Q3 2019 Holdings
Filed 2019-11-13 | 7548 holdings | $1.8B | 13F-HR/A | View on SEC ↗ · Holdings Table ↗
Amended (2019-11-19) | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↑ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Polymet Mining Corp | COM | 731916102 | $5 | 17,200 | 0.0% |
| VBI Vaccines Inc(VAC2USD) | COM NEW | 91822J103 | $5 | 10,000 | 0.0% |
| Novelion Therapeutics Inc | COM NEW | 67001K202 | $7 | 10,000 | 0.0% |
| Spirit Rlty Cap Inc New | NOTE 3.750% 5/1 | 84860WAB8 | $10 | $10,228 | 0.0% |
| Nuvectra Corp | COM | 67075N108 | $11 | 13,652 | 0.0% |
| Mountain Prov Diamonds Inc(MPVDF) | COM NEW | 62426E402 | $11 | 11,666 | 0.0% |
| RMG Acquisition Corp | *W EXP 02/21/202 | 749641114 | $12 | 16,666 | 0.0% |
| Clearside Biomedical Inc(CLSDUSD) | COM | 185063104 | $12 | 16,000 | 0.0% |
| Tesla Inc | NOTE 1.250% 3/0 | 88160RAC5 | $12 | $12,000 | 0.0% |
| B Riley Principal Merger COR | *W EXP 04/08/202 | 05586Y114 | $12 | 25,000 | 0.0% |
| Mcdermott Intl Inc | COM | 580037703 | $12 | 11,726 | 0.0% |
| Stein Mart Inc | COM | 858375108 | $12 | 15,000 | 0.0% |
| Obsidian Energy LTD(OBE)A | COM | 674482203 | $13 | 15,132 | 0.0% |
| Diamondpeak Hldgs COR | *W EXP 02/22/202 | 25280H118 | $14 | 16,666 | 0.0% |
| RTI Intl Metals Inc | NOTE 1.625%10/1 | 74973WAB3 | $16 | $16,000 | 0.0% |
| Replay Acquisition Corp | *W EXP 03/01/202 | G75130115 | $16 | 22,850 | 0.0% |
| National Health Invs Inc | NOTE 3.250% 4/0 | 63633DAE4 | $16 | $13,000 | 0.0% |
| Vertex Energy Inc(VTNRUSD) | COM | 92534K107 | $17 | 15,000 | 0.0% |
| Nuance Communications Inc | NOTE 2.750%11/0 | 67020YAF7 | $18 | $18,000 | 0.0% |
| Palatin Technologies Inc | COM PAR $ .01 | 696077403 | $18 | 20,000 | 0.0% |
| Landcadia Hldgs II Inc | *W EXP 05/09/202 | 51476X113 | $20 | 24,735 | 0.0% |
| TPG Pace Hldgs Corp | *W EXP 06/27/202 | G89827110 | $20 | 12,473 | 0.0% |
| Selecta Biosciences Inc(SELBUSD) | COM | 816212104 | $21 | 11,900 | 0.0% |
| Kopin Corp(KOPN) | COM | 500600101 | $22 | 32,000 | 0.0% |
| Mcclatchy Co | CL A NEW | 579489303 | $22 | 10,611 | 0.0% |
| ACT II Global Acquisition Co | *W EXP 04/30/202 | G0080J120 | $23 | 25,000 | 0.0% |
| Encore Cap Group Inc | NOTE 2.875% 3/1 | 292554AH5 | $24 | $24,463 | 0.0% |
| Colony Cap Inc | NOTE 3.875% 1/1 | 19624RAB2 | $24 | $24,000 | 0.0% |
| Portfolio Recovery Assocs in | NOTE 3.000% 8/0 | 73640QAB1 | $25 | $24,767 | 0.0% |
| Iridex Corp(IRIX) | COM | 462684101 | $25 | 14,520 | 0.0% |
| Blackstone MTG TR Inc | NOTE 4.750% 3/1 | 09257WAC4 | $26 | $26,094 | 0.0% |
| Uranium Energy Corp(UEC) | COM | 916896103 | $26 | 26,000 | 0.0% |
| NIO Inc(NIO) | SPON ADS | 62914V106 | $28 | 16,136 | 0.0% |
| IGI Laboratories Inc | NOTE 3.750%12/1 | 449575AB5 | $29 | $28,536 | 0.0% |
| Two Hbrs Invt Corp | NOTE 6.250% 1/1 | 90187BAA9 | $31 | $30,821 | 0.0% |
| Northern Dynasty Minerals LT(NAK) | COM NEW | 66510M204 | $34 | 57,000 | 0.0% |
| Alkaline WTR Co Inc | COM NEW | 01643A207 | $36 | 24,600 | 0.0% |
| Transenterix Inc | COM NEW | 89366M201 | $37 | 60,155 | 0.0% |
| Mizuho Finl Group Inc(MFG)A | SPONSORED ADR | 60687Y109 | $39 | 12,793 | 0.0% |
| Viewray Inc(VRAYQ) | COM | 92672L107 | $39 | 12,745 | 0.0% |
| Chicos FAS Inc(CHS1USD) | COM | 168615102 | $40 | 10,000 | 0.0% |
| Oasis Pete Inc NewA | COM | 674215108 | $40 | 11,588 | 0.0% |
| Affimed N V | COM | N01045108 | $41 | 14,000 | 0.0% |
| Donnelley R R & Sons Co(RRDEUR) | COM | 257867200 | $41 | 10,929 | 0.0% |
| Horizon Global Corp | COM | 44052W104 | $41 | 10,800 | 0.0% |
| Medley Cap Corp | COM | 58503F106 | $43 | 16,676 | 0.0% |
| Calumet Specialty Prods Ptnr | UT LTD PARTNER | 131476103 | $48 | 13,451 | 0.0% |
| Corindus Vascular Robotics I(CVRSEUR) | COM | 218730109 | $51 | 12,000 | 0.0% |
| Galmed Pharmaceuticals LTD(GLMD) | SHS | M47238106 | $52 | 11,892 | 0.0% |
| FAR PT Acquisition Corp | *W EXP 06/01/202 | 30734W117 | $54 | 44,684 | 0.0% |