Q3 2014 Holdings
Filed 2014-11-14 | 50 holdings | $853.8K | 13F-HR | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↓ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Micron Technology Inc | NOTE 2.375% 5/0 | 595112AW3 | $120.1K | $33,570,000 | 14.1% |
| XM Satellite Radio | Note 7.0000% 01-Dec-2014 | 98375YAU0 | $111.8K | $58,790,000 | 13.1% |
| Powershares QQQ TrustCall | UNIT SER 1 | 73935A104 | $74.1K | 750,000 | 8.7% |
| Spdr S&P 500 ETF TR(SPY)Put | TR UNIT | 78462F103 | $59.1K | 300,000 | 6.9% |
| Salix Pharmaceuticals Inc | NOTE 1.500% 3/1 | 795435AE6 | $47.7K | $19,709,000 | 5.6% |
| Cemex SAB de CV | NOTE 3.250% 3/1 | 151290BB8 | $34.2K | $24,250,000 | 4.0% |
| Starwood Ppty TR Inc | NOTE 4.000% 1/1 | 85571BAB1 | $28.1K | $25,850,000 | 3.3% |
| Tyson Foods Inc | UNIT 99/99/9999 | 902494301 | $26.5K | $26,250,000 | 3.1% |
| Vipshop Hldgs LTD | NOTE 1.500% 3/1 | 92763WAA1 | $26.1K | $22,000,000 | 3.1% |
| American Rlty Cap Pptys Inc | NOTE 3.000% 8/0 | 02917TAA2 | $23.7K | $23,831,000 | 2.8% |
| AK STL Corp | NOTE 5.000%11/1 | 001546AP5 | $20.9K | $12,325,000 | 2.4% |
| Take-Two Interactive Softwar | NOTE 1.750%12/0 | 874054AC3 | $20.0K | $15,000,000 | 2.3% |
| PDL Biopharma Inc | NOTE 4.000% 2/0 | 69329YAF1 | $18.1K | $18,500,000 | 2.1% |
| Ishares TR(IYR)Put | U.S. REAL ES ETF | 464287739 | $17.3K | 250,000 | 2.0% |
| Enersys | NOTE 3.375% 6/0 | 29275YAA0 | $17.3K | $11,692,000 | 2.0% |
| Vector Group LTD | FRNT 1/1 | 92240MAY4 | $14.7K | $10,000,000 | 1.7% |
| Spirit Rlty Cap Inc New | NOTE 3.750% 5/1 | 84860WAB8 | $14.3K | $14,750,000 | 1.7% |
| Stillwater MNG Co | NOTE 1.750%10/1 | 86074QAL6 | $14.0K | $11,000,000 | 1.6% |
| Shutterfly Inc | NOTE 0.250% 5/1 | 82568PAB2 | $13.5K | $13,000,000 | 1.6% |
| Auxilium Pharmaceuticals Inc | NOTE 1.500% 7/1 | 05334DAA5 | $13.2K | $10,000,000 | 1.5% |
| BPZ Resources Inc | NOTE 8.500%10/0 | 055639AC2 | $12.4K | $12,550,000 | 1.4% |
| Fluidigm Corp del | NOTE 2.750% 2/0 | 34385PAA6 | $11.6K | $13,000,000 | 1.4% |
| Servicesource Intl LLC | NOTE 1.500% 8/0 | 81763UAB6 | $10.7K | $13,973,000 | 1.3% |
| Vector Group LTD | NOTE 1.750% 4/1 | 92240MBC1 | $10.3K | $9,200,000 | 1.2% |
| Keyw Hldg Corp | NOTE 2.500% 7/1 | 493723AA8 | $10.0K | $10,000,000 | 1.2% |
| Apollo Coml Real EST FIN Inc | NOTE 5.500% 3/1 | 03762UAA3 | $10.0K | $10,000,000 | 1.2% |
| Blackstone MTG TR Inc | NOTE 5.250%12/0 | 09257WAA8 | $9.6K | $9,200,000 | 1.1% |
| Ciena Corp | Note 4.0000% 15-Mar-2015 | 171779AF8 | $8.3K | $8,000,000 | 1.0% |
| Kinder Morgan Inc del | *W EXP 05/25/201 | 49456B119 | $7.2K | 1,968,900 | 0.8% |
| Priceline GRP IncCall | COM NEW | 741503403 | $5.8K | 5,000 | 0.7% |
| Merrimack Pharmaceuticals in | NOTE 4.500% 7/1 | 590328AA8 | $5.5K | $3,500,000 | 0.6% |
| Exelixis Inc | NOTE 4.250% 8/1 | 30161QAC8 | $5.3K | $9,300,000 | 0.6% |
| Ocwen Finl CorpCall | COM NEW | 675746309 | $5.2K | 200,000 | 0.6% |
| Gulf Coast Ultra Deep RTY TR | ROYALTY TR UNT | 40222T104 | $4.9K | 2,440,296 | 0.6% |
| Solazyme Inc | NOTE 5.000%10/0 | 83415TAC5 | $4.5K | $5,000,000 | 0.5% |
| Penney J C IncCall | COM | 708160106 | $4.4K | 441,100 | 0.5% |
| Spdr Series Trust(KBE) | S&P BK ETF | 78464A797 | $3.0K | 95,000 | 0.4% |
| Amag Pharmaceuticals Inc | NOTE 2.500% 2/1 | 00163UAA4 | $2.7K | $2,000,000 | 0.3% |
| Keyw Hldg Corp | COM | 493723100 | $2.1K | 186,487 | 0.2% |
| Orexigen Therapeutics Inc | COM | 686164104 | $1.7K | 392,126 | 0.2% |
| Newmont Mining Corp(NEM) | COM | 651639106 | $1.0K | 44,300 | 0.1% |
| Medical Transcription BLG Co | COM | 58464J105 | $881 | 247,486 | 0.1% |
| Molycorp Inc del | COM | 608753109 | $790 | 663,985 | 0.1% |
| BPZ Resources Inc | COM | 055639108 | $547 | 286,582 | 0.1% |
| Sanofi | RIGHT 12/31/2020 | 80105N113 | $430 | 924,600 | 0.1% |
| Merrimack Pharmaceuticals in | COM | 590328100 | $166 | 18,950 | 0.0% |
| Orexigen Therapeutics IncCall | COM | 686164104 | $110 | 25,900 | 0.0% |
| Advaxis Inc | *W EXP 07/15/201 | 007624117 | $92 | 88,350 | 0.0% |
| Citigroup Inc | *W EXP 10/28/201 | 172967234 | $55 | 1,585,386 | 0.0% |
| Servicesource Intl LLC | COM | 81763U100 | $39 | 12,162 | 0.0% |