Current Holdings (from 13F, 13D)

InvestorAdvent Capital Management /de/
Insider ProfileADVENT CAPITAL MANAGEMENT /DE/
Portfolio Value$ 5,281,040,000
Current Positions126
Opened Positions5
Closed Positions81

Advent Capital Management /de/ has disclosed 126 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 5,281,040,000 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) , The Priceline Group Inc. (NASDAQ:PCLN) , Illumina, Inc. (NASDAQ:ILMN) , Wells Fargo & Co., 7.50% Non-Cumul Perp Conv Cl A Preferred Stock, Series L (NYSE:WFC.PRL) , and Wright Medical Group N.V. (NASDAQ:WMGIZ) . Advent Capital Management /de/'s new positions include Yahoo! Inc. (NASDAQ:YHOO) , The Priceline Group Inc. (NASDAQ:PCLN) , Illumina, Inc. (NASDAQ:ILMN) , Wright Medical Group N.V. (NASDAQ:WMGIZ) , and Weatherford International plc (NYSE:WFT) .


All Advent Capital Management /de/ holdings are listed in the following table. This data is sourced from 13D/13G, and 13F filings. Green rows indicate new positions. Red rows indicate closed positions.

This 13F was filed on 2017-11-14. Click the link icon to see the full transaction history.

Reporting PeriodFormSecurity Imputed
Share Price
Prev SharesCurrent SharesChange
(Percent)
Prev Value ($K)Current Value ($K)Change
(Percent)
2017‑09‑30 13F-HR ORCL / Oracle Corp. Call 0.00 300 0
2017‑09‑30 13F-HR 458140AF7 / Intel Corp. 3.25% Note Due 8/1/2039 39,835 42,946 7.81
2017‑09‑30 13F-HR PTCT / PTC Therapeutics, Inc. 20.00 10,000 5,229 200 -96.18
2017‑09‑30 13F-HR ON / ON Semiconductor Corporation Put 200 0 -100.00 9 0 -100.00
2017‑09‑30 13F-HR P / Pandora Media, Inc. Call 1,000 0 -100.00 13 0 -100.00
2017‑09‑30 13F-HR RHT / Red Hat, Inc. Call 200 0 -100.00 129 0 -100.00
2017‑09‑30 13F-HR PODD / Insulet Corp. 26,981 27,803 3.05
2017‑09‑30 13F-HR PODD / Insulet Corp. Put 150 0 -100.00 3 0 -100.00
2017‑09‑30 13F-HR PRAA / PRA Group, Inc. Put 800 0 -100.00 8 0 -100.00
2017‑09‑30 13F-HR RAD / Rite Aid Corp. Put 1,000 0 -100.00 3 0 -100.00
2017‑09‑30 13F-HR PFE / Pfizer, Inc. Call 1,500 0 -100.00 32 0 -100.00
2017‑09‑30 13F-HR TWTR / Twitter, Inc. 16.86 15,898 80,650 268 -99.67
2017‑09‑30 13F-HR TWTR / Twitter, Inc. 15,898 268 69,467 25,820.52
2017‑09‑30 13F-HR TWTR / Twitter, Inc. Call 1,000 0 -100.00 19 0 -100.00
2017‑09‑30 13F-HR WGP / Western Gas Equity Partners, LP Put 500 0 -100.00 9 0 -100.00
2017‑09‑30 13F-HR Technology Select Sector SPDR / OPT Put (81369Y953) 300 0 -100.00 6 0 -100.00
2017‑09‑30 13F-HR BMRN / BioMarin Pharmaceutical, Inc. 5,500 0 -100.00 500 0 -100.00
2017‑09‑30 13F-HR TSNU / Tyson Foods, Inc., 4.75% Tangible Equity Units 4,786 0 -100.00 325 0 -100.00
2017‑09‑30 13F-HR CMI / Cummins, Inc. 56,000 0 -100.00 9,084 0 -100.00
2017‑09‑30 13F-HR MIC / Macquarie Infrastructure Company LLC 60,267 0 -100.00 4,725 0 -100.00
2017‑09‑30 13F-HR GXP / Great Plains Energy, Inc. 245,261 0 -100.00 13,077 0 -100.00
2017‑09‑30 13F-HR SRCLP / Stericycle, Inc. 5.25% Series A Preferred 96,000 0 -100.00 6,145 0 -100.00
2017‑09‑30 13F-HR TMUS / T-Mobile US, Inc. 12,000 0 -100.00 727 0 -100.00
2017‑09‑30 13F-HR AAPL / Apple, Inc. 70 0 -100.00 10 0 -100.00
2017‑09‑30 13F-HR CHTR / Charter Communications, Inc. 3,500 0 -100.00 1,179 0 -100.00
2017‑09‑30 13F-HR Financial Select Sector SPDR F / OPT Call (81369Y905) 1,000 0 -100.00 29 0 -100.00
2017‑09‑30 13F-HR LMT / Lockheed Martin Corp. 24,300 0 -100.00 6,746 0 -100.00
2017‑09‑30 13F-HR BIIB / Biogen Inc. 15,500 0 -100.00 4,206 0 -100.00
2017‑09‑30 13F-HR PowerShares QQQ Trust Series 1 / OPT Put (73935A954) 435 0 -100.00 90 0 -100.00
2017‑09‑30 13F-HR PFPT / Proofpoint, Inc. 3,500 0 -100.00 304 0 -100.00
2017‑09‑30 13F-HR HCA / HCA Holdings Inc. 16,200 0 -100.00 1,413 0 -100.00
2017‑09‑30 13F-HR CTL / CenturyLink, Inc. Put 300 0 -100.00 16 0 -100.00
