InvestorWeiss Asset Management LP
Insider ProfileWeiss Asset Management LP
Portfolio Value $ 1,147,142,000
Current Positions247
Opened Positions5
Closed Positions34


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

Weiss Asset Management LP has disclosed 247 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 1,147,142,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). Weiss Asset Management LP's top holdings are Allergan plc (NYSE:AGN) , Central Fund of Canada Ltd. (NYSE:CEF) , Bob Evans Farms, Inc. (NASDAQ:BOBE) , Allergan plc (NYSE:AGN) , and Old Republic International Corp. 3.75% Bond Due 3/15/2018 (680223AH7) . Weiss Asset Management LP's new positions include Central Fund of Canada Ltd. (NYSE:CEF) , Old Republic International Corp. 3.75% Bond Due 3/15/2018 (680223AH7) , Convergys Corp. Bond (212485AE6) , Liberty Media Corporation Bond (531229AB8) , and Janus Capital Group, Inc. Bond (47102XAH8) . Weiss Asset Management LP's top industries are "Metal Mining" (sic 10) , "Food And Kindred Products" (sic 20) , and "Paper And Allied Products" (sic 26) .

All Weiss Asset Management LP 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 is a list of 13D and 13G filings made since the last quarterly 13F report (if any). Click the link icon to see the full transaction history.

File DateFormSecurity Prev
Shares
Current
Shares
Change
(Percent)
Ownership
Change
(Percent)
2018‑04‑06 SC 13G INDU / Industrea Acquisition Corp. 1,648,758 7.17
2018‑04‑06 SC 13G OPES / Opes Acquisition Corp. 960,000 6.48
2018‑02‑14 SC 13G/A MIII / M III Acquisition Corp. 1,058,000 1,084,186 2.48 5.64 2.36
2018‑02‑14 SC 13G FSAM / Fifth Street Asset Management Inc. 1,093,970 5.38
2018‑02‑14 SC 13G CMSS / CM Seven Star Acquisition Corporation Ordinary Share 1,798,700 6.83
2018‑02‑14 SC 13G BHACU / Barington/Hilco Acquisition Corp. 257,000 190,480 -25.88 6.84 50.66
2018‑02‑14 SC 13G BRAC / Black Ridge Acquisition Corp. 975,000 5.51
2018‑02‑14 SC 13G BCAC / Bison Capital Acquisition Corp 475,000 5.95
2018‑02‑14 SC 13G/A STLRU / Stellar Acquisition III Inc. 500,000 0 -100.00 0.00 -100.00
2018‑02‑14 SC 13G/A MACQ / M I Acquisitions, Inc. 400,000 245,600 -38.60 3.48 -37.63
2018‑02‑14 SC 13G/A GPIA / GP Investments Acquisition Corp. 1,196,315 0 -100.00 0.00 -100.00
2018‑02‑14 SC 13G/A ELEC / Electrum Special Acquisition Corporation 2,076,897 851,819 -58.99 4.72 -43.20
2018‑02‑14 SC 13G ATAC / Atlantic Acquisition Corp. 478,600 478,600 0.00 8.15 0.00

This form was filed on February 14, 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)
2017-12-31 13F-HR BDSI / BioDelivery Sciences International, Inc. 2.95 22,025 65
2017-12-31 13F-HR ROX / Castle Brands, Inc. 1.22 42,564 52
2017-12-31 13F-HR KOPN / Kopin Corp. 3.18 15,431 49
2017-12-31 13F-HR CEF / Central Fund of Canada Ltd. 13.40 7,682,729 102,949
2017-12-31 13F-HR AFT / Apollo Senior Floating Rate Fund Inc. 16.22 0 12,883 0 209
2017-12-31 13F-HR NEA / Nuveen AMT-Free Municipal Income Fund 13.76 33,789 465
2017-12-31 13F-HR XACPX / Avenue Income Credit Strategies 14.06 13,725 193
2017-12-31 13F-HR AET / Aetna, Inc. 180.38 47,826 8,627
2017-12-31 13F-HR XRIFX / RMR Real Estate Income Fund 19.12 14,437 276
2017-12-31 13F-HR NBIX / Neurocrine Biosciences, Inc. 77.56 3,507 7,865 124.27 215 610 183.72
