InvestorWeiss Asset Management LP
Insider ProfileWeiss Asset Management LP
Portfolio Value $ 1,010,355,000
Current Positions178
Opened Positions5
Closed Positions109


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

Weiss Asset Management LP has disclosed 178 total holdings in their latest SEC filings. Most recent portfolio value is calculated to be $ 1,010,355,000 USD. Actual Assets Under Management (AUM) is this value plus cash (which is not disclosed). Weiss Asset Management LP's top holdings are Liberty Media Corporation Bond (531229AB8) , Dr. Pepper Snapple Group, Inc. (NYSE:DPS) , Convergys Corp. Bond (212485AE6) , Teva Pharmaceutical Industries Ltd. (NYSE:TEVA) , and Workday, Inc. Bond 0.750% 7/1 (98138HAC5) . Weiss Asset Management LP's new positions include Liberty Media Corporation Bond (531229AB8) , Dr. Pepper Snapple Group, Inc. (NYSE:DPS) , Convergys Corp. Bond (212485AE6) , Workday, Inc. Bond 0.750% 7/1 (98138HAC5) , and KB Home Bond (48666KAS8) . 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)
2018‑09‑07 SC 13G LHC / Leo Holdings Corp. 1,479,567 7.40
2018‑08‑23 SC 13G RWGE.U / Regalwood Global Energy Ltd. 2,302,181 7.67
2018‑08‑17 SC 13G MDLY / Medley Management, Inc. 540,268 9.70
2018‑07‑25 SC 13G TBRGU / Thunder Bridge Acquisition Ltd 2,180,000 8.45
2018‑07‑19 SC 13G TWLVU / Twelve Seas Investment Co 2,118,227 7.91
2018‑07‑19 SC 13G ALGR / Allegro Merger Corp. 1,470,000 7.71
2018‑07‑05 SC 13G BRAC / Black Ridge Acquisition Corp. 975,000 1,211,070 24.21 6.84 24.14

This form was filed on August 13, 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)
2018-06-30 13F-HR GSAH / GS Acquisition Holdings Corp 10.22 309,300 3,161
2018-06-30 13F-HR PACQU / Pure Acquisition Corp. 9.64 1,269,800 12,241
2018-06-30 13F-HR VKQ / Invesco Van Kampen Municipal Trust, Inc. 12,658 0 -100.00 148 0 -100.00
2018-06-30 13F-HR CAESARS ENTMT CORP / NOTE 5.000%10/0 (127686AA1) 24,787
2018-06-30 13F-HR CAPITOL INVT CORP IV / CL A ORD (G18920101) 9.87 308,364 3,044
2018-06-30 13F-HR CENTER COAST BRKFLD MLP ENRG / SHS BEN INT (151461100) 8.87 10,594 94
2018-06-30 13F-HR CM SEVEN STAR ACQUISITION CO / SHS (G2345N102) 9.85 1,325,460 13,056
2018-06-30 13F-HR DRAPER OAKWOOD TECHNOLOGY / COM CL A (26146L103) 9.98 152,358 1,521
2018-06-30 13F-HR FEDERAL STR ACQUISITION CORP / CL A (31421V107) 9.82 306,250 3,007
2018-06-30 13F-HR GRANITE PT MTG TR INC / NOTE 5.625%12/0 (38741LAB3) 14,527
2018-06-30 13F-HR HENNESSY CAP ACQUSTON CORP I / (42588L105) 10.14 2,020,704 20,490
2018-06-30 13F-HR INDUSTREA ACQUISITION CORP / CL A (45579J104) 9.86 899,159 8,866
2018-06-30 13F-HR MOSAIC ACQUISITION CORP / SHS CL A (G62848109) 9.68 270,780 2,621
2018-06-30 13F-HR MTECH ACQUISITION CORP / COM CLASS A (55378W107) 9.76 90,432 883
2018-06-30 13F-HR MTGE INVT CORP / (55378A105) 19.60 819,384 16,060
2018-06-30 13F-HR MUDRICK CAP ACQUISITION CORP / COM CLASS A (624745105) 9.64 317,067 3,057
2018-06-30 13F-HR PLATINUM EAGLE ACQUISITIN CO / UNIT 01/09/2023 (G7126L126) 10.04 49,000 492
2018-06-30 13F-HR RLJ LODGING TR / CUM CONV PFD A (74965L200) 26.24 755,259 19,818
2018-06-30 13F-HR SENTINEL ENERGY SVCS INC / COM CL A (G8062D102) 9.85 462,750 4,558
2018-06-30 13F-HR SENTINEL ENERGY SVCS INC / UNIT 11/02/2022 (G8062D128) 10.08 18,544 187
2018-06-30 13F-HR SIMPLY GOOD FOODS CO / *W EXP 07/07/202 (82900L110) 4.18 55,681 233
2018-06-30 13F-HR SPROTT PHYSICAL GOLD & SILVE / TR UNIT (85208R101) 12.53 805,677 10,095
2018-06-30 13F-HR UNION ACQUISITION CORP / SHS (G9366W101) 9.69 266,250 2,580
