Weiss Asset Management LP[1

Weiss Asset Management as of Sept. 30, 2018

Portfolio Holdings for Weiss Asset Management

Weiss Asset Management holds 196 positions in its portfolio as reported in the September 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Euronet Worldwide Inc Note 1.500%10/0 6.1 $79M 57M 1.39
Integrated Device Tech conv 5.1 $66M 44M 1.50
Ciena Corp note 3.750%10/1 4.8 $63M 41M 1.55
1,375% Liberty Media 15.10.2023 note 4.7 $61M 50M 1.22
Micron Technology Inc conv 4.3 $56M 36M 1.55
Liberty Media Corp deb 3.500% 1/1 3.6 $47M 67M 0.69
Convergys Corp sdcv 5.750% 9/1 3.4 $44M 20M 2.22
Teva Pharmaceutical Industries (TEVA) 3.0 $39M 1.8M 21.54
Sprott Physical Gold & S (CEF) 2.4 $32M 2.7M 11.68
Yahoo Inc note 12/0 2.2 $29M 23M 1.27
Kb Home note 2.2 $29M 28M 1.01
Biomarin Pharmaceutical Inc note 0.750%10/1 2.2 $28M 27M 1.04
iShares MSCI South Korea Index Fund (EWY) 2.1 $27M 400k 68.27
Caesars Entmt Corp note 5.000%10/0 1.9 $25M 15M 1.63
Churchill Cap Corp unit 99/99/9999 1.8 $24M 2.4M 10.15
Spdr S&p 500 Etf (SPY) 1.8 $23M 80k 290.72
Avista Healthcare Pub Acq Co cl a 1.8 $23M 2.3M 10.14
Bank of America Corporation (BAC) 1.8 $23M 782k 29.46
Barclays (BCS) 1.7 $22M 2.5M 8.95
Tkk Symphony Acquistion Cor 1.7 $22M 2.3M 9.50
iShares Lehman 7-10 Yr Treas. Bond (IEF) 1.6 $20M 200k 101.17
Rlj Lodging Tr Cum Conv Pfd A reit (RLJ.PA) 1.5 $20M 772k 25.98
Cien 4 12/15/20 1.4 $18M 11M 1.59
Vector Group Ltd frnt 1/1 1.3 $17M 16M 1.11
Qts Rlty Tr 1.3 $17M 160k 105.61
Granite Pt Mtg Tr Inc Note 5.62512/0 1.3 $17M 16M 1.03
Palo Alto Networks Inc note 7/0 1.2 $16M 7.7M 2.04
Leisure Acquisition Corp 1.1 $15M 1.5M 9.70
Keurig Dr Pepper (KDP) 1.1 $14M 610k 23.17
stock 1.1 $14M 114k 120.91
Forum Merger Ii Corp cl a 1.1 $14M 1.5M 9.55
Altaba 1.0 $13M 196k 68.12
Cm Seven Star Acquisition 1.0 $13M 1.3M 10.06
Trident Acquisitions Corp 1.0 $13M 1.3M 9.82
Seabridge Gold (SA) 0.9 $12M 956k 12.94
Twelve Seas Investment Compa 0.9 $11M 1.2M 9.67
Allegro Merger Corp 0.8 $9.8M 1.0M 9.57
Regalwood Global Energy 0.7 $9.6M 982k 9.76
Alexandria Real Estate Equitie conv prf 0.7 $9.5M 275k 34.68
CAI International 0.7 $9.1M 400k 22.87
Thunder Bridge Acquisition L shs class a 0.6 $8.2M 843k 9.71
Spartan Energy Acquisition Cl A Unt 0.6 $8.1M 800k 10.16
Ctrip.com Inter Ltd. conv 0.6 $8.0M 8.0M 1.00
Gigcapital 0.6 $7.9M 790k 9.98
Consolidated Tomoka Ld Co note 4.500% 3/1 0.6 $7.8M 7.0M 1.11
