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 |
| ACCURAY INC DEL | NOTE 3.750% 6/0 | 004397AK1 | 9,971,280 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| ADVANCED ENERGY INDS | NOTE 2.500% 9/1 | 007973AE0 | 12,672,340 | 12,000,000 | SH | SOLE | 12,000,000 | 0 | 0 | ||
| ALARM COM HLDGS INC | NOTE 1/1 | 011642AB1 | 8,386,320 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| ALPHATEC HLDGS INC | NOTE 0.750% 8/0 | 02081GAB8 | 3,155,487 | 3,512,000 | SH | SOLE | 3,512,000 | 0 | 0 | ||
| ALTAIR ENGR INC | NOTE 1.750% 6/1 | 021369AC7 | 11,451,470 | 8,041,000 | SH | SOLE | 8,041,000 | 0 | 0 | ||
| AXON ENTERPRISE INC | NOTE 0.500%12/1 | 05464CAB7 | 16,161,287 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| BANDWIDTH INC | NOTE 0.250% 3/0 | 05988JAB9 | 1,858,116 | 2,053,000 | SH | SOLE | 2,053,000 | 0 | 0 | ||
| BANDWIDTH INC | NOTE 0.500% 4/0 | 05988JAD5 | 6,077,860 | 7,840,000 | SH | SOLE | 7,840,000 | 0 | 0 | ||
| BENTLEY SYS INC | NOTE 0.375% 7/0 | 08265TAD1 | 11,508,919 | 12,500,000 | SH | SOLE | 12,500,000 | 0 | 0 | ||
| BOX INC | NOTE 1/1 | 10316TAB0 | 6,542,833 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| CSG SYS INTL INC | NOTE 3.875% 9/1 | 126349AH2 | 9,485,540 | 9,500,000 | SH | SOLE | 9,500,000 | 0 | 0 | ||
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 156431AQ1 | 4,603,548 | 4,150,000 | SH | SOLE | 4,150,000 | 0 | 0 | ||
| CHEFS WHSE INC | NOTE 2.375%12/1 | 163086AE1 | 8,194,930 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| CHEGG INC | NOTE 9/0 | 163092AF6 | 3,787,275 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| CLOUDFLARE INC | NOTE 8/1 | 18915MAC1 | 4,625,324 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| CONFLUENT INC | NOTE 1/1 | 20717MAB9 | 6,290,567 | 7,077,000 | SH | SOLE | 7,077,000 | 0 | 0 | ||
| CONMED CORP | NOTE 2.250% 6/1 | 207410AH4 | 10,172,191 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| CRACKER BARREL OLD CTRY STOR | NOTE 0.625% 6/1 | 22410JAB2 | 8,243,450 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| ARTIVION INC | NOTE 4.250% 7/0 | 228903AB6 | 7,415,263 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| CUTERA INC | NOTE 2.250% 6/0 | 232109AD0 | 224,204 | 1,500,000 | SH | SOLE | 1,500,000 | 0 | 0 | ||
| DIGITALOCEAN HLDGS INC | NOTE 12/0 | 25402DAB8 | 7,979,547 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| DROPBOX INC | NOTE 3/0 | 26210CAC8 | 11,134,630 | 11,500,000 | SH | SOLE | 11,500,000 | 0 | 0 | ||
| ENCORE CAP GROUP INC | NOTE 4.000% 3/1 | 292554AP7 | 10,354,420 | 10,250,000 | SH | SOLE | 10,250,000 | 0 | 0 | ||
| EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 30063PAB1 | 10,294,861 | 10,625,000 | SH | SOLE | 10,625,000 | 0 | 0 | ||
| FASTLY INC | NOTE 3/1 | 31188VAB6 | 3,760,519 | 4,093,000 | SH | SOLE | 4,093,000 | 0 | 0 | ||
| FIVERR INTL LTD | NOTE 11/0 | 33835LAA3 | 7,516,780 | 8,000,000 | SH | SOLE | 8,000,000 | 0 | 0 | ||
| FLUOR CORP | NOTE 1.125% 8/1 | 343412AJ1 | 15,582,293 | 12,747,000 | SH | SOLE | 12,747,000 | 0 | 0 | ||
| FRESHPET INC | NOTE 3.000% 4/0 | 358039AB1 | 4,607,017 | 2,210,000 | SH | SOLE | 2,210,000 | 0 | 0 | ||
| GOPRO INC | NOTE 1.250%11/1 | 38268TAD5 | 5,520,500 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 1,436,563 | 2,750,000 | SH | SOLE | 2,750,000 | 0 | 0 | ||
