65,506 5.08
2018-03-31 13F-HR 670704AG0 / NuVasive, Inc. Bond 28,021 44,312 58.14
2018-03-31 13F-HR 02917TAB0 / VEREIT, Inc. Bond 10,428 9,286 -10.95
2018-03-31 13F-HR INCY / Incyte Corp. 83.40 39,500 5,000 -87.34 3,741 417 -88.85
2018-03-31 13F-HR BAC.PRL / Bank of America Corp. 7.25% Preferred Perpetual Convertible Series L 1,283.01 54,880 48,377 -11.85 72,178 62,068 -14.01
2018-03-31 13F-HR 22943FAF7 / Ctrip.com International, Ltd. Bond 1.000% 7/0 79,857 68,427 -14.31
2018-03-31 13F-HR BAC / Bank of America Corp. 29.99 0 85,000 0 2,549
2018-03-31 13F-HR 171779AK7 / Ciena Corp. 4% Bond 15,978 24,475 53.18
2018-03-31 13F-HR 81762PAB8 / ServiceNow, Inc. Bond 37,621 41,444 10.16
2018-03-31 13F-HR TWX / Time Warner, Inc. 94.62 37,670 9,670 -74.33 3,446 915 -73.45
2018-03-31 13F-HR 31816QAD3 / FireEye, Inc. Bond 71,437 65,375 -8.49
2018-03-31 13F-HR WFC.PRL / Wells Fargo & Co., 7.50% Non-Cumul Perp Conv Cl A Preferred Stock, Series L 1,277.50 81,310 61,527 -24.33 106,923 78,601 -26.49
2018-03-31 13F-HR GLD / SPDR Gold Shares 125.80 20,000 15,000 -25.00 2,473 1,887 -23.70
2018-03-31 13F-HR 73640QAB1 / PRA Group, Inc. - Convertible Bond 3% 38,252 34,801 -9.02
2018-03-31 13F-HR SC / Santander Consumer USA Holdings Inc. 16.28 30,000 18,000 -40.00 559 293 -47.58
2018-03-31 13F-HR SC / Santander Consumer USA Holdings Inc. Call 66.67 450 150 -66.67 99 10 -89.90
2018-03-31 13F-HR GS / Goldman Sachs Group, Inc. (The) 251.87 0 23,000 0 5,793
2018-03-31 13F-HR 595112AY9 / Micron Technology, Inc. Bond 82,145 71,503 -12.96
2018-03-31 13F-HR 90184LAD4 / Twitter, Inc. Bond 79,670 78,642 -1.29
2018-03-31 13F-HR CMA.WS / Comerica, Inc. Put 130.00 0 200 0 26
2018-03-31 13F-HR 922417AD2 / Veeco Instruments, Inc. Bond 2.7% Due 1/15/2023 45,097 42,571 -5.60
2018-03-31 13F-HR 14161HAG3 / Cardtronics, Inc. Bond 35,247 35,189 -0.16
2018-03-31 13F-HR AMGN / Amgen Inc. 170.47 0 30,798 0 5,250
2018-03-31 13F-HR JDSU / 28,218 851 -96.98
2018-03-31 13F-HR 464337AJ3 / Ionis Pharmaceuticals, Inc. 1.00% Convertible Bond 30,156 48,198 59.83
2018-03-31 13F-HR 531229AE2 / Liberty Media Corporation Bond 95,076 85,339 -10.24
2018-03-31 13F-HR 530715AN1 / Liberty Media, Bond 3.5%, Due 1/15/2031 32,409 34,903 7.70
2018-03-31 13F-HR 22943FAM2 / Ctrip Com Intl Ltd Bond 37,015 33,913 -8.38
2018-03-31 13F-HR 151290BR3 / Cemex S.A.B de C.V. Bond 18,651 15,397 -17.45
2018-03-31 13F-HR LOW / Lowe's Companies, Inc. 87.75 23,245 81,000 248.46 2,160 7,108 229.07
2018-03-31 13F-HR 756577AD4 / Red Hat, Inc. Bond 43,648 45,369 3.94
2018-03-31 13F-HR 00484MAA4 / Acorda Therapeutics, Inc. Bond 1.750% 6/1 4,245 6,741 58.80
2018-03-31 13F-HR 440543AN6 / Hornbeck Offshore Services, Inc. Bond 74 74 0.00
2018-03-31 13F-HR 11777QAB6 / B2Gold Corp. Bond 49,756 24,143 -51.48
