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 | 1,104 | 114,984 | SH | SOLE | 114,984 | 0 | 0 | ||
1347 CAP CORP | RIGHT 07/21/2016 | 68245V111 | 29 | 114,984 | SH | SOLE | 114,984 | 0 | 0 | ||
ACTAVIS PLC | SHS | G0083B108 | 680 | 43,200 | SH | Call | SOLE | 43,200 | 0 | 0 | |
AR CAP ACQUISITION CORP | *W EXP 10/06/201 | 00191R117 | 61 | 134,804 | SH | SOLE | 134,804 | 0 | 0 | ||
AR CAP ACQUISITION CORP | COM | 00191R109 | 2,908 | 295,234 | SH | SOLE | 295,234 | 0 | 0 | ||
ARGO GROUP INTL HLDGS LTD | COM | G0464B107 | 4 | 88,783 | SH | SOLE | 88,783 | 0 | 0 | ||
AT&T INC | COM | 00206R102 | 259 | 91,300 | SH | Put | SOLE | 91,300 | 0 | 0 | |
AVIV REIT INC MD | COM | 05381L101 | 5,957 | 163,218 | SH | SOLE | 163,218 | 0 | 0 | ||
CAMBRIDGE CAP ACQUISITION CO | *W EXP 12/17/201 | 13215Q114 | 14 | 58,535 | SH | SOLE | 58,535 | 0 | 0 | ||
CAMBRIDGE CAP ACQUISITION CO | COM | 13215Q106 | 4,437 | 441,508 | SH | SOLE | 441,508 | 0 | 0 | ||
CAPITOL ACQUISITION CORP II | COM | 14056V105 | 9,389 | 928,710 | SH | SOLE | 928,710 | 0 | 0 | ||
COMCAST CORP NEW | CL A | 20030N101 | 3,030 | 53,650 | SH | SOLE | 53,650 | 0 | 0 | ||
DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | 4,727 | 160,378 | SH | SOLE | 160,378 | 0 | 0 | ||
EMULEX CORP | NOTE 1.750%11/1 | 292475AF7 | 1,940 | 1,917,000 | PRN | SOLE | 1,917,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP | UNIT 99/99/9999 | 31809H209 | 992 | 95,860 | SH | SOLE | 95,860 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | *W EXP 06/24/201 | G5866L116 | 11 | 95,533 | SH | SOLE | 95,533 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | RIGHT 06/25/2016 | G5866L132 | 49 | 258,714 | SH | SOLE | 258,714 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | SHS | G5866L108 | 2,486 | 258,714 | SH | SOLE | 258,714 | 0 | 0 | ||
GFI GROUP INC | COM | 361652209 | 284 | 47,930 | SH | SOLE | 47,930 | 0 | 0 | ||
GFI GROUP INC | COM | 361652209 | 23 | 230,500 | SH | Put | SOLE | 230,500 | 0 | 0 | |
GLOBAL DEFENSE & NATL SEC SY | COM | 37953N108 | 4,567 | 440,818 | SH | SOLE | 440,818 | 0 | 0 | ||
HARMONY MERGER CORP | UNIT 99/99/9999 | 413247206 | 2,684 | 268,408 | SH | SOLE | 268,408 | 0 | 0 | ||
HERITAGE FINL GROUP INC | COM | 42726X102 | 5,596 | 205,505 | SH | SOLE | 205,505 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | *W EXP 10/20/202 | 448740118 | 27 | 167,965 | SH | SOLE | 167,965 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | COM | 448740100 | 2,753 | 287,940 | SH | SOLE | 287,940 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | RIGHT 99/99/9999 | 448740126 | 107 | 287,940 | SH | SOLE | 287,940 | 0 | 0 | ||
