Pine River Capital Management as of June 30, 2013
Portfolio Holdings for Pine River Capital Management
Pine River Capital Management holds 348 positions in its portfolio as reported in the June 2013 quarterly 13F filing
| Company (Ticker) | Portfolio Weight | Valued At | Change in Shares | Share Count | Share Price |
|---|---|---|---|---|---|
| Spdr S&p 500 Etf (SPY) | 15.8 | $1.0B | 6.3M | 160.42 | |
| Pfizer (PFE) | 3.1 | $200M | 7.1M | 28.01 | |
| Annaly Cap Mgmt Inc note 5.000% 5/1 | 2.6 | $167M | 166M | 1.01 | |
| Apple (AAPL) | 2.5 | $161M | 407k | 396.54 | |
| General Mtrs Co *w exp 07/10/201 | 2.5 | $158M | 9.6M | 16.49 | |
| Ocwen Financial Corporation | 2.4 | $151M | 3.7M | 41.22 | |
| American Capital | 1.5 | $96M | 7.6M | 12.67 | |
| Sprint Nextel Corporation | 1.4 | $91M | 13M | 7.02 | |
| Vodafone | 1.4 | $88M | 3.1M | 28.74 | |
| iShares MSCI EAFE Index Fund (EFA) | 1.3 | $86M | 1.5M | 57.30 | |
| Zoetis Inc Cl A (ZTS) | 1.3 | $85M | 2.7M | 30.89 | |
| Exxon Mobil Corporation (XOM) | 1.2 | $77M | 851k | 90.37 | |
| Johnson & Johnson (JNJ) | 1.1 | $73M | 844k | 85.86 | |
| Knight Capital Group Inc. 3.50% dbcv | 1.1 | $68M | 69M | 0.99 | |
| General Electric Company | 1.0 | $63M | 2.7M | 23.19 | |
| American Capital Mortgage In | 1.0 | $63M | 3.5M | 17.97 | |
| Sigma-Aldrich Corporation | 0.9 | $61M | 759k | 80.42 | |
| Cys Investments | 0.9 | $61M | 6.6M | 9.21 | |
| Rwt 4 5/8 04/15/18 | 0.9 | $58M | 58M | 1.00 | |
| Chevron Corporation (CVX) | 0.9 | $55M | 467k | 118.34 | |
| Anworth Mortgage Asset Corporation | 0.8 | $55M | 9.8M | 5.60 | |
| New Residential Invt | 0.8 | $55M | 8.1M | 6.74 | |
| Walter Investment Management | 0.8 | $54M | 1.6M | 33.81 | |
| Tor Dom Bk Cad (TD) | 0.8 | $53M | 625k | 84.47 | |
| International Business Machines (IBM) | 0.8 | $51M | 266k | 191.11 | |
| At&t (T) | 0.8 | $50M | 1.4M | 35.40 | |
| General Mtrs Co *w exp 07/10/201 | 0.8 | $50M | 2.1M | 24.00 | |
| ARMOUR Residential REIT | 0.8 | $49M | 10M | 4.71 | |
| Ipath S&p 500 Vix Short Term F | 0.7 | $48M | 2.3M | 20.71 | |
| Clearwire Corporation | 0.7 | $46M | 9.3M | 4.99 | |
| Microsoft Corporation (MSFT) | 0.7 | $46M | 1.3M | 34.52 | |
| Procter & Gamble Company (PG) | 0.7 | $45M | 590k | 76.98 | |
| Lincoln National Corporation (LNC) | 0.7 | $45M | 1.2M | 36.47 | |
| Suntrust Banks Inc $1.00 Par Cmn | 0.7 | $45M | 1.4M | 31.57 | |
| Annaly Capital Management | 0.7 | $44M | 3.5M | 12.57 | |
| Coca-Cola Company (KO) | 0.7 | $45M | 1.1M | 40.11 | |
| US Airways | 0.7 | $44M | 2.7M | 16.42 | |
| Schlumberger (SLB) | 0.7 | $43M | 603k | 71.66 | |
