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 | 3,200 | 610,000 | SH | SOLE | 610,000 | 0 | 0 | ||
ACCELERATE DIAGNOSTICS INC | NOTE 2.500% 3/1 | 00430HAB8 | 9,033 | 10,560,000 | PRN | SOLE | 10,560,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | NOTE 1.750% 6/1 | 00484MAA4 | 1,161 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
AVAYA HLDGS CORP | NOTE 2.250% 6/1 | 05351XAB7 | 8,587 | 6,700,000 | PRN | SOLE | 6,700,000 | 0 | 0 | ||
AVIAT NETWORKS INC | COM | 05366Y201 | 4,831 | 165,213 | SH | SOLE | 165,213 | 0 | 0 | ||
BAIDU INC | SPON ADR REP A | 056752108 | 2,367 | 14,500 | SH | SOLE | 14,500 | 0 | 0 | ||
BAUSCH HEALTH COS INC | COM | 071734107 | 6,377 | 319,125 | SH | SOLE | 319,125 | 0 | 0 | ||
BLACKROCK LTD DURATION INC T | COM SHS | 09249W101 | 5,864 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
BLACKROCK MUNI INTER DR FD I | COM | 09253X102 | 1,873 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
BRAEMAR HOTELS & RESORTS INC | 5.5 CUM CV PFD B | 10482B200 | 1,596 | 101,720 | SH | SOLE | 101,720 | 0 | 0 | ||
BROOKFIELD ASSET MGMT INC | CL A LTD VT SH | 112585104 | 2,334 | 52,950 | SH | SOLE | 52,950 | 0 | 0 | ||
BROOKFIELD PROPERTY PARTRS L | UNIT LTD PARTN | G16249107 | 1,606 | 102,109 | SH | SOLE | 102,109 | 0 | 0 | ||
CIENA CORP | COM | 171779309 | 1,994 | 37,459 | SH | SOLE | 37,459 | 0 | 0 | ||
CLOUDERA INC | COM | 18914U100 | 4,233 | 291,900 | SH | SOLE | 291,900 | 0 | 0 | ||
COLFAX CORP | COM | 194014106 | 598 | 14,312 | SH | SOLE | 14,312 | 0 | 0 | ||
COLLIERS INTL GROUP INC | SUB VTG SHS | 194693107 | 222 | 2,500 | SH | SOLE | 2,500 | 0 | 0 | ||
EATON VANCE LTD DURATION INC | COM | 27828H105 | 4,522 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
EBIX INC | COM | 278715206 | 12,019 | 439,828 | SH | SOLE | 439,828 | 0 | 0 | ||
EGAIN CORP | COM | 28225C806 | 5,027 | 272,401 | SH | SOLE | 272,401 | 0 | 0 | ||
ENERGY FUELS INC | *W EXP 09/20/202 | 292671179 | 136 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
FIRST TR SR FLG RTE INCM FD | COM | 33733U108 | 735 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
FIRSTSERVICE CORP NEW | COM | 33767E202 | 211 | 1,200 | SH | SOLE | 1,200 | 0 | 0 | ||
FLUOR CORP NEW | COM | 343412102 | 2,483 | 211,700 | SH | SOLE | 211,700 | 0 | 0 | ||
FOLEY TRASIMENE ACQUISTN COR | UNIT 99/99/9999 | 34431F203 | 2,615 | 174,100 | SH | SOLE | 174,100 | 0 | 0 | ||
GOGO INC | COM | 38046C109 | 597 | 48,500 | SH | SOLE | 48,500 | 0 | 0 | ||
HANESBRANDS INC | COM | 410345102 | 6,946 | 337,511 | SH | SOLE | 337,511 | 0 | 0 | ||
HOWARD HUGHES CORP | COM | 44267D107 | 7,844 | 103,547 | SH | SOLE | 103,547 | 0 | 0 | ||
IAC INTERACTIVECORP | COM | 44891N109 | 8,373 | 52,840 | SH | SOLE | 52,840 | 0 | 0 | ||
INFINERA CORP | NOTE 2.125% 9/0 | 45667GAC7 | 7,608 | 6,134,000 | PRN | SOLE | 6,134,000 | 0 | 0 | ||
INTERACTIVE BROKERS GROUP IN | COM CL A | 45841N107 | 5,804 | 90,600 | SH | SOLE | 90,600 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | NOTE 2.000% 5/1 | 45845PAB4 | 4,719 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS IN | NOTE 3.250% 7/0 | 45845PAA6 | 10,463 | 9,605,000 | PRN | SOLE | 9,605,000 | 0 | 0 | ||
INVESCO SR INCOME TR | COM | 46131H107 | 1,450 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
JAWS ACQUISITION CORP | UNIT 99/99/9999 | G50744120 | 2,682 | 181,500 | SH | SOLE | 181,500 | 0 | 0 | ||
JD.COM INC | SPON ADR CL A | 47215P106 | 8,599 | 85,805 | SH | SOLE | 85,805 | 0 | 0 | ||