Servicenow Inc. note 0.6 $7.4M 2.8M 2.63
One Madison Corp 0.6 $7.4M 765k 9.72
Leo Holdings Corp 0.5 $6.9M 703k 9.75
Nextera Energy (NEE) 0.5 $6.7M 40k 167.61
Capitol Invt Corp Iv cl a ord 0.5 $6.6M 671k 9.91
Amtrust Finl Svcs Inc note 2.750%12/1 0.5 $6.4M 6.7M 0.95
Megalith Finl Acquisition Co cl a 0.5 $6.2M 650k 9.52
Micron Technology Inc note 2.125% 2/1 0.5 $6.2M 1.5M 4.12
MercadoLibre (MELI) 0.5 $6.0M 18k 340.46
Fortive Corporation convertible preferred security 0.4 $5.4M 5.0k 1078.80
Barings Bdc (BBDC) 0.4 $5.3M 525k 10.01
Black Ridge Acquisition Corp 0.4 $5.1M 521k 9.85
49456b 20 0 Kinder Morgan Inc Del Pfd Ser A kinder morgan inc del 0.4 $5.0M 150k 33.25
Modern Media Acquisition 0.4 $4.9M 485k 10.10
Trinity Merger Corp 0.4 $4.8M 485k 9.81
Docusign (DOCU) 0.3 $4.5M 86k 52.57
Palo Alto Networks (PANW) 0.3 $4.4M 19k 225.23
Vaneck Vectors Gold Miners mutual (GDX) 0.3 $4.1M 224k 18.52
Kbl Merger Corp Iv 0.3 $4.1M 406k 10.10
Al Us conv 0.3 $4.1M 2.6M 1.58
Vaneck Vectors Junior Gold Miners Etf etf (GDXJ) 0.3 $4.0M 147k 27.36
Tenzing Acquisition Corp unit 08/24/2024 0.3 $3.9M 390k 10.06
Tiberius Acquisition Corp 0.3 $3.8M 392k 9.65
Hl Acquisitions Corp 0.3 $3.8M 400k 9.56
Brightsphere Inv 0.3 $3.5M 283k 12.40
Mudrick Cap Acquisition Corp 0.3 $3.3M 343k 9.68
Gs Acquisition Hldgs Corp unit 06/12/2023 0.2 $3.1M 302k 10.37
Longevity Acquisition Corp unit 08/29/2024 0.2 $3.1M 300k 10.24
Opes Acquisition Corp 0.2 $3.0M 300k 9.85
Pure Acquisition Corp cl a 0.2 $2.9M 300k 9.71
Magnolia Oil & Gas Corp tpg pace energy hold 0.2 $2.9M 615k 4.70
Sprott Phys Platinum & Palladi (SPPP) 0.2 $2.6M 300k 8.78
Union Acquisition Corp 0.2 $2.6M 266k 9.75
Gores Holdings Iii Inc unit 09/07/2024 0.2 $2.6M 259k 10.22
Technology SPDR (XLK) 0.2 $2.4M 32k 75.33
Medley Mgmt 0.2 $2.4M 459k 5.25
Greenland Acquisitin Corpora 0.2 $2.5M 262k 9.67
Willscot Corp 0.2 $2.4M 138k 17.15
Pennymac Financial Service A 0.2 $2.1M 100k 20.90
Tottenham Acquisition I 0.2 $2.1M 212k 9.70
Energy Select Sector SPDR (XLE) 0.1 $1.9M 25k 75.72
Biosante Pharmaceuticals (ANIP) 0.1 $1.8M 33k 56.53
Platinum Eagle Acq Corp 0.1 $1.7M 175k 9.82
Lf Cap Acquisition Corp cl a 0.1 $1.7M 174k 9.60
New Frontier Corp 0.1 $1.7M 175k 9.62
iShares S&P Natl AMTFr Mncpl Bd (MUB) 0.1 $1.6M 15k 107.93
Gty Technology Holdings Inc cl a 0.1 $1.5M 148k 10.14
Legacy Acquisition Corp 0.1 $1.6M 160k 9.73
Bison Cap Acquisition Corp ord 0.1 $1.5M 143k 10.21