2017‑09‑30 13F-HR CTL / CenturyLink, Inc. 123,700 0 -100.00 2,954 0 -100.00
2017‑09‑30 13F-HR ON / ON Semiconductor Corporation 20,000 0 -100.00 281 0 -100.00
2017‑09‑30 13F-HR TWTR / Twitter, Inc. Put 14.00 0 500 0 7
2017‑09‑30 13F-HR CX / Cemex S.A.B de C.V. Put 19.70 0 203 0 4
2017‑09‑30 13F-HR SCMP / Sucampo Pharmaceuticals, Inc. 4,220 2,906 -31.14
2017‑09‑30 13F-HR 922417AD2 / Veeco Instruments, Inc. Bond 2.7% Due 1/15/2023 15,925 57,561 261.45
2017‑09‑30 13F-HR CATM / Cardtronics, Inc. 20,180 34,824 72.57
2017‑09‑30 13F-HR VIAV / Viavi Solutions Inc. 22,975 21,834 -4.97
2017‑09‑30 13F-HR 464337AJ3 / Ionis Pharmaceuticals, Inc. 1.00% Convertible Note 42,924 40,330 -6.04
2017‑09‑30 13F-HR 530715AN1 / Liberty Media, Note 3.5%, Due 1/15/2031 37,200 36,251 -2.55
2017‑09‑30 13F-HR Ctrip.Com Intl Ltd / CONV (22943FAM2) 26,658
2017‑09‑30 13F-HR Cypress Semiconductor Co / CONV (232806AM1) 25,185
2017‑09‑30 13F-HR Dish Network Corp / CONV (25470MAB5) 79,141
2017‑09‑30 13F-HR Green Plains Inc / CONV (393222AF1) 14,079
2017‑09‑30 13F-HR Blackhawk Network Hold / CONV (09238EAB0) 6,999
2017‑09‑30 13F-HR 493723AA8 / KEYW Holdings Corp 2.5% Note due 2019-07-15 7,048
2017‑09‑30 13F-HR Liberty Media Corp / CONV (531229AE2) 59,705
2017‑09‑30 13F-HR Redwood Trust Inc / CONV (758075AC9) 7,601
2017‑09‑30 13F-HR Tcp Capital Corp / CONV (87238QAD5) 19,022
2017‑09‑30 13F-HR 57164YAA5 / Marriott Vacations Worldwide Corp NOTE 1.500% 9/1 15,711
2017‑09‑30 13F-HR Biomarin Pharmaceutical / CONV (09061GAH4) 26,383
2017‑09‑30 13F-HR 189464AB6 / Clovis Oncology, Inc. 2.5% 9/15/2021 13,277 11,056 -16.73
2017‑09‑30 13F-HR Starwood Property Trust / CONV (85571BAA3) 0.00 730 730 0.00
2017‑09‑30 13F-HR GBX / Greenbrier Companies, Inc. (THE) 553 555 0.36
2017‑09‑30 13F-HR 67020YAG5 / Nuance Communications, Inc. 1.50% Note Due 11/1/2035 7,906 7,862 -0.56
2017‑09‑30 13F-HR 92343XAA8 / Verint Systems, Inc. 1.5% Note Due 6/1/2021 54,183 56,119 3.57
2017‑09‑30 13F-HR VZ / Verizon Communications, Inc. 49.49 165,000 125,000 -24.24 7,369 6,186 -16.05
2017‑09‑30 13F-HR F / Ford Motor Co. 11.98 0 50,000 0 599
2017‑09‑30 13F-HR 007903BD8 / Advanced Micro Devices, Inc. Bond 2.125%, 9/1/2026 15,043 14,226 -5.43
2017‑09‑30 13F-HR 538034AJ8 / Live Nation Entertainment, Inc. 2.5% Due 5/15/2019 25,325 435 -98.28
2017‑09‑30 13F-HR CTXS / Citrix Systems, Inc. 76.84 0 19,000 0 1,460
2017‑09‑30 13F-HR 11133BAD4 / BroadSoft, Inc. 1% Note Due 9/1/2022 31,313 27,680 -11.60
2017‑09‑30 13F-HR KEY / KeyCorp 18.84 40,315 25,000 -37.99 756 471 -37.70
2017‑09‑30 13F-HR FNSR / Finisar Corporation Put 20.00 0 100 0 2
2017‑09‑30 13F-HR AKAM / Akamai Technologies, Inc. 780 780 0.00
2017‑09‑30 13F-HR AKAM / Akamai Technologies, Inc. Call 43.33 0 300 0 13
2017‑09‑30 13F-HR 88160RAB7 / Tesla Motors, Inc. Convertible Note 0.250% Due 3/1/2019 29,025 28,045 -3.38
2017‑09‑30 13F-HR 44052TAB7 / Horizon Pharma plc 2.5% Note due 2022-03-15 47,320 48,542 2.58
2017‑09‑30 13F-HR DHR / Danaher Corp. 0 -100.00 3,941 0 -100.00
2017‑09‑30 13F-HR MRK / Merck & Co., Inc. 64.02 61,000 81,000 32.79 3,909 5,186 32.67
2017‑09‑30 13F-HR 67020YAK6 / Nuance Communications, Inc. 1.00% Note Due 12/15/2035 67,389 65,182 -3.28
2017‑09‑30 13F-HR W / Wayfair, Inc. 10,916
2017‑09‑30 13F-HR AMT / American Tower Corp. (REIT) 136.68 40,000 5,467
2017‑09‑30 13F-HR ARNC / Arconic Inc. 24.86 2,534 63
2017‑09‑30 13F-HR BC / Brunswick Corp. 56.00 5,000 280
2017‑09‑30 13F-HR CIDM / Cinedigm Corp. 1.45 36,666 53
2017‑09‑30 13F-HR FLXN / Flexion Therapeutics, Inc. 24.20 15,000 363
2017‑09‑30 13F-HR TechnipFMC PLC / (G87110105) 27.61 11,300 312
2017‑09‑30 13F-HR GT / Goodyear Tire & Rubber Co. (The) 33.25 20,000 665
2017‑09‑30 13F-HR IAC / IAC/InterActiveCorp. 118.00 1,000 118
2017‑09‑30 13F-HR IIVI / II-VI Inc. 41.25 4,000 165
