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 |
* AT&T INC COM | COM | 00206R102 | 350 | 136,900 | SH | Put | SOLE | 136,900 | 0 | 0 | |
ALLERGAN INC. | COM | 018490102 | 6,715 | 31,586 | SH | SOLE | 31,586 | 0 | 0 | ||
W.R. BERKLEY CORP. | COM | 084423102 | 1,551 | 30,260 | SH | SOLE | 30,260 | 0 | 0 | ||
BLACKSTONE MORTGAGE TRU-CLA | COM CL A | 09257W100 | 10,199 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
AVANIR PHARMACEUTICALS INC | CL A NEW | 05348P401 | 3,010 | 177,563 | SH | SOLE | 177,563 | 0 | 0 | ||
ARGO GROUP INTERNATIONAL | COM | G0464B107 | 4,477 | 80,712 | SH | SOLE | 80,712 | 0 | 0 | ||
1347 CAPITAL CORP | COM | 68245V103 | 1,088 | 114,984 | SH | SOLE | 114,984 | 0 | 0 | ||
1347 CAPITAL CORP RTS | RIGHT 07/21/2016 | 68245V111 | 40 | 114,984 | SH | SOLE | 114,984 | 0 | 0 | ||
CAMBRIDGE CAPITAL ACQ | COM | 13215Q106 | 4,371 | 441,508 | SH | SOLE | 441,508 | 0 | 0 | ||
CAMBRIDGE CAPITAL ACQ CW18 | *W EXP 12/17/201 | 13215Q114 | 26 | 82,440 | SH | SOLE | 82,440 | 0 | 0 | ||
CAPITAL ACQUISITION CORP 11 | COM | 14056V105 | 9,175 | 928,628 | SH | SOLE | 928,628 | 0 | 0 | ||
COMCAST A CORP | CL A | 20030N101 | 941 | 16,214 | SH | SOLE | 16,214 | 0 | 0 | ||
COVIDIEN PLC | SHS | G2554F113 | 7,618 | 74,480 | SH | SOLE | 74,480 | 0 | 0 | ||
* COVIDIEN PLC SHS | SHS | G2554F113 | 124 | 10,100 | SH | Put | SOLE | 10,100 | 0 | 0 | |
* COVIDIEN PLC SHS | SHS | G2554F113 | 124 | 9,500 | SH | Call | SOLE | 9,500 | 0 | 0 | |
CUBIST PHARMACEUTICALS INC cvt note 1.125% | NOTE 1.125% 9/0 | 229678AF4 | 10,216 | 7,679,000 | SH | SOLE | 7,679,000 | 0 | 0 | ||
CUBIST PHARMACEUTICALS INC cvt note 1.87% | NOTE 1.875% 9/0 | 229678AH0 | 13,056 | 9,598,000 | SH | SOLE | 9,598,000 | 0 | 0 | ||
DISCOVERY COMMUNICATNS NEW SER C | COM SER C | 25470F302 | 3,236 | 95,964 | SH | SOLE | 95,964 | 0 | 0 | ||
GARNER ACQUISITION GROUP | SHS | G5866L108 | 2,471 | 258,714 | SH | SOLE | 258,714 | 0 | 0 | ||
GARNERO ACQUISITION GROUP CW19 | *W EXP 06/24/201 | G5866L116 | 11 | 95,533 | SH | SOLE | 95,533 | 0 | 0 | ||
GARNERO GROUP ACQUITION RTS | RIGHT 06/25/2016 | G5866L132 | 78 | 258,714 | SH | SOLE | 258,714 | 0 | 0 | ||
GLIMCHER REALTY TRUST SH BEN INT | SH BEN INT | 379302102 | 7,253 | 527,890 | SH | SOLE | 527,890 | 0 | 0 | ||
GLOBAL DEFENSE & NATIONAL | COM | 37953N108 | 4,518 | 440,818 | SH | SOLE | 440,818 | 0 | 0 | ||
HF2 FINANCIAL MANAGEMENT CL A | CL A | 40421A104 | 9,344 | 897,644 | SH | SOLE | 897,644 | 0 | 0 | ||
HEALTHEQUITY INC | COM | 42226A107 | 391,781 | 15,394,151 | SH | SOLE | 15,394,151 | 0 | 0 | ||
HENNESSY CAPITAL ACQ | COM | 425886108 | 1,624 | 166,544 | SH | SOLE | 166,544 | 0 | 0 | ||
