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 |
AMAG PHARMACEUTICALS INC | NOTE 3.250% 6/0 | 00163UAD8 | 8,638 | 9,900,000 | PRN | SOLE | 9,900,000 | 0 | 0 | ||
AMCI ACQUISITION CORP | UNIT 01/07/2019 | 00165R200 | 1,242 | 122,700 | SH | SOLE | 122,700 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | NOTE 2.000% 8/1 | 00767EAB8 | 1,058 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
NOVELION THERAPEUTICS INC | COM NEW | 67001K202 | 52 | 42,534 | SH | SOLE | 42,534 | 0 | 0 | ||
ALLEGRO MERGER CORP | UNIT 12/31/2023 | 01749N301 | 1,315 | 125,509 | SH | SOLE | 125,509 | 0 | 0 | ||
APOLLO COML REAL EST FIN INC | NOTE 5.375%10/1 | 03762UAC9 | 3,318 | 3,385,000 | PRN | SOLE | 3,385,000 | 0 | 0 | ||
AURORA CANNABIS INC | DEBT 5.500% 2/2 | C0534LAA3 | 3,629 | 3,800,000 | PRN | SOLE | 3,800,000 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | *W EXP 07/10/202 | 05337YAA6 | 131 | 2,400 | SH | SOLE | 2,400 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | UNIT 10/05/2022 | 09216T115 | 2 | 8,300 | SH | SOLE | 8,300 | 0 | 0 | ||
CANOPY GROWTH CORP | COM | 09216T206 | 977 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
BLACKSTONE MTG TR INC | NOTE 4.750% 3/1 | 09257WAC4 | 302 | 300,000 | PRN | SOLE | 300,000 | 0 | 0 | ||
CHASERG TECHNLGY ACQUISITN C | UNIT 09/30/2023 | 16166A202 | 787 | 77,900 | SH | SOLE | 77,900 | 0 | 0 | ||
CHENIERE ENERGY INC | DEBT 4.875% 5/2 | U16344AB6 | 1,044 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
CONCRETE PUMPING HLDGS INC | *W EXP 08/01/202 | 206704116 | 229 | 190,700 | SH | SOLE | 190,700 | 0 | 0 | ||
DERMIRA INC | NOTE 3.000% 5/1 | 24983LAB0 | 2,301 | 2,592,000 | PRN | SOLE | 2,592,000 | 0 | 0 | ||
ASSERTIO THERAPEUTICS INC | NOTE 2.500% 9/0 | 249908AA2 | 4,238 | 5,500,000 | PRN | SOLE | 5,500,000 | 0 | 0 | ||
ENCORE CAP GROUP INC | NOTE 3.000% 7/0 | 292554AF9 | 2,507 | 2,619,000 | PRN | SOLE | 2,619,000 | 0 | 0 | ||
ENCORE CAP GROUP INC | NOTE 3.250% 3/1 | 292554AK8 | 4,006 | 4,500,000 | PRN | SOLE | 4,500,000 | 0 | 0 | ||
ENDOLOGIX INC | NOTE 3.250%11/0 | 29266SAB2 | 892 | 2,745,000 | PRN | SOLE | 2,745,000 | 0 | 0 | ||
FINTECH ACQUISITION CORP III | UNIT 12/01/2023 | 31811A309 | 566 | 55,500 | SH | SOLE | 55,500 | 0 | 0 | ||
FIRST MAJESTIC SILVER CORP | NOTE 1.875% 3/0 | 32076VAB9 | 1,458 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
FORUM MERGER II CORP | UNIT 09/30/2025 | 34986F202 | 3,479 | 336,115 | SH | SOLE | 336,115 | 0 | 0 | ||
FORUM MERGER II CORP | CL A | 34986F103 | 454 | 45,785 | SH | SOLE | 45,785 | 0 | 0 | ||
GDS HLDGS LTD | DEBT 2.000% 6/0 | 36165LAA6 | 4,046 | 4,175,000 | PRN | SOLE | 4,175,000 | 0 | 0 | ||
GORDON POINTE ACQUISITION CO | UNIT 01/18/2023 | 382788206 | 979 | 93,200 | SH | SOLE | 93,200 | 0 | 0 | ||
GRAF INDL CORP | UNIT 12/31/2025 | 384278206 | 1,655 | 163,600 | SH | SOLE | 163,600 | 0 | 0 | ||
HOSTESS BRANDS INC | *W EXP 11/04/202 | 44109J114 | 700 | 538,600 | SH | SOLE | 538,600 | 0 | 0 | ||
INFRA AND ENERGY ALTRNTIVE I | *W EXP 05/20/202 | 45686J112 | 8 | 18,764 | SH | SOLE | 18,764 | 0 | 0 | ||
