Q3 2014
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| 6107SC | New | URS CORP NEW | $14,403,000 | – | 250,000 | – | 18.84% | – |
| ROIQ | Buy | ROI ACQUISITION CORP II | $6,107,000 | +150.0% | 620,013 | +148.0% | 7.99% | +881.3% |
| CLAC | Buy | CAPITOL ACQUISITION CORP II | $5,331,000 | -0.0% | 543,400 | +0.1% | 6.97% | +292.4% |
| IFN | New | INDIA FD INC | $3,222,000 | – | 118,700 | – | 4.21% | – |
| CACG | New | CHART ACQUISITION CORP | $3,075,000 | – | 310,000 | – | 4.02% | – |
| GAB | New | GABELLI EQUITY TR INC | $2,847,000 | – | 446,200 | – | 3.72% | – |
| LPCN | Sell | LIPOCINE INC NEW | $2,020,000 | -0.6% | 330,683 | -0.8% | 2.64% | +290.3% |
| TRTLU | New | TERRAPIN 3 ACQUISITION CORPunit 06/27/2019 | $1,508,000 | – | 150,000 | – | 1.97% | – |
| NZF | New | NUVEEN DIV ADV MUNI FD 3 | $1,461,000 | – | 106,899 | – | 1.91% | – |
| HCAC | Buy | HENNESSY CAP ACQUISITION COR | $1,377,000 | +9.7% | 140,482 | +8.9% | 1.80% | +330.9% |
| NQU | New | NUVEEN QUALITY INCOME MUN FD | $1,027,000 | – | 74,996 | – | 1.34% | – |
| NMA | New | NUVEEN MUN ADVANTAGE FD INC | $1,001,000 | – | 74,202 | – | 1.31% | – |
| RDEN | New | ELIZABETH ARDEN INC | $921,000 | – | 55,000 | – | 1.20% | – |
| ENT | New | GLOBAL EAGLE ACQUISITION COR | $561,000 | – | 49,995 | – | 0.73% | – |
| NVG | New | NUVEEN DIVID ADVANTAGE MUN I | $394,000 | – | 27,901 | – | 0.52% | – |
| BH | New | BIGLARI HLDGS INC | $350,000 | – | 1,030 | – | 0.46% | – |
| CACGW | New | CHART ACQUISITION CORP*w exp 12/19/201 | $171,000 | – | 310,000 | – | 0.22% | – |
| ROIQW | New | ROI ACQUISITION CORP II*w exp 99/99/999 | $107,000 | – | 370,000 | – | 0.14% | – |
| GABRT | New | GABELLI EQUITY TR INCright 10/20/2014 | $26,000 | – | 451,200 | – | 0.03% | – |
| GGTRT | Exit | GABELLI MULTIMEDIA TR INCright 07/18/2014 | $0 | – | -103,300 | – | -0.01% | – |
| VGGL | Exit | VIGGLE INC | $0 | – | -32,300 | – | -0.05% | – |
| GCV | Exit | GABELLI CONV & INCOME SECS Fconv secs fd | $0 | – | -54,700 | – | -0.12% | – |
| GGT | Exit | GABELLI MULTIMEDIA TR INC | $0 | – | -93,300 | – | -0.31% | – |
| Exit | TESLA MTRS INCnote 1.250% 3/0 | $0 | – | -1,000,000 | – | -0.32% | – | |
| Exit | TESLA MTRS INCnote 0.250% 3/0 | $0 | – | -1,000,000 | – | -0.33% | – | |
| AQU | Exit | AQUASITION CORP | $0 | – | -125,000 | – | -0.43% | – |
| CACGU | Exit | CHART ACQUISITION CORPunit 99/99/9999 | $0 | – | -310,000 | – | -1.09% | – |
| VRNG | Exit | VRINGO INC | $0 | – | -973,576 | – | -1.11% | – |
| ROIQU | Exit | ROI ACQUISITION CORP IIunit 99/99/9999 | $0 | – | -370,000 | – | -1.26% | – |
| PM | Exit | PHILIP MORRIS INTL INCcall | $0 | – | -100,000 | – | -2.81% | – |
| GM | Exit | GENERAL MTRS COcall | $0 | – | -500,000 | – | -6.05% | – |
| J106OPTLDIV | Exit | CBS OUTDOOR AMERS INC | $0 | – | -591,600 | – | -6.44% | – |
| SPY | Exit | SPDR S&P 500 ETF TRcall | $0 | – | -250,000 | – | -16.30% | – |
| WY | Exit | WEYERHAEUSER CO | $0 | – | -4,400,400 | – | -48.52% | – |
Q2 2014
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| WY | New | WEYERHAEUSER CO | $145,609,000 | – | 4,400,400 | – | 48.52% | – |
| SPY | New | SPDR S&P 500 ETF TRcall | $48,930,000 | – | 250,000 | – | 16.30% | – |
| J106OPTLDIV | New | CBS OUTDOOR AMERS INC | $19,333,000 | – | 591,600 | – | 6.44% | – |
| GM | New | GENERAL MTRS COcall | $18,150,000 | – | 500,000 | – | 6.05% | – |
| New | MYLAN INCnote 3.750% 9/1 | $9,689,000 | – | 2,500,000 | – | 3.23% | – | |
| PM | New | PHILIP MORRIS INTL INCcall | $8,431,000 | – | 100,000 | – | 2.81% | – |
| CLAC | New | CAPITOL ACQUISITION CORP II | $5,332,000 | – | 543,000 | – | 1.78% | – |
| PRKR | New | PARKERVISION INC | $4,337,000 | – | 2,930,349 | – | 1.44% | – |
| ROIQU | New | ROI ACQUISITION CORP IIunit 99/99/9999 | $3,785,000 | – | 370,000 | – | 1.26% | – |
| 4100PS | New | SILVER EAGLE ACQUISITION COR | $3,691,000 | – | 378,125 | – | 1.23% | – |
| VRNG | New | VRINGO INC | $3,330,000 | – | 973,576 | – | 1.11% | – |
| CACGU | New | CHART ACQUISITION CORPunit 99/99/9999 | $3,258,000 | – | 310,000 | – | 1.09% | – |
| DSKX | New | DS HEALTHCARE GROUP INC | $2,632,000 | – | 1,512,500 | – | 0.88% | – |
| New | SILVER EAGLE ACQUISITION CORunit 99/99/9999 | $2,510,000 | – | 240,000 | – | 0.84% | – | |
| ROIQ | New | ROI ACQUISITION CORP II | $2,443,000 | – | 250,000 | – | 0.81% | – |
| ZIONW | New | ZIONS BANCORPORATION*w exp 05/22/202 | $2,415,000 | – | 459,064 | – | 0.80% | – |
| LPCN | New | LIPOCINE INC NEW | $2,033,000 | – | 333,333 | – | 0.68% | – |
| GDEF | New | GLOBAL DEFENSE & NATL SEC SY | $1,995,000 | – | 195,000 | – | 0.66% | – |
| MNDL | New | MANDALAY DIGITAL GROUP INC | $1,639,000 | – | 415,000 | – | 0.55% | – |
| WLRHU | New | WL ROSS HLDG CORPunit 99/99/9999 | $1,548,000 | – | 150,000 | – | 0.52% | – |
| RXDX | New | IGNYTA INC | $1,515,000 | – | 166,666 | – | 0.50% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $1,468,000 | – | 7,500 | – | 0.49% | – |
| AQU | New | AQUASITION CORP | $1,278,000 | – | 125,000 | – | 0.43% | – |
| HCAC | New | HENNESSY CAP ACQUISITION COR | $1,255,000 | – | 129,000 | – | 0.42% | – |
| New | TESLA MTRS INCnote 0.250% 3/0 | $977,000 | – | 1,000,000 | – | 0.33% | – | |
| New | TESLA MTRS INCnote 1.250% 3/0 | $972,000 | – | 1,000,000 | – | 0.32% | – | |
| GGT | New | GABELLI MULTIMEDIA TR INC | $923,000 | – | 93,300 | – | 0.31% | – |
| GCV | New | GABELLI CONV & INCOME SECS Fconv secs fd | $344,000 | – | 54,700 | – | 0.12% | – |
| VGGL | New | VIGGLE INC | $140,000 | – | 32,300 | – | 0.05% | – |
