Weiss Asset Management LP[1

Weiss Asset Management as of Dec. 31, 2018

Portfolio Holdings for Weiss Asset Management

Weiss Asset Management holds 453 positions in its portfolio as reported in the December 2018 quarterly 13F filing

Company (Ticker) Portfolio Weight Valued At Change in Shares Share Count Share Price
Liberty Media Corp deb 3.500% 1/1 6.4 $91M 144M 0.63
Tesla Motors (TSLA) 5.2 $73M 220k 332.80
Integrated Device Tech conv 4.8 $68M 44M 1.55
1,375% Liberty Media 15.10.2023 note 3.7 $53M 50M 1.06
Finisar Corp note 0.500%12/1 3.0 $43M 46M 0.95
Micron Technology Inc conv 2.8 $40M 36M 1.11
Tesaro Inc note 3.000%10/0 2.7 $39M 18M 2.18
Tesla Motors Inc bond 2.6 $38M 36M 1.04
Microchip Technology Inc note 1.625% 2/1 2.6 $37M 27M 1.39
iShares MSCI South Korea Index Fund (EWY) 1.7 $24M 400k 58.86
Cm Seven Star Acquisition 1.6 $23M 2.2M 10.10
Trident Acquisitions Corp 1.5 $21M 2.1M 9.97
One Madison Corp 1.5 $21M 2.1M 10.03
iShares Lehman 7-10 Yr Treas. Bond (IEF) 1.5 $21M 200k 104.20
Spdr S&p 500 Etf (SPY) 1.4 $20M 80k 249.92
Seabridge Gold (SA) 1.4 $20M 1.5M 13.21
Bank of America Corporation (BAC) 1.4 $19M 782k 24.64
Rlj Lodging Tr Cum Conv Pfd A reit (RLJ.PA) 1.4 $19M 772k 24.78
Saban Cap Acquisition 1.3 $19M 1.9M 10.08
Vantage Energy Acquisition 1.3 $19M 1.9M 10.05
Pensare Acquisition Corp 1.3 $19M 1.8M 10.13
Restoration Hardware Hldgs I note 6/1 1.3 $18M 16M 1.12
iShares S&P US Pref Stock Idx Fnd (PFF) 1.2 $17M 500k 34.23
iShares Dow Jones US Real Estate (IYR) 1.2 $17M 220k 74.94
Dell Technologies (DELL) 1.1 $16M 331k 48.87
Keurig Dr Pepper (KDP) 1.1 $16M 610k 25.64
Resource Cap Corp Note 4.500 8/1 1.1 $15M 16M 0.98
Modern Media Acquisition 1.0 $14M 1.4M 10.20
Black Ridge Acquisition Corp 0.9 $13M 1.3M 10.04
Twelve Seas Investment Compa 0.9 $13M 1.3M 9.82
Jp Morgan Alerian Mlp Index (AMJ) 0.9 $12M 555k 22.32
Pure Acquisition Corp cl a 0.9 $12M 1.3M 9.84
Regalwood Global Energy 0.8 $12M 1.2M 9.82
Trinity Merger Corp 0.8 $12M 1.2M 9.97
Nextera Energy (NEE) 0.8 $12M 68k 173.83
Allegro Merger Corp 0.8 $12M 1.2M 9.75
Vanguard Information Technology ETF (VGT) 0.8 $12M 70k 166.83
SELECT INCOME REIT COM SH BEN int 0.8 $12M 1.6M 7.36
Tkk Symphony Acquistion Cor 0.8 $12M 1.2M 9.65
Sentinel Energy Svcs Inc cl a 0.7 $10M 995k 10.02
CAI International 0.7 $9.5M 410k 23.23
Industrial Logistics pfds, reits (ILPT) 0.7 $9.5M 483k 19.67
Fluidigm Corp Del note 2.750% 2/0 0.7 $9.2M 8.0M 1.15
Federal Str Acquisition Corp cl a 0.6 $9.1M 888k 10.23
Verastem Inc note 5.000%11/0 0.6 $9.0M 11M 0.80
Thunder Bridge Acquisition L shs class a 0.6 $8.7M 878k 9.90
Alberton Acquisition Corp ord 0.6 $8.5M 867k 9.80
Wells Fargo & Company Non-cum Perpet cnv (WFC.PL) 0.6 $8.4M 6.7k 1261.89
Union Acquisition Corp 0.6 $8.3M 827k 10.07
Gigcapital 0.6 $8.0M 790k 10.10
Owens Rlty Mtg 0.5 $7.7M 409k 18.79
Hess (HES) 0.5 $7.4M 183k 40.50
Capstead Mortgage Corporation 0.5 $7.3M 1.1M 6.67
Leo Holdings Corp 0.5 $7.3M 757k 9.70
Morgan Stanley Emerging Markets Fund 0.5 $7.3M 454k 16.11
