CNH Partners

Cnh Partners as of Sept. 30, 2015

Portfolio Holdings for Cnh Partners

Cnh Partners holds 459 positions in its portfolio as reported in the September 2015 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Verisign Inc sdcv 3.250% 8/1 4.1 $341M 163M 2.09
Fiat Chrysler Auto 2.9 $237M 2.0M 118.88
Novellus Systems, Inc. note 2.625% 5/1 2.3 $191M 97M 1.96
Microchip Technology Inc sdcv 2.125%12/1 2.3 $189M 108M 1.76
Allergan Plc pfd conv ser a 2.1 $178M 188k 943.13
Hudson City Ban 2.1 $174M 17M 10.17
Intel Corp. Jr. Sub. Cv. Deb. conv 2.0 $168M 111M 1.51
T Mobile Us Inc conv pfd ser a 2.0 $166M 2.4M 69.31
Sigma-Aldrich Corporation 1.9 $159M 1.1M 138.92
Freescale Semiconductor Holdin 1.8 $146M 4.0M 36.58
Tyson Foods Inc cnv p 1.7 $143M 2.8M 51.76
Broadcom Corporation 1.7 $141M 2.7M 51.43
Chubb Corporation 1.6 $135M 1.1M 122.65
Palo Alto Networks Inc note 7/0 1.6 $130M 80M 1.63
Mgic Investment Corp note 1.5 $121M 84M 1.44
Pepco Holdings 1.4 $120M 5.0M 24.22
Wellpoint Inc Note cb 1.4 $112M 59M 1.89
Altera Corporation 1.3 $106M 2.1M 50.08
Precision Castparts 1.3 $104M 452k 229.71
Dominion Resources Inc 6% 07/01/2016 conbnp 1.2 $103M 1.8M 55.92
Baker Hughes Incorporated 1.2 $100M 1.9M 52.04
Sandisk Corp note 1.500% 8/1 1.2 $97M 78M 1.25
Welltower Inc 6.50% pfd prepet 1.1 $94M 1.6M 60.73
Time Warner Cable 1.1 $92M 515k 179.37
Tesla Mtrs Inc note 1.500% 6/0 1.1 $89M 44M 2.04
Southwestern Energy Co Dep 1/2 dep shs 1/20 b 1.1 $89M 2.8M 31.34
City National Corporation 1.1 $88M 1.0M 88.06
HCC Insurance Holdings 1.1 $88M 1.1M 77.47
CIGNA Corporation 1.1 $87M 647k 135.02
Nvidia Corp note 1.000 12/0 1.1 $87M 66M 1.32
Cytec Industries 1.0 $84M 1.1M 73.85
Yahoo! 1.0 $83M 2.9M 28.91
Dominion Res Inc Va unit 04/01/2013 1.0 $80M 1.4M 55.42
Cleco Corporation 0.9 $77M 1.5M 53.24
Office Depot 0.9 $75M 12M 6.42
Kythera Biopharmaceuticals I 0.9 $75M 998k 74.98
Thoratec Corporation 0.9 $74M 1.2M 63.26
Hawaiian Electric Industries (HE) 0.9 $72M 2.5M 28.69
Con-way 0.8 $70M 1.5M 47.45
Crown Castle Intl Corp New cnv pfd stk sr a 0.8 $66M 652k 101.86
Humana (HUM) 0.8 $64M 359k 179.00
Home Properties 0.8 $62M 828k 74.75
Willis Group Holdings 0.7 $61M 1.5M 40.97
Cameron International Corporation 0.7 $59M 964k 61.32
IPC The Hospitalist Company 0.7 $55M 710k 77.69
Om 0.7 $55M 1.7M 32.89
Xoom 0.7 $56M 2.2M 24.88
Strategic Hotels & Resorts 0.7 $54M 3.9M 13.79
Stericycle, Inc. pfd cv 0.7 $54M 530k 101.81
Electronic Arts Inc conv 0.6 $53M 25M 2.12
Ship Finance International sr cv nt 0.6 $53M 51M 1.05
Symetra Finl Corp 0.6 $52M 1.7M 31.64
Alcatel-Lucent 0.6 $50M 14M 3.65
Mu Us conv 0.6 $50M 30M 1.65
Sunedison Inc note 2.000%10/0 0.6 $49M 65M 0.76
Cablevision Systems Corporation 0.6 $48M 1.5M 32.47
Cheniere Energy Inc note 4.250% 3/1 0.6 $45M 72M 0.63
StanCorp Financial 0.5 $44M 385k 114.20
Weyerhaeuser C conv prf 0.5 $44M 921k 47.97
