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 |
AR CAP ACQUISITION CORP CMN | COM | 00191R109 | 980 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
ABBVIE INC. CMN | COM | 00287Y109 | 6,719 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
ADVANCE AUTO PARTS, INC. CMN | COM | 00751Y106 | 159 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
AGNICO EAGLE MINES LTD CMN | COM | 008474108 | 2,584 | 91,080 | SH | SOLE | 91,080 | 0 | 0 | ||
ALPHA PRO TECH LTD CMN | COM | 020772109 | 8 | 3,600 | SH | SOLE | 3,600 | 0 | 0 | ||
AMERCO CMN | COM | 023586100 | 327 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
AMERICAN CAPITAL AGENCY CORP. CMN | COM | 02503X105 | 184 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
WTS/AMERICAN INTERNATIONAL GRO 45.0000 EXP01/19/2021 | WTS | 026874156 | 554 | 20,000 | SH | Call | SOLE | 20,000 | 0 | 0 | |
AMERICAN SHARED HOSP SVCS CMN | COM | 029595105 | 6 | 2,558 | SH | SOLE | 2,558 | 0 | 0 | ||
APPLE, INC. CMN | COM | 037833100 | 2,509 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
ARES COMMERCIAL REAL ESTATE CO CMN | COM | 04013V108 | 791 | 69,472 | SH | SOLE | 69,472 | 0 | 0 | ||
ARROW ELECTRONICS INC. CMN | COM | 042735100 | 414 | 7,426 | SH | SOLE | 7,426 | 0 | 0 | ||
AXCELIS TECHNOLOGIES, INC. CMN | COM | 054540109 | 296 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
BANK OF AMERICA CORP CMN | COM | 060505104 | 2,553 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
WTS/BANK OF AMERICA CORP 13.3000 EXP01/16/2019 | WTS | 060505146 | 2,468 | 400,000 | SH | Call | SOLE | 400,000 | 0 | 0 | |
BERKSHIRE HATHAWAY INC CL-A (DEL) CLASS A | COM | 084670108 | 7,579 | 37 | SH | SOLE | 37 | 0 | 0 | ||
BLACKSTONE MORTGAGE TRUST INC CMN | COM | 09257W100 | 6,840 | 245,882 | SH | SOLE | 245,882 | 0 | 0 | ||
BOULDER GROWTH & INCOME FD INC MUTUAL FUND | COM | 101507101 | 598 | 70,906 | SH | SOLE | 70,906 | 0 | 0 | ||
BOULEVARD ACQUISITION CORP CMN | COM | 10157P104 | 2,500 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
WTS/BOULEVARD ACQUISITION CORP EXP03/31/19 | WTS | 10157P112 | 1,434 | 392,980 | SH | Call | SOLE | 392,980 | 0 | 0 | |
BROOKDALE SENIOR LIVING, INC. CMN | COM | 112463104 | 1,735 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CBL & ASSOC PROPERTIES, INC. CMN | COM | 124830100 | 810 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
CIGNA CORPORATION CMN | COM | 125509109 | 5,228 | 32,274 | SH | SOLE | 32,274 | 0 | 0 | ||
CU BANCORP CMN | COM | 126534106 | 164 | 7,397 | SH | SOLE | 7,397 | 0 | 0 | ||
CVS HEALTH CORP CMN | COM | 126650100 | 1,049 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
CAPITOL ACQUISITION CORP. II CMN | COM | 14056V105 | 1,055 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
WTS/CAPITOL ACQUISITION CORP. EXP12/31/2016 | WTS | 14056V113 | 235 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
CAPSTEAD MORTGAGE CORPORATION CMN | COM | 14067E506 | 111 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
CASH AMER INTL INC CMN | COM | 14754D100 | 262 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
CENTRAL SECURITIES CORP. MUTUAL FUND | COM | 155123102 | 126 | 5,900 | SH | SOLE | 5,900 | 0 | 0 | ||
CITY OFFICE REIT, INC. CMN | COM | 178587101 | 231 | 18,600 | SH | SOLE | 18,600 | 0 | 0 | ||
CIVEO CORP CMN | COM | 178787107 | 3 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
CONTINENTAL MATERIALS CORP CMN | COM | 211615307 | 74 | 4,771 | SH | SOLE | 4,771 | 0 | 0 | ||
VELOCITYSHARES DAILY INVERSE VIX SHORT TERM ETN | ETF | 22542D795 | 2,640 | 65,000 | SH | SOLE | 65,000 | 0 | 0 | ||
DIGIRAD CORPORATION CMN | COM | 253827109 | 130 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
DIXIE GROUP INC CMN CLASS A | COM | 255519100 | 11 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
DOVER DOWNS GAMING & ENTMT INC CMN | COM | 260095104 | 15 | 16,157 | SH | SOLE | 16,157 | 0 | 0 | ||
ELLINGTON RESIDENTIAL MORT REIT CMN | COM | 288578107 | 1,231 | 86,225 | SH | SOLE | 86,225 | 0 | 0 | ||
ENOVA INTERNATIONAL, INC. CMN | COM | 29357K103 | 171 | 9,150 | SH | SOLE | 9,150 | 0 | 0 | ||
ENVIROSTAR INC CMN | COM | 29414M100 | 109 | 24,486 | SH | SOLE | 24,486 | 0 | 0 | ||
E Z CORP INC CL-A NON VTG CMN CLASS A | COM | 302301106 | 2,629 | 353,796 | SH | SOLE | 353,796 | 0 | 0 | ||
FEDERATED NATL HLDG CO CMN | COM | 31422T101 | 1,208 | 49,900 | SH | SOLE | 49,900 | 0 | 0 | ||
FIRST CMNTY CORP S C CMN | COM | 319835104 | 228 | 19,301 | SH | SOLE | 19,301 | 0 | 0 | ||
FORTRESS INVESTMENT GROUP LLC CMN CLASS A | COM | 34958B106 | 2,007 | 274,982 | SH | SOLE | 274,982 | 0 | 0 | ||
GENERAL ELECTRIC CO CMN | COM | 369604103 | 2,657 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
GENVEC INC CMN | COM | 37246C307 | 24 | 11,800 | SH | SOLE | 11,800 | 0 | 0 | ||
GIBRALTAR INDUSTRIES INC CMN | COM | 374689107 | 779 | 38,233 | SH | SOLE | 38,233 | 0 | 0 | ||
GOLUB CAPITAL BDC LLC CMN | COM | 38173M102 | 1,334 | 80,527 | SH | SOLE | 80,527 | 0 | 0 | ||
GREAT AJAX CORP CMN | COM | 38983D300 | 355 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
GROUP 1 AUTOMOTIVE, INC. CMN | COM | 398905109 | 908 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
GUARANTY FEDERAL BANCSHARES INC | COM | 40108P101 | 74 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
HARVARD BIOSCIENCE INC CMN | COM | 416906105 | 35 | 6,200 | SH | SOLE | 6,200 | 0 | 0 | ||
HERCULES TECHNOLOGY GROWTH CAPITAL, INC. | COM | 427096508 | 12 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
HISTOGENICS CORP CMN | COM | 43358V109 | 6 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
HUDSON GLOBAL, INC. CMN | COM | 443787106 | 11 | 4,845 | SH | SOLE | 4,845 | 0 | 0 | ||
HUMANA INC. CMN | COM | 444859102 | 3,826 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
ISTAR FINANCIAL INC. CMN | COM | 45031U101 | 266 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
IMPERIAL HOLDINGS, INC. CMN | COM | 452834104 | 551 | 95,125 | SH | SOLE | 95,125 | 0 | 0 | ||
INSPERITY INC CMN | COM | 45778Q107 | 51 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
IRIDEX CORP CMN | COM | 462684101 | 124 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
ISHARES MSCI JAPAN ETF ge. | ETF | 464286848 | 2,562 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
JPMORGAN CHASE & CO CMN | COM | 46625H100 | 3,388 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
JMP GROUP LLC. CMN | COM | 46629U107 | 78 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
JAKKS PACIFIC INC CMN | COM | 47012E106 | 98 | 9,900 | SH | SOLE | 9,900 | 0 | 0 | ||
KEMET CORPORATION CMN | COM | 488360207 | 1 | 100 | SH | SOLE | 100 | 0 | 0 | ||
LANDMARK BANCORP INC CMN | COM | 51504L107 | 5 | 200 | SH | SOLE | 200 | 0 | 0 | ||
LEUCADIA NATIONAL CORP CMN | COM | 527288104 | 495 | 20,400 | SH | SOLE | 20,400 | 0 | 0 | ||
LEVY ACQUISITION CORPORATION CMN | COM | 52748T104 | 2 | 100 | SH | SOLE | 100 | 0 | 0 | ||
WTS/LEVY ACQUISITION CORPORATI EXP12/31/2018 | WTS | 52748T112 | 580 | 100,000 | SH | Call | SOLE | 100,000 | 0 | 0 | |
LORAL SPACE &COMMUNICATION INC*. CMN | COM | 543881106 | 631 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
LUBYS INC CMN STOCK CMN | COM | 549282101 | 4 | 900 | SH | SOLE | 900 | 0 | 0 | ||
MAGNETEK, INC. CMN | COM | 559424403 | 1,834 | 53,300 | SH | SOLE | 53,300 | 0 | 0 | ||
MAIN STREET CAPITAL CORP CMN | COM | 56035L104 | 715 | 22,400 | SH | SOLE | 22,400 | 0 | 0 | ||
MODUSLINK GLOBAL SOLUTIONS, IN*C CMN | COM | 60786L206 | 680 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