| GRANITE CONSTR INC | NOTE 3.750% 5/1 | 387328AD9 | 19,808,537 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| GREEN PLAINS INC | NOTE 2.250% 3/1 | 393222AK0 | 7,832,920 | 9,112,000 | SH | SOLE | 9,112,000 | 0 | 0 | ||
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 393657AM3 | 12,648,609 | 11,520,000 | SH | SOLE | 11,520,000 | 0 | 0 | ||
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 40637HAF6 | 13,099,644 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| IMAX CORP | NOTE 0.500% 4/0 | 45245EAJ8 | 10,030,646 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| IMPINJ INC | NOTE 1.125% 5/1 | 453204AD1 | 13,960,088 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| INOTIV INC | NOTE 3.250%10/1 | 45783QAB6 | 511,100 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 45826HAB5 | 20,513,800 | 13,000,000 | SH | SOLE | 13,000,000 | 0 | 0 | ||
| INTERDIGITAL INC | NOTE 3.500% 6/0 | 45867GAD3 | 12,664,709 | 6,830,000 | SH | SOLE | 6,830,000 | 0 | 0 | ||
| ITRON INC | NOTE 3/1 | 465741AN6 | 10,715,033 | 10,250,000 | SH | SOLE | 10,250,000 | 0 | 0 | ||
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 472145AF8 | 5,976,422 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| JOHN BEAN TECHNOLOGIES CORP | NOTE 0.250% 5/1 | 477839AB0 | 9,413,033 | 10,031,000 | SH | SOLE | 10,031,000 | 0 | 0 | ||
| LCI INDS | NOTE 1.125% 5/1 | 501812AB7 | 6,470,420 | 6,382,000 | SH | SOLE | 6,382,000 | 0 | 0 | ||
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 516544AB9 | 16,433,457 | 10,579,000 | SH | SOLE | 10,579,000 | 0 | 0 | ||
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 538034BA6 | 12,319,620 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 55024UAD1 | 10,794,549 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| LUMENTUM HLDGS INC | NOTE 0.500% 6/1 | 55024UAF6 | 2,605,347 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 55303JAB2 | 6,405,889 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| MAGNITE INC | NOTE 0.250% 3/1 | 55955DAB6 | 6,920,005 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| MANNKIND CORP | NOTE 2.500% 3/0 | 56400PAQ5 | 5,331,642 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
| MESA LABS INC | NOTE 1.375% 8/1 | 59064RAA7 | 7,694,931 | 7,982,000 | SH | SOLE | 7,982,000 | 0 | 0 | ||
| MITEK SYS INC | NOTE 0.750% 2/0 | 606710AA9 | 5,347,726 | 5,682,000 | SH | SOLE | 5,682,000 | 0 | 0 | ||
| NCL CORP LTD | NOTE 1.125% 2/1 | 62886HBD2 | 5,997,657 | 6,203,000 | SH | SOLE | 6,203,000 | 0 | 0 | ||
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 682189AU9 | 9,934,842 | 9,836,000 | SH | SOLE | 9,836,000 | 0 | 0 | ||
| ORMAT TECHNOLOGIES INC | NOTE 2.500% 7/1 | 686688AB8 | 13,535,164 | 13,000,000 | SH | SOLE | 13,000,000 | 0 | 0 | ||
| PATRICK INDS INC | NOTE 1.750%12/0 | 703343AG8 | 16,599,714 | 10,949,000 | SH | SOLE | 10,949,000 | 0 | 0 | ||
| POST HLDGS INC | NOTE 2.500% 8/1 | 737446AT1 | 8,916,008 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| PROGRESS SOFTWARE CORP | NOTE 1.000% 4/1 | 743312AB6 | 6,606,029 | 5,350,000 | SH | SOLE | 5,350,000 | 0 | 0 | ||
| PROS HOLDINGS INC | NOTE 2.250% 9/1 | 74346YAG8 | 8,073,265 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| Q2 HLDGS INC | NOTE 0.750% 6/0 | 74736LAD1 | 3,255,268 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
