The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
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COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
Abbott | Common | 002824100 | 12,321 | 230,915 | SH | SOLE | 230,915 | 0 | 0 | ||
Abbvie | Common | 00287Y109 | 20,696 | 232,915 | SH | SOLE | 232,915 | 0 | 0 | ||
Allstate | Common | 020002101 | 30,679 | 333,800 | SH | SOLE | 333,800 | 0 | 0 | ||
AMAG | Cv 2.5% | 00163UAA4 | 5,830 | 5,500,000 | PRN | SOLE | 5,500,000 | 0 | 0 | ||
Amerco | Common | 023586100 | 70,619 | 188,370 | SH | SOLE | 188,370 | 0 | 0 | ||
Agenus | Common | 00847G705 | 686 | 155,677 | SH | SOLE | 155,677 | 0 | 0 | ||
Ashland | Common | 044209104 | 1,634 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
Valvoline | Common | 92047W101 | 1,609 | 68,633 | SH | SOLE | 68,633 | 0 | 0 | ||
Avista | Common | 05379B107 | 13,511 | 261,000 | SH | SOLE | 261,000 | 0 | 0 | ||
Allergan | Common | G1077J108 | 10,247 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Calpine | Common | 131347304 | 4,349 | 294,849 | SH | SOLE | 294,849 | 0 | 0 | ||
CMS Energy | Common | 125896100 | 24,934 | 538,300 | SH | SOLE | 538,300 | 0 | 0 | ||
Bunge | Common | G16962105 | 1,041 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
Bunge | Pfd 4.875% | 032549322 | 3,889 | 37,400 | SH | SOLE | 37,400 | 0 | 0 | ||
DeCode Genetics | Cv 3.5% | 243586AB0 | 61 | 24,787,000 | PRN | SOLE | 24,787,000 | 0 | 0 | ||
Duke Energy | Common | 26441C204 | 29,186 | 347,788 | SH | SOLE | 347,788 | 0 | 0 | ||
Durect | Common | 266605104 | 863 | 488,112 | SH | SOLE | 488,112 | 0 | 0 | ||
EDAP | Common | 268311107 | 3,115 | 1,045,494 | SH | SOLE | 1,045,494 | 0 | 0 | ||
Inotek | Cv 5.75% | 45780VAB8 | 1,580 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
Exxon | Common | 30231G102 | 418 | 5,184 | SH | SOLE | 5,184 | 0 | 0 | ||
Flotek | Common | 343389102 | 3,089 | 664,335 | SH | SOLE | 664,335 | 0 | 0 | ||
Fluidigm | Cv 2.75% | 34385PAA6 | 3,706 | 5,009,000 | PRN | SOLE | 5,009,000 | 0 | 0 | ||
Nextera Energy | Common | 302571104 | 35,640 | 243,200 | SH | SOLE | 243,200 | 0 | 0 | ||
Gainsco | Common | 363127200 | 3,944 | 246,541 | SH | SOLE | 246,541 | 0 | 0 | ||
Gevo | Cv 7.5% | 374396AA7 | 412 | 515,000 | PRN | SOLE | 515,000 | 0 | 0 | ||
GM | Common | 37045V100 | 18,171 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
Goldcorp | Common | 380956409 | 2,592 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
IBM | Common | 459200101 | 15,541 | 106,500 | SH | SOLE | 106,500 | 0 | 0 | ||
Insteel | Common | 45774W108 | 6,149 | 235,520 | SH | SOLE | 235,520 | 0 | 0 | ||
WEC Energy | Common | 976657106 | 1,451 | 23,124 | SH | SOLE | 23,124 | 0 | 0 | ||
Actua | Common | 46059C205 | 2,142 | 140,000 | SH | SOLE | 140,000 | 0 | 0 | ||
Kellogg | Common | 487836108 | 308 | 4,436 | SH | SOLE | 4,436 | 0 | 0 | ||
Mannkind | Cv 5.75% | 56400PAM4 | 17,998 | 27,690,000 | PRN | SOLE | 27,690,000 | 0 | 0 | ||
Merck | Common | 589331107 | 16,609 | 259,400 | SH | SOLE | 259,400 | 0 | 0 | ||
Perrigo | Common | 00BGH1M56 | 840 | 9,926 | SH | SOLE | 9,926 | 0 | 0 | ||
Petroquest | Pfd 6.875% | 716748207 | 4,092 | 259,840 | SH | SOLE | 259,840 | 0 | 0 | ||
Petroquest | Common | 716748306 | 503 | 220,000 | SH | SOLE | 220,000 | 0 | 0 | ||
Pfizer | Common | 717081103 | 16,255 | 455,332 | SH | SOLE | 455,332 | 0 | 0 | ||
Pernix | Cv 4.25% | 71426VAK4 | 800 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 | ||
RLI | Common | 749607107 | 2,603 | 44,120 | SH | SOLE | 44,120 | 0 | 0 | ||
Solitario | Common | 8342EP107 | 170 | 254,040 | SH | SOLE | 254,040 | 0 | 0 | ||
Supernus | Common | 868459108 | 7,122 | 178,058 | SH | SOLE | 178,058 | 0 | 0 | ||
Synergy | Cv 7.5% | 871639AA8 | 3,050 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
Synergy | Common | 871639308 | 290 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Team | Cv 5% | 878155AD2 | 2,850 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
Valeant | Common | 91911K102 | 8,325 | 581,000 | SH | SOLE | 581,000 | 0 | 0 | ||
Astrotech | Common | 846243400 | 1,048 | 1,070,073 | SH | SOLE | 1,070,073 | 0 | 0 | ||
XM Sirius | Common | 82968B103 | 10,888 | 1,972,548 | SH | SOLE | 1,972,548 | 0 | 0 | ||
XEL Energy | Common | 98389B100 | 22,789 | 481,600 | SH | SOLE | 481,600 | 0 | 0 | ||
XTNT | Cv 6% | 05644RAA9 | 800 | 2,000,000 | PRN | SOLE | 2,000,000 | 0 | 0 |