Herbalife Ltd conv 0.5 $44M 49M 0.89
National Penn Bancshares 0.5 $43M 3.6M 11.75
AGL Resources 0.5 $42M 680k 61.04
Solera Holdings 0.5 $41M 759k 54.00
Starwood Property Trust note 0.5 $39M 38M 1.02
Equinix Inc note 4.750% 6/1 0.5 $37M 11M 3.41
Dominion Res D Ser A Units 6.375% 01-jul-2017 convprf 0.5 $37M 745k 50.13
Boulevard Acquisition unit 99/99/9999 0.5 $37M 3.7M 9.98
Meritor Inc conv 0.4 $37M 27M 1.36
Gores Hldgs Inc unit 99/99/9999 0.4 $36M 3.5M 10.14
Dot Hill Systems 0.4 $35M 3.5M 9.73
TECO Energy 0.4 $34M 1.3M 26.26
Anthem Inc conv p 0.4 $32M 667k 48.62
Integrated Silicon Solution 0.4 $31M 1.4M 21.49
Priceline.com debt 1.000% 3/1 0.4 $32M 22M 1.41
Zulily Inc cl a 0.4 $32M 1.8M 17.40
Dow Chemical Company 0.4 $31M 734k 42.11
Wl Ross Hldg 0.4 $30M 2.9M 10.38
Quinpario Acquisition Corp 2 0.4 $31M 3.1M 9.80
Square 1 Financial 0.4 $30M 1.2M 25.68
Uti Worldwide 0.4 $29M 40M 0.74
Medicines Co dbcv 1.375% 6/0 0.3 $29M 20M 1.46
Mgic Invt Corp Wis note 5.000% 5/0 0.3 $28M 26M 1.07
Avolon Hldgs 0.3 $28M 933k 30.44
Webmd Health Conv Sr Notes conv 0.3 $27M 27M 1.01
Convergys Corp sdcv 5.750% 9/1 0.3 $26M 13M 2.09
Micron Technology Inc bond 0.3 $26M 16M 1.66
Spirit Realty Capital Inc convertible cor 0.3 $26M 28M 0.93
Webmd Health Corp 1.5% cnvrtbnd 0.3 $27M 26M 1.03
Gp Invts Acquisition Cor 0.3 $26M 2.8M 9.61
Prospect Capital Corp conv 0.3 $26M 28M 0.91
Health Net 0.3 $25M 417k 60.22
Partner Re 0.3 $24M 171k 138.88
Starwood Ppty Tr Inc 3.750 oct 15 17 c 0.3 $24M 24M 1.00
Cemex Sab De Cv conv bnd 0.3 $23M 23M 1.02
Starwood Ppty note 4.0% 1/15/ 0.3 $24M 23M 1.03
Acorda Therap note 1.75% 6/15 0.3 $23M 26M 0.91
Garnero Group Acquisition 0.3 $23M 2.4M 9.82
Double Eagle Acquisition Cor unit 99/99/9999 0.3 $23M 2.3M 10.14
Ttm Technologies Inc conv 0.3 $23M 26M 0.88
Radian Group Inc note 0.3 $22M 14M 1.51
Google Inc Class C 0.3 $21M 35k 608.43
Ezchip Semiconductor Lt 0.2 $21M 835k 25.16
Pdl Biopharma Inc Sr Nt Conv 4.000% 02/01/18 B/e Dtd 02/12/14 0.2 $21M 24M 0.89
Sunedison Inc note 2.750% 1/0 0.2 $20M 29M 0.71
Hydra Inds Acquisition 0.2 $19M 2.0M 9.70
Easterly Acquisition Corp. equities 0.2 $19M 1.9M 10.05
Vector Group Ltd frnt 1/1 0.2 $18M 12M 1.51
Standard Pacific Corp cnv 0.2 $17M 15M 1.16
Take-two Interactive Sof note 0.2 $18M 11M 1.55
Colony Finl Inc Sr Nt Conv 3.875% 01/15/21 B/e Dtd 01/28/14 0.2 $18M 18M 0.96
Micron Technology Inc note 2.125% 2/1 0.2 $17M 11M 1.54
DealerTrack Holdings 0.2 $16M 259k 63.16
Cien 4 12/15/20 0.2 $17M 13M 1.31
Hologic Inc frnt 2.000%12/1 0.2 $16M 9.2M 1.71
X 2 3/4 04/01/19 0.2 $16M 16M 1.00
Cambridge Cap Acquisition 0.2 $16M 1.6M 9.95
Harmony Merger 0.2 $16M 1.6M 9.85
Notes Gencorp Inc. 4.0625% dbcv 0.2 $15M 8.3M 1.80
Perrigo Company (PRGO) 0.2 $15M 96k 157.27
Cdk Global Inc equities 0.2 $15M 315k 47.78
Terrapin 3 Acquisition 0.2 $15M 1.5M 9.88
Developers Diversified Rlty note 1.750%11/1 0.2 $14M 14M 1.06