ROYAL BK SCOTLAND Group Plc sp adr pref s 0.1 $1.3M 50k 25.38
Bank Of Nt Butterfield&son L (NTB) 0.1 $1.2M 24k 52.00
Asia Pacific Fund 0.1 $1.1M 84k 13.50
Celgene Corporation 0.1 $1.0M 11k 89.52
Capstead Mortgage Corporation 0.1 $964k 122k 7.91
Neurocrine Biosciences (NBIX) 0.1 $967k 7.9k 122.95
Swiss Helvetia Fund (SWZ) 0.1 $878k 103k 8.51
Red Hat Inc conv 0.1 $966k 525k 1.84
Ionis Pharmaceuticals (IONS) 0.1 $928k 18k 51.60
Barclays Bk Plc Ipath S&p500 Vix etf 0.1 $933k 35k 26.66
Vertex Pharmaceuticals Incorporated (VRTX) 0.1 $734k 3.8k 192.75
Gilead Sciences (GILD) 0.1 $778k 10k 77.26
Pensare Acquisition Corp unit 07/27/2022 0.1 $837k 78k 10.69
I Am Cap Acquisition 0.1 $764k 75k 10.19
Sentinel Energy Svcs 0.1 $719k 73k 9.82
Tiberius Acquisition Corp unit 02/28/2021 0.1 $769k 75k 10.25
Incyte Corporation (INCY) 0.1 $708k 10k 69.08
Lam Research Corporation (LRCX) 0.1 $698k 4.6k 151.67
Perficient (PRFT) 0.1 $637k 24k 26.65
Servicenow (NOW) 0.1 $628k 3.2k 195.76
Wells Fargo & Company (WFC) 0.0 $473k 9.0k 52.56
Alexion Pharmaceuticals 0.0 $577k 4.2k 139.04
Agios Pharmaceuticals (AGIO) 0.0 $575k 7.5k 77.06
Platinum Eagle Acquisitin Co Unit 01/09/2023 0.0 $509k 49k 10.39
Fluidigm Corp Del note 2.750% 2/0 0.0 $555k 500k 1.11
Nebula Acquisition Corp 0.0 $487k 50k 9.74
Novo Nordisk A/S (NVO) 0.0 $359k 7.6k 47.14
Assured Guaranty (AGO) 0.0 $364k 8.6k 42.21
Halozyme Therapeutics (HALO) 0.0 $378k 21k 18.16
BlackRock Global Energy & Resources Trus (BGR) 0.0 $327k 23k 14.56
Radius Health 0.0 $337k 19k 17.83
Sage Therapeutics (SAGE) 0.0 $370k 2.6k 141.22
Vantage Energy Acquisition 0.0 $385k 39k 9.94
Vectoiq Acquisition Corp 0.0 $415k 44k 9.54
MasterCard Incorporated (MA) 0.0 $205k 919.00 223.07
Progressive Corporation (PGR) 0.0 $206k 2.9k 70.96
Regeneron Pharmaceuticals (REGN) 0.0 $231k 571.00 404.55
Cisco Systems (CSCO) 0.0 $200k 4.1k 48.56
TJX Companies (TJX) 0.0 $208k 1.9k 112.13
Imperial Oil (IMO) 0.0 $269k 8.3k 32.39
Visa (V) 0.0 $202k 1.3k 150.07
Magna Intl Inc cl a (MGA) 0.0 $255k 4.8k 52.61
Methanex Corp (MEOH) 0.0 $289k 3.7k 79.00
Gildan Activewear Inc Com Cad (GIL) 0.0 $275k 9.0k 30.49
Alnylam Pharmaceuticals (ALNY) 0.0 $215k 2.5k 87.40
Latin American Discovery Fund 0.0 $197k 18k 11.19
Columbia Seligm Prem Tech Gr (STK) 0.0 $237k 11k 21.35
Just Energy Group 0.0 $262k 84k 3.10
Ubs Ag London Brh etracs mth2xre 0.0 $288k 18k 15.67
Ellington Residential Mortga reit (EARN) 0.0 $227k 20k 11.28
