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 |
AKORN INC | COM | 009728106 | 7,295 | 217,500 | SH | SOLE | 0 | 0 | 0 | ||
ALBANY MOLECULAR RESH INC | COM | 012423109 | 9,502 | 437,864 | SH | SOLE | 0 | 0 | 0 | ||
ALBANY MOLECULAR RESH INC | CALL | 012423909 | 106 | 200 | SH | Call | SOLE | 0 | 0 | 0 | |
ALBANY MOLECULAR RESH INC | CALL | 012423909 | 19 | 35 | SH | Call | SOLE | 0 | 0 | 0 | |
ALLIED WRLD ASSUR COM HLDG | A SHS | H01531104 | 72,862 | 1,377,360 | SH | SOLE | 0 | 0 | 0 | ||
ALON USA ENERGY INC | COM | 020520102 | 1,449 | 108,700 | SH | SOLE | 0 | 0 | 0 | ||
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 11,875 | 1,205,560 | SH | SOLE | 0 | 0 | 0 | ||
AVISTA HEALTHCARE PUB ACQ CO | UNIT 99/99/9999 | G0726L109 | 707 | 68,711 | SH | SOLE | 0 | 0 | 0 | ||
BARD C R INC | COM | 067383109 | 15,806 | 50,000 | SH | SOLE | 0 | 0 | 0 | ||
BOULEVARD ACQUISITION | CL A | 10157Q102 | 37,706 | 3,763,067 | SH | SOLE | 0 | 0 | 0 | ||
BOULEVARD ACQUISITION | W EXP 09/25/202 | 10157Q110 | 113 | 167,700 | SH | SOLE | 0 | 0 | 0 | ||
BROCADE COMMUNICATIONS SYS I | PUT | 111621956 | 0 | 5 | SH | Put | SOLE | 0 | 0 | 0 | |
BROCADE COMMUNICATIONS SYS I | PUT | 111621956 | 0 | 5 | SH | Put | SOLE | 0 | 0 | 0 | |
BROCADE COMMUNICATIONS SYS I | PUT | 111621956 | 3 | 479 | SH | Put | SOLE | 0 | 0 | 0 | |
BROCADE COMMUNICATIONS SYS I | PUT | 111621956 | 15 | 1,966 | SH | Put | SOLE | 0 | 0 | 0 | |
BROCADE COMMUNICATIONS SYS I | NOTE 1.375% 1/0 | 111621AQ1 | 190,445 | 187,746,000 | PRN | SOLE | 0 | 0 | 0 | ||
CABELAS INC | COM | 126804301 | 3,125 | 52,600 | SH | SOLE | 0 | 0 | 0 | ||
CARDCONNECT CORP | COM | 14141X108 | 2,947 | 195,782 | SH | SOLE | 0 | 0 | 0 | ||
CF CORP | SHS CL A | G20307107 | 4,219 | 375,000 | SH | SOLE | 0 | 0 | 0 | ||
CF CORP | W EXP 05/25/202 | G20307115 | 258 | 120,000 | SH | SOLE | 0 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC | RIGHT 99/99/9999 | 203668116 | 1 | 76,569 | SH | SOLE | 0 | 0 | 0 | ||
CONSTELLATION ALPHA CAPITAL | UNIT 99/99/9999 | G2379F124 | 406 | 39,993 | SH | SOLE | 0 | 0 | 0 | ||
COVISINT CORP | COM | 22357R103 | 68 | 27,700 | SH | SOLE | 0 | 0 | 0 | ||
DIGITALGLOBE INC | COM | 25389M877 | 3 | 100 | SH | SOLE | 0 | 0 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | COM | G28195124 | 37,601 | 3,760,141 | SH | SOLE | 0 | 0 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | UNIT 99/99/9999 | G28195108 | 72 | 6,792 | SH | SOLE | 0 | 0 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | W EXP 09/16/202 | G28195116 | 381 | 794,517 | SH | SOLE | 0 | 0 | 0 | ||