| Aetna | 0.7 | $42M | 661k | 63.54 | |
| SanDisk Corporation | 0.7 | $42M | 687k | 61.10 | |
| Dominion Res Inc Va New debt | 0.7 | $42M | 25M | 1.68 | |
| Rbc Cad (RY) | 0.6 | $41M | 670k | 61.28 | |
| Wells Fargo & Company (WFC) | 0.6 | $40M | 958k | 41.27 | |
| Comerica Incorporated (CMA) | 0.6 | $39M | 984k | 39.83 | |
| AMTRUST FINANCIAL CONVERTIBLE Services Inc security | 0.6 | $38M | 27M | 1.40 | |
| U.S. Bancorp (USB) | 0.6 | $37M | 1.0M | 36.15 | |
| Phh Corp cnv | 0.6 | $36M | 20M | 1.80 | |
| Discover Financial Services (DFS) | 0.6 | $35M | 742k | 47.64 | |
| Mohawk Industries (MHK) | 0.5 | $35M | 310k | 112.49 | |
| JPMorgan Chase & Co. (JPM) | 0.5 | $34M | 651k | 52.79 | |
| National Retail Properties I note 5.125% 6/1 | 0.5 | $33M | 25M | 1.36 | |
| 0.5 | $34M | 38k | 880.60 | ||
| Heartland Payment Systems | 0.5 | $34M | 904k | 37.25 | |
| Cms Energy Corp note 5.500% 6/1 | 0.5 | $33M | 17M | 1.99 | |
| TD Ameritrade Holding | 0.5 | $33M | 1.4M | 24.29 | |
| Prudential Financial (PRU) | 0.5 | $33M | 446k | 73.03 | |
| iShares FTSE/Xinhua China 25 Index (FXI) | 0.5 | $33M | 1.0M | 32.52 | |
| Wal-Mart Stores (WMT) | 0.5 | $32M | 431k | 74.49 | |
| Walter Invt Mgmt Corp note | 0.5 | $31M | 31M | 1.01 | |
| Tyson Foods Inc note 3.250%10/1 | 0.5 | $31M | 20M | 1.53 | |
| Verizon Communications (VZ) | 0.5 | $31M | 619k | 50.34 | |
| Merck & Co (MRK) | 0.5 | $31M | 657k | 46.45 | |
| People's United Financial | 0.5 | $29M | 1.9M | 14.90 | |
| American Capital Agency | 0.4 | $29M | 1.2M | 23.01 | |
| Home Loan Servicing Solution ord | 0.4 | $28M | 1.2M | 23.97 | |
| Tesla Mtrs Inc note 1.500% 6/0 | 0.4 | $28M | 25M | 1.12 | |
| Cisco Systems (CSCO) | 0.4 | $25M | 1.0M | 24.33 | |
| Pepsi (PEP) | 0.4 | $25M | 305k | 81.81 | |
| Comcast Corporation (CMCSA) | 0.4 | $25M | 586k | 41.75 | |
| Arbitron | 0.4 | $24M | 519k | 46.45 | |
| Allstate Corporation (ALL) | 0.4 | $24M | 495k | 48.12 | |
| Qualcomm (QCOM) | 0.4 | $24M | 386k | 61.09 | |
| Mylan Inc note 3.750% 9/1 | 0.4 | $24M | 10M | 2.37 | |
| Apollo Residential Mortgage | 0.4 | $24M | 1.4M | 16.48 | |
| Bank of America Corporation (BAC) | 0.4 | $23M | 1.8M | 12.86 | |
| Cibc Cad (CM) | 0.4 | $23M | 313k | 74.64 | |
| Sterlite Inds India Ltd note 4.000%10/3 | 0.4 | $23M | 24M | 0.97 | |
| Citigroup (C) | 0.4 | $23M | 478k | 47.97 | |
| Intel Corporation (INTC) | 0.3 | $23M | 931k | 24.23 | |
| Financial Select Sector SPDR (XLF) | 0.3 | $23M | 1.2M | 19.45 | |
| Evertec (EVTC) | 0.3 | $22M | 1.0M | 21.97 | |
| Berkshire Hathaway (BRK.B) | 0.3 | $22M | 198k | 111.92 | |
