Q3 2013 Holdings
Filed 2013-11-14 | 4 holdings | $6.0K | 13F-HR/A | View on SEC ↗ · Holdings Table ↗
Amended (2014-11-14) | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↑ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Resolute Energy Corp | WRT | 76116A116 | $4 | 19,466 | 0.0% |
| China Hydroelectric CPA | WRT | G2112E145 | $6 | 649,292 | 0.1% |
| Crumbs Bake Shop Inc | WRT | 228803110 | $11 | 95,609 | 0.0% |
| Armour Residential REIT Inc | WRT | 042315119 | $15 | 5,036,672 | 0.0% |
| China XD Plastics Co LTD(CXDC) | COM | 16948F107 | $60 | 13,000 | 0.0% |
| Prospect Global Resources in | COM | 74348X202 | $61 | 20,065 | 0.0% |
| Ecotality Inc | COM | 27922202 | $75 | 1,000,000 | 0.0% |
| Aquasition Corp | WRT | Y0192H111 | $76 | 300,000 | 0.0% |
| Chart Acquisition Corp | WRT | 161151113 | $85 | 148,300 | 0.0% |
| Collabrium Japan Acquisition | WRT | G2266G110 | $98 | 350,000 | 0.0% |
| BlackRock High Income Shares | FUND | 09250E107 | $115 | 55,431 | 0.0% |
| Parkervision Inc | COM | 701354102 | $119 | 35,500 | 0.0% |
| Nuveen Dividend ADV Muni 3(NZF) | FUND | 67070X101 | $140 | 11,000 | 0.0% |
| BGS Acquisition Corp | WRT | G1082J118 | $144 | 686,980 | 0.0% |
| Prime Acquisition Corp | WRT | G72436127 | $145 | 181,000 | 0.0% |
| Federated Premier INT Muni | FUND | 31423M105 | $166 | 13,345 | 0.0% |
| Nuveen Muni Advantage Fund | FUND | 67062H106 | $173 | 13,800 | 0.0% |
| Nuveen MD Premium Inc Muni | FUND | 67061Q107 | $174 | 14,350 | 0.0% |
| Andina Acquisition Corp | WRT | G0440W126 | $177 | 295,100 | 0.0% |
| MFS Investment Grade Municip(CXH) | FUND | 59318B108 | $180 | 20,800 | 0.0% |
| Eaton Vance National Municip(EOT) | FUND | 27829L105 | $188 | 10,000 | 0.0% |
| Callidus Software Inc | DEBT | 13123EAB0 | $190 | $150,000 | 0.0% |
| Infinity Cross Border Acquis | WRT | G4772R119 | $204 | 315,000 | 0.0% |
| Nuveen Quality Income Muni | FUND | 670977107 | $212 | 16,900 | 0.0% |
| Wuxi Pharmatech Cayman | ADR | 929352102 | $225 | 8,200 | 0.0% |
| BlackRock Muni Interm Durati(XMUIX) | FUND | 09253X102 | $226 | 15,884 | 0.0% |
| Macquarie Global Infr TOT RT | FUND | 55608D101 | $244 | 11,302 | 0.0% |
| Ebay Inc(EBAY)Put | COM | 278642103 | $257 | 4,600 | 0.0% |
| Invesco Quality Muni Inc TR(IQI) | FUND | 46133G107 | $258 | 22,300 | 0.0% |
| Salesforce.com Inc(CRM) | COM | 79466L302 | $261 | 5,023 | 0.0% |
| Melco Crown Entertainme(MLCO)Call | ADR | 585464100 | $270 | 8,500 | 0.0% |
| CIS Acquisition LTD | WRT | G21490118 | $272 | 774,600 | 0.0% |
| Hovnanian Enterprises | COM | 442487203 | $285 | 54,545 | 0.0% |
| Xueda Education GR | ADR | 98418W109 | $324 | 76,800 | 0.0% |
| Nuveen Select Qualty Muni FD | FUND | 670973106 | $326 | 25,700 | 0.0% |
| Fulton Financial Corp(FULT) | COM | 360271100 | $343 | 29,379 | 0.0% |
| TAL Education Group(TAL) | ADR | 874080104 | $348 | 24,000 | 0.0% |
| Silver Standard Resources | COM | 82823L106 | $369 | 60,000 | 0.0% |
| Royce Focus Trust Inc | FUND | 78080N108 | $414 | 57,342 | 0.0% |
| Bioamber Inc | WRT | 09072Q114 | $430 | 537,800 | 0.0% |
| Atlas Financial Holdings Inc | COM | G06207115 | $432 | 42,209 | 0.0% |
| NQ Mobile IncCall | ADR | 64118U108 | $436 | 20,000 | 0.0% |
| Giant Interactive Group | ADR | 374511103 | $481 | 52,753 | 0.0% |
| Denali Fund | FUND | 24823A102 | $497 | 26,099 | 0.0% |
| Spansion Inc | COM | 84649R200 | $510 | 50,500 | 0.0% |
| China Hydroelectric CPA | ADR | 16949D101 | $518 | 205,974 | 8.6% |
| Prospect Capital Corp | DEBT | 74348TAK8 | $518 | $500,000 | 0.0% |
| Everyware Global Inc | COM | 300439106 | $526 | 46,192 | 0.0% |
| Putnam Managed Muni Incm TRS(PMM) | FUND | 746823103 | $536 | 78,400 | 0.0% |
| Capitol Acquisition Corp II | WRT | 14056V113 | $540 | 899,321 | 0.0% |