2017-12-31 13F-HR ELEC / Electrum Special Acquisition Corporation 10.31 2,286,597 851,819 -62.75 23,438 8,782 -62.53
2017-12-31 13F-HR VSTM / Verastem, Inc. 3.07 19,516 60
2017-12-31 13F-HR BLACKROCK MUN 2030 TAR TERM / COM SHS BEN IN (09257P105) 22.33 13,167 294
2017-12-31 13F-HR CH / Aberdeen Chile Fund, Inc. 8.93 159,595 1,425
2017-12-31 13F-HR KYE / Kayne Anderson Energy Total Return Fund, Inc. 10.05 0 56,097 0 564
2017-12-31 13F-HR MCD / McDonald's Corp. 172.13 46,000 7,918
2017-12-31 13F-HR JNJ / Johnson & Johnson 139.71 84,100 11,750
2017-12-31 13F-HR EQC / Equity Commonwealth 30.51 252,367 7,700
2017-12-31 13F-HR TTF / Thaifund, Inc. 10.76 0 152,562 0 1,642
2017-12-31 13F-HR 47102XAH8 / Janus Capital Group, Inc. Bond 28,557
2017-12-31 13F-HR GABELLI MULTIMEDIA TR INC / (36239Q109) 9.18 22,763 209
2017-12-31 13F-HR BARINGS GLOBAL SHORT DURATIO / (06760L100) 19.40 18,560 360
2017-12-31 13F-HR 680223AH7 / Old Republic International Corp. 3.75% Bond Due 3/15/2018 56,494
2017-12-31 13F-HR KTF / Deutsche Municipal Income Trust 11.92 14,927 178
2017-12-31 13F-HR NFJ / NFJ Dividend Interest & Premium Strategy Fund. 13.03 0 20,496 0 267
2017-12-31 13F-HR BCAC / Bison Capital Acquisition Corp 9.87 425,000 475,000 11.76 4,195 4,688 11.75
2017-12-31 13F-HR EWY / iShares MSCI South Korea Capped ETF Put 74.93 200,000 14,986
2017-12-31 13F-HR VOYA GLBL EQTY DIV & PREM OP / (92912T100) 7.75 55,851 433
2017-12-31 13F-HR MUI / BlackRock Muni Intermediate Duration Fund, Inc. 13.92 23,775 331
2017-12-31 13F-HR BLACKROCK MUNI INCOME TR II / (09249N101) 14.47 11,404 165
2017-12-31 13F-HR UTX / United Technologies Corp. 127.56 48,000 6,123
2017-12-31 13F-HR PPT / Putnam Premier Income Trust 5.33 0 48,929 0 261
2017-12-31 13F-HR NTG / Tortoise MLP Fund, Inc. 17.56 0 55,980 0 983
2017-12-31 13F-HR MXF / Mexico Fund, Inc. (The) 15.72 0 13,041 0 205
2017-12-31 13F-HR SENTINEL ENERGY SVCS INC / UNIT 11/02/2022 (G8062D128) 9.97 198,900 1,983
2017-12-31 13F-HR ARWR / Arrowhead Pharmaceuticals, Inc. 3.67 19,093 70
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 18.95 1,300,000 24,635
2017-12-31 13F-HR VDTH / Videocon d2h Limited 9.51 1,941,527 18,464
2017-12-31 13F-HR SB / Safe Bulkers, Inc. 3.24 19,125 62
2017-12-31 13F-HR 76120WAC8 / Resource Capital Corp Bond 14,618
2017-12-31 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 18.95 86,000 1,630
2017-12-31 13F-HR CM SEVEN STAR ACQUISITION CO / SHS (G2345N102) 9.65 1,798,700 17,357
2017-12-31 13F-HR VOYA PRIME RATE TR / SH BEN INT (92913A100) 5.07 97,564 495
2017-12-31 13F-HR LAQ / Aberdeen Latin America Equity Fund, Inc. 26.70 17,865 477
2017-12-31 13F-HR IMDZ / Immune Design Corp. 3.89 11,309 44
2017-12-31 13F-HR PLUG / Plug Power, Inc. 2.37 26,570 63
2017-12-31 13F-HR 212485AE6 / Convergys Corp. Bond 55,124 50,590 -8.23
2017-12-31 13F-HR TRI / Thomson Reuters Corp. 6,810 0 -100.00 313 0 -100.00
2017-12-31 13F-HR NVDA / NVIDIA Corp. 2,173 0 -100.00 388 0 -100.00
2017-12-31 13F-HR XLE / SPDR Energy Select Sector ETF 15,000 0 -100.00 1,027 0 -100.00
2017-12-31 13F-HR GM.WS.B / General Motors Company - Warrants 07/10/2019 69,692 0 -100.00 1,562 0 -100.00
2017-12-31 13F-HR CRF / Cornerstone Total Return Fund, Inc. 292,396 0 -100.00 4,278 0 -100.00
2017-12-31 13F-HR QUIK / QuickLogic Corporation 1.73 19,605 34
2017-12-31 13F-HR HYT / BlackRock Corporate High Yield Fund, Inc. 10.94 0 51,827 0 567
