0001103646-18-000013.txt : 20181114 0001103646-18-000013.hdr.sgml : 20181114 20181114150114 ACCESSION NUMBER: 0001103646-18-000013 CONFORMED SUBMISSION TYPE: 13F-HR PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20180930 FILED AS OF DATE: 20181114 DATE AS OF CHANGE: 20181114 EFFECTIVENESS DATE: 20181114 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CSS LLC/IL CENTRAL INDEX KEY: 0001103646 IRS NUMBER: 364236880 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 13F-HR SEC ACT: 1934 Act SEC FILE NUMBER: 028-15940 FILM NUMBER: 181182964 BUSINESS ADDRESS: STREET 1: 175 WEST JACKSON BLVD STREET 2: SUITE 440 CITY: CHICAGO STATE: IL ZIP: 60604 BUSINESS PHONE: 3125428515 MAIL ADDRESS: STREET 1: 175 WEST JACKSON BLVD STREET 2: SUITE 440 CITY: CHICAGO STATE: IL ZIP: 60604 13F-HR 1 primary_doc.xml 13F-HR LIVE false true false 0001103646 XXXXXXXX 09-30-2018 09-30-2018 CSS LLC/IL

175 WEST JACKSON BLVD SUITE 440 CHICAGO IL 60604

13F HOLDINGS REPORT 028-15940 N Mitchel Bialek 312 542-8575 /s/Mitchel Bialek Chicago IL 10-11-2018 0 543 2347034 false INFORMATION TABLE 2 form13fInfoTable.xml DESCRIPTION FOR INFORMATION TABLE 51JOB INCNOTE 3.250% 4/1316827AC854403000000PRNSOLE-300000000ABBVIE INCCOM00287Y1092742899SHSOLE-289900ABERDEEN ASIA PACIFIC INCOMCOM00300910713232000SHSOLE-3200000ABERDEEN EMRG MRKTS EQT INMCOM00301W105122281782577SHSOLE-178257700ABERDEEN GLOBAL DYNAMIC DIVICOM00302M10635634452SHSOLE-3445200ABERDