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 |
A H BELO CORP | COM CL A | 001282102 | 185 | 35,942 | SH | SOLE | 35,942 | 0 | 0 | ||
ABERDEEN CHILE FD INC | COM | 00301W105 | 159 | 17,600 | SH | SOLE | 17,600 | 0 | 0 | ||
ABERDEEN SINGAPORE FD INC | COM | 003244100 | 175 | 13,200 | SH | SOLE | 13,200 | 0 | 0 | ||
ABLYNX NV | SPONSORED ADR | 00372Y105 | 3,136 | 57,470 | SH | SOLE | 57,470 | 0 | 0 | ||
ADVENT CLAYMORE ENH GRW & IN | COM | 00765E104 | 87 | 10,933 | SH | SOLE | 10,933 | 0 | 0 | ||
ALTABA INC | COM | 021346101 | 40,597 | 548,309 | SH | SOLE | 548,309 | 0 | 0 | ||
AMTRUST FINL SVCS INC | COM | 032359309 | 369 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
ANCHOR BANCORP WA | COM | 032838104 | 4,566 | 184,813 | SH | SOLE | 184,813 | 0 | 0 | ||
ATLANTIC COAST FINL CORP | COM | 048426100 | 594 | 57,697 | SH | SOLE | 57,697 | 0 | 0 | ||
AVISTA HEALTHCARE PUB ACQ CO | *W EXP 99/99/999 | G0726L117 | 50 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
AVISTA HEALTHCARE PUB ACQ CO | CL A | G0726L125 | 1,497 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
AXALTA COATING SYS LTD | COM | G0750C108 | 335 | 11,100 | SH | SOLE | 11,100 | 0 | 0 | ||
BARINGTON HILCO ACQUISITION | COM | 06759V101 | 2,120 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
BAY BANCORP INC | COM | 07203T106 | 535 | 40,110 | SH | SOLE | 40,110 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | COM | 089482103 | 1,621 | 165,000 | SH | SOLE | 165,000 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | RIGHT 12/01/2022 | 089482129 | 66 | 165,000 | SH | SOLE | 165,000 | 0 | 0 | ||
BIG ROCK PARTNERS ACQUISI CO | *W EXP 12/01/202 | 089482111 | 31 | 82,500 | SH | SOLE | 82,500 | 0 | 0 | ||
BISON CAP ACQUISITION CORP | RIGHT 03/20/2019 | G1142P138 | 50 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
BISON CAP ACQUISITION CORP | ORD SHS | G1142P104 | 994 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
BISON CAP ACQUISITION CORP | *W EXP 06/20/202 | G1142P112 | 20 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | *W EXP 07/10/202 | 09216T115 | 154 | 396,000 | SH | SOLE | 396,000 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | COM | 09216T107 | 3,837 | 396,000 | SH | SOLE | 396,000 | 0 | 0 | ||
BLACK RIDGE ACQUISITION CORP | RIGHT 07/10/2019 | 09216T123 | 119 | 396,000 | SH | SOLE | 396,000 | 0 | 0 | ||
BLACKHAWK NETWORK HLDGS INC | COM | 09238E104 | 4,023 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
BLUE BUFFALO PET PRODS INC | COM | 09531U102 | 2,986 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
BROOKDALE SR LIVING INC | COM | 112463104 | 1,204 | 179,500 | SH | SOLE | 179,500 | 0 | 0 | ||
CAVIUM INC | COM | 14964U108 | 12,502 | 157,500 | SH | SOLE | 157,500 | 0 | 0 | ||
CHICAGO BRIDGE & IRON CO N V | COM | 167250109 | 2,662 | 184,864 | SH | SOLE | 184,864 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | RIGHT 08/21/2022 | G2345N136 | 114 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | SHS | G2345N102 | 3,896 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
CM SEVEN STAR ACQUISITION CO | *W EXP 08/21/202 | G2345N110 | 61 | 175,000 | SH | SOLE | 175,000 | 0 | 0 | ||