Tornier Nv 0.2 $14M 697k 20.39
Amsburg Corp pfd 5.25% 0.2 $14M 93k 148.12
Standard Pacific 0.2 $13M 1.7M 8.00
Alon Usa Energy Inc note 3.000% 9/1 0.1 $13M 9.4M 1.33
Comcast Corporation (CMCSA) 0.1 $12M 209k 56.88
Red Hat 0.1 $12M 161k 71.88
Lam Research Corp note 0.500% 5/1 0.1 $11M 10M 1.14
Remy Intl Inc Hldg 0.1 $11M 385k 29.25
Wpx Energy Inc p 0.1 $12M 330k 36.05
Global Partner Acquisition C 0.1 $12M 1.2M 9.75
Electrum Spl Acquisition Cor 0.1 $11M 1.1M 9.70
Hennessy Cap Acquisition Cor 0.1 $11M 1.1M 9.55
Steiner Leisure Ltd Com Stk 0.1 $9.5M 151k 63.18
Stillwater Mng Co note 1.750%10/1 0.1 $9.9M 9.7M 1.02
Istar Finl Inc Note 3.000%11/1 Added Conv 11/15/2016 0.1 $9.7M 8.5M 1.14
Rambus Inc Del note 1.125% 8/1 0.1 $9.6M 8.2M 1.17
Ar Cap Acquisition 0.1 $9.7M 1.0M 9.60
Automatic Data Processing (ADP) 0.1 $8.9M 111k 80.36
eBay (EBAY) 0.1 $9.3M 380k 24.44
Atmel Corporation 0.1 $8.7M 1.1M 8.07
Cemex Sab De Cv conv bnd 0.1 $9.0M 8.7M 1.04
Webmd Health Corp note 0.1 $8.8M 8.8M 1.00
Global Defense & Natl Sec Sy 0.1 $9.2M 871k 10.52
Aegean Marine Petroleum Network note 4.000 11/0 0.1 $9.4M 11M 0.83
Spirit Rlty Cap Inc New Note cb 0.1 $8.8M 9.7M 0.91
Fintech Acquisition 0.1 $8.7M 890k 9.75
Care Cap Properties 0.1 $8.9M 271k 32.93
Masco Corporation (MAS) 0.1 $7.9M 314k 25.18
NiSource (NI) 0.1 $8.4M 454k 18.55
Ventas (VTR) 0.1 $8.0M 143k 56.06
Libertyinteractivecorp lbtventcoma 0.1 $8.2M 203k 40.35
Cowen Group Inc New note 3.000% 3/1 0.1 $8.0M 7.6M 1.05
Baxalta Incorporated 0.1 $8.2M 260k 31.51
Sequenom Inc conv 0.1 $7.9M 9.5M 0.84
Arowana 0.1 $7.8M 800k 9.81
Healthways Inc note 1.500% 7/0 0.1 $7.7M 8.3M 0.93
Yodlee 0.1 $7.4M 460k 16.13
Moduslink Global Solutions 0.1 $7.6M 9.4M 0.81
On Semiconductor Corp note 2.625%12/1 0.1 $6.2M 5.6M 1.12
Lumenis Ltd shs cl b 0.1 $6.4M 462k 13.85
Spectrum Pharmaceuticals Inc conv 0.1 $6.3M 7.1M 0.90
Edgewell Pers Care (EPC) 0.1 $6.4M 79k 81.60
Amyris Inc. note 6.500% 5/1 0.1 $6.7M 9.2M 0.72
Paypal Holdings (PYPL) 0.1 $6.5M 209k 31.04
Pericom Semiconductor 0.1 $5.4M 296k 18.25
Premiere Global Services 0.1 $5.9M 431k 13.74
Kimberly-Clark Corporation (KMB) 0.1 $5.2M 48k 109.04
E.I. du Pont de Nemours & Company 0.1 $4.7M 98k 48.20
Intel Corp sdcv 0.1 $5.1M 4.2M 1.22
General Cable Corp Del New frnt 4.500% 11/1 0.1 $5.3M 8.6M 0.61
Accuray Inc debt 3.500% 2/0 0.1 $5.0M 4.5M 1.10
Barington Hilco Acquisition 0.1 $5.4M 546k 9.82
Frontier Communications Corp pfd conv ser-a 0.1 $4.7M 50k 93.82
Atlantic Alliance Partner 0.1 $5.1M 500k 10.12
Columbia Pipeline 0.1 $4.5M 249k 18.29
Barnes & Noble Ed 0.1 $4.6M 361k 12.71
Del Taco Restaurants Inc Exp 6 warr 0.1 $4.8M 941k 5.05
Pace Holdings Corp. equities 0.1 $5.1M 500k 10.25
Citrix Systems 0.1 $4.0M 58k 69.28
Dycom Industries (DY) 0.1 $4.3M 60k 72.35
Herbalife Ltd Com Stk (HLF) 0.1 $4.2M 78k 54.50
UIL Holdings Corporation 0.1 $3.8M 77k 50.28