2017‑09‑30 13F-HR LOW / Lowe's Companies, Inc. 79.93 42,000 3,357
2017‑09‑30 13F-HR MS / Morgan Stanley 48.16 55,000 2,649
2017‑09‑30 13F-HR NVS / Novartis AG 85.85 7,385 634
2017‑09‑30 13F-HR RGLD / Royal Gold, Inc. 86.04 60,300 5,188
2017‑09‑30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. 17.60 50,000 880
2017‑09‑30 13F-HR TPGE / TPG Pace Energy Holdings Corp. 10.20 300,000 3,060
2017‑09‑30 13F-HR AAPL / Apple, Inc. Call 60.00 500 30
2017‑09‑30 13F-HR TREE / LendingTree, Inc. 244.46 26,000 6,356
2017‑09‑30 13F-HR VECO / Veeco Instruments, Inc. 21.40 20,000 428
2017‑09‑30 13F-HR ZG / Zillow Group, Inc. Class A 40.26 8,420 339
2017‑09‑30 13F-HR Altaba Inc / OPT Put (021346951) 18.00 500 9
2017‑09‑30 13F-HR AMZN / Amazon.com, Inc. Call 1,960.00 25 49
2017‑09‑30 13F-HR CCI / Crown Castle International Corp. Put 100.00 70 7
2017‑09‑30 13F-HR FLXN / Flexion Therapeutics, Inc. Call 244.00 250 61
2017‑09‑30 13F-HR GLD / SPDR Gold Shares Put 46.67 150 7
2017‑09‑30 13F-HR GPRE / Green Plains Inc. Call 16.00 500 8
2017‑09‑30 13F-HR HCJ / HCI Group, Inc. Put 10.00 200 2
2017‑09‑30 13F-HR IIVI / II-VI Inc. Put 10.00 400 4
2017‑09‑30 13F-HR INCY / Incyte Corp. Put 70.00 100 7
2017‑09‑30 13F-HR IPXL / Impax Laboratories, Inc. Put 100.50 806 81
2017‑09‑30 13F-HR 493267958 / KeyCorp Put 0.00 250 0
2017‑09‑30 13F-HR MTOR / Meritor, Inc. Put 20.00 500 10
2017‑09‑30 13F-HR NBR / Nabors Industries Ltd. Call 41.00 1,000 41
2017‑09‑30 13F-HR RACE / Ferrari N.V. Call 20.00 50 1
2017‑09‑30 13F-HR RACE / Ferrari N.V. Put 72.73 110 8
2017‑09‑30 13F-HR RGLD / Royal Gold, Inc. Put 475.00 200 95
2017‑09‑30 13F-HR SBNB / Scorpio Tankers Inc. Call 5.00 1,000 5
2017‑09‑30 13F-HR Tapestry Inc / OPT Call (876030907) 30.00 200 6
2017‑09‑30 13F-HR TREE / LendingTree, Inc. Call 520.00 100 52
2017‑09‑30 13F-HR WMT / Wal-Mart Stores, Inc. Put 17.39 230 4
2017‑09‑30 13F-HR Crown Castle Intl Corp / CONV PFD (22822V309) 1,061.17 55,728 59,137
2017‑09‑30 13F-HR DTE / DTE Energy Co. 54.11 151,580 43,500 -71.30 8,227 2,354 -71.39
2017‑09‑30 13F-HR PCLN / The Priceline Group Inc. Put 780.00 0 50 0 39
2017‑09‑30 13F-HR INTC / Intel Corp. 38.08 40,000 25,000 -37.50 1,350 952 -29.48
2017‑09‑30 13F-HR SINA / Sina Corp. 230 230 0.00
2017‑09‑30 13F-HR BKD / Brookdale Senior Living, Inc. 19,872 297 -98.51
2017‑09‑30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 4.12 0 1,700 0 7
2017‑09‑30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 6.67 0 300 0 2
2017‑09‑30 13F-HR 21925YAB9 / Cornerstone OnDemand, Inc. NOTE 1.500% 7/0 31,284 28,383 -9.27
2017‑09‑30 13F-HR INFN / Infinera Corp. 20,000 213 46 -78.40
2017‑09‑30 13F-HR MDRX / Allscripts Healthcare Solutions Inc. 68,508 64,395 -6.00
2017‑09‑30 13F-HR NYCB.PRU / New York Community Capital Trust V BONUSES Units due 11/1/2051 50.69 333,111 404,832 21.53 17,134 20,520 19.76
2017‑09‑30 13F-HR MDSO / Medidata Solutions, Inc. 881 856 -2.84
2017‑09‑30 13F-HR THRX / Theravance, Inc. 9,357 6,359 -32.04
2017‑09‑30 13F-HR 780287AA6 / Royal Gold, Inc. 2.875% Note Due 2019-06-15 38,848 36,476 -6.11
2017‑09‑30 13F-HR CAMP / CalAmp Corp. 19,197 22,388 16.62
2017‑09‑30 13F-HR 88160RAC5 / Tesla Motors, Inc. Note 1.25% Due 3/1/2021 18,625 34,017 82.64
2017‑09‑30 13F-HR FWONA / Liberty Media, Formula One Group Series A 59,658 52,888 -11.35
2017‑09‑30 13F-HR JAZZ / Jazz Pharmaceuticals, Inc. 82,800 84,817 2.44
2017‑09‑30 13F-HR NUVA / NuVasive, Inc. 21,255 22,357 5.18
2017‑09‑30 13F-HR VER / VEREIT, Inc. 18,272 11,360 -37.83
2017‑09‑30 13F-HR VER / VEREIT, Inc. 11,360 15,141 33.28
2017‑09‑30 13F-HR BAC.PRL / Bank of America Corp. 7.25% Preferred Perpetual Convertible Series L 1,308.30 50,379 57,633 14.40 63,578 75,401 18.60
2017‑09‑30 13F-HR 22943FAF7 / Ctrip.com International, Ltd. NOTE 1.000% 7/0 89,575 87,825 -1.95
