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 |
ANTERO MIDSTREAM | COM | 03676B102 | 1,735 | 225,000 | SH | SOLE | 225,000 | 0 | 0 | ||
APOLLO SENIOR FLOATING RATE | COM | 037636107 | 209 | 14,507 | SH | SOLE | 14,507 | 0 | 0 | ||
BLACKROCK FLOATING RATE INCOME STRATEGIES FUND | COM | 09255X100 | 464 | 38,276 | SH | SOLE | 38,276 | 0 | 0 | ||
BLACKROCK LIMITED DURATION INCOME TRUST | COM SHS | 09249W101 | 293 | 18,396 | SH | SOLE | 18,396 | 0 | 0 | ||
BLUEKNIGHT ENERGY PARTNERS | 09625U109 | 09625U109 | 5,233 | 2,629,666 | SH | SOLE | 2,629,666 | 0 | 0 | ||
BRAEMAR HOTELS & RESORTS | COM | 10482B101 | 764 | 165,787 | SH | SOLE | 165,787 | 0 | 0 | ||
BRAEMAR HOTELS & RESORTS | 5.5 CUM CV PFD B | 10482B200 | 5,212 | 321,898 | SH | SOLE | 321,898 | 0 | 0 | ||
CLEAR CHANNEL HOLDINGS, INC | COM | 18453H106 | 3,938 | 2,386,572 | SH | SOLE | 2,386,572 | 0 | 0 | ||
COLONY CAPITAL | CL A COM | 19626G108 | 1,004 | 208,716 | SH | SOLE | 208,716 | 0 | 0 | ||
CUMULUS MEDIA INC | COM CL A | 231082801 | 8,444 | 971,088 | SH | SOLE | 971,088 | 0 | 0 | ||
CURIOSITYSTREAM | W EXP 10/14/202 | 23130Q115 | 2,426 | 917,372 | SH | SOLE | 917,372 | 0 | 0 | ||
CURO GROUP | COM | 23131L107 | 1,211 | 84,537 | SH | SOLE | 84,537 | 0 | 0 | ||
DASEKE | W EXP 02/27/202 | 23753F115 | 102 | 560,116 | SH | SOLE | 560,116 | 0 | 0 | ||
EATON VANCE LIMITED DURATION INCOME FUND | COM | 27828H105 | 2,722 | 217,221 | SH | SOLE | 217,221 | 0 | 0 | ||
EATON VANCE SENIOR INCOME TRUST | SH BEN INT | 27826S103 | 231 | 36,329 | SH | SOLE | 36,329 | 0 | 0 | ||
EATON VANCE SHORT DURATION DIVERSIFIED INC FUND | COM | 27828V104 | 428 | 34,588 | SH | SOLE | 34,588 | 0 | 0 | ||
ENTERPRISE PRODUCTS PARTNERS, L.P. | COM | 293792107 | 288 | 14,710 | SH | SOLE | 14,710 | 0 | 0 | ||
EOS ENERGY ENTERPRISES | W EXP 05/06/202 | 29415C119 | 3,500 | 419,380 | SH | SOLE | 419,380 | 0 | 0 | ||
GDL FUND | COM SH BEN IT | 361570104 | 1,773 | 203,318 | SH | SOLE | 203,318 | 0 | 0 | ||
GENESIS ENERGY L.P. | UNIT LTD PARTN | 371927104 | 127 | 20,500 | SH | SOLE | 20,500 | 0 | 0 | ||
HOSTESS BRANDS | W EXP 11/04/202 | 44109J114 | 4,627 | 2,928,208 | SH | SOLE | 2,928,208 | 0 | 0 | ||
KAYNE ANDERSON MIDSTREAM/ENERGY FUND | COM | 48661E108 | 1,191 | 207,169 | SH | SOLE | 207,169 | 0 | 0 | ||