Merge Healthcare 0.1 $3.9M 554k 7.10
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 0.1 $3.8M 480k 7.98
Cohen & Steers Quality Income Realty (RQI) 0.1 $3.9M 350k 11.30
BlackRock Corporate High Yield Fund VI (HYT) 0.1 $4.0M 410k 9.87
Eaton Vance Limited Duration Income Fund (EVV) 0.1 $3.9M 309k 12.68
BlackRock Credit All Inc Trust IV (BTZ) 0.1 $4.2M 346k 12.17
BlackRock Core Bond Trust (BHK) 0.1 $4.3M 335k 12.92
Kohlberg Capital Corp note 8.750% 3/1 0.1 $4.0M 4.0M 0.99
Roi Acquisition Corp Ii 0.1 $4.0M 396k 10.00
Renewable Energy Group Inc mtnf 2.750% 6/1 0.1 $4.3M 4.9M 0.87
1347 Cap 0.1 $4.4M 451k 9.75
Topbuild (BLD) 0.1 $3.8M 122k 30.97
Cable One (CABO) 0.1 $4.0M 9.7k 419.44
Baxter International (BAX) 0.0 $3.4M 103k 32.85
Metro Ban 0.0 $3.3M 111k 29.39
Liberty All-Star Equity Fund (USA) 0.0 $2.9M 578k 5.08
Blackrock Res & Commodities Strategy Tr (BCX) 0.0 $3.1M 439k 7.10
Phoenix Cos 0.0 $3.3M 100k 32.99
Blackstone Gso Strategic (BGB) 0.0 $3.2M 226k 14.21
Pimco Dynamic Credit Income other 0.0 $3.2M 173k 18.27
Chambers Str Pptys 0.0 $3.4M 523k 6.49
Graham Hldgs (GHC) 0.0 $3.2M 5.6k 576.96
Gain Cap Hldgs Inc note 4.125%12/0 0.0 $3.6M 3.8M 0.95
C B Pharma Acquisition Corp 0.0 $3.5M 350k 9.92
Energizer Holdings (ENR) 0.0 $3.3M 85k 38.71
Chemours (CC) 0.0 $3.6M 554k 6.47
Lumentum Hldgs (LITE) 0.0 $3.3M 197k 16.95
Ezcorp Inc sr unsecured 06/19 2.625 0.0 $3.5M 4.9M 0.72
Keycorp New pfd 7.75% sr a 0.0 $2.6M 20k 130.15
Alpine Global Premier Properties Fund 0.0 $2.8M 503k 5.58
Cohen & Steers REIT/P (RNP) 0.0 $2.3M 131k 17.33
Western Asst High Incm Opprtnty Fnd (HIO) 0.0 $2.2M 469k 4.69
Nuveen Premium Income Municipal Fund 0.0 $2.2M 161k 13.40
Compucredit Hldgs Corp note 5.875%11/3 0.0 $2.2M 5.0M 0.43
First Tr High Income L/s (FSD) 0.0 $2.9M 203k 14.09
Invacare Corp note 0.0 $2.5M 2.5M 0.98
Cbre Clarion Global Real Estat re (IGR) 0.0 $2.4M 332k 7.38
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.0 $2.8M 136k 20.38
GROUP Affymetrix Inc cnv 0.0 $2.7M 1.8M 1.55
Meritage Homes Corp conv 0.0 $2.5M 2.5M 1.00
M/i Homes Inc note 3.000% 3/0 0.0 $2.1M 2.2M 0.98
Cenveo Corp conv bnd 0.0 $2.5M 2.7M 0.91
Time 0.0 $2.4M 124k 19.05
Wl Ross Holding Corp wrt 0.0 $2.7M 3.3M 0.82
Media Gen 0.0 $2.8M 198k 13.99
Vivint Solar 0.0 $2.6M 251k 10.48
Albany Molecular Resh Inc note 2.250%11/1 0.0 $2.6M 2.1M 1.24
Dt Asia Invts 0.0 $2.2M 225k 9.93
Enernoc, Inc. conv 0.0 $2.1M 3.0M 0.70
Arvinmeritor Inc frnt 4.625% 3/0 0.0 $2.0M 2.0M 1.00
Central Securities (CET) 0.0 $1.4M 71k 19.76
Ark Restaurants (ARKR) 0.0 $1.9M 81k 22.96
Templeton Global Income Fund 0.0 $1.9M 304k 6.09
Synergetics USA 0.0 $1.3M 202k 6.57
Franklin Templeton (FTF) 0.0 $1.6M 151k 10.90
BlackRock Floating Rate Income Strat. Fn (FRA) 0.0 $1.6M 120k 12.94
Invesco Van Kampen Dyn Cr Opp Fund 0.0 $1.5M 144k 10.57
Nuveen Premium Income Muni Fund 2 0.0 $1.2M 92k 13.65
Western Asset Managed High Incm Fnd 0.0 $1.4M 312k 4.47