2017‑09‑30 13F-HR BAC / Bank of America Corp. 25.33 0 30,000 0 760
2017‑09‑30 13F-HR BAC / Bank of America Corp. Call 18.75 1,000 800 -20.00 10 15 50.00
2017‑09‑30 13F-HR 11133BAB8 / BroadSoft, Inc. 1.5% Note Due 7/1/2018 22,918 25,125 9.63
2017‑09‑30 13F-HR DIS / The Walt Disney Co. 98.58 0 40,000 0 3,943
2017‑09‑30 13F-HR IPXL / Impax Laboratories, Inc. 27,111 44,780 65.17
2017‑09‑30 13F-HR 171779AK7 / Ciena Corp. DEBT 4.000%12/1 8,168 10,197 24.84
2017‑09‑30 13F-HR iShares Russell 2000 ETF / OPT Put (464287955) 16.00 600 500 -16.67 11 8 -27.27
2017‑09‑30 13F-HR S / Sprint Corporation 7.78 60,000 60,000 0.00 493 467 -5.27
2017‑09‑30 13F-HR SYMC / Symantec Corp. Call 500 0 -100.00 10 0 -100.00
2017‑09‑30 13F-HR SPDR S&P500 ETF Trust / OPT Call (78462F903) 2,000 0 -100.00 26 0 -100.00
2017‑09‑30 13F-HR KR / Kroger Co. Put 200 0 -100.00 1 0 -100.00
2017‑09‑30 13F-HR LC / LendingClub Corp. Call 2,000 0 -100.00 15 0 -100.00
2017‑09‑30 13F-HR MSFT / Microsoft Corp. Call 300 0 -100.00 6 0 -100.00
2017‑09‑30 13F-HR NBR / Nabors Industries Ltd. Put 600 0 -100.00 23 0 -100.00
2017‑09‑30 13F-HR NBIX / Neurocrine Biosciences, Inc. Put 300 0 -100.00 71 0 -100.00
2017‑09‑30 13F-HR NXST / Nexstar Broadcasting Group, Inc. Put 100 0 -100.00 5 0 -100.00
2017‑09‑30 13F-HR ON / ON Semiconductor Corporation Call 2,000 0 -100.00 10 0 -100.00
2017‑09‑30 13F-HR MU / Micron Technology, Inc. Put 7.50 100 400 300.00 3 3 0.00
2017‑09‑30 13F-HR T / AT & T, Inc. Put 12.22 1,800 22
2017‑09‑30 13F-HR Z / Zillow Group, Inc. Class C Put 28.18 0 1,100 0 31
2017‑09‑30 13F-HR VEON / VEON Ltd. ADS 4.19 85,300 357
2017‑09‑30 13F-HR SRC / Spirit Realty Capital, Inc. 14,943 25,613 71.40
2017‑09‑30 13F-HR SRC / Spirit Realty Capital, Inc. 14,509 14,943 2.99
2017‑09‑30 13F-HR FNSR / Finisar Corporation 55,230 40,926 -25.90
2017‑09‑30 13F-HR BTG / B2Gold Corp. 87,000 244 50,393 20,552.87
2017‑09‑30 13F-HR BTG / B2Gold Corp. 2.80 87,000 51,962 244 -99.53
2017‑09‑30 13F-HR ILMN / Illumina, Inc. 108,209 621 -99.43
2017‑09‑30 13F-HR ILMN / Illumina, Inc. 103,279 108,209 4.77
2017‑09‑30 13F-HR CX / Cemex S.A.B de C.V. 9.08 161,000 32,044 1,462 -95.44
2017‑09‑30 13F-HR CX / Cemex S.A.B de C.V. 29,007 32,044 10.47
2017‑09‑30 13F-HR CLNY / Colony Capital, Inc. 25,066 62,281 148.47
2017‑09‑30 13F-HR CLNY / Colony Capital, Inc. 25,596 25,066 -2.07
2017‑09‑30 13F-HR FEYE / FireEye, Inc. 27,173 75,949 179.50
2017‑09‑30 13F-HR FEYE / FireEye, Inc. 15,000 252 27,173 10,682.94
2017‑09‑30 13F-HR FEYE / FireEye, Inc. 16.80 15,000 63,276 252 -99.60
2017‑09‑30 13F-HR MU / Micron Technology, Inc. 39.34 50,000 11.11 5,559 1,967 -64.62
2017‑09‑30 13F-HR MU / Micron Technology, Inc. 50,000 1,967 94,135 4,685.71
2017‑09‑30 13F-HR PCLN / The Priceline Group Inc. 109,405 52,753 -51.78
2017‑09‑30 13F-HR PCLN / The Priceline Group Inc. 5,201 109,405 2,003.54
2017‑09‑30 13F-HR PCLN / The Priceline Group Inc. 3,820 6,994 5,201 -25.64
2017‑09‑30 13F-HR PCLN / The Priceline Group Inc. 1,830.89 3,820 9,127 6,994 -23.37
2017‑09‑30 13F-HR CKH / SEACOR Holdings, Inc. 1,800 179 -90.06
2017‑09‑30 13F-HR LRCX / Lam Research Corp. 0 -100.00 76,974 0 -100.00
2017‑09‑30 13F-HR AL / Air Lease Corporation 0 -100.00 39,245 0 -100.00
2017‑09‑30 13F-HR AL / Air Lease Corporation 44,253 39,245 -11.32
2017‑09‑30 13F-HR PODD / Insulet Corp. 0 -100.00 27,803 0 -100.00
2017‑09‑30 13F-HR HCN.PRI / Welltower Inc. 6.50% Series I Cumul Convertible Perpetual Preferred Stock 63.23 198,085 273,000 37.82 13,120 17,262 31.57
2017‑09‑30 13F-HR GLD / SPDR Gold Shares 121.60 0 15,000 0 1,824
2017‑09‑30 13F-HR NVRO / Nevro Corp. 20,471 21,443 4.75
2017‑09‑30 13F-HR FTRPR / Frontier Communications Corp. 19.06 211,000 144,811 -31.37 6,227 2,760 -55.68
2017‑09‑30 13F-HR EFII / Electronics For Imaging, Inc. 64,683 60,424 -6.58
