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 |
ADVANCED ACCELERATOR APPLIC | SPONSORED ADS | 00790T100 | 31,834 | 390,029 | SH | SOLE | 0 | 0 | 0 | ||
AMPLIFY SNACK BRANDS | COM | 03211L102 | 8,046 | 669,913 | SH | SOLE | 0 | 0 | 0 | ||
AVISTA HEALTHCARE PUB ACQ CO | UNIT 99/99/9999 | G0726L109 | 686 | 66,583 | SH | SOLE | 0 | 0 | 0 | ||
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 29,364 | 2,960,066 | SH | SOLE | 0 | 0 | 0 | ||
BARRACUDA NETWORKS INC | COM | 068323104 | 32,906 | 1,196,581 | SH | SOLE | 0 | 0 | 0 | ||
BAZAARVOICE INC | COM | 073271108 | 4,930 | 904,553 | SH | SOLE | 0 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | COM | 089482103 | 1,857 | 191,888 | SH | SOLE | 0 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | UNIT 11/20/2022 | 089482202 | 410 | 40,012 | SH | SOLE | 0 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 71 | 191,886 | SH | SOLE | 0 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | W EXP 12/01/202 | 089482111 | 36 | 89,444 | SH | SOLE | 0 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 4,997 | 517,780 | SH | SOLE | 0 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | UNIT 10/05/2022 ADDED | 09216T206 | 2 | 159 | SH | SOLE | 0 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | RIGHT 07/10/2019 ADDED | 09216T123 | 111 | 395,564 | SH | SOLE | 0 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | W EXP 07/10/202 ADDED | 09216T115 | 130 | 392,614 | SH | SOLE | 0 | 0 | 0 | ||
BROADSOFT INC | COM | 11133B409 | 275 | 5,000 | SH | SOLE | 0 | 0 | 0 | ||
BUFFALO WILD WINGS INC | COM | 119848109 | 44,272 | 283,158 | SH | SOLE | 0 | 0 | 0 | ||
BUFFALO WILD WINGS INC | CALL | 119848909 | 5 | 4 | SH | Call | SOLE | 0 | 0 | 0 | |
CALATLANTIC GROUP INC | COM | 128195104 | 547 | 9,704 | SH | SOLE | 0 | 0 | 0 | ||
CALGON CARBON CORP | COM | 129603106 | 32 | 1,500 | SH | SOLE | 0 | 0 | 0 | ||
CAPITOL INVT CORP IV | CL A ORD | G18920101 | 3,768 | 389,302 | SH | SOLE | 0 | 0 | 0 | ||
CAPITOL INVT CORP IV | W EXP 01/01/202 ADDED | G18920127 | 130 | 118,355 | SH | SOLE | 0 | 0 | 0 | ||
CAPITOL INVT CORP IV | UNIT 99/99/9999 | G18920119 | 6,437 | 643,015 | SH | SOLE | 0 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | UNIT 08/21/2022 | G2345N128 | 0 | 4 | SH | SOLE | 0 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 8,516 | 882,476 | SH | SOLE | 0 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | RIGHT 08/21/2022 | G2345N136 | 234 | 731,296 | SH | SOLE | 0 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | W EXP 08/21/202 | G2345N110 | 106 | 365,648 | SH | SOLE | 0 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | RIGHT 99/99/9999 | 203668116 | 1 | 76,569 | SH | SOLE | 0 | 0 | 0 | ||
CORNERSTONE ONDEMAND INC | NOTE 1.500% 7/0 | 21925YAB9 | 13,060 | 13,150,000 | PRN | SOLE | 0 | 0 | 0 | ||
EASTERLY ACQUISITION CORP | COM | 27616L102 | 1,993 | 197,320 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 5,222 | 505,994 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | W EXP 99/99/999 | G3105C112 | 30 | 74,900 | SH | SOLE | 0 | 0 | 0 | ||
ENTELLUS MED INC | COM | 29363K105 | 2,415 | 99,000 | SH | SOLE | 0 | 0 | 0 | ||
ESTRE AMBIENTAL INC | W EXP 12/21/202 | G3206V118 | 14 | 18,750 | SH | SOLE | 0 | 0 | 0 | ||