KAYNE ANDERSON MLP INVESTMENT COMPANY | COM | 486606106 | 2,490 | 433,088 | SH | SOLE | 433,088 | 0 | 0 | ||
LF CAPITAL ACQUISITION | W EXP 06/22/202 | 50200K116 | 269 | 137,050 | SH | SOLE | 137,050 | 0 | 0 | ||
NEW YORK COMMUNITY BANCORP TRUST | UNIT 11/01/2051 | 64944P307 | 1,574 | 34,230 | SH | SOLE | 34,230 | 0 | 0 | ||
NUVEEN CREDIT STRATEGIES INCOME FUND | COM SHS | 67073D102 | 1,843 | 291,105 | SH | SOLE | 291,105 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME FUND | COM | 67072T108 | 9 | 1,000 | SH | SOLE | 1,000 | 0 | 0 | ||
NUVEEN FLOATING RATE INCOME OPPORTUNITY FUND | COM SHS | 6706EN100 | 401 | 46,255 | SH | SOLE | 46,255 | 0 | 0 | ||
NUVEEN SHORT DURATION CREDIT OPPORTUNITIES FUND | COM | 67074X107 | 40 | 3,007 | SH | SOLE | 3,007 | 0 | 0 | ||
OCCIDENTAL PETROLEUM | W EXP 08/03/202 | 674599162 | 3,405 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
PIONEER FLOATING RATE TRUST | COM | 72369J102 | 66 | 6,511 | SH | SOLE | 6,511 | 0 | 0 | ||
REVANCE THERAPEUTICS | COM | 761330109 | 179 | 6,328 | SH | SOLE | 6,328 | 0 | 0 | ||
RLJ LODGING TRUST | CUM CONV PFD A | 74965L200 | 994 | 39,087 | SH | SOLE | 39,087 | 0 | 0 | ||
SALIENT MIDSTREAM & MLP FUND | SH BEN INT | 79471V105 | 623 | 145,850 | SH | SOLE | 145,850 | 0 | 0 | ||
SPARTACUS ACQUISITION CORP | W EXP 10/31/202 | 84677L117 | 9 | 7,500 | SH | SOLE | 7,500 | 0 | 0 | ||
URBAN ONE | CL D NON VTG | 91705J204 | 1,986 | 1,697,414 | SH | SOLE | 1,697,414 | 0 | 0 | ||
US ECOLOGY | W EXP 10/17/202 | 91734M111 | 2,243 | 325,473 | SH | SOLE | 325,473 | 0 | 0 | ||
USA COMPRESSION PARTNERS | COMUNIT LTDPAR | 90290N109 | 2,063 | 151,715 | SH | SOLE | 151,715 | 0 | 0 | ||
WILLSCOT MOBILE MINI HOLDINGS | COM CL A | 971378104 | 196 | 8,470 | SH | SOLE | 8,470 | 0 | 0 | ||
AIR TRANSPORT SERVICES GROUP | NOTE 1.12510/1 | 00922RAB1 | 27,122 | 23,021,000 | PRN | SOLE | 0 | 0 | 0 | ||
AKAMAI TECH | NOTE 0.125 5/0 | 00971TAJ0 | 26,087 | 21,030,000 | PRN | SOLE | 0 | 0 | 0 | ||
AKAMAI TECH | NOTE 0.375 9/0 | 00971TAL5 | 46,813 | 41,910,000 | PRN | SOLE | 0 | 0 | 0 | ||
ALTERYX | NOTE 1.000 8/0 | 02156BAF0 | 17,428 | 16,485,000 | PRN | SOLE | 0 | 0 | 0 | ||
ATLANTICUS HOLDINGS | NOTE 5.87511/3 | 20478NAD2 | 8,162 | 7,593,000 | PRN | SOLE | 0 | 0 | 0 | ||