HENNESSY CAPITAL ACQ CW19 | *W EXP 01/23/201 | 425886116 | 58 | 165,107 | SH | SOLE | 165,107 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | RIGHT 99/99/9999 | 448740126 | 92 | 287,940 | SH | SOLE | 287,940 | 0 | 0 | ||
* INTERNATIONAL RECTIFIER CORP COM | COM | 460254105 | 185 | 49,300 | SH | Call | SOLE | 49,300 | 0 | 0 | |
LEVY ACQUISITION CORP | COM | 52748T104 | 6,791 | 697,967 | SH | SOLE | 697,967 | 0 | 0 | ||
LIBERTY BROADBAND CORP | RIGHT 01/09/2015 | 530307115 | 1,213 | 127,657 | SH | SOLE | 127,657 | 0 | 0 | ||
LIBERTY GLOBAL PLC SERIES C | SHS CL C | G5480U120 | 5,839 | 120,867 | SH | SOLE | 120,867 | 0 | 0 | ||
* MEDIA GEN INC COM | COM | 584404107 | 158 | 19,900 | SH | Put | SOLE | 19,900 | 0 | 0 | |
MEDIA GENERAL INC WI | COM | 58441K100 | 1,269 | 75,823 | SH | SOLE | 75,823 | 0 | 0 | ||
NEWS CORP/NEW-CL B-W/I | CL B | 65249B208 | 1,758 | 116,588 | SH | SOLE | 116,588 | 0 | 0 | ||
PROSENSA HOLDING NV | SHS USD | N71546100 | 315 | 16,782 | SH | SOLE | 16,782 | 0 | 0 | ||
POTASH CORP. OF SASKATCHEWAN INC. | COM | 73755L107 | 38,458 | 1,088,858 | SH | SOLE | 1,088,858 | 0 | 0 | ||
PROTECTIVE LIFE CORP. | COM | 743674103 | 17,194 | 246,863 | SH | SOLE | 246,863 | 0 | 0 | ||
* PROTECTIVE LIFE CORP COM | COM | 743674103 | 352 | 74,000 | SH | Call | SOLE | 74,000 | 0 | 0 | |
ROI ACQUISITION CORP | COM | 74966G101 | 4,253 | 432,678 | SH | SOLE | 432,678 | 0 | 0 | ||
ROI ACQUISITION CORP CW18 | *W EXP 09/17/201 | 74966G119 | 44 | 168,483 | SH | SOLE | 168,483 | 0 | 0 | ||
ROCKWOOD HOLDINGS INC. | COM | 774415103 | 20,421 | 259,146 | SH | SOLE | 259,146 | 0 | 0 | ||
RESTAURANT BRANDS INTL INC | COM | 76131D103 | 4,720 | 120,896 | SH | SOLE | 120,896 | 0 | 0 | ||
*RESTAURANT BRANDS INTL INC | COM | 76131D103 | 172 | 129,500 | SH | Put | SOLE | 129,500 | 0 | 0 | |
SPDR S&P 500 ETF TRUST | TR UNIT | 78462F103 | 9,866 | 48,000 | SH | SOLE | 48,000 | 0 | 0 | ||
SAPIENT CORP | COM | 803062108 | 4,454 | 179,008 | SH | SOLE | 179,008 | 0 | 0 | ||
* SAPIENT CORP COM | COM | 803062108 | 79 | 24,400 | SH | Call | SOLE | 24,400 | 0 | 0 | |
* SIGMA ALDRICH CORP COM | COM | 826552101 | 166 | 20,700 | SH | Call | SOLE | 20,700 | 0 | 0 | |
SINO MERCURY ACQUISITION COR | RIGHT 99/99/9999 | 82936K110 | 29 | 95,810 | SH | SOLE | 95,810 | 0 | 0 | ||
TERRAPIN 3 ACQUISITION CORP CL A | COM CL A | 88104P104 | 4,187 | 431,627 | SH | SOLE | 431,627 | 0 | 0 | ||
TRIQUINT SEMICONDUCTOR INC | COM | 89674K103 | 1,466 | 53,553 | SH | SOLE | 53,553 | 0 | 0 | ||
TRW AUTOMOTIVE HOLDINGS CORP. | COM | 87264S106 | 3,158 | 30,703 | SH | SOLE | 30,703 | 0 | 0 | ||
