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 |
ACCURAY INC | CONV | 004397AD7 | 1,204 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
ACCURAY INC | CONV | 004397AF2 | 1,566 | 1,300,000 | PRN | SOLE | 1,300,000 | 0 | 0 | ||
ACCURAY INC | CONV | 004397AF2 | 240 | 200,000 | PRN | OTR | 1 | 0 | 200,000 | 0 | |
AEGERION PHARMACEUTICALS INC | CONV | 00767EAB8 | 796 | 1,560,000 | PRN | SOLE | 1,560,000 | 0 | 0 | ||
AEGERION PHARMACEUTICALS INC | CONV | 00767EAB8 | 102 | 200,000 | PRN | OTR | 1 | 0 | 200,000 | 0 | |
AFFYMETRIX INC. | CONV | 00826TAH1 | 5,053 | 2,100,000 | PRN | SOLE | 2,100,000 | 0 | 0 | ||
AFFYMETRIX INC. | CONV | 00826TAH1 | 721 | 300,000 | PRN | OTR | 1 | 0 | 300,000 | 0 | |
ALBANY MOLECULAR RESEARCH INC | CONV | 012423AB5 | 5,192 | 4,675,000 | PRN | SOLE | 4,675,000 | 0 | 0 | ||
ALBANY MOLECULAR RESEARCH INC | CONV | 012423AB5 | 1,048 | 950,000 | PRN | OTR | 1 | 0 | 950,000 | 0 | |
BLACKROCK LTD DURATION INC T | FUND | 09249W101 | 179 | 12,097 | SH | SOLE | 12,097 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD I | FUND | 101507101 | 183 | 23,278 | SH | SOLE | 23,278 | 0 | 0 | ||
CARRIAGE SVCS INC | CONV | 143905AM9 | 3,316 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
CEPHEID | CONV | 15670RAC1 | 720 | 800,000 | PRN | SOLE | 800,000 | 0 | 0 | ||
CEPHEID | CONV | 15670RAC1 | 178 | 200,000 | PRN | OTR | 1 | 0 | 200,000 | 0 | |
COBALT INTL ENERGY INC | CONV | 19075FAA4 | 394 | 800,000 | PRN | SOLE | 800,000 | 0 | 0 | ||
COBALT INTL ENERGY INC | CONV | 19075FAA4 | 98 | 200,000 | PRN | OTR | 1 | 0 | 200,000 | 0 | |
COBALT INTL ENERGY INC | CONV | 19075FAB2 | 87 | 200,000 | PRN | SOLE | 200,000 | 0 | 0 | ||
COBALT INTL ENERGY INC | CONV | 19075FAB2 | 120 | 300,000 | PRN | OTR | 1 | 0 | 300,000 | 0 | |
ENCORE CAP GROUP | CONV | 292554AD4 | 649 | 650,000 | PRN | SOLE | 650,000 | 0 | 0 | ||
ENCORE CAP GROUP | CONV | 292554AD4 | 445 | 450,000 | PRN | OTR | 1 | 0 | 450,000 | 0 | |
ENCORE CAP GROUP | CONV | 292554AF9 | 2,094 | 3,145,000 | PRN | SOLE | 3,145,000 | 0 | 0 | ||
ENCORE CAP GROUP | CONV | 292554AF9 | 935 | 720,000 | PRN | OTR | 1 | 0 | 720,000 | 0 | |
ENDOLOGIX INC | CONV | 29266SAB2 | 4,026 | 4,200,000 | PRN | SOLE | 4,200,000 | 0 | 0 | ||
ENDOLOGIX INC | CONV | 29266SAB2 | 286 | 300,000 | PRN | OTR | 1 | 0 | 300,000 | 0 | |
EXELIXIS INC | CONV | 30161QAC8 | 992 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
FIBROCELL SCIENCE INC | COMM | 315721209 | 38 | 15,300 | SH | SOLE | 15,300 | 0 | 0 | ||
FRONTIER COMMUNICATIONS CORP | PREF | 35906A207 | 392 | 3,766 | SH | SOLE | 3,766 | 0 | 0 | ||
HORIZON PHARMA INVT LTD | CONV | 44052TAB7 | 790 | 920,000 | PRN | SOLE | 920,000 | 0 | 0 | ||
HORIZON PHARMA INVT LTD | CONV | 44052TAB7 | 170 | 200,000 | PRN | OTR | 1 | 0 | 200,000 | 0 | |
HORSEHEAD HLDG CORP | CONV | 440694AB3 | 142 | 1,775,000 | PRN | SOLE | 1,775,000 | 0 | 0 | ||
IMPERIAL HLDGS INC | CONV | 452834AE4 | 930 | 1,069,000 | PRN | SOLE | 1,069,000 | 0 | 0 | ||
IMPERIAL HLDGS INC | CONV | 452834AE4 | 610 | 700,000 | PRN | OTR | 1 | 0 | 700,000 | 0 | |
KLR ENERGY ACQUISITION CORP | UNIT | 49877M207 | 900 | 89,472 | SH | SOLE | 89,472 | 0 | 0 | ||
LGI HOMES INC | CONV | 50187TAB2 | 2,653 | 2,100,000 | PRN | SOLE | 2,100,000 | 0 | 0 | ||
