The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
AES | UNIT 99/99/9999 | 00130H204 | 1,545 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ANTERO MIDSTREAM | COM | 03676B102 | 2,032 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
APOLLO SENIOR FLOATING RATE | COM | 037636107 | 216 | 14,507 | SH | SOLE | 14,507 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCOME STRATEGIES FUND | COM | 09255X100 | 498 | 38,276 | SH | SOLE | 38,276 | 0 | 0 | ||
BLUEKNIGHT ENERGY PARTNERS | COM UNIT | 09625U109 | 8,154 | 2,516,798 | SH | SOLE | 2,516,798 | 0 | 0 | ||
BRAEMAR HOTELS & RESORTS | COM | 10482B101 | 8,466 | 1,394,804 | SH | SOLE | 1,394,804 | 0 | 0 | ||
CHURCHILL CAPITAL CORP IV | *W EXP 08/04/202 | 171439110 | 874 | 77,500 | SH | SOLE | 77,500 | 0 | 0 | ||
CLEAR CHANNEL HOLDINGS, INC | COM | 18453H106 | 4,296 | 2,386,572 | SH | SOLE | 2,386,572 | 0 | 0 | ||
CLOVER HEALTH INVESTMENTS | *W EXP 04/21/202 | 18914F111 | 995 | 633,805 | SH | SOLE | 633,805 | 0 | 0 | ||
COLONY CAPITAL | CL A COM | 19626G108 | 324 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CUMULUS MEDIA INC | COM CL A | 231082801 | 9,559 | 1,049,304 | SH | SOLE | 1,049,304 | 0 | 0 | ||
CURIOSITYSTREAM | *W EXP 10/14/202 | 23130Q115 | 108 | 21,068 | SH | SOLE | 21,068 | 0 | 0 | ||
CURO GROUP | COM | 23131L107 | 1,233 | 84,537 | SH | SOLE | 84,537 | 0 | 0 | ||
DASEKE | *W EXP 02/27/202 | 23753F115 | 203 | 628,209 | SH | SOLE | 628,209 | 0 | 0 | ||
EATON VANCE SENIOR INCOME TRUST | SH BEN INT | 27826S103 | 241 | 36,329 | SH | SOLE | 36,329 | 0 | 0 | ||
EATON VANCE LIMITED DURATION INCOME FUND | COM | 27828H105 | 2,744 | 217,221 | SH | SOLE | 217,221 | 0 | 0 | ||
ENTERPRISE PRODUCTS PARTNERS, L.P. | COM | 293792107 | 324 | 14,710 | SH | SOLE | 14,710 | 0 | 0 | ||
EOS ENERGY ENTERPRISES | *W EXP 05/06/202 | 29415C119 | 3,812 | 427,080 | SH | SOLE | 427,080 | 0 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 1,816 | 203,318 | SH | SOLE | 203,318 | 0 | 0 | ||
GENESIS ENERGY L.P. | UNIT LTD PARTN | 371927104 | 191 | 20,500 | SH | SOLE | 20,500 | 0 | 0 | ||
HOSTESS BRANDS | *W EXP 11/04/202 | 44109J114 | 2,772 | 1,817,823 | SH | SOLE | 1,817,823 | 0 | 0 | ||
KAYNE ANDERSON MLP INVESTMENT COMPANY | COM | 486606106 | 3,105 | 433,088 | SH | SOLE | 433,088 | 0 | 0 | ||
KAYNE ANDERSON MIDSTREAM/ENERGY FUND | COM | 48661E108 | 1,965 | 295,073 | SH | SOLE | 295,073 | 0 | 0 | ||
LANDSEA HOMES | COM | 51509P103 | 3,048 | 318,796 | SH | SOLE | 318,796 | 0 | 0 | ||
LANDSEA HOMES | *W EXP 01/07/202 | 51509P111 | 752 | 2,935,718 | SH | SOLE | 2,935,718 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | COM | 595017104 | 432 | 2,783 | SH | SOLE | 2,783 | 0 | 0 | ||
NEW YORK COMMUNITY BANCORP TRUST | UNIT 11/01/2051 | 64944P307 | 1,699 | 34,230 | SH | SOLE | 34,230 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND | COM SHS | 6706EN100 | 441 | 46,255 | SH | SOLE | 46,255 | 0 | 0 | ||
