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 | 9,423,936 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| ALARM COM HLDGS INC | NOTE 1/1 | 011642AB1 | 8,222,883 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| ALTAIR ENGR INC | NOTE 1.750% 6/1 | 021369AC7 | 11,633,920 | 8,000,000 | SH | SOLE | 8,000,000 | 0 | 0 | ||
| AXON ENTERPRISE INC | NOTE 0.500%12/1 | 05464CAB7 | 14,447,105 | 10,500,000 | SH | SOLE | 10,500,000 | 0 | 0 | ||
| BANDWIDTH INC | NOTE 0.250% 3/0 | 05988JAB9 | 1,841,282 | 2,053,000 | SH | SOLE | 2,053,000 | 0 | 0 | ||
| BANDWIDTH INC | NOTE 0.500% 4/0 | 05988JAD5 | 5,443,331 | 7,240,000 | SH | SOLE | 7,240,000 | 0 | 0 | ||
| BENTLEY SYS INC | NOTE 0.375% 7/0 | 08265TAD1 | 11,457,542 | 12,824,000 | SH | SOLE | 12,824,000 | 0 | 0 | ||
| BOX INC | NOTE 1/1 | 10316TAB0 | 8,054,475 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| CENTURY ALUM CO | NOTE 2.750% 5/0 | 156431AQ1 | 2,650,786 | 2,395,000 | SH | SOLE | 2,395,000 | 0 | 0 | ||
| CHEFS WHSE INC | NOTE 2.375%12/1 | 163086AE1 | 7,771,045 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| CHEGG INC | NOTE 9/0 | 163092AF6 | 3,975,510 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| CONFLUENT INC | NOTE 1/1 | 20717MAB9 | 6,111,634 | 7,077,000 | SH | SOLE | 7,077,000 | 0 | 0 | ||
| CONMED CORP | NOTE 2.250% 6/1 | 207410AH4 | 9,849,499 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| CRACKER BARREL OLD CTRY STOR | NOTE 0.625% 6/1 | 22410JAB2 | 9,144,821 | 10,339,000 | SH | SOLE | 10,339,000 | 0 | 0 | ||
| ARTIVION INC | NOTE 4.250% 7/0 | 228903AB6 | 7,260,000 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| CUTERA INC | NOTE 2.250% 6/0 | 232109AD0 | 579,450 | 3,000,000 | SH | SOLE | 3,000,000 | 0 | 0 | ||
| DIGITALOCEAN HLDGS INC | NOTE 12/0 | 25402DAB8 | 7,577,385 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| DROPBOX INC | NOTE 3/0 | 26210CAC8 | 9,337,963 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| ENCORE CAP GROUP INC | NOTE 4.000% 3/1 | 292554AP7 | 9,492,072 | 10,250,000 | SH | SOLE | 10,250,000 | 0 | 0 | ||
| ENVESTNET INC | NOTE 2.625%12/0 | 29404KAG1 | 11,792,700 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 30063PAB1 | 9,163,060 | 10,595,000 | SH | SOLE | 10,595,000 | 0 | 0 | ||
| FASTLY INC | NOTE 3/1 | 31188VAB6 | 7,754,970 | 8,593,000 | SH | SOLE | 8,593,000 | 0 | 0 | ||
| FIVERR INTL LTD | NOTE 11/0 | 33835LAA3 | 5,522,459 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| GOPRO INC | NOTE 1.250%11/1 | 38268TAD5 | 5,522,250 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| GOSSAMER BIO INC | NOTE 5.000% 6/0 | 38341PAA0 | 1,750,509 | 3,750,000 | SH | SOLE | 3,750,000 | 0 | 0 | ||
| GREEN PLAINS INC | NOTE 2.250% 3/1 | 393222AK0 | 8,069,053 | 9,112,000 | SH | SOLE | 9,112,000 | 0 | 0 | ||
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 393657AM3 | 10,741,846 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| GUESS INC | NOTE 3.750% 4/1 | 401617AF2 | 7,389,126 | 6,750,000 | SH | SOLE | 6,750,000 | 0 | 0 | ||