2017-12-31 13F-HR XPHTX / Pioneer High Income Trust 9.69 0 16,097 0 156
2017-12-31 13F-HR SRC / Spirit Realty Capital, Inc. 8.60 12,737 14,305 12.31 109 123 12.84
2017-12-31 13F-HR EOD / Wells Fargo Advantage Global Dividend Opportunity Fund 5.91 0 21,655 0 128
2017-12-31 13F-HR KIO / KKR Income Opportunities Fund 16.06 0 11,332 0 182
2017-12-31 13F-HR APPS / Digital Turbine, Inc. 1.79 34,058 61
2017-12-31 13F-HR IRR / Voya Natural Resources Equity Income Fund 6.29 0 11,447 0 72
2017-12-31 13F-HR TYG / Tortoise Energy Infrastructure Corp. 29.08 0 76,373 0 2,221
2017-12-31 13F-HR CRM / Salesforce.com, Inc. 102.20 6,458 660
2017-12-31 13F-HR NSL / Nuveen Senior Income Fund 6.51 0 22,887 0 149
2017-12-31 13F-HR XISDX / Prudential Short Duration High 14.78 0 21,923 0 324
2017-12-31 13F-HR EMO / ClearBridge Energy MLP Opportunity Fund Inc. 11.80 0 39,754 0 469
2017-12-31 13F-HR TTPH / Tetraphase Pharmaceuticals, Inc. 6.30 10,313 65
2017-12-31 13F-HR IPI / Intrepid Potash, Inc. 4.74 16,230 77
2017-12-31 13F-HR FTRPR / Frontier Communications Corp. 10.82 526,278 5,694
2017-12-31 13F-HR BROOKFIELD REAL ASSETS INCOM / SHS BEN INT (112830104) 23.38 23,655 553
2017-12-31 13F-HR CTR / ClearBridge Energy MLP Total Return Fund Inc. 11.61 0 46,157 0 536
2017-12-31 13F-HR NTB / Bank of N.T. Butterfield & Son Limited (The) 37.49 17,462 27,500 57.48 629 1,031 63.91
2017-12-31 13F-HR 165167CB1 / Chesapeake Energy 2.25% Contingent Conv Senior Notes 12/15/38 63 65 3.17
2017-12-31 13F-HR CENTER COAST MLP & INFRSTR F / COM SHS (151461100) 9.96 26,811 267
2017-12-31 13F-HR IF / Aberdeen Indonesia Fund, Inc. 7.66 25,472 195
2017-12-31 13F-HR GSAT / Globalstar, Inc. 1.30 52,264 68
2017-12-31 13F-HR AWF / AllianceBernstein Global High Income Fund, Inc. 12.78 0 21,989 0 281
2017-12-31 13F-HR TEI / Templeton Emerging Markets Income Fund 11.17 0 12,531 0 140
2017-12-31 13F-HR CAF / Morgan Stanley China A Share Fund, Inc. 23.36 0 20,506 0 479
2017-12-31 13F-HR MMDM / Modern Media Acquisition Corp. 9.80 842,000 842,000 0.00 8,218 8,252 0.41
2017-12-31 13F-HR FMCI / Forum Merger Corporation 9.98 515,371 272,885 -47.05 5,025 2,723 -45.81
2017-12-31 13F-HR 530715AN1 / Liberty Media, Bond 3.5%, Due 1/15/2031 10,322 17,375 68.33
2017-12-31 13F-HR RLJ LODGING TR / CUM CONV PFD A (74965L200) 27.01 572,739 15,470
2017-12-31 13F-HR INDUSTREA ACQUISITION CORP / CL A (45579J104) 9.72 493,195 4,794
2017-12-31 13F-HR XLF / SPDR Financial Select Sector ETF Put 27.91 500,000 500,000 0.00 12,930 13,955 7.93
2017-12-31 13F-HR PCI / PIMCO Dynamic Credit Income Fund 22.45 0 77,478 0 1,739
2017-12-31 13F-HR EVV / Eaton Vance Limited Duration Income Fund 13.66 0 75,644 0 1,033
2017-12-31 13F-HR FIRST TR SR FLOATING RATE 20 / COM SHS (33740K101) 9.12 42,107 384
2017-12-31 13F-HR GGZ / Gabelli Global Small and Mid Cap Value Trust (The) 12.76 17,945 229
2017-12-31 13F-HR NXJ / Nuveen New Jersey Dividend Advantage Municipal Fund 13.68 0 15,646 0 214
2017-12-31 13F-HR WESTERN ASSET HIGH INCM OPP / (95766K109) 5.07 36,693 186
2017-12-31 13F-HR ANTX / Anthem, Inc., 5.25% Equity Units due 5/1/2018 56.00 223,000 12,488
2017-12-31 13F-HR SAGE / Sage Therapeutics, Inc. 164.89 2,620 432
2017-12-31 13F-HR BRPA / Big Rock Partners Acquisition Corp. 9.68 175,800 1,702
2017-12-31 13F-HR BRISTOW GROUP INC / NOTE 4.500% 6/0 (110394AF0) 1,829