| Lowe's Companies (LOW) | 0.3 | $22M | 533k | 40.90 | |
| AvalonBay Communities (AVB) | 0.3 | $22M | 161k | 134.91 | |
| Home Depot (HD) | 0.3 | $21M | 274k | 77.47 | |
| Walt Disney Company (DIS) | 0.3 | $21M | 339k | 63.15 | |
| Philip Morris International (PM) | 0.3 | $21M | 243k | 86.62 | |
| Oracle Corporation (ORCL) | 0.3 | $21M | 685k | 30.71 | |
| China Mobile | 0.3 | $21M | 400k | 51.77 | |
| Target Corporation (TGT) | 0.3 | $21M | 300k | 68.85 | |
| Public Storage (PSA) | 0.3 | $20M | 128k | 153.32 | |
| Anadarko Petroleum Corporation | 0.3 | $20M | 236k | 85.93 | |
| Scorpio Tankers | 0.3 | $20M | 2.2M | 8.98 | |
| Cien 4 12/15/20 | 0.3 | $20M | 15M | 1.30 | |
| Halliburton Company (HAL) | 0.3 | $20M | 468k | 41.72 | |
| Bank Of Montreal Cadcom (BMO) | 0.3 | $19M | 313k | 61.00 | |
| Liberty Media Corp deb 3.500% 1/1 | 0.3 | $19M | 37M | 0.51 | |
| Amazon (AMZN) | 0.3 | $19M | 67k | 277.67 | |
| SEI Investments Company (SEIC) | 0.3 | $18M | 642k | 28.43 | |
| Humana (HUM) | 0.3 | $18M | 212k | 84.38 | |
| Amgen (AMGN) | 0.3 | $17M | 174k | 98.67 | |
| Cubesmart (CUBE) | 0.3 | $18M | 1.1M | 15.98 | |
| Prospect Capital Corp note 6.250%12/1 | 0.3 | $17M | 16M | 1.09 | |
| McDonald's Corporation (MCD) | 0.3 | $17M | 170k | 99.00 | |
| Rait Financial Trust - Putable At 100 conv bond | 0.3 | $17M | 13M | 1.25 | |
| Invesco (IVZ) | 0.2 | $15M | 468k | 31.80 | |
| Evercore Partners (EVR) | 0.2 | $15M | 382k | 39.28 | |
| United Technologies Corporation | 0.2 | $14M | 155k | 92.93 | |
| priceline.com Incorporated | 0.2 | $14M | 17k | 826.68 | |
| Apollo Investment | 0.2 | $14M | 1.8M | 7.74 | |
| American Express Company (AXP) | 0.2 | $14M | 181k | 74.76 | |
| Gilead Sciences (GILD) | 0.2 | $13M | 260k | 51.30 | |
| Biomarin Pharmaceutical Inc note 1.875% 4/2 | 0.2 | $13M | 4.7M | 2.78 | |
| Goldman Sachs (GS) | 0.2 | $13M | 83k | 151.26 | |
| 3M Company (MMM) | 0.2 | $13M | 116k | 109.35 | |
| Noble Energy | 0.2 | $13M | 220k | 60.04 | |
| Altria (MO) | 0.2 | $12M | 347k | 34.98 | |
| ConocoPhillips (COP) | 0.2 | $12M | 199k | 60.58 | |
| Lennar Corporation (LEN) | 0.2 | $12M | 326k | 36.04 | |
| Union Pacific Corporation (UNP) | 0.2 | $11M | 73k | 154.29 | |
| Occidental Petroleum Corporation (OXY) | 0.2 | $12M | 132k | 89.26 | |
| American Campus Communities | 0.2 | $12M | 293k | 40.66 | |
| Dresser-Rand | 0.2 | $12M | 197k | 59.98 | |
| Morgans Hotel | 0.2 | $12M | 1.4M | 8.06 | |
| KB Home (KBH) | 0.2 | $11M | 556k | 19.63 | |
| Masco Corporation (MAS) | 0.2 | $11M | 562k | 19.49 | |
| CVS Caremark Corporation (CVS) | 0.2 | $11M | 196k | 57.18 | |
