Weiss Asset Management LP[1

Weiss Asset Management as of Dec. 31, 2017

Portfolio Holdings for Weiss Asset Management

Weiss Asset Management holds 258 positions in its portfolio as reported in the December 2017 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Allergan Plc pfd conv ser a 10.1 $116M 198k 586.25
Central Fd Cda Ltd cl a 9.0 $103M 7.7M 13.40
Bob Evans Farms 6.3 $72M 915k 78.82
Allergan 5.3 $61M 376k 163.58
Old Republic Intl Corp note 4.9 $57M 41M 1.39
Convergys Corp sdcv 5.750% 9/1 4.4 $51M 23M 2.19
1,375% Liberty Media 15.10.2023 note 4.3 $50M 43M 1.15
Janus Capital conv 2.5 $29M 17M 1.69
Teva Pharmaceutical Industries (TEVA) 2.3 $26M 1.4M 18.95
Alphabet Inc Class A cs (GOOGL) 2.1 $24M 23k 1053.39
iShares Dow Jones US Real Estate (IYR) 2.0 $24M 290k 81.01
iShares Lehman 7-10 Yr Treas. Bond (IEF) 1.8 $21M 200k 105.57
Alibaba Group Holding (BABA) 1.8 $21M 120k 172.43
Videocon D2h 1.6 $19M 1.9M 9.51
Ryland Group Inc Gtd Convertible Fxd Rt 0.250% 06/01/19 B/e Dtd 05/20/13 1.6 $18M 18M 1.01
Liberty Media Corp deb 3.500% 1/1 1.5 $18M 31M 0.56
Cm Seven Star Acquisition 1.5 $17M 1.8M 9.65
Rlj Lodging Tr Cum Conv Pfd A reit (RLJ.PA) 1.4 $16M 573k 27.01
iShares MSCI South Korea Index Fund (EWY) 1.3 $15M 200k 74.93
Hennessy Cap Acquston Corp I 1.3 $15M 1.5M 9.80
Resource Cap Corp Note 4.500 8/1 1.3 $15M 15M 0.97
Financial Select Sector SPDR (XLF) 1.2 $14M 500k 27.91
Anthem Inc conv p 1.1 $13M 223k 56.00
Johnson & Johnson (JNJ) 1.0 $12M 84k 139.71
Southwestern Energy Co Dep 1/2 dep shs 1/20 b 1.0 $12M 982k 11.90
Goldman Sachs (GS) 0.9 $11M 43k 254.77
M Iii Acquisition Corp equities 0.9 $11M 1.1M 9.92
Vantage Energy Acquisition 0.9 $11M 1.1M 9.72
Black Ridge Acquisition Corp 0.8 $9.4M 975k 9.65
Kayne Anderson Acquisition 0.8 $9.3M 962k 9.71
Electrum Spl Acquisition Cor 0.8 $8.8M 852k 10.31
Aetna 0.8 $8.6M 48k 180.38
Modern Media Acquisition 0.7 $8.3M 842k 9.80
McDonald's Corporation (MCD) 0.7 $7.9M 46k 172.13
Sprott Phys Platinum & Palladi (SPPP) 0.7 $7.7M 826k 9.34
Equity Commonwealth (EQC) 0.7 $7.7M 252k 30.51
Pensare Acquisition Corp 0.6 $7.3M 750k 9.67
Sprott Physical Silver Tr tr unit (PSLV) 0.6 $6.7M 1.1M 6.34
Kbl Merger Corp Iv 0.6 $6.6M 682k 9.71
Constellation Alpha Cap Corp 0.6 $6.6M 674k 9.73
United Technologies Corporation 0.5 $6.1M 48k 127.56
Frontier Communications Corp pfd conv ser-a 0.5 $5.7M 526k 10.82
Gabelli Equity Trust (GAB) 0.5 $5.5M 891k 6.19
Landcadia Hldgs Inc cl a 0.5 $5.5M 553k 9.95
Sucampo Pharmaceuticals Inc note 3.250%12/1 0.5 $5.5M 4.5M 1.22
National Energy Services Reu (NESR) 0.5 $5.2M 519k 9.95
Actua Corporation 0.4 $5.0M 323k 15.60
Lockheed Martin Corporation (LMT) 0.4 $4.8M 15k 321.07
Jp Morgan Alerian Mlp Index (AMJ) 0.4 $4.8M 175k 27.47