ATLAS AIR WORLDWIDE HOLDINGS, INC | NOTE 1.875 6/0 | 049164BJ4 | 7,457 | 6,513,000 | PRN | SOLE | 0 | 0 | 0 | ||
ATLAS AIR WORLDWIDE HOLDINGS, INC | NOTE 2.250 6/0 | 049164BH8 | 21 | 20,000 | PRN | SOLE | 0 | 0 | 0 | ||
BAOZUN | NOTE 1.625 5/0 | 06684LAB9 | 4,214 | 4,300,000 | PRN | SOLE | 0 | 0 | 0 | ||
BIOMARIN PHARMACEUTICAL INC | NOTE 0.599 8/0 | 09061GAH4 | 1,608 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
BOOKING HOLDINGS | NOTE 0.900 9/1 | 741503AX4 | 6,710 | 5,735,000 | PRN | SOLE | 0 | 0 | 0 | ||
COLONY CAPITAL | NOTE 5.000 4/1 | 19624RAA4 | 1,843 | 1,853,000 | PRN | SOLE | 0 | 0 | 0 | ||
CONMED CORP | NOTE 2.625 2/0 | 207410AF8 | 18,956 | 13,564,000 | PRN | SOLE | 0 | 0 | 0 | ||
CORENERGY INFRASTRUCTURE TRUST | NOTE 5.875 8/1 | 21870UAC0 | 840 | 1,150,000 | PRN | SOLE | 0 | 0 | 0 | ||
COWEN INC | NOTE 3.00012/1 | 223622AE1 | 1,916 | 1,250,000 | PRN | SOLE | 0 | 0 | 0 | ||
CSG SYSTEMS INTERNATIONAL, INC | NOTE 4.250 3/1 | 126349AF6 | 6,773 | 6,367,000 | PRN | SOLE | 0 | 0 | 0 | ||
CYBERARK SOFTWARE | NOTE 11/1 | 23248VAB1 | 6,124 | 5,020,000 | PRN | SOLE | 0 | 0 | 0 | ||
DEXCOM | NOTE 0.75012/0 | 252131AH0 | 2,276 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
DISH NETWORK | NOTE 2.375 3/1 | 25470MAD1 | 942 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
EURONET WORLDWIDE INC | NOTE 0.750 3/1 | 298736AL3 | 2,972 | 2,630,000 | PRN | SOLE | 0 | 0 | 0 | ||
EXACT SCIENCES | NOTE 0.375 3/0 | 30063PAC9 | 1,306 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
FIRST MAJESTIC SILVER | NOTE 1.875 3/0 | 32076VAB9 | 4,061 | 2,730,000 | PRN | SOLE | 0 | 0 | 0 | ||
FLEXION THERAPEUTICS | NOTE 3.375 5/0 | 33938JAB2 | 16,460 | 18,443,000 | PRN | SOLE | 0 | 0 | 0 | ||
FORTIVE | NOTE 0.875 2/1 | 34959JAK4 | 3,447 | 3,345,000 | PRN | SOLE | 0 | 0 | 0 | ||
GREENBRIER COMPANIES | NOTE 2.875 2/0 | 393657AK7 | 5,987 | 5,855,000 | PRN | SOLE | 0 | 0 | 0 | ||
HARMONIC INC | DBCV 2.000 9/0 | 413160AD4 | 1,640 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
HELIX ENERGY SOLUTIONS GROUP | NOTE 4.250 5/0 | 42330PAH0 | 718 | 750,000 | PRN | SOLE | 0 | 0 | 0 | ||
HELIX ENERGY SOLUTIONS GROUP | NOTE 6.750 2/1 | 42330PAK3 | 14,792 | 14,104,000 | PRN | SOLE | 0 | 0 | 0 | ||
HOPE BANCORP | NOTE 2.000 5/1 | 43940TAB5 | 16,753 | 17,990,000 | PRN | SOLE | 0 | 0 | 0 | ||