2017-12-31 13F-HR SGF / Aberdeen Singapore Fund, Inc. 12.42 35,107 436
2017-12-31 13F-HR JUNO / Juno Therapeutics, Inc. 45.81 4,606 211
2017-12-31 13F-HR IAM / I-AM Capital Acquisition Company 9.87 250,000 2,468
2017-12-31 13F-HR EOS / Eaton Vance Enhanced Equity Income Fund II 15.21 0 20,451 0 311
2017-12-31 13F-HR OMAM / OM Asset Management Plc 16.75 0 257,449 0 4,312
2017-12-31 13F-HR LRCX / Lam Research Corp. 184.05 0 16,322 0 3,004
2017-12-31 13F-HR PHD / Pioneer Floating Rate Trust 11.49 0 13,488 0 155
2017-12-31 13F-HR HQH / Tekla Healthcare Investors 22.55 0 35,572 0 802
2017-12-31 13F-HR JFR / Nuveen Floating Rate Income Fund 11.22 26,400 38,608 46.24 309 433 40.13
2017-12-31 13F-HR GIGCAPITAL INC / UNIT 03/06/2025 (37518N205) 10.00 300,000 3,000
2017-12-31 13F-HR BRAC / Black Ridge Acquisition Corp. 9.65 975,000 9,409
2017-12-31 13F-HR ESPR / Esperion Therapeutics, Inc. 65.78 5,427 357
2017-12-31 13F-HR ACHI / Accretive Health, Inc. 4.42 14,016 62
2017-12-31 13F-HR LMT / Lockheed Martin Corp. 321.07 15,000 4,816
2017-12-31 13F-HR SA / Seabridge Gold Inc. 11.35 0 200,000 0 2,270
2017-12-31 13F-HR WPG / WP Glimcher Inc. 7.10 12,593 17,182 36.44 105 122 16.19
2017-12-31 13F-HR JGH / Nuveen Global High Income Fund 16.93 0 15,125 0 256
2017-12-31 13F-HR VEAC / Vantage Energy Acquisition Corp 9.72 1,100,000 10,692
2017-12-31 13F-HR HENNESSY CAP ACQUSTON CORP I / (42588L105) 9.80 1,523,342 14,929
2017-12-31 13F-HR SUCAMPO PHARMACEUTICALS INC / NOTE 3.250%12/1 (864909AB2) 5,480
2017-12-31 13F-HR GTYH / GTY Technology Holdings, Inc. 9.93 0 250,000 0 2,482
2017-12-31 13F-HR NYMTP / New York Mortgage Trust, Inc. 6.18 0 19,088 0 118
2017-12-31 13F-HR MEOH / Methanex Corp. 5,984 0 -100.00 301 0 -100.00
2017-12-31 13F-HR PML / PIMCO Municipal Income Fund II 19,852 0 -100.00 261 0 -100.00
2017-12-31 13F-HR XLU / SPDR Utilities Select Sector ETF 26,300 0 -100.00 1,395 0 -100.00
2017-12-31 13F-HR EPR / EPR Properties 3,808 0 -100.00 266 0 -100.00
2017-12-31 13F-HR HLF / Herbalife Ltd. 10,185 0 -100.00 691 0 -100.00
2017-12-31 13F-HR AGI / Alamos Gold Inc. 1,301,535 0 -100.00 8,789 0 -100.00
2017-12-31 13F-HR ARNC.PRB / Arconic Inc., 5.375% Dep Shares Class B Mand Convertible Preferred Stock Series 1 1,966,222 0 -100.00 76,486 0 -100.00
2017-12-31 13F-HR CBA / ClearBridge American Energy MLP Fund Inc. 15,946 0 -100.00 137 0 -100.00
2017-12-31 13F-HR NVG / Nuveen Dividend Advantage Municipal Income Fund 15,440 0 -100.00 238 0 -100.00
2017-12-31 13F-HR DRAPER OAKWOOD TECHNOLOGY / UNIT 09/30/2024 (26146L202) 100,000 0 -100.00 1,022 0
2017-12-31 13F-HR IAC / IAC/InterActiveCorp. 25,800 0 -100.00 3,034 0 -100.00
2017-12-31 13F-HR I AM CAP ACQUISITION CO / UNIT 08/15/2022 (45074Q207) 150,000 0 -100.00 1,536 0
2017-12-31 13F-HR NYRT / New York REIT, Inc. 788,386 0 -100.00 6,189 0 -100.00
2017-12-31 13F-HR ALR / Alere Inc. 47,414 0 -100.00 19,013 0 -100.00
2017-12-31 13F-HR TGT / Target Corp. 4,357 0 -100.00 257 0 -100.00
2017-12-31 13F-HR ANH / Anworth Mortgage Asset Corp. 17,592 0 -100.00 106 0 -100.00
2017-12-31 13F-HR PMO / Putnam Municipal Opportunities Trust 15,975 0 -100.00 202 0 -100.00
2017-12-31 13F-HR VGM / Van Kampen Trust For Investment Grade Municipals 15,607 0 -100.00 209 0 -100.00
2017-12-31 13F-HR RRD / Donnelley (R.R.) & Sons Co. 10,144 0 -100.00 104 0 -100.00
2017-12-31 13F-HR AATDF / AA LTD Call 300,000 0 -100.00 7,464 0 -100.00
