Q4 2016 Holdings
Filed 2017-02-09 | 59 holdings | $1.8M | 13F-HR/A | View on SEC ↗ · Holdings Table ↗
Amended (2017-02-14) | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↓ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Cornerstone Strategic Value(CLM) | COM | 21924B302 | $1.4M | 88,993 | 73.5% |
| Sina CorpA | NOTE 1.000%12/0 | 82922RAD5 | $89.8K | $91,500,000 | 4.9% |
| Sumitomo Mitsui Finl Group I(SMFG) | SPONSORED ADR | 86562M209 | $50.2K | 6,569,179 | 2.7% |
| Ctrip COM Intl LTD | NOTE 1.000% 7/0 | 22943FAF7 | $30.9K | $30,000,000 | 1.7% |
| Twenty First Centy FOX Inc | CL B | 90130A200 | $29.9K | 1,097,588 | 1.6% |
| Sony Corp(SONY) | ADR NEW | 835699307 | $29.5K | 1,053,530 | 1.6% |
| Trina Solar Limited | DBCV 3.500% 6/1 | 89628EAC8 | $24.1K | $25,150,000 | 1.3% |
| Ctrip COM Intl LTD | NOTE 1.250%10/1 | 22943FAD2 | $23.1K | $20,000,000 | 1.3% |
| Ctrip COM Intl LTD | NOTE 1.990% 7/0 | 22943FAH3 | $20.9K | $20,000,000 | 1.1% |
| Nomura Hldgs Inc(NMR) | SPONSORED ADR | 65535H208 | $15.7K | 2,654,891 | 0.9% |
| Advanced Semiconductor Engr | SPONSORED ADR | 00756M404 | $12.3K | 2,410,053 | 0.7% |
| YY Inc | NOTE 2.250% 4/0 | 98426TAB2 | $11.4K | $11,520,000 | 0.6% |
| Intersil Corp | CL A | 46069S109 | $11.2K | 502,215 | 0.6% |
| Harman Intl Inds Inc | COM | 413086109 | $10.9K | 97,791 | 0.6% |
| Trina Solar Limited | NOTE 4.000%10/1 | 89628EAE4 | $8.8K | $9,450,000 | 0.5% |
| China Unicom (Hong Kong) LTD | SPONSORED ADR | 16945R104 | $8.2K | 706,170 | 0.4% |
| Endurance Specialty Hldgs LT | SHS | G30397106 | $5.4K | 58,401 | 0.3% |
| Vale S A(VALE) | ADR | 91912E105 | $5.3K | 694,275 | 0.3% |
| Ishares TR(EMB) | JP MOR EM MK ETF | 464288281 | $5.0K | 45,600 | 0.3% |
| Vanguard BD Index FD Inc(BIV) | INTERMED TERM | 921937819 | $5.0K | 60,400 | 0.3% |
| Ishares TR(AGG) | CORE US AGGBD ET | 464287226 | $5.0K | 46,400 | 0.3% |
| Vanguard BD Index FD Inc(BND) | TOTAL BND MRKT | 921937835 | $5.0K | 62,000 | 0.3% |
| Vanguard Scottsdale FDS(VCSH) | SHRT TRM CORP BD | 92206C409 | $5.0K | 63,100 | 0.3% |
| Vanguard BD Index FD Inc(BSV) | SHORT TRM BOND | 921937827 | $5.0K | 62,900 | 0.3% |
| Infosys LTD(INFY) | SPONSORED ADR | 456788108 | $5.0K | 333,780 | 0.3% |
| Melco Crown Entmt LTD(MLCO) | ADR | 585464100 | $4.9K | 309,088 | 0.3% |
| Terraform PWR Inc | CL A COM | 88104R100 | $4.6K | 360,000 | 0.3% |
| Ishares TR(LQD) | IBOXX INV CP ETF | 464287242 | $4.2K | 35,688 | 0.2% |
| Seadrill LimitedPut | SHS | G7945E105 | $4.0K | 61,250 | 0.2% |
| Mitsubishi UFJ Finl Group in(MUFG) | SPONSORED ADR | 606822104 | $4.0K | 647,778 | 0.2% |
| Powershares ETF Trust II | SENIOR LN PORT | 73936Q769 | $3.9K | 168,816 | 0.2% |
| Spdr Series Trust | BLOOMBERG BRCLYS | 78464A417 | $3.9K | 106,243 | 0.2% |
| Qunar Cayman IS LTD | SPNS ADR CL B | 74906P104 | $3.4K | 111,822 | 0.2% |
| Honda Motor LTD(HMC) | AMERN SHS | 438128308 | $3.1K | 106,241 | 0.2% |
| DR Reddys Labs LTD(RDY) | ADR | 256135203 | $2.4K | 53,694 | 0.1% |
| Alphabet Inc(GOOGL) | CAP STK CL A | 02079K305 | $2.4K | 3,000 | 0.1% |
| Eaton Vance TAX Mngd GBL DV(XEXGX) | COM | 27829F108 | $2.2K | 272,598 | 0.1% |
| Herbalife LTD(HLF) | COM USD SHS | G4412G101 | $2.2K | 44,830 | 0.1% |
| Eaton Vance Txmgd GL Buywr O(ETW) | COM | 27829C105 | $2.1K | 207,830 | 0.1% |
| Taiwan Semiconductor MFG LTD(TSM) | SPONSORED ADR | 874039100 | $2.0K | 71,230 | 0.1% |
| Headwaters Inc | COM | 42210P102 | $2.0K | 84,900 | 0.1% |
| AU Optronics Corp(AUOUSD) | SPONSORED ADR | 002255107 | $2.0K | 542,972 | 0.1% |
| Cohen & Steers Infrastructur(UTF) | COM | 19248A109 | $1.7K | 86,961 | 0.1% |
| Cnooc LTD(CEO) | SPONSORED ADR | 126132109 | $1.2K | 9,380 | 0.1% |
| Gamco Global Gold NAT RES &(GGN) | COM SH BEN INT | 36465A109 | $1.1K | 214,874 | 0.1% |
| Tekla Healthcare Invs(HQH) | SH BEN INT | 87911J103 | $863 | 40,820 | 0.0% |
| BlackRock RES & Comm Strat T(BCX) | SHS | 09257A108 | $794 | 95,981 | 0.0% |
| BlackRock MUN 2030 TAR Term(BTT) | COM SHS BEN IN | 09257P105 | $724 | 33,178 | 0.0% |
| Voya Glbl Eqty DIV & Prem OP(XIGDX) | COM | 92912T100 | $580 | 85,527 | 0.0% |
| BlackRock Energy & RES TR(BGR) | COM | 09250U101 | $557 | 38,566 | 0.0% |