2018-03-31 13F-HR 741503AS5 / The Priceline Group Inc. Bond 89,902 70,015 -22.12
2018-03-31 13F-HR 45667GAB9 / Infinera Corp. Bond 46 46 0.00
2018-03-31 13F-HR 01988PAD0 / Allscripts Healthcare Solutions Inc. Bond 60,242 48,789 -19.01
2018-03-31 13F-HR 58471AAB1 / Medidata Solutions, Inc. Bond 856 856 0.00
2018-03-31 13F-HR NYCB.PRU / New York Community Capital Trust V BONUSES Units due 11/1/2051 49.86 421,353 354,679 -15.82 21,338 17,686 -17.12
2018-03-31 13F-HR THRX / Theravance, Inc. 6,457 8,394 30.00
2018-03-31 13F-HR DISH / DISH Network Corp. Put 280.00 0 100 0 28
2018-03-31 13F-HR 780287AA6 / Royal Gold, Inc. 2.875% Bond Due 2019-06-15 33,301 25,463 -23.54
2018-03-31 13F-HR URI / United Rentals, Inc. 172.74 0 51,500 0 8,896
2018-03-31 13F-HR 128126AB5 / CalAmp Corp. Bond 16,772 14,950 -10.86
2018-03-31 13F-HR 00971TAG6 / Akamai Technologies, Inc. Bond 24,740 28,243 14.16
2018-03-31 13F-HR 88160RAC5 / Tesla Motors, Inc. Bond 1.25% Due 3/1/2021 34,942 20,332 -41.81
2018-03-31 13F-HR 531229AB8 / Liberty Media Corporation Bond 46,939 42,708 -9.01
2018-03-31 13F-HR WMT / Walmart, Inc. 88.97 50,000 65,000 30.00 4,938 5,783 17.11
2018-03-31 13F-HR WMT / Walmart, Inc. Call 48.00 0 250 0 12
2018-03-31 13F-HR 63934EAS7 / Navistar International Corp. Bond 4.75% Due 4/15/2019 24,511 46,533 89.85
2018-03-31 13F-HR 60855RAC4 / Molina Healthcare, Inc. Bond 1.125% 1/1 13,386 14,095 5.30
2018-03-31 13F-HR 674215AJ7 / Oasis Petroleum Inc. Bond 14,138 17,446 23.40
2018-03-31 13F-HR 45784PAD3 / Insulet Corp. Bond 1,255 1,255 0.00
2018-03-31 13F-HR 45256BAE1 / Impax Laboratories, Inc. 2% Bond due 2022-06-15 27,790 139 -99.50
2018-03-31 13F-HR 55608BAB1 / Macquarie Infrastructure Company LLC 2.0% Bond Due 10/1/2023 46,126 28,930 -37.28
2018-03-31 13F-HR 001546AP5 / AK Steel Holding Corp. 1.5% Bond due 2019-11-15 13,922 12,766 -8.30
2018-03-31 13F-HR DEPO / DepoMed, Inc. Put 33.00 0 1,000 0 33
2018-03-31 13F-HR RCL / Royal Caribbean Cruises Ltd. 117.74 0 58,000 0 6,829
2018-03-31 13F-HR 25470MAB5 / DISH Network Corp. 3.375% Bond 89,359 46,952 -47.46
2018-03-31 13F-HR ABBV / AbbVie Inc. 94.67 39,243 6,000 -84.71 3,795 568 -85.03
2018-03-31 13F-HR 345550AP2 / Forest City Enterprises Inc Bond 41,450 35,214 -15.04
2018-03-31 13F-HR 452327AF6 / Illumina, Inc. Bond 2,375 42,397 1,685.14
2018-03-31 13F-HR 67020YAF7 / Nuance Communications, Inc. 2.75% Bond Due 11/1/2031 411 404 -1.70
2018-03-31 13F-HR 235851AF9 / Danaher Corp. Bond 4,707 7,398 57.17
2018-03-31 13F-HR 758075AC9 / Redwood Tr Inc Bond 225 225 0.00
2018-03-31 13F-HR 049164BH8 / Atlas Air Worldwide Holdings, Inc. 2.25% Convertible Bond Due 6/1/2022 30,547 27,996 -8.35
2018-03-31 13F-HR 87265KAB8 / TPG Specialty Lending, Inc. Bond 1,344 513 -61.83