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 40637HAF6 | 12,232,280 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| IMAX CORP | NOTE 0.500% 4/0 | 45245EAJ8 | 10,822,050 | 11,595,000 | SH | SOLE | 11,595,000 | 0 | 0 | ||
| IMPINJ INC | NOTE 1.125% 5/1 | 453204AD1 | 13,930,200 | 9,000,000 | SH | SOLE | 9,000,000 | 0 | 0 | ||
| INFINERA CORP | NOTE 2.500% 3/0 | 45667GAE3 | 14,543,122 | 14,250,000 | SH | SOLE | 14,250,000 | 0 | 0 | ||
| INOTIV INC | NOTE 3.250%10/1 | 45783QAB6 | 795,600 | 2,000,000 | SH | SOLE | 2,000,000 | 0 | 0 | ||
| INTEGER HLDGS CORP | NOTE 2.125% 2/1 | 45826HAB5 | 18,576,805 | 13,000,000 | SH | SOLE | 13,000,000 | 0 | 0 | ||
| INTERDIGITAL INC | NOTE 3.500% 6/0 | 45867GAD3 | 10,589,321 | 6,830,000 | SH | SOLE | 6,830,000 | 0 | 0 | ||
| ITRON INC | NOTE 3/1 | 465741AN6 | 10,298,263 | 10,250,000 | SH | SOLE | 10,250,000 | 0 | 0 | ||
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 472145AF8 | 5,780,415 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| JOHN BEAN TECHNOLOGIES CORP | NOTE 0.250% 5/1 | 477839AB0 | 9,111,864 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| LCI INDS | NOTE 1.125% 5/1 | 501812AB7 | 7,891,774 | 8,382,000 | SH | SOLE | 8,382,000 | 0 | 0 | ||
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 516544AB9 | 13,122,912 | 10,530,000 | SH | SOLE | 10,530,000 | 0 | 0 | ||
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 538034BA6 | 11,137,640 | 10,000,000 | SH | SOLE | 10,000,000 | 0 | 0 | ||
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | 55024UAD1 | 9,939,902 | 11,000,000 | SH | SOLE | 11,000,000 | 0 | 0 | ||
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 55303JAB2 | 6,066,170 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| MAGNITE INC | NOTE 0.250% 3/1 | 55955DAB6 | 6,756,535 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| MANNKIND CORP | NOTE 2.500% 3/0 | 56400PAQ5 | 4,800,576 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
| MESA LABS INC | NOTE 1.375% 8/1 | 59064RAA7 | 7,368,184 | 7,982,000 | SH | SOLE | 7,982,000 | 0 | 0 | ||
| MITEK SYS INC | NOTE 0.750% 2/0 | 606710AA9 | 5,336,039 | 5,682,000 | SH | SOLE | 5,682,000 | 0 | 0 | ||
| NCL CORP LTD | NOTE 1.125% 2/1 | 62886HBD2 | 5,728,139 | 6,175,000 | SH | SOLE | 6,175,000 | 0 | 0 | ||
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 665531AJ8 | 5,763,850 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 682189AU9 | 6,944,901 | 7,221,000 | SH | SOLE | 7,221,000 | 0 | 0 | ||
| ORMAT TECHNOLOGIES INC | NOTE 2.500% 7/1 | 686688AB8 | 12,857,671 | 13,000,000 | SH | SOLE | 13,000,000 | 0 | 0 | ||
| PATRICK INDS INC | NOTE 1.750%12/0 | 703343AG8 | 13,255,010 | 10,949,000 | SH | SOLE | 10,949,000 | 0 | 0 | ||
| PETIQ INC | NOTE 4.000% 6/0 | 71639TAB2 | 9,725,841 | 9,157,000 | SH | SOLE | 9,157,000 | 0 | 0 | ||
| POST HLDGS INC | NOTE 2.500% 8/1 | 737446AT1 | 5,500,296 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| PROGRESS SOFTWARE CORP | NOTE 1.000% 4/1 | 743312AB6 | 10,834,848 | 10,350,000 | SH | SOLE | 10,350,000 | 0 | 0 | ||
| PROS HOLDINGS INC | NOTE 2.250% 9/1 | 74346YAG8 | 10,121,742 | 10,419,000 | SH | SOLE | 10,419,000 | 0 | 0 | ||
