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 |
AETNA INC NEW | COM | 00817Y108 | 10,143 | 50,000 | SH | SOLE | 46,360 | 0 | 3,640 | ||
AKORN INC | COM | 009728106 | 4,982 | 383,818 | SH | SOLE | 359,203 | 0 | 24,615 | ||
ALLEGRO MERGER CORP | UNIT 12/31/2023 | 01749N301 | 3,702 | 360,500 | SH | SOLE | 312,500 | 0 | 48,000 | ||
ALTA MESA RES INC | *W EXP 03/28/202 | 02133L117 | 188 | 376,492 | SH | SOLE | 350,707 | 0 | 25,785 | ||
ALTA MESA RES INC | CL A | 02133L109 | 2,531 | 605,459 | SH | SOLE | 562,952 | 0 | 42,507 | ||
ANDEAVOR | COM | 03349M105 | 13,048 | 85,000 | SH | SOLE | 79,160 | 0 | 5,840 | ||
AV HOMES INC | COM | 00234P102 | 3,678 | 183,910 | SH | SOLE | 163,940 | 0 | 19,970 | ||
AVISTA CORP | COM | 05379B107 | 7,581 | 149,932 | SH | SOLE | 139,890 | 0 | 10,042 | ||
AVISTA HEALTHCARE PUB ACQ CO | *W EXP 10/07/202 | G0726L117 | 179 | 896,122 | SH | SOLE | 831,970 | 0 | 64,152 | ||
BIG ROCK PARTNERS ACQUISI CO | *W EXP 12/01/202 | 089482111 | 25 | 56,500 | SH | SOLE | 46,650 | 0 | 9,850 | ||
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 57 | 113,000 | SH | SOLE | 93,300 | 0 | 19,700 | ||
BIG ROCK PARTNERS ACQUISI CO | COM | 089482103 | 972 | 97,067 | SH | SOLE | 80,145 | 0 | 16,922 | ||
BLACK RIDGE ACQUISITION CORP | RIGHT 07/10/2019 | 09216T123 | 63 | 170,000 | SH | SOLE | 158,703 | 0 | 11,297 | ||
BLACK RIDGE ACQUISITION CORP | *W EXP 07/10/202 | 09216T115 | 122 | 270,000 | SH | SOLE | 252,057 | 0 | 17,943 | ||
CA INC | COM | 12673P105 | 8,168 | 185,000 | SH | SOLE | 166,860 | 0 | 18,140 | ||
CAPITOL INVT CORP IV | CL A ORD | G18920101 | 2,390 | 241,200 | SH | SOLE | 220,019 | 0 | 21,181 | ||
CAPITOL INVT CORP IV | UNIT 99/99/9999 | G18920119 | 4,441 | 427,801 | SH | SOLE | 401,524 | 0 | 26,277 | ||
CHURCHILL CAP CORP | UNIT 99/99/9999 | 17142R202 | 10,141 | 1,001,100 | SH | SOLE | 866,100 | 0 | 135,000 | ||
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 1,678 | 165,817 | SH | SOLE | 136,491 | 0 | 29,326 | ||
CONSTELLATION ALPHA CAP CORP | *W EXP 03/23/202 | G2379F116 | 193 | 877,550 | SH | SOLE | 806,117 | 0 | 71,433 | ||
CONSTELLATION ALPHA CAP CORP | RIGHT 99/99/9999 | G2379F132 | 86 | 216,200 | SH | SOLE | 182,163 | 0 | 34,037 | ||
DFB HEALTHCARE ACQUISTION CO | UNIT 01/30/2023 | 23291E208 | 2,447 | 231,051 | SH | SOLE | 202,697 | 0 | 28,354 | ||
DRAPER OAKWOOD TECHNOLOGY | UNIT 09/30/2024 | 26146L202 | 906 | 82,325 | SH | SOLE | 72,988 | 0 | 9,337 | ||
ENERGY XXI GULF COAST INC | COM | 29276K101 | 3,471 | 415,200 | SH | SOLE | 365,200 | 0 | 50,000 | ||
ENVISION HEALTHCARE CORP | COM | 29414D100 | 5,259 | 115,000 | SH | SOLE | 106,000 | 0 | 9,000 | ||
EXPRESS SCRIPTS HLDG CO | COM | 30219G108 | 6,651 | 70,000 | SH | SOLE | 63,000 | 0 | 7,000 | ||
FAR PT ACQUISITION CORP | UNIT 06/01/2025 | 30734W208 | 7,367 | 716,632 | SH | SOLE | 664,632 | 0 | 52,000 | ||