2018-03-31 13F-HR PFE / Pfizer, Inc. 35.40 0 5,000 0 177
2018-03-31 13F-HR 947075AH0 / Weatherford International plc Bond 91,142 52,128 -42.81
2018-03-31 13F-HR WPXP / WPX Energy, 6.25% Series A Mandatory Convertible Cumulative Preferred Stock 63.36 232,114 201,044 -13.39 14,263 12,739 -10.68
2018-03-31 13F-HR LYB / LyondellBasell Industries NV 105.70 0 10,000 0 1,057
2018-03-31 13F-HR 87157BAA1 / Synchronoss Technologies, Inc. 0.75% Bond Due 8/15/2019 286 286 0.00
2018-03-31 13F-HR BDXA / Becton Dickinson & Co. 6.125% Preferred Series A 58.15 1,141,541 767,587 -32.76 66,385 44,638 -32.76
2018-03-31 13F-HR 292554AH5 / Encore Capital Group, Inc. Bond 29 3,809 13,034.48
2018-03-31 13F-HR 298736AH2 / Euronet Worldwide, Inc. Bond 23,746 29,113 22.60
2018-03-31 13F-HR 34385PAA6 / Fluidigm Corp. Bond 144 144 0.00
2018-03-31 13F-HR 02261WAB5 / Alza Corp Bond 3,138 4,911 56.50
2018-03-31 13F-HR FLXN / Flexion Therapeutics, Inc. 22.40 184,267 10,000 -94.57 4,614 224 -95.15
2018-03-31 13F-HR 19624RAA4 / Colony Capital, Inc. Bond 22,540 15,398 -31.69
2018-03-31 13F-HR KLAC / KLA-Tencor Corp. 109.02 0 47,984 0 5,231
2018-03-31 13F-HR 69327RAD3 / PDC Energy, Inc. Bond 38,171 36,344 -4.79
2018-03-31 13F-HR 232806AM1 / Cypress Semiconductor Corp. Bond 22,421 22,642 0.99
2018-03-31 13F-HR 043353AH4 / Meritor, Inc. 4% Bond Due 2/15/2027 577 577 0.00
2018-03-31 13F-HR 110122AN8 / Bristol-Myers Squibb Co. Bond 2,690 2,767 2.86
2018-03-31 13F-HR 43739QAB6 / HomeAway, Inc. Bond 165 165 0.00
2018-03-31 13F-HR 31816QAB7 / FireEye, Inc. Bond 32,827 21,478 -34.57
2018-03-31 13F-HR 458118AC0 / Integrated Device Technology, Inc. Bond 68,791 56,373 -18.05
2018-03-31 13F-HR 45772FAB3 / Inphi Corp. Bond 538 13,767 2,458.92
2018-03-31 13F-HR AEUA / Anadarko Petroleum Corp., 7.50% Tangible Equity Units due 6/7/2018 29.81 127,364 184,484 44.85 4,304 5,499 27.76
2018-03-31 13F-HR 758075AB1 / Redwood Tr Inc Bond 398 398 0.00
2018-03-31 13F-HR 74838JAA9 / QUIDEL Corp. 3.25% Bond Due 12/15/2020 978 978 0.00
2018-03-31 13F-HR UPS / United Parcel Service, Inc. 104.66 59,575 109,980 84.61 7,098 11,511 62.17
2018-03-31 13F-HR 88160RAD3 / Tesla Motors, Inc. Bond 2.375% Due 3/15/2022 10,265 9,201 -10.37
2018-03-31 13F-HR GILD / Gilead Sciences, Inc. 75.39 0 70,000 0 5,277
2018-03-31 13F-HR 126349AF6 / CSG Systems International, Inc. Bond 4.250% 3/1 58,396 53,288 -8.75
2018-03-31 13F-HR 48666KAS8 / KB Home Bond 1,107 1,173 5.96
2018-03-31 13F-HR 393222AF1 / Green Plains Inc 4.125 01sep22 Bond 13,922 9,882 -29.02
2018-03-31 13F-HR 249908AA2 / DepoMed, Inc. 2.5% Bond Due 9/1/2021 17,398 17,682 1.63
2018-03-31 13F-HR LAZ / Lazard Ltd. 52.56 0 75,000 0 3,942
2018-03-31 13F-HR 966387AL6 / Whiting Petroleum Corp. 1.25% Bond due 2020-04-01 47,637 44,297 -7.01
