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 |
ABERDEEN ASIA-PACIFIC INCOME | COM | 003009107 | 3,155 | 610,000 | SH | SOLE | 610,000 | 0 | 0 | ||
ACCELERATE DIAGNOSTICS INC | NOTE 2.500% 3/1 | 00430HAB8 | 10,343 | 10,560,000 | PRN | SOLE | 10,560,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 1,183 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
ARISTA NETWORKS INC | COM | 040413106 | 2,253 | 7,900 | SH | SOLE | 7,900 | 0 | 0 | ||
AURORA CANNABIS INC | NOTE 5.500% 2/2 | 05156XAG3 | 3,788 | 5,750,000 | PRN | SOLE | 5,750,000 | 0 | 0 | ||
AVAYA HLDGS CORP | NOTE 2.250% 6/1 | 05351XAB7 | 7,538 | 6,700,000 | PRN | SOLE | 6,700,000 | 0 | 0 | ||
AVIAT NETWORKS INC | COM | 05366Y201 | 2,185 | 88,198 | SH | SOLE | 88,198 | 0 | 0 | ||
BAIDU INC | SPON ADR REP A | 056752108 | 2,360 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
BLACKBERRY LTD | COM | 09228F103 | 5,635 | 850,980 | SH | SOLE | 850,980 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 5,673 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 3,747 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
BRAEMAR HOTELS & RESORTS INC | 5.5 CUM CV PFD B | 10482B200 | 1,393 | 101,720 | SH | SOLE | 101,720 | 0 | 0 | ||
BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 2,366 | 52,950 | SH | SOLE | 52,950 | 0 | 0 | ||
BROOKFIELD BUSINESS PARTNERS | UNIT LTD LP | G16234109 | 956 | 22,880 | SH | SOLE | 22,880 | 0 | 0 | ||
BROOKFIELD PROPERTY PARTRS L | UNIT LTD PARTN | G16249107 | 5,540 | 411,875 | SH | SOLE | 411,875 | 0 | 0 | ||
CANADIAN NAT RES LTD | COM | 136385101 | 2,548 | 108,200 | SH | SOLE | 108,200 | 0 | 0 | ||
CIENA CORP | COM | 171779309 | 2,754 | 37,459 | SH | SOLE | 37,459 | 0 | 0 | ||
CLOUDERA INC | COM | 18914U100 | 5,041 | 291,900 | SH | SOLE | 291,900 | 0 | 0 | ||
COLFAX CORP | COM | 194014106 | 671 | 17,712 | SH | SOLE | 17,712 | 0 | 0 | ||
COLLIERS INTL GROUP INC | SUB VTG SHS | 194693107 | 125 | 1,600 | SH | SOLE | 1,600 | 0 | 0 | ||
DESPEGAR COM CORP | ORD SHS | G27358103 | 371 | 38,100 | SH | SOLE | 38,100 | 0 | 0 | ||
EATON VANCE LTD DURATION INC | COM | 27828H105 | 4,590 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
EBIX INC | COM | 278715206 | 10,352 | 341,036 | SH | SOLE | 341,036 | 0 | 0 | ||
EGAIN CORP | COM | 28225C806 | 15,852 | 1,051,006 | SH | SOLE | 1,051,006 | 0 | 0 | ||
ELEMENT SOLUTIONS INC | COM | 28618M106 | 6,078 | 412,633 | SH | SOLE | 412,633 | 0 | 0 | ||
ENBRIDGE INC | COM | 29250N105 | 747 | 18,085 | SH | SOLE | 18,085 | 0 | 0 | ||
ENERGY FUELS INC | *W EXP 09/20/202 | 292671179 | 130 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 739 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
FIRSTSERVICE CORP | COM | 33767E202 | 164 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
FLUOR CORP | COM | 343412102 | 3,856 | 235,100 | SH | SOLE | 235,100 | 0 | 0 | ||
HANESBRANDS INC | COM | 410345102 | 5,812 | 379,211 | SH | SOLE | 379,211 | 0 | 0 | ||
HOWARD HUGHES CORP | COM | 44267D107 | 7,373 | 104,547 | SH | SOLE | 104,547 | 0 | 0 | ||
INFINERA CORP | NOTE 2.125% 9/0 | 45667GAC7 | 7,164 | 6,134,000 | PRN | SOLE | 6,134,000 | 0 | 0 | ||
INTERACTIVE BROKERS GROUP IN | COM CL A | 45841N107 | 5,177 | 91,300 | SH | SOLE | 91,300 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 1,409 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
