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 | 12,739 | 383,818 | SH | SOLE | 359,203 | 0 | 24,615 | ||
ALERE INC | COM | 01449J105 | 17,643 | 346,000 | SH | SOLE | 321,465 | 0 | 24,535 | ||
ATWOOD OCEANICS INC | COM | 050095108 | 12,019 | 1,280,000 | SH | SOLE | 1,197,900 | 0 | 82,100 | ||
AVISTA HEALTHCARE PUB ACQ CO | *W EXP 99/99/999 | G0726L117 | 280 | 699,122 | SH | SOLE | 656,682 | 0 | 42,440 | ||
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 4,276 | 427,585 | SH | SOLE | 403,404 | 0 | 24,181 | ||
BOULEVARD ACQUISITION | UNIT 09/25/2020 | 10157Q201 | 666 | 63,991 | SH | SOLE | 60,491 | 0 | 3,500 | ||
BOULEVARD ACQUISITION | CL A | 10157Q102 | 3,687 | 368,733 | SH | SOLE | 347,122 | 0 | 21,611 | ||
BROCADE COMMUNICATIONS SYS I | COM NEW | 111621306 | 15,406 | 1,289,200 | SH | SOLE | 1,194,340 | 0 | 94,860 | ||
BARD C R INC | COM | 067383109 | 11,794 | 36,800 | SH | SOLE | 36,800 | 0 | 0 | ||
CALGON CARBON CORP | COM | 129603106 | 10,058 | 470,000 | SH | SOLE | 439,481 | 0 | 30,519 | ||
CALPINE CORP | COM NEW | 131347304 | 5,900 | 400,000 | SH | SOLE | 373,600 | 0 | 26,400 | ||
CAPITOL INVT CORP IV | UNIT 99/99/9999 | G18920119 | 5,773 | 570,339 | SH | SOLE | 542,627 | 0 | 27,712 | ||
CONSTELLATION ALPHA CAP CORP | *W EXP 03/23/202 | G2379F116 | 202 | 840,950 | SH | SOLE | 790,950 | 0 | 50,000 | ||
CONSTELLATION ALPHA CAP CORP | UNIT 99/99/9999 | G2379F124 | 4,054 | 394,718 | SH | SOLE | 332,667 | 0 | 62,051 | ||
DELL TECHNOLOGIES INC | CL V | 24703L103 | 8,038 | 104,100 | SH | SOLE | 99,100 | 0 | 5,000 | ||
DOMINION DIAMOND CORP | COM | 257287102 | 5,672 | 400,000 | SH | SOLE | 373,600 | 0 | 26,400 | ||
DOUBLE EAGLE ACQUISITION COR | *W EXP 09/16/202 | G28195116 | 251 | 364,400 | SH | SOLE | 364,400 | 0 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | COM | G28195124 | 910 | 90,064 | SH | SOLE | 90,064 | 0 | 0 | ||
DRAPER OAKWOOD TECHNOLOGY | UNIT 09/30/2024 | 26146L202 | 1,533 | 150,000 | SH | SOLE | 130,000 | 0 | 20,000 | ||
ETFS PALLADIUM TR | SH BEN INT | 26923A106 | 823 | 9,189 | SH | SOLE | 0 | 0 | 9,189 | ||
FEDERAL STR ACQUISITION CORP | CL A | 31421V107 | 878 | 89,900 | SH | SOLE | 88,941 | 0 | 959 | ||
FEDERAL STR ACQUISITION CORP | UNIT 99/99/9999 | 31421V206 | 10,412 | 1,010,874 | SH | SOLE | 956,762 | 0 | 54,112 | ||
FINTECH ACQUISITION CORP II | COM | 31810G109 | 4,816 | 491,467 | SH | SOLE | 437,125 | 0 | 54,342 | ||
FIRST POTOMAC RLTY TR | COM | 33610F109 | 3,652 | 327,784 | SH | SOLE | 306,784 | 0 | 21,000 | ||
FORESTAR GROUP INC | COM | 346233109 | 2,753 | 160,084 | SH | SOLE | 149,965 | 0 | 10,119 | ||