| CLACW | New | CAPITOL ACQUISITION CORP II*w exp 05/15/201 | $72,000 | – | 146,500 | – | 0.02% | – |
| HCACW | New | HENNESSY CAP ACQUISITION COR*w exp 01/23/201 | $58,000 | – | 129,000 | – | 0.02% | – |
| GGTRT | New | GABELLI MULTIMEDIA TR INCright 07/18/2014 | $16,000 | – | 103,300 | – | 0.01% | – |
Q4 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| ARRWS | Exit | ARMOUR RESIDENTIAL REIT INC*w exp 11/07/201 | $0 | – | -681,975 | – | -0.00% | – |
| PLCM | Exit | POLYCOM INC | $0 | – | -10,000 | – | -0.06% | – |
| SBLK | Exit | STAR BULK CARRIERS CORP | $0 | – | -11,541 | – | -0.06% | – |
| DNIF | Exit | DIVIDEND & INCOME FUND | $0 | – | -14,300 | – | -0.11% | – |
| XLE | Exit | SELECT SECTOR SPDR TRsbi int-energy | $0 | – | -2,514 | – | -0.11% | – |
| VGT | Exit | VANGUARD WORLD FDSinf tech etf | $0 | – | -2,678 | – | -0.11% | – |
| XLY | Exit | SELECT SECTOR SPDR TRsbi cons discr | $0 | – | -3,592 | – | -0.11% | – |
| CACH | Exit | CACHE INC | $0 | – | -63,675 | – | -0.20% | – |
| SIX | Exit | SIX FLAGS ENTMT CORP NEW | $0 | – | -15,000 | – | -0.26% | – |
| HD | Exit | HOME DEPOT INC | $0 | – | -7,716 | – | -0.30% | – |
| XLU | Exit | SELECT SECTOR SPDR TRsbi int-utils | $0 | – | -19,868 | – | -0.38% | – |
| MNDL | Exit | MANDALAY DIGITAL GROUP INC | $0 | – | -379,300 | – | -0.52% | – |
| QPACU | Exit | QUINPARIO ACQUISITION CORPunit 99/99/9999 | $0 | – | -100,000 | – | -0.52% | – |
| LFVN | Exit | LIFEVANTAGE CORP | $0 | – | -445,300 | – | -0.55% | – |
| CACGU | Exit | CHART ACQUISITION CORPunit 99/99/9999 | $0 | – | -150,000 | – | -0.79% | – |
| ZIONW | Exit | ZIONS BANCORPORATION*w exp 05/22/202 | $0 | – | -563,766 | – | -1.43% | – |
| Exit | AUTODESK INCcall | $0 | – | -100,000 | – | -2.12% | – | |
| Exit | TESLA MTRS INCnote 1.500% 6/0 | $0 | – | -2,500,000 | – | -2.18% | – | |
| Exit | ALCOA INCnote 5.250% 3/1 | $0 | – | -5,000,000 | – | -3.33% | – | |
| Exit | MYLAN INCnote 3.750% 9/1 | $0 | – | -2,500,000 | – | -3.74% | – | |
| GMWSB | Exit | GENERAL MTRS CO*w exp 07/10/201 | $0 | – | -416,100 | – | -4.03% | – |
| Exit | MICROSOFT CORPcall | $0 | – | -250,000 | – | -4.29% | – | |
| Exit | MERCK & CO INC NEWcall | $0 | – | -200,000 | – | -4.92% | – | |
| PRKR | Exit | PARKERVISION INC | $0 | – | -4,966,632 | – | -8.59% | – |
| GMWSA | Exit | GENERAL MTRS CO*w exp 07/10/201 | $0 | – | -4,489,367 | – | -61.28% | – |
Q3 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| PRKR | Sell | PARKERVISION INC | $16,638,000 | -27.1% | 4,966,632 | -1.0% | 8.59% | -41.3% |
| New | MERCK & CO INC NEWcall | $9,522,000 | – | 200,000 | – | 4.92% | – | |
| New | MICROSOFT CORPcall | $8,320,000 | – | 250,000 | – | 4.29% | – | |
| New | MYLAN INCnote 3.750% 9/1 | $7,250,000 | – | 2,500,000 | – | 3.74% | – | |
| New | ALCOA INCnote 5.250% 3/1 | $6,455,000 | – | 5,000,000 | – | 3.33% | – | |
