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 |
AAR Corp | CONV | 000361AM7 | 1,397 | 1,351,000 | PRN | SOLE | 1,351,000 | 0 | 0 | ||
ACORDA THERAPEUTICS INC | CONV | 00484MAA4 | 1,725 | 1,500,000 | PRN | SOLE | 1,000,000 | 0 | 0 | ||
AFFYMETRIX INC | CONV | 00826TAH1 | 5,602 | 3,145,000 | PRN | SOLE | 3,145,000 | 0 | 0 | ||
AK STEEL HOLDING CORP | CONV | 001546AP5 | 2,877 | 2,150,000 | PRN | SOLE | 2,150,000 | 0 | 0 | ||
AK Steel Holding Corp | CONV | 001546AP5 | 1,137 | 850,000 | PRN | OTR | 1 | 0 | 850,000 | 0 | |
ANI PHARMACEUTICALS INC | CONV | 00182CAA1 | 3,675 | 3,500,000 | PRN | SOLE | 3,500,000 | 0 | 0 | ||
BLUCORA INC | CONV | 095229AB6 | 3,881 | 4,100,000 | PRN | SOLE | 4,100,000 | 0 | 0 | ||
CB PHARMA ACQUISITION-UNIT | UNIT | G2029P100 | 150 | 14,900 | SH | SOLE | 14,900 | 0 | 0 | ||
CBIZ INC | CONV | 124805AC6 | 3,331 | 2,750,000 | PRN | SOLE | 2,750,000 | 0 | 0 | ||
COBALT INTERNATIONAL ENERGY | CONV | 19075FAA4 | 806 | 1,300,000 | PRN | SOLE | 1,300,000 | 0 | 0 | ||
COBALT INTERNATIONAL ENERGY | CONV | 19075FAB2 | 1,688 | 2,500,000 | PRN | SOLE | 2,500,000 | 0 | 0 | ||
DENDREON CORP | CONV | 24823QAC1 | 844 | 1,350,000 | PRN | SOLE | 1,350,000 | 0 | 0 | ||
ENCORE CAPITAL GROUP INC | CONV | 292554AD4 | 295 | 200,000 | PRN | SOLE | 200,000 | 0 | 0 | ||
ENCORE CAPITAL GROUP INC | CONV | 292554AF9 | 1,703 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
Fibrocell Science Inc | COM | 315721209 | 26 | 10,100 | SH | SOLE | 10,100 | 0 | 0 | ||
FIBROCELL WARRANTS 2.5 Strike | WTS | 00FCSCWTS | 537 | 456,670 | SH | SOLE | 456,670 | 0 | 0 | ||
FIBROCELL WARRANTS 6.25 Strike | WTS | 00FCSCWS2 | 8 | 32,000 | SH | SOLE | 32,000 | 0 | 0 | ||
FIBROCELL WARRANTS 18.75 Strike | WTS | 00FIBROWS | 0 | 15,274 | SH | SOLE | 15,274 | 0 | 0 | ||
FREDDIE MAC 7.875% | Preferred | 313400624 | 158 | 40,000 | SH | SOLE | 40,000 | 0 | 0 | ||
FRONTERA RESOURCES CORP | COM | G36813106 | 1 | 4,964 | SH | SOLE | 4,964 | 0 | 0 | ||
FRONTERA RESOURCES CORP | RSTD | G36813106 | 1 | 5,851 | SH | SOLE | 5,851 | 0 | 0 | ||
GALENA BIOPHARMA | WTS | 363256116 | 11 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | SHS | G5866L108 | 2,158 | 226,000 | SH | SOLE | 226,000 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | WTS | G5866L116 | 23,736 | 197,800 | SH | SOLE | 197,800 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | Right | G5866L132 | 63 | 211,600 | SH | SOLE | 211,600 | 0 | 0 | ||
GREEN PLAINS INC | CONV | 393222AD6 | 1,757 | 1,300,000 | PRN | SOLE | 1,300,000 | 0 | 0 | ||
HF2 FINANCIAL MANAGEMENT INC | COM | 40421A104 | 1,643 | 157,822 | SH | SOLE | 157,822 | 0 | 0 | ||
HORSEHEAD HOLDING CORP | CONV | 440694AB3 | 1,824 | 1,500,000 | PRN | SOLE | 1,500,000 | 0 | 0 | ||
JAKKS PACIFIC INC | CONV | 47012EAE6 | 2,477 | 2,574,000 | PRN | SOLE | 2,574,000 | 0 | 0 | ||
JAKKS PACIFIC INC | CONV | 47012EAG1 | 765 | 875,000 | PRN | SOLE | 875,000 | 0 | 0 | ||
KINDER MORGAN INC/DELAWARE-P | WTS | 0000KMIWS | 42 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
NEXPOINT CR STRATEGIES FD | COM | 65340G106 | 251 | 22,357 | SH | SOLE | 22,357 | 0 | 0 | ||
QUIDEL CORP | CONV | 74838JAA9 | 1,964 | 1,750,000 | PRN | SOLE | 1,750,000 | 0 | 0 | ||
SEQUENOM INC | CONV | 817337405 | 4,142 | 4,000,000 | PRN | SOLE | 4,000,000 | 0 | 0 | ||
SPDR DOW JONES INDL AVERAGE ETF TR UNIT | COM | 78467X109 | 1,245 | 7,000 | SH | SOLE | 7,000 | 0 | 0 | ||
TECHNOLOGY INVSTMT CAP CORP | CONV | 87244TAB5 | 2,323 | 2,220,000 | PRN | SOLE | 2,220,000 | 0 | 0 | ||
TESLA MOTORS INC | CONV | 88160RAB7 | 1,483 | 1,600,000 | PRN | SOLE | 1,600,000 | 0 | 0 | ||
TESLA MOTORS INC | CONV | 88160RAC5 | 1,533 | 1,700,000 | PRN | SOLE | 1,700,000 | 0 | 0 | ||
VECTOR GROUP LTD | CONV | 92240MBC1 | 3,186 | 3,000,000 | PRN | SOLE | 3,000,000 | 0 | 0 | ||
WTS GREEN HUNTER RESOURCES INC @$2.25 EX | WRNT | 000GHRWTS | 22 | 38,889 | SH | SOLE | 38,889 | 0 | 0 |