FEDERAL STR ACQUISITION CORP | UNIT 99/99/9999 | 31421V206 | 0 | 2 | SH | SOLE | 2 | 0 | 0 | ||
FEDERAL STR ACQUISITION CORP | *W EXP 07/24/202 | 31421V115 | 635 | 437,661 | SH | SOLE | 404,130 | 0 | 33,531 | ||
FEDERAL STR ACQUISITION CORP | CL A | 31421V107 | 7,427 | 734,656 | SH | SOLE | 669,248 | 0 | 65,408 | ||
FOREST CITY RLTY TR INC | COM CL A | 345605109 | 11,291 | 450,000 | SH | SOLE | 417,750 | 0 | 32,250 | ||
FORUM MERGER II CORP | UNIT 09/30/2025 | 34986F202 | 3,603 | 355,671 | SH | SOLE | 306,020 | 0 | 49,651 | ||
GIGCAPITAL INC | UNIT 03/06/2025 | 37518N205 | 2,952 | 274,900 | SH | SOLE | 252,086 | 0 | 22,814 | ||
GORES HLDGS II INC | COM CL A | 382867109 | 5,205 | 490,131 | SH | SOLE | 448,940 | 0 | 41,191 | ||
GORES HLDGS II INC | *W EXP 01/13/202 | 382867117 | 205 | 96,759 | SH | SOLE | 90,851 | 0 | 5,908 | ||
GORES HOLDINGS III INC | UNIT 09/07/2024 | 38286G208 | 10,210 | 1,000,000 | SH | SOLE | 850,000 | 0 | 150,000 | ||
GRAMERCY PPTY TR | COM NEW | 385002308 | 6,997 | 255,000 | SH | SOLE | 237,653 | 0 | 17,347 | ||
GS ACQUISITION HLDGS CORP | COM CL A | 36255F102 | 2,771 | 284,155 | SH | SOLE | 250,058 | 0 | 34,097 | ||
GS ACQUISITION HLDGS CORP | UNIT 06/12/2023 | 36255F201 | 4,575 | 441,180 | SH | SOLE | 416,637 | 0 | 24,543 | ||
GTY TECHNOLOGY HOLDINGS INC | UNIT 99/99/9999 | G4182A110 | 98 | 9,102 | SH | SOLE | 4,234 | 0 | 4,868 | ||
GTY TECHNOLOGY HOLDINGS INC | CL A | G4182A102 | 5,656 | 557,817 | SH | SOLE | 514,293 | 0 | 43,524 | ||
GTY TECHNOLOGY HOLDINGS INC | *W EXP 10/25/202 | G4182A128 | 311 | 248,814 | SH | SOLE | 227,767 | 0 | 21,047 | ||
HAYMAKER ACQUISITION CORP | UNIT 10/19/2022 | 420870206 | 8,932 | 854,921 | SH | SOLE | 776,334 | 0 | 78,587 | ||
HENNESSY CAP ACQUSTON CORP I | *W EXP 06/15/202 | 42588L113 | 379 | 252,647 | SH | SOLE | 230,518 | 0 | 22,129 | ||
HENNESSY CAP ACQUSTON CORP I | COM | 42588L105 | 1,579 | 155,000 | SH | SOLE | 135,178 | 0 | 19,822 | ||
HL ACQUISITIONS CORP | UNIT 06/21/2023 | G4603R114 | 1,018 | 99,201 | SH | SOLE | 82,201 | 0 | 17,000 | ||
INDUSTREA ACQUISITION CORP | *W EXP 08/01/202 | 45579J112 | 149 | 149,000 | SH | SOLE | 134,882 | 0 | 14,118 | ||
INVUITY INC | COM NEW | 46187J205 | 2,527 | 341,512 | SH | SOLE | 269,939 | 0 | 71,573 | ||
KAPSTONE PAPER & PACKAGING C | COM | 48562P103 | 10,173 | 300,000 | SH | SOLE | 279,050 | 0 | 20,950 | ||
KAYNE ANDERSON ACQUISITION | COM CL A | 48661U102 | 5,616 | 552,781 | SH | SOLE | 498,555 | 0 | 54,226 | ||
KAYNE ANDERSON ACQUISITION | *W EXP 06/30/202 | 48661U110 | 607 | 436,486 | SH | SOLE | 397,604 | 0 | 38,882 | ||
LANDCADIA HLDGS INC | *W EXP 06/01/202 | 51476W115 | 325 | 273,305 | SH | SOLE | 251,200 | 0 | 22,105 | ||
LANDCADIA HLDGS INC | CL A | 51476W107 | 6,468 | 596,657 | SH | SOLE | 543,846 | 0 | 52,811 | ||
LASALLE HOTEL PPTYS | COM SH BEN INT | 517942108 | 3,123 | 90,288 | SH | SOLE | 84,594 | 0 | 5,694 | ||