| Marsh & McLennan Companies (MMC) | 0.2 | $11M | 276k | 39.92 | |
| Notes Gencorp Inc. 4.0625% dbcv | 0.2 | $11M | 5.8M | 1.85 | |
| Visa (V) | 0.2 | $10M | 55k | 182.72 | |
| Cobalt Intl Energy | 0.2 | $10M | 391k | 26.57 | |
| Abbvie (ABBV) | 0.2 | $11M | 255k | 41.34 | |
| Colony Finl Inc note 5.00% | 0.2 | $10M | 10M | 1.02 | |
| eBay (EBAY) | 0.1 | $9.4M | 182k | 51.72 | |
| Beazer Homes Usa (BZH) | 0.1 | $9.7M | 554k | 17.52 | |
| CNA Financial Corporation (CNA) | 0.1 | $8.9M | 274k | 32.62 | |
| Bk Nova Cad (BNS) | 0.1 | $9.1M | 163k | 56.17 | |
| Chart Industries (GTLS) | 0.1 | $8.7M | 93k | 94.09 | |
| Hawaiian Telcom Holdco | 0.1 | $9.1M | 361k | 25.16 | |
| Melco Crown Entertainment (MLCO) | 0.1 | $8.1M | 360k | 22.36 | |
| Apache Corporation | 0.1 | $8.5M | 101k | 83.83 | |
| Hornbeck Offshore Services | 0.1 | $8.7M | 162k | 53.50 | |
| Cimarex Energy | 0.1 | $8.6M | 133k | 65.00 | |
| Superior Energy Services | 0.1 | $8.1M | 310k | 25.94 | |
| Bristol Myers Squibb (BMY) | 0.1 | $7.9M | 177k | 44.70 | |
| Morgan Stanley (MS) | 0.1 | $7.7M | 316k | 24.43 | |
| New Oriental Education & Tech | 0.1 | $7.8M | 354k | 22.15 | |
| PGT | 0.1 | $7.9M | 910k | 8.67 | |
| Actavis | 0.1 | $7.6M | 61k | 126.23 | |
| Solar Cap (SLRC) | 0.1 | $7.0M | 302k | 23.09 | |
| SPDR Gold Trust (GLD) | 0.1 | $7.1M | 60k | 119.13 | |
| SM Energy (SM) | 0.1 | $7.1M | 118k | 59.98 | |
| HeartWare International | 0.1 | $6.8M | 71k | 95.11 | |
| Ares Capital Corp 5.125 2016 conv | 0.1 | $7.0M | 6.5M | 1.07 | |
| Ellington Residential Mortga reit (EARN) | 0.1 | $7.1M | 399k | 17.85 | |
| Chemed Corp New note 1.875% 5/1 | 0.1 | $6.3M | 6.0M | 1.05 | |
| UnitedHealth (UNH) | 0.1 | $6.5M | 100k | 65.48 | |
| Oceaneering International (OII) | 0.1 | $6.4M | 88k | 72.21 | |
| China Uni | 0.1 | $6.6M | 500k | 13.14 | |
| Healthsouth | 0.1 | $6.1M | 213k | 28.80 | |
| iShares iBoxx $ High Yid Corp Bond (HYG) | 0.1 | $6.6M | 73k | 90.89 | |
| GulfMark Offshore | 0.1 | $6.2M | 138k | 45.09 | |
| Kosmos Energy | 0.1 | $6.4M | 629k | 10.16 | |
| Safeguard Scientifics dbcv 5.250% 5/1 | 0.1 | $6.7M | 6.0M | 1.11 | |
| Cabot Oil & Gas Corporation (CTRA) | 0.1 | $6.0M | 85k | 71.02 | |
| Southwestern Energy Company (SWN) | 0.1 | $5.8M | 159k | 36.53 | |
| Ares Capital Corporation (ARCC) | 0.1 | $5.9M | 342k | 17.20 | |
| Lj International Inc. ord | 0.1 | $5.8M | 2.9M | 1.97 | |
| Performant Finl (PFMT) | 0.1 | $5.6M | 482k | 11.59 | |
| Molson Coors Brewing Co note 2.500% 7/3 | 0.1 | $5.1M | 5.0M | 1.01 | |
| Trina Solar Limited note 4.000% 7/1 | 0.1 | $5.0M | 5.0M | 0.99 | |