2018-03-31 13F-HR 98138HAC5 / Workday, Inc. Bond 0.750% 7/1 370 370 0.00
2018-03-31 13F-HR 60855RAD2 / Molina Healthcare, Inc. DBCV 1.625% 8/1 16,748 541 -96.77
2018-03-31 13F-HR SBDKP / Stanley Black & Decker, Inc. 115.11 363,302 490,198 34.93 44,609 56,427 26.49
2018-03-31 13F-HR C / Citigroup, Inc. 67.55 0 11,000 0 743
2018-03-31 13F-HR 749685AT0 / RPM International, Inc. 2.25% Bond Due 12/15/2020 8,512 11,623 36.55
2018-03-31 13F-HR 85571BAH8 / Starwood Property Trust Inc Bond 32,583 30,866 -5.27
2018-03-31 13F-HR 512807AL2 / Lam Research Corp. Bond 73,949 69,164 -6.47
2018-03-31 13F-HR 16115QAC4 / Chart Industries, Inc. 2% Bond Due 8/1/2018 98 98 0.00
2018-03-31 13F-HR GM / General Motors Company 36.34 198,541 170,000 -14.38 8,138 6,178 -24.08
2018-03-31 13F-HR FEYE / FireEye, Inc. Call 17.33 1,000 750 -25.00 7 13 85.71
2018-03-31 13F-HR 74973WAB3 / Rti Intl Metals Inc Bond 37,509 39,216 4.55
2018-03-31 13F-HR 09061GAH4 / BioMarin Pharmaceutical, Inc. Bond 37,478 40,793 8.85
2018-03-31 13F-HR 22943FAD2 / Ctrip.com International, Ltd. Bond 1.250%10/1 193 193 0.00
2018-03-31 13F-HR OXY / Occidental Petroleum Corp. 64.95 0 63,000 0 4,092
2018-03-31 13F-HR TXN / Texas Instruments Inc. 103.88 134,200 60,000 -55.29 6,413 6,233 -2.81
2018-03-31 13F-HR 42330PAG2 / Helix Energy Solutions Group, Inc. 3.25% Convertible Bond due 2032-03-15 261 261 0.00
2018-03-31 13F-HR MS / Morgan Stanley 54.00 58,693 10,000 -82.96 3,080 540 -82.47
2018-03-31 13F-HR WDAY / Workday, Inc. Put 255.00 450 200 -55.56 88 51 -42.05
2018-03-31 13F-HR ANTX / Anthem, Inc., 5.25% Equity Units due 5/1/2018 53.75 442,326 469,826 6.22 24,759 25,252 1.99
2018-03-31 13F-HR 94733AAA2 / Web.com Group, Inc. Bond 714 714 0.00
2018-03-31 13F-HR 09061GAE1 / BioMarin Pharmaceutical Inc. Bond 0.75% 10/15/2018 69,268 60,714 -12.35
2018-03-31 13F-HR 90184LAB8 / Twitter, Inc. Bond 0.250% 9/1 38,065 26,443 -30.53
2018-03-31 13F-HR SJM / Smucker (J.M.) Co. Call 220.00 309 100 -67.64 67 22 -67.16
2018-03-31 13F-HR 63633DAE4 / National Health Investors, Inc. Bond 14,631 14,514 -0.80
2018-03-31 13F-HR 345550AR8 / Fce 3.625 08/20 Bond 158 158 0.00
2018-03-31 13F-HR 09257WAB6 / Blackstone 4.375 05may22 Bond 46,762 34,591 -26.03
2018-03-31 13F-HR 31620RAE5 / Fidelity National Financial, Inc. Bond 39,374 22,094 -43.89
2018-03-31 13F-HR 471109AM0 / Jarden Corporation Bond 9 9 0.00
2018-03-31 13F-HR 45845PAA6 / Intercept Pharmaceuticals, Inc. Bond 19,539 17,230 -11.82
2018-03-31 13F-HR CSCO / Cisco Systems, Inc. 42.89 0 53,000 0 2,273
2018-03-31 13F-HR ALXN / Alexion Pharmaceuticals, Inc. 10,958 0 -100.00 1,310 0 -100.00
2018-03-31 13F-HR CSX / CSX Corp. 15,000 0 -100.00 825 0 -100.00
2018-03-31 13F-HR CVS / CVS Health Corporation 18,600 0 -100.00 1,349 0 -100.00
