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 | 9,794,869 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| ALARM COM HLDGS INC | NOTE 1/1 | 011642AB1 | 8,247,570 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| VERADIGM INC | NOTE 0.875% 1/0 | 01988PAF5 | 7,781,250 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| ALTAIR ENGR INC | NOTE 1.750% 6/1 | 021369AC7 | 11,735,598 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| AXON ENTERPRISE INC | NOTE 0.500%12/1 | 05464CAB7 | 15,195,893 | 10,500,000 | SH | SOLE | 10,500,000 | 0 | 0 | ||
| BANDWIDTH INC | NOTE 0.250% 3/0 | 05988JAB9 | 3,504,851 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
| BANDWIDTH INC | NOTE 0.500% 4/0 | 05988JAD5 | 5,180,147 | 7,240,000 | SH | SOLE | 7,240,000 | 0 | 0 | ||
| BENTLEY SYS INC | NOTE 0.375% 7/0 | 08265TAD1 | 11,388,002 | 12,824,000 | SH | SOLE | 12,824,000 | 0 | 0 | ||
| BLACKLINE INC | NOTE 3/1 | 09239BAD1 | 4,523,273 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| BOX INC | NOTE 1/1 | 10316TAB0 | 8,446,881 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 156431AQ1 | 2,443,659 | 2,395,000 | SH | SOLE | 2,395,000 | 0 | 0 | ||
| CHEFS WHSE INC | NOTE 2.375%12/1 | 163086AE1 | 5,411,557 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| CHEGG INC | NOTE 9/0 | 163092AF6 | 4,173,470 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| CONFLUENT INC | NOTE 1/1 | 20717MAB9 | 5,979,151 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| CONMED CORP | NOTE 2.250% 6/1 | 207410AH4 | 10,023,032 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| CRACKER BARREL OLD CTRY STOR | NOTE 0.625% 6/1 | 22410JAB2 | 9,949,177 | 11,339,000 | SH | SOLE | 11,339,000 | 0 | 0 | ||
| ARTIVION INC | NOTE 4.250% 7/0 | 228903AB6 | 6,763,097 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| CUTERA INC | NOTE 2.250% 6/0 | 232109AD0 | 677,050 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
| DIGITALOCEAN HLDGS INC | NOTE 12/0 | 25402DAB8 | 7,544,108 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| DROPBOX INC | NOTE 3/0 | 26210CAC8 | 9,475,957 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| ENVESTNET INC | NOTE 2.625%12/0 | 29404KAG1 | 11,560,318 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 30063PAB1 | 8,750,686 | 9,095,000 | SH | SOLE | 9,095,000 | 0 | 0 | ||
| FARO TECHNOLOGIES INC | NOTE 5.500% 2/0 | 311642AB8 | 1,277,659 | 1,500,000 | SH | SOLE | 1,500,000 | 0 | 0 | ||
| FASTLY INC | NOTE 3/1 | 31188VAB6 | 7,800,683 | 8,593,000 | SH | SOLE | 8,593,000 | 0 | 0 | ||
| FIVERR INTL LTD | NOTE 11/0 | 33835LAA3 | 5,399,292 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| GOPRO INC | NOTE 1.250%11/1 | 38268TAD5 | 5,469,240 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 1,448,464 | 3,750,000 | SH | SOLE | 3,750,000 | 0 | 0 | ||
| GREEN PLAINS INC | NOTE 2.250% 3/1 | 393222AK0 | 9,211,301 | 9,112,000 | SH | SOLE | 9,112,000 | 0 | 0 | ||
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 393657AM3 | 10,940,995 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 40637HAF6 | 10,788,783 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| IMAX CORP | NOTE 0.500% 4/0 | 45245EAJ8 | 10,765,935 | 11,595,000 | SH | SOLE | 11,595,000 | 0 | 0 | ||
| IMPINJ INC | NOTE 1.125% 5/1 | 453204AD1 | 12,124,245 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| INFINERA CORP | NOTE 2.500% 3/0 | 45667GAE3 | 15,339,443 | 14,250,000 | SH | SOLE | 14,250,000 | 0 | 0 | ||