INVESCO EXCHNG TRADED FD TR | SR LN ETF | 46138G508 | 1,132 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
IQIYI INC | DEBT 3.750%12/0 | G4939KAA4 | 6,801 | 5,700,000 | PRN | SOLE | 5,700,000 | 0 | 0 | ||
IQIYI INC | DEBT 2.000% 4/0 | G4939KAB2 | 2,090 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
IRONWOOD PHARMACEUTICALS INC | DBCV 2.250% 6/1 | 46333XAD0 | 4,419 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
ISHARES TR | CORE US AGGBD ET | 464287226 | 2,509 | 23,000 | SH | SOLE | 23,000 | 0 | 0 | ||
ISHARES TR | IBOXX INV CP ETF | 464287242 | 762 | 6,400 | SH | SOLE | 6,400 | 0 | 0 | ||
ISHARES TR | 20 YR TR BD ETF | 464287432 | 1,012 | 8,000 | SH | SOLE | 8,000 | 0 | 0 | ||
LF CAP ACQUISITION CORP | UNIT 06/19/2025 | 50200K207 | 1,442 | 139,090 | SH | SOLE | 139,090 | 0 | 0 | ||
MTECH ACQUISITION CORP | COM CLASS A | 55378W107 | 530 | 52,494 | SH | SOLE | 52,494 | 0 | 0 | ||
MTECH ACQUISITION CORP | *W EXP 08/01/202 | 55378W115 | 2 | 2,700 | SH | SOLE | 2,700 | 0 | 0 | ||
MTECH ACQUISITION CORP | UNIT 01/19/2023 | 55378W206 | 1,901 | 175,685 | SH | SOLE | 175,685 | 0 | 0 | ||
MAGNOLIA OIL & GAS CORP | *W EXP 07/31/202 | 559663117 | 708 | 208,900 | SH | SOLE | 208,900 | 0 | 0 | ||
MEDICINES CO | NOTE 2.750% 7/1 | 584688AG0 | 2,962 | 3,500,000 | PRN | SOLE | 3,500,000 | 0 | 0 | ||
MICROCHIP TECHNOLOGY INC | NOTE 2.250% 2/1 | 595017AH7 | 3,424 | 3,100,000 | PRN | SOLE | 3,100,000 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | *W EXP 05/17/202 | 60765P111 | 6 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 13 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
MOMO INC | DEBT 1.250% 7/0 | G6200PAA0 | 1,867 | 1,928,000 | PRN | SOLE | 1,928,000 | 0 | 0 | ||
MUDRICK CAP ACQUISITION CORP | UNIT 02/01/2023 | 624745204 | 454 | 42,900 | SH | SOLE | 42,900 | 0 | 0 | ||
NANTHEALTH INC | NOTE 5.500%12/1 | 630104AB3 | 1,338 | 2,140,000 | PRN | SOLE | 2,140,000 | 0 | 0 | ||
NEW MTN FIN CORP | NOTE 5.750% 8/1 | 647551AC4 | 2,066 | 2,055,000 | PRN | SOLE | 2,055,000 | 0 | 0 | ||
NEW YORK MTG TR INC | NOTE 6.250% 1/1 | 649604AD7 | 3,116 | 3,111,000 | PRN | SOLE | 3,111,000 | 0 | 0 | ||
NOVAVAX INC | NOTE 3.750% 2/0 | 670002AB0 | 365 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
OPKO HEALTH INC | NOTE 4.500% 2/1 | 68375NAD5 | 4,730 | 5,000,000 | PRN | SOLE | 5,000,000 | 0 | 0 | ||
PDL BIOPHARMA INC | NOTE 2.750%12/0 | 69329YAG9 | 10,832 | 9,450,000 | PRN | SOLE | 9,450,000 | 0 | 0 | ||
PENSARE ACQUISITION CORP | UNIT 07/27/2022 | 70957E204 | 550 | 51,700 | SH | SOLE | 51,700 | 0 | 0 | ||
PIVOTAL ACQUISITION CORP | UNIT 12/01/2025 | 72583A200 | 950 | 93,200 | SH | SOLE | 93,200 | 0 | 0 | ||
PRETIUM RES INC | NOTE 2.250% 3/1 | 74139CAB8 | 174 | 185,000 | PRN | SOLE | 185,000 | 0 | 0 | ||
PROSPECT CAPITAL CORPORATION | NOTE 6.375% 3/0 | 74348TAT9 | 2,143 | 2,170,000 | PRN | SOLE | 2,170,000 | 0 | 0 | ||
PURE ACQUISITION CORP | UNIT 04/13/2023 | 74621Q205 | 2,539 | 240,000 | SH | SOLE | 240,000 | 0 | 0 | ||