2018-03-31 13F-HR FL / Foot Locker, Inc. Put 100 0 -100.00 5 0 -100.00
2018-03-31 13F-HR FLXN / Flexion Therapeutics, Inc. Put 150 0 -100.00 6 0 -100.00
2018-03-31 13F-HR M / Macy's, Inc. 200,000 0 -100.00 5,038 0 -100.00
2018-03-31 13F-HR AGN / Allergan plc 65,448 0 -100.00 38,371 0 -100.00
2018-03-31 13F-HR AMT.PRB / American Tower Corp 102,685 0 -100.00 12,934 0 -100.00
2018-03-31 13F-HR BIIB / Biogen Inc. 3,626 0 -100.00 1,155 0 -100.00
2018-03-31 13F-HR DB / Deutsche Bank AG 120,000 0 -100.00 2,290 0 -100.00
2018-03-31 13F-HR FL / Foot Locker, Inc. 20,000 0 -100.00 938 0 -100.00
2018-03-31 13F-HR KMI / Kinder Morgan, Inc. 50,000 0 -100.00 904 0 -100.00
2018-03-31 13F-HR SAVE / Spirit Airlines, Inc. 37,500 0 -100.00 1,682 0 -100.00
2018-03-31 13F-HR CX / Cemex S.A.B de C.V. 22,873 0 -100.00 172 0 -100.00
2018-03-31 13F-HR CELG / Celgene Corp. 40,000 0 -100.00 4,174 0 -100.00
2018-03-31 13F-HR ETN / Eaton Corporation 50,000 0 -100.00 3,951 0 -100.00
2018-03-31 13F-HR GD / General Dynamics Corp. 14,116 0 -100.00 2,872 0 -100.00
2018-03-31 13F-HR MOH / Molina Healthcare, Inc. 5,000 0 -100.00 383 0 -100.00
2018-03-31 13F-HR RH / Restoration Hardware Holdings, Inc. 3,000 0 -100.00 259 0 -100.00
2018-03-31 13F-HR MU / Micron Technology, Inc. 21,500 0 -100.00 884 0 -100.00
2018-03-31 13F-HR SJM / Smucker (J.M.) Co. 10,000 0 -100.00 1,242 0 -100.00
2018-03-31 13F-HR T / AT & T, Inc. 50,000 0 -100.00 1,944 0 -100.00
2018-03-31 13F-HR V / Visa, Inc. 15,916 0 -100.00 1,815 0 -100.00
2018-03-31 13F-HR VMC / Vulcan Materials Co. 8,383 0 -100.00 1,076 0 -100.00
2018-03-31 13F-HR XCRA / Xcerra Corp 21,916 0 -100.00 215 0 -100.00
2018-03-31 13F-HR CBS Corp / OPT (124857903) Call 300 0 -100.00 9 0
2018-03-31 13F-HR CX / Cemex S.A.B de C.V. Call 500 0 -100.00 3 0 -100.00
2018-03-31 13F-HR DB / Deutsche Bank AG Put 600 0 -100.00 11 0 -100.00
2018-03-31 13F-HR VIP / VimpelCom Ltd. 85,300 0 -100.00 328 0 -100.00
2018-03-31 13F-HR TGT / Target Corp. 75,000 0 -100.00 4,894 0 -100.00
2018-03-31 13F-HR FCX / Freeport-McMoRan Inc. Call 200 0 -100.00 40 0 -100.00
2018-03-31 13F-HR WPX / WPX Energy, Inc. 40,000 0 -100.00 563 0 -100.00
2018-03-31 13F-HR FNF Group / OPT (31620R903) Call 1,000 0 -100.00 35 0
2018-03-31 13F-HR FNSR / Finisar Corporation Call 1,039 0 -100.00 6 0 -100.00
2018-03-31 13F-HR iShares Russell 2000 ETF / OPT (464287905) Call 2,000 0 -100.00 60 0
2018-03-31 13F-HR TREE / LendingTree, Inc. Put 200 0 -100.00 5 0 -100.00
2018-03-31 13F-HR UPS / United Parcel Service, Inc. Put 500 0 -100.00 7 0 -100.00
2018-03-31 13F-HR VIP / VimpelCom Ltd. Call 1,000 0 -100.00 10 0 -100.00
2018-03-31 13F-HR WDAY / Workday, Inc. Call 500 0 -100.00 70 0 -100.00