EXACTECH INC | COM | 30064E109 | 1,582 | 32,000 | SH | SOLE | 0 | 0 | 0 | ||
FEDERAL STR ACQUISITION CORP | CL A | 31421V107 | 20,824 | 2,144,558 | SH | SOLE | 0 | 0 | 0 | ||
FEDERAL STR ACQUISITION CORP | UNIT 99/99/9999 | 31421V206 | 3,071 | 299,650 | SH | SOLE | 0 | 0 | 0 | ||
FINTECH ACQUISITION CORP II | COM | 31810G109 | 9,776 | 985,495 | SH | SOLE | 0 | 0 | 0 | ||
FORESTAR GROUP INC | NOTE 3.750% 3/0 | 346232AB7 | 1,665 | 1,650,000 | PRN | SOLE | 0 | 0 | 0 | ||
FORUM MERGER CORP | COM CL A | 34985B103 | 5,633 | 564,476 | SH | SOLE | 0 | 0 | 0 | ||
GENERAL CABLE CORP DEL NEW | FRNT 4.500%11/1 | 369300AL2 | 26,987 | 25,565,000 | SH | SOLE | 0 | 0 | 0 | ||
GENERAL CABLE CORP DEL NEW | COM | 369300108 | 3 | 100 | SH | SOLE | 0 | 0 | 0 | ||
GIGCAPITAL INC | UNIT 03/06/2025 | 37518N205 | 4,249 | 424,943 | SH | SOLE | 0 | 0 | 0 | ||
GLOBAL PARTNER ACQUISITION C | COM | 37954X105 | 3,675 | 365,716 | SH | SOLE | 0 | 0 | 0 | ||
GORES HLDGS II INC | COM CL A | 382867109 | 16,442 | 1,654,084 | SH | SOLE | 0 | 0 | 0 | ||
GORES HLDGS II INC | UNIT 99/99/9999 | 382867208 | 727 | 70,176 | SH | SOLE | 0 | 0 | 0 | ||
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 13,111 | 1,320,318 | SH | SOLE | 0 | 0 | 0 | ||
HAYMAKER ACQUISITION | UNIT 10/19/2022 | 420870206 | 284 | 28,702 | SH | SOLE | 0 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP | COM CLASS A | 420870107 | 12,635 | 1,321,682 | SH | SOLE | 0 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP | W EXP 10/27/202 | 420870115 | 395 | 493,342 | SH | SOLE | 0 | 0 | 0 | ||
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 2,715 | 277,000 | SH | SOLE | 0 | 0 | 0 | ||
HENNESSY CAP ACQUSTON CORP I | UNIT 06/15/2024 | 42588L204 | 471 | 45,400 | SH | SOLE | 0 | 0 | 0 | ||
IGNYTA INC | COM | 451731103 | 13,446 | 503,600 | SH | SOLE | 0 | 0 | 0 | ||
INDUSTREA ACQUISITION CORP | CL A | 45579J104 | 5,461 | 560,055 | SH | SOLE | 0 | 0 | 0 | ||
IXYS CORP | COM | 46600W106 | 1,799 | 75,100 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | COM | 47632B102 | 3,927 | 381,292 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | W EXP 03/07/202 | 47632B110 | 53 | 235,515 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | RIGHT 99/99/9999 | 47632B128 | 37 | 98,705 | SH | SOLE | 0 | 0 | 0 | ||
KAYNE ANDERSON ACQUISITION | UNIT 06/30/2022 | 48661U201 | 9,684 | 972,308 | SH | SOLE | 0 | 0 | 0 | ||
KAYNE ANDERSON ACQUISITION | W EXP 06/30/202 | 48661U110 | 145 | 171,102 | SH | SOLE | 0 | 0 | 0 | ||
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 25,854 | 2,662,654 | SH | SOLE | 0 | 0 | 0 | ||
LANDCADIA HLDGS INC | CL A | 51476W107 | 511 | 51,366 | SH | SOLE | 0 | 0 | 0 | ||
LEGACY ACQUISITION CORP | COM CL A | 524643103 | 150 | 15,600 | SH | SOLE | 0 | 0 | 0 | ||
LEISURE ACQUISITION CORP | UNIT 99/99/9999 | 52539T206 | 7,076 | 714,015 | SH | SOLE | 0 | 0 | 0 | ||
M III ACQUISITION CORP | W EXP 10/10/202 | 55378T112 | 374 | 473,700 | SH | SOLE | 0 | 0 | 0 | ||
M III ACQUISITION CORP | COM | 55378T104 | 12,885 | 1,298,987 | SH | SOLE | 0 | 0 | 0 | ||
MATLIN & PARTNERS ACQUISITIO | UNIT 05/28/2021A | 57682V205 | 4,566 | 449,875 | SH | SOLE | 0 | 0 | 0 | ||