LGI HOMES INC | CONV | 50187TAB2 | 503 | 400,000 | PRN | OTR | 1 | 0 | 400,000 | 0 | |
MONSTER WORLDWIDE INC | CONV | 611742AB3 | 916 | 1,000,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
NEW MTN FIN CORP | CONV | 647551AB6 | 1,656 | 1,663,000 | PRN | SOLE | 1,663,000 | 0 | 0 | ||
NEW MTN FIN CORP | CONV | 647551AB6 | 363 | 375,000 | PRN | OTR | 1 | 0 | 375,000 | 0 | |
NEXPOINT RESIDENTIAL TR INC | COMM | 65341D102 | 85 | 6,519 | SH | SOLE | 6,519 | 0 | 0 | ||
PDL BIOPHARMA INC | CONV | 69329YAF1 | 4,988 | 5,520,000 | PRN | SOLE | 5,520,000 | 0 | 0 | ||
PDL BIOPHARMA INC | CONV | 69329YAF1 | 361 | 400,000 | PRN | OTR | 1 | 0 | 400,000 | 0 | |
QUIDEL CORP | CONV | 74838JAA9 | 2,019 | 2,250,000 | PRN | SOLE | 2,250,000 | 0 | 0 | ||
RAMCO-GERSHENSON PPTYS TR | PREF | 751452608 | 2,253 | 34,556 | SH | SOLE | 34,556 | 0 | 0 | ||
RAMCO-GERSHENSON PPTYS TR | PREF | 751452608 | 589 | 9,000 | SH | OTR | 1 | 0 | 9,000 | 0 | |
ROYCE VALUE TR INC | COMM | 780910105 | 117 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SPDR S&P 500 ETF TR | UNIT | 78462F103 | 1,541 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
SEACOR HOLDINGS INC | CONV | 811904AM3 | 4,670 | 4,900,000 | PRN | SOLE | 4,900,000 | 0 | 0 | ||
SEACOR HOLDINGS INC | CONV | 811904AM3 | 1,042 | 1,100,000 | PRN | OTR | 1 | 0 | 1,100,000 | 0 | |
SEQUENOM INC | CONV | 817337AC2 | 2,886 | 4,500,000 | PRN | SOLE | 4,500,000 | 0 | 0 | ||
SERVICESOURCE INTL INC | CONV | 81763UAB6 | 161 | 200,000 | PRN | SOLE | 200,000 | 0 | 0 | ||
SOLARCITY CORP | CONV | 83416TAC4 | 1,951 | 3,385,000 | PRN | SOLE | 3,385,000 | 0 | 0 | ||
SPECTRUM PHARMACEUTICALS INC | CONV | 84763AAB4 | 740 | 850,000 | PRN | SOLE | 850,000 | 0 | 0 | ||
SPECTRUM PHARMACEUTICALS INC | CONV | 84763AAB4 | 576 | 650,000 | PRN | OTR | 1 | 0 | 650,000 | 0 | |
SUNEDISON INC | CONV | 86732YAH2 | 32 | 1,300,000 | PRN | SOLE | 1,300,000 | 0 | 0 | ||
SUNEDISON INC | CONV | 86732YAH2 | 17 | 700,000 | PRN | OTR | 1 | 0 | 700,000 | 0 | |
TTM TECHNOLOGIES INC | CONV | 87305RAD1 | 1,097 | 1,235,000 | PRN | SOLE | 1,235,000 | 0 | 0 | ||
TESLA MTRS INC | CONV | 88160RAB7 | 1,454 | 1,600,000 | PRN | SOLE | 1,600,000 | 0 | 0 | ||
TESLA MTRS INC | CONV | 88160RAC5 | 1,971 | 2,300,000 | PRN | SOLE | 2,300,000 | 0 | 0 | ||
TESLA MTRS INC | CONV | 88160RAC5 | 343 | 400,000 | PRN | OTR | 1 | 0 | 400,000 | 0 | |
VECTOR GROUP LTD | CONV | 92240MBC1 | 4,452 | 4,004,000 | PRN | SOLE | 4,004,000 | 0 | 0 | ||
VANGUARD INDEX FDS | FUND | 922908769 | 1,467 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
XILINX INC | CONV | 983919AF8 | 496 | 350,000 | PRN | SOLE | 350,000 | 0 | 0 | ||
XILINX INC | CONV | 983919AF8 | 740 | 450,000 | PRN | OTR | 1 | 0 | 450,000 | 0 | |
APPLE INC | COMM | 037833100 | 1,089 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
GARNERO GROUP ACQUISITION | COMM | G5866L108 | 1,961 | 197,500 | SH | SOLE | 197,500 | 0 | 0 | ||
GARNERO GROUP ACQUISITION WRNT | WRNT | G5866L116 | 25 | 296,765 | SH | SOLE | 296,765 | 0 | 0 | ||
GARNERO GROUP ACQUISITION RIGHT | COMM | G5866L132 | 46 | 272,385 | SH | SOLE | 272,385 | 0 | 0 | ||
YAHOO INC | COMM | 984332106 | 588 | 16,000 | SH | SOLE | 16,000 | 0 | 0 |