2017‑09‑30 13F-HR 111621AQ1 / Brocade Communications Systems, Inc. 1.375% Note Due 1/1/2020 436 436 0.00
2017‑09‑30 13F-HR NXPI / NXP Semiconductors N.V. 28,389 28,762 1.31
2017‑09‑30 13F-HR WMGIZ / Wright Medical Group N.V. 99,490 97,433 -2.07
2017‑09‑30 13F-HR PTCT / PTC Therapeutics, Inc. Put 60.00 0 100 0 6
2017‑09‑30 13F-HR ETN / Eaton Corporation 76.80 80,000 50,000 -37.50 6,226 3,840 -38.32
2017‑09‑30 13F-HR 04010LAM5 / Ares Capital Corp. 4.375% Note Due 1/15/2019 60,822 56,844 -6.54
2017‑09‑30 13F-HR INCY / Incyte Corp. 116.73 40,500 50,500 24.69 5,099 5,895 15.61
2017‑09‑30 13F-HR INCY / Incyte Corp. Call 57.14 0 70 0 4
2017‑09‑30 13F-HR SPDR S&P 500 ETF Trust / OPT Put (78462F953) 21.67 2,080 600 -71.15 133 13 -90.23
2017‑09‑30 13F-HR 42330PAH0 / Helix Energy Solutions Group, Inc. 4.25% Convertible Note due 2022-05-01 5 5 0.00
2017‑09‑30 13F-HR X / United States Steel Corp. 25.67 285,000 27,500 -90.35 6,310 706 -88.81
2017‑09‑30 13F-HR SNDK / SanDisk Corporation 839 839 0.00
2017‑09‑30 13F-HR MCHP / Microchip Technology Inc. Put 50.00 0 120 0 6
2017‑09‑30 13F-HR SYF / Synchrony Financial 31.05 10,000 60,000 500.00 298 1,863 525.17
2017‑09‑30 13F-HR M / Macy's, Inc. 21.82 0 200,000 0 4,364
2017‑09‑30 13F-HR 09061GAF8 / BioMarin Pharmaceutical Inc. Bond 1.5% 10/15/2020 31,736 31,041 -2.19
2017‑09‑30 13F-HR DY / Dycom Industries, Inc. 56,393 71,615 26.99
2017‑09‑30 13F-HR 743424AD5 / Proofpoint, Inc. 0.75% Convertible Note due 2020-06-15 28,662 25,932 -9.52
2017‑09‑30 13F-HR WMT / Wal-Mart Stores, Inc. 78.15 0 72,876 0 5,695
2017‑09‑30 13F-HR CTRP / Ctrip.com International, Ltd. Put 6.67 0 300 0 2
2017‑09‑30 13F-HR 04010LAJ2 / Ares Capital Corp. 4.75% Note Due 1/15/2018 9,634 9,859 2.34
2017‑09‑30 13F-HR GD / General Dynamics Corp. 205.56 0 20,344 0 4,182
2017‑09‑30 13F-HR ANTM / Anthem, Inc. 33,184 41,414 24.80
2017‑09‑30 13F-HR SM / SM Energy Co 14,699 18,086 23.04
2017‑09‑30 13F-HR ELGX / Endologix, Inc. 581 581 0.00
2017‑09‑30 13F-HR Blackrock Capital Invest / CONV (092533AC2) 0.00 13,198 20,111 52.38
2017‑09‑30 13F-HR Novellus Systems Inc / CONV (670008AD3) 0.00 645 847 31.32
2017‑09‑30 13F-HR NOW / ServiceNow, Inc. 37,525 34,828 -7.19
2017‑09‑30 13F-HR NOW / ServiceNow, Inc. Call 45.00 245 200 -18.37 82 9 -89.02
2017‑09‑30 13F-HR BMRN / BioMarin Pharmaceutical, Inc. Put 53.33 0 150 0 8
2017‑09‑30 13F-HR UNP / Union Pacific Corp. 115.99 0 15,544 0 1,803
2017‑09‑30 13F-HR RHT / Red Hat, Inc. 65,172 48,339 -25.83
2017‑09‑30 13F-HR 00484MAA4 / Acorda Therapeutics, Inc. Bond 1.750% 6/1 4,092 4,538 10.90
2017‑09‑30 13F-HR HOS / Hornbeck Offshore Services, Inc. 74 74 0.00
2017‑09‑30 13F-HR LYV / Live Nation Entertainment, Inc. Put 5.56 250 180 -28.00 7 1 -85.71
2017‑09‑30 13F-HR 63934EAS7 / Navistar International Corp. Bond 4.75% Due 4/15/2019 1,480 1,647 11.28
2017‑09‑30 13F-HR 60855RAC4 / Molina Healthcare, Inc. NOTE 1.125% 1/1 31,504 13,022 -58.67
2017‑09‑30 13F-HR TER / Teradyne, Inc. 37.30 0 10,000 0 373
2017‑09‑30 13F-HR TER / Teradyne, Inc. Put 13.33 0 150 0 2
2017‑09‑30 13F-HR OAS / Oasis Petroleum Inc. 10,775 11,804 9.55
2017‑09‑30 13F-HR 55608BAB1 / Macquarie Infrastructure Company LLC 2.0% Note Due 10/1/2023 42,644 43,566 2.16
2017‑09‑30 13F-HR 001546AP5 / AK Steel Holding Corp. 1.5% Note due 2019-11-15 8,165 11,300 38.40
2017‑09‑30 13F-HR DEPO / DepoMed, Inc. Put 98.00 3,000 1,000 -66.67 38 98 157.89
2017‑09‑30 13F-HR 87238QAB9 / TCP Capital Corp., 5.25% Note due 2019-12-15 1,063 1,053 -0.94
2017‑09‑30 13F-HR ATI / Allegheny Technologies, Inc. 23.89 17,500 1,328 418 -68.52
2017‑09‑30 13F-HR ATI / Allegheny Technologies, Inc. Put 11.43 0 175 0 2
2017‑09‑30 13F-HR AGC / Advent Claymore Convertible Securities & Income Fund II 6.20 554,000 10,000 -98.19 3,451 62 -98.20