NUVEEN CREDIT STRATEGIES INCOME FUND | COM SHS | 67073D102 | 1,892 | 291,105 | SH | SOLE | 291,105 | 0 | 0 | ||
OCCIDENTAL PETROLEUM | *W EXP 08/03/202 | 674599162 | 5,943 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
REVANCE THERAPEUTICS | COM | 761330109 | 1,460 | 52,235 | SH | SOLE | 52,235 | 0 | 0 | ||
SALIENT MIDSTREAM & MLP FUND | SH BEN INT | 79471V105 | 799 | 156,650 | SH | SOLE | 156,650 | 0 | 0 | ||
STAR PEAK ENERGY TRANSITION | *W EXP 08/11/202 | 855185112 | 1,499 | 105,262 | SH | SOLE | 105,262 | 0 | 0 | ||
SUNRUN | COM | 86771W105 | 244 | 4,028 | SH | SOLE | 4,028 | 0 | 0 | ||
USA COMPRESSION PARTNERS | COMUNIT LTDPAR | 90290N109 | 2,323 | 151,715 | SH | SOLE | 151,715 | 0 | 0 | ||
UBER TECHNOLOGIES | COM | 90353T100 | 405 | 7,422 | SH | SOLE | 7,422 | 0 | 0 | ||
URBAN ONE | CL D NON VTG | 91705J204 | 4,324 | 2,470,859 | SH | SOLE | 2,470,859 | 0 | 0 | ||
US ECOLOGY | *W EXP 10/17/202 | 91734M111 | 2,181 | 242,372 | SH | SOLE | 242,372 | 0 | 0 | ||
WILLSCOT MOBILE MINI HOLDINGS | COM CL A | 971378104 | 235 | 8,470 | SH | SOLE | 8,470 | 0 | 0 | ||
NOVOCURE | ORD SHS | G6674U108 | 495 | 3,744 | SH | SOLE | 3,744 | 0 | 0 | ||
PAYSAFE | *W EXP 08/11/202 | G6964L115 | 1,239 | 287,177 | SH | SOLE | 287,177 | 0 | 0 | ||
REPLAY ACQUISITION | *W EXP 03/01/202 | G75130115 | 86 | 71,031 | SH | SOLE | 71,031 | 0 | 0 | ||
AIR TRANSPORT SERVICES GROUP | NOTE 1.125%10/1 | 00922RAB1 | 25,764 | 22,891,000 | PRN | SOLE | 0 | 0 | 0 | ||
AKAMAI TECH | NOTE 0.125% 5/0 | 00971TAJ0 | 10,071 | 8,310,000 | PRN | SOLE | 0 | 0 | 0 | ||
AKAMAI TECH | NOTE 0.375% 9/0 | 00971TAL5 | 63,902 | 58,690,000 | PRN | SOLE | 0 | 0 | 0 | ||
ALTERYX | NOTE 1.000% 8/0 | 02156BAF0 | 12,441 | 13,625,000 | PRN | SOLE | 0 | 0 | 0 | ||
ATLAS AIR WORLDWIDE HOLDINGS, INC | NOTE 1.875% 6/0 | 049164BJ4 | 13,634 | 11,282,000 | PRN | SOLE | 0 | 0 | 0 | ||
BAOZUN | NOTE 1.625% 5/0 | 06684LAB9 | 3,424 | 3,300,000 | PRN | SOLE | 0 | 0 | 0 | ||
CSG SYSTEMS INTERNATIONAL, INC | NOTE 4.250% 3/1 | 126349AF6 | 6,643 | 6,297,000 | PRN | SOLE | 0 | 0 | 0 | ||
COLONY CAPITAL | NOTE 5.000% 4/1 | 19624RAA4 | 1,881 | 1,853,000 | PRN | SOLE | 0 | 0 | 0 | ||
INVITATION HOMES | NOTE 3.500% 1/1 | 19625XAB8 | 496 | 350,000 | PRN | SOLE | 0 | 0 | 0 | ||
ATLANTICUS HOLDINGS | NOTE 5.875%11/3 | 20478NAD2 | 6,218 | 4,693,000 | PRN | SOLE | 0 | 0 | 0 | ||
CONMED CORP | NOTE 2.625% 2/0 | 207410AF8 | 7,075 | 4,519,000 | PRN | SOLE | 0 | 0 | 0 | ||
CORENERGY INFRASTRUCTURE TRUST | NOTE 5.875% 8/1 | 21870UAC0 | 1,449 | 1,575,000 | PRN | SOLE | 0 | 0 | 0 | ||
COWEN INC | NOTE 3.000%12/1 | 223622AE1 | 2,577 | 1,250,000 | PRN | SOLE | 0 | 0 | 0 | ||
CYBERARK SOFTWARE | NOTE 11/1 | 23248VAB1 | 9,298 | 8,585,000 | PRN | SOLE | 0 | 0 | 0 | ||
DISH NETWORK | NOTE 2.375% 3/1 | 25470MAD1 | 959 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
EURONET WORLDWIDE INC | NOTE 0.750% 3/1 | 298736AL3 | 4,154 | 3,630,000 | PRN | SOLE | 0 | 0 | 0 | ||