Consolidated Tomoka Ld Co note 4.500% 3/1 0.5 $7.0M 7.0M 1.00
Churchill Cap Corp Com Cl A 0.5 $7.0M 731k 9.55
Alexandria Real Estate Equitie conv prf 0.5 $6.7M 200k 33.56
Leisure Acquisition Corp 0.5 $6.7M 680k 9.85
Forum Merger Ii Corp cl a 0.4 $6.1M 632k 9.65
Vectoiq Acquisition Corp 0.4 $6.0M 619k 9.70
Sprott Phys Platinum & Palladi (SPPP) 0.4 $5.8M 589k 9.86
Sprott Physical Gold & S (CEF) 0.4 $5.3M 425k 12.54
Mudrick Cap Acquisition Corp 0.4 $5.3M 540k 9.88
Pimco Dynamic Credit Income other 0.3 $4.9M 231k 21.05
Biosante Pharmaceuticals (ANIP) 0.3 $4.9M 108k 45.02
Platinum Eagle Acq Corp 0.3 $4.8M 479k 10.08
Tiberius Acquisition Corp 0.3 $4.7M 477k 9.80
Vaneck Vectors Junior Gold Miners Etf etf (GDXJ) 0.3 $4.6M 152k 30.22
Opes Acquisition Corp 0.3 $4.6M 461k 9.93
Vaneck Vectors Gold Miners mutual (GDX) 0.3 $4.4M 209k 21.09
Kbl Merger Corp Iv 0.3 $4.1M 406k 10.20
Fs Investment Corporation 0.3 $4.0M 773k 5.18
Ttm Technologies Inc conv 0.3 $3.6M 3.1M 1.18
Lf Cap Acquisition Corp cl a 0.3 $3.7M 374k 9.80
Ii-vi 0.2 $3.5M 108k 32.46
Haymaker Acquisition Corp 0.2 $3.4M 337k 10.01
Technology SPDR (XLK) 0.2 $3.2M 52k 61.98
Willscot Corp 0.2 $3.3M 352k 9.42
Invesco Qqq Trust Series 1 (QQQ) 0.2 $3.2M 21k 154.24
Gs Acquisition Hldgs Corp unit 06/12/2023 0.2 $3.0M 290k 10.25
Collier Creek Holdings 0.2 $2.9M 300k 9.65
Gores Holdings Iii Inc unit 09/07/2024 0.2 $2.6M 259k 10.05
Doubleline Income Solutions (DSL) 0.2 $2.2M 129k 17.33
Starwood Waypoint Residentl note 3.000% 7/0 0.2 $2.3M 2.0M 1.13
Constellation Alpha Cap Corp 0.2 $2.3M 223k 10.22
Legacy Acquisition Corp 0.2 $2.2M 225k 9.82
Finisar Corporation 0.1 $2.2M 100k 21.60
Liberty All-Star Equity Fund (USA) 0.1 $2.1M 397k 5.38
Royce Value Trust (RVT) 0.1 $2.1M 178k 11.80
Eaton Vance Tax-Managed Global Dive Eq (EXG) 0.1 $2.1M 283k 7.46
Pimco Dynamic Incm Fund (PDI) 0.1 $2.1M 72k 29.18
Western Asset Mortgage cmn 0.1 $2.1M 252k 8.34
Aercap Holdings Nv Ord Cmn (AER) 0.1 $2.1M 52k 39.60
Morgan Stanley Asia Pacific Fund 0.1 $2.0M 124k 16.45
Nuveen Insured Tax-Free Adv Munici (NEA) 0.1 $2.0M 163k 12.31
Nuveen Div. Advantage Muni. Fund (NAD) 0.1 $2.0M 160k 12.54
Nuveen CA Dividend Advantage Muni. Fund (NAC) 0.1 $2.0M 160k 12.75
Credit Suisse Nassau Brh velocity shs dai 0.1 $2.1M 29k 70.90
Mosaic Acquisition Corp 0.1 $2.0M 204k 9.85
Tenzing Acquisition Corp ord 0.1 $2.0M 205k 9.85
Colony Finl Inc note 5.00% 0.1 $1.8M 2.0M 0.89
Medley Mgmt 0.1 $1.9M 482k 3.86
Qiagen Nv 0.1 $1.8M 53k 34.45
Magnolia Oil & Gas Corp tpg pace energy hold 0.1 $1.9M 615k 3.03
Amci Acquisition Corp class a 0.1 $1.9M 200k 9.52
Cohen & Steers infrastucture Fund (UTF) 0.1 $1.7M 87k 19.76
Nuveen Div Adv Muni Fd 3 Ben Int (NZF) 0.1 $1.7M 126k 13.42
Hl Acquisitions Corp 0.1 $1.7M 178k 9.60
Calamos Conv. Opptys. & Income Fund (CHI) 0.1 $1.6M 178k 8.86
Eaton Vance Tax Managed Diversified Eq. (ETY) 0.1 $1.6M 153k 10.20
BlackRock Enhanced Dividend Achievers Tr (BDJ) 0.1 $1.5M 198k 7.77
Tpg Pace Hldgs Corp cl a 0.1 $1.5M 151k 10.00
BlackRock Global Opportunities Equity Tr (BOE) 0.1 $1.4M 150k 9.37