2018-03-31 13F-HR Financial Select Sector SPDR F / OPT (81369Y955) Put 2,000 0 -100.00 42 0
2018-03-31 13F-HR HCN.PRI / Welltower Inc. 6.50% Series I Cumul Convertible Perpetual Preferred Stock 326,000 0 -100.00 19,628 0 -100.00
2018-03-31 13F-HR NXPI / NXP Semiconductors N.V. 24,820 0 -100.00 2,906 0 -100.00
2018-03-31 13F-HR BTG / B2Gold Corp. 91,725 0 -100.00 284 0 -100.00
2018-03-31 13F-HR Z / Zillow Group, Inc. Class C Put 300 0 -100.00 22 0 -100.00
2018-03-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 750 0 -100.00 6 0 -100.00
2018-03-31 13F-HR VALE.P / Vale S.A. Preferred Class A Shares ADR Call 1,700 0 -100.00 52 0 -100.00
2018-03-31 13F-HR MU / Micron Technology, Inc. Call 100 0 -100.00 1 0 -100.00
2018-03-31 13F-HR P / Pandora Media, Inc. Call 1,000 0 -100.00 14 0 -100.00
2018-03-31 13F-HR RGLD / Royal Gold, Inc. 45,100 0 -100.00 3,704 0 -100.00
2018-03-31 13F-HR RGLD / Royal Gold, Inc. Call 300 0 -100.00 3 0 -100.00
2018-03-31 13F-HR RGLD / Royal Gold, Inc. Put 200 0 -100.00 8 0 -100.00
2018-03-31 13F-HR S / Sprint Corporation 100,000 0 -100.00 589 0 -100.00
2018-03-31 13F-HR DEPO / DepoMed, Inc. Call 2,000 0 -100.00 30 0 -100.00
2018-03-31 13F-HR 82922RAD5 / Sina Corp. Bond 230 754 227.83
2018-03-31 13F-HR 493723AA8 / KEYW Holdings Corp 2.5% Bond due 2019-07-15 4,340 4,874 12.30
2018-03-31 13F-HR 177376AD2 / Citrix Systems, Inc. 0.5% Convertible Bond due 2019-04-15 98,086 94,063 -4.10
2018-03-31 13F-HR 811904AM3 / SEACOR Holdings, Inc. Bond 179 179 0.00
2018-03-31 13F-HR PFE / Pfizer, Inc. Call 700 0 -100.00 91 0 -100.00
2018-03-31 13F-HR ARBOR REALTY TRUST INC / CONV (038923AB4) 11,083
2018-03-31 13F-HR CAESARS ENTERTAIN CORP / CONV (127686AA1) 21,034
2018-03-31 13F-HR CEMEX SAB DE CV / CONV (151290BT9) 28,802
2018-03-31 13F-HR CLEVELAND-CLIFFS INC / CONV (185899AA9) 6,729
2018-03-31 13F-HR ENSCO JERSEY FINANCE LTD / CONV (29359WAB1) 10,655
2018-03-31 13F-HR EVERBRIDGE INC / CONV (29978AAA2) 15,524
2018-03-31 13F-HR EVOLENT HEALTH INC / CONV (30050BAB7) 9,987
2018-03-31 13F-HR FINISAR CORP / CONV (31787AAP6) 53,874
2018-03-31 13F-HR GOLDMAN SACHS BDC INC / CONV (38147UAB3) 10,127
2018-03-31 13F-HR INPHI CORP / CONV (45772FAC1) 42,516
2018-03-31 13F-HR INSULET CORPORATION / CONV (45784PAF8) 346
2018-03-31 13F-HR TERADYNE INC / CONV (880770AG7) 33,869
2018-03-31 13F-HR ISHARES RUSSELL 2000 ETF / OPT (464287955) Put 77.50 400 31
2018-03-31 13F-HR SPDR S&P 500 ETF TRUST / OPT (78462F953) Put 186.67 300 56
2018-03-31 13F-HR 19624RAB2 / Colony Capital, Inc. Bond 57,970 34,882 -39.83
2018-03-31 13F-HR HAIN / Hain Celestial Group, Inc. (The) 32.11 30,000 9,500 -68.33 1,272 305 -76.02
2018-03-31 13F-HR CIEN / Ciena Corp. 25.90 0 50,000 0 1,295
2018-03-31 13F-HR CIEN / Ciena Corp. Call 46.67 0 300 0 14