Industrea Acquisition Corp cl a 0.4 $4.8M 493k 9.72
Bison Cap Acquisition Corp ord 0.4 $4.7M 475k 9.87
Atlantic Acquisition Corp 0.4 $4.6M 470k 9.86
Om Asset Management 0.4 $4.3M 257k 16.75
Sprott Physical Gold Trust (PHYS) 0.4 $4.1M 387k 10.59
PennyMac Mortgage Investment Trust (PMT) 0.3 $3.2M 201k 16.07
Lam Research Corporation (LRCX) 0.3 $3.0M 16k 184.05
Gigcapital Inc unit 03/06/2025 0.3 $3.0M 300k 10.00
Forum Merger Corp - A 0.2 $2.7M 273k 9.98
Cleveland Cliffs Inc dbcv 1.500% 1/1 0.2 $2.8M 2.5M 1.12
Jensyn Acquisition 0.2 $2.6M 254k 10.30
Gty Technology Holdings Inc cl a 0.2 $2.5M 250k 9.93
M I Acquisitions 0.2 $2.5M 246k 10.19
I Am Cap Acquisition 0.2 $2.5M 250k 9.87
Seabridge Gold (SA) 0.2 $2.3M 200k 11.35
Tortoise Energy Infrastructure 0.2 $2.2M 76k 29.08
Kayne Anderson MLP Investment (KYN) 0.2 $1.9M 100k 19.05
Barington Hilco Acquisition 0.2 $2.0M 191k 10.45
Matlin & Partners Acquisitio cl a 0.2 $2.0M 200k 9.76
Sentinel Energy Svcs Inc unit 11/02/2022 0.2 $2.0M 199k 9.97
Bristow Group Inc note 4.500% 6/0 0.2 $1.8M 1.7M 1.11
Pimco Dynamic Credit Income other 0.1 $1.7M 78k 22.45
Doubleline Income Solutions (DSL) 0.1 $1.7M 84k 20.19
Big Rock Partners Acquisi 0.1 $1.7M 176k 9.68
Thai Fund 0.1 $1.6M 153k 10.76
priceline.com Incorporated 0.1 $1.5M 836.00 1738.04
Capstead Mortgage Corporation 0.1 $1.5M 171k 8.65
PIMCO High Income Fund (PHK) 0.1 $1.4M 183k 7.46
Aberdeen Chile Fund (AEF) 0.1 $1.4M 160k 8.93
Origo Acquisition Corp 0.1 $1.3M 127k 10.64
Celgene Corporation 0.1 $1.2M 11k 104.38
Eaton Vance Limited Duration Income Fund (EVV) 0.1 $1.0M 76k 13.66
Tortoise MLP Fund 0.1 $983k 56k 17.56
Bank Of Nt Butterfield&son L (NTB) 0.1 $1.0M 28k 37.49
Draper Oakwood Technology 0.1 $980k 100k 9.80
Incyte Corporation (INCY) 0.1 $971k 10k 94.74
Fiduciary/Claymore MLP Opportunity Fund 0.1 $904k 69k 13.15
Ionis Pharmaceuticals (IONS) 0.1 $905k 18k 50.33
Hunter Maritime Acquisition cl a 0.1 $878k 90k 9.76
Reaves Utility Income Fund (UTG) 0.1 $850k 28k 30.92
Biosante Pharmaceuticals (ANIP) 0.1 $750k 12k 64.44
H & Q Healthcare Fund equities (HQH) 0.1 $802k 36k 22.55
Goldman Sachs Mlp Energy Ren 0.1 $771k 125k 6.15
Gilead Sciences (GILD) 0.1 $689k 9.6k 71.67
salesforce (CRM) 0.1 $660k 6.5k 102.20
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 0.1 $727k 89k 8.22
Aberdeen Asia-Pacific Income Fund (FAX) 0.1 $714k 146k 4.88
Adams Express Company (ADX) 0.1 $655k 44k 15.03
Gabelli Dividend & Income Trust (GDV) 0.1 $640k 27k 23.41
Invesco Van Kampen Dyn Cr Opp Fund 0.1 $746k 64k 11.71
Nuveen Energy Mlp Total Return etf 0.1 $737k 65k 11.39
Gamco Global Gold Natural Reso (GGN) 0.1 $720k 138k 5.21
Prudential Gl Sh Dur Hi Yld 0.1 $678k 47k 14.40