Gabelli Dividend & Income Trust (GDV) 0.1 $1.5M 82k 18.31
New Residential Investment (RITM) 0.1 $1.4M 100k 14.21
Brookfield Real Assets Incom shs ben int (RA) 0.1 $1.4M 75k 19.07
Bison Cap Acquisition Corp ord 0.1 $1.5M 142k 10.40
Cohen & Steers Quality Income Realty (RQI) 0.1 $1.3M 125k 10.36
Nuveen Insd Dividend Advantage (NVG) 0.1 $1.3M 90k 13.98
Invesco Van Kampen Muni Opp Trust (VMO) 0.1 $1.2M 109k 11.18
Allianzgi Nfj Divid Int Prem S cefs 0.1 $1.3M 118k 10.68
Gordon Pointe Acquisition 0.1 $1.3M 126k 10.00
Alpine Total Dynamicdivid Fd Com Sh Ben Int cef (AOD) 0.1 $1.3M 177k 7.21
Nuveen Equity Premium Income Fund (BXMX) 0.1 $1.2M 96k 12.07
Eaton Vance Tax-Managed Global Buy-Write (ETW) 0.1 $1.1M 119k 9.53
Claymore Guggenheim Strategic (GOF) 0.1 $1.1M 60k 18.26
Ellington Residential Mortga reit (EARN) 0.1 $1.1M 106k 10.23
Blackrock Science & (BST) 0.1 $1.1M 40k 27.48
Adams Express Company (ADX) 0.1 $1.1M 84k 12.62
AllianceBernstein Global Hgh Incm (AWF) 0.1 $960k 91k 10.53
Eaton Vance Tax-advntg Glbl Di (ETG) 0.1 $978k 72k 13.54
Western Asset Emerging Mrkts Dbt Fnd (EMD) 0.1 $939k 76k 12.28
BlackRock Corporate High Yield Fund VI (HYT) 0.1 $935k 101k 9.28
Eaton V.Tax-Advantaged Dividend Inc Fund (EVT) 0.1 $1.1M 55k 18.98
GABELLI GLOBL UTIL & INCOME COM Sh Ben Int (GLU) 0.1 $987k 61k 16.09
Cbre Clarion Global Real Estat re (IGR) 0.1 $1.0M 170k 6.16
Blackrock Res & Commodities Strategy Tr (BCX) 0.1 $957k 136k 7.06
Gamco Global Gold Natural Reso (GGN) 0.1 $1.0M 280k 3.70
H & Q Healthcare Fund equities (HQH) 0.1 $1.0M 57k 17.95
Churchill Cap Corp *w exp 09/11/202 0.1 $1.0M 1.2M 0.87
Aberdeen Asia-Pacific Income Fund (FAX) 0.1 $859k 222k 3.87
Eaton Vance Senior Floating Rate Fund (EFR) 0.1 $816k 65k 12.56
BlackRock Floating Rate Income Strat. Fn (FRA) 0.1 $919k 77k 11.90
Eaton Vance Risk Managed Diversified (ETJ) 0.1 $897k 110k 8.12
Invesco Van Kampen Trust For Inv Grd Mun (VGM) 0.1 $793k 69k 11.48
Nuveen Mun High Income Opp F (NMZ) 0.1 $872k 75k 11.65
Doubleline Opportunistic Cr (DBL) 0.1 $807k 43k 18.96
Voya Global Eq Div & Pr Opp (IGD) 0.1 $889k 152k 5.86
Nuveen Nasdaq 100 Dynamic Over (QQQX) 0.1 $876k 44k 19.99
Pensare Acquisition Corp unit 07/27/2022 0.1 $826k 78k 10.55
Advent Claymore Convertible Sec & Inc (AVK) 0.1 $676k 54k 12.54
Calamos Strategic Total Return Fund (CSQ) 0.1 $647k 61k 10.58
Eaton Vance Tax Managed Buy Write Opport (ETV) 0.1 $657k 49k 13.48
John Hancock Bank & Thrift Opportu. Fund (BTO) 0.1 $677k 24k 27.93
Tortoise Energy Infrastructure 0.1 $645k 32k 19.91
Eaton Vance Floating-Rate Income Trust (EFT) 0.1 $735k 58k 12.66
BLACKROCK INTL GRWTH & INC T COM Bene Inter (BGY) 0.1 $649k 130k 4.98
Calamos Global Dynamic Income Fund (CHW) 0.1 $738k 113k 6.55
Invesco Van Kampen Municipal Trust (VKQ) 0.1 $769k 69k 11.14
Nuveen Ins Ca Tx Fr Adv Mun (NKX) 0.1 $646k 51k 12.68
Blackrock Muniyield Fund (MYD) 0.1 $700k 56k 12.52
BLACKROCK MUN TARGET TERM TR SHARES Of Ben (BTT) 0.1 $713k 35k 20.51
Blackstone Gso Strategic (BGB) 0.1 $777k 58k 13.47