ILLUMINA INC | NOTE 8/1 | 452327AK5 | 23,792 | 21,178,000 | PRN | SOLE | 0 | 0 | 0 | ||
ILLUMINA INC. | NOTE 0.500 6/1 | 452327AH2 | 1,216 | 832,000 | PRN | SOLE | 0 | 0 | 0 | ||
INSIGHT ENTERPRISES | NOTE 0.750 2/1 | 45765UAB9 | 4,716 | 3,720,000 | PRN | SOLE | 0 | 0 | 0 | ||
INSMED | NOTE 1.750 1/1 | 457669AA7 | 4,951 | 4,377,000 | PRN | SOLE | 0 | 0 | 0 | ||
INTERCEPT PHARMACEUTICALS | NOTE 3.250 7/0 | 45845PAA6 | 785 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
INTERDIGITAL, INC | NOTE 2.000 6/0 | 45867GAB7 | 39,716 | 37,756,000 | PRN | SOLE | 0 | 0 | 0 | ||
INVITATION HOMES | NOTE 3.500 1/1 | 19625XAB8 | 2,112 | 1,560,000 | PRN | SOLE | 0 | 0 | 0 | ||
ISTAR INC | NOTE 3.125 9/1 | 45031UCB5 | 3,536 | 3,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
JAZZ INVESTMENTS I | NOTE 0.599 8/0 | 472145AD3 | 1,689 | 1,570,000 | PRN | SOLE | 0 | 0 | 0 | ||
JOYY INC | NOTE 0.750 6/1 | 98426TAD8 | 1,678 | 1,660,000 | PRN | SOLE | 0 | 0 | 0 | ||
KAMAN CORPORATION | NOTE 3.250 5/0 | 483548AF0 | 74,151 | 64,128,000 | PRN | SOLE | 0 | 0 | 0 | ||
KBR | NOTE 2.50011/0 | 48242WAB2 | 20,651 | 15,090,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIBERTY INTERACTIVE LLC | DEB 3.750 2/1 | 530715AL5 | 978 | 1,266,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIBERTY LATIN AMERICA | NOTE 2.000 7/1 | 53069QAB5 | 760 | 800,000 | PRN | SOLE | 0 | 0 | 0 | ||
LIBERTY MEDIA | NOTE 1.37510/1 | 531229AB8 | 62,849 | 49,683,000 | PRN | SOLE | 0 | 0 | 0 | ||
LUMENTUM HOLDINGS | NOTE 0.50012/1 | 55024UAD1 | 4,285 | 3,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
MACQUARIE INFRASTRUCTURE | NOTE 2.00010/0 | 55608BAB1 | 1,026 | 1,025,885 | PRN | SOLE | 0 | 0 | 0 | ||
MESA LABORATORIES | NOTE 1.375 8/1 | 59064RAA7 | 3,395 | 2,835,000 | PRN | SOLE | 0 | 0 | 0 | ||
MFA FINANCIAL | NOTE 6.250 6/1 | 55272XAA0 | 516 | 518,000 | PRN | SOLE | 0 | 0 | 0 | ||
NABORS INDUSTRIES INC | NOTE 0.750 1/1 | 62957HAB1 | 663 | 1,250,000 | PRN | SOLE | 0 | 0 | 0 | ||
NATIONAL HEALTH INVESTORS, INC | NOTE 3.250 4/0 | 63633DAE4 | 8,723 | 8,110,000 | PRN | SOLE | 0 | 0 | 0 | ||
NEVRO CORP | NOTE 2.750 4/0 | 64157FAC7 | 2,427 | 1,320,000 | PRN | SOLE | 0 | 0 | 0 | ||
NRG ENERGY, INC | DBCV 2.750 6/0 | 629377CG5 | 3,261 | 2,860,000 | PRN | SOLE | 0 | 0 | 0 | ||