Aberdeen Gtr China 0.1 $704k 57k 12.44
Vertex Pharmaceuticals Incorporated (VRTX) 0.1 $571k 3.8k 149.95
Ares Capital Corporation (ARCC) 0.1 $608k 39k 15.71
Neurocrine Biosciences (NBIX) 0.1 $610k 7.9k 77.56
Alpine Global Premier Properties Fund 0.1 $584k 87k 6.74
BlackRock Global Opportunities Equity Tr (BOE) 0.1 $591k 47k 12.52
BlackRock Corporate High Yield Fund VI (HYT) 0.1 $567k 52k 10.94
Kayne Anderson Energy Total Return Fund 0.1 $564k 56k 10.05
General American Investors (GAM) 0.1 $548k 16k 34.39
Invesco Van Kampen Muni Opp Trust (VMO) 0.1 $541k 44k 12.40
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 0.1 $555k 51k 10.88
Cbre Clarion Global Real Estat re (IGR) 0.1 $553k 70k 7.91
Clearbridge Energy M 0.1 $536k 46k 11.61
Nxp Semiconductors N V dbcv 1.000% 12/0 0.1 $610k 500k 1.22
Brookfield Real Assets Incom shs ben int (RA) 0.1 $553k 24k 23.38
India Fund (IFN) 0.0 $415k 16k 26.11
Novo Nordisk A/S (NVO) 0.0 $409k 7.6k 53.70
Alexion Pharmaceuticals 0.0 $496k 4.2k 119.52
Halozyme Therapeutics (HALO) 0.0 $422k 21k 20.27
Morgan Stanley China A Share Fund (CAF) 0.0 $479k 21k 23.36
ROYAL BK SCOTLAND Group Plc sp adr pref s 0.0 $508k 20k 25.45
Aberdn Emring Mkts Telecomtions 0.0 $467k 32k 14.56
Calamos Strategic Total Return Fund (CSQ) 0.0 $514k 43k 12.08
Boulder Growth & Income Fund (STEW) 0.0 $461k 42k 11.08
Nuveen Floating Rate Income Fund (JFR) 0.0 $433k 39k 11.22
Nuveen Insured Tax-Free Adv Munici (NEA) 0.0 $465k 34k 13.76
Aberdeen Latin Amer Eqty 0.0 $477k 18k 26.70
Aberdeen Israel Fund 0.0 $404k 21k 19.13
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.0 $500k 35k 14.31
Clearbridge Energy Mlp Opp F 0.0 $469k 40k 11.80
Duff & Phelps Global (DPG) 0.0 $471k 30k 15.52
Agios Pharmaceuticals (AGIO) 0.0 $427k 7.5k 57.22
Singapore Fund 0.0 $436k 35k 12.42
Voya Global Eq Div & Pr Opp (IGD) 0.0 $433k 56k 7.75
Voya Prime Rate Trust sh ben int 0.0 $495k 98k 5.07
Radius Health 0.0 $461k 15k 31.74
Sage Therapeutics (SAGE) 0.0 $432k 2.6k 164.89
Alnylam Pharmaceuticals (ALNY) 0.0 $313k 2.5k 127.24
Templeton Dragon Fund (TDF) 0.0 $329k 15k 21.53
Eaton Vance Enhanced Equity Incm. Fd. II (EOS) 0.0 $311k 21k 15.21
Eaton Vance Senior Floating Rate Fund (EFR) 0.0 $343k 24k 14.43
BlackRock Floating Rate Income Strat. Fn (FRA) 0.0 $317k 23k 13.79
Invesco Van Kampen Senior Income Trust (VVR) 0.0 $331k 76k 4.39
Nuveen Fltng Rte Incm Opp 0.0 $300k 26k 11.42
Western Asset High Incm Fd I (HIX) 0.0 $371k 53k 6.97
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.0 $331k 24k 13.92
Invesco Van Kampen Municipal Trust (VKQ) 0.0 $380k 30k 12.50
Nuveen Div. Advantage Muni. Fund (NAD) 0.0 $365k 26k 14.06
First Tr High Income L/s (FSD) 0.0 $398k 24k 16.57
Kayne Anderson Mdstm Energy 0.0 $323k 23k 13.79