Allianzgi Conv & Inc Fd taxable cef 0.1 $752k 145k 5.19
Blackrock Multi-sector Incom other (BIT) 0.1 $717k 47k 15.36
Allianzgi Equity & Conv In 0.1 $730k 39k 18.55
Nexpoint Credit Strategies Fund (NXDT) 0.1 $752k 38k 19.92
Bank Of Nt Butterfield&son L (NTB) 0.1 $744k 24k 31.00
Great Elm Cap 0.1 $666k 85k 7.86
Blackrock Debt Strat (DSU) 0.1 $723k 74k 9.77
Highland Floatng Rate Opprt Ii Shs Ben Int shs ben int (HFRO) 0.1 $693k 54k 12.80
Tiberius Acquisition Corp unit 02/28/2021 0.1 $766k 75k 10.21
Edtechx Hldgs Acquisition 0.1 $645k 64k 10.08
Longevity Acquisition Corp ord 0.1 $649k 65k 9.95
Tri-Continental Corporation (TY) 0.0 $593k 25k 23.53
BlackRock Enhanced Capital and Income (CII) 0.0 $637k 45k 14.08
Cohen & Steers REIT/P (RNP) 0.0 $588k 33k 17.80
PIMCO Corporate Opportunity Fund (PTY) 0.0 $617k 40k 15.34
General American Investors (GAM) 0.0 $500k 18k 28.44
Boulder Growth & Income Fund (STEW) 0.0 $575k 55k 10.43
Royce Micro Capital Trust (RMT) 0.0 $504k 68k 7.42
BlackRock Floating Rate Income Trust (BGT) 0.0 $524k 45k 11.55
Morgan Stanley Emerging Markets Domestic (EDD) 0.0 $566k 93k 6.06
Nuveen Fltng Rte Incm Opp 0.0 $519k 58k 9.02
Nuveen Quality Pref. Inc. Fund II 0.0 $567k 69k 8.28
Pimco Municipal Income Fund II (PML) 0.0 $614k 46k 13.32
Pimco Income Strategy Fund II (PFN) 0.0 $567k 60k 9.53
BlackRock Ltd. Duration Income Trust (BLW) 0.0 $562k 42k 13.37
BlackRock Credit All Inc Trust IV (BTZ) 0.0 $514k 46k 11.17
Blackrock Muni Intermediate Drtn Fnd (MUI) 0.0 $502k 40k 12.66
Dreyfus Strategic Muni. 0.0 $506k 71k 7.18
Invesco Quality Municipal Inc Trust (IQI) 0.0 $638k 57k 11.21
PIMCO Corporate Income Fund (PCN) 0.0 $589k 40k 14.89
Tortoise MLP Fund 0.0 $613k 50k 12.25
Wells Fargo Adv Multi-Sector Inco Fund (ERC) 0.0 $530k 48k 11.08
BlackRock MuniVest Fund (MVF) 0.0 $561k 68k 8.26
Clough Gbl Opps Fund Sh Ben Int closed-end fund (GLO) 0.0 $534k 65k 8.22
Nuveen Ins Ny Tx Fr Adv Mun (NRK) 0.0 $597k 51k 11.65
Van Kampen Advantage Muni Incm Tr II (VKI) 0.0 $526k 53k 9.87
Blackrock MuniHoldings CA Insrd Fnd (MUC) 0.0 $507k 41k 12.34
Clearbridge Energy Mlp Opp F 0.0 $594k 76k 7.81
Duff & Phelps Global (DPG) 0.0 $551k 47k 11.84
Nuveen Real (JRI) 0.0 $558k 41k 13.63
Nuveen Preferred And equity (JPI) 0.0 $602k 30k 20.22
Ares Dynamic Cr Allocation (ARDC) 0.0 $624k 45k 13.79
Allianzgi Conv & Income Fd I 0.0 $572k 127k 4.50
Flaherty & Crumrine Dyn P (DFP) 0.0 $536k 26k 20.36
First Tr Inter Duration Pfd & Income (FPF) 0.0 $522k 26k 19.81
Nuveen Dow 30 Dyn Overwrite (DIAX) 0.0 $567k 35k 16.13
Petroleum & Res Corp Com cef (PEO) 0.0 $603k 41k 14.58
Tekla World Healthcare Fd ben int (THW) 0.0 $508k 44k 11.58
Barings Global Short Duration Com cef (BGH) 0.0 $632k 40k 15.96
Alpine Global Premier Pptys Fd Com Sbi cef (AWP) 0.0 $556k 112k 4.98
Pgim Short Duration High Yie (ISD) 0.0 $565k 43k 13.02
Greenland Acquisitin Corpora 0.0 $558k 56k 9.91
Wells Fargo & Company (WFC) 0.0 $415k 9.0k 46.11
Calamos Convertible & Hi Income Fund (CHY) 0.0 $405k 43k 9.40
Clearbridge Energy M 0.0 $378k 36k 10.40