BlackRock Ltd. Duration Income Trust (BLW) 0.0 $1.6M 114k 14.44
ADVENT CLAY GBL CONV SEC INC COM Bene Inter 0.0 $1.3M 246k 5.43
Nuveen Dividend Advantage Municipal Fd 2 0.0 $1.4M 106k 13.62
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.0 $1.9M 171k 11.35
Nuveen Insured Quality Muncipal Fund 0.0 $1.7M 131k 13.02
Nuveen Maryland Premium Income Municipal 0.0 $1.4M 112k 12.32
First Trust/Aberdeen Global Opportunity 0.0 $1.5M 153k 9.68
Nuveen Nj Div Advantage Mun (NXJ) 0.0 $1.9M 148k 12.82
Oneida Financial 0.0 $2.1M 101k 20.48
Blackstone Gso Lng Shrt Cr I (BGX) 0.0 $1.3M 89k 14.25
Ntelos Holdings 0.0 $1.5M 168k 9.03
Wabash National Corp 3.375 '18 conv 0.0 $1.3M 1.1M 1.14
Ares Dynamic Cr Allocation (ARDC) 0.0 $1.6M 117k 13.97
Twenty-first Century Fox 0.0 $1.6M 58k 26.98
News (NWSA) 0.0 $1.8M 140k 12.62
Resource Cap Corp Note 6.000%12/0 note 0.0 $1.7M 1.9M 0.92
Quantum Corp note 4.500% 11/1 0.0 $1.4M 1.7M 0.84
Liberty Tripadvisor Hldgs (LTRPA) 0.0 $1.6M 72k 22.17
Encore Cap Group Inc note 3.000% 7/0 0.0 $1.6M 1.6M 1.00
Resource Capital Corporation note 8.000 1/1 0.0 $1.4M 1.5M 0.94
Viavi Solutions Inc equities (VIAV) 0.0 $2.0M 378k 5.37
Hennessy Capital Acq 0.0 $2.0M 200k 9.86
Wts/lindblad Expeditions Hldgs In 11.5000 Exp05/15/2016 wts 0.0 $1.4M 807k 1.74
Pinnacle Entertainment 0.0 $1.1M 34k 33.84
Pioneer Floating Rate Trust (PHD) 0.0 $853k 75k 11.32
Enterprise Products Partners (EPD) 0.0 $689k 28k 24.91
AmeriGas Partners 0.0 $455k 11k 41.50
NuStar Energy 0.0 $429k 9.6k 44.85
Oneok Partners 0.0 $413k 14k 29.28
Spectra Energy Partners 0.0 $419k 10k 40.23
TC Pipelines 0.0 $470k 9.9k 47.59
TransMontaigne Partners 0.0 $451k 17k 27.21
Boardwalk Pipeline Partners 0.0 $438k 37k 11.77
Energy Transfer Partners 0.0 $682k 17k 41.07
Holly Energy Partners 0.0 $505k 17k 29.04
Sunoco Logistics Partners 0.0 $515k 18k 28.65
Magellan Midstream Partners 0.0 $538k 9.0k 60.06
Tri-Continental Corporation (TY) 0.0 $733k 38k 19.51
AllianceBernstein Global Hgh Incm (AWF) 0.0 $1.0M 90k 11.07
Eaton Vance Short Duration Diversified I (EVG) 0.0 $1.2M 94k 13.23
Huntington Bancshares Inc pfd conv ser a 0.0 $1.1M 800.00 1333.75
General Motors Company (GM) 0.0 $493k 16k 30.04
Gabelli Dividend & Income Trust (GDV) 0.0 $645k 37k 17.56
LMP Capital and Income Fund (SCD) 0.0 $443k 36k 12.16
Royce Value Trust (RVT) 0.0 $568k 49k 11.49
General American Investors (GAM) 0.0 $814k 26k 30.96
RMR Asia Pacific Real Estate Fund 0.0 $1.1M 60k 17.99
Adept Technology 0.0 $749k 58k 12.96
Mitel Networks Corp 0.0 $989k 153k 6.45
Cheniere Energy Partners (CQP) 0.0 $476k 18k 26.32
Eaton Vance Senior Income Trust (EVF) 0.0 $830k 141k 5.87
Eaton Vance Floating-Rate Income Trust (EFT) 0.0 $471k 36k 13.24
Neuberger Berman Real Estate Sec (NRO) 0.0 $440k 95k 4.61
Nuveen Global Value Opportunities Fund 0.0 $708k 70k 10.19
Nuveen Diversified Dividend & Income 0.0 $457k 44k 10.36