Stone Hbr Emerg Mrkts (EDF) 0.0 $290k 18k 15.91
Salient Midstream & M 0.0 $316k 29k 11.03
Prudential Sht Duration Hg Y 0.0 $324k 22k 14.78
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.0 $294k 13k 22.33
Blackrock Multi-sector Incom other (BIT) 0.0 $318k 18k 18.15
Esperion Therapeutics (ESPR) 0.0 $357k 5.4k 65.78
Tekla Life Sciences sh ben int (HQL) 0.0 $371k 19k 19.65
Barings Global Short Duration Com cef (BGH) 0.0 $360k 19k 19.40
First Tr Sr Floating Rate 20 0.0 $384k 42k 9.12
Caesars Entmt Corp note 5.000%10/0 0.0 $309k 167k 1.85
Ameriprise Financial (AMP) 0.0 $207k 1.2k 169.26
Regeneron Pharmaceuticals (REGN) 0.0 $215k 571.00 376.53
Gabelli Global Multimedia Trust (GGT) 0.0 $209k 23k 9.18
Assured Guaranty (AGO) 0.0 $252k 7.5k 33.83
Asa (ASA) 0.0 $232k 21k 11.30
Templeton Global Income Fund (SABA) 0.0 $253k 39k 6.47
AllianceBernstein Global Hgh Incm (AWF) 0.0 $281k 22k 12.78
LMP Capital and Income Fund (SCD) 0.0 $194k 14k 13.93
Liberty All-Star Equity Fund (USA) 0.0 $273k 43k 6.29
Kayne Anderson Energy Development 0.0 $266k 15k 17.44
Putnam Premier Income Trust (PPT) 0.0 $261k 49k 5.33
Western Asst High Incm Opprtnty Fnd (HIO) 0.0 $186k 37k 5.07
Pimco Municipal Income Fund (PMF) 0.0 $255k 20k 12.98
RMR Asia Pacific Real Estate Fund 0.0 $276k 14k 19.12
Eaton Vance Floating-Rate Income Trust (EFT) 0.0 $263k 18k 14.32
Morgan Stanley Emerging Markets Domestic (EDD) 0.0 $272k 35k 7.70
Wells Fargo Adv Inc Opport Fund (EAD) 0.0 $236k 28k 8.41
BlackRock Credit All Inc Trust IV (BTZ) 0.0 $282k 21k 13.30
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.0 $259k 28k 9.22
Invesco Quality Municipal Inc Trust (IQI) 0.0 $213k 17k 12.53
Clough Global Equity Fund closed-end fund (GLQ) 0.0 $261k 20k 13.37
BlackRock Core Bond Trust (BHK) 0.0 $257k 18k 14.02
Blackrock Muniyield Fund (MYD) 0.0 $185k 13k 14.50
Blackrock Muniyield California Ins Fund 0.0 $225k 15k 14.69
Nuveen Nj Div Advantage Mun (NXJ) 0.0 $214k 16k 13.68
Mexico Fund (MXF) 0.0 $205k 13k 15.72
Blackrock Build America Bond Trust (BBN) 0.0 $253k 11k 23.19
Aberdeen Indonesia Fund 0.0 $195k 26k 7.66
Just Energy Group 0.0 $278k 65k 4.29
Apollo Sr Floating Rate Fd I (AFT) 0.0 $209k 13k 16.22
First Tr Energy Infrastrctr (FIF) 0.0 $254k 14k 17.90
Tortoise Energy equity 0.0 $280k 21k 13.26
Cohen & Steers Ltd Dur Pfd I (LDP) 0.0 $223k 8.5k 26.09
Allianzgi Nfj Divid Int Prem S cefs 0.0 $267k 21k 13.03
Ares Dynamic Cr Allocation (ARDC) 0.0 $182k 11k 16.40
Ivy High Income Opportunities 0.0 $240k 16k 15.10
Center Coast Mlp And Infrastructure unit 0.0 $267k 27k 9.96
Kkr Income Opportunities (KIO) 0.0 $182k 11k 16.06
Gabelli mutual funds - (GGZ) 0.0 $229k 18k 12.76
Dws Municipal Income Trust 0.0 $178k 15k 11.92