GORES HLDGS II INC | *W EXP 03/06/202 | 382867117 | 159 | 104,458 | SH | SOLE | 98,550 | 0 | 5,908 | ||
GORES HLDGS II INC | UNIT 99/99/9999 | 382867208 | 2,452 | 233,041 | SH | SOLE | 218,918 | 0 | 14,123 | ||
GORES HLDGS II INC | COM CL A | 382867109 | 6,754 | 677,445 | SH | SOLE | 641,016 | 0 | 36,429 | ||
GP INVTS ACQUISITION COR | *W EXP 05/19/202 | G40357108 | 33 | 74,100 | SH | SOLE | 66,263 | 0 | 7,837 | ||
GP INVTS ACQUISITION COR | SHS | G40357124 | 5,297 | 557,537 | SH | SOLE | 495,930 | 0 | 61,607 | ||
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 7,762 | 771,680 | SH | SOLE | 728,156 | 0 | 43,524 | ||
GTY TECHNOLOGY HOLDINGS INC | UNIT 99/99/9999 | G4182A110 | 303 | 28,969 | SH | SOLE | 25,774 | 0 | 3,195 | ||
GTY TECHNOLOGY HOLDINGS INC | *W EXP 99/99/999 | G4182A128 | 142 | 121,508 | SH | SOLE | 114,965 | 0 | 6,543 | ||
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 2,647 | 268,500 | SH | SOLE | 253,654 | 0 | 14,846 | ||
HENNESSY CAP ACQUSTON CORP I | UNIT 06/15/2024 | 42588L204 | 2,229 | 215,925 | SH | SOLE | 189,183 | 0 | 26,742 | ||
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 2,345 | 240,557 | SH | SOLE | 227,416 | 0 | 13,141 | ||
KAYNE ANDERSON ACQUISITION | UNIT 06/30/2022 | 48661U201 | 10,580 | 1,052,729 | SH | SOLE | 999,114 | 0 | 53,615 | ||
KITE PHARMA INC | COM | 49803L109 | 11,688 | 65,000 | SH | SOLE | 60,760 | 0 | 4,240 | ||
LANDCADIA HLDGS INC | CL A | 51476W107 | 4,075 | 406,700 | SH | SOLE | 382,809 | 0 | 23,891 | ||
LANDCADIA HLDGS INC | UNIT 12/31/2021T | 51476W206 | 1,610 | 149,900 | SH | SOLE | 139,900 | 0 | 10,000 | ||
LENNAR CORP | CL B | 526057302 | 3,149 | 69,853 | SH | SOLE | 68,679 | 0 | 1,174 | ||
LEVEL 3 COMMUNICATIONS INC | COM NEW | 52729N308 | 12,683 | 238,000 | SH | SOLE | 223,580 | 0 | 14,420 | ||
M III ACQUISITION CORP | COM | 55378T104 | 3,120 | 318,360 | SH | SOLE | 284,042 | 0 | 34,318 | ||
M III ACQUISITION CORP | *W EXP 10/10/202 | 55378T112 | 97 | 179,760 | SH | SOLE | 161,760 | 0 | 18,000 | ||
M III ACQUISITION CORP | UNIT 99/99/9999T | 55378T203 | 1,459 | 141,483 | SH | SOLE | 126,583 | 0 | 14,900 | ||
MATLIN & PARTNERS ACQUISITIO | CL A | 57682V106 | 2,450 | 250,000 | SH | SOLE | 239,157 | 0 | 10,843 | ||
MATLIN & PARTNERS ACQUISITIO | UNIT 05/28/2021A | 57682V205 | 7,975 | 785,733 | SH | SOLE | 735,498 | 0 | 50,235 | ||
MODERN MEDIA ACQUISITION | UNIT 99/99/9999 | 60765P202 | 1,973 | 190,250 | SH | SOLE | 167,364 | 0 | 22,886 | ||
NXP Semiconductors NV | COM | 053329578 | 12,440 | 110,000 | SH | SOLE | 102,420 | 0 | 7,580 | ||
NXStage Medical Inc. | COM | 67072v103 | 373 | 13,500 | SH | SOLE | 13,500 | 0 | 0 | ||
