The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
1347 CAP CORP | COM | 68245V103 | 2,153 | 232,546 | SH | SOLE | 0 | 0 | 0 | ||
AR CAP ACQUISITION CORP | COM | 00191R109 | 10,762 | 1,083,762 | SH | SOLE | 0 | 0 | 0 | ||
AR CAP ACQUISITION CORP | W EXP 10/06/201 | 00191R117 | 1 | 1,918,538 | SH | SOLE | 0 | 0 | 0 | ||
AROWANA INC | RIGHT 01/01/2017 | G05011120 | 31 | 157,116 | SH | SOLE | 0 | 0 | 0 | ||
AROWANA INC | SHS | G05011104 | 2,056 | 204,197 | SH | SOLE | 0 | 0 | 0 | ||
AROWANA INC | W EXP 04/29/202 | G05011112 | 16 | 199,445 | SH | SOLE | 0 | 0 | 0 | ||
ATLANTIC ALLIANCE PARTNER CO | SHS | G04897107 | 335 | 32,267 | SH | SOLE | 0 | 0 | 0 | ||
AXIALL CORP | COM | 05463D100 | 41,984 | 1,287,467 | SH | SOLE | 0 | 0 | 0 | ||
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 1,913 | 190,751 | SH | SOLE | 0 | 0 | 0 | ||
BARINGTON HILCO ACQUISITION | RIGHT 02/13/2017 | 06759V119 | 11 | 77,231 | SH | SOLE | 0 | 0 | 0 | ||
BARINGTON HILCO ACQUISITION | W EXP 02/11/201 | 06759V127 | 5 | 77,231 | SH | SOLE | 0 | 0 | 0 | ||
BOULEVARD ACQUISITION | CL A | 10157Q102 | 14,024 | 1,438,398 | SH | SOLE | 0 | 0 | 0 | ||
BOULEVARD ACQUISITION | W EXP 09/25/202 | 10157Q110 | 144 | 435,859 | SH | SOLE | 0 | 0 | 0 | ||
CAPITOL ACQUISITION CORP III | COM | 14055M106 | 11,741 | 1,210,436 | SH | SOLE | 0 | 0 | 0 | ||
CAPITOL ACQUISITION CORP III | W EXP 10/13/202 | 14055M114 | 94 | 268,816 | SH | SOLE | 0 | 0 | 0 | ||
CELATOR PHARMACEUTICALS INC | COM | 15089R102 | 29,147 | 965,785 | SH | SOLE | 0 | 0 | 0 | ||
CF CORP | UNIT 99/99/9999 | G20307123 | 12,527 | 1,262,800 | SH | SOLE | 0 | 0 | 0 | ||
COMMUNITY HEALTH SYS INC NEW | NEW RIGHT 99/99/9999 | 203668116 | 0 | 76,569 | SH | SOLE | 0 | 0 | 0 | ||
DEMANDWARE INC | COM | 24802Y105 | 68,733 | 917,662 | SH | SOLE | 0 | 0 | 0 | ||
DIAMOND RESORTS INTL INC | COM | 25272T104 | 25,466 | 850,000 | SH | SOLE | 0 | 0 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | UNIT 99/99/9999 | G28195108 | 2,963 | 302,640 | SH | SOLE | 0 | 0 | 0 | ||
DOUBLE EAGLE ACQUISITION COR | W EXP 09/16/202 | G28195116 | 54 | 255,032 | SH | SOLE | 0 | 0 | 0 | ||
E COMPASS ACQUISITION CORP | ORD SHS | G2920Y101 | 428 | 42,344 | SH | SOLE | 0 | 0 | 0 | ||
E COMPASS ACQUISITION CORP | RIGHT 02/18/2017 | G2920Y119 | 11 | 42,344 | SH | SOLE | 0 | 0 | 0 | ||
EASTERLY ACQUISITION CORP | COM | 27616L102 | 5,628 | 574,869 | SH | SOLE | 0 | 0 | 0 | ||
EASTERLY ACQUISITION CORP | W EXP 07/29/202 | 27616L110 | 33 | 50,000 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRO RENT CORP | COM | 285218103 | 1,909 | 123,907 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 9,039 | 924,205 | SH | SOLE | 0 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | W EXP 99/99/999 | G3105C112 | 88 | 359,415 | SH | SOLE | 0 | 0 | 0 | ||
ELIZABETH ARDEN INC | COM | 28660G106 | 5,161 | 375,100 | SH | SOLE | 0 | 0 | 0 | ||