Dreyfus Strategic Municipal Bond Fund 0.0 $368k 53k 6.98
Eaton Vance Enhanced Equity Income Fund (EOI) 0.0 $443k 34k 12.95
Eaton Vance Enhanced Equity Incm. Fd. II (EOS) 0.0 $483k 33k 14.66
John Hancock Tax-Advantage Dvd Incom (HTD) 0.0 $466k 23k 20.43
Putnam Premier Income Trust (PPT) 0.0 $393k 84k 4.69
Neuberger Ber. Intermediate Muni. Fund (NBH) 0.0 $382k 30k 12.67
AllianceBernstein Natnl Muncpl Incm Fnd. (AFB) 0.0 $456k 38k 12.13
Eaton Vance Limited Duration Income Fund (EVV) 0.0 $368k 31k 11.94
Eaton Vance Tax-Managed Buy-Write Income (ETB) 0.0 $431k 32k 13.46
First Trust/Four Corners SFRI Fund II (FCT) 0.0 $452k 40k 11.19
John Hancock Patriot Premium Div Fund II (PDT) 0.0 $366k 26k 13.86
Neuberger Berman Real Estate Sec (NRO) 0.0 $423k 102k 4.15
BlackRock Global Energy & Resources Trus (BGR) 0.0 $418k 40k 10.45
Guggenheim Enhanced Equity Income Fund. 0.0 $428k 63k 6.78
Wstrn Ast Clymr Infltn Lkd Opts & Inc (WIW) 0.0 $429k 42k 10.16
BlackRock MuniHoldings New Jersey Ins Fn (MUJ) 0.0 $371k 30k 12.58
Mexico Equity and Income Fund (MXE) 0.0 $389k 39k 10.10
BlackRock MuniYield Michigan Insured Fnd (MIY) 0.0 $356k 29k 12.43
Nevada Gold & Casinos 0.0 $357k 150k 2.38
Blackstone Gso Lng Shrt Cr I (BGX) 0.0 $454k 33k 13.73
Apollo Sr Floating Rate Fd I (AFT) 0.0 $385k 27k 14.39
Apollo Tactical Income Fd In (AIF) 0.0 $381k 28k 13.77
Ivy High Income Opportunities 0.0 $399k 33k 12.12
Kkr Income Opportunities (KIO) 0.0 $476k 33k 14.25
First Trust New Opportunities (FPL) 0.0 $357k 47k 7.54
Tekla Life Sciences sh ben int (HQL) 0.0 $466k 31k 15.12
Calamos (CCD) 0.0 $454k 28k 16.40
Virtus Total Return Fund cf 0.0 $373k 43k 8.66
Aberdeen Income Cred Strat (ACP) 0.0 $394k 38k 10.48
Dws Municipal Income Cf non-tax cef (KTF) 0.0 $371k 36k 10.31
India Fund (IFN) 0.0 $354k 18k 20.26
Foot Locker (FL) 0.0 $241k 4.5k 53.30
Imperial Oil (IMO) 0.0 $254k 10k 25.32
Methanex Corp (MEOH) 0.0 $271k 5.6k 48.08
Pioneer Floating Rate Trust (PHD) 0.0 $271k 28k 9.84
Assured Guaranty (AGO) 0.0 $335k 8.8k 38.23
Gildan Activewear Inc Com Cad (GIL) 0.0 $294k 9.7k 30.35
Nuveen Multi-Strategy Inc & Growth Fd 2 (JQC) 0.0 $318k 43k 7.39
Eaton Vance Municipal Income Trust (EVN) 0.0 $336k 30k 11.31
Kayne Anderson MLP Investment (KYN) 0.0 $244k 18k 13.75
John Hancock Preferred Income Fund III (HPS) 0.0 $345k 22k 15.85
Blackstone Gso Flting Rte Fu (BSL) 0.0 $316k 21k 15.31
Credit Suisse High Yield Bond Fund (DHY) 0.0 $313k 144k 2.17
John Hancock Preferred Income Fund (HPI) 0.0 $292k 16k 18.81
Invesco Van Kampen Senior Income Trust (VVR) 0.0 $283k 72k 3.91
Invesco Van Kampen Dyn Cr Opp Fund 0.0 $259k 25k 10.26
Nuveen Floating Rate Income Fund (JFR) 0.0 $222k 24k 9.22
Nuveen Multi-Strategy Income & Growth (JPC) 0.0 $329k 40k 8.34
Source Capital (SOR) 0.0 $261k 8.0k 32.54
Templeton Emerging Markets Income Fund (TEI) 0.0 $231k 24k 9.60
Wells Fargo Adv Inc Opport Fund (EAD) 0.0 $294k 41k 7.23
Western Asset High Incm Fd I (HIX) 0.0 $217k 38k 5.76
Nuveen Equity Premium and Growth Fund (SPXX) 0.0 $226k 16k 14.03