| Q2 HLDGS INC | NOTE 0.125%11/1 | 74736LAF6 | 5,257,818 | 5,500,000 | SH | SOLE | 5,500,000 | 0 | 0 | ||
| RAPID7 INC | NOTE 0.250% 3/1 | 753422AF1 | 6,389,688 | 6,994,000 | SH | SOLE | 6,994,000 | 0 | 0 | ||
| REDFIN CORP | NOTE 0.500% 4/0 | 75737FAE8 | 3,605,943 | 4,925,000 | SH | SOLE | 4,925,000 | 0 | 0 | ||
| SSR MINING IN | NOTE 2.500% 4/0 | 784730AB9 | 5,665,455 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| SEMTECH CORP | NOTE 1.625%11/0 | 816850AF8 | 11,327,910 | 8,000,000 | SH | SOLE | 8,000,000 | 0 | 0 | ||
| PENGUIN SOLUTIONS INC | NOTE 2.250% 2/1 | 83205YAB0 | 7,145,043 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| TETRA TECH INC NEW | DBCV 2.250% 8/1 | 88162GAB9 | 17,033,062 | 13,000,000 | SH | SOLE | 13,000,000 | 0 | 0 | ||
| UPWORK INC | NOTE 0.250% 8/1 | 91688FAB0 | 9,020,247 | 9,890,000 | SH | SOLE | 9,890,000 | 0 | 0 | ||
| VEECO INSTRS INC DEL | NOTE 2.875% 6/0 | 922417AJ9 | 10,160,441 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| VERINT SYSTEMS INC | NOTE 0.250% 4/1 | 92343XAC4 | 7,896,977 | 8,495,000 | SH | SOLE | 8,495,000 | 0 | 0 | ||
| VERITONE INC | NOTE 1.750%11/1 | 92347MAB6 | 690,965 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
| VISHAY INTERTECHNOLOGY INC | NOTE 2.250% 9/1 | 928298AR9 | 10,035,160 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| WAYFAIR INC | NOTE 3.250% 9/1 | 94419LAP6 | 6,021,806 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| WOLFSPEED INC | NOTE 0.250% 2/1 | 977852AB8 | 1,185,199 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
| WORKIVA INC | NOTE 1.125% 8/1 | 98139AAB1 | 10,415,411 | 9,175,000 | SH | SOLE | 9,175,000 | 0 | 0 | ||
| WORKIVA INC | NOTE 1.250% 8/1 | 98139AAD7 | 4,743,690 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| XOMETRY INC | NOTE 1.000% 2/0 | 98423FAB5 | 8,551,332 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| UNIFIED SER TR | ABSLUTE SELCT VL | 90470L568 | 1,179,180 | 36,000 | SH | SOLE | 36,000 | 0 | 0 | ||
| ADVENT CONV & INCOME FD | RIGHT 10/17/2024 | 00764C117 | 12,246 | 615,360 | SH | SOLE | 615,360 | 0 | 0 | ||
| BNY MELLON ALCENTRA GLOBAL C | COM | 05588N108 | 171,069 | 18,635 | SH | SOLE | 18,635 | 0 | 0 | ||
| BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 417,540 | 34,536 | SH | SOLE | 34,536 | 0 | 0 | ||
| BLACKROCK HEALTH SCIENCES TE | COM SHS | 09260E105 | 4,332,303 | 273,504 | SH | SOLE | 273,504 | 0 | 0 | ||
| BLACKROCK SCIENCE & TECHNOLO | SHS BEN INT | 09260K101 | 464,390 | 24,187 | SH | SOLE | 24,187 | 0 | 0 | ||
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 09260Q108 | 7,587,931 | 1,005,024 | SH | SOLE | 1,005,024 | 0 | 0 | ||
| BLACKROCK MUNICIPAL INCOME | COM | 09253X102 | 6,321,450 | 502,500 | SH | SOLE | 502,500 | 0 | 0 | ||
| CORNERSTONE STRATEGIC INVEST | COM | 21924B302 | 9,734,814 | 1,267,554 | SH | SOLE | 1,267,554 | 0 | 0 | ||
| DWS STRATEGIC MUN INCOME TR | COM | 23342Q101 | 1,053,004 | 103,337 | SH | SOLE | 103,337 | 0 | 0 | ||
| DESTRA MULTI-ALTERNATIVE FD | COMMON SHARES | 25065A502 | 5,625,174 | 648,809 | SH | SOLE | 648,809 | 0 | 0 | ||
| EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 206,819 | 21,432 | SH | SOLE | 21,432 | 0 | 0 | ||
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 1,377,468 | 138,300 | SH | SOLE | 138,300 | 0 | 0 | ||