2018-03-31 13F-HR INTC / Intel Corp. 52.07 0 14,000 0 729
2018-03-31 13F-HR 741503AX4 / The Priceline Group Inc. Bond 68,114 74,618 9.55
2018-03-31 13F-HR 112463AA2 / Brookdale Senior Living, Inc. Bond 297 297 0.00
2018-03-31 13F-HR 21925YAB9 / Cornerstone OnDemand, Inc. Bond 1.500% 7/0 19,020 19,103 0.44
2018-03-31 13F-HR TPGH / TPG Pace Holdings Corp. 10.66 300,000 300,000 0.00 3,075 3,198 4.00
2018-03-31 13F-HR BG / Bunge Ltd. 73.94 10,000 98,800 888.00 671 7,305 988.67
2018-03-31 13F-HR 64157FAA1 / Nevro Corp. Bond 23,965 29,179 21.76
2018-03-31 13F-HR 67020YAG5 / Nuance Communications, Inc. 1.50% Bond Due 11/1/2035 8,516 8,382 -1.57
2018-03-31 13F-HR 92343XAA8 / Verint Systems, Inc. 1.5% Bond Due 6/1/2021 60,434 62,159 2.85
2018-03-31 13F-HR VZ / Verizon Communications, Inc. 47.82 150,000 105,000 -30.00 7,940 5,021 -36.76
2018-03-31 13F-HR F / Ford Motor Co. 11.08 0 710,000 0 7,867
2018-03-31 13F-HR TREE / LendingTree, Inc. 328.12 43,160 11,060 -74.37 14,694 3,629 -75.30
2018-03-31 13F-HR TREE / LendingTree, Inc. Call 300.00 50 100 100.00 25 30 20.00
2018-03-31 13F-HR 007903BD8 / Advanced Micro Devices, Inc. Bond 2.125%, 9/1/2026 12,420 17,869 43.87
2018-03-31 13F-HR WLH / Lyon William Homes 27.50 0 40,000 0 1,100
2018-03-31 13F-HR FNF / Fidelity National Financial, Inc. 40.02 10,958 55,000 401.92 430 2,201 411.86
2018-03-31 13F-HR MTB / M & T Bank Corp. 184.37 15,000 18,750 25.00 2,565 3,457 34.78
2018-03-31 13F-HR 538034AJ8 / Live Nation Entertainment, Inc. 2.5% Due 5/15/2019 435 435 0.00
2018-03-31 13F-HR CMI / Cummins, Inc. 162.10 50,000 39,000 -22.00 8,832 6,322 -28.42
2018-03-31 13F-HR 31787AAM3 / Finisar Corporation Bond 0.5% Due 12/15/2033 Bond 36,869 14,969 -59.40
2018-03-31 13F-HR 189464AB6 / Clovis Oncology, Inc. 2.5% 9/15/2021 9,903 10,824 9.30
2018-03-31 13F-HR 88160RAB7 / Tesla Motors, Inc. Convertible Bond 0.250% Due 3/1/2019 26,310 22,641 -13.95
2018-03-31 13F-HR 286082AC6 / Electronics For Imaging, Inc. Bond 38,044 19,141 -49.69
2018-03-31 13F-HR 458140AF7 / Intel Corp. 3.25% Bond Due 8/1/2039 73,408 90,188 22.86
2018-03-31 13F-HR 62952QAB6 / NXP Semiconductors N.V. Bond 34,334 32,828 -4.39
2018-03-31 13F-HR 87238QAD5 / Tcp Capital Corp 4.625 1mar22 Bond 20,224 23,335 15.38
2018-03-31 13F-HR WMGIZ / Wright Medical Group N.V. 97,998 83,614 -14.68
2018-03-31 13F-HR PODD / Insulet Corp. Put 103.33 0 300 0 31
2018-03-31 13F-HR 84860WAB8 / Spirit Realty Capital, Inc. Bond 14,732 13,658 -7.29
2018-03-31 13F-HR ALDER BIOPHARMACEUTICALS / CONV (014339AA3) 5,072
2018-03-31 13F-HR ARES CAPITAL CORP / CONV (04010LAT0) 47,829
2018-03-31 13F-HR BLACKSTONE MORTGAGE TR / CONV (09257WAC4) 24,887
2018-03-31 13F-HR CHESAPEAKE ENERGY CORP / CONV (165167CY1) 45,090
2018-03-31 13F-HR IH MERGER SUB LLC / CONV (19625XAB8) 41,807