TWTY-FRT CNTRY CL B | CL B | 90130A200 | 4,079 | 110,569 | SH | SOLE | 110,569 | 0 | 0 | ||
VENTAS INC. | COM | 92276F100 | 967 | 13,481 | SH | SOLE | 13,481 | 0 | 0 | ||
VIACOM INC. CL A | CL A | 92553P102 | 22,225 | 294,374 | SH | SOLE | 294,374 | 0 | 0 | ||
VOLCANO CORPORATION | COM | 928645100 | 0 | 198,500 | SH | Put | SOLE | 198,500 | 0 | 0 | |
WL ROSS HOLDING CORP | COM SHS | 92939D104 | 535 | 52,137 | SH | SOLE | 52,137 | 0 | 0 | ||
WL ROSS HOLDING CORP | *W EXP 06/11/201 | 92939D112 | 201 | 170,605 | SH | SOLE | 170,605 | 0 | 0 | ||
COVANCE INC. | COM | 222816100 | 19,654 | 189,273 | SH | SOLE | 189,273 | 0 | 0 | ||
*NPS PHARMACEUTICALS INC | COM | 62936P103 | 133 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
AMREIT INC CL B | CL B | 03216B208 | 6,163 | 232,202 | SH | SOLE | 232,202 | 0 | 0 | ||
PETSMART INC | COM | 716768106 | 74 | 28,500 | SH | Call | SOLE | 28,500 | 0 | 0 | |
BROOKFIELD RESIDENTIAL PROPE | COM | 11283W104 | 788 | 32,753 | SH | SOLE | 32,753 | 0 | 0 | ||
CAREFUSION CORP. | COM | 14170T101 | 18,391 | 309,919 | SH | SOLE | 309,919 | 0 | 0 | ||
*RIVERBED TECH INC | COM | 768573107 | 18 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
* TRW AUTOMOTIVE HLDGS CORP COM | COM | 87264S106 | 2,580 | 591,400 | SH | Call | SOLE | 591,400 | 0 | 0 | |
PANTRY INC | COM | 698657103 | 359 | 9,676 | SH | SOLE | 9,676 | 0 | 0 | ||
AVIV REIT INC | COM | 05381L101 | 7,930 | 229,997 | SH | SOLE | 229,997 | 0 | 0 | ||
* ALLERGAN INC COM | COM | 018490102 | 1,589 | 104,500 | SH | Call | SOLE | 104,500 | 0 | 0 | |
DIRECTV | COM | 25490A309 | 6,229 | 71,850 | SH | SOLE | 71,850 | 0 | 0 | ||
INTERNATIONAL GAME TECHNOLOGY | COM | 459902102 | 847 | 49,098 | SH | SOLE | 49,098 | 0 | 0 | ||
*TALISMAN ENERGY INC | COM | 87425E103 | 185 | 96,000 | SH | SOLE | 96,000 | 0 | 0 | ||
FAMILY DOLLAR STORES INC. | COM | 307000109 | 5,692 | 71,857 | SH | SOLE | 71,857 | 0 | 0 | ||
TIME WARNER CABLE INC | COM | 88732J207 | 1,457 | 9,582 | SH | SOLE | 9,582 | 0 | 0 | ||
* TIME WARNER CABLE INC COM | COM | 88732J207 | 105 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
AR CAPITAL ACQUISITION CORP | COM | 00191R109 | 2,864 | 295,234 | SH | SOLE | 295,234 | 0 | 0 | ||
AR CAPITAL ACQUISITION CORP | *W EXP 10/06/201 | 00191R117 | 27 | 134,804 | SH | SOLE | 134,804 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | *W EXP 10/20/202 | 448740118 | 30 | 167,965 | SH | SOLE | 167,965 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | COM | 448740100 | 2,727 | 287,940 | SH | SOLE | 287,940 | 0 | 0 | ||
SINO MERCURY ACQUISITION COR | COM | 82936K102 | 939 | 95,810 | SH | SOLE | 95,810 | 0 | 0 |