LEGACY ACQUISITION CORP | UNIT 05/31/2024 | 524643202 | 8,648 | 853,700 | SH | SOLE | 786,701 | 0 | 66,999 | ||
LEGACY ACQUISITION CORP | *W EXP 11/30/202 | 524643111 | 139 | 311,898 | SH | SOLE | 288,736 | 0 | 23,162 | ||
LEISURE ACQUISITION CORP | UNIT 99/99/9999 | 52539T206 | 3,947 | 387,762 | SH | SOLE | 358,251 | 0 | 29,511 | ||
LENNAR CORP | CL A | 526057104 | 67 | 1,430 | SH | SOLE | 0 | 0 | 1,430 | ||
LENNAR CORP | CL B | 526057302 | 1,100 | 28,570 | SH | SOLE | 25,400 | 0 | 3,170 | ||
LEO HOLDINGS CORP | UNIT 99/99/9999 | G5463L121 | 3,601 | 350,300 | SH | SOLE | 312,782 | 0 | 37,518 | ||
MAGNOLIA OIL & GAS CORP | *W EXP 07/31/202 | 559663117 | 638 | 136,299 | SH | SOLE | 125,915 | 0 | 10,384 | ||
MAGNOLIA OIL & GAS CORP | CL A | 559663109 | 4,316 | 287,535 | SH | SOLE | 265,469 | 0 | 22,066 | ||
MATLIN & PARTNERS ACQUISITIO | *W EXP 05/28/202 | 57682V114 | 123 | 164,407 | SH | SOLE | 147,158 | 0 | 17,249 | ||
MITEL NETWORKS CORP | COM | 60671Q104 | 5,510 | 500,000 | SH | SOLE | 464,800 | 0 | 35,200 | ||
MODERN MEDIA ACQUISITION | UNIT 99/99/9999 | 60765P202 | 1,079 | 99,480 | SH | SOLE | 84,276 | 0 | 15,204 | ||
MOSAIC ACQUISITION CORP | UNIT 99/99/9999 | G62848117 | 10,959 | 1,074,674 | SH | SOLE | 997,474 | 0 | 77,200 | ||
MUDRICK CAP ACQUISITION CORP | UNIT 02/01/2023 | 624745204 | 3,090 | 300,000 | SH | SOLE | 275,975 | 0 | 24,025 | ||
NEBULA ACQUISITION CORP | UNIT 03/12/2025 | 629076209 | 3,889 | 381,290 | SH | SOLE | 350,098 | 0 | 31,192 | ||
NEW FRONTIER CORP | UNIT 99/99/9999 | G6485P116 | 1,940 | 190,166 | SH | SOLE | 168,628 | 0 | 21,538 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 13,791 | 161,300 | SH | SOLE | 149,790 | 0 | 11,510 | ||
ONE MADISON CORP | UNIT 99/99/9999 | G6772P118 | 6,259 | 603,523 | SH | SOLE | 552,683 | 0 | 50,840 | ||
PENSARE ACQUISITION CORP | COM | 70957E105 | 7,713 | 774,401 | SH | SOLE | 728,861 | 0 | 45,540 | ||
PENSARE ACQUISITION CORP | RIGHT 99/99/9999 | 70957E121 | 247 | 550,556 | SH | SOLE | 518,016 | 0 | 32,540 | ||
PENSARE ACQUISITION CORP | *W EXP 07/27/202 | 70957E113 | 143 | 275,278 | SH | SOLE | 259,008 | 0 | 16,270 | ||
PLATINUM EAGLE ACQUISITIN CO | *W EXP 01/17/202 | G7126L118 | 30 | 21,900 | SH | SOLE | 18,783 | 0 | 3,117 | ||
PLATINUM EAGLE ACQUISITIN CO | UNIT 01/09/2023 | G7126L126 | 4,926 | 474,069 | SH | SOLE | 432,978 | 0 | 41,091 | ||
PLATINUM EAGLE ACQUISITIN CO | SHS CL A | G7126L100 | 255 | 25,995 | SH | SOLE | 20,281 | 0 | 5,714 | ||
PURE ACQUISITION CORP | UNIT 04/13/2023 | 74621Q205 | 8,719 | 840,357 | SH | SOLE | 776,712 | 0 | 63,645 | ||
REGALWOOD GLOBAL ENERGY LTD | UNIT 99/99/9999 | G74760110 | 3,066 | 297,630 | SH | SOLE | 276,764 | 0 | 20,866 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 9,636 | 68,600 | SH | SOLE | 68,600 | 0 | 0 | ||
SABAN CAP ACQUISITION CORP | *W EXP 09/21/202 | 78516C114 | 321 | 291,446 | SH | SOLE | 263,774 | 0 | 27,672 | ||