| INSMED INC | NOTE 0.750% 6/0 | 457669AB5 | 5,318,723 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| INOTIV INC | NOTE 3.250%10/1 | 45783QAB6 | 1,695,050 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 45826HAB5 | 18,673,275 | 13,000,000 | SH | SOLE | 13,000,000 | 0 | 0 | ||
| INTERDIGITAL INC | NOTE 3.500% 6/0 | 45867GAD3 | 9,141,942 | 6,830,000 | SH | SOLE | 6,830,000 | 0 | 0 | ||
| ITRON INC | NOTE 3/1 | 465741AN6 | 10,220,042 | 10,250,000 | SH | SOLE | 10,250,000 | 0 | 0 | ||
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 472145AF8 | 5,924,014 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| JOHN BEAN TECHNOLOGIES CORP | NOTE 0.250% 5/1 | 477839AB0 | 9,222,770 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| LCI INDS | NOTE 1.125% 5/1 | 501812AB7 | 8,194,305 | 8,382,000 | SH | SOLE | 8,382,000 | 0 | 0 | ||
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 516544AB9 | 10,415,973 | 9,530,000 | SH | SOLE | 9,530,000 | 0 | 0 | ||
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 538034BA6 | 9,499,570 | 8,000,000 | SH | SOLE | 8,000,000 | 0 | 0 | ||
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 55024UAD1 | 8,471,111 | 9,600,000 | SH | SOLE | 9,600,000 | 0 | 0 | ||
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 55303JAB2 | 6,429,543 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| MAGNITE INC | NOTE 0.250% 3/1 | 55955DAB6 | 6,582,850 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| MANNKIND CORP | NOTE 2.500% 3/0 | 56400PAQ5 | 6,579,000 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| MESA LABS INC | NOTE 1.375% 8/1 | 59064RAA7 | 7,513,192 | 7,982,000 | SH | SOLE | 7,982,000 | 0 | 0 | ||
| MITEK SYS INC | NOTE 0.750% 2/0 | 606710AA9 | 5,717,889 | 5,682,000 | SH | SOLE | 5,682,000 | 0 | 0 | ||
| MODEL N INC | NOTE 2.625% 6/0 | 607525AB8 | 7,426,715 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| NCL CORP LTD | NOTE 1.125% 2/1 | 62886HBD2 | 7,716,346 | 8,175,000 | SH | SOLE | 8,175,000 | 0 | 0 | ||
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 665531AJ8 | 6,082,921 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 682189AU9 | 7,420,080 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| ORMAT TECHNOLOGIES INC | NOTE 2.500% 7/1 | 686688AB8 | 11,516,828 | 12,000,000 | SH | SOLE | 12,000,000 | 0 | 0 | ||
| PATRICK INDS INC | NOTE 1.750%12/0 | 703343AG8 | 14,085,386 | 10,949,000 | SH | SOLE | 10,949,000 | 0 | 0 | ||
| PEABODY ENGR CORP | NOTE 3.250% 3/0 | 704551AD2 | 9,820,986 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| PERFICIENT INC | NOTE 0.125%11/1 | 71375UAF8 | 11,410,441 | 13,250,000 | SH | SOLE | 13,250,000 | 0 | 0 | ||
| PETIQ INC | NOTE 4.000% 6/0 | 71639TAB2 | 10,054,242 | 10,157,000 | SH | SOLE | 10,157,000 | 0 | 0 | ||
| POST HLDGS INC | NOTE 2.500% 8/1 | 737446AT1 | 5,593,085 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| PROGRESS SOFTWARE CORP | NOTE 1.000% 4/1 | 743312AB6 | 10,675,457 | 10,350,000 | SH | SOLE | 10,350,000 | 0 | 0 | ||
| PROS HOLDINGS INC | NOTE 2.250% 9/1 | 74346YAG8 | 11,987,920 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| Q2 HLDGS INC | NOTE 0.750% 6/0 | 74736LAD1 | 3,758,835 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