NCR CORPORATION CMN | COM | 62886E108 | 3,748 | 124,527 | SH | SOLE | 124,527 | 0 | 0 | ||
NEW MOUNTAIN FINANCE CORP MUTUAL FUND | COM | 647551100 | 14 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
NEW YORK REIT INC CONV CMN | COM | 64976L109 | 100 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
PACIFIC PREMIER BANCORP CMN | COM | 69478X105 | 1,380 | 81,391 | SH | SOLE | 81,391 | 0 | 0 | ||
PEAK RESORTS, INC. CMN | COM | 70469L100 | 716 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
PENNANTPARK INVESTMENT CORP MUTUAL FUND | COM | 708062104 | 12 | 1,405 | SH | SOLE | 1,405 | 0 | 0 | ||
PENNANTPARK FLOATING RATE CAP LTD | COM | 70806A106 | 87 | 6,245 | SH | SOLE | 6,245 | 0 | 0 | ||
PEPSICO INC CMN | COM | 713448108 | 93 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
QCR HOLDINGS INC CMN | COM | 74727A104 | 22 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
QC HOLDINGS, INC. CMN | COM | 74729T101 | 5 | 2,749 | SH | SOLE | 2,749 | 0 | 0 | ||
RADIANT LOGISTICS INC CMN | COM | 75025X100 | 61 | 8,410 | SH | SOLE | 8,410 | 0 | 0 | ||
SPDR S&P 500 ETF TRUST | ETF | 78462F103 | 313,607 | 1,523,471 | SH | SOLE | 1,523,471 | 0 | 0 | ||
SAFEGUARD SCIENTIFICS INC CMN | COM | 786449207 | 54 | 2,800 | SH | SOLE | 2,800 | 0 | 0 | ||
SIGMA DESIGNS INC CMN | COM | 826565103 | 2,386 | 200,000 | SH | SOLE | 200,000 | 0 | 0 | ||
TCP CAP CORP MUTUAL FUND | COM | 87238Q103 | 15 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
THL CREDIT INC MUTUAL FUND | COM | 872438106 | 254 | 21,964 | SH | SOLE | 21,964 | 0 | 0 | ||
TRI POINTE HOMES INC CMN | COM | 87265H109 | 459 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
TOLL BROTHERS, INC. CMN | COM | 889478103 | 925 | 24,231 | SH | SOLE | 24,231 | 0 | 0 | ||
TRIANGLE CAPITAL CORPORATION MUTUAL FUND | COM | 895848109 | 23 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
U.S. GLOBAL INVESTORS INC A CMN | COM | 902952100 | 3 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
VANGUARD SPECIALIZED PORTFOLIO VANGUARD DIVIDEND APPRECIATION MUTUAL FUND CL ETF SER VIPERS | ETF | 921908844 | 29,920 | 380,756 | SH | SOLE | 380,756 | 0 | 0 | ||
VANGUARD FTSE DEVELOPED MKTS CMN ETF | ETF | 921943858 | 15,860 | 400,000 | SH | SOLE | 400,000 | 0 | 0 | ||
VANGUARD INDEX FUNDS (VANGUARD HIGH DIVIDEND YIELD ETF | ETF | 921946406 | 1,340 | 19,900 | SH | SOLE | 19,900 | 0 | 0 | ||
VANGUARD FTSE ALL-WORLD EX-US INDEX FUND ETF | ETF | 922042775 | 26 | 542 | SH | SOLE | 542 | 0 | 0 | ||
VANGUARD S&P 500 ETF | ETF | 922908363 | 286,247 | 1,515,818 | SH | SOLE | 1,515,818 | 0 | 0 | ||
VIRTU FINANCIAL, INC. CMN CLASS A | COM | 928254101 | 1,472 | 62,700 | SH | SOLE | 62,700 | 0 | 0 | ||
VOLT INFO SCIENCES, INC. CMN | COM | 928703107 | 11 | 1,102 | SH | SOLE | 1,102 | 0 | 0 | ||
WL ROSS HOLDING CORP. CMN | COM | 92939D104 | 1,041 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
THE WILLIAMS COMPANIES, INC. CMN | COM | 969457100 | 1,148 | 20,000 | SH | SOLE | 20,000 | 0 | 0 | ||
WILLIS LEASE FINANCE CORP CMN | COM | 970646105 | 18 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
YAMANA GOLD INC CMN | COM | 98462Y100 | 469 | 156,352 | SH | SOLE | 156,352 | 0 | 0 | ||
ELECTRUM SPL ACQUISITION CORP UNIT | OTHER | G3105C120 | 501 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
ESSENT GROUP LTD. CMN | COM | G3198U102 | 821 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
GREENLIGHT CAPITAL RE LTD-A CMN | COM | G4095J109 | 575 | 19,696 | SH | SOLE | 19,696 | 0 | 0 | ||
NORD ANGLIA EDUCATION, INC. CMN | COM | G6583A102 | 245 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
SODASTREAM INTERNATIONAL LTD. CMN | COM | M9068E105 | 44 | 2,100 | SH | SOLE | 2,100 | 0 | 0 |