| Boeing Company (BA) | 0.1 | $4.9M | 48k | 102.45 | |
| Stone Energy Corporation | 0.1 | $5.2M | 238k | 22.03 | |
| Whitewave Foods | 0.1 | $4.8M | 319k | 15.20 | |
| Qiwi (QIWI) | 0.1 | $5.1M | 218k | 23.20 | |
| Tamin | 0.1 | $5.3M | 258k | 20.39 | |
| Renaissance Re Holdings Ltd Cmn (RNR) | 0.1 | $4.3M | 50k | 86.79 | |
| PetroChina Company | 0.1 | $4.8M | 43k | 110.68 | |
| Baidu (BIDU) | 0.1 | $4.7M | 50k | 94.60 | |
| MFA Mortgage Investments | 0.1 | $4.2M | 502k | 8.45 | |
| Stealthgas (GASS) | 0.1 | $4.4M | 399k | 11.00 | |
| Xilinx Inc Cvt 2.625 6-15-17 convert | 0.1 | $4.3M | 3.0M | 1.44 | |
| China Petroleum & Chemical | 0.1 | $3.9M | 43k | 91.50 | |
| Allegheny Technologies Inc note 4.250% 6/0 | 0.1 | $4.1M | 4.0M | 1.03 | |
| Progressive Corporation (PGR) | 0.1 | $3.6M | 142k | 25.42 | |
| Sony Corporation (SONY) | 0.1 | $3.7M | 176k | 21.19 | |
| Key Energy Services | 0.1 | $3.7M | 624k | 5.95 | |
| Chatham Lodging Trust (CLDT) | 0.1 | $4.1M | 237k | 17.18 | |
| Express Scripts Holding | 0.1 | $3.7M | 60k | 61.74 | |
| Catamaran | 0.1 | $3.8M | 79k | 48.75 | |
| Bgs Acquisition Corp sh | 0.1 | $4.2M | 412k | 10.12 | |
| Global Brass & Coppr Hldgs I | 0.1 | $3.6M | 270k | 13.24 | |
| Bioamber | 0.1 | $3.7M | 538k | 6.80 | |
| Cis Acquisition Ltd shs ser a | 0.1 | $3.8M | 380k | 10.06 | |
| IAC/InterActive | 0.1 | $3.2M | 68k | 47.58 | |
| Marathon Oil Corporation (MRO) | 0.1 | $3.4M | 99k | 34.58 | |
| Investment Technology | 0.1 | $3.5M | 250k | 13.98 | |
| Maximus (MMS) | 0.1 | $3.1M | 42k | 74.48 | |
| Dril-Quip (DRQ) | 0.1 | $3.5M | 39k | 90.30 | |
| Iconix Brand | 0.1 | $3.1M | 105k | 29.41 | |
| ARGO GROUP INTERNATIONAL Holdi Com Stk | 0.1 | $3.1M | 73k | 42.40 | |
| HMS Holdings | 0.1 | $3.5M | 150k | 23.29 | |
| Sinovac Biotech (SVA) | 0.1 | $3.3M | 847k | 3.93 | |
| Prospect Capital Corporation (PSEC) | 0.1 | $3.0M | 275k | 10.80 | |
| Mednax (MD) | 0.1 | $3.2M | 35k | 91.58 | |
| Omnicom Group Inc debt | 0.1 | $3.5M | 3.0M | 1.15 | |
| Ss&c Technologies Holding (SSNC) | 0.1 | $3.0M | 92k | 32.90 | |
| BlackRock Corporate High Yield Fund VI (HYT) | 0.1 | $3.5M | 289k | 11.98 | |
| First Trust Strategic | 0.1 | $3.0M | 188k | 15.75 | |
| Edwards Group Ltd Sponsored | 0.1 | $3.0M | 353k | 8.50 | |
| Collabrium Japan | 0.1 | $3.5M | 350k | 10.10 | |
| United Parcel Service (UPS) | 0.0 | $2.6M | 30k | 86.51 | |
| Red Hat | 0.0 | $2.8M | 59k | 47.82 | |
| Cemex SAB de CV (CX) | 0.0 | $2.5M | 239k | 10.58 | |
| Fifth Street Finance | 0.0 | $2.4M | 230k | 10.45 | |
| American International (AIG) | 0.0 | $2.4M | 54k | 44.68 | |
| Campus Crest Communities | 0.0 | $2.8M | 241k | 11.54 | |