2017-12-31 13F-HR VHC / VirnetX Holding Corp. 3.71 15,613 58
2017-12-31 13F-HR GOOGL / Alphabet Inc. 1,053.39 23,151 24,387
2017-12-31 13F-HR MHF / Western Asset Municipal High Income Fund Inc. 7.37 10,722 79
2017-12-31 13F-HR GABELLI HLTHCARE & WELLNESS / SHS (36246K103) 10.34 11,412 118
2017-12-31 13F-HR ISL / Aberdeen Israel Fund, Inc. 19.13 21,124 404
2017-12-31 13F-HR NVO / Novo-Nordisk A/S 53.70 7,616 409
2017-12-31 13F-HR FIRST TR SR FLG RTE INCM FD / (33733U108) 12.93 12,995 168
2017-12-31 13F-HR EVN / Eaton Vance Municipal Income Trust 12.38 10,906 135
2017-12-31 13F-HR BLACKROCK MUNIYIELD CALI QLT / (09254N103) 14.69 15,317 225
2017-12-31 13F-HR ECYT / Endocyte, Inc. 4.25 14,342 61
2017-12-31 13F-HR ENPH / Enphase Energy, Inc. 2.41 24,090 58
2017-12-31 13F-HR GCH / Aberdeen Greater China Fund, Inc. 12.44 56,572 704
2017-12-31 13F-HR ALNY / Alnylam Pharmaceuticals, Inc. 127.24 2,460 313
2017-12-31 13F-HR HALO / Halozyme Therapeutics, Inc. 20.27 20,814 422
2017-12-31 13F-HR PMF / PIMCO Municipal Income Fund 12.98 19,645 255
2017-12-31 13F-HR GS / Goldman Sachs Group, Inc. (The) 254.77 43,000 10,955
2017-12-31 13F-HR ABE / Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. 14.56 32,084 467
2017-12-31 13F-HR XBGTX / BlackRock Floating Rate Income 13.79 0 22,996 0 317
2017-12-31 13F-HR PHK / PIMCO High Income Fund 7.46 0 182,686 0 1,363
2017-12-31 13F-HR VTA / Invesco Dynamic Credit Opportunities Fund 11.71 0 63,686 0 746
2017-12-31 13F-HR CNLM / CB Pharma Acquisition Corp. 10.64 126,676 126,676 0.00 1,343 1,348 0.37
2017-12-31 13F-HR VKQ / Invesco Van Kampen Municipal Trust, Inc. 12.50 0 30,400 0 380
2017-12-31 13F-HR EAD / Evergreen Income Advantage Fund 8.41 0 28,063 0 236
2017-12-31 13F-HR AGO / Assured Guaranty Ltd. 33.83 6,192 7,450 20.32 234 252 7.69
2017-12-31 13F-HR JMF / Nuveen Energy MLP Total Return Fund 11.39 0 64,707 0 737
2017-12-31 13F-HR FMO / Fiduciary/Claymore MLP Opportunity Fund 13.15 33,700 68,769 104.06 435 904 107.82
2017-12-31 13F-HR MYD / BlackRock Muniyield Fund, Inc. 14.50 0 12,757 0 185
2017-12-31 13F-HR GAB / Gabelli Equity Trust, Inc. (The) 6.19 0 890,858 0 5,514
2017-12-31 13F-HR KMF / Kayne Anderson Midstream/ Energy Fund Inc. 13.79 0 23,421 0 323
2017-12-31 13F-HR VMO / Invesco Van Kampen Municipal Opportunity Trust 12.40 14,320 43,641 204.76 186 541 190.86
2017-12-31 13F-HR EDF / Stone Harbor Emerging Markets Income Fund 15.91 0 18,227 0 290
2017-12-31 13F-HR VVR / Van Kampen Senior Income Trust 4.39 0 75,454 0 331
2017-12-31 13F-HR XPSYX / BLACKROCK CREDIT ALLOCATION INC 13.30 0 21,206 0 282
2017-12-31 13F-HR BOBE / Bob Evans Farms, Inc. 78.82 0 914,818 0 72,106
2017-12-31 13F-HR EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 7.70 0 35,314 0 272
2017-12-31 13F-HR FSD / First Trust High Income Long/Short Fund 16.57 0 24,022 0 398
2017-12-31 13F-HR CSQ / Calamos Strategic Total Return Fund 12.08 0 42,558 0 514
2017-12-31 13F-HR LCA / Landcadia Holdings, Inc. 9.95 0 553,334 0 5,506
2017-12-31 13F-HR PCLN / The Priceline Group Inc. 1,738.04 1,400 836 -40.29 2,563 1,453 -43.31
2017-12-31 13F-HR DPG / Duff & Phelps Global Utility Income Fund Inc. 15.52 0 30,357 0 471
2017-12-31 13F-HR IYR / iShares U.S. Real Estate ETF Put 81.01 290,000 290,000 0.00 23,165 23,493 1.42
2017-12-31 13F-HR CYH / Community Health Systems, Inc. 0.01 3,000,000 3,000,000 0.00 35 21 -40.00