OIL STATES INTERNATIONAL INC. | NOTE 1.500 2/1 | 678026AH8 | 1,036 | 1,350,000 | PRN | SOLE | 0 | 0 | 0 | ||
OMEROS | NOTE 5.250 2/1 | 682143AG7 | 1,073 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
ON SEMICONDUCTOR CORP | NOTE 1.62510/1 | 682189AP0 | 28,232 | 16,677,000 | PRN | SOLE | 0 | 0 | 0 | ||
PALO ALTO NETWORKS | NOTE 0.750 7/0 | 697435AD7 | 35,161 | 24,870,000 | PRN | SOLE | 0 | 0 | 0 | ||
PDC ENERGY INC | NOTE 1.125 9/1 | 69327RAD3 | 980 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
PEBBLEBROOK HOTEL TRUST | NOTE 1.75012/1 | 70509VAA8 | 23,777 | 22,300,000 | PRN | SOLE | 0 | 0 | 0 | ||
PINDUODUO | NOTE 12/0 | 722304AC6 | 20,646 | 16,690,000 | PRN | SOLE | 0 | 0 | 0 | ||
PRETIUM RESOURCES | NOTE 2.250 3/1 | 74139CAB8 | 7,844 | 7,297,000 | PRN | SOLE | 0 | 0 | 0 | ||
PROSPECT CAPITAL CORPORATION | NOTE 6.375 3/0 | 74348TAT9 | 7,520 | 7,231,000 | PRN | SOLE | 0 | 0 | 0 | ||
PURE STORAGE INC | NOTE 0.125 4/1 | 74624MAB8 | 1,659 | 1,500,000 | PRN | SOLE | 0 | 0 | 0 | ||
READY CAPITAL | 7 CN SR NT 2023 | 75574U200 | 1,144 | 46,500 | PRN | SOLE | 0 | 0 | 0 | ||
SHIP FINANCE INTERNATIONAL | NOTE 4.875 5/0 | 824689AG8 | 1,058 | 1,225,000 | PRN | SOLE | 0 | 0 | 0 | ||
SHIP FINANCE INTERNATIONAL | NOTE 5.75010/1 | G81075AF3 | 985 | 1,000,000 | PRN | SOLE | 0 | 0 | 0 | ||
SHOPIFY | NOTE 0.12511/0 | 82509LAA5 | 2,103 | 1,780,000 | PRN | SOLE | 0 | 0 | 0 | ||
SILICON LABORATORIES | NOTE 1.375 3/0 | 826919AB8 | 2,988 | 2,160,000 | PRN | SOLE | 0 | 0 | 0 | ||
SIXTH STREET SPECIALTY LENDING | NOTE 4.500 8/0 | 87265KAD4 | 856 | 790,000 | PRN | SOLE | 0 | 0 | 0 | ||
SOUTHWEST AIRLINES | NOTE 1.250 5/0 | 844741BG2 | 75,384 | 51,580,000 | PRN | SOLE | 0 | 0 | 0 | ||
SPLUNK | NOTE 1.125 9/1 | 848637AD6 | 271 | 200,000 | PRN | SOLE | 0 | 0 | 0 | ||
SUPERNUS PHARMACEUTICALS | NOTE 0.625 4/0 | 868459AD0 | 479 | 500,000 | PRN | SOLE | 0 | 0 | 0 | ||
SURO CAPITAL CORP | NOTE 4.750 3/2 | 36191JAC5 | 2,084 | 1,487,000 | PRN | SOLE | 0 | 0 | 0 | ||
TEEKAY | NOTE 5.000 1/1 | 87900YAE3 | 4,699 | 5,221,000 | PRN | SOLE | 0 | 0 | 0 | ||
THERAVANCE BIOPHARMA | NOTE 3.25011/0 | 88339KAA0 | 3,584 | 3,773,000 | PRN | SOLE | 0 | 0 | 0 | ||
WORKDAY, INC | NOTE 0.25010/0 | 98138HAF8 | 5,541 | 3,309,000 | PRN | SOLE | 0 | 0 | 0 |