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 15,038 | 1,540,732 | SH | SOLE | 0 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 53 | 135,220 | SH | SOLE | 0 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | COM | 60765P103 | 3,978 | 405,930 | SH | SOLE | 0 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 12 | 100 | SH | SOLE | 0 | 0 | 0 | ||
MOSAIC ACQUISITION CORP | UNIT 99/99/9999 | G62848117 | 40 | 3,900 | SH | SOLE | 0 | 0 | 0 | ||
MOSAIC ACQUISITION CORP | SHS CL A | G62848109 | 728 | 75,000 | SH | SOLE | 0 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | W EXP 05/05/202 | G6375R115 | 97 | 118,000 | SH | SOLE | 0 | 0 | 0 | ||
NATIONAL ENERGY SERVICES REU | SHS | G6375R107 | 772 | 77,543 | SH | SOLE | 0 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | DBCV 1.000%12/0 | 62952QAB6 | 22,475 | 18,126,000 | SH | SOLE | 0 | 0 | 0 | ||
NXSTAGE MEDICAL INC | COM | 67072V103 | 800 | 33,000 | SH | SOLE | 0 | 0 | 0 | ||
PENSARE ACQUISITION CORP | RIGHT 99/99/9999 | 70957E121 | 48 | 96,939 | SH | SOLE | 0 | 0 | 0 | ||
PENSARE ACQUISITION CORP | W EXP 07/27/202 | 70957E113 | 28 | 50,126 | SH | SOLE | 0 | 0 | 0 | ||
PENSARE ACQUISITION CORP | UNIT 07/27/2022 | 70957E204 | 1,773 | 171,758 | SH | SOLE | 0 | 0 | 0 | ||
PENSARE ACQUISITION CORP | COM | 70957E105 | 6,935 | 717,204 | SH | SOLE | 0 | 0 | 0 | ||
PINNACLE ENTMT INC NEW | COM | 72348Y105 | 3 | 100 | SH | SOLE | 0 | 0 | 0 | ||
REGALWOOD GLOBAL ENERGY LTD | UNIT 99/99/9999 | G74760110 | 2,617 | 263,000 | SH | SOLE | 0 | 0 | 0 | ||
RYLAND GROUP INC | NOTE 0.250% 6/0 | 783764AS2 | 2,519 | 2,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
SABAN CAP ACQUISITION CORP | COM CL A | 78516C106 | 8,351 | 842,706 | SH | SOLE | 0 | 0 | 0 | ||
SILVER RUN ACQUISITION | UNIT 99/99/9999 | 82812A202 | 109 | 10,400 | SH | SOLE | 0 | 0 | 0 | ||
SILVER RUN ACQUISITION | COM CL A | 82812A103 | 39,414 | 3,977,189 | SH | SOLE | 0 | 0 | 0 | ||
SNYDERS-LANCE INC | COM | 833551104 | 952 | 19,000 | SH | SOLE | 0 | 0 | 0 | ||
STELLAR ACQUISITION III INC | W EXP 03/22/202 | Y8172W115 | 5 | 15,200 | SH | SOLE | 0 | 0 | 0 | ||
STELLAR ACQUISITION III INC | COM | Y8172W107 | 2,997 | 293,526 | SH | SOLE | 0 | 0 | 0 | ||
STRAIGHT PATH COMMUNICATNS I | CALL | 862578901 | 3,205 | 1,000 | SH | Call | SOLE | 0 | 0 | 0 | |
STRAIGHT PATH COMMUNICATNS I | CALL | 862578901 | 1,405 | 1,000 | SH | Call | SOLE | 0 | 0 | 0 | |
SUCAMPO PHARMACEUTICALS INC | NOTE 3.250%12/1 ADDED | 864909AB2 | 30,724 | 25,300,000 | PRN | SOLE | 0 | 0 | 0 | ||
TIME INC NEW | CALL | 887228904 | 2 | 716 | SH | Call | SOLE | 0 | 0 | 0 | |
TIME INC NEW | CALL | 887228904 | 5 | 2,028 | SH | Call | SOLE | 0 | 0 | 0 | |
TIME INC NEW | PUT | 887228954 | 2 | 281 | SH | Put | SOLE | 0 | 0 | 0 | |
TIME INC NEW | PUT | 887228954 | 2 | 236 | SH | Put | SOLE | 0 | 0 | 0 | |
TIME INC NEW | COM | 887228104 | 738 | 40,000 | SH | SOLE | 0 | 0 | 0 | ||
TPG PACE ENERGY HLDGS CORP | UNIT 99/99/9999 | 872656202 | 0 | 2 | SH | SOLE | 0 | 0 | 0 | ||
TPG PACE ENERGY HLDGS CORP | CL A | 872656103 | 4,925 | 505,676 | SH | SOLE | 0 | 0 | 0 | ||
TPG PACE ENERGY HLDGS CORP | CL A | 872656103 | 6,148 | 631,825 | SH | SOLE | 0 | 0 | 0 | ||
VANTAGE ENERGY ACQUISITION | UNIT 04/12/2024 | 92211L204 | 5,848 | 573,918 | SH | SOLE | 0 | 0 | 0 | ||
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 42,990 | 4,422,880 | SH | SOLE | 0 | 0 | 0 |