Nuveen Premier Mun Income 0.0 $561k 43k 13.05
Putnam High Income Securities Fund 0.0 $625k 89k 7.05
Wells Fargo Adv Inc Opport Fund (EAD) 0.0 $845k 112k 7.57
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.0 $731k 53k 13.93
Eaton Vance Municipal Bond Fund (EIM) 0.0 $723k 58k 12.51
Invesco Van Kampen High Inc Trust II (VLT) 0.0 $484k 38k 12.88
Invesco Van Kampen Municipal Trust (VKQ) 0.0 $684k 56k 12.29
Invesco Quality Municipal Inc Trust (IQI) 0.0 $1.2M 101k 12.15
MFS Municipal Income Trust (MFM) 0.0 $594k 93k 6.39
Lehman Brothers First Trust IOF (NHS) 0.0 $916k 90k 10.19
Nuveen Municipal Advantage Fund 0.0 $884k 66k 13.31
Nuveen Munpl Markt Opp Fund 0.0 $1.1M 86k 13.11
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.0 $502k 37k 13.57
Nuveen Quality Income Municipal Fund 0.0 $1.1M 83k 13.49
Putnam Managed Municipal Income Trust (PMM) 0.0 $725k 101k 7.15
Putnam Municipal Opportunities Trust (PMO) 0.0 $758k 63k 11.96
Western Asset Worldwide Income Fund 0.0 $872k 89k 9.83
Western Asset Global High Income Fnd (EHI) 0.0 $742k 83k 8.97
Nuveen PA Investnt Quality Municipal (NQP) 0.0 $1.0M 79k 13.12
Nuveen Performance Plus Municipal Fund 0.0 $866k 61k 14.18
Transamerica Income Shares 0.0 $733k 34k 21.65
Western Asset Glbl Partners Incm Fnd 0.0 $610k 77k 7.98
Swiss Helvetia Fund (SWZ) 0.0 $418k 39k 10.85
Delaware Enhanced Glbl. Div. & Inc. Fund 0.0 $496k 54k 9.25
Nuveen Ins Ny Tx Fr Adv Mun (NRK) 0.0 $1.1M 91k 12.59
BlackRock MuniHoldings New Jersey Ins Fn (MUJ) 0.0 $662k 49k 13.53
Macquarie Global Infr Total Rtrn Fnd 0.0 $537k 28k 19.27
BlackRock MuniYield Michigan Insured Fnd (MIY) 0.0 $1.2M 90k 13.18
Nuveen Select Quality Municipal Fund 0.0 $1.2M 89k 13.37
Nuveen North Carol Premium Incom Mun 0.0 $1.0M 81k 12.74
Western Asset Global Cp Defi (GDO) 0.0 $1.1M 67k 15.83
Alere Inc note 3.000% 5/1 0.0 $570k 500k 1.14
Morgan Stanley income sec 0.0 $599k 34k 17.39
Nuveen Conn Prem Income Mun sh ben int 0.0 $509k 41k 12.32
Western Asset Hgh Yld Dfnd (HYI) 0.0 $525k 38k 13.99
Kinder Morgan (KMI) 0.0 $758k 27k 27.70
Boston Private Finl Hldgs In *w exp 11/21/201 0.0 $577k 118k 4.90
Avenue Income Cr Strat 0.0 $551k 43k 12.84
Tesoro Logistics Lp us equity 0.0 $416k 9.3k 44.97
Nuveen Sht Dur Cr Opp 0.0 $682k 45k 15.22
State Invs Ban 0.0 $923k 43k 21.35
Brookfield Global Listed 0.0 $596k 48k 12.52
Millennial Media 0.0 $615k 352k 1.75
Zweig Total Return 0.0 $440k 39k 11.43
Envivio 0.0 $897k 219k 4.09
Prudential Sht Duration Hg Y 0.0 $796k 54k 14.66
Atlanticus Holdings (ATLC) 0.0 $705k 191k 3.68
Prudential Gl Sh Dur Hi Yld 0.0 $880k 64k 13.78
Blackrock Multi-sector Incom other (BIT) 0.0 $797k 51k 15.71
Apollo Tactical Income Fd In (AIF) 0.0 $451k 31k 14.44
Tallgrass Energy Partners 0.0 $442k 11k 39.25
Ivy High Income Opportunities 0.0 $416k 32k 12.97
Wci Cmntys Inc Com Par $0.01 0.0 $668k 30k 22.63