| Western Asst High Incm Opprtnty Fnd (HIO) | 0.0 | $2.5M | 415k | 5.94 | |
| BlackRock Corporate High Yield Fund V In | 0.0 | $2.3M | 189k | 12.23 | |
| First Tr High Income L/s (FSD) | 0.0 | $2.6M | 148k | 17.56 | |
| Western Asset Hgh Yld Dfnd (HYI) | 0.0 | $2.6M | 149k | 17.68 | |
| Ubiquiti Networks | 0.0 | $2.5M | 144k | 17.54 | |
| Infinity Cross Bo | 0.0 | $2.5M | 315k | 7.84 | |
| HEALTH INSURANCE Common equity Innovations shares | 0.0 | $2.9M | 275k | 10.52 | |
| Marin Software | 0.0 | $2.3M | 226k | 10.24 | |
| Tetraphase Pharmaceuticals | 0.0 | $2.6M | 364k | 7.03 | |
| Aquasition | 0.0 | $2.5M | 250k | 9.88 | |
| Advanced Micro Devices Inc note 6.000% 5/0 | 0.0 | $2.1M | 2.0M | 1.02 | |
| Caterpillar (CAT) | 0.0 | $1.6M | 20k | 82.48 | |
| NetApp (NTAP) | 0.0 | $1.7M | 45k | 37.79 | |
| Las Vegas Sands (LVS) | 0.0 | $1.7M | 32k | 52.94 | |
| WellPoint | 0.0 | $1.6M | 20k | 81.88 | |
| Rite Aid Corp note 8.500% 5/1 | 0.0 | $1.6M | 1.2M | 1.42 | |
| Pericom Semiconductor | 0.0 | $1.8M | 250k | 7.12 | |
| AK Steel Holding Corporation | 0.0 | $1.8M | 593k | 3.04 | |
| Medivation | 0.0 | $1.7M | 35k | 49.20 | |
| inContact, Inc . | 0.0 | $1.6M | 198k | 8.22 | |
| Towerstream Corporation | 0.0 | $2.2M | 859k | 2.55 | |
| Dfc Global | 0.0 | $1.9M | 141k | 13.82 | |
| Edgen | 0.0 | $1.9M | 300k | 6.38 | |
| Hannon Armstrong (HASI) | 0.0 | $1.8M | 150k | 11.88 | |
| Cyan | 0.0 | $1.6M | 157k | 10.45 | |
| Cognizant Technology Solutions (CTSH) | 0.0 | $1.5M | 23k | 62.66 | |
| Pulte (PHM) | 0.0 | $1.1M | 56k | 18.96 | |
| Hologic (HOLX) | 0.0 | $1.5M | 79k | 19.29 | |
| Medtronic | 0.0 | $1.0M | 20k | 51.45 | |
| Thoratec Corporation | 0.0 | $1.6M | 51k | 31.32 | |
| WellCare Health Plans | 0.0 | $1.1M | 20k | 55.56 | |
| Thermo Fisher Scientific (TMO) | 0.0 | $1.0M | 12k | 84.61 | |
| Franklin Street Properties (FSP) | 0.0 | $1.4M | 104k | 13.20 | |
| Quicksilver Resources | 0.0 | $1.5M | 912k | 1.68 | |
| Take-Two Interactive Software (TTWO) | 0.0 | $1.4M | 94k | 14.97 | |
| Activision Blizzard | 0.0 | $1.5M | 105k | 14.26 | |
| Titan Machinery (TITN) | 0.0 | $1.4M | 70k | 19.63 | |
| F5 Networks (FFIV) | 0.0 | $1.5M | 22k | 68.79 | |
| St. Jude Medical | 0.0 | $1.6M | 35k | 45.63 | |
| Greenbrier Companies (GBX) | 0.0 | $1.3M | 54k | 24.38 | |
| Baltic Trading | 0.0 | $1.2M | 325k | 3.71 | |
| Rackspace Hosting | 0.0 | $1.0M | 27k | 37.91 | |
| Global Power Equipment Grp I | 0.0 | $985k | 61k | 16.11 | |
| BroadSoft | 0.0 | $1.1M | 40k | 27.58 | |
| Ecotality | 0.0 | $1.6M | 1.0M | 1.55 | |