JUST ENERGY GROUP INC | COM | 48213W408 | 21,750 | 2,907,702 | SH | SOLE | 2,907,702 | 0 | 0 | ||
KKR & CO INC | COM | 48251W104 | 10,707 | 235,140 | SH | SOLE | 235,140 | 0 | 0 | ||
LEAF GROUP LTD | COM | 52177G102 | 10,353 | 1,524,235 | SH | SOLE | 1,524,235 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 3,443 | 309,847 | SH | SOLE | 309,847 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL C | G9001E128 | 792 | 83,347 | SH | SOLE | 83,347 | 0 | 0 | ||
MAXAR TECHNOLOGIES INC | COM | 57778K105 | 3,700 | 111,251 | SH | SOLE | 111,251 | 0 | 0 | ||
MICROSOFT CORP | COM | 594918104 | 2,762 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
MODEL N INC | COM | 607525102 | 1,038 | 21,754 | SH | SOLE | 21,754 | 0 | 0 | ||
NORTHROP GRUMMAN CORP | COM | 666807102 | 1,040 | 2,400 | SH | SOLE | 2,400 | 0 | 0 | ||
NUVEEN AMT FREE MUN CR INC F | COM | 67071L106 | 4,162 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
NUVEEN AMT FREE QLTY MUN INC | COM | 670657105 | 3,816 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
NUVEEN QUALITY MUNCP INCOME | COM | 67066V101 | 3,875 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
PAR TECHNOLOGY CORP | COM | 698884103 | 5,825 | 107,981 | SH | SOLE | 107,981 | 0 | 0 | ||
PARATEK PHARMACEUTICALS INC | NOTE 4.750% 5/0 | 699374AB0 | 22,558 | 20,060,000 | PRN | SOLE | 20,060,000 | 0 | 0 | ||
PERSHING SQUARE TONTINE HLDG | *W EXP 07/24/202 | 71531R117 | 97 | 10,332 | SH | SOLE | 10,332 | 0 | 0 | ||
PERSHING SQUARE TONTINE HLDG | COM CL A | 71531R109 | 2,805 | 93,000 | SH | SOLE | 93,000 | 0 | 0 | ||
SHARPSPRING INC | COM | 820054104 | 2,687 | 181,014 | SH | SOLE | 181,014 | 0 | 0 | ||
SOCIAL CAP HDOSPHIA HLDG CO | SHS CL A | G8250T109 | 3,374 | 135,009 | SH | SOLE | 135,009 | 0 | 0 | ||
SOCIAL CAP HEDSPIA HLDG CO I | *W EXP 99/99/999 | G8251K115 | 303 | 56,741 | SH | SOLE | 56,741 | 0 | 0 | ||
SOCIAL CAP HEDSPIA HLDG CO I | COM CL A | G8251K107 | 2,968 | 170,224 | SH | SOLE | 170,224 | 0 | 0 | ||
SQUARE INC | CL A | 852234103 | 6,337 | 28,900 | SH | SOLE | 28,900 | 0 | 0 | ||
SS&C TECHNOLOGIES HLDGS INC | COM | 78467J100 | 8,737 | 108,450 | SH | SOLE | 108,450 | 0 | 0 | ||
STARWOOD PPTY TR INC | COM | 85571B105 | 773 | 38,450 | SH | SOLE | 38,450 | 0 | 0 | ||
STITCH FIX INC | COM CL A | 860897107 | 10,768 | 298,975 | SH | SOLE | 298,975 | 0 | 0 | ||
SUNPOWER CORP | DBCV 0.875% 6/0 | 867652AJ8 | 12,831 | 9,904,000 | PRN | SOLE | 9,904,000 | 0 | 0 | ||
SUNPOWER CORP | DBCV 4.000% 1/1 | 867652AL3 | 11,921 | 9,106,000 | PRN | SOLE | 9,106,000 | 0 | 0 | ||
TEVA PHARMACEUTICAL FIN LLC | DBCV 0.250% 2/0 | 88163VAE9 | 5,225 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
TEXAS PAC LD TR | SUB CTF PROP I T | 882610108 | 5,409 | 8,987 | SH | SOLE | 8,987 | 0 | 0 | ||
TUTOR PERINI CORP | NOTE 2.875% 6/1 | 901109AD0 | 1,936 | 1,425,000 | PRN | SOLE | 1,425,000 | 0 | 0 | ||
TWITTER INC | COM | 90184L102 | 4,771 | 80,100 | SH | SOLE | 80,100 | 0 | 0 | ||
TWITTER INC | NOTE 0.250% 6/1 | 90184LAF9 | 13,371 | 9,000,000 | PRN | SOLE | 9,000,000 | 0 | 0 | ||
UNIVERSAL TECHNICAL INST INC | COM | 913915104 | 3,301 | 492,644 | SH | SOLE | 492,644 | 0 | 0 | ||
UPLAND SOFTWARE INC | COM | 91544A109 | 1,786 | 35,586 | SH | SOLE | 35,586 | 0 | 0 | ||
WESTERN AST INFL LKD OPP & I | COM | 95766R104 | 5,210 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
ZILLOW GROUP INC | CL C CAP STK | 98954M200 | 10,463 | 77,474 | SH | SOLE | 77,474 | 0 | 0 |