ORBITAL ATK INC | COM | 68557N103 | 8,655 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
PAREXEL INTL CORP | COM | 699462107 | 6,527 | 74,099 | SH | SOLE | 69,499 | 0 | 4,600 | ||
PENSARE ACQUISITION CORP | UNIT 07/27/2022 | 70957E204 | 6,049 | 585,561 | SH | SOLE | 551,159 | 0 | 34,402 | ||
RITE AID CORP | COM | 767754104 | 2,620 | 1,336,500 | SH | SOLE | 1,234,444 | 0 | 102,056 | ||
SABAN CAP ACQUISITION CORP | COM CL A | 78516C106 | 3,374 | 336,027 | SH | SOLE | 317,624 | 0 | 18,403 | ||
SABAN CAP ACQUISITION CORP | *W EXP 09/21/202 | 78516C114 | 45 | 38,545 | SH | SOLE | 36,604 | 0 | 1,941 | ||
SABAN CAP ACQUISITION CORP | UNIT 99/99/9999 | 78516C205 | 1,243 | 116,700 | SH | SOLE | 109,192 | 0 | 7,508 | ||
SCRIPPS NETWORKS INTERACT IN | CL A COM | 811065101 | 6,012 | 70,000 | SH | SOLE | 65,370 | 0 | 4,630 | ||
SILVER RUN ACQUISITION | COM CL A | 82812A103 | 5,640 | 554,072 | SH | SOLE | 507,315 | 0 | 46,757 | ||
SILVER RUN ACQUISITION | *W EXP 03/28/202 | 82812A111 | 510 | 335,776 | SH | SOLE | 302,592 | 0 | 33,184 | ||
SILVER RUN ACQUISITION | UNIT 99/99/9999 | 82812A202 | 4,791 | 446,928 | SH | SOLE | 446,928 | 0 | 0 | ||
SILVER SPRING NETWORKS INC | COM | 82817Q103 | 162 | 10,001 | SH | SOLE | 9,351 | 0 | 650 | ||
SOCIAL CAP HEDOSOPHIA HLDGS | CL A | G8250R103 | 133 | 13,200 | SH | SOLE | 0 | 0 | 13,200 | ||
SPARTON CORP | COM | 847235108 | 1,070 | 46,109 | SH | SOLE | 46,109 | 0 | 0 | ||
SPDR SER TR | BLOOMBERG SRT TR | 78468R408 | 4,307 | 153,900 | SH | SOLE | 0 | 0 | 153,900 | ||
STRAIGHT PATH COMMUNICATNS I | CL B | 862578101 | 8,011 | 44,343 | SH | SOLE | 42,343 | 0 | 2,000 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 251 | 4,251 | SH | SOLE | 4,251 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 12,294 | 120,000 | SH | SOLE | 112,200 | 0 | 7,800 | ||
TPG PACE ENERGY HLDGS CORP | CL A | 872656103 | 532 | 54,468 | SH | SOLE | 54,468 | 0 | 0 | ||
TPG PACE ENERGY HLDGS CORP | UNIT 99/99/9999 | 872656202 | 12,381 | 1,213,810 | SH | SOLE | 1,150,088 | 0 | 63,722 | ||
TPG PACE HLDGS CORP | UNIT 99/99/9999 | G89827102 | 10,904 | 1,059,696 | SH | SOLE | 1,000,580 | 0 | 59,116 | ||
TPG PACE HLDGS CORP | CL A | G89827128 | 1,546 | 157,301 | SH | SOLE | 147,301 | 0 | 10,000 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 13,688 | 335,000 | SH | SOLE | 310,710 | 0 | 24,290 | ||
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 3,859 | 393,733 | SH | SOLE | 370,058 | 0 | 23,675 | ||
VANTAGE ENERGY ACQUISITION | UNIT 04/12/2024 | 92211L204 | 7,589 | 746,172 | SH | SOLE | 705,328 | 0 | 40,844 | ||
VWR CORP | COM | 91843L103 | 2,447 | 73,891 | SH | SOLE | 69,141 | 0 | 4,750 |