INTERNATIONAL GAME TECHNOLOG | COM | 459902102 | 855 | 49,098 | SH | SOLE | 49,098 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 6,343 | 127,337 | SH | SOLE | 127,337 | 0 | 0 | ||
LOEWS CORP | COM | 540424108 | 4,603 | 112,732 | SH | SOLE | 112,732 | 0 | 0 | ||
MACERICH CO | COM | 554382101 | 2,015 | 23,900 | SH | SOLE | 23,900 | 0 | 0 | ||
MACERICH CO | COM | 554382101 | 72 | 23,900 | SH | Put | SOLE | 23,900 | 0 | 0 | |
MAVENIR SYS INC | COM | 577675101 | 4,547 | 256,329 | SH | SOLE | 256,329 | 0 | 0 | ||
NEWS CORP NEW | CL B | 65249B208 | 1,850 | 116,588 | SH | SOLE | 116,588 | 0 | 0 | ||
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 1,023 | 84,069 | SH | SOLE | 84,069 | 0 | 0 | ||
OFFICE DEPOT INC | COM | 676220106 | 38 | 95,900 | SH | Put | SOLE | 95,900 | 0 | 0 | |
QUINPARIO ACQUISITION CORP 2 | *W EXP 01/01/202 | 74874U119 | 336 | 671,020 | SH | SOLE | 671,020 | 0 | 0 | ||
QUINPARIO ACQUISITION CORP 2 | COM | 74874U101 | 6,576 | 671,020 | SH | SOLE | 671,020 | 0 | 0 | ||
RIVERBED TECHNOLOGY INC | COM | 768573107 | 15 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
ROI ACQUISITION CORP II | *W EXP 09/17/201 | 74966G119 | 35 | 168,483 | SH | SOLE | 168,483 | 0 | 0 | ||
ROI ACQUISITION CORP II | COM | 74966G101 | 4,292 | 432,678 | SH | SOLE | 432,678 | 0 | 0 | ||
SALIX PHARMACEUTICALS INC | COM | 795435106 | 67 | 231,400 | SH | Put | SOLE | 231,400 | 0 | 0 | |
SALIX PHARMACEUTICALS INC | COM | 795435106 | 1,091 | 48,200 | SH | Call | SOLE | 48,200 | 0 | 0 | |
SALIX PHARMACEUTICALS INC | NOTE 1.500% 3/1/19 | 795435AE6 | 22,962 | 8,627,000 | PRN | SOLE | 8,627,000 | 0 | 0 | ||
SINO MERCURY ACQUISITION COR | COM | 82936K102 | 939 | 95,810 | SH | SOLE | 95,810 | 0 | 0 | ||
SINO MERCURY ACQUISITION COR | RIGHT 08/26/2016 | 82936K110 | 28 | 95,810 | SH | SOLE | 95,810 | 0 | 0 | ||
TALISMAN ENERGY INC | COM | 87425E103 | 61 | 174,800 | SH | Put | SOLE | 174,800 | 0 | 0 | |
TALISMAN ENERGY INC | COM | 87425E103 | 155 | 84,500 | SH | Call | SOLE | 84,500 | 0 | 0 | |
TERRAPIN 3 ACQUISITION CORP | COM CL A | 88104P104 | 4,316 | 431,627 | SH | SOLE | 431,627 | 0 | 0 | ||
TIME WARNER CABLE INC | COM | 88732J207 | 2,290 | 15,282 | SH | SOLE | 15,282 | 0 | 0 | ||
VIACOM INC NEW | CL A | 92553P102 | 8,533 | 124,173 | SH | SOLE | 124,173 | 0 | 0 | ||
WL ROSS HLDG CORP | *W EXP 06/11/201 | 92939D112 | 111 | 170,605 | SH | SOLE | 170,605 | 0 | 0 | ||
WL ROSS HLDG CORP | COM SHS | 92939D104 | 2,918 | 291,809 | SH | SOLE | 291,809 | 0 | 0 | ||