Myovant Sciences 0.0 $254k 9.6k 26.59
Pensare Acquisition Corp 0.0 $249k 25k 9.96
Mosaic Acquisition Corp shs cl a 0.0 $244k 25k 9.76
Thunder Bridge Acquisition L unit 01/01/2025 0.0 $305k 30k 10.17
Dfb Healthcare Acquistion 0.0 $240k 25k 9.60
Megalith Finl Acquisition Co warrant 0.0 $288k 480k 0.60
Chesapeake Energy Corp note 2.250%12/1 0.0 $69k 70k 0.99
General Electric Company 0.0 $156k 14k 11.32
TETRA Technologies (TTI) 0.0 $71k 16k 4.49
Consolidated Communications Holdings (CNSL) 0.0 $181k 14k 13.07
Hornbeck Offshore Services 0.0 $94k 16k 5.88
Stein Mart 0.0 $90k 38k 2.34
Medallion Financial (MFIN) 0.0 $75k 11k 6.66
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.0 $124k 13k 9.46
Japan Smaller Capitalizaion Fund (JOF) 0.0 $122k 11k 11.06
Ascena Retail 0.0 $86k 19k 4.59
D Fluidigm Corp Del (LAB) 0.0 $77k 10k 7.47
4068594 Enphase Energy (ENPH) 0.0 $90k 19k 4.87
Retail Properties Of America 0.0 $152k 13k 12.20
Spirit Realty reit 0.0 $158k 20k 8.08
Sorrento Therapeutics (SRNEQ) 0.0 $77k 17k 4.43
Noble Corp Plc equity 0.0 $84k 12k 7.04
Alder Biopharmaceuticals 0.0 $181k 11k 16.63
Quotient 0.0 $84k 11k 7.51
Duff & Phelps Select Energy Mlp Fund Inc closed end fund - equity 0.0 $85k 14k 6.05
New Senior Inv Grp 0.0 $151k 26k 5.88
Genesis Healthcare Inc Cl A (GENN) 0.0 $74k 54k 1.36
Party City Hold 0.0 $147k 11k 13.57
Nii Holdings 0.0 $94k 16k 5.89
Northstar Realty Europe 0.0 $173k 12k 14.12
Adverum Biotechnologies 0.0 $82k 14k 6.03
Washington Prime Group 0.0 $156k 21k 7.28
Amyris (AMRSQ) 0.0 $88k 11k 7.97
Cnx Resources Corporation (CNX) 0.0 $156k 11k 14.29
Sentinel Energy Svcs Inc unit 11/02/2022 0.0 $191k 19k 10.30
Peregrine Pharmaceuticals (CDMO) 0.0 $79k 12k 6.84
Ddr Rg 0.0 $149k 11k 13.38
Colony Cap Inc New cl a 0.0 $159k 26k 6.08
New Frontier Corp warrant 0.0 $103k 88k 1.18
Tuesday Morning Corporation 0.0 $65k 20k 3.22
Aceto Corporation 0.0 $49k 22k 2.24
Novavax 0.0 $43k 23k 1.86
Infinity Pharmaceuticals (INFIQ) 0.0 $36k 13k 2.75
Castle Brands 0.0 $16k 15k 1.07
Community Health Sys Inc New right 01/27/2016 0.0 $30k 3.0M 0.01
Second Sight Med Prods 0.0 $56k 30k 1.89
Digital Turbine (APPS) 0.0 $54k 43k 1.24
Dhx Media 0.0 $18k 12k 1.48
Trident Acquisitions Corp *w exp 05/09/202 0.0 $26k 91k 0.29
Franklin Ltd Duration Incm T right 10/18/2018 0.0 $2.0k 25k 0.08
Gabelli Conv&incom Secs Fd I right 10/17/2018 0.0 $3.1k 38k 0.08
Forum Merger Ii Corp warrant 0.0 $58k 100k 0.58