Q3 2018 Holdings
Filed 2018-11-13 | 1162 holdings | $155.0M | 13F-HR | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↑ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Franklin LTD Duration Incm T | RIGHT 10/18/2018 | 353793110 | $3 | 30,171 | 0.0% |
| Entree RES LTD(ERLFF) | COM | 29384J103 | $4 | 10,000 | 0.0% |
| Aethlon MED Inc | COM NEW | 00808Y208 | $12 | 10,587 | 0.0% |
| Advaxis Inc | COM NEW | 007624208 | $13 | 14,000 | 0.0% |
| Rite AID Corp | COM | 767754104 | $13 | 10,000 | 0.0% |
| Spirit Rlty Cap Inc New | NOTE 3.750% 5/1 | 84860WAB8 | $15 | $15,000 | 0.0% |
| Ares Cap Corp | NOTE 4.375% 1/1 | 04010LAM5 | $25 | $25,000 | 0.0% |
| Prospect Capital Corporation | NOTE 4.950% 7/1 | 74348TAR3 | $30 | $30,000 | 0.0% |
| Link Motion Inc(LKM) | SPONSRD ADS CL A | 53577L105 | $31 | 47,000 | 0.0% |
| Yamana Gold Inc | COM | 98462Y100 | $41 | 16,512 | 0.0% |
| Wells Fargo & Co | MTNF 6/0 | 94986RQF1 | $42 | $25,000 | 0.0% |
| Obsidian Energy LTD | COM | 674482104 | $53 | 56,042 | 0.0% |
| Fang Hldgs LTD | ADR | 30711Y102 | $54 | 20,692 | 0.0% |
| Actinium Pharmaceuticals Inc(ATNMEUR) | COM | 00507W107 | $54 | 73,000 | 0.0% |
| Genius Brands Intl Inc | COM PAR | 37229T301 | $54 | 26,398 | 0.0% |
| Oncosec MED Inc | COM NEW | 68234L207 | $67 | 47,500 | 0.0% |
| Yatra Online Inc(YTRA) | ORD SHS | G98338109 | $72 | 12,950 | 0.0% |
| Ashford Hospitality TR Inc | COM SHS | 044103109 | $80 | 12,500 | 0.0% |
| Morgan Stanley Emer Mkts DEB(MSD) | COM | 61744H105 | $87 | 10,000 | 0.0% |
| Aberdeen Total Dynamic Divd(XAODX) | COM SH BEN INT | 00326L100 | $88 | 10,000 | 0.0% |
| Horizon Global Corp | NOTE 2.750% 7/0 | 44052WAA2 | $89 | $120,000 | 0.0% |
| Invesco SR Income TR(VVR) | COM | 46131H107 | $90 | 21,000 | 0.0% |
| Duff & Phelps Slct Engy MLP | COM | 26433F108 | $91 | 15,000 | 0.0% |
| Calamos GBL DYN Income Fund(CHW) | COM | 12811L107 | $91 | 10,012 | 0.0% |
| Groupon Inc | COM | 399473107 | $96 | 25,370 | 0.0% |
| Hercules Capital Inc | DBCV 4.375% 2/0 | 427096AF9 | $97 | $100,000 | 0.0% |
| Limelight Networks Inc | COM | 53261M104 | $97 | 19,389 | 0.0% |
| Prospect Capital Corporation | NOTE 5.875% 1/1 | 74348TAM4 | $98 | $97,000 | 0.0% |
| Nuveen HGH Inc Dec18 Trgt TR | COM | 67075P103 | $99 | 10,057 | 0.0% |
| Aegon N V | NY REGISTRY SH | 007924103 | $100 | 15,510 | 0.0% |
| Blackstone MTG TR Inc | NOTE 4.375% 5/0 | 09257WAB6 | $100 | $100,000 | 0.0% |
| Arbor Rlty TR Inc | NOTE 5.375%11/1 | 038923AB4 | $107 | $90,000 | 0.0% |
| Swedish Expt CR Corp | ROG AGRI ETN22 | 870297603 | $111 | 19,553 | 0.0% |
| Vistagen Therapeutics Inc(VTGNUSD) | COM NEW | 92840H202 | $111 | 76,500 | 0.0% |
| Atlas AIR Worldwide Hldgs in | NOTE 2.250% 6/0 | 049164BH8 | $112 | $100,000 | 0.0% |
| TTM Technologies Inc | NOTE 1.750%12/1 | 87305RAD1 | $113 | $59,000 | 0.0% |
| Cbre Clarion Global Real EST(IGR) | COM | 12504G100 | $114 | 15,550 | 0.0% |
| Snap Inc(SNAP) | CL A | 83304A106 | $114 | 13,420 | 0.0% |
| Synaptics Inc | NOTE 0.500% 6/1 | 87157DAD1 | $114 | $120,000 | 0.0% |
| Green Plains Inc | NOTE 4.125% 9/0 | 393222AF1 | $115 | $120,000 | 0.0% |
| Redwood TR Inc | NOTE 4.750% 8/1 | 758075AC9 | $115 | $120,000 | 0.0% |
| Portfolio Recovery Assocs in | NOTE 3.000% 8/0 | 73640QAB1 | $116 | $120,000 | 0.0% |
| ON Semiconductor Corp | NOTE 1.000%12/0 | 682189AK1 | $116 | $100,000 | 0.0% |
| PDC Energy Inc | NOTE 1.125% 9/1 | 69327RAD3 | $116 | $120,000 | 0.0% |
| Pimco Income Strategy Fund I(PFN) | COM | 72201J104 | $116 | 10,987 | 0.0% |
| Forterra Inc(FRTAEUR) | COM | 34960W106 | $116 | 15,500 | 0.0% |
| Calamp Corp | NOTE 1.625% 5/1 | 128126AB5 | $116 | $110,000 | 0.0% |
| Hannon Armstrong Sust Infr C | NOTE 4.125% 9/0 | 41068XAB6 | $117 | $120,000 | 0.0% |
| Nuveen All Cap ENE MLP Oppo | COM | 67075E108 | $117 | 14,755 | 0.0% |
| Invesco MUN TR(VKQ) | COM | 46131J103 | $118 | 10,240 | 0.0% |