EXAMWORKS GROUP INC | COM | 30066A105 | 31,059 | 891,211 | SH | SOLE | 0 | 0 | 0 | ||
FAIRCHILD SEMICONDUCTOR INTL | COM | 303726103 | 36 | 1,800 | SH | SOLE | 0 | 0 | 0 | ||
FINTECH ACQUISITION CORP | COM | 31809H100 | 114 | 11,441 | SH | SOLE | 0 | 0 | 0 | ||
FINTECH ACQUISITION CORP | W EXP 02/19/202 | 31809H118 | 4 | 5,000 | SH | SOLE | 0 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | RIGHT 06/25/2016 | G5866L132 | 16 | 177,993 | SH | SOLE | 0 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | W EXP 06/24/201 | G5866L116 | 33 | 823,781 | SH | SOLE | 0 | 0 | 0 | ||
GLOBAL PARTNER ACQUISITION C | COM | 37954X105 | 6,667 | 680,327 | SH | SOLE | 0 | 0 | 0 | ||
GLOBAL PARTNER ACQUISITION C | W EXP 07/01/202 | 37954X113 | 97 | 460,727 | SH | SOLE | 0 | 0 | 0 | ||
GORES HLDGS INC | CL A | 382866101 | 451 | 46,307 | SH | SOLE | 0 | 0 | 0 | ||
GP INVTS ACQUISITION COR | SHS | G40357124 | 914 | 94,267 | SH | SOLE | 0 | 0 | 0 | ||
HARMONY MERGER CORP | COM | 413247107 | 4,320 | 430,670 | SH | SOLE | 0 | 0 | 0 | ||
HARMONY MERGER CORP | W EXP 01/01/202 | 413247123 | 13 | 66,007 | SH | SOLE | 0 | 0 | 0 | ||
HEARTWARE INTL INC | COM | 422368100 | 32,743 | 566,972 | SH | SOLE | 0 | 0 | 0 | ||
HEARTWARE INTL INC | NOTE 1.750%12/1 | 422368AC4 | 21,316 | 21,545,000 | PRN | SOLE | 0 | 0 | 0 | ||
HENNESSY CAP ACQUISITION COR | COM | 42588J100 | 11,607 | 1,184,580 | SH | SOLE | 0 | 0 | 0 | ||
HENNESSY CAP ACQUISITION COR | COM | 42588J100 | 175 | 17,900 | SH | SOLE | 0 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | COM | 448740100 | 8,983 | 908,305 | SH | SOLE | 0 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | RIGHT 99/99/9999 | 448740126 | 43 | 213,501 | SH | SOLE | 0 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | W EXP 10/20/202 | 448740118 | 46 | 219,401 | SH | SOLE | 0 | 0 | 0 | ||
INCONTACT INC | NOTE 2.500% 4/0 | 45336EAB5 | 26,170 | 1,889,504 | PRN | SOLE | 0 | 0 | 0 | ||
INGRAM MICRO INC | CL A | 457153104 | 4,928 | 141,700 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | COM | 47632B102 | 3,031 | 307,132 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | RIGHT 99/99/9999 | 47632B128 | 43 | 307,132 | SH | SOLE | 0 | 0 | 0 | ||
JENSYN ACQUISITION CORP | W EXP 03/01/202 | 47632B110 | 18 | 307,132 | SH | SOLE | 0 | 0 | 0 | ||
JM GLOBAL HLDG CO | COM | 46590H101 | 2,038 | 209,004 | SH | SOLE | 0 | 0 | 0 | ||
JM GLOBAL HLDG CO | W EXP 07/29/201 | 46590H119 | 33 | 234,716 | SH | SOLE | 0 | 0 | 0 | ||
KLA-TENCOR CORP | COM | 482480100 | 1,465 | 20,000 | SH | SOLE | 0 | 0 | 0 | ||
KLR ENERGY ACQUISITION CORP | CL A | 49877M108 | 3,756 | 375,554 | SH | SOLE | 0 | 0 | 0 | ||
KLR ENERGY ACQUISITION CORP | W EXP 09/16/202 | 49877M116 | 59 | 347,090 | SH | SOLE | 0 | 0 | 0 | ||
KRISPY KREME DOUGHNUTS INC | COM | 501014104 | 5,716 | 272,708 | SH | SOLE | 0 | 0 | 0 | ||
LDR HLDG CORP | COM | 50185U105 | 6,618 | 179,116 | SH | SOLE | 0 | 0 | 0 | ||