JD.COM INC | SPON ADR CL A | 47215P106 | 9,249 | 113,205 | SH | SOLE | 113,205 | 0 | 0 | ||
KKR & CO INC | COM | 48251W104 | 13,249 | 316,040 | SH | SOLE | 316,040 | 0 | 0 | ||
LEAF GROUP LTD | COM | 52177G102 | 7,675 | 1,540,535 | SH | SOLE | 1,540,535 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 4,089 | 309,847 | SH | SOLE | 309,847 | 0 | 0 | ||
MAVERIX METALS INC | COM | 57776F405 | 301 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
MAXAR TECHNOLOGIES INC | COM | 57778K105 | 9,387 | 385,327 | SH | SOLE | 385,327 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 2,763 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
MODEL N INC | COM | 607525102 | 1,532 | 32,454 | SH | SOLE | 32,454 | 0 | 0 | ||
MOHAWK INDS INC | COM | 608190104 | 3,053 | 22,100 | SH | SOLE | 22,100 | 0 | 0 | ||
NORTHROP GRUMMAN CORP | COM | 666807102 | 501 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 4,149 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 3,774 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 3,807 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
OPKO HEALTH INC | NOTE 4.500% 2/1 | 68375NAD5 | 12,702 | 8,790,000 | PRN | SOLE | 8,790,000 | 0 | 0 | ||
PAR TECHNOLOGY CORP | COM | 698884103 | 4,689 | 115,400 | SH | SOLE | 115,400 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | NOTE 4.750% 5/0 | 699374AB0 | 22,462 | 20,060,000 | PRN | SOLE | 20,060,000 | 0 | 0 | ||
SOCIAL CAP HDOSPHIA HLDG CO | UNIT 99/99/9999 | G8250T117 | 2,302 | 135,009 | SH | SOLE | 135,009 | 0 | 0 | ||
SOCIAL CAP HEDSPIA HLDG CO I | UNIT 99/99/9999 | G8251K123 | 2,743 | 170,224 | SH | SOLE | 170,224 | 0 | 0 | ||
SQUARE INC | CL A | 852234103 | 4,117 | 28,900 | SH | SOLE | 28,900 | 0 | 0 | ||
SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 8,822 | 115,050 | SH | SOLE | 115,050 | 0 | 0 | ||
SSR MNG INC | NOTE 2.500% 4/0 | 784730AB9 | 6,171 | 3,250,000 | PRN | SOLE | 3,250,000 | 0 | 0 | ||
STARBUCKS CORP | COM | 855244109 | 270 | 2,700 | SH | SOLE | 2,700 | 0 | 0 | ||
STARWOOD PPTY TR INC | COM | 85571B105 | 781 | 38,450 | SH | SOLE | 38,450 | 0 | 0 | ||
STITCH FIX INC | COM CL A | 860897107 | 6,250 | 184,600 | SH | SOLE | 184,600 | 0 | 0 | ||
SUNCOR ENERGY INC | COM | 867224107 | 1,085 | 47,400 | SH | SOLE | 47,400 | 0 | 0 | ||
SUNPOWER CORP | DBCV 0.875% 6/0 | 867652AJ8 | 18,731 | 14,904,000 | PRN | SOLE | 14,904,000 | 0 | 0 | ||
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 17,041 | 15,106,000 | PRN | SOLE | 15,106,000 | 0 | 0 | ||
TEVA PHARMACEUTICAL FIN LLC | DBCV 0.250% 2/0 | 88163VAE9 | 8,603 | 6,470,000 | PRN | SOLE | 6,470,000 | 0 | 0 | ||
TEXAS PAC LD TR | SUB CTF PROP I T | 882610108 | 3,431 | 4,250 | SH | SOLE | 4,250 | 0 | 0 | ||
TUTOR PERINI CORP | NOTE 2.875% 6/1 | 901109AD0 | 8,284 | 6,400,000 | PRN | SOLE | 6,400,000 | 0 | 0 | ||
TWITTER INC | COM | 90184L102 | 2,281 | 56,400 | SH | SOLE | 56,400 | 0 | 0 | ||
TWITTER INC | NOTE 0.250% 6/1 | 90184LAF9 | 11,542 | 9,000,000 | PRN | SOLE | 9,000,000 | 0 | 0 | ||
UPLAND SOFTWARE INC | COM | 91544A109 | 1,679 | 35,586 | SH | SOLE | 35,586 | 0 | 0 | ||
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 5,208 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
ZILLOW GROUP INC | CL C CAP STK | 98954M200 | 8,445 | 107,974 | SH | SOLE | 107,974 | 0 | 0 | ||
ZILLOW GROUP INC | NOTE 1.500% 7/0 | 98954MAC5 | 9,728 | 6,880,000 | PRN | SOLE | 6,880,000 | 0 | 0 |