COMPUTER TASK GROUP INC | COM | 205477102 | 124 | 15,100 | SH | SOLE | 15,100 | 0 | 0 | ||
CONSTELLATION ALPHA CAP CORP | *W EXP 03/23/202 | G2379F116 | 37 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
CONSTELLATION ALPHA CAP CORP | RIGHT 99/99/9999 | G2379F132 | 54 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
CONSTELLATION ALPHA CAP CORP | SHS | G2379F108 | 1,481 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
CONVERGEONE HLDGS INC | *W EXP 04/12/202 | 212481113 | 140 | 117,000 | SH | SOLE | 117,000 | 0 | 0 | ||
CONVERGEONE HLDGS INC | COM CL A | 212481105 | 216 | 23,400 | SH | SOLE | 23,400 | 0 | 0 | ||
CORNERSTONE STRATEGIC VALUE | COM | 21924B302 | 6,470 | 423,418 | SH | SOLE | 423,418 | 0 | 0 | ||
CORNERSTONE TOTAL RTRN FD IN | COM | 21924U300 | 4,452 | 294,428 | SH | SOLE | 294,428 | 0 | 0 | ||
CUSHING RENAISSANCE FD | COM | 231647108 | 882 | 56,089 | SH | SOLE | 56,089 | 0 | 0 | ||
DELL TECHNOLOGIES INC | COM CL V | 24703L103 | 2,382 | 32,539 | SH | SOLE | 32,539 | 0 | 0 | ||
DEPOMED INC | COM | 249908104 | 100 | 15,100 | SH | SOLE | 15,100 | 0 | 0 | ||
DEUTSCHE MULTI-MKT INCOME TR | SHS | 25160E102 | 801 | 91,281 | SH | SOLE | 91,281 | 0 | 0 | ||
DEUTSCHE STRATEGIC INCOME TR | SHS | 25160F109 | 298 | 24,280 | SH | SOLE | 24,280 | 0 | 0 | ||
DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | 3,737 | 191,423 | SH | SOLE | 191,423 | 0 | 0 | ||
DR PEPPER SNAPPLE GROUP INC | COM | 26138E109 | 888 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
DRAPER OAKWOOD TECHNOLOGY | RIGHT 09/19/2018 | 26146L129 | 103 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
DRAPER OAKWOOD TECHNOLOGY | COM CL A | 26146L103 | 1,775 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
DRAPER OAKWOOD TECHNOLOGY | *W EXP 09/19/202 | 26146L111 | 76 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
DYNEGY INC NEW DEL | COM | 26817R108 | 16,169 | 1,195,895 | SH | SOLE | 1,195,895 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION COR | SHS | G3105C104 | 2,204 | 212,359 | SH | SOLE | 212,359 | 0 | 0 | ||
ESTRE AMBIENTAL INC | *W EXP 12/21/202 | G3206V118 | 72 | 124,450 | SH | SOLE | 124,450 | 0 | 0 | ||
FINTECH ACQUISITION CORP II | COM | 31810G109 | 807 | 81,200 | SH | SOLE | 81,200 | 0 | 0 | ||
FINTECH ACQUISITION CORP II | *W EXP 01/19/202 | 31810G117 | 54 | 40,600 | SH | SOLE | 40,600 | 0 | 0 | ||
FIRSTHAND TECH VALUE FD INC | COM | 33766Y100 | 540 | 47,821 | SH | SOLE | 47,821 | 0 | 0 | ||
GABELLI EQUITY TR INC | COM | 362397101 | 140 | 22,937 | SH | SOLE | 22,937 | 0 | 0 | ||
GABELLI UTIL TR | COM | 36240A101 | 600 | 96,300 | SH | SOLE | 96,300 | 0 | 0 | ||
GIGCAPITAL INC | UNIT 03/06/2025 | 37518N205 | 5,764 | 555,000 | SH | SOLE | 555,000 | 0 | 0 | ||
GORDON POINTE ACQUISITION CO | UNIT 01/18/2023 | 382788206 | 2,066 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP | COM CLASS A | 420870107 | 958 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
HAYMAKER ACQUISITION CORP | *W EXP 10/27/202 | 420870115 | 41 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