EASTERLY ACQUISITION CORP | COM | 27616L102 | 23,115 | 2,300,000 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 16,346 | 1,619,976 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | W EXP 99/99/999 | G3105C112 | 32 | 90,000 | SH | SOLE | 0 | 0 | 0 | ||
ENERNOC INC | DBCV 2.250% 8/1 | 292764AB3 | 22,012 | 22,150,000 | PRN | SOLE | 0 | 0 | 0 | ||
FELCOR LODGING TR INC | COM | 31430F101 | 7 | 1,000 | SH | SOLE | 0 | 0 | 0 | ||
FINTECH ACQUISITION CORP II | COM | 31810G109 | 7,067 | 721,128 | SH | SOLE | 0 | 0 | 0 | ||
FIRST POTOMAC RLTY TR | COM | 33610F109 | 2,733 | 246,000 | SH | SOLE | 0 | 0 | 0 | ||
FORESTAR GROUP INC NOTE | NOTE 3.750% 3/0 | 346232AB7 | 15,263 | 15,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
FORUM MERGER CORP | COM CL A | 34985B103 | 9,961 | 1,025,893 | SH | SOLE | 0 | 0 | 0 | ||
GLOBAL PARTNER ACQUISITION C | COM | 37954X105 | 7,966 | 800,597 | SH | SOLE | 0 | 0 | 0 | ||
GLOBAL PARTNER ACQUISITION C | W EXP 07/01/202 | 37954X113 | 35 | 175,000 | SH | SOLE | 0 | 0 | 0 | ||
GORES HLDGS II INC | UNIT 99/99/9999 | 382867208 | 755 | 72,326 | SH | SOLE | 0 | 0 | 0 | ||
GP INVTS ACQUISITION COR | SHS | G40357124 | 12,243 | 1,223,097 | SH | SOLE | 0 | 0 | 0 | ||
HENNESSY CAP ACQUSTON CORP I | UNIT 06/15/2024 | 42588L204 | 3,306 | 328,800 | SH | SOLE | 0 | 0 | 0 | ||
HERTZ GLOBAL HLDGS INC | PUT | 42806J956 | 0 | 13 | SH | Put | SOLE | 0 | 0 | 0 | |
HERTZ GLOBAL HLDGS INC | PUT | 42806J956 | 8 | 100 | SH | Put | SOLE | 0 | 0 | 0 | |
INTRAWEST RESORTS HLDGS INC | COM | 46090K109 | 2,327 | 98,000 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | COM | 47632B102 | 3,798 | 370,898 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | RIGHT 99/99/9999 | 47632B128 | 42 | 175,374 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | W EXP 03/07/202 | 47632B110 | 59 | 246,023 | SH | SOLE | 0 | 0 | 0 | ||
JM GLOBAL HLDG CO | COM | 46590H101 | 1,863 | 187,628 | SH | SOLE | 0 | 0 | 0 | ||
JM GLOBAL HLDG CO | W EXP 07/29/2 | 46590H119 | 48 | 170,329 | SH | SOLE | 0 | 0 | 0 | ||
KATE SPADE & CO | COM | 485865109 | 84,549 | 4,572,676 | SH | SOLE | 0 | 0 | 0 | ||
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 12,038 | 1,238,446 | SH | SOLE | 0 | 0 | 0 | ||
KAYNE ANDERSON ACQUISITION | UNIT 06/30/2022 | 48661U201 | 8,197 | 819,711 | SH | SOLE | 0 | 0 | 0 | ||
KAYNE ANDERSON ACQUISITION | W EXP 06/30/202 | 48661U110 | 134 | 171,302 | SH | SOLE | 0 | 0 | 0 | ||
KCG HLDGS INC | CL A | 48244B100 | 5,787 | 290,242 | SH | SOLE | 0 | 0 | 0 | ||
LATTICE SEMICONDUCTOR CORP | COM | 518415104 | 2 | 300 | SH | SOLE | 0 | 0 | 0 | ||
LEVEL 3 COMMUNICATIONS INC | COM | 52729N308 | 92,983 | 1,568,009 | SH | SOLE | 0 | 0 | 0 | ||