2017-12-31 13F-HR GLO / Clough Global Opportunities Fund 10.88 0 51,006 0 555
2017-12-31 13F-HR ARCC / Ares Capital Corp. Put 15.71 38,700 38,700 0.00 634 608 -4.10
2017-12-31 13F-HR GDV / Gabelli Dividend & Income Trust (The) 23.41 0 27,341 0 640
2017-12-31 13F-HR DSE / Duff & Phelps Select Energy MLP Fund Inc. 5.84 41,233 241
2017-12-31 13F-HR VOYA EMERGING MKTS HIGH DIVI / (92912P108) 8.91 15,929 142
2017-12-31 13F-HR MACQ / M I Acquisitions, Inc. 10.19 195,600 245,600 25.56 1,995 2,503 25.46
2017-12-31 13F-HR SWNC / Southwestern Energy Co. 11.90 727,825 982,133 34.94 10,379 11,687 12.60
2017-12-31 13F-HR AMJ / JPMorgan Alerian MLP Index ETN due 5/24/2024 27.47 0 175,000 0 4,807
2017-12-31 13F-HR BDJ / BlackRock Enhanced Equity Dividend Trust 9.22 0 28,105 0 259
2017-12-31 13F-HR AMP / Ameriprise Financial, Inc. 169.26 1,748 1,223 -30.03 260 207 -20.38
2017-12-31 13F-HR KAAC / Kayne Anderson Acquisition Corp. 9.71 0 962,321 0 9,344
2017-12-31 13F-HR MIII / M III Acquisition Corp. 9.92 1,057,400 1,084,186 2.53 10,394 10,755 3.47
2017-12-31 13F-HR WRLS / Pensare Acquisition Corp. 9.67 700,000 750,000 7.14 6,769 7,252 7.14
2017-12-31 13F-HR PPHM / Peregrine Pharmaceuticals, Inc. 3.87 13,683 53
2017-12-31 13F-HR REGN / Regeneron Pharmaceuticals, Inc. 376.53 571 215
2017-12-31 13F-HR ALXN / Alexion Pharmaceuticals, Inc. 119.52 1,538 4,150 169.83 216 496 129.63
2017-12-31 13F-HR GILD / Gilead Sciences, Inc. 71.67 4,901 9,613 96.14 397 689 73.55
2017-12-31 13F-HR RDUS / Radius Health, Inc. 31.74 14,525 461
2017-12-31 13F-HR AGN / Allergan plc Call 163.58 375,500 375,500 0.00 76,959 61,424 -20.19
2017-12-31 13F-HR HIX / Western Asset High Income Fund II, Inc. 6.97 0 53,265 0 371
2017-12-31 13F-HR EFR / Eaton Vance Senior Floating-Rate Fund 14.43 0 23,766 0 343
2017-12-31 13F-HR JSYNU / Jensyn Acquistion Corp. 10.30 253,498 253,498 0.00 2,593 2,611 0.69
2017-12-31 13F-HR NESR / National Energy Services Reunited Corp. 9.95 1,366,583 519,302 -62.00 13,147 5,167 -60.70
2017-12-31 13F-HR KYN / Kayne Anderson MLP Investment Co. 19.05 0 100,000 0 1,905
2017-12-31 13F-HR BLACKROCK TAX MUNICPAL BD TR / SHS (09248X100) 23.19 10,910 253
2017-12-31 13F-HR KED / Kayne Anderson Energy Development Company 17.44 15,250 266
2017-12-31 13F-HR 531229AB8 / Liberty Media Corporation Bond 22,962 49,620 116.10
2017-12-31 13F-HR RNOTX / RiverNorth/Oaktree High Income R 18.41 11,243 207
2017-12-31 13F-HR GRR / Asia Tigers Fund, Inc. (THE) 12.35 10,769 133
2017-12-31 13F-HR CLEVELAND CLIFFS INC / DBCV 1.500% 1/1 (185899AA9) 2,790
2017-12-31 13F-HR GER / Goldman Sachs MLP Energy Renaissance Fund 6.15 125,338 771
2017-12-31 13F-HR DHG / Deutsche High Income Opportunities Fund, Inc. 15.04 15,821 238
2017-12-31 13F-HR DRAPER OAKWOOD TECHNOLOGY / COM CL A (26146L103) 9.80 100,000 980
2017-12-31 13F-HR NUVEEN CA QUALTY MUN INCOME / (67066Y105) 14.31 34,942 500
2017-12-31 13F-HR JRO / Nuveen Floating Rate Income Opportunity Fund 11.42 0 26,275 0 300
2017-12-31 13F-HR IFN / India Fund, Inc. (THE) 26.11 0 15,892 0 415
2017-12-31 13F-HR GHY / Prudential Global Short Duration High Yield Fund, Inc. 14.40 0 47,083 0 678
2017-12-31 13F-HR ASA / ASA Gold and Precious Metals Ltd. 11.30 0 20,523 0 232
2017-12-31 13F-HR FIF / First Trust Energy Infrastructure Fund 17.90 0 14,191 0 254