Pioneer High Income Trust (PHT) 0.0 $309k 39k 7.96
Pioneer Municipal High Income Advantage (MAV) 0.0 $347k 34k 10.21
Pioneer Municipal High Income Trust (MHI) 0.0 $314k 29k 10.95
Putnam Managed Municipal Income Trust (PMM) 0.0 $304k 45k 6.71
Wells Fargo Adv Global Dividend Opport (EOD) 0.0 $262k 57k 4.64
Nuveen PA Investnt Quality Municipal (NQP) 0.0 $272k 22k 12.20
Clough Global Equity Fund closed-end fund (GLQ) 0.0 $256k 24k 10.83
BlackRock MuniYield New York Insured Fnd (MYN) 0.0 $216k 19k 11.52
BlackRock Insured Municipal Income Trust (BYM) 0.0 $323k 26k 12.47
Nuveen Enhanced Mun Value 0.0 $347k 27k 12.85
Swiss Helvetia Fund (SWZ) 0.0 $288k 42k 6.89
Delaware Enhanced Glbl. Div. & Inc. Fund 0.0 $250k 29k 8.71
Cohen and Steers Global Income Builder 0.0 $217k 29k 7.45
Eaton Vance Natl Mun Opport (EOT) 0.0 $306k 17k 18.56
Invesco Insured Municipal Income Trust (IIM) 0.0 $239k 18k 13.51
Macquarie Global Infr Total Rtrn Fnd 0.0 $306k 16k 18.79
Nuveen Nj Div Advantage Mun (NXJ) 0.0 $259k 20k 12.76
Nuveen Michigan Qlity Incom Municipal 0.0 $214k 17k 12.44
First Tr High Income L/s (FSD) 0.0 $270k 20k 13.27
Kayne Anderson Mdstm Energy 0.0 $258k 27k 9.65
Western Asset Hgh Yld Dfnd (HYI) 0.0 $310k 24k 13.14
Medley Capital Corporation 0.0 $256k 96k 2.66
Just Energy Group 0.0 $242k 73k 3.31
John Hancock Hdg Eq & Inc (HEQ) 0.0 $224k 17k 13.05
Nuveen Sht Dur Cr Opp 0.0 $343k 24k 14.31
First Tr Energy Infrastrctr (FIF) 0.0 $350k 27k 12.96
Norbord 0.0 $293k 11k 26.61
VIRTUS GLOBAL Multi-sec (VGI) 0.0 $296k 27k 11.07
Tortoise Energy equity 0.0 $240k 35k 6.79
Cohen & Steers Ltd Dur Pfd I (LDP) 0.0 $249k 11k 21.78
Mainstay Definedterm Mn Opp (MMD) 0.0 $264k 14k 19.54
Madison Covered Call Eq Strat (MCN) 0.0 $250k 41k 6.16
Ubs Ag London Brh etracs mth2xre 0.0 $234k 18k 12.73
Neuberger Berman Mlp Income (NML) 0.0 $292k 44k 6.69
Thl Cr Sr Ln 0.0 $218k 15k 14.89
Voya Natural Res Eq Inc Fund 0.0 $232k 54k 4.27
Voya Prime Rate Trust sh ben int 0.0 $248k 55k 4.49
Ing Global Advantage And Premium Opportunity Fund (IGA) 0.0 $247k 27k 9.21
Voya Infrastructure Industrial & Materia (IDE) 0.0 $296k 27k 11.07
Tekla Healthcare Opportunit (THQ) 0.0 $248k 15k 16.80
First Tr Dynamic Europe Eqt 0.0 $343k 27k 12.64
Virtus Global Divid Income F (ZTR) 0.0 $354k 40k 8.93
Big Rock Partners Acquisi 0.0 $280k 27k 10.22
Legg Mason Bw Global Income (BWG) 0.0 $230k 22k 10.39
Pgim Global Short Duration H (GHY) 0.0 $256k 20k 12.90
Thunder Bridge Acquisition L unit 01/01/2025 0.0 $305k 30k 10.17
Dfb Healthcare Acquistion 0.0 $246k 25k 9.84
Thomson Reuters Corp 0.0 $299k 6.2k 48.32
Graf Industrial Corp 0.0 $240k 25k 9.60
Regions Financial Corporation (RF) 0.0 $137k 10k 13.35
Lexington Realty Trust (LXP) 0.0 $160k 20k 8.21
Griffon Corporation (GFF) 0.0 $125k 12k 10.41
Consolidated Communications Holdings (CNSL) 0.0 $118k 12k 9.85
California Water Service (CWT) 0.0 $210k 4.4k 47.73
ImmunoGen 0.0 $74k 16k 4.77
Novavax 0.0 $75k 41k 1.85
Asa (ASA) 0.0 $157k 17k 9.49
National CineMedia 0.0 $81k 12k 6.51