| Q2 HLDGS INC | NOTE 0.750% 6/0 | 74736LAD1 | 3,964,899 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
| Q2 HLDGS INC | NOTE 0.125%11/1 | 74736LAF6 | 5,148,351 | 5,500,000 | SH | SOLE | 5,500,000 | 0 | 0 | ||
| RAPID7 INC | NOTE 0.250% 3/1 | 753422AF1 | 6,277,815 | 6,956,000 | SH | SOLE | 6,956,000 | 0 | 0 | ||
| REDFIN CORP | NOTE 0.500% 4/0 | 75737FAE8 | 2,133,300 | 3,750,000 | SH | SOLE | 3,750,000 | 0 | 0 | ||
| SSR MINING IN | NOTE 2.500% 4/0 | 784730AB9 | 5,410,620 | 6,000,000 | SH | SOLE | 6,000,000 | 0 | 0 | ||
| SEMTECH CORP | NOTE 1.625%11/0 | 816850AF8 | 8,438,400 | 8,000,000 | SH | SOLE | 8,000,000 | 0 | 0 | ||
| SMART GLOBAL HLDGS INC | NOTE 2.250% 2/1 | 83205YAB0 | 8,789,796 | 7,000,000 | SH | SOLE | 7,000,000 | 0 | 0 | ||
| STRIDE INC | NOTE 1.125% 9/0 | 86333MAA6 | 12,140,006 | 8,502,000 | SH | SOLE | 8,502,000 | 0 | 0 | ||
| UPWORK INC | NOTE 0.250% 8/1 | 91688FAB0 | 8,754,637 | 9,890,000 | SH | SOLE | 9,890,000 | 0 | 0 | ||
| VAREX IMAGING CORP | NOTE 4.000% 6/0 | 92214XAB2 | 5,047,178 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| VEECO INSTRS INC DEL | NOTE 2.875% 6/0 | 922417AJ9 | 12,924,570 | 7,500,000 | SH | SOLE | 7,500,000 | 0 | 0 | ||
| VERINT SYSTEMS INC | NOTE 0.250% 4/1 | 92343XAC4 | 7,867,581 | 8,495,000 | SH | SOLE | 8,495,000 | 0 | 0 | ||
| VERITONE INC | NOTE 1.750%11/1 | 92347MAB6 | 1,300,633 | 4,000,000 | SH | SOLE | 4,000,000 | 0 | 0 | ||
| WAYFAIR INC | NOTE 3.250% 9/1 | 94419LAP6 | 5,722,681 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| WINNEBAGO INDS INC | NOTE 1.500% 4/0 | 974637AB6 | 5,155,500 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| WOLFSPEED INC | NOTE 0.250% 2/1 | 977852AB8 | 2,937,663 | 5,000,000 | SH | SOLE | 5,000,000 | 0 | 0 | ||
| WORKIVA INC | NOTE 1.125% 8/1 | 98139AAB1 | 10,090,083 | 9,175,000 | SH | SOLE | 9,175,000 | 0 | 0 | ||
| XOMETRY INC | NOTE 1.000% 2/0 | 98423FAB5 | 7,849,475 | 10,500,000 | SH | SOLE | 10,500,000 | 0 | 0 | ||
| ABRDN GLOBAL INFRA INCOME FU | COM SHS BEN INT | 00326W106 | 904,349 | 49,418 | SH | SOLE | 49,418 | 0 | 0 | ||
| UNIFIED SER TR | ABSLUTE SELCT VL | 90470L568 | 1,078,956 | 36,000 | SH | SOLE | 36,000 | 0 | 0 | ||
| BLACKROCK CALIF MUN INCOME T | SH BEN INT | 09248E102 | 413,396 | 34,536 | SH | SOLE | 34,536 | 0 | 0 | ||
| BLACKROCK CAP ALLOCATION TER | COM | 09260U109 | 3,093,039 | 188,485 | SH | SOLE | 188,485 | 0 | 0 | ||
| BLACKROCK ESG CAP ALLC TERM | SHS BEN INT | 09262F100 | 630,388 | 35,940 | SH | SOLE | 35,940 | 0 | 0 | ||
| BLACKROCK HEALTH SCIENCES TE | COM SHS | 09260E105 | 4,087,373 | 266,105 | SH | SOLE | 266,105 | 0 | 0 | ||
| BLACKROCK SCIENCE & TECHNOLO | SHS BEN INT | 09260K101 | 235,794 | 11,843 | SH | SOLE | 11,843 | 0 | 0 | ||
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 09260Q108 | 7,846,893 | 1,085,324 | SH | SOLE | 1,085,324 | 0 | 0 | ||
| CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 9,674,518 | 1,256,431 | SH | SOLE | 1,256,431 | 0 | 0 | ||
| DESTRA MULTI-ALTERNATIVE FD | COMMON SHARES | 25065A502 | 4,942,657 | 612,473 | SH | SOLE | 612,473 | 0 | 0 | ||
| EATON VANCE CALIF MUN BD FD | COM | 27828A100 | 407,969 | 42,899 | SH | SOLE | 42,899 | 0 | 0 | ||