IAC INTERACTIVECORP | COM | 44919P508 | 9,474 | 60,586 | SH | SOLE | 60,586 | 0 | 0 | ||
INDUSTREA ACQUISITION CORP | *W EXP 08/01/202 | 45579J112 | 274 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
INDUSTREA ACQUISITION CORP | CL A | 45579J104 | 4,905 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
KAPSTONE PAPER & PACKAGING C | COM | 48562P103 | 1,643 | 47,900 | SH | SOLE | 47,900 | 0 | 0 | ||
KBL MERGER CORP IV | *W EXP 01/15/202 | 48242A112 | 96 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
KBL MERGER CORP IV | RIGHT 03/22/2019 | 48242A120 | 140 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
KBL MERGER CORP IV | COM | 48242A104 | 3,940 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
KLONDEX MNS LTD | COM | 498696103 | 40 | 16,934 | SH | SOLE | 16,934 | 0 | 0 | ||
LAZYDAYS HLDGS INC | COM | 52110H100 | 269 | 26,785 | SH | SOLE | 26,785 | 0 | 0 | ||
LEISURE ACQUISITION CORP | COM | 52539T107 | 2,121 | 222,000 | SH | SOLE | 222,000 | 0 | 0 | ||
LEISURE ACQUISITION CORP | *W EXP 12/05/201 | 52539T115 | 80 | 111,000 | SH | SOLE | 111,000 | 0 | 0 | ||
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 914 | 29,200 | SH | SOLE | 29,200 | 0 | 0 | ||
LIBERTY LATIN AMERICA LTD | COM CL A | G9001E102 | 1,406 | 72,271 | SH | SOLE | 72,271 | 0 | 0 | ||
LOEWS CORP | COM | 540424108 | 4,272 | 85,898 | SH | SOLE | 85,898 | 0 | 0 | ||
LUNA INNOVATIONS | COM | 550351100 | 112 | 34,483 | SH | SOLE | 34,483 | 0 | 0 | ||
MATCH GROUP INC | COM | 57665R106 | 2,222 | 50,000 | SH | Put | SOLE | 50,000 | 0 | 0 | |
MERRIMACK PHARMACEUTICALS IN | COM NEW | 590328209 | 599 | 74,434 | SH | SOLE | 74,434 | 0 | 0 | ||
MFS INVT GRADE MUN TR | SH BEN INT | 59318B108 | 101 | 10,779 | SH | SOLE | 10,779 | 0 | 0 | ||
MICROSEMI CORP | COM | 595137100 | 4,854 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | RIGHT 99/99/9999 | 60765P129 | 144 | 324,000 | SH | SOLE | 324,000 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | *W EXP 05/17/202 | 60765P111 | 94 | 180,000 | SH | SOLE | 180,000 | 0 | 0 | ||
MODERN MEDIA ACQUISITION | COM | 60765P103 | 3,582 | 360,000 | SH | SOLE | 360,000 | 0 | 0 | ||
MONSANTO CO NEW | COM | 61166W101 | 42,008 | 360,000 | SH | Call | SOLE | 360,000 | 0 | 0 | |
MORGAN STANLEY TRUSTS | INCOME SECS INC | 61745P874 | 266 | 14,120 | SH | SOLE | 14,120 | 0 | 0 | ||
MUDRICK CAP ACQUISITION CORP | UNIT 02/01/2023 | 624745204 | 1,533 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
NEW YORK REIT INC | COM NEW | 64976L208 | 4,737 | 220,225 | SH | SOLE | 220,225 | 0 | 0 | ||
NOVELION THERAPEUTICS INC | COM NEW | 67001K202 | 127 | 36,428 | SH | SOLE | 36,428 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 24,416 | 208,686 | SH | SOLE | 208,686 | 0 | 0 | ||
NXSTAGE MEDICAL INC | COM | 67072V103 | 1,534 | 61,721 | SH | SOLE | 61,721 | 0 | 0 | ||
OFS CAP CORP | COM | 67103B100 | 371 | 33,072 | SH | SOLE | 33,072 | 0 | 0 | ||
OPES ACQUISITION CORP | UNIT 03/07/2023 | 68373P209 | 1,214 | 120,730 | SH | SOLE | 120,730 | 0 | 0 | ||
ORBITAL ATK INC | COM | 68557N103 | 8,877 | 66,942 | SH | SOLE | 66,942 | 0 | 0 | ||
ORBOTECH LTD | ORD | M75253100 | 2,064 | 33,200 | SH | SOLE | 33,200 | 0 | 0 | ||