| Mgic Invt Corp Wis note 5.000% 5/0 | 0.0 | $1.0M | 1.0M | 1.02 | |
| Lehman Brothers First Trust IOF (NHS) | 0.0 | $1.3M | 101k | 12.82 | |
| Inland Real Estate Corp note 5.000%11/1 | 0.0 | $1.1M | 1.1M | 1.08 | |
| Netqin Mobile | 0.0 | $1.2M | 146k | 8.08 | |
| Zynga | 0.0 | $1.4M | 500k | 2.78 | |
| Blucora | 0.0 | $1.1M | 59k | 18.54 | |
| Andina Acquisition | 0.0 | $1.2M | 117k | 9.94 | |
| Ofs Capital (OFS) | 0.0 | $1.4M | 114k | 11.90 | |
| United Ins Hldgs (ACIC) | 0.0 | $1.3M | 180k | 6.99 | |
| Mast Therapeutics | 0.0 | $1.1M | 2.6M | 0.43 | |
| Chart Acquisition | 0.0 | $1.5M | 148k | 10.07 | |
| Ambit Bioscience | 0.0 | $1.2M | 174k | 7.00 | |
| Knot Offshore Partners (KNOP) | 0.0 | $1.2M | 56k | 22.03 | |
| Suntech Pwr Hldgs Co Ltd note 3.000% 3/1 | 0.0 | $780k | 3.0M | 0.26 | |
| Yingli Green Energy Hold | 0.0 | $821k | 254k | 3.24 | |
| Rli (RLI) | 0.0 | $495k | 6.5k | 76.48 | |
| Autodesk (ADSK) | 0.0 | $776k | 23k | 33.92 | |
| Universal Health Services (UHS) | 0.0 | $527k | 7.9k | 67.00 | |
| Tibco Software | 0.0 | $563k | 26k | 21.40 | |
| Sinclair Broadcast | 0.0 | $433k | 15k | 29.36 | |
| Zhongpin | 0.0 | $571k | 43k | 13.44 | |
| BioScrip | 0.0 | $876k | 53k | 16.50 | |
| MicroStrategy Incorporated (MSTR) | 0.0 | $662k | 7.6k | 86.95 | |
| TTM Technologies (TTMI) | 0.0 | $776k | 93k | 8.39 | |
| Ciena Corporation (CIEN) | 0.0 | $841k | 43k | 19.42 | |
| Informatica Corporation | 0.0 | $810k | 23k | 34.97 | |
| Silver Standard Res | 0.0 | $380k | 60k | 6.33 | |
| Brookdale Senior Living (BKD) | 0.0 | $946k | 36k | 26.42 | |
| Einstein Noah Restaurant | 0.0 | $599k | 42k | 14.20 | |
| Changyou | 0.0 | $426k | 14k | 30.43 | |
| Giant Interactive | 0.0 | $599k | 75k | 8.01 | |
| Constant Contact | 0.0 | $807k | 50k | 16.07 | |
| Qlik Technologies | 0.0 | $540k | 19k | 28.30 | |
| Fortinet (FTNT) | 0.0 | $606k | 35k | 17.50 | |
| Emeritus Corporation | 0.0 | $452k | 20k | 23.21 | |
| Xueda Education | 0.0 | $362k | 112k | 3.25 | |
| MoSys | 0.0 | $834k | 207k | 4.02 | |
| Royce Focus Tr | 0.0 | $400k | 57k | 6.98 | |
| RMK Multi-Sector High Income Fund (HMH) | 0.0 | $600k | 105k | 5.71 | |
| Western Asset Managed High Incm Fnd | 0.0 | $791k | 136k | 5.84 | |
| RMK Advantage Income Fund (HAV) | 0.0 | $645k | 78k | 8.31 | |
| RMK High Income Fund (HIH) | 0.0 | $431k | 53k | 8.15 | |
| TAL Education (TAL) | 0.0 | $578k | 55k | 10.47 | |
| Managed High Yield Plus Fund | 0.0 | $734k | 367k | 2.00 | |
| Nuveen Select Quality Municipal Fund | 0.0 | $349k | 26k | 13.58 | |
| Morgan Stanley East. Euro | 0.0 | $536k | 33k | 16.17 | |
| Denali Fund | 0.0 | $508k | 26k | 19.46 | |