Valero Energy Partners 0.0 $451k 10k 44.12
Alpine Global Dynamic 0.0 $745k 87k 8.55
Cambridge Cap Acquisition Co w exp 12/23/201 0.0 $440k 1.8M 0.25
Castle A M & Co note 7.000%12/1 0.0 $822k 1.6M 0.53
Jason Inds Inc w exp 06/30/201 0.0 $583k 2.3M 0.25
Terrapin 3 Acquisition Corp *w exp 06/27/201 0.0 $663k 1.7M 0.39
Garnero Group Acquition Rts right 06/25/2016 0.0 $638k 2.9M 0.22
Quidel Corp note 3.250%12/1 0.0 $930k 1.0M 0.93
Ani Pharmaceuticals Inc. note 3.000 12/0 0.0 $488k 525k 0.93
Williams Partners 0.0 $604k 19k 31.90
Hydra Industries Acquisition wrnt 0.0 $580k 2.0M 0.29
Hydra Inds Acquisition Corp right 99/99/9999 0.0 $720k 2.0M 0.36
Journal Media 0.0 $946k 126k 7.50
Quinpario Acquisition Corp 2 *w exp 01/01/202 0.0 $770k 3.5M 0.22
Talen Energy 0.0 $568k 56k 10.10
Communications Sales&leas Incom us equities / etf's 0.0 $586k 33k 17.89
Bwx Technologies (BWXT) 0.0 $793k 30k 26.34
Harmony Merger Corp w exp 01/01/202 0.0 $490k 1.6M 0.30
Corenergy Infrastructure note 7% 6/15 0.0 $890k 1.0M 0.89
Agrofresh Solutions wts feb 19 19 0.0 $1.2M 552k 2.10
Buckeye Partners 0.0 $396k 6.7k 59.22
MarkWest Energy Partners 0.0 $344k 8.0k 42.87
Eagle Rock Energy Partners,L.P 0.0 $149k 118k 1.27
Western Gas Partners 0.0 $402k 8.6k 46.86
Dcp Midstream Partners 0.0 $342k 14k 24.17
Enbridge Energy Partners 0.0 $395k 16k 24.72
Genesis Energy (GEL) 0.0 $411k 11k 38.32
Martin Midstream Partners (MMLP) 0.0 $368k 15k 24.41
Targa Resources Partners 0.0 $266k 9.2k 29.00
Plains All American Pipeline (PAA) 0.0 $313k 10k 30.37
MannKind Corporation 0.0 $195k 61k 3.21
Teekay Lng Partners 0.0 $297k 12k 23.92
Addus Homecare Corp (ADUS) 0.0 $355k 11k 31.14
Advent Claymore Convertible Sec & Inc (AVK) 0.0 $200k 15k 13.17
Invesco Van Kampen Bond Fund (VBF) 0.0 $318k 18k 17.60
MUTUAL FUND Gabelli Healthcare & Wellnessr*x (GRX) 0.0 $378k 39k 9.69
New America High Income Fund I (HYB) 0.0 $170k 21k 7.98
Liberty All-Star Growth Fund (ASG) 0.0 $90k 20k 4.52
Boulder Growth & Income Fund (STEW) 0.0 $125k 17k 7.44
Royce Micro Capital Trust (RMT) 0.0 $230k 30k 7.74
BlackRock Floating Rate Income Trust (BGT) 0.0 $389k 31k 12.43
BlackRock LT Municipal Advantage Trust (BTA) 0.0 $293k 27k 11.02
First Trust/Four Corners SFRI Fund II (FCT) 0.0 $246k 20k 12.56
Lazard Global Total Return & Income Fund (LGI) 0.0 $128k 10k 12.50
Nuveen Qual Preferred Inc. Fund III 0.0 $81k 10k 8.02
Source Capital (SOR) 0.0 $275k 4.1k 67.85
Western Asset High Incm Fd I (HIX) 0.0 $400k 62k 6.47
Targa Res Corp (TRGP) 0.0 $295k 5.7k 51.56
Nuveen Insd Dividend Advantage (NVG) 0.0 $173k 13k 13.89
Advent/Claymore Enhanced Growth & Income 0.0 $397k 48k 8.20
BlackRock MuniYield Pennsylvania Insured (MPA) 0.0 $184k 14k 13.55
Calamos Global Dynamic Income Fund (CHW) 0.0 $135k 19k 6.96
Invesco Van Kampen Trust for IGNYM Fund (VTN) 0.0 $164k 12k 13.75
Invesco Van Kampen Penn Vl MI Trust (VPV) 0.0 $365k 30k 12.26
