Q3 2015 Holdings
Filed 2015-11-13 | 42 holdings | $8.4M | 13F-HR | View on SEC ↗ · Holdings Table ↗
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| Issuer | Class | CUSIP | Value ↓ | Shares | % Portfolio |
|---|---|---|---|---|---|
| Ciena Corp(CIEN) | COM NEW | 171779309 | $6.8M | 328,289 | 80.5% |
| Centrus Energy Corp(LEU) | CL A | 15643U104 | $693.0K | 227,059 | 8.2% |
| Kinder Morgan Inc del | *W EXP 05/25/201 | 49456B119 | $536.4K | 1,937,986 | 6.4% |
| Citigroup Inc | *W EXP 10/28/201 | 172967234 | $78.7K | 158,539 | 0.9% |
| Electronic Arts Inc | NOTE 0.750% 7/1 | 285512AA7 | $68.1K | $32,000,000 | 0.8% |
| Merrimack Pharmaceuticals in | NOTE 4.500% 7/1 | 590328AA8 | $22.7K | $14,500,000 | 0.3% |
| Affymetrix Inc | NOTE 4.000% 7/0 | 00826TAH1 | $19.6K | $12,500,000 | 0.2% |
| Iconix Brand Group Inc | NOTE 2.500% 6/0 | 451055AE7 | $17.5K | $18,500,000 | 0.2% |
| Starwood Ppty TR Inc | NOTE 3.750%10/1 | 85571BAC9 | $17.4K | $17,500,000 | 0.2% |
| Nvidia Corp | NOTE 1.000%12/0 | 67066GAC8 | $16.5K | $12,500,000 | 0.2% |
| Sunedison Inc | NOTE 2.750% 1/0 | 86732YAD1 | $15.3K | $21,688,000 | 0.2% |
| Servicesource Intl LLC | NOTE 1.500% 8/0 | 81763UAB6 | $14.2K | $16,500,000 | 0.2% |
| Mentor Graphics Corp | SDCV 4.000% 4/0 | 587200AK2 | $13.0K | $10,267,000 | 0.2% |
| Apollo Coml Real EST FIN Inc | NOTE 5.500% 3/1 | 03762UAA3 | $12.8K | $13,000,000 | 0.2% |
| Orexigen Therapeutics Inc | NOTE 2.750%12/0 | 686164AB0 | $12.0K | $17,282,000 | 0.1% |
| Anthem Inc(ELV) | COM | 036752103 | $11.4K | 81,385 | 0.1% |
| Spirit Rlty Cap Inc New | NOTE 2.875% 5/1 | 84860WAA0 | $11.4K | $12,200,000 | 0.1% |
| PDL Biopharma Inc | NOTE 4.000% 2/0 | 69329YAF1 | $11.2K | $12,929,000 | 0.1% |
| Jazz Technologies Inc New | NOTE 8.000%12/3 | 47214GAF4 | $10.8K | $7,420,000 | 0.1% |
| Vector Group LTD | NOTE 1.750% 4/1 | 92240MBC1 | $10.3K | $9,200,000 | 0.1% |
| Chesapeake Energy Corp | NOTE 2.500% 5/1 | 165167CA3 | $8.7K | $10,000,000 | 0.1% |
| Priceline GRP IncCall | COM NEW | 741503403 | $7.4K | 6,000 | 0.1% |
| Ciena Corp(CIEN)Put | COM NEW | 171779309 | $5.2K | 250,000 | 0.1% |
| ON Semiconductor Corp | NOTE 2.625%12/1 | 682189AH8 | $5.0K | $4,500,000 | 0.1% |
| Solazyme Inc | NOTE 5.000%10/0 | 83415TAC5 | $4.6K | $8,400,000 | 0.1% |
| Keyw Hldg Corp | NOTE 2.500% 7/1 | 493723AA8 | $4.3K | $5,695,000 | 0.1% |
| Carriage Svcs Inc | NOTE 2.750% 3/1 | 143905AM9 | $3.6K | $3,215,000 | 0.0% |
| Cobalt Intl Energy Inc | NOTE 3.125% 5/1 | 19075FAB2 | $3.1K | $5,000,000 | 0.0% |
| Energy XXI Bermuda LTD | NOTE 3.000%12/1 | 29274UAB7 | $3.1K | $31,228,000 | 0.0% |
| Orexigen Therapeutics Inc | COM | 686164104 | $1.5K | 703,493 | 0.0% |
| KLX Inc | COM | 482539103 | $840 | 23,501 | 0.0% |
| PTC Therapeutics Inc(PTCT)Call | COM | 69366J200 | $820 | 30,700 | 0.0% |
| PTC Therapeutics Inc(PTCT) | COM | 69366J200 | $721 | 27,000 | 0.0% |
| Topbuild Corp(BLD) | COM | 89055F103 | $688 | 22,210 | 0.0% |
| Capital Southwest Corp(CSWC) | COM | 140501107 | $668 | 14,096 | 0.0% |
| Fuelcell Energy Inc | COM | 35952H106 | $514 | 698,730 | 0.0% |
| Keyw Hldg Corp | COM | 493723100 | $511 | 83,128 | 0.0% |
| Ishares TR(TLT) | 20+ YR TR BD ETF | 464287432 | $366 | 2,966 | 0.0% |
| Medical Transcription BLG Co | COM | 58464J105 | $352 | 194,388 | 0.0% |
| Sanofi | RIGHT 12/31/2020 | 80105N113 | $176 | 924,300 | 0.0% |
| Gulf Coast Ultra Deep RTY TR | ROYALTY TR UNT | 40222T104 | $143 | 494,435 | 0.0% |
| Orexigen Therapeutics IncCall | COM | 686164104 | $106 | 50,400 | 0.0% |