2017‑09‑30 13F-HR Forest City Realty Trust / CONV (345550AP2) 0.00 44,537 46,604 4.64
2017‑09‑30 13F-HR 67020YAF7 / Nuance Communications, Inc. 2.75% Note Due 11/1/2031 410 410 0.00
2017‑09‑30 13F-HR DHR / Danaher Corp. 5,000 422 3,941 833.89
2017‑09‑30 13F-HR 049164BH8 / Atlas Air Worldwide Holdings, Inc. 2.25% Convertible Note Due 6/1/2022 30,515 30,031 -1.59
2017‑09‑30 13F-HR AMT.PRB / American Tower Corp NEW 122.55 122,159 119,401 -2.26 14,732 14,633 -0.67
2017‑09‑30 13F-HR 458140AD2 / Intel Corp. 2.95% Note Due 12/15/2035 79,427 82,807 4.26
2017‑09‑30 13F-HR 680223AH7 / Old Republic International Corp. 3.75% Note Due 3/15/2018 18,169 22,497 23.82
2017‑09‑30 13F-HR TSLX / TPG Specialty Lending, Inc. 1,355 1,348 -0.52
2017‑09‑30 13F-HR WPX / WPX Energy, Inc. 11.50 0 60,000 0 690
2017‑09‑30 13F-HR WPX / WPX Energy, Inc. Put 8.33 0 600 0 5
2017‑09‑30 13F-HR WPXP / WPX Energy, 6.25% Series A Mandatory Convertible Cumulative Preferred Stock 53.26 150,240 150,329 0.06 7,005 8,006 14.29
2017‑09‑30 13F-HR PFE / Pfizer, Inc. 35.72 0 25,000 0 893
2017‑09‑30 13F-HR WFT / Weatherford International plc 85,856 96,725 12.66
2017‑09‑30 13F-HR 87157BAA1 / Synchronoss Technologies, Inc. 0.75% Note Due 8/15/2019 286 286 0.00
2017‑09‑30 13F-HR BDXA / Becton Dickinson & Co. 6.125% Preferred Series A 54.99 1,027,265 1,117,821 8.82 56,149 61,465 9.47
2017‑09‑30 13F-HR 436440AC5 / Hologic, Inc. 2% Note Due 3/1/2042 20,070 17,745 -11.58
2017‑09‑30 13F-HR ECPG / Encore Capital Group, Inc. 29 29 0.00
2017‑09‑30 13F-HR 177376AD2 / Citrix Systems, Inc. 0.5% Convertible Note due 2019-04-15 17,987 45,743 154.31
2017‑09‑30 13F-HR EEFT / Euronet Worldwide, Inc. 26,250 24,805 -5.50
2017‑09‑30 13F-HR TMUSP / T-Mobile US, 5.50% Mandatory Convertible Preferred Stock Series A 99.84 178,361 159,575 -10.53 17,606 15,932 -9.51
2017‑09‑30 13F-HR FLDM / Fluidigm Corp. 144 144 0.00
2017‑09‑30 13F-HR Alza Corp / CONV (02261WAB5) 0.00 3,209 2,831 -11.78
2017‑09‑30 13F-HR EBS / Emergent Biosolutions, Inc. 4,043 4,499 11.28
2017‑09‑30 13F-HR PDCE / PDC Energy, Inc. 36,630 38,951 6.34
2017‑09‑30 13F-HR 043353AH4 / Meritor, Inc. 4% Note Due 2/15/2027 20,767 598 -97.12
2017‑09‑30 13F-HR BMYMP / Bristol-Myers Squibb Co. 0 0 2,788
2017‑09‑30 13F-HR AWAY / HomeAway, Inc. 165 165 0.00
2017‑09‑30 13F-HR AEUA / Anadarko Petroleum Corp., 7.50% Tangible Equity Units due 6/7/2018 39.55 197,103 122,489 -37.86 8,094 4,845 -40.14
2017‑09‑30 13F-HR IPHI / Inphi Corp. 517 564 9.09
2017‑09‑30 13F-HR IDTI / Integrated Device Technology, Inc. 61,762 69,803 13.02
2017‑09‑30 13F-HR EPAY / Bottomline Technologies, Inc. 590 635 7.63
2017‑09‑30 13F-HR 79466LAD6 / Salesforce.com, Inc. 0.25% Convertible Note due 2018-04-01 18,908 19,198 1.53
2017‑09‑30 13F-HR Redwood Trust Inc / CONV (758075AB1) 0.00 398 398 0.00
2017‑09‑30 13F-HR AGN / Allergan plc 738.76 64,507 66,208 2.64 55,954 48,912 -12.59
2017‑09‑30 13F-HR 74838JAA9 / QUIDEL Corp. 3.25% Note Due 12/15/2020 28,056 978 -96.51
2017‑09‑30 13F-HR UPS / United Parcel Service, Inc. 120.09 79,700 63,600 -20.20 8,814 7,638 -13.34
2017‑09‑30 13F-HR 88160RAD3 / Tesla Motors, Inc. Note 2.375% Due 3/15/2022 12,458 12,187 -2.18
2017‑09‑30 13F-HR 126349AF6 / CSG Systems International, Inc. NOTE 4.250% 3/1 59,141 58,246 -1.51
2017‑09‑30 13F-HR KBH / KB Home 18,621 15,839 -14.94
2017‑09‑30 13F-HR 530610AD6 / Liberty Interactive Corp 1.75% Note due 2046-09-30 52,636 50,437 -4.18
2017‑09‑30 13F-HR 249908AA2 / DepoMed, Inc. 2.5% Note Due 9/1/2021 24,614 17,887 -27.33
2017‑09‑30 13F-HR Rti International Metals / CONV (74973WAB3) 0.00 28,965 37,683 30.10
2017‑09‑30 13F-HR D / Dominion Resources, Inc. 50.77 448,782 472,177 5.21 22,508 23,973 6.51
2017‑09‑30 13F-HR 22943FAD2 / Ctrip.com International, Ltd. NOTE 1.250%10/1 193 193 0.00