| Qihoo 360 Technologies Co Lt | 0.0 | $738k | 16k | 46.21 | |
| Universal Business Pmt Sol A | 0.0 | $334k | 111k | 3.00 | |
| Altisource Residential Corp cl b | 0.0 | $612k | 37k | 16.70 | |
| Ja Solar Holdings Co Ltd spon adr rep5ord | 0.0 | $533k | 74k | 7.20 | |
| Bright Horizons Fam Sol In D (BFAM) | 0.0 | $902k | 26k | 34.72 | |
| Atlas Financial Holdings (AFHIF) | 0.0 | $378k | 42k | 8.96 | |
| Prospect Capital Corporati mtnf 5.375% | 0.0 | $520k | 500k | 1.04 | |
| Hovnanian Enterprises | 0.0 | $321k | 57k | 5.61 | |
| Sohu | 0.0 | $246k | 4.0k | 61.50 | |
| WuXi PharmaTech | 0.0 | $212k | 10k | 20.99 | |
| China XD Plastics | 0.0 | $53k | 13k | 4.08 | |
| Air Methods Corporation | 0.0 | $246k | 7.3k | 33.86 | |
| Trina Solar | 0.0 | $307k | 52k | 5.96 | |
| ParkerVision | 0.0 | $228k | 50k | 4.56 | |
| Armour Residential Reit Inc *w exp 11/07/201 | 0.0 | $50k | 5.0M | 0.01 | |
| Resolute Energy Corp *w exp 09/25/201 | 0.0 | $7.0k | 20k | 0.36 | |
| Blackrock Muni Intermediate Drtn Fnd (MUI) | 0.0 | $234k | 16k | 14.73 | |
| Federated Premier Intermediate Municipal | 0.0 | $174k | 13k | 13.04 | |
| Invesco Quality Municipal Inc Trust (IQI) | 0.0 | $270k | 22k | 12.11 | |
| Nuveen Municipal Advantage Fund | 0.0 | $186k | 14k | 13.48 | |
| Nuveen Quality Income Municipal Fund | 0.0 | $228k | 17k | 13.49 | |
| Nuveen Maryland Premium Income Municipal | 0.0 | $192k | 14k | 13.38 | |
| Eaton Vance Natl Mun Opport (EOT) | 0.0 | $197k | 10k | 19.70 | |
| Macquarie Global Infr Total Rtrn Fnd | 0.0 | $231k | 11k | 20.44 | |
| MFS Investment Grade Municipal Trust (CXH) | 0.0 | $194k | 21k | 9.33 | |
| China Hydroelectric Corporat w exp 01/25/201 | 0.0 | $20k | 649k | 0.03 | |
| Prime Acquisition Corp *w exp 99/99/999 | 0.0 | $69k | 181k | 0.38 | |
| Nautilus Marine Acquisit Cor *w exp 06/17/201 | 0.0 | $56k | 697k | 0.08 | |
| Blue Wolf Mongolia Holdings *w exp 07/20/201 | 0.0 | $145k | 581k | 0.25 | |
| 57th Street General Acq-cw16 rt | 0.0 | $8.6k | 96k | 0.09 | |
| Prospect Global Res In | 0.0 | $80k | 1.0M | 0.08 | |
| Andina Acquisition Corp *w exp 99/99/999 | 0.0 | $71k | 295k | 0.24 | |
| Bgs Acquisition Corp *w exp 99/99/999 | 0.0 | $135k | 676k | 0.20 | |
| Infinity Cross Bo | 0.0 | $199k | 315k | 0.63 | |
| Collabrium Japan Acquisitn C *w exp 99/99/999 | 0.0 | $109k | 350k | 0.31 | |
| Chart Acquisition Co *w exp 12/1 | 0.0 | $77k | 148k | 0.52 | |
| Aquasition Corp *w exp 99/99/999 | 0.0 | $62k | 257k | 0.24 | |
| Bioamber Inc wrt | 0.0 | $293k | 532k | 0.55 | |
| Cis Acquisition Ltd-class A wrt | 0.0 | $225k | 775k | 0.29 |