W.R. BERKLEY CORP. | COM | 084423102 | 1,907 | 37,764 | SH | SOLE | 37,764 | 0 | 0 | ||
HEALTHEQUITY INC | COM | 42226A107 | 384,700 | 15,394,151 | SH | SOLE | 15,394,151 | 0 | 0 | ||
POTASH CORP. OF SASKATCHEWAN INC. | COM | 73755L107 | 35,116 | 1,088,858 | SH | SOLE | 1,088,858 | 0 | 0 | ||
TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | 1,797 | 17,138 | SH | SOLE | 17,138 | 0 | 0 | ||
TRW AUTOMOTIVE HLDGS CORP | COM | 87264S106 | 2,862 | 5,724 | SH | Call | SOLE | 5,724 | 0 | 0 | |
ARUBA NETWORKS INC | COM | 043176106 | 1,174 | 47,930 | SH | SOLE | 47,930 | 0 | 0 | ||
ARUBA NETWORKS INC | COM | 043176106 | 81 | 47,900 | SH | Call | SOLE | 47,900 | 0 | 0 | |
BANK KY FINL CORP | COM | 062896105 | 2,896 | 59,044 | SH | SOLE | 59,044 | 0 | 0 | ||
COURIER CORP | COM | 222660102 | 5,922 | 241,898 | SH | SOLE | 241,898 | 0 | 0 | ||
DIRECTV | COM | 25490A309 | 6,114 | 71,850 | SH | SOLE | 71,850 | 0 | 0 | ||
EXELIS INC | COM | 30162A108 | 12,725 | 522,149 | SH | SOLE | 522,149 | 0 | 0 | ||
EXELIS INC | COM | 30162A108 | 25 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
FAMILY DLR STORES INC | COM | 307000109 | 26,305 | 331,962 | SH | SOLE | 331,962 | 0 | 0 | ||
FAMILY DLR STORES INC | COM | 307000109 | 18 | 93,800 | SH | Put | SOLE | 93,800 | 0 | 0 | |
PHARMACYCLICS INC | COM | 716933106 | 1,227 | 4,793 | SH | SOLE | 4,793 | 0 | 0 | ||
PHARMACYCLICS INC | COM | 716933106 | 2,360 | 115,100 | SH | Call | SOLE | 115,100 | 0 | 0 | |
RTI INTL METALS INC | COM | 74973W107 | 3,033 | 84,452 | SH | SOLE | 84,452 | 0 | 0 | ||
ADVENT SOFTWARE INC | COM | 007974108 | 4,358 | 98,572 | SH | SOLE | 98,572 | 0 | 0 | ||
ADVENT SOFTWARE INC | COM | 007974108 | 146 | 3,400 | SH | Call | SOLE | 3,400 | 0 | 0 | |
BRIDGE CAP HLDGS | COM | 108030107 | 4,317 | 144,463 | SH | SOLE | 144,463 | 0 | 0 | ||
CATAMARAN CORP | COM | 148887102 | 2,080 | 34,047 | SH | SOLE | 34,047 | 0 | 0 | ||
CATAMARAN CORP | COM | 148887102 | 30 | 138,100 | SH | Put | SOLE | 138,100 | 0 | 0 | |
CATAMARAN CORP | COM | 148887102 | 661 | 190,000 | SH | Call | SOLE | 190,000 | 0 | 0 | |
CITY NATL CORP | COM | 178566105 | 23,774 | 266,884 | SH | SOLE | 266,884 | 0 | 0 | ||
FREESCALE SEMICONDUCTOR LTD | SHS | G3727Q101 | 11,233 | 275,597 | SH | SOLE | 275,597 | 0 | 0 | ||
HOSPIRA INC | COM | 441060100 | 14,736 | 167,755 | SH | SOLE | 167,755 | 0 | 0 | ||
HOSPIRA INC | COM | 441060100 | 625 | 143,700 | SH | Call | SOLE | 143,700 | 0 | 0 | |
ORBITZ WORLDWIDE INC | COM | 68557K109 | 18 | 72,500 | SH | Put | SOLE | 72,500 | 0 | 0 | |
ORBITZ WORLDWIDE INC | COM | 68557K109 | 5 | 47,900 | SH | Call | SOLE | 72,500 | 0 | 0 |