| New | TESLA MTRS INCnote 1.500% 6/0 | $4,229,000 | – | 2,500,000 | – | 2.18% | – | |
| New | AUTODESK INCcall | $4,117,000 | – | 100,000 | – | 2.12% | – | |
| CACGU | New | CHART ACQUISITION CORPunit 99/99/9999 | $1,536,000 | – | 150,000 | – | 0.79% | – |
| LFVN | New | LIFEVANTAGE CORP | $1,060,000 | – | 445,300 | – | 0.55% | – |
| QPACU | New | QUINPARIO ACQUISITION CORPunit 99/99/9999 | $1,017,000 | – | 100,000 | – | 0.52% | – |
| MNDL | New | MANDALAY DIGITAL GROUP INC | $1,013,000 | – | 379,300 | – | 0.52% | – |
| XLU | Sell | SELECT SECTOR SPDR TRsbi int-utils | $742,000 | -38.7% | 19,868 | -38.3% | 0.38% | -50.6% |
| XLY | New | SELECT SECTOR SPDR TRsbi cons discr | $218,000 | – | 3,592 | – | 0.11% | – |
| VGT | Sell | VANGUARD WORLD FDSinf tech etf | $216,000 | -54.3% | 2,678 | -58.1% | 0.11% | -63.4% |
| XLE | Sell | SELECT SECTOR SPDR TRsbi int-energy | $208,000 | -47.2% | 2,514 | -50.0% | 0.11% | -57.7% |
| DNIF | New | DIVIDEND & INCOME FUND | $205,000 | – | 14,300 | – | 0.11% | – |
| SBLK | Sell | STAR BULK CARRIERS CORP | $117,000 | -23.0% | 11,541 | -58.5% | 0.06% | -38.1% |
| PLCM | New | POLYCOM INC | $109,000 | – | 10,000 | – | 0.06% | – |
| BTG | Exit | B2GOLD CORP | $0 | – | -31,960 | – | -0.04% | – |
| CTIC | Exit | CELL THERAPEUTICS INC | $0 | – | -95,967 | – | -0.06% | – |
| TLH | Exit | ISHARES TRbarclys 10-20yr | $0 | – | -1,633 | – | -0.13% | – |
| IEF | Exit | ISHARES TRbarclys 7-10 yr | $0 | – | -2,031 | – | -0.13% | – |
| KXI | Exit | ISHARES TRs&p gl c stapl | $0 | – | -2,621 | – | -0.13% | – |
| IXJ | Exit | ISHARES TRs&p gbl hlthcr | $0 | – | -2,930 | – | -0.14% | – |
| APF | Exit | MORGAN STANLEY ASIA PAC FD I | $0 | – | -13,981 | – | -0.14% | – |
| XLI | Exit | SELECT SECTOR SPDR TRsbi int-inds | $0 | – | -5,634 | – | -0.15% | – |
| FFNTQ | Exit | FRIENDFINDER NETWORKS INC | $0 | – | -1,048,180 | – | -0.18% | – |
| DBV | Exit | POWERSHARES DB G10 CURCY HAR | $0 | – | -13,330 | – | -0.22% | – |
| NNN | Exit | NATIONAL RETAIL PPTYS INC | $0 | – | -10,000 | – | -0.22% | – |
| FXC | Exit | CURRENCYSHARES CDN DLR TR | $0 | – | -3,720 | – | -0.23% | – |
| MW | Exit | MENS WEARHOUSE INC | $0 | – | -10,000 | – | -0.24% | – |
| TYC | Exit | TYCO INTERNATIONAL LTD | $0 | – | -11,962 | – | -0.25% | – |
| XLF | Exit | SELECT SECTOR SPDR TRsbi int-finl | $0 | – | -25,509 | – | -0.32% | – |
| TTF | Exit | THAI FD INC | $0 | – | -25,000 | – | -0.35% | – |
| XLK | Exit | SELECT SECTOR SPDR TRtechnology | $0 | – | -17,669 | – | -0.35% | – |
| VIG | Exit | VANGUARD SPECIALIZED PORTFOLdiv app etf | $0 | – | -22,242 | – | -0.94% | – |
| SPY | Exit | SPDR S&P 500 ETF TRtr unit | $0 | – | -12,750 | – | -1.31% | – |
| ZTS | Exit | ZOETIS INCcl a | $0 | – | -95,916 | – | -1.90% | – |