Nuveen Senior Income Fund 0.0 $208k 35k 5.92
PIONEER DIV HIGH INCOME TRUS COM Bene Inter (HNW) 0.0 $151k 10k 14.76
Wells Fargo Adv Global Dividend Opport (EOD) 0.0 $208k 35k 5.90
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 0.0 $376k 35k 10.70
Nuveen Ohio Quality Income M 0.0 $217k 15k 14.42
MFS Investment Grade Municipal Trust (CXH) 0.0 $290k 30k 9.76
Nuveen Ny Divid Advntg Mun F (NAN) 0.0 $238k 18k 13.45
BlackRock MuniYield Insured Investment 0.0 $158k 12k 13.52
Nuveen Michigan Qlity Incom Municipal 0.0 $187k 14k 13.21
BlackRock Insured Municipal Income Inves 0.0 $220k 16k 13.97
John Hancock Income Securities Trust (JHS) 0.0 $149k 11k 13.98
Exd - Eaton Vance Tax-advant 0.0 $232k 19k 12.20
Valley Natl Bancorp *w exp 11/14/201 0.0 $15k 116k 0.13
First Trust Strategic 0.0 $270k 24k 11.50
Tortoise Pipeline & Energy 0.0 $293k 16k 17.96
Rose Rock Midstream 0.0 $297k 12k 24.34
Associated Banc Corp *w exp 11/21/201 0.0 $50k 24k 2.13
Summit Midstream Partners 0.0 $284k 16k 17.65
Mplx (MPLX) 0.0 $353k 9.2k 38.23
Madison Covered Call Eq Strat (MCN) 0.0 $74k 11k 7.05
Babson Cap Glb Sht Durhgh Yl 0.0 $352k 20k 17.35
Stone Hbr Emerg Mkts Tl 0.0 $331k 29k 11.37
Allianzgi Equity & Conv In 0.0 $261k 15k 17.16
Phillips 66 Partners 0.0 $406k 8.2k 49.24
General Motors Corp *w exp 12/31/201 0.0 $14k 357k 0.04
Crestwood Midstream Partners 0.0 $265k 43k 6.19
Kkr Income Opportunities (KIO) 0.0 $319k 22k 14.58
Energy Fuels (UUUU) 0.0 $53k 18k 2.95
Alpine Total Dyn Fd New cefs 0.0 $299k 40k 7.50
Roi Acquisition Corp Ii *w exp 99/99/999 0.0 $378k 1.1M 0.36
Enlink Midstream Ptrs 0.0 $368k 23k 15.75
Community Health Sys Inc New right 01/27/2016 0.0 $100k 10M 0.01
Brookfield High Income Fd In 0.0 $182k 25k 7.29
Voya Prime Rate Trust sh ben int 0.0 $296k 58k 5.07
Enable Midstream 0.0 $328k 26k 12.65
Deutsche High Income Tr 0.0 $206k 26k 7.83
Cone Midstream Partners 0.0 $101k 10k 9.90
1347 Cap Corp right 07/21/2016 0.0 $170k 501k 0.34
1347 Capital Corp - Cw *w exp 07/15/202 0.0 $135k 501k 0.27
Rice Midstream Partners Lp unit ltd partn 0.0 $210k 16k 13.29
Pangaea Logistics Solution L (PANL) 0.0 $251k 79k 3.18
Ar Cap Acquisition Corp *w exp 10/06/201 0.0 $180k 750k 0.24
Dt Asia Invts Ltd rights 03/30/2016 0.0 $32k 225k 0.14
Atlas Energy Group Llc m 0.0 $35k 16k 2.21
Sprott Focus Tr (FUND) 0.0 $346k 59k 5.92
C B Pharma Acquisition Corp right 06/17/2016 0.0 $105k 350k 0.30
Barington Hilco Acquisition right 02/13/2017 0.0 $109k 546k 0.20
Barington Hilco Acquisition *w exp 02/11/201 0.0 $71k 546k 0.13
Azure Midstream Partners Lp m 0.0 $218k 37k 5.91
Babcock & Wilcox Enterprises 0.0 $185k 11k 16.76
Fintech Acquisition Corp *w exp 02/19/202 0.0 $258k 890k 0.29
Arowana Inc right 01/01/2017 0.0 $144k 800k 0.18
Global Partner Acquisition C *w exp 07/01/202 0.0 $324k 1.2M 0.27
Hennessy Cap Acquisition Cor *w exp 07/28/202 0.0 $298k 1.1M 0.27