2018-03-31 13F-HR 25470MAD1 / Dish Network Corp Bond 25,392
2018-03-31 13F-HR EXACT SCIENCES CORP / CONV (30063PAA3) 61,760
2018-03-31 13F-HR GOLAR LNG LTD / CONV (38046YAB7) 9,562
2018-03-31 13F-HR GREENBRIER COS INC / CONV (393657AK7) 30,920
2018-03-31 13F-HR GUIDEWIRE SOFTWARE INC / CONV (40171VAA8) 22,200
2018-03-31 13F-HR HELIX ENERGY SOLUTIONS / CONV (42330PAJ6) 10,161
2018-03-31 13F-HR HERCULES CAPITAL INC / CONV (427096AF9) 28,066
2018-03-31 13F-HR INSMED INC / CONV (457669AA7) 27,787
2018-03-31 13F-HR 50187TAB2 / LGI Homes, Inc. Bond 984
2018-03-31 13F-HR LUMENTUM HOLDINGS INC / CONV (55024UAB5) 32,815
2018-03-31 13F-HR MICROCHIP TECHNOLOGY INC / CONV (595017AF1) 74,652
2018-03-31 13F-HR 67020YAN0 / Nuance Communications Inc Bond 14,496
2018-03-31 13F-HR OSI SYSTEMS INC / CONV (671044AD7) 31,492
2018-03-31 13F-HR PACIRA PHARMACEUTICALS / CONV (695127AD2) 18,204
2018-03-31 13F-HR PRETIUM RESOURCES INC / CONV (74139CAB8) 8,356
2018-03-31 13F-HR TPG SPECIALTY LENDING IN / CONV (87265KAD4) 15,504
2018-03-31 13F-HR VIAVI SOLUTIONS INC / CONV (925550AB1) 35,946
2018-03-31 13F-HR SEMPRA ENERGY / CONV PFD (816851406) 102.14 51,194 5,229
2018-03-31 13F-HR ASSURANT INC / CONV PFD (04621X207) 103.86 333,100 34,596
2018-03-31 13F-HR BDX / Becton Dickinson & Co. 216.75 4,000 867
2018-03-31 13F-HR CAT / Caterpillar, Inc. 147.38 60,400 8,902
2018-03-31 13F-HR INSM / Insmed, Inc. 20.00 50 1
2018-03-31 13F-HR HZO / MarineMax, Inc. 19.44 25,000 486
2018-03-31 13F-HR USB / U.S. Bancorp 50.50 120,000 6,060
2018-03-31 13F-HR CNC / Centene Corp. 106.90 12,900 1,379
2018-03-31 13F-HR FDX / FedEx Corp. 240.11 9,000 2,161
2018-03-31 13F-HR LGIH / LGI Homes, Inc. 70.49 4,100 289
2018-03-31 13F-HR NVRO / Nevro Corp. 86.64 14,000 1,213
2018-03-31 13F-HR XLF / SPDR Financial Select Sector ETF 27.56 25,000 689
2018-03-31 13F-HR VRNT / Verint Systems, Inc. 42.60 20,000 852
2018-03-31 13F-HR NCLH / Norwegian Cruise Line Holdings Ltd 53.00 15,000 795
2018-03-31 13F-HR BABA / Alibaba Group Holding Limited Put 426.67 150 64
2018-03-31 13F-HR BGEPF / Bunge Ltd., 4.875% Cumulative Convertible Perpetual Preference Put 76.47 510 39
2018-03-31 13F-HR ETSY / Etsy, Inc. Put 30.00 200 6
2018-03-31 13F-HR FAF / First American Financial Corp. (The) Call 126.15 325 41
2018-03-31 13F-HR HD / Home Depot, Inc. (The) Call 40.00 200 8
2018-03-31 13F-HR SPDR S&P REGIONAL BANKING ETF / OPT (78464A958) Put 69.00 1,000 69
2018-03-31 13F-HR MTB / M & T Bank Corp. Put 170.00 100 17
2018-03-31 13F-HR NAV / Navistar International Corp. Put 103.33 600 62
2018-03-31 13F-HR NCLH / Norwegian Cruise Line Holdings Ltd Put 113.33 150 17
2018-03-31 13F-HR NTNX / Nutanix, Inc. Put 110.00 200 22
2018-03-31 13F-HR USB.PRN / US Bancorp Del Call 26.00 500 13