RESTORATION HARDWARE HLDGS I | NOTE 6/1 | 761283AD2 | 3,126 | 3,100,000 | PRN | SOLE | 3,100,000 | 0 | 0 | ||
SEA LTD | DEBT 2.250% 7/0 | G7948TAA7 | 3,470 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
SENTINEL ENERGY SVCS INC | *W EXP 11/02/202 | 81728P113 | 116 | 170,401 | SH | SOLE | 170,401 | 0 | 0 | ||
SPIRIT RLTY CAP INC NEW | NOTE 2.875% 5/1 | 84860WAA0 | 30 | 30,000 | PRN | SOLE | 30,000 | 0 | 0 | ||
TEAM INC | NOTE 5.000% 8/0 | 878155AE0 | 4,012 | 3,700,000 | PRN | SOLE | 3,700,000 | 0 | 0 | ||
TESLA INC | NOTE 1.250% 3/0 | 88160RAC5 | 103 | 100,000 | PRN | SOLE | 100,000 | 0 | 0 | ||
THERAVANCE BIOPHARMA INC | NOTE 3.250%11/0 | 88339KAA0 | 5,827 | 6,000,000 | PRN | SOLE | 6,000,000 | 0 | 0 | ||
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 12,122 | 116,000 | SH | SOLE | 116,000 | 0 | 0 | ||
TILRAY INC | DEBT 5.000%10/0 | U8961EAA4 | 2,478 | 2,950,000 | PRN | SOLE | 2,950,000 | 0 | 0 | ||
TRINITY MERGER CORP | UNIT 05/11/2025 | 89653L205 | 1,028 | 97,868 | SH | SOLE | 97,868 | 0 | 0 | ||
TUSCAN HOLDINGS CORP | UNIT 99/99/9999 | 90069K203 | 2,086 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
TWO HBRS INVT CORP | NOTE 6.250% 1/1 | 90187BAA9 | 3,540 | 3,497,000 | PRN | SOLE | 3,497,000 | 0 | 0 | ||
VECTOR GROUP LTD | FRNT 4/1 | 92240MBC1 | 265 | 2,600 | SH | SOLE | 2,600 | 0 | 0 | ||
VANGUARD INDEX FDS | LARGE CAP ETF | 922908637 | 935 | 7,200 | SH | SOLE | 7,200 | 0 | 0 | ||
VANGUARD INDEX FDS | TOTAL STK MKT | 922908769 | 246 | 1,700 | SH | SOLE | 1,700 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 2,970 | 287,500 | SH | SOLE | 287,500 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | *W EXP 08/21/202 | G2345N110 | 24 | 143,750 | SH | SOLE | 143,750 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | RIGHT 08/21/2022 | G2345N136 | 95 | 287,500 | SH | SOLE | 287,500 | 0 | 0 | ||
ARYA SCIENCES ACQUISITION CO | UNIT 10/04/2023 | G3165V117 | 1,361 | 131,499 | SH | SOLE | 131,499 | 0 | 0 | ||
THUNDER BRIDGE ACQUISITION L | UNIT 01/01/2025 | G8857R118 | 1,624 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
TKK SYMPHONY ACQUISITION COR | UNIT 08/15/2023 | G88950111 | 1,471 | 142,800 | SH | SOLE | 142,800 | 0 | 0 | ||
TWELVE SEAS INVESTMENT COMPA | *W EXP 12/22/202 | G9145A115 | 0 | 1,400 | SH | SOLE | 1,400 | 0 | 0 | ||
TWELVE SEAS INVESTMENT COMPA | UNIT 06/21/2023 | G9145A123 | 2,190 | 207,600 | SH | SOLE | 207,600 | 0 | 0 | ||
TWELVE SEAS INVESTMENT COMPA | RIGHT 12/22/2019 | G9145A131 | 0 | 1,400 | SH | SOLE | 1,400 | 0 | 0 | ||
BISON CAP ACQUISITION CORP | *W EXP 06/20/202 | G1142P112 | 17 | 82,900 | SH | SOLE | 82,900 | 0 | 0 | ||
DD3 ACQUISITION CORP | UNIT 10/12/2023 | G2692M129 | 1,907 | 188,100 | SH | SOLE | 188,100 | 0 | 0 | ||
HL ACQUISITIONS CORP | UNIT 06/21/2023 | G4603R114 | 777 | 74,600 | SH | SOLE | 74,600 | 0 | 0 | ||
LONGEVITY ACQUISITION CORP | UNIT 08/29/2024 | G56372108 | 526 | 51,500 | SH | SOLE | 51,500 | 0 | 0 | ||
TENZING ACQUISITION CORP | UNIT 08/24/2024 | G8708A124 | 810 | 79,300 | SH | SOLE | 79,300 | 0 | 0 |