SABAN CAP ACQUISITION CORP | COM CL A | 78516C106 | 4,893 | 482,984 | SH | SOLE | 442,211 | 0 | 40,773 | ||
SELECT SECTOR SPDR TR | SBI HEALTHCARE | 81369Y209 | 98 | 1,032 | SH | SOLE | 1,032 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI CONS DISCR | 81369Y407 | 120 | 1,025 | SH | SOLE | 1,025 | 0 | 0 | ||
SELECT SECTOR SPDR TR | RL EST SEL SEC | 81369Y860 | 89 | 2,718 | SH | SOLE | 2,718 | 0 | 0 | ||
SELECT SECTOR SPDR TR | TECHNOLOGY | 81369Y803 | 357 | 4,745 | SH | SOLE | 4,745 | 0 | 0 | ||
SELECT SECTOR SPDR TR | SBI INT-INDS | 81369Y704 | 30 | 381 | SH | SOLE | 381 | 0 | 0 | ||
SENTINEL ENERGY SVCS INC | UNIT 11/02/2022 | G8062D128 | 4,194 | 406,353 | SH | SOLE | 370,146 | 0 | 36,207 | ||
SOCIAL CAP HEDOSOPHIA HLDGS | UNIT 99/99/9999 | G8250R111 | 5,171 | 506,960 | SH | SOLE | 464,331 | 0 | 42,629 | ||
SOCIAL CAP HEDOSOPHIA HLDGS | *W EXP 09/14/202 | G8250R129 | 326 | 304,950 | SH | SOLE | 277,126 | 0 | 27,824 | ||
SPARTAN ENERGY ACQUISITON CO | UNIT 99/99/9999 | 846784114 | 10,085 | 993,589 | SH | SOLE | 914,011 | 0 | 79,578 | ||
SPARTON CORP | COM | 847235108 | 2,332 | 161,640 | SH | SOLE | 133,540 | 0 | 28,100 | ||
THUNDER BRIDGE ACQUISITION L | *W EXP 01/01/202 | G8857R126 | 134 | 300,000 | SH | SOLE | 280,000 | 0 | 20,000 | ||
THUNDER BRIDGE ACQUISITION L | SHS CLASS A | G8857R100 | 792 | 81,520 | SH | SOLE | 68,727 | 0 | 12,793 | ||
THUNDER BRIDGE ACQUISITION L | UNIT 01/01/2025 | G8857R118 | 1 | 117 | SH | SOLE | 117 | 0 | 0 | ||
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 944 | 92,100 | SH | SOLE | 77,778 | 0 | 14,322 | ||
TKK SYMPHONY ACQUISITION COR | UNIT 08/15/2023 | G88950111 | 5,901 | 584,289 | SH | SOLE | 513,438 | 0 | 70,851 | ||
TPG PACE HLDGS CORP | *W EXP 06/27/202 | G89827110 | 551 | 314,970 | SH | SOLE | 300,591 | 0 | 14,379 | ||
TPG PACE HLDGS CORP | CL A | G89827128 | 8,559 | 849,916 | SH | SOLE | 783,932 | 0 | 65,984 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 12,874 | 335,000 | SH | SOLE | 310,710 | 0 | 24,290 | ||
TRINITY MERGER CORP | UNIT 05/11/2025 | 89653L205 | 2,372 | 230,704 | SH | SOLE | 201,612 | 0 | 29,092 | ||
TWELVE SEAS INVESTMENT COMPA | UNIT 06/21/2023 | G9145A123 | 5,238 | 506,079 | SH | SOLE | 483,094 | 0 | 22,985 | ||
TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | 15,162 | 330,900 | SH | SOLE | 308,455 | 0 | 22,445 | ||
U S G CORP | COM NEW | 903293405 | 1,732 | 40,000 | SH | SOLE | 37,270 | 0 | 2,730 | ||
VANTAGE ENERGY ACQUISITION | COM CL A | 92211L105 | 8,650 | 866,781 | SH | SOLE | 803,623 | 0 | 63,158 | ||
VANTAGE ENERGY ACQUISITION | *W EXP 04/12/202 | 92211L113 | 284 | 210,389 | SH | SOLE | 197,789 | 0 | 12,600 | ||
VECTOIQ ACQUISITION CORP | *W EXP 05/11/202 | 92243N111 | 152 | 248,800 | SH | SOLE | 233,690 | 0 | 15,110 | ||
XCERRA CORP | COM | 98400J108 | 3,068 | 215,010 | SH | SOLE | 201,660 | 0 | 13,350 |