LINKEDIN CORP | NOTE 0.500%11/0 | 53578AAB4 | 10,362 | 10,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
LINKEDIN CORP | COM | 53578A108 | 52,177 | 275,704 | SH | SOLE | 0 | 0 | 0 | ||
LORAL SPACE & COMMUNICATNS I | COM | 543881106 | 4 | 100 | SH | SOLE | 0 | 0 | 0 | ||
MARKETO INC | COM | 57063L107 | 75,668 | 2,173,118 | SH | SOLE | 0 | 0 | 0 | ||
MARKETO INC | CALL | 57063L907 | 2 | 5 | SH | Call | SOLE | 0 | 0 | 0 | |
ORIGO ACQUISITION CORP | SHS | G67789126 | 2,372 | 232,110 | SH | SOLE | 0 | 0 | 0 | ||
PACE HLDGS CORP | CL A | G6865N103 | 2,821 | 286,400 | SH | SOLE | 0 | 0 | 0 | ||
PACE HLDGS CORP | W EXP 99/99/999 | G6865N111 | 35 | 138,900 | SH | SOLE | 0 | 0 | 0 | ||
PACIFIC SPL ACQUISITION CORP | RIGHT 03/15/2017 | G68588113 | 12 | 56,539 | SH | SOLE | 0 | 0 | 0 | ||
PACIFIC SPL ACQUISITION CORP | SHS | G68588105 | 578 | 56,539 | SH | SOLE | 0 | 0 | 0 | ||
PACIFIC SPL ACQUISITION CORP | W EXP 10/20/202 | G68588121 | 6 | 56,539 | SH | SOLE | 0 | 0 | 0 | ||
QIHOO 360 TECHNOLOGY CO LTD | NOTE 0.500% 8/1 | 74734MAE9 | 4,867 | 4,944,000 | PRN | SOLE | 0 | 0 | 0 | ||
QIHOO 360 TECHNOLOGY CO LTD | NOTE 2.500% 9/1 | 74734MAB5 | 7,786 | 7,850,000 | PRN | SOLE | 0 | 0 | 0 | ||
QLIK TECHNOLOGIES INC | COM | 74733T105 | 18,416 | 622,568 | SH | SOLE | 0 | 0 | 0 | ||
QLOGIC CORP | COM | 747277101 | 19,814 | 1,344,223 | SH | SOLE | 0 | 0 | 0 | ||
QUINPARIO ACQUISITION CORP 2 | COM | 74874U101 | 12,843 | 1,298,610 | SH | SOLE | 0 | 0 | 0 | ||
QUINPARIO ACQUISITION CORP 2 | W EXP 01/01/202 | 74874U119 | 117 | 648,545 | SH | SOLE | 0 | 0 | 0 | ||
REACHLOCAL INC | COM | 75525F104 | 2,230 | 490,000 | SH | SOLE | 0 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 1 | 100 | SH | SOLE | 0 | 0 | 0 | ||
ROUSE PPTYS INC | COM | 779287101 | 2 | 100 | SH | SOLE | 0 | 0 | 0 | ||
SCIQUEST INC NEW | COM | 80908T101 | 17,036 | 964,676 | SH | SOLE | 0 | 0 | 0 | ||
ST JUDE MED INC | COM | 790849103 | 17,316 | 222,000 | SH | SOLE | 0 | 0 | 0 | ||
STARWOOD HOTELS&RESORTS WRLD | COM | 85590A401 | 25,446 | 344,100 | SH | SOLE | 0 | 0 | 0 | ||
SYMMETRY SURGICAL INC | COM | 87159G100 | 1,403 | 106,875 | SH | SOLE | 0 | 0 | 0 | ||
TERRAPIN 3 ACQUISITION CORP | COM CL A | 88104P104 | 8,060 | 809,212 | SH | SOLE | 0 | 0 | 0 | ||
TERRAPIN 3 ACQUISITION CORP | W EXP 06/27/201 | 88104P112 | 165 | 784,929 | SH | SOLE | 0 | 0 | 0 | ||
TIVO INC | NOTE 2.000%10/0 | 888706AF5 | 15,620 | 16,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
UNITED ONLINE INC | COM NEW | 911268209 | 1 | 100 | SH | SOLE | 0 | 0 | 0 | ||
VALSPAR CORP | COM | 920355104 | 18,498 | 171,232 | SH | SOLE | 0 | 0 | 0 | ||
VIRGIN AMER INC | COM VTG | 92765X208 | 36,452 | 648,501 | SH | SOLE | 0 | 0 | 0 | ||
WEX INC | COM | 96208T104 | 18 | 200 | SH | SOLE | 0 | 0 | 0 | ||
XENOPORT INC | COM | 98411C100 | 1,401 | 199,000 | SH | SOLE | 0 | 0 | 0 | ||
XURA INC | COM | 98420V107 | 4,858 | 198,872 | SH | SOLE | 0 | 0 | 0 |