Q2 2013
| Value | Shares | ↓ Weighting | ||||||
|---|---|---|---|---|---|---|---|---|
| GMWSA | New | GENERAL MTRS CO*w exp 07/10/201 | $107,700,000 | – | 4,489,367 | – | 69.06% | – |
| PRKR | New | PARKERVISION INC | $22,826,000 | – | 5,016,632 | – | 14.64% | – |
| GMWSB | New | GENERAL MTRS CO*w exp 07/10/201 | $6,880,000 | – | 416,100 | – | 4.41% | – |
| ZIONW | New | ZIONS BANCORPORATION*w exp 05/22/202 | $3,298,000 | – | 563,766 | – | 2.12% | – |
| ZTS | New | ZOETIS INCcl a | $2,964,000 | – | 95,916 | – | 1.90% | – |
| SPY | New | SPDR S&P 500 ETF TRtr unit | $2,040,000 | – | 12,750 | – | 1.31% | – |
| VIG | New | VANGUARD SPECIALIZED PORTFOLdiv app etf | $1,473,000 | – | 22,242 | – | 0.94% | – |
| XLU | New | SELECT SECTOR SPDR TRsbi int-utils | $1,211,000 | – | 32,177 | – | 0.78% | – |
| HD | New | HOME DEPOT INC | $598,000 | – | 7,716 | – | 0.38% | – |
| XLK | New | SELECT SECTOR SPDR TRtechnology | $541,000 | – | 17,669 | – | 0.35% | – |
| TTF | New | THAI FD INC | $540,000 | – | 25,000 | – | 0.35% | – |
| SIX | New | SIX FLAGS ENTMT CORP NEW | $527,000 | – | 15,000 | – | 0.34% | – |
| XLF | New | SELECT SECTOR SPDR TRsbi int-finl | $498,000 | – | 25,509 | – | 0.32% | – |
| VGT | New | VANGUARD WORLD FDSinf tech etf | $473,000 | – | 6,384 | – | 0.30% | – |
| TYC | New | TYCO INTERNATIONAL LTD | $394,000 | – | 11,962 | – | 0.25% | – |
| XLE | New | SELECT SECTOR SPDR TRsbi int-energy | $394,000 | – | 5,029 | – | 0.25% | – |
| MW | New | MENS WEARHOUSE INC | $379,000 | – | 10,000 | – | 0.24% | – |
| FXC | New | CURRENCYSHARES CDN DLR TR | $352,000 | – | 3,720 | – | 0.23% | – |
| NNN | New | NATIONAL RETAIL PPTYS INC | $344,000 | – | 10,000 | – | 0.22% | – |
| DBV | New | POWERSHARES DB G10 CURCY HAR | $339,000 | – | 13,330 | – | 0.22% | – |
| CACH | New | CACHE INC | $283,000 | – | 63,675 | – | 0.18% | – |
| FFNTQ | New | FRIENDFINDER NETWORKS INC | $283,000 | – | 1,048,180 | – | 0.18% | – |
| XLI | New | SELECT SECTOR SPDR TRsbi int-inds | $239,000 | – | 5,634 | – | 0.15% | – |
| APF | New | MORGAN STANLEY ASIA PAC FD I | $219,000 | – | 13,981 | – | 0.14% | – |
| IXJ | New | ISHARES TRs&p gbl hlthcr | $217,000 | – | 2,930 | – | 0.14% | – |
| KXI | New | ISHARES TRs&p gl c stapl | $209,000 | – | 2,621 | – | 0.13% | – |
| IEF | New | ISHARES TRbarclys 7-10 yr | $208,000 | – | 2,031 | – | 0.13% | – |
| TLH | New | ISHARES TRbarclys 10-20yr | $207,000 | – | 1,633 | – | 0.13% | – |
| SBLK | New | STAR BULK CARRIERS CORP | $152,000 | – | 27,811 | – | 0.10% | – |
| CTIC | New | CELL THERAPEUTICS INC | $100,000 | – | 95,967 | – | 0.06% | – |
| BTG | New | B2GOLD CORP | $68,000 | – | 31,960 | – | 0.04% | – |
| ARRWS | New | ARMOUR RESIDENTIAL REIT INC*w exp 11/07/201 | $7,000 | – | 681,975 | – | 0.00% | – |