2017-12-31 13F-HR IGR / CBRE Clarion Global Real Estate Income Fund 7.91 0 69,881 0 553
2017-12-31 13F-HR MVIS / Microvision, Inc. 1.64 30,531 50
2017-12-31 13F-HR SALIENT MIDSTREAM & MLP FD / SH BEN INT (79471V105) 11.03 28,661 316
2017-12-31 13F-HR NAD / Nuveen Dividend Advantage Municipal Fund 14.06 25,960 365
2017-12-31 13F-HR CAESARS ENTMT CORP / NOTE 5.000%10/0 (127686AA1) 309
2017-12-31 13F-HR 783764AS2 / CalAtlantic Group, Inc. Bond 17,953
2017-12-31 13F-HR PSLV / Sprott Physical Silver Trust 6.34 174,960 1,052,680 501.67 1,099 6,674 507.28
2017-12-31 13F-HR XTHQX / Tekla Healthcare Opportunities 17.54 0 14,651 0 257
2017-12-31 13F-HR GGN / GAMCO Global Gold, Natural Resources & Income Trust 5.21 0 138,219 0 720
2017-12-31 13F-HR HIE / Miller/Howard High Income Equity Fund 12.45 15,346 191
2017-12-31 13F-HR GIM / Templeton Global Income Fund 6.47 0 39,090 0 253
2017-12-31 13F-HR XTDFX / Templeton Dragon Fund, Inc. 21.53 0 15,279 0 329
2017-12-31 13F-HR GLQ / Clough Global Equity Fund 13.37 0 19,527 0 261
2017-12-31 13F-HR BHACU / Barington/Hilco Acquisition Corp. 10.45 190,480 190,480 0.00 1,989 1,991 0.10
2017-12-31 13F-HR AWP / Alpine Global Premier Properties Fund 6.74 0 86,629 0 584
2017-12-31 13F-HR IQI / Invesco Quality Municipal Income Trust 12.53 0 16,995 0 213
2017-12-31 13F-HR DHF / Dreyfus High Yield Strategies Fund 3.36 0 26,509 0 89
2017-12-31 13F-HR GAM / General American Investors Co., Inc. 34.39 0 15,936 0 548
2017-12-31 13F-HR BGY / BlackRock International Growth and Income Trust 6.54 0 15,292 0 100
2017-12-31 13F-HR CELG / Celgene Corp. 104.38 3,835 11,372 196.53 559 1,187 112.34
2017-12-31 13F-HR IVH / Ivy High Income Opportunities Fund 15.10 0 15,895 0 240
2017-12-31 13F-HR RBSPF / Royal Bank of Scotland Group Plc 25.45 14,557 19,963 37.14 374 508 35.83
2017-12-31 13F-HR FAX / Aberdeen Asia-Pacific Prime Income Fund, Inc. 4.88 0 146,262 0 714
2017-12-31 13F-HR KBLMU / KBL Merger Corp. IV Unit 9.71 426,400 682,400 60.04 4,145 6,626 59.86
2017-12-31 13F-HR BIT / BlackRock Multi-Sector Income Trust 18.15 0 17,524 0 318
2017-12-31 13F-HR 62952QAB6 / NXP Semiconductors N.V. Bond 52,578 608 -98.84
2017-12-31 13F-HR SCD / LMP Capital & Income Fund, Inc. 13.93 0 13,930 0 194
2017-12-31 13F-HR PMT / Penny Mac Mortgage Investment Trust 16.07 0 200,983 0 3,230
2017-12-31 13F-HR DSL / DoubleLine Income Solutions Fund 20.19 0 83,609 0 1,688
2017-12-31 13F-HR BIF / Boulder Growth & Income Fund, Inc. 11.08 0 41,592 0 461
2017-12-31 13F-HR ADX / Adams Diversified Equity Fund, Inc. 15.03 0 43,579 0 655
2017-12-31 13F-HR XBHKX / BlackRock Core Bond Trust 14.02 0 18,335 0 257
2017-12-31 13F-HR SNR / New Senior Investment Group Inc. 7.58 11,593 14,898 28.51 106 113 6.60
2017-12-31 13F-HR NDP / Tortoise Energy Independence Fund, Inc. 13.26 0 21,113 0 280
2017-12-31 13F-HR IONS / Ionis Pharmaceuticals, Inc. 50.33 9,625 17,983 86.84 488 905 85.45
2017-12-31 13F-HR ACTA / Actua Corporation 15.60 128,848 323,345 150.95 1,971 5,044 155.91
2017-12-31 13F-HR XEVFX / Eaton Vance Senior Income Trust 6.52 0 17,950 0 117
2017-12-31 13F-HR JQC / Nuveen Credit Strategies Income Fund 8.22 0 88,496 0 727
2017-12-31 13F-HR LDP / Cohen & Steers Limited Duration Preferred and Income Fund, Inc 26.09 0 8,548 0 223
2017-12-31 13F-HR BABA / Alibaba Group Holding Limited 172.43 60,000 60,000 0.00 10,363 10,346 -0.16