Templeton Dragon Fund (TDF) 0.0 $209k 12k 17.03
Templeton Global Income Fund (SABA) 0.0 $116k 19k 6.04
Aberdeen Australia Equity Fund (IAF) 0.0 $84k 18k 4.73
Flaherty & Crumrine Pref. Income (PFD) 0.0 $133k 12k 11.58
Franklin Templeton (FTF) 0.0 $99k 11k 9.03
Gabelli Equity Trust (GAB) 0.0 $210k 41k 5.10
LMP Capital and Income Fund (SCD) 0.0 $154k 14k 10.69
Invesco Mortgage Capital 0.0 $160k 11k 14.47
MFS Charter Income Trust (MCR) 0.0 $156k 21k 7.35
New America High Income Fund I (HYB) 0.0 $109k 15k 7.53
Western Asst High Incm Opprtnty Fnd (HIO) 0.0 $158k 36k 4.39
Cohen & Steers Clsd-End Optuny Fnd (FOF) 0.0 $189k 17k 11.06
Aberdeen Global Income Fund (FCO) 0.0 $91k 13k 7.15
Eaton Vance Senior Income Trust (EVF) 0.0 $97k 16k 5.97
Nuveen Diversified Dividend & Income 0.0 $212k 23k 9.25
Pimco Income Strategy Fund (PFL) 0.0 $186k 17k 10.86
BlackRock Muni Income Investment Trust 0.0 $149k 12k 12.02
BlackRock Municipal Income Trust II (BLE) 0.0 $168k 13k 12.88
Blackrock Muniholdings Fund II 0.0 $138k 11k 12.99
BlackRock MuniYield Pennsylvania Insured (MPA) 0.0 $185k 15k 12.58
Credit Suisse AM Inc Fund (CIK) 0.0 $164k 59k 2.77
Dreyfus Municipal Income 0.0 $101k 13k 7.60
Eaton Vance Municipal Bond Fund (EIM) 0.0 $172k 15k 11.26
Invesco Van Kampen Penn Vl MI Trust (VPV) 0.0 $200k 17k 11.63
Invesco Municipal Income Opp Trust (OIA) 0.0 $155k 22k 6.95
Lehman Brothers First Trust IOF (NHS) 0.0 $102k 11k 9.69
Nuveen Senior Income Fund 0.0 $145k 26k 5.48
Nuveen Real Estate Income Fund (JRS) 0.0 $113k 13k 8.43
Nuveen Tax-Advantaged Dividend Growth 0.0 $151k 11k 13.36
Nuveen Core Equity Alpha Fund (JCE) 0.0 $201k 17k 12.03
Western Asset Global High Income Fnd (EHI) 0.0 $206k 25k 8.26
Western Ast Clymr Infl Lkd Sc & Incm (WIA) 0.0 $157k 15k 10.62
First Trust Enhanced Equity Income Fund (FFA) 0.0 $202k 16k 12.94
Nuveen Tax-Advantaged Total Return Strat 0.0 $199k 20k 10.14
Nuveen Ohio Quality Income M 0.0 $181k 14k 13.31
Dreyfus High Yield Strategies Fund 0.0 $140k 52k 2.71
MFS High Income Municipal Trust (CXE) 0.0 $138k 30k 4.62
Calamos Global Total Return Fund (CGO) 0.0 $147k 15k 10.13
MFS High Yield Municipal Trust (CMU) 0.0 $108k 26k 4.16
Blackrock Muniyield California Ins Fund 0.0 $172k 14k 12.64
Clough Global Allocation Fun (GLV) 0.0 $114k 11k 10.01
Eaton Vance Cali Muni Bnd Fnd (EVM) 0.0 $127k 13k 9.91
Ascena Retail 0.0 $73k 29k 2.51
BlackRock MuniYield Investment Fund 0.0 $139k 11k 12.67
Columbia Seligm Prem Tech Gr (STK) 0.0 $210k 13k 16.83
Stone Hbr Emerg Mrkts (EDF) 0.0 $146k 13k 11.17
Nuveen Energy Mlp Total Return etf 0.0 $172k 21k 8.14
Brookfield Global Listed 0.0 $126k 13k 10.10
Tortoise Pipeline & Energy 0.0 $141k 11k 12.38
GAMCO Natural Resources, Gold & Income Trust (GNT) 0.0 $158k 32k 4.95
Retail Properties Of America 0.0 $151k 14k 10.82
Salient Midstream & M 0.0 $195k 26k 7.39
Clearbridge Energy M 0.0 $186k 24k 7.80
Stone Hbr Emerg Mkts Tl 0.0 $162k 15k 10.93
Dreyfus Mun Bd Infrastructure 0.0 $121k 10k 11.85
Center Coast Mlp And Infrastructure unit 0.0 $155k 23k 6.86