FLEXION THERAPEUTICS | NOTE 3.375% 5/0 | 33938JAB2 | 16,288 | 17,938,000 | PRN | SOLE | 0 | 0 | 0 | ||
FORTIVE | NOTE 0.875% 2/1 | 34959JAK4 | 3,399 | 3,345,000 | PRN | SOLE | 0 | 0 | 0 | ||
GREENBRIER COMPANIES | NOTE 2.875% 2/0 | 393657AK7 | 4,330 | 3,950,000 | PRN | SOLE | 0 | 0 | 0 | ||
HC2 HOLDINGS | NOTE 7.500% 8/0 | 404139AG2 | 14,449 | 12,363,000 | PRN | SOLE | 0 | 0 | 0 | ||
HARMONIC INC | DBCV 2.000% 9/0 | 413160AD4 | 1,701 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
HELIX ENERGY SOLUTIONS GROUP | NOTE 4.250% 5/0 | 42330PAH0 | 747 | 750,000 | PRN | SOLE | 0 | 0 | 0 | ||
HELIX ENERGY SOLUTIONS GROUP | NOTE 6.750% 2/1 | 42330PAK3 | 13,664 | 11,729,000 | PRN | SOLE | 0 | 0 | 0 | ||
HOPE BANCORP | NOTE 2.000% 5/1 | 43940TAB5 | 9,116 | 9,231,000 | PRN | SOLE | 0 | 0 | 0 | ||
ISTAR INC | NOTE 3.125% 9/1 | 45031UCB5 | 3,703 | 2,800,000 | PRN | SOLE | 0 | 0 | 0 | ||
ILLUMINA INC | NOTE 8/1 | 452327AK5 | 15,807 | 13,290,000 | PRN | SOLE | 0 | 0 | 0 | ||
INSIGHT ENTERPRISES | NOTE 0.750% 2/1 | 45765UAB9 | 2,624 | 1,780,000 | PRN | SOLE | 0 | 0 | 0 | ||
INSMED | NOTE 1.750% 1/1 | 457669AA7 | 292 | 260,000 | PRN | SOLE | 0 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS | NOTE 3.250% 7/0 | 45845PAA6 | 826 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
INTERDIGITAL, INC | NOTE 2.000% 6/0 | 45867GAB7 | 34,107 | 31,876,000 | PRN | SOLE | 0 | 0 | 0 | ||
JAZZ INVESTMENTS I | NOTE 1.500% 8/1 | 472145AD3 | 6,357 | 5,835,000 | PRN | SOLE | 0 | 0 | 0 | ||
KBR | NOTE 2.500%11/0 | 48242WAB2 | 11,505 | 7,277,000 | PRN | SOLE | 0 | 0 | 0 | ||
KAMAN CORPORATION | NOTE 3.250% 5/0 | 483548AF0 | 71,495 | 65,894,000 | PRN | SOLE | 0 | 0 | 0 | ||
LENDINGTREE | NOTE 0.625% 6/0 | 52603BAA5 | 4,213 | 3,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIBERTY LATIN AMERICA | NOTE 2.000% 7/1 | 53069QAB5 | 789 | 800,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIBERTY INTERACTIVE LLC | DEB 3.750% 2/1 | 530715AL5 | 978 | 1,266,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIBERTY MEDIA | NOTE 1.375%10/1 | 531229AB8 | 60,842 | 47,533,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIVE NATION ENTERTAINMENT | NOTE 2.000% 2/1 | 538034AU3 | 1,669 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
LUMENTUM HOLDINGS | NOTE 0.500%12/1 | 55024UAD1 | 26,365 | 22,607,000 | PRN | SOLE | 0 | 0 | 0 | ||
MFA FINANCIAL | NOTE 6.250% 6/1 | 55272XAA0 | 519 | 518,000 | PRN | SOLE | 0 | 0 | 0 | ||
MARRIOTT VACATIONS WORLDWIDE CORP | NOTE 1.500% 9/1 | 57164YAB3 | 1,711 | 1,319,000 | PRN | SOLE | 0 | 0 | 0 | ||
MERITOR | NOTE 3.250%10/1 | 59001KAF7 | 1,733 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
MESA LABORATORIES | NOTE 1.375% 8/1 | 59064RAA7 | 9,975 | 9,115,000 | PRN | SOLE | 0 | 0 | 0 | ||
NRG ENERGY, INC | DBCV 2.750% 6/0 | 629377CG5 | 12,629 | 10,875,000 | PRN | SOLE | 0 | 0 | 0 | ||