2018-06-30 13F-HR VOYA EMERGING MKTS HIGH DIVI / (92912P108) 8.06 12,524 101
2018-06-30 13F-HR FTRPR / Frontier Communications Corp. 5.36 1,294,293 337,200 -73.95 14,871 1,807 -87.85
2018-06-30 13F-HR FTRPR / Frontier Communications Corp. Put 5.36 337,200 337,200 0.00 2,502 1,807 -27.78
2018-06-30 13F-HR MNK / Maillinckrodt plc. 18.67 10,684 10,550 -1.25 155 197 27.10
2018-06-30 13F-HR GTYH / GTY Technology Holdings, Inc. 10.10 1,053,678 413,943 -60.71 10,484 4,181 -60.12
2018-06-30 13F-HR TGNA / TEGNA Inc. 10.87 12,417 15,368 23.77 141 167 18.44
2018-06-30 13F-HR DSE / Duff & Phelps Select Energy MLP Fund Inc. 5.55 0 24,139 0 134
2018-06-30 13F-HR BHACU / Barington/Hilco Acquisition Corp. 10.50 190,480 190,480 0.00 2,038 2,000 -1.86
2018-06-30 13F-HR BSIG / BrightSphere Investment Group plc 14.26 250,000 250,000 0.00 3,940 3,565 -9.52
2018-06-30 13F-HR RPAI / Retail Properties of America, Inc. 12.79 13,994 14,696 5.02 163 188 15.34
2018-06-30 13F-HR XLE / SPDR Energy Select Sector ETF 75.92 30,400 25,000 -17.76 2,049 1,898 -7.37
2018-06-30 13F-HR VEAC / Vantage Energy Acquisition Corp 9.88 1,025,000 32,383 -96.84 10,035 320 -96.81
2018-06-30 13F-HR IAM / I-AM Capital Acquisition Company 10.81 75,000 75,000 0.00 748 811 8.42
2018-06-30 13F-HR ROX / Castle Brands, Inc. 1.19 43,557 25,951 -40.42 54 31 -42.59
2018-06-30 13F-HR CELG / Celgene Corp. 79.41 11,372 11,372 0.00 1,014 903 -10.95
2018-06-30 13F-HR RBSPF / Royal Bank of Scotland Group Plc 25.70 19,963 19,963 0.00 511 513 0.39
2018-06-30 13F-HR 76120WAC8 / Resource Capital Corp Bond 22,388 21,549 -3.75
2018-06-30 13F-HR KBLMU / KBL Merger Corp. IV Unit 9.94 911,838 405,839 -55.49 8,982 4,034 -55.09
2018-06-30 13F-HR NVO / Novo-Nordisk A/S 46.09 7,616 7,616 0.00 375 351 -6.40
2018-06-30 13F-HR MFA / MFA Financial, Inc. 7.59 0 21,471 0 163
2018-06-30 13F-HR BRAC / Black Ridge Acquisition Corp. 9.77 811,070 520,965 -35.77 7,859 5,090 -35.23
2018-06-30 13F-HR GLUU / Glu Mobile, Inc. 6.38 24,004 10,192 -57.54 90 65 -27.78
2018-06-30 13F-HR SRC / Spirit Realty Capital, Inc. 8.03 22,319 19,915 -10.77 173 160 -7.51
2018-06-30 13F-HR RDUS / Radius Health, Inc. 29.43 13,046 12,706 -2.61 469 374 -20.26
2018-06-30 13F-HR APPS / Digital Turbine, Inc. 1.52 38,345 48,037 25.28 77 73 -5.19
2018-06-30 13F-HR SNR / New Senior Investment Group Inc. 7.59 20,916 22,015 5.25 171 167 -2.34
2018-06-30 13F-HR IONS / Ionis Pharmaceuticals, Inc. 41.65 17,983 17,983 0.00 793 749 -5.55
2018-06-30 13F-HR ADVM / Adverum Biotechnologies, Inc. 5.27 14,596 11,204 -23.24 85 59 -30.59
2018-06-30 13F-HR 584688AE5 / Medicines Company 2.500% Bond 30,281 6,142 -79.72
2018-06-30 13F-HR GER / Goldman Sachs MLP Energy Renaissance Fund 6.15 0 21,300 0 131
2018-06-30 13F-HR MEOH / Methanex Corp. 70.84 5,613 4,828 -13.99 340 342 0.59
2018-06-30 13F-HR IVR / Invesco Mortgage Capital Inc. 15.93 10,697 10,293 -3.78 175 164 -6.29
2018-06-30 13F-HR CMO / Capstead Mortgage Corp. 8.97 182,742 17,950 -90.18 1,581 161 -89.82
2018-06-30 13F-HR 212485AE6 / Convergys Corp. Bond 48,903 52,366 7.08
2018-06-30 13F-HR INCY / Incyte Corp. 67.03 10,249 10,249 0.00 854 687 -19.56
2018-06-30 13F-HR EWY / iShares MSCI South Korea Capped ETF Put 67.71 300,000 400,000 33.33 22,635 27,084 19.66
2018-06-30 13F-HR AGIO / Agios Pharmaceuticals, Inc. 84.18 7,462 8,220 10.16 610 692 13.44
2018-06-30 13F-HR WRLS / Pensare Acquisition Corp. 0.64 50,316 25,158 -50.00 25 16 -36.00
2018-06-30 13F-HR WRLS / Pensare Acquisition Corp. 0.50 709,177 50,316 -92.91 6,893 25 -99.64