2017‑09‑30 13F-HR 42330PAG2 / Helix Energy Solutions Group, Inc. 3.25% Convertible Note due 2032-03-15 261 261 0.00
2017‑09‑30 13F-HR 436440AG6 / Hologic, Inc. 2% Note Due 12/15/2043 51,291 31,871 -37.86
2017‑09‑30 13F-HR ANTX / Anthem, Inc., 5.25% Equity Units due 5/1/2018 52.16 628,956 327,707 -47.90 32,982 17,092 -48.18
2017‑09‑30 13F-HR WEB / Web.com Group, Inc. 3,755 714 -80.99
2017‑09‑30 13F-HR 09061GAE1 / BioMarin Pharmaceutical Inc. Bond 0.75% 10/15/2018 76,305 79,987 4.83
2017‑09‑30 13F-HR 90184LAB8 / Twitter, Inc. NOTE 0.250% 9/1 47,376 46,566 -1.71
2017‑09‑30 13F-HR NHI / National Health Investors, Inc. 21,816 20,023 -8.22
2017‑09‑30 13F-HR Forest City Realty Trust / CONV (345550AR8) 0.00 158 158 0.00
2017‑09‑30 13F-HR Blackstone Mortgage Tr / CONV (09257WAB6) 0.00 25,934 44,696 72.35
2017‑09‑30 13F-HR AAL / American Airlines Group Inc. 47.49 100,000 150,000 50.00 5,032 7,124 41.57
2017‑09‑30 13F-HR 55608BAA3 / Macquarie Infrastructure Company LLC 2.875% Note Due 7/15/2019 49,171 46,121 -6.20
2017‑09‑30 13F-HR QGEN / QIAGEN N.V. 21,325 19,082 -10.52
2017‑09‑30 13F-HR ARNC.PRB / Arconic Inc., 5.375% Dep Shares Class B Mand Convertible Preferred Stock Series 1 39.01 314,882 1,615 -99.49 11,279 63 -99.44
2017‑09‑30 13F-HR CHK / Chesapeake Energy Corp. Call 4.00 0 1,500 0 6
2017‑09‑30 13F-HR Starwood Property Trust / CONV (85571BAB1) 0.00 30,221 28,802 -4.70
2017‑09‑30 13F-HR MDCO / Medicines Company 13,891 13,540 -2.53
2017‑09‑30 13F-HR 682189AK1 / ON Semiconductor Corporation 1% Note due 2020-12-01 68,107 74,140 8.86
2017‑09‑30 13F-HR 85571WAB5 / Colony Starwood Homes NOTE 3.000% 7/0 20,963 19,605 -6.48
2017‑09‑30 13F-HR Atlas Air Worldwide Hldg / CONV (049164BJ4) 0.00 21,232 16,015 -24.57
2017‑09‑30 13F-HR CAA / CalAtlantic Group, Inc. 245 35,066 14,212.65
2017‑09‑30 13F-HR ABBV / AbbVie Inc. 88.80 0 5,000 0 444
2017‑09‑30 13F-HR ABBV / AbbVie Inc. Call 360.00 0 100 0 36
2017‑09‑30 13F-HR 595017AD6 / Microchip Technology Inc. 1.625% Convertible Note due 2025-12-15 20,004 9,188 -54.07
2017‑09‑30 13F-HR WFC.PRL / Wells Fargo & Co., 7.50% Non-Cumul Perp Conv Cl A Preferred Stock, Series L 1,325.74 71,147 78,009 9.64 93,282 103,420 10.87
2017‑09‑30 13F-HR AMGN / Amgen Inc. 37,500 0 -100.00 6,459 0 -100.00
2017‑09‑30 13F-HR BSX / Boston Scientific Corp. 23,000 0 -100.00 638 0 -100.00
2017‑09‑30 13F-HR BP / BP Plc 45,000 0 -100.00 1,559 0 -100.00
2017‑09‑30 13F-HR CIEN / Ciena Corp. 15,000 0 -100.00 375 0 -100.00
2017‑09‑30 13F-HR DISH / DISH Network Corp. 28,700 0 -100.00 1,801 0 -100.00
2017‑09‑30 13F-HR PANW / Palo Alto Networks, Inc. Call 270.00 300 100 -66.67 5 27 440.00
2017‑09‑30 13F-HR 73640QAB1 / PRA Group, Inc. - Convertible Note 3% 23,987 35,159 46.58
2017‑09‑30 13F-HR AMD / Advanced Micro Devices, Inc. 12.76 73,000 50,000 -31.51 911 638 -29.97
2017‑09‑30 13F-HR COMM / CommScope Holding Company, Inc. 20,000 0 -100.00 761 0 -100.00
2017‑09‑30 13F-HR CMA / Comerica, Inc. 18,600 0 -100.00 1,362 0 -100.00
2017‑09‑30 13F-HR FCX / Freeport-McMoRan Inc. 50,000 0 -100.00 601 0 -100.00
2017‑09‑30 13F-HR DAL / Delta Air Lines, Inc. 24,000 0 -100.00 1,290 0 -100.00
2017‑09‑30 13F-HR HD / Home Depot, Inc. (The) 4,500 0 -100.00 690 0 -100.00
2017‑09‑30 13F-HR IMMU / Immunomedics, Inc. 55,000 0 -100.00 486 0 -100.00
2017‑09‑30 13F-HR INFN / Infinera Corp. 0 -100.00 46 0 -100.00
2017‑09‑30 13F-HR KR / Kroger Co. 20,000 0 -100.00 466 0 -100.00
2017‑09‑30 13F-HR LYB / LyondellBasell Industries NV 70,000 0 -100.00 5,907 0 -100.00
2017‑09‑30 13F-HR NBR / Nabors Industries Ltd. 88,500 0 -100.00 720 0 -100.00
2017‑09‑30 13F-HR NXST / Nexstar Broadcasting Group, Inc. 10,000 0 -100.00 598 0 -100.00
2017‑09‑30 13F-HR PRAA / PRA Group, Inc. 7,000 0 -100.00 265 0 -100.00
2017‑09‑30 13F-HR AMD / Advanced Micro Devices, Inc. Put 5.00 500 400 -20.00 12 2 -83.33