| EATON VANCE MUN BD FD | COM | 27827X101 | 2,076,611 | 196,277 | SH | SOLE | 196,277 | 0 | 0 | ||
| EATON VANCE NEW YORK MUN BD | COM | 27827Y109 | 1,363,638 | 138,300 | SH | SOLE | 138,300 | 0 | 0 | ||
| FIRST TR HIGH INCOME LONG / | COM | 33738E109 | 10,179,797 | 824,943 | SH | SOLE | 824,943 | 0 | 0 | ||
| FIRST TR ABRDN GBL OPP INCM | COM SHS | 337319107 | 1,635,853 | 258,021 | SH | SOLE | 258,021 | 0 | 0 | ||
| FRANKLIN LTD DURATION INCOME | COM | 35472T101 | 88,132 | 13,901 | SH | SOLE | 13,901 | 0 | 0 | ||
| HERZFELD CARIBBEAN BASIN FD | COM | 42804T106 | 796,199 | 338,808 | SH | SOLE | 338,808 | 0 | 0 | ||
| INDIA FD INC | COM | 454089103 | 1,753,227 | 98,165 | SH | SOLE | 98,165 | 0 | 0 | ||
| INVESCO ADVANTAGE MUN INCOME | SH BEN INT | 46132E103 | 591,629 | 66,700 | SH | SOLE | 66,700 | 0 | 0 | ||
| INVESCO MUN OPPORTUNITY TR | COM | 46132C107 | 591,696 | 58,700 | SH | SOLE | 58,700 | 0 | 0 | ||
| INVESCO MUNICIPAL TRUST | COM | 46131J103 | 584,652 | 58,700 | SH | SOLE | 58,700 | 0 | 0 | ||
| INVESCO QUALITY MUN INCOME T | COM | 46133G107 | 584,288 | 58,900 | SH | SOLE | 58,900 | 0 | 0 | ||
| INVESCO TR INVT GRADE MUNS | COM | 46131M106 | 590,525 | 57,500 | SH | SOLE | 57,500 | 0 | 0 | ||
| INVESCO VALUE MUN INCOME TR | COM | 46132P108 | 807,036 | 65,400 | SH | SOLE | 65,400 | 0 | 0 | ||
| MAINSTAY CBRE GBL INFRA MEG | COM | 56064Q107 | 1,890,282 | 147,563 | SH | SOLE | 147,563 | 0 | 0 | ||
| NEUBERGER BERMAN HIGH YIELD | COM | 64128C106 | 191,699 | 24,514 | SH | SOLE | 24,514 | 0 | 0 | ||
| NUVEEN MULTI ASSET INCOME FU | COM | 670750108 | 3,712,435 | 300,602 | SH | SOLE | 300,602 | 0 | 0 | ||
| NUVEEN MUN CR OPPORTUNITIES | COM | 670663103 | 201,849 | 18,300 | SH | SOLE | 18,300 | 0 | 0 | ||
| PIONEER FLOATING RATE FUND I | COM | 72369J102 | 117,031 | 12,115 | SH | SOLE | 12,115 | 0 | 0 | ||
| RIVERNORTH CAP AND INCM FD I | COM | 76882B108 | 676,454 | 44,040 | SH | SOLE | 44,040 | 0 | 0 | ||
| RIVERNORTH MANAGED DUR MUN I | COM | 76882M104 | 209,380 | 12,877 | SH | SOLE | 12,877 | 0 | 0 | ||
| RIVERNORTH OPPORTUNITIES FD | COM | 76881Y109 | 1,525,198 | 124,506 | SH | SOLE | 124,506 | 0 | 0 | ||
| RIVERNORTH FLEXIBLE MUNI INC | COM | 76883Y107 | 733,640 | 51,884 | SH | SOLE | 51,884 | 0 | 0 | ||
| SRH TOTAL RETURN FUND INC | COM | 101507101 | 341,925 | 23,500 | SH | SOLE | 23,500 | 0 | 0 | ||
| SABA CAPITAL INCOME & OPRNT | SHS NEW | 78518H202 | 873,453 | 124,070 | SH | SOLE | 124,070 | 0 | 0 | ||
| ECOFIN SUSTAINABLE AND SOCIA | COM SH BEN INT | 27901F109 | 365,696 | 31,772 | SH | SOLE | 31,772 | 0 | 0 | ||
| VIRTUS TOTAL RETURN FD INC | COM | 92835W107 | 2,114,391 | 387,606 | SH | SOLE | 387,606 | 0 | 0 | ||
| VOYA INFRASTRUCTURE INDLS & | COM | 92912X101 | 844,998 | 82,600 | SH | SOLE | 82,600 | 0 | 0 | ||
| WESTERN ASSET HIGH INCOM FD | COM | 95766J102 | 1,255,775 | 288,684 | SH | SOLE | 288,684 | 0 | 0 | ||
| ABRDN HEALTHCARE INVESTORS | SH BEN INT | 87911J103 | 4,426,616 | 253,529 | SH | SOLE | 253,529 | 0 | 0 | ||
| ABRDN LIFE SCIENCES INVESTOR | SH BEN INT | 87911K100 | 7,980,813 | 563,219 | SH | SOLE | 563,219 | 0 | 0 | ||