NABORS INDUSTRIES INC | NOTE 0.750% 1/1 | 62957HAB1 | 936 | 1,250,000 | PRN | SOLE | 0 | 0 | 0 | ||
NEOGENOMICS | NOTE 0.250% 1/1 | 64049MAB6 | 6,225 | 6,125,000 | PRN | SOLE | 0 | 0 | 0 | ||
NEVRO CORP | NOTE 2.750% 4/0 | 64157FAC7 | 2,276 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
NUVASIVE, INC | NOTE 0.375% 3/1 | 670704AJ4 | 1,742 | 1,710,000 | PRN | SOLE | 0 | 0 | 0 | ||
OIL STATES INTERNATIONAL INC. | NOTE 1.500% 2/1 | 678026AH8 | 1,283 | 1,350,000 | PRN | SOLE | 0 | 0 | 0 | ||
OMEROS | NOTE 5.250% 2/1 | 682143AG7 | 1,243 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
PDC ENERGY INC | NOTE 1.125% 9/1 | 69327RAD3 | 773 | 777,000 | PRN | SOLE | 0 | 0 | 0 | ||
PALO ALTO NETWORKS | NOTE 0.750% 7/0 | 697435AD7 | 15,562 | 11,785,000 | PRN | SOLE | 0 | 0 | 0 | ||
PEBBLEBROOK HOTEL TRUST | NOTE 1.750%12/1 | 70509VAA8 | 30,297 | 25,730,000 | PRN | SOLE | 0 | 0 | 0 | ||
PINDUODUO | NOTE 12/0 | 722304AC6 | 18,352 | 17,385,000 | PRN | SOLE | 0 | 0 | 0 | ||
BOOKING HOLDINGS | NOTE 0.900% 9/1 | 741503AX4 | 66,803 | 56,613,000 | PRN | SOLE | 0 | 0 | 0 | ||
PROOFPOINT | NOTE 0.250% 8/1 | 743424AF0 | 1,606 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
PROSPECT CAPITAL CORPORATION | NOTE 6.375% 3/0 | 74348TAT9 | 6,391 | 5,890,000 | PRN | SOLE | 0 | 0 | 0 | ||
PURE STORAGE INC | NOTE 0.125% 4/1 | 74624MAB8 | 1,653 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
REVANCE THERAPEUTICS | NOTE 1.750% 2/1 | 761330AB5 | 17,558 | 15,650,000 | PRN | SOLE | 0 | 0 | 0 | ||
RINGCENTRAL | NOTE 3/0 | 76680RAF4 | 3,213 | 2,927,000 | PRN | SOLE | 0 | 0 | 0 | ||
SHIP FINANCE INTERNATIONAL | NOTE 4.875% 5/0 | 824689AG8 | 1,203 | 1,225,000 | PRN | SOLE | 0 | 0 | 0 | ||
SHOPIFY | NOTE 0.125%11/0 | 82509LAA5 | 10,328 | 9,030,000 | PRN | SOLE | 0 | 0 | 0 | ||
SMART GLOBAL HOLDINGS | NOTE 2.250% 2/1 | 83205YAB0 | 36,455 | 27,630,000 | PRN | SOLE | 0 | 0 | 0 | ||
SOUTHWEST AIRLINES | NOTE 1.250% 5/0 | 844741BG2 | 6,413 | 3,724,000 | PRN | SOLE | 0 | 0 | 0 | ||
SPLUNK | NOTE 0.500% 9/1 | 848637AC8 | 2,920 | 2,550,000 | PRN | SOLE | 0 | 0 | 0 | ||
SPLUNK | NOTE 1.125% 9/1 | 848637AD6 | 1,499 | 1,270,000 | PRN | SOLE | 0 | 0 | 0 | ||
SUMMIT HOTEL PROPERTIES | NOTE 1.500% 2/1 | 866082AA8 | 4,472 | 4,040,000 | PRN | SOLE | 0 | 0 | 0 | ||
SUPERNUS PHARMACEUTICALS | NOTE 0.625% 4/0 | 868459AD0 | 483 | 500,000 | PRN | SOLE | 0 | 0 | 0 | ||
SIXTH STREET SPECIALTY LENDING | NOTE 4.500% 8/0 | 87265KAD4 | 8,882 | 7,895,000 | PRN | SOLE | 0 | 0 | 0 | ||
TEAM | NOTE 5.000% 8/0 | 878155AE0 | 1,007 | 1,017,000 | PRN | SOLE | 0 | 0 | 0 | ||
TEEKAY | NOTE 5.000% 1/1 | 87900YAE3 | 5,228 | 5,446,000 | PRN | SOLE | 0 | 0 | 0 | ||
THERAVANCE BIOPHARMA | NOTE 3.250%11/0 | 88339KAA0 | 3,246 | 3,182,000 | PRN | SOLE | 0 | 0 | 0 | ||
NOTE 1.000% 9/1 | 90184LAD4 | 1,039 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | |||
JOYY INC | NOTE 0.750% 6/1 | 98426TAD8 | 1,649 | 1,360,000 | PRN | SOLE | 0 | 0 | 0 |