2018-06-30 13F-HR NBIX / Neurocrine Biosciences, Inc. 98.28 7,865 7,865 0.00 652 773 18.56
2018-06-30 13F-HR CYH / Community Health Systems, Inc. 0.01 3,000,000 3,000,000 0.00 34 33 -2.94
2018-06-30 13F-HR KED / Kayne Anderson Energy Development Company 17.38 0 26,181 0 455
2018-06-30 13F-HR NAVI / Navient Corporation 13.06 13,054 11,795 -9.64 171 154 -9.94
2018-06-30 13F-HR ALXN / Alexion Pharmaceuticals, Inc. 124.10 4,150 4,150 0.00 463 515 11.23
2018-06-30 13F-HR 530715AN1 / Liberty Media, Bond 3.5%, Due 1/15/2031 30,396 26,153 -13.96
2018-06-30 13F-HR VRTX / Vertex Pharmaceuticals Inc. 169.91 3,808 3,808 0.00 621 647 4.19
2018-06-30 13F-HR GIL / Gildan Activewear, Inc. 28.17 11,740 11,713 -0.23 339 330 -2.65
2018-06-30 13F-HR NEE / NextEra Energy, Inc. 74.56 0 100,000 0 7,456
2018-06-30 13F-HR EQC / Equity Commonwealth 31.50 306,667 306,667 0.00 9,405 9,660 2.71
2018-06-30 13F-HR CNX.WI / CNX Resources Corporation 17.77 11,547 10,185 -11.80 178 181 1.69
2018-06-30 13F-HR AGO / Assured Guaranty Ltd. 35.68 10,081 9,445 -6.31 365 337 -7.67
2018-06-30 13F-HR KAAC / Kayne Anderson Acquisition Corp. 10.35 1,376,118 269,000 -80.45 13,624 2,784 -79.57
2018-06-30 13F-HR KAAC / Kayne Anderson Acquisition Corp. 9.90 19,000 1,376,118 7,142.73 192 13,624 6,995.83
2018-06-30 13F-HR SMRT / Stein Mart, Inc. 2.45 0 15,901 0 39
2018-06-30 13F-HR 531229AB8 / Liberty Media Corporation Bond 57,222 62,316 8.90
2018-06-30 13F-HR MGA / Magna International Inc. 58.27 0 6,041 0 352
2018-06-30 13F-HR BDSI / BioDelivery Sciences International, Inc. 2.94 44,689 16,989 -61.98 101 50 -50.50
2018-06-30 13F-HR DENN / Denny's Corp. 15.95 11,516 10,906 -5.30 178 174 -2.25
2018-06-30 13F-HR MYOV / Myovant Sciences Ltd. 22.82 9,552 9,552 0.00 203 218 7.39
2018-06-30 13F-HR TWNK / Hostess Brands, Inc. 1.70 620,712 1,176,386 89.52 1,465 2,000 36.52
2018-06-30 13F-HR SA / Seabridge Gold Inc. 11.26 200,000 955,500 377.75 2,170 10,760 395.85
2018-06-30 13F-HR OMAD.U / One Madison Corporation 9.72 210,000 21,808 -89.62 2,016 212 -89.48
2018-06-30 13F-HR ATAC / Atlantic Acquisition Corp. 10.15 478,600 478,600 0.00 4,748 4,858 2.32
2018-06-30 13F-HR TIBR / Tiberius Acquisition Corp 10.15 391,624 75,000 -80.85 3,764 761 -79.78
2018-06-30 13F-HR TIBR / Tiberius Acquisition Corp 9.61 75,000 391,624 422.17 757 3,764 397.23
2018-06-30 13F-HR GE / General Electric Co. 13.62 13,251 12,331 -6.94 179 168 -6.15
2018-06-30 13F-HR IPI / Intrepid Potash, Inc. 4.10 24,327 15,857 -34.82 89 65 -26.97
2018-06-30 13F-HR 165167CB1 / Chesapeake Energy 2.25% Contingent Conv Senior Notes 12/15/38 64 67 4.69
2018-06-30 13F-HR NML / Neuberger Berman MLP Income Fund Inc. 8.79 0 12,400 0 109
2018-06-30 13F-HR 92240MAY4 / Vector Group, Ltd. 2.5% Bond Due 1/15/2019 8,160 14,846 81.94
2018-06-30 13F-HR NVAX / Novavax, Inc. 1.33 23,062 73,414 218.33 48 98 104.17
2018-06-30 13F-HR BAC / Bank of America Corp. Put 28.19 781,500 781,500 0.00 23,437 22,030 -6.00
2018-06-30 13F-HR IEF / iShares 7-10 Year Treasury Bond ETF Put 102.51 200,000 200,000 0.00 20,638 20,502 -0.66
2018-06-30 13F-HR GIG.U / GigCapital, Inc. 9.86 922,420 789,921 -14.36 9,012 7,789 -13.57
2018-06-30 13F-HR JOF / Japan Smaller Capitalization Fund, Inc. 11.65 13,735 13,735 0.00 169 160 -5.33
2018-06-30 13F-HR CH / Aberdeen Chile Fund, Inc. 7.00 133,326 155,640 16.74 1,205 1,089 -9.63
2018-06-30 13F-HR BCAC / Bison Capital Acquisition Corp 10.02 475,000 138,252 -70.89 4,722 1,385 -70.67