| FEDERATED HERMES PREM MUNI I | COM | 31423P108 | 2,552,310 | 205,500 | SH | SOLE | 205,500 | 0 | 0 | ||
| GABELLI HLTHCARE & WELLNESS | SHS | 36246K103 | 489,980 | 44,747 | SH | SOLE | 44,747 | 0 | 0 | ||
| GABELLI MULTIMEDIA TR INC | COM | 36239Q109 | 4,448,556 | 902,344 | SH | SOLE | 902,344 | 0 | 0 | ||
| GABELLI UTIL TR | RIGHT 10/21/2024 | 36240A184 | 96,261 | 3,500,400 | SH | SOLE | 3,500,400 | 0 | 0 | ||
| GAMCO NAT RES GOLD & INCOME | SH BEN INT | 36465E101 | 252,475 | 43,011 | SH | SOLE | 43,011 | 0 | 0 | ||
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 1,120,906 | 495,976 | SH | SOLE | 495,976 | 0 | 0 | ||
| HIGH INCOME SECS FD | SHS BEN INT | 42968F108 | 885,004 | 129,576 | SH | SOLE | 129,576 | 0 | 0 | ||
| INDIA FD INC | COM | 454089103 | 1,827,061 | 96,060 | SH | SOLE | 96,060 | 0 | 0 | ||
| INVESCO ADVANTAGE MUN INCOME | SH BEN INT | 46132E103 | 620,977 | 66,700 | SH | SOLE | 66,700 | 0 | 0 | ||
| INVESCO HIGH INCOME 2024 TAR | COM | 46136K105 | 480,153 | 63,178 | SH | SOLE | 63,178 | 0 | 0 | ||
| INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 602,849 | 58,700 | SH | SOLE | 58,700 | 0 | 0 | ||
| INVESCO MUNICIPAL TRUST | COM | 46131J103 | 602,262 | 58,700 | SH | SOLE | 58,700 | 0 | 0 | ||
| INVESCO QUALITY MUN INCOME T | COM | 46133G107 | 614,916 | 58,900 | SH | SOLE | 58,900 | 0 | 0 | ||
| INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 917,664 | 86,900 | SH | SOLE | 86,900 | 0 | 0 | ||
| INVESCO VALUE MUN INCOME TR | COM | 46132P108 | 842,352 | 65,400 | SH | SOLE | 65,400 | 0 | 0 | ||
| MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 600379101 | 6,357,682 | 521,549 | SH | SOLE | 521,549 | 0 | 0 | ||
| NYLI CBRE GBL INFR MEGTRNDS | COM | 56064Q107 | 1,754,296 | 117,659 | SH | SOLE | 117,659 | 0 | 0 | ||
| NUVEEN NEW YORK QLT MUN INC | COM | 67066X107 | 318,330 | 27,000 | SH | SOLE | 27,000 | 0 | 0 | ||
| NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 810,890 | 65,500 | SH | SOLE | 65,500 | 0 | 0 | ||
| RIVERNORTH CAP AND INCM FD I | COM | 76882B108 | 540,697 | 35,133 | SH | SOLE | 35,133 | 0 | 0 | ||
| RIVERNORTH MANAGED DUR MUN I | COM | 76882M104 | 210,539 | 12,877 | SH | SOLE | 12,877 | 0 | 0 | ||
| TORTOISE ENERGY INDEPENDENC | COM | 89148K200 | 336,213 | 8,929 | SH | SOLE | 8,929 | 0 | 0 | ||
| TORTOISE PIPELINE & ENERGY F | COM | 89148H207 | 281,516 | 6,671 | SH | SOLE | 6,671 | 0 | 0 | ||
| TORTOISE CAPITAL SERIES TRUS | POWER ENRGY INFR | 890930100 | 859,736 | 47,473 | SH | SOLE | 47,473 | 0 | 0 | ||
| TORTOISE SUSTAINABLE & SOCIA | COM SH BEN INT | 27901F109 | 450,147 | 34,494 | SH | SOLE | 34,494 | 0 | 0 | ||
| VIRTUS TOTAL RETURN FD INC | COM | 92835W107 | 3,454,900 | 557,242 | SH | SOLE | 557,242 | 0 | 0 | ||
| WESTERN ASSET INVT GRADE OPP | COM | 95790A101 | 548,892 | 30,494 | SH | SOLE | 30,494 | 0 | 0 | ||
| ABRDN HEALTHCARE INVESTORS | SH BEN INT | 87911J103 | 4,263,161 | 228,956 | SH | SOLE | 228,956 | 0 | 0 | ||
| ABRDN INCOME CREDIT STRATEGI | COM | 003057106 | 4,356,788 | 658,125 | SH | SOLE | 658,125 | 0 | 0 | ||
| ABRDN LIFE SCIENCES INVESTOR | SH BEN INT | 87911K100 | 8,164,357 | 541,403 | SH | SOLE | 541,403 | 0 | 0 | ||
| ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 00326L100 | 314,860 | 34,600 | SH | SOLE | 34,600 | 0 | 0 | ||