2017-12-31 13F-HR BABA / Alibaba Group Holding Limited Put 172.43 60,000 60,000 0.00 10,363 10,346 -0.16
2017-12-31 13F-HR ARDC / Ares Dynamic Credit Allocation Fund, Inc. 16.40 0 11,099 0 182
2017-12-31 13F-HR MPAC / Matlin & Partners Acquisition Corporation Class A 9.76 0 200,000 0 1,952
2017-12-31 13F-HR XUSAX / Liberty All Star Equity Fund 6.29 0 43,410 0 273
2017-12-31 13F-HR CMO / Capstead Mortgage Corp. 8.65 11,003 170,957 1,453.73 106 1,479 1,295.28
2017-12-31 13F-HR XUTGX / Reaves Utility Income Fund 30.92 294,037 27,487 -90.65 109 850 679.82
2017-12-31 13F-HR INCY / Incyte Corp. 94.74 5,083 10,249 101.63 593 971 63.74
2017-12-31 13F-HR EFT / Eaton Vance Floating-Rate Income Trust 14.32 12,519 18,365 46.70 183 263 43.72
2017-12-31 13F-HR HQL / Tekla Life Sciences Investors 19.65 0 18,876 0 371
2017-12-31 13F-HR AGIO / Agios Pharmaceuticals, Inc. 57.22 2,997 7,462 148.98 200 427 113.50
2017-12-31 13F-HR VRTX / Vertex Pharmaceuticals Inc. 149.95 1,663 3,808 128.98 253 571 125.69
2017-12-31 13F-HR MUC / BlackRock MuniHoldings California Quality Fund, Inc. 14.17 0 10,373 0 147
2017-12-31 13F-HR RMT / Royce Micro-Cap Trust, Inc. 9.43 0 18,239 0 172
2017-12-31 13F-HR PHYS / Sprott Physical Gold Trust ETV 10.59 58,965 387,183 556.63 616 4,100 565.58
2017-12-31 13F-HR HUNT / Hunter Maritime Acquisition Corp. 9.76 90,000 90,000 0.00 886 878 -0.90
2017-12-31 13F-HR GCI / Gannett Co., Inc. 11.63 11,900 10,660 -10.42 107 124 15.89
2017-12-31 13F-HR ATAC / Atlantic Acquisition Corp. 9.86 100,000 470,000 370.00 982 4,634 371.89
2017-12-31 13F-HR BHGE / Baker Hughes, a GE company 31.64 7,067 8,785 24.31 259 278 7.34
2017-12-31 13F-HR NVAX / Novavax, Inc. 1.26 11,916 23,062 93.54 14 29 107.14
2017-12-31 13F-HR IEF / iShares 7-10 Year Treasury Bond ETF Put 105.57 200,000 200,000 0.00 21,304 21,114 -0.89
2017-12-31 13F-HR BWG / Legg Mason BW Global Income Opportunities Fund Inc. 12.74 0 10,830 0 138
2017-12-31 13F-HR JE / Just Energy Group, Inc. 4.29 53,605 64,756 20.80 311 278 -10.61
2017-12-31 13F-HR AGN / Allergan plc 586.25 5,438 198,161 3,544.01 1,115 116,172 10,319.01
2017-12-31 13F-HR SPPP / Sprott Physical Platinum and Palladium 9.34 324,840 826,085 154.31 2,754 7,715 180.14
2017-12-31 13F-HR ANIP / ANI Pharmaceuticals, Inc. 64.44 155,089 11,639 -92.50 8,141 750 -90.79
2017-12-31 13F-HR CNAC / Constellation Alpha Capital Corp. 9.73 550,000 674,300 22.60 5,362 6,561 22.36
2017-12-31 13F-HR BOE / BlackRock Global Opportunity Equity Trust 12.52 0 47,205 0 591
2017-12-31 13F-HR CYS / CYS Investments, Inc. 8.01 12,279 15,101 22.98 106 121 14.15
2017-12-31 13F-HR CAPITOL INVT CORP IV / UNIT 99/99/9999 (G18920119) 100,000 0 -100.00 1,012 0
2017-12-31 13F-HR IPOA.U / Social Capital Hedosophia 100,000 0 -100.00 1,055 0 -100.00
2017-12-31 13F-HR JHG / Janus Henderson Group plc 33,131 0 -100.00 1,154 0 -100.00
2017-12-31 13F-HR DDC / Dominion Diamond Corp. 22,020 0 -100.00 312 0 -100.00
2017-12-31 13F-HR IYF / iShares U.S. Financial ETF 4,760 0 -100.00 534 0 -100.00
2017-12-31 13F-HR MGA / Magna International Inc. 6,345 0 -100.00 339 0 -100.00
2017-12-31 13F-HR NMZ / Nuveen Municipal High Income Opportunity Fund 11,225 0 -100.00 153 0 -100.00
2017-12-31 13F-HR PBA / Pembina Pipeline Corp. 221,688 0 -100.00 7,783 0 -100.00
2017-12-31 13F-HR TPGH / TPG Pace Holdings Corp. 217,505 0 -100.00 2,219 0 -100.00