| Q2 HLDGS INC | NOTE 0.125%11/1 | 74736LAF6 | 5,082,295 | 5,500,000 | SH | SOLE | 5,500,000 | 0 | 0 | ||
| RAPID7 INC | NOTE 0.250% 3/1 | 753422AF1 | 6,098,098 | 6,956,000 | SH | SOLE | 6,956,000 | 0 | 0 | ||
| REDFIN CORP | NOTE 0.500% 4/0 | 75737FAE8 | 2,064,443 | 3,750,000 | SH | SOLE | 3,750,000 | 0 | 0 | ||
| REPLIGEN CORP | NOTE 1.000%12/1 | 759916AC3 | 6,711,719 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| SSR MINING IN | NOTE 2.500% 4/0 | 784730AB9 | 8,061,306 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| SEMTECH CORP | NOTE 1.625%11/0 | 816850AF8 | 8,201,929 | 8,000,000 | SH | SOLE | 8,000,000 | 0 | 0 | ||
| SMART GLOBAL HLDGS INC | NOTE 2.250% 2/1 | 83205YAB0 | 9,720,491 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| STRIDE INC | NOTE 1.125% 9/0 | 86333MAA6 | 11,216,590 | 8,502,000 | SH | SOLE | 8,502,000 | 0 | 0 | ||
| TECHTARGET INC | NOTE 12/1 | 87874RAD2 | 5,220,930 | 5,500,000 | SH | SOLE | 5,500,000 | 0 | 0 | ||
| UPWORK INC | NOTE 0.250% 8/1 | 91688FAB0 | 8,662,775 | 9,890,000 | SH | SOLE | 9,890,000 | 0 | 0 | ||
| VAREX IMAGING CORP | NOTE 4.000% 6/0 | 92214XAB2 | 5,506,697 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| VERINT SYSTEMS INC | NOTE 0.250% 4/1 | 92343XAC4 | 7,924,193 | 8,495,000 | SH | SOLE | 8,495,000 | 0 | 0 | ||
| VERITONE INC | NOTE 1.750%11/1 | 92347MAB6 | 2,470,546 | 6,500,000 | SH | SOLE | 6,500,000 | 0 | 0 | ||
| WAYFAIR INC | NOTE 3.250% 9/1 | 94419LAP6 | 6,456,898 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| WINNEBAGO INDS INC | NOTE 1.500% 4/0 | 974637AB6 | 6,132,465 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| WOLFSPEED INC | NOTE 0.250% 2/1 | 977852AB8 | 4,099,001 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| WORKIVA INC | NOTE 1.125% 8/1 | 98139AAB1 | 11,012,253 | 9,175,000 | SH | SOLE | 9,175,000 | 0 | 0 | ||
| XOMETRY INC | NOTE 1.000% 2/0 | 98423FAB5 | 8,016,039 | 10,500,000 | SH | SOLE | 10,500,000 | 0 | 0 | ||
| ABRDN GLOBAL INFRA INCOME FU | COM SHS BEN INT | 00326W106 | 745,500 | 42,000 | SH | SOLE | 42,000 | 0 | 0 | ||
| UNIFIED SER TR | ABSLUTE SELCT VL | 90470L568 | 1,094,810 | 36,000 | SH | SOLE | 36,000 | 0 | 0 | ||
| BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 408,216 | 34,536 | SH | SOLE | 34,536 | 0 | 0 | ||
| BLACKROCK CAP ALLOCATION TER | COM | 09260U109 | 1,745,452 | 104,769 | SH | SOLE | 104,769 | 0 | 0 | ||
| BLACKROCK ESG CAP ALLC TERM | SHS BEN INT | 09262F100 | 1,744,680 | 100,500 | SH | SOLE | 100,500 | 0 | 0 | ||
| BLACKROCK HEALTH SCIENCES TE | COM SHS | 09260E105 | 887,076 | 54,123 | SH | SOLE | 54,123 | 0 | 0 | ||
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 09260Q108 | 1,781,032 | 218,800 | SH | SOLE | 218,800 | 0 | 0 | ||
| CBRE GBL REAL ESTATE INC FD | COM | 12504G100 | 2,388,252 | 443,913 | SH | SOLE | 443,913 | 0 | 0 | ||
| CLEARBRIDGE ENERGY MIDSTRM O | COM | 18469P209 | 2,099,334 | 51,695 | SH | SOLE | 51,695 | 0 | 0 | ||
| CLEARBRIDGE MLP AND MIDSTRM | COM | 184692200 | 1,045,295 | 22,833 | SH | SOLE | 22,833 | 0 | 0 | ||
| CLEARBRIDGE MLP AND MIDSTRM | COM | 18469Q207 | 3,926,123 | 94,651 | SH | SOLE | 94,651 | 0 | 0 | ||
| CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 9,168,334 | 1,219,193 | SH | SOLE | 1,219,193 | 0 | 0 | ||
| DESTRA MULTI-ALTERNATIVE FD | COMMON SHARES | 25065A502 | 4,399,884 | 562,645 | SH | SOLE | 562,645 | 0 | 0 | ||
| EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 405,396 | 42,899 | SH | SOLE | 42,899 | 0 | 0 | ||
| EATON VANCE MUN BD FD | COM | 27827X101 | 903,317 | 87,277 | SH | SOLE | 87,277 | 0 | 0 | ||
| EATON VANCE MUNI INCOME TRUS | SH BEN INT | 27826U108 | 103,525 | 10,100 | SH | SOLE | 10,100 | 0 | 0 | ||
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 1,342,893 | 138,300 | SH | SOLE | 138,300 | 0 | 0 | ||
| FIRST TR ENERGY INCOME & GRO | COM | 33738G104 | 4,505,248 | 275,719 | SH | SOLE | 275,719 | 0 | 0 | ||
| FIRST TR ENERGY INFRASTRCTR | COM | 33738C103 | 5,171,242 | 284,760 | SH | SOLE | 284,760 | 0 | 0 | ||
| FIRST TR HIGH INCOME LONG / | COM | 33738E109 | 5,987,846 | 501,915 | SH | SOLE | 501,915 | 0 | 0 | ||
| FIRST TR MLP & ENERGY INCOM | COM | 33739B104 | 8,819,388 | 912,036 | SH | SOLE | 912,036 | 0 | 0 | ||
| FST TR NEW OPPORT MLP & ENE | COM | 33739M100 | 2,221,844 | 290,058 | SH | SOLE | 290,058 | 0 | 0 | ||
| FIRST TR ABRDN GBL OPP INCM | COM SHS | 337319107 | 1,524,909 | 231,222 | SH | SOLE | 231,222 | 0 | 0 | ||
| FRANKLIN LTD DURATION INCOME | COM | 35472T101 | 812,849 | 129,641 | SH | SOLE | 129,641 | 0 | 0 | ||
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 841,934 | 325,071 | SH | SOLE | 325,071 | 0 | 0 | ||
| INVESCO VALUE MUN INCOME TR | COM | 46132P108 | 201,600 | 16,800 | SH | SOLE | 16,800 | 0 | 0 | ||
| HANCOCK JOHN INVT TR | TAX ADV GLB SH | 41013P749 | 1,504,188 | 287,333 | SH | SOLE | 287,333 | 0 | 0 | ||
| KKR INCOME OPPORTUNITIES FD | COM | 48249T106 | 3,688,919 | 272,446 | SH | SOLE | 272,446 | 0 | 0 | ||
| MFS SPL VALUE TR | SH BEN INT | 55274E102 | 648,588 | 145,750 | SH | SOLE | 145,750 | 0 | 0 | ||
| NXG NEXTGEN INFRASTR INCM FD | COM | 231647207 | 711,010 | 18,292 | SH | SOLE | 18,292 | 0 | 0 | ||
| MAINSTAY CBRE GBL INFRA MEG | COM | 56064Q107 | 1,047,873 | 83,363 | SH | SOLE | 83,363 | 0 | 0 | ||
| NEUBERGER BERMAN HIGH YIELD | COM | 64128C106 | 2,391,668 | 296,733 | SH | SOLE | 296,733 | 0 | 0 | ||
| NUVEEN MULTI ASSET INCOME FU | COM | 670750108 | 2,098,392 | 168,681 | SH | SOLE | 168,681 | 0 | 0 | ||
| NUVEEN MUN CR OPPORTUNITIES | COM | 670663103 | 193,431 | 18,300 | SH | SOLE | 18,300 | 0 | 0 | ||
| PIONEER FLOATING RATE FUND I | COM | 72369J102 | 1,330,458 | 137,444 | SH | SOLE | 137,444 | 0 | 0 | ||
| RIVERNORTH MANAGED DUR MUN I | COM | 76882M104 | 209,287 | 12,975 | SH | SOLE | 12,975 | 0 | 0 | ||
| RIVERNORTH OPPORTUNITIES FD | COM | 76881Y109 | 1,528,550 | 126,956 | SH | SOLE | 126,956 | 0 | 0 | ||
| RIVERNORTH FLEXIBLE MUNI INC | COM | 76883Y107 | 934,033 | 66,574 | SH | SOLE | 66,574 | 0 | 0 | ||
| SABA CAPITAL INCOME & OPRNT | SHS NEW | 78518H202 | 317,356 | 43,533 | SH | SOLE | 43,533 | 0 | 0 | ||
| TORTOISE PIPELINE & ENERGY F | COM | 89148H207 | 290,462 | 9,186 | SH | SOLE | 9,186 | 0 | 0 | ||
| ECOFIN SUSTAINABLE AND SOCIA | COM SH BEN INT | 27901F109 | 375,227 | 31,772 | SH | SOLE | 31,772 | 0 | 0 | ||
| VIRTUS TOTAL RETURN FD INC | COM | 92835W107 | 4,674,856 | 839,292 | SH | SOLE | 839,292 | 0 | 0 | ||
| WESTERN ASSET HIGH INCOM FD | COM | 95766J102 | 827,004 | 185,012 | SH | SOLE | 185,012 | 0 | 0 | ||
| ABRDN HEALTHCARE INVESTORS | SH BEN INT | 87911J103 | 8,525,562 | 505,668 | SH | SOLE | 505,668 | 0 | 0 | ||
| ABRDN LIFE SCIENCES INVESTOR | SH BEN INT | 87911K100 | 8,156,301 | 598,408 | SH | SOLE | 598,408 | 0 | 0 | ||