2018-06-30 13F-HR AHPA / Avista Healthcare Public Acquisition Corp. 10.03 538,000 2,282,051 324.17 5,375 22,889 325.84
2018-06-30 13F-HR EMF / Templeton Emerging Markets Fund 14.71 12,100 12,100 0.00 197 178 -9.64
2018-06-30 13F-HR JE / Just Energy Group, Inc. 3.62 78,162 53,102 -32.06 345 192 -44.35
2018-06-30 13F-HR OPES / Opes Acquisition Corp. 9.70 40,000 300,000 650.00 388 2,910 650.00
2018-06-30 13F-HR SAGE / Sage Therapeutics, Inc. 156.49 2,620 2,620 0.00 422 410 -2.84
2018-06-30 13F-HR TWO / Two Harbors Investment Corp. 15.83 11,247 10,611 -5.65 173 168 -2.89
2018-06-30 13F-HR ALNY / Alnylam Pharmaceuticals, Inc. 98.37 2,460 2,460 0.00 293 242 -17.41
2018-06-30 13F-HR XTDFX / Templeton Dragon Fund, Inc. 21.29 15,972 15,972 0.00 355 340 -4.23
2018-06-30 13F-HR MMDM / Modern Media Acquisition Corp. 9.97 497,500 719,701 44.66 4,940 7,175 45.24
2018-06-30 13F-HR SPPP / Sprott Physical Platinum and Palladium 8.25 63,340 302,623 377.78 540 2,497 362.41
2018-06-30 13F-HR GILD / Gilead Sciences, Inc. 70.80 10,101 10,070 -0.31 762 713 -6.43
2018-06-30 13F-HR HALO / Halozyme Therapeutics, Inc. 16.86 20,814 20,814 0.00 408 351 -13.97
2018-06-30 13F-HR 47102XAH8 / Janus Capital Group, Inc. Bond 28,557 4,254 -85.10
2018-06-30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Call 24.33 86,000 86,000 0.00 1,470 2,092 42.31
2018-06-30 13F-HR TEVA / Teva Pharmaceutical Industries Ltd. Put 24.32 1,700,000 1,700,000 0.00 29,053 41,344 42.31
2018-06-30 13F-HR 60855RAD2 / Molina Healthcare, Inc. DBCV 1.625% 8/1 28,718 19,394 -32.47
2018-06-30 13F-HR ESPR / Esperion Therapeutics, Inc. 39.25 5,427 5,427 0.00 393 213 -45.80
2018-06-30 13F-HR WPG / WP Glimcher Inc. 8.13 22,866 24,357 6.52 153 198 29.41
2018-06-30 13F-HR SBH / Sally Beauty Holdings, Inc. 16.04 10,103 10,659 5.50 166 171 3.01
2018-06-30 13F-HR CNAC / Constellation Alpha Capital Corp. 9.96 733,085 519,415 -29.15 7,236 5,173 -28.51
2018-06-30 13F-HR VHC / VirnetX Holding Corp. 3.38 27,569 13,298 -51.76 109 45 -58.72
2018-06-30 13F-HR RHT / Red Hat, Inc. 134.37 5,064 27,141 435.96 757 3,647 381.77
2018-06-30 13F-HR RWGE.U / Regalwood Global Energy Ltd. 9.76 618,100 685,000 10.82 5,996 6,686 11.51
2018-06-30 13F-HR NTB / Bank of N.T. Butterfield & Son Limited (The) 45.96 15,000 10,400 -30.67 660 478 -27.58
2018-06-30 13F-HR CYS / CYS Investments, Inc. 7.50 26,208 22,807 -12.98 176 171 -2.84
2018-06-30 13F-HR WFC / Wells Fargo & Co. Put 55.44 9,000 9,000 0.00 472 499 5.72
2018-06-30 13F-HR TPGE / TPG Pace Energy Holdings Corp. 9.93 25,000 715,443 2,761.77 245 7,104 2,799.59
2018-06-30 13F-HR SCACU / Saban Capital Acquisition Corp. 10.09 29,581 74,898 153.20 294 756 157.14
2018-06-30 13F-HR 31620RAE5 / Fidelity National Financial, Inc. Bond 8,070 4,117 -48.98
2018-06-30 13F-HR PIONEER MUN HIGH INCOME TR / COM SHS (723763108) 15,607 0 -100.00 176 0
2018-06-30 13F-HR GABELLI HLTHCARE & WELLNESS / SHS (36246K103) 11,000 0 -100.00 104 0
2018-06-30 13F-HR NUVEEN CA QUALTY MUN INCOME / (67066Y105) 65,335 0 -100.00 875 0
2018-06-30 13F-HR IIF / Morgan Stanley India Investment Fund, Inc. 10,238 0 -100.00 311 0 -100.00
2018-06-30 13F-HR BRPA / Big Rock Partners Acquisition Corp. 381,400 0 -100.00 3,747 0 -100.00
2018-06-30 13F-HR EDD / Morgan Stanley Emerging Markets Domestic Debt Fund, Inc. 26,065 0 -100.00 204 0 -100.00
2018-06-30 13F-HR UTF / Cohen & Steers Infrastructure Fund, Inc. 14,332 0 -100.00 307 0 -100.00
2018-06-30 13F-HR FSD / First Trust High Income Long/Short Fund 13,717 0 -100.00 206 0 -100.00