Guggenheim Cr Allocation 0.0 $212k 12k 18.36
Container Store (TCS) 0.0 $77k 16k 4.79
Amc Entmt Hldgs Inc Cl A 0.0 $152k 12k 12.26
Zafgen 0.0 $84k 17k 4.93
Duff & Phelps Select Energy Mlp Fund Inc closed end fund - equity 0.0 $132k 34k 3.94
Goldman Sachs Mlp Energy Ren 0.0 $170k 39k 4.39
Nuveen Global High (JGH) 0.0 $202k 15k 13.64
Miller Howard High Inc Eqty (HIE) 0.0 $174k 18k 9.51
Digital Turbine (APPS) 0.0 $79k 43k 1.82
Party City Hold 0.0 $145k 15k 10.01
Hewlett Packard Enterprise (HPE) 0.0 $147k 11k 13.18
Northstar Realty Europe 0.0 $152k 11k 14.50
Adverum Biotechnologies 0.0 $74k 24k 3.15
Washington Prime Group 0.0 $122k 25k 4.85
Rivernorth Doubleline Strate (OPP) 0.0 $181k 11k 16.29
First Tr Sr Floating Rate 20 0.0 $99k 12k 8.30
Presidio 0.0 $136k 11k 13.00
Savara (SVRA) 0.0 $77k 10k 7.57
Cnx Resources Corporation (CNX) 0.0 $142k 12k 11.44
Colony Cap Inc New cl a 0.0 $136k 29k 4.68
Sesen Bio 0.0 $74k 52k 1.41
Megalith Finl Acquisition Co warrant 0.0 $115k 288k 0.40
Alberton Acquisition Corp right 10/04/2020 0.0 $78k 300k 0.26
Spaq/ws Us 01 Oct 23 C11.5 w exp 08/27/202 0.0 $84k 87k 0.97
Edtechx Hldgs Acquisition Co *w exp 12/31/202 0.0 $134k 383k 0.35
TETRA Technologies (TTI) 0.0 $66k 39k 1.68
Tuesday Morning Corporation 0.0 $19k 11k 1.74
Contango Oil & Gas Company 0.0 $69k 21k 3.25
Bristow 0.0 $52k 22k 2.42
Hornbeck Offshore Services 0.0 $44k 30k 1.46
Stein Mart 0.0 $41k 38k 1.07
DURECT Corporation 0.0 $11k 22k 0.50
Geron Corporation (GERN) 0.0 $57k 57k 1.00
Medallion Financial (MFIN) 0.0 $70k 15k 4.69
Express 0.0 $71k 14k 5.12
Vitamin Shoppe 0.0 $56k 12k 4.70
Castle Brands 0.0 $13k 15k 0.87
4068594 Enphase Energy (ENPH) 0.0 $68k 14k 4.74
Ensco Plc Shs Class A 0.0 $53k 15k 3.59
Insys Therapeutics 0.0 $56k 16k 3.47
Sorrento Therapeutics (SRNEQ) 0.0 $63k 26k 2.38
Noble Corp Plc equity 0.0 $55k 21k 2.64
Community Health Sys Inc New right 01/27/2016 0.0 $0 3.0M 0.00
Nuveen All Cap Ene Mlp Opport mf 0.0 $61k 11k 5.50
Sportsmans Whse Hldgs (SPWH) 0.0 $65k 15k 4.36
Quotient 0.0 $68k 11k 6.08
Adma Biologics (ADMA) 0.0 $42k 17k 2.42
T2 Biosystems 0.0 $37k 12k 3.02
Independence Contract Dril I 0.0 $45k 14k 3.13
Marinus Pharmaceuticals 0.0 $55k 19k 2.90
Affimed Therapeutics B V 0.0 $55k 18k 3.12
On Deck Capital 0.0 $69k 12k 5.92
Second Sight Med Prods 0.0 $42k 48k 0.88
Vivint Solar 0.0 $61k 16k 3.79
Genesis Healthcare Inc Cl A (GENN) 0.0 $57k 48k 1.18
Sprott Focus Tr (FUND) 0.0 $67k 12k 5.82
Arbutus Biopharma (ABUS) 0.0 $41k 11k 3.80
Comstock Resources (CRK) 0.0 $46k 10k 4.56
Lonestar Res Us Inc cl a vtg 0.0 $52k 14k 3.63
Peregrine Pharmaceuticals (CDMO) 0.0 $56k 14k 4.10
Platinum Eagle Acquisitin Co *w exp 01/17/202 0.0 $21k 16k 1.29
Falcon Minerals Corp *w exp 07/21/202 0.0 $60k 100k 0.60
Sentinel Energy Svcs Inc *w exp 11/02/202 0.0 $47k 56k 0.84
Alacw Us 21 Nov 23 C11.5 w exp 04/26/202 0.0 $1.9k 22k 0.09
Loacw Us 31 Jul 25 C11.5 w exp 07/31/202 0.0 $34k 224k 0.15
Dd3 Acquisition Corp *w exp 10/20/202 0.0 $26k 75k 0.35
Amci Acquisition Corp *w exp 05/20/202 0.0 $40k 200k 0.20