PENNANTPARK FLOATING RATE CA | COM | 70806A106 | 711 | 54,334 | SH | SOLE | 54,334 | 0 | 0 | ||
PENSARE ACQUISITION CORP | RIGHT 99/99/9999 | 70957E121 | 300 | 600,000 | SH | SOLE | 600,000 | 0 | 0 | ||
PENSARE ACQUISITION CORP | *W EXP 07/27/202 | 70957E113 | 160 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
PENSARE ACQUISITION CORP | COM | 70957E105 | 5,832 | 600,000 | SH | SOLE | 600,000 | 0 | 0 | ||
PHH CORP | COM NEW | 693320202 | 1,977 | 189,049 | SH | SOLE | 189,049 | 0 | 0 | ||
PINNACLE ENTMT INC NEW | COM | 72348Y105 | 4,218 | 139,900 | SH | SOLE | 139,900 | 0 | 0 | ||
QIWI PLC | SPON ADR REP B | 74735M108 | 764 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
REALNETWORKS INC | COM NEW | 75605L708 | 81 | 26,522 | SH | SOLE | 26,522 | 0 | 0 | ||
REAVES UTIL INCOME FD | COM SH BEN INT | 756158101 | 39,793 | 1,409,616 | SH | SOLE | 1,409,616 | 0 | 0 | ||
RITE AID CORP | COM | 767754104 | 820 | 488,046 | SH | SOLE | 488,046 | 0 | 0 | ||
ROCKWELL COLLINS INC | COM | 774341101 | 17,045 | 126,400 | SH | SOLE | 126,400 | 0 | 0 | ||
ROYCE VALUE TR INC | COM | 780910105 | 4,357 | 280,000 | SH | SOLE | 280,000 | 0 | 0 | ||
SAFEGUARD SCIENTIFICS INC | COM NEW | 786449207 | 6,312 | 515,265 | SH | SOLE | 515,265 | 0 | 0 | ||
SANOFI | RIGHT 12/31/2020 | 80105N113 | 66 | 155,177 | SH | SOLE | 155,177 | 0 | 0 | ||
SCHULMAN A INC | COM | 808194104 | 2,280 | 53,027 | SH | SOLE | 53,027 | 0 | 0 | ||
SIGMA DESIGNS INC | COM | 826565103 | 10,794 | 1,741,022 | SH | SOLE | 1,741,022 | 0 | 0 | ||
SPARTON CORP | COM | 847235108 | 820 | 47,126 | SH | SOLE | 47,126 | 0 | 0 | ||
STEEL CONNECT INC | COM | 858098106 | 116 | 54,804 | SH | SOLE | 54,804 | 0 | 0 | ||
STEWART INFORMATION SVCS COR | COM | 860372101 | 1,739 | 39,567 | SH | SOLE | 39,567 | 0 | 0 | ||
STUDENT TRANSN INC | COM | 86388A108 | 577 | 77,054 | SH | SOLE | 77,054 | 0 | 0 | ||
TIBERIUS ACQUISITION CORP | UNIT 02/28/2021 | 88633A206 | 2,012 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 23,990 | 253,646 | SH | SOLE | 253,646 | 0 | 0 | ||
TIME WARNER INC | COM NEW | 887317303 | 19,928 | 210,700 | SH | Call | SOLE | 210,700 | 0 | 0 | |
TIVO CORP | COM | 88870P106 | 190 | 14,000 | SH | SOLE | 14,000 | 0 | 0 | ||
TRANS WORLD ENTMT CORP | COM | 89336Q100 | 13 | 10,400 | SH | SOLE | 10,400 | 0 | 0 | ||
TRIBUNE MEDIA CO | CL A | 896047503 | 4,443 | 109,667 | SH | SOLE | 109,667 | 0 | 0 | ||
UNION ACQUISITION CORP | UNIT 99/99/9999 | G9366W119 | 2,570 | 251,200 | SH | SOLE | 251,200 | 0 | 0 | ||
VALIDUS HOLDINGS LTD | COM SHS | G9319H102 | 5,461 | 80,959 | SH | SOLE | 80,959 | 0 | 0 | ||
VIACOM INC NEW | CL B | 92553P201 | 553 | 17,807 | SH | SOLE | 17,807 | 0 | 0 | ||
WESTAR ENERGY INC | COM | 95709T100 | 1,177 | 22,385 | SH | SOLE | 22,385 | 0 | 0 | ||
WILLSCOT CORP | *W EXP 09/10/202 | 971375118 | 825 | 494,000 | SH | SOLE | 494,000 | 0 | 0 | ||
WRIGHT MED GROUP N V | RIGHT 03/01/2019 | N96617126 | 52 | 38,308 | SH | SOLE | 38,308 | 0 | 0 | ||
XCERRA CORP | COM | 98400J108 | 366 | 31,395 | SH | SOLE | 31,395 | 0 | 0 | ||
XL GROUP LTD | COM | G98294104 | 6,548 | 118,500 | SH | SOLE | 118,500 | 0 | 0 |