2017‑09‑30 13F-HR TTWO / Take-Two Interactive Software, Inc. 104 0 -100.00 8 0 -100.00
2017‑09‑30 13F-HR TGNA / TEGNA Inc. 6,600 0 -100.00 95 0 -100.00
2017‑09‑30 13F-HR Altaba Inc / OPT Call (021346901) 200 0 -100.00 16 0 -100.00
2017‑09‑30 13F-HR AL / Air Lease Corporation Put 120 0 -100.00 2 0 -100.00
2017‑09‑30 13F-HR ATI / Allegheny Technologies, Inc. Call 230 0 -100.00 16 0 -100.00
2017‑09‑30 13F-HR BABA / Alibaba Group Holding Limited Call 50 0 -100.00 6 0 -100.00
2017‑09‑30 13F-HR BPAQF / BP Plc Put 1,500 0 -100.00 44 0 -100.00
2017‑09‑30 13F-HR BAC / Bank of America Corp. Put 300 0 -100.00 0 0
2017‑09‑30 13F-HR BSX / Boston Scientific Corp. Put 300 0 -100.00 5 0 -100.00
2017‑09‑30 13F-HR CX / Cemex S.A.B de C.V. Call 300 0 -100.00 17 0 -100.00
2017‑09‑30 13F-HR CY / Cypress Semiconductor Corp. Call 500 0 -100.00 16 0 -100.00
2017‑09‑30 13F-HR ENDP / Endo International plc Call 3,000 0 -100.00 15 0 -100.00
2017‑09‑30 13F-HR Frontier Communications Corp / OPT Put (35906A956) 22,000 0 -100.00 2,175 0 -100.00
2017‑09‑30 13F-HR IMMU / Immunomedics, Inc. Put 800 0 -100.00 6 0 -100.00
2017‑09‑30 13F-HR IPHI / Inphi Corp. Put 200 0 -100.00 5 0 -100.00
2017‑09‑30 13F-HR INTC / Intel Corp. Put 500 0 -100.00 67 0 -100.00
2017‑09‑30 13F-HR CLVS / Clovis Oncology, Inc. 82.40 18,750 5,000 -73.33 1,756 412 -76.54
2017‑09‑30 13F-HR Omnicare Inc / CONV (681904AR9) 0.00 2,259 2,259 0.00
2017‑09‑30 13F-HR Teva Pharm Fin Co LLC / CONV (88163VAE9) 0.00 35,196 14,795 -57.96
2017‑09‑30 13F-HR NEE / NextEra Energy, Inc. 55.50 109,771 705,096 542.33 7,267 39,134 438.52
2017‑09‑30 13F-HR NEE / NextEra Energy, Inc. 66.20 707,667 109,771 -84.49 37,963 7,267 -80.86
2017‑09‑30 13F-HR CKH / SEACOR Holdings, Inc. 179 1,800 905.59
2017‑09‑30 13F-HR Jefferies Group LLC / CONV (472319AG7) 0.00 39,242 38,936 -0.78
2017‑09‑30 13F-HR YHOO / Yahoo! Inc. 148,134 187,176 26.36
2017‑09‑30 13F-HR LAZ / Lazard Ltd. 45.22 0 105,000 0 4,748
2017‑09‑30 13F-HR HZN / Horizon Global Corp. 9,053 8,532 -5.75
2017‑09‑30 13F-HR 98138HAC5 / Workday, Inc. NOTE 0.750% 7/1 419 390 -6.92
2017‑09‑30 13F-HR 966387AL6 / Whiting Petroleum Corp. 1.25% Note due 2020-04-01 43,823 47,602 8.62
2017‑09‑30 13F-HR 60855RAD2 / Molina Healthcare, Inc. DBCV 1.625% 8/1 48,194 19,545 -59.45
2017‑09‑30 13F-HR SBDKP / Stanley Black & Decker, Inc. 114.36 398,370 317,640 -20.27 42,989 36,324 -15.50
2017‑09‑30 13F-HR 69329YAF1 / PDL BioPharma, Inc. Bond 4.00% Due 2/1/2018 212 212 0.00
2017‑09‑30 13F-HR 749685AT0 / RPM International, Inc. 2.25% Note Due 12/15/2020 7,949 7,712 -2.98
2017‑09‑30 13F-HR Starwood Property Trust / CONV (85571BAH8) 0.00 29,683 29,907 0.75
2017‑09‑30 13F-HR LRCX / Lam Research Corp. 66,080 76,974 16.49
2017‑09‑30 13F-HR 16115QAC4 / Chart Industries, Inc. 2% Note Due 8/1/2018 98 98 0.00
2017‑09‑30 13F-HR GM / General Motors Company 40.38 212,000 152,000 -28.30 7,405 6,138 -17.11
2017‑09‑30 13F-HR 783764AQ6 / CalAtlantic Group, Inc. NOTE 1.625% 5/1 18,598 14,084 -24.27
2017‑09‑30 13F-HR UNH / UnitedHealth Group Inc. 195.87 4,000 3,926 -1.85 742 769 3.64
2017‑09‑30 13F-HR FNFV / Fidelity National Financial, Inc. 42,262 40,139 -5.02
2017‑09‑30 13F-HR JAH / Jarden Corporation 9 9 0.00
2017‑09‑30 13F-HR ICPT / Intercept Pharmaceuticals, Inc. 7,467 19,323 158.78
2017‑09‑30 13F-HR CLVS / Clovis Oncology, Inc. Put 55 0 -100.00 1 0 -100.00
2017‑09‑30 13F-HR X / United States Steel Corp. Put 200 0 -100.00 5 0 -100.00
2017‑09‑30 13F-HR IPHI / Inphi Corp. 0 -100.00 564 0 -100.00
2017‑09‑30 13F-HR CBS / CBS Corp. 5,000 0 -100.00 319 0 -100.00
2017‑09‑30 13F-HR SWNC / Southwestern Energy Co. 321,910 0 -100.00 4,682 0 -100.00
2017‑09‑30 13F-HR MSFT / Microsoft Corp. 1,600 0 -100.00 110 0 -100.00
2017‑09‑30 13F-HR DDS / Dillard's, Inc. Put 250 0 -100.00 7 0 -100.00