LUMOS NETWORKS CORP | COM | 550283105 | 9,732 | 544,592 | SH | SOLE | 0 | 0 | 0 | ||
M III ACQUISITION CORP | COM | 55378T104 | 9,692 | 988,972 | SH | SOLE | 0 | 0 | 0 | ||
M III ACQUISITION CORP | UNIT 99/99/9999 | 55378T203 | 5,146 | 501,539 | SH | SOLE | 0 | 0 | 0 | ||
M III ACQUISITION CORP | W EXP 10/10/202 | 55378T112 | 343 | 762,100 | SH | SOLE | 0 | 0 | 0 | ||
MATLIN & PARTNERS ACQUISITIO | CL A A | 57682V106 | 9,661 | 1,000,130 | SH | SOLE | 0 | 0 | 0 | ||
MATLIN & PARTNERS ACQUISITIO | UNIT 05/28/2021A | 57682V205 | 5,015 | 500,026 | SH | SOLE | 0 | 0 | 0 | ||
MERUS LABS INTL INC | COM | 59047R101 | 496 | 392,081 | SH | SOLE | 0 | 0 | 0 | ||
MOBILEYE N V AMSTELVEEN | ORD SHS | N51488117 | 58,062 | 924,551 | SH | SOLE | 0 | 0 | 0 | ||
MOBILEYE N V AMSTELVEEN | CALL | N51488907 | 73 | 100 | SH | Call | SOLE | 0 | 0 | 0 | |
MODERN MEDIA ACQUISITION | COM | 60765P103 | 3,131 | 320,500 | SH | SOLE | 0 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 71 | 185,600 | SH | SOLE | 0 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | W EXP 05/17/202 | 60765P111 | 23 | 65,000 | SH | SOLE | 0 | 0 | 0 | ||
MONEYGRAM INTL INC | PUT | 60935Y958 | 10 | 1,325 | SH | Put | SOLE | 0 | 0 | 0 | |
MONSANTO CO | COM | 61166W101 | 12 | 100 | SH | SOLE | 0 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | W EXP 05/05/202 | G6375R115 | 145 | 262,900 | SH | SOLE | 0 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU SHS AD | SHS | G6375R107 | 2,511 | 262,900 | SH | SOLE | 0 | 0 | 0 | ||
NEUSTAR INC | CALL | 64126X901 | 5 | 2,160 | SH | Call | SOLE | 0 | 0 | 0 | |
NEXVET BIOPHARMA PUB LTD CO | ORD SHS | G6503X109 | 284 | 42,605 | SH | SOLE | 0 | 0 | 0 | ||
NORD ANGLIA EDUCATION INC | SHS | G6583A102 | 2,762 | 84,800 | SH | SOLE | 0 | 0 | 0 | ||
NUTRACEUTICAL INTL CORP | COM | 67060Y101 | 4,476 | 107,469 | SH | SOLE | 0 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%1 | 62952QAB6 | 181,506 | 152,206,000 | PRN | SOLE | 0 | 0 | 0 | ||
ONEBEACON INSURANCE GROUP LT | CL A | G67742109 | 1,982 | 108,734 | SH | SOLE | 0 | 0 | 0 | ||
PANERA BREAD CO | CL A | 69840W108 | 80,147 | 254,727 | SH | SOLE | 0 | 0 | 0 | ||
PAREXEL INTL CORP | COM | 699462107 | 70,140 | 807,043 | SH | SOLE | 0 | 0 | 0 | ||
PATHEON N V | SHS | N6865W105 | 39,369 | 1,128,686 | SH | SOLE | 0 | 0 | 0 | ||
QUINPARIO ACQUISITION CORP 2 | COM | 74874U101 | 11,372 | 1,146,373 | SH | SOLE | 0 | 0 | 0 | ||
QUINPARIO ACQUISITION CORP 2 | W EXP 01/01/202 | 74874U119 | 65 | 175,000 | SH | SOLE | 0 | 0 | 0 | ||
REYNOLDS AMERICAN INC | COM | 761713106 | 43,877 | 674,616 | SH | SOLE | 0 | 0 | 0 | ||