2018-06-30 13F-HR AWP / Alpine Global Premier Properties Fund 29,245 0 -100.00 182 0 -100.00
2018-06-30 13F-HR IQI / Invesco Quality Municipal Income Trust 19,151 0 -100.00 228 0 -100.00
2018-06-30 13F-HR VOYA / Voya Financial, Inc. 5,282 0 -100.00 267 0 -100.00
2018-06-30 13F-HR ARWR / Arrowhead Pharmaceuticals, Inc. 16,017 0 -100.00 115 0 -100.00
2018-06-30 13F-HR NAD / Nuveen Dividend Advantage Municipal Fund 65,433 0 -100.00 860 0 -100.00
2018-06-30 13F-HR NRK / Nuveen Insured New York AMT-Free Municipal Fund 19,274 0 -100.00 234 0 -100.00
2018-06-30 13F-HR PMM / Putnam Managed Municipal Income Trust 16,432 0 -100.00 117 0 -100.00
2018-06-30 13F-HR GRR / Asia Tigers Fund, Inc. (THE) 45,225 0 -100.00 573 0 -100.00
2018-06-30 13F-HR CRM / Salesforce.com, Inc. 720,248 0 -100.00 83,765 0 -100.00
2018-06-30 13F-HR NMZ / Nuveen Municipal High Income Opportunity Fund 52,297 0 -100.00 654 0 -100.00
2018-06-30 13F-HR AEUA / Anadarko Petroleum Corp., 7.50% Tangible Equity Units due 6/7/2018 125,000 0 -100.00 3,725 0 -100.00
2018-06-30 13F-HR BIF / Boulder Growth & Income Fund, Inc. 37,934 0 -100.00 409 0 -100.00
2018-06-30 13F-HR ABE / Aberdeen Emerging Markets Smaller Company Opportunities Fund, Inc. 156,678 0 -100.00 2,319 0 -100.00
2018-06-30 13F-HR JSYNU / Jensyn Acquistion Corp. 253,498 0 -100.00 2,662 0 -100.00
2018-06-30 13F-HR NKX / Nuveen Insured California Tax-Free Advantage Municipal Fund 30,063 0 -100.00 407 0 -100.00
2018-06-30 13F-HR BDJ / BlackRock Enhanced Equity Dividend Trust 122,089 0 -100.00 1,066 0 -100.00
2018-06-30 13F-HR FFC / Flaherty & Crumrine/Claymore Preferred Securities Income Fund, Inc. 10,717 0 -100.00 204 0 -100.00
2018-06-30 13F-HR NESR / National Energy Services Reunited Corp. 519,302 0 -100.00 5,157 0 -100.00
2018-06-30 13F-HR ACHI / Accretive Health, Inc. 16,275 0 -100.00 116 0 -100.00
2018-06-30 13F-HR CIM / Chimera Investment Corp. 10,121 0 -100.00 176 0 -100.00
2018-06-30 13F-HR TTPH / Tetraphase Pharmaceuticals, Inc. 17,729 0 -100.00 54 0 -100.00
2018-06-30 13F-HR SGF / Aberdeen Singapore Fund, Inc. 102,441 0 -100.00 1,358 0 -100.00
2018-06-30 13F-HR ENPH / Enphase Energy, Inc. 37,976 0 -100.00 174 0 -100.00
2018-06-30 13F-HR MPAC / Matlin & Partners Acquisition Corporation Class A 283,000 0 -100.00 2,773 0 -100.00
2018-06-30 13F-HR XUSAX / Liberty All Star Equity Fund 191,242 0 -100.00 1,172 0 -100.00
2018-06-30 13F-HR MYI / BlackRock Muniyield Quality Fund III, Inc. 12,226 0 -100.00 155 0 -100.00
2018-06-30 13F-HR QUIK / QuickLogic Corporation 11,603 0 -100.00 18 0 -100.00
2018-06-30 13F-HR NYMTP / New York Mortgage Trust, Inc. 30,030 0 -100.00 178 0 -100.00
2018-06-30 13F-HR XUTGX / Reaves Utility Income Fund 57,963 0 -100.00 1,636 0 -100.00
2018-06-30 13F-HR CSQ / Calamos Strategic Total Return Fund 27,807 0 -100.00 329 0 -100.00
2018-06-30 13F-HR LCA / Landcadia Holdings, Inc. 718,334 0 -100.00 7,212 0 -100.00
2018-06-30 13F-HR ECYT / Endocyte, Inc. 25,349 0 -100.00 230 0 -100.00
2018-06-30 13F-HR GDV / Gabelli Dividend & Income Trust (The) 18,699 0 -100.00 413 0 -100.00
2018-06-30 13F-HR VDTH / Videocon d2h Limited 1,263,389 0 -100.00 10,360 0 -100.00
2018-06-30 13F-HR GLQ / Clough Global Equity Fund 11,431 0 -100.00 150 0 -100.00
2018-06-30 13F-HR PLUG / Plug Power, Inc. 48,050 0 -100.00 91 0 -100.00
2018-06-30 13F-HR MUC / BlackRock MuniHoldings California Quality Fund, Inc. 15,023 0 -100.00 198 0 -100.00
2018-06-30 13F-HR PHYS / Sprott Physical Gold Trust ETV 50,000 0 -100.00 538 0 -100.00