Deutsche High Income Opport 0.0 $238k 16k 15.04
Duff & Phelps Select Energy Mlp Fund Inc closed end fund - equity 0.0 $241k 41k 5.84
Tekla Healthcare Opportunit (THQ) 0.0 $257k 15k 17.54
Juno Therapeutics 0.0 $211k 4.6k 45.81
Nuveen Global High (JGH) 0.0 $256k 15k 16.93
Miller Howard High Inc Eqty (HIE) 0.0 $191k 15k 12.45
Rivernorth Doubleline Strate (OPP) 0.0 $207k 11k 18.41
Baker Hughes A Ge Company (BKR) 0.0 $278k 8.8k 31.64
Aberdeen Income Cred Strat (ACP) 0.0 $193k 14k 14.06
Chesapeake Energy Corp note 2.250%12/1 0.0 $65k 70k 0.93
Pioneer Floating Rate Trust (PHD) 0.0 $155k 14k 11.49
Safe Bulkers Inc Com Stk (SB) 0.0 $62k 19k 3.24
Globalstar (GSAT) 0.0 $68k 52k 1.30
Intrepid Potash 0.0 $77k 16k 4.74
BioDelivery Sciences International 0.0 $65k 22k 2.95
Eaton Vance Municipal Income Trust (EVN) 0.0 $135k 11k 12.38
MUTUAL FUND Gabelli Healthcare & Wellnessr*x (GRX) 0.0 $118k 11k 10.34
VirnetX Holding Corporation 0.0 $58k 16k 3.71
Royce Micro Capital Trust (RMT) 0.0 $172k 18k 9.43
Eaton Vance Senior Income Trust (EVF) 0.0 $117k 18k 6.52
First Trust/Four Corners SFRI Fund II (FCT) 0.0 $168k 13k 12.93
Templeton Emerging Markets Income Fund (TEI) 0.0 $140k 13k 11.17
BlackRock Municipal Income Trust II (BLE) 0.0 $165k 11k 14.47
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.0 $100k 15k 6.54
Nuveen Senior Income Fund 0.0 $149k 23k 6.51
Pioneer High Income Trust (PHT) 0.0 $156k 16k 9.69
Wells Fargo Adv Global Dividend Opport (EOD) 0.0 $128k 22k 5.91
Western Asset Municipal Hgh Incm Fnd (MHF) 0.0 $79k 11k 7.37
Dreyfus High Yield Strategies Fund 0.0 $89k 27k 3.36
New York Mortgage Trust 0.0 $118k 19k 6.18
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.0 $147k 10k 14.17
Asia Tigers Fund 0.0 $133k 11k 12.35
Endocyte 0.0 $61k 14k 4.25
Plug Power (PLUG) 0.0 $63k 27k 2.37
Cys Investments 0.0 $121k 15k 8.01
Verastem 0.0 $60k 20k 3.07
LEGG MASON BW GLOBAL Income 0.0 $138k 11k 12.74
4068594 Enphase Energy (ENPH) 0.0 $58k 24k 2.41
Tetraphase Pharmaceuticals 0.0 $65k 10k 6.30
Spirit Realty reit 0.0 $123k 14k 8.60
Voya Emerging Markets High I etf (IHD) 0.0 $142k 16k 8.91
Voya Natural Res Eq Inc Fund 0.0 $72k 11k 6.29
New Senior Inv Grp 0.0 $113k 15k 7.58
Digital Turbine (APPS) 0.0 $61k 34k 1.79
Gannett 0.0 $124k 11k 11.63
Arrowhead Pharmaceuticals (ARWR) 0.0 $70k 19k 3.67
Washington Prime Group 0.0 $122k 17k 7.10
R1 Rcm 0.0 $62k 14k 4.42
Kopin Corporation (KOPN) 0.0 $49k 15k 3.18
Novavax 0.0 $29k 23k 1.26
Castle Brands 0.0 $52k 43k 1.22
QuickLogic Corporation 0.0 $34k 20k 1.73
Microvision Inc Del (MVIS) 0.0 $50k 31k 1.64
Community Health Sys Inc New right 01/27/2016 0.0 $30k 3.0M 0.01
Immune Design 0.0 $44k 11k 3.89
Peregine Pharmaceuticals Inc N 0.0 $53k 14k 3.87