RIGHTSIDE GROUP LTD | COM | 76658B100 | 14 | 1,300 | SH | SOLE | 0 | 0 | 0 | ||
SILVER RUN ACQUISITION | COM CL A | 82812A103 | 304 | 30,000 | SH | SOLE | 0 | 0 | 0 | ||
SILVER RUN ACQUISITION | UNIT 99/99/9999 | 82812A202 | 190 | 17,800 | SH | SOLE | 0 | 0 | 0 | ||
SPECTRANETICS CORP | COM | 84760C107 | 4,365 | 113,672 | SH | SOLE | 0 | 0 | 0 | ||
SPECTRANETICS CORP | MTNF 2.625% 6/0 | 84760CAA5 | 7,446 | 5,505,000 | PRN | SOLE | 0 | 0 | 0 | ||
STAPLES INC | COM | 855030102 | 1,553 | 154,200 | SH | SOLE | 0 | 0 | 0 | ||
STARWOOD PPTY TR INC | NOTE 3.750%10/ | 85571BAC9 | 2,009 | 2,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
STELLAR ACQUISITION III INC | COM | Y8172W107 | 3,979 | 397,129 | SH | SOLE | 0 | 0 | 0 | ||
STELLAR ACQUISITION III INC | W EXP 03/22/202 | Y8172W115 | 60 | 187,200 | SH | SOLE | 0 | 0 | 0 | ||
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 42,312 | 235,524 | SH | SOLE | 0 | 0 | 0 | ||
STRAIGHT PATH COMMUNICATNS I | CALL | 862578901 | 341 | 75 | SH | Call | SOLE | 0 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578901 | 300 | 100 | SH | Call | SOLE | 0 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | PUT | 862578951 | 46 | 657 | SH | Put | SOLE | 0 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | PUT | 862578951 | 1 | 257 | SH | Put | SOLE | 0 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578901 | 3,115 | 1,000 | SH | Call | SOLE | 0 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578901 | 1,590 | 1,000 | SH | Call | SOLE | 0 | 0 | 0 | |
SYNERON MEDICAL LTD | ORD SHS | M87245102 | 2,270 | 207,300 | SH | SOLE | 0 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 25,020 | 613,691 | SH | SOLE | 0 | 0 | 0 | ||
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 15,720 | 1,612,274 | SH | SOLE | 0 | 0 | 0 | ||
VANTAGE ENERGY ACQUISITION | UNIT 04/12/2024 | 92211L204 | 10,664 | 1,052,756 | SH | SOLE | 0 | 0 | 0 | ||
VCA INC | COM | 918194101 | 85,635 | 927,693 | SH | SOLE | 0 | 0 | 0 | ||
VTTI ENERGY PARTNERS LP | COM UNIT | Y9384M101 | 4,141 | 210,729 | SH | SOLE | 0 | 0 | 0 | ||
VWR CORP | COM | 91843L103 | 30,802 | 933,106 | SH | SOLE | 0 | 0 | 0 | ||
WEST CORP | COM | 952355204 | 11,434 | 490,308 | SH | SOLE | 0 | 0 | 0 | ||
WHOLE FOODS MKT INC | COM | 966837106 | 34,240 | 813,115 | SH | SOLE | 0 | 0 | 0 | ||
WHOLE FOODS MKT INC | CALL | 966837906 | 7 | 271 | SH | Call | SOLE | 0 | 0 | 0 | |
WHOLE FOODS MKT INC | PUT | 966837956 | 65 | 3,617 | SH | Put | SOLE | 0 | 0 | 0 | |
WHOLE FOODS MKT INC | CALL | 966837906 | 15 | 384 | SH | Call | SOLE | 0 | 0 | 0 | |
XACTLY CORP | COM | 98386L101 | 12,227 | 781,252 | SH | SOLE | 0 | 0 | 0 |