2018-06-30 13F-HR GCI / Gannett Co., Inc. 16,181 0 -100.00 161 0 -100.00
2018-06-30 13F-HR CAF / Morgan Stanley China A Share Fund, Inc. 19,781 0 -100.00 493 0 -100.00
2018-06-30 13F-HR ETY / Eaton Vance Tax-Managed Diversified Income Fund 22,046 0 -100.00 255 0 -100.00
2018-06-30 13F-HR IFN / India Fund, Inc. (THE) 18,882 0 -100.00 465 0 -100.00
2018-06-30 13F-HR AWF / AllianceBernstein Global High Income Fund, Inc. 41,583 0 -100.00 494 0 -100.00
2018-06-30 13F-HR WEN / The Wendy's Company 10,407 0 -100.00 183 0 -100.00
2018-06-30 13F-HR VSTM / Verastem, Inc. 31,551 0 -100.00 94 0 -100.00
2018-06-30 13F-HR XRVTX / Royce Value Trust, Inc. 30,000 0 -100.00 467 0 -100.00
2018-06-30 13F-HR EMO / ClearBridge Energy MLP Opportunity Fund Inc. 11,457 0 -100.00 113 0 -100.00
2018-06-30 13F-HR GAB / Gabelli Equity Trust, Inc. (The) 52,700 0 -100.00 323 0 -100.00
2018-06-30 13F-HR LAQ / Aberdeen Latin America Equity Fund, Inc. 111,848 0 -100.00 3,062 0 -100.00
2018-06-30 13F-HR HQH / Tekla Healthcare Investors 27,350 0 -100.00 589 0 -100.00
2018-06-30 13F-HR ELEC / Electrum Special Acquisition Corporation 851,819 0 -100.00 8,842 0 -100.00
2018-06-30 13F-HR PSLV / Sprott Physical Silver Trust 654,675 0 -100.00 3,954 0 -100.00
2018-06-30 13F-HR GPM / Guggenheim Enhanced Equity Income Fund 41,781 0 -100.00 348 0 -100.00
2018-06-30 13F-HR GCH / Aberdeen Greater China Fund, Inc. 181,627 0 -100.00 2,399 0 -100.00
2018-06-30 13F-HR ISL / Aberdeen Israel Fund, Inc. 61,235 0 -100.00 1,193 0 -100.00
2018-06-30 13F-HR SB / Safe Bulkers, Inc. 14,825 0 -100.00 47 0 -100.00
2018-06-30 13F-HR IF / Aberdeen Indonesia Fund, Inc. 147,856 0 -100.00 1,078 0 -100.00
2018-06-30 13F-HR NXJ / Nuveen New Jersey Dividend Advantage Municipal Fund 10,860 0 -100.00 142 0 -100.00
2018-06-30 13F-HR MVIS / Microvision, Inc. 23,520 0 -100.00 27 0 -100.00
2018-06-30 13F-HR EL / Estee Lauder Companies, Inc. (THE) 1,352 0 -100.00 202 0 -100.00
2018-06-30 13F-HR LEGACY ACQUISITION CORP / COM CL A (524643103) 467,600 0 -100.00 4,484 0
2018-06-30 13F-HR OSPR / Osprey Energy Acquisition Corp. 1,133,771 0 -100.00 10,907 0 -100.00
2018-06-30 13F-HR MAV / Pioneer Municipal High Income Advantage Trust 10,834 0 -100.00 116 0 -100.00
2018-06-30 13F-HR SEAC / SeaChange International, Inc. 17,473 0 -100.00 47 0 -100.00
2018-06-30 13F-HR TCB / TCF Financial Corp. 262,337 0 -100.00 1,535 0 -100.00
2018-06-30 13F-HR TWX / Time Warner, Inc. Call 144,700 0 -100.00 13,686 0 -100.00
2018-06-30 13F-HR VRSN / VeriSign, Inc. Call 90,000 0 -100.00 10,670 0 -100.00
2018-06-30 13F-HR VRSN / VeriSign, Inc. 162,588 0 -100.00 19,276 0 -100.00
2018-06-30 13F-HR AGFS / AgroFresh Solutions, Inc. 10,514 0 -100.00 77 0 -100.00
2018-06-30 13F-HR AMPE / Ampio Pharmaceuticals, Inc. 38,026 0 -100.00 129 0 -100.00
2018-06-30 13F-HR COLONY NORTHSTAR CR REAL EST / COM CL A (19626A101) 100,000 0 -100.00 1,895 0
2018-06-30 13F-HR GWRE / Guidewire Software, Inc. 62,857 0 -100.00 5,081 0 -100.00
2018-06-30 13F-HR IDRA / Idera Pharmaceuticals, Inc. 46,408 0 -100.00 85 0 -100.00
2018-06-30 13F-HR KRNY / Kearny Financial Corp. 12,957 0 -100.00 168 0 -100.00
2018-06-30 13F-HR MGEE / MGE Energy, Inc. 3,600 0 -100.00 202 0 -100.00
2018-06-30 13F-HR MTECH ACQUISITION CORP / *W EXP 08/01/202 (55378W115) 100,000 0 -100.00 62 0
2018-06-30 13F-HR NEWM / New Media Investment Group Inc. 10,586 0 -100.00 181 0 -100.00
2018-06-30 13F-HR OPES ACQUISITION CORP / UNIT 03/07/2023 (68373P209) 350,000 0 -100.00 3,518 0
2018-06-30 13F-HR RFP / Resolute Forest Products Inc. 11,036 0 -100.00 92 0 -100.00
2018-06-30 13F-HR CRM / Salesforce.com, Inc. Put 500,000 0 -100.00 58,150 0 -100.00
2018-06-30 13F-HR NOW / ServiceNow, Inc. 37,124 0 -100.00 6,142 0 -100.00
2018-06-30 13F-HR CLUB / Town Sports International Holdings, Inc. 11,353 0 -100.00 86 0 -100.00
2018-06-30 13F-HR TRXC / TransEnterix, Inc. 18,400 0 -100.00 31 0 -100.00
2018-06-30 13F-HR VOYA INFRASTRUCTURE INDLS & / (92912X101) 14,019 0 -100.00 213 0
2018-06-30 13F-HR WESTERN ASSET EMRG MKT DEBT / (95766A101) 15,078 0 -100.00 219 0
2018-06-30 13F-HR WIW / Western Asset/ Claymore Inflation Linked Opportunities & Income Fund 10,000 0 -100.00 115 0 -100.00
2018-06-30 13F-HR ZEN / Zendesk, Inc. 50,000 0 -100.00 2,394 0 -100.00
2018-06-30 13F-HR GOGL / Golden Ocean Group Limited 10,467 0 -100.00 83 0 -100.00
2018-06-30 13F-HR CHGG / Chegg, Inc. 72,400 0 -100.00 1,496 0 -100.00
2018-06-30 13F-HR CTWSP / Connecticut Water Service, Inc. 3,763 0 -100.00 228 0 -100.00
2018-06-30 13F-HR SZC / Cushing Renaissance Fund (The) 63,088 0 -100.00 992 0 -100.00
2018-06-30 13F-HR LEO / Dreyfus Strategic Municipals, Inc. 32,964 0 -100.00 254 0 -100.00
2018-06-30 13F-HR EARN / Ellington Residential Mortgage REIT 14,620 0 -100.00 160 0 -100.00
2018-06-30 13F-HR GNL / Global Net Lease Inc. 10,541 0 -100.00 178 0 -100.00
2018-06-30 13F-HR GORDON POINTE ACQUISITION CO / COM CLASS A (382788107) 375,500 0 -100.00 3,646 0
2018-06-30 13F-HR GWW / Grainger (W.W.), Inc. 743 0 -100.00 210 0 -100.00
2018-06-30 13F-HR GES / Guess ? Inc. 10,899 0 -100.00 226 0 -100.00
2018-06-30 13F-HR BTO / Hancock (JOHN) Bank & Thrift Opportunity Fund, Inc. 11,927 0 -100.00 457 0 -100.00
2018-06-30 13F-HR HAYMAKER ACQUISITION CORP / COM CLASS A (420870107) 653,700 0 -100.00 6,243 0
2018-06-30 13F-HR HOLX / Hologic, Inc. 130,000 0 -100.00 4,857 0 -100.00
2018-06-30 13F-HR AXAS / Abraxas Petroleum Corp. 2.88 24,673 71
2018-06-30 13F-HR ARE.PRD / Alexandria Real Estate Equities, Inc. 7.00% Series D Preferred 34.80 275,000 9,570
2018-06-30 13F-HR AXU / Alexco Resource Corp. 1.32 55,180 73
2018-06-30 13F-HR AMLP / Alerian ETF 10.10 450,000 4,545
2018-06-30 13F-HR ACSF / American Capital Senior Floating, Ltd. 12.31 48,581 598
2018-06-30 13F-HR 032359AG6 / AmTrust Financial Services, Inc. 2.75% Bond due 2044-12-15 9,265
2018-06-30 13F-HR AMRS / Amyris, Inc. 6.43 11,041 71
2018-06-30 13F-HR ASNA / Ascena Retail Group, Inc. 4.00 15,747 63
2018-06-30 13F-HR T / AT & T, Inc. 32.11 141,491 4,543
2018-06-30 13F-HR AVYA / Avaya Holdings Corp. 20.08 25,800 518
2018-06-30 13F-HR BCS / Barclays Bank Plc Put 10.03 1,200,000 12,036
2018-06-30 13F-HR 09257WAA8 / Blackstone Mtg Tr Inc Bond 1,225
2018-06-30 13F-HR CAI / CAI International, Inc. 23.24 293,174 6,813
2018-06-30 13F-HR CHTR / Charter Communications, Inc. 293.23 12,635 3,705
2018-06-30 13F-HR 171779AJ0 / Ciena Corp. Bond 1,323
2018-06-30 13F-HR COLONY CAP INC NEW / CL A COM (19626G108) 6.22 27,482 171
2018-06-30 13F-HR 210226AB2 / Consolidated-Tomoka Land Co. Bond 7,698
2018-06-30 13F-HR DHX MEDIA LTD / COM VAR VTG (252406152) 2.09 41,159 86
2018-06-30 13F-HR DPS / Dr. Pepper Snapple Group, Inc. 122.00 468,719 57,184
2018-06-30 13F-HR FAR PT ACQUISITION CORP / UNIT 06/01/2025 (30734W208) 10.19 150,000 1,528
2018-06-30 13F-HR FLDM / Fluidigm Corp. 5.91 10,313 61
2018-06-30 13F-HR FCEL / FuelCell Energy, Inc. 1.32 49,886 66
2018-06-30 13F-HR XGUTX / Gabelli Utility Trust (The) 5.90 96,692 570
2018-06-30 13F-HR HBIO / Harvard Bioscience, Inc. 5.40 10,003 54
2018-06-30 13F-HR HCOM / Hawaiian Telcom Holdco, Inc. 28.92 188,100 5,440
2018-06-30 13F-HR HPR / HighPoint Resources Corp 6.09 11,486 70
2018-06-30 13F-HR HL ACQUISITIONS CORP / UNIT 06/21/2023 (G4603R114) 10.05 250,000 2,512
2018-06-30 13F-HR HOS / Hornbeck Offshore Services, Inc. 3.94 15,974 63
2018-06-30 13F-HR 48666KAS8 / KB Home Bond 31,153
2018-06-30 13F-HR LACQ / Leisure Acquisition Corp. 9.66 575,040 5,555
2018-06-30 13F-HR LEO HOLDINGS CORP / COM CL A (G5463L105) 9.68 611,510 5,919
2018-06-30 13F-HR LF CAP ACQUISITION CORP / CL A (50200K108) 10.07 950,000 9,566
2018-06-30 13F-HR MHLD / Maiden Holdings Ltd. 7.76 22,666 176
2018-06-30 13F-HR MNKD / MannKind Corp. 1.89 33,903 64
2018-06-30 13F-HR MFIN / Medallion Financial Corp. 5.51 11,262 62
2018-06-30 13F-HR 58471AAB1 / Medidata Solutions, Inc. Bond 16,781
2018-06-30 13F-HR 595112AY9 / Micron Technology, Inc. Bond 11,812
2018-06-30 13F-HR MB / MINDBODY, Inc. 38.61 28,750 1,110
2018-06-30 13F-HR THLD / Threshold Pharmaceuticals, Inc. 5.20 12,494 65
2018-06-30 13F-HR NSM / Nationstar Mortgage Holdings Inc. 17.54 33,703 591
2018-06-30 13F-HR NEW FRONTIER CORP / UNIT 99/99/9999 (G6485P116) 10.05 175,000 1,759
2018-06-30 13F-HR NXEO / Nexeo Solutions, Inc. 0.57 1,000,000 571
2018-06-30 13F-HR NE / Noble Corporation plc 6.29 11,927 75
2018-06-30 13F-HR NOG / Northern Oil and Gas, Inc. 3.17 24,322 77
2018-06-30 13F-HR PZG / Paramount Gold Nevada Corp. 1.26 150,000 189
2018-06-30 13F-HR PRTY / Party City Holdco Inc. 15.27 10,742 164
2018-06-30 13F-HR PFSI / PennyMac Financial Services, Inc. 19.65 100,000 1,965
2018-06-30 13F-HR PURE ACQUISITION CORP / *W EXP 04/17/202 (74621Q114) 1.28 1,175,000 1,504
2018-06-30 13F-HR REDWOOD TR INC / NOTE 5.625% 7/1 (758075AD7) 2,955
2018-06-30 13F-HR EYES / Second Sight Medical Products, Inc. 1.67 24,491 41
2018-06-30 13F-HR XLK / SPDR Technology Select Sector ETF 69.47 30,000 2,084
2018-06-30 13F-HR XLY / SPDR Consumer Discretionary Select Sector ETF 109.25 10,050 1,098
2018-06-30 13F-HR SIG / Signet Jewelers Ltd. 55.79 4,320 241
2018-06-30 13F-HR TERADYNE INC / NOTE 1.250%12/1 (880770AG7) 20,175
2018-06-30 13F-HR TTI / TETRA Technologies, Inc. 4.42 15,820 70
2018-06-30 13F-HR THUNDER BRIDGE ACQUISITION L / UNIT 01/01/2025 (G8857R118) 10.04 1,600,000 16,064
2018-06-30 13F-HR TORTOISE MLP FD INC / RIGHT 07/18/2018 (89148B119) 0.37 398,752 149
2018-06-30 13F-HR TCAP / Triangle Capital Corp. 11.50 877,665 10,093
2018-06-30 13F-HR TDAC / Trident Acquisitions Corp. 9.75 1,200,000 11,700
2018-06-30 13F-HR TRIDENT ACQUISITIONS CORP / *W EXP 05/09/202 (89615T114) 0.32 733,500 235
2018-06-30 13F-HR TRN / Trinity Industries, Inc. 34.23 11,803 404
2018-06-30 13F-HR TRINITY MERGER CORP / COM CL A (89653L106) 9.77 947,000 9,252
2018-06-30 13F-HR TUES / Tuesday Morning Corp. 3.07 17,900 55
2018-06-30 13F-HR TWELVE SEAS INVESTMENT COMPA / UNIT 06/21/2023 (G9145A123) 10.06 1,230,499 12,379
2018-06-30 13F-HR VTIQ / VectoIQ Acquisition Corp. 9.58 348,000 3,334
2018-06-30 13F-HR VTL / Vital Therapies, Inc. 6.84 11,113 76
2018-06-30 13F-HR VSLR / Vivint Solar Inc. 4.91 10,805 53
2018-06-30 13F-HR WIX / Wix.com Ltd. 100.32 12,600 1,264
2018-06-30 13F-HR WMIH / WMIH Corp. 1.34 322,184 432
2018-06-30 13F-HR WDAY / Workday, Inc. 121.12 34,512 4,180
2018-06-30 13F-HR 98138HAC5 / Workday, Inc. Bond 0.750% 7/1 34,406
2018-06-30 13F-HR ZG / Zillow Group, Inc. 59.06 35,000 2,067
2018-06-30 13F-HR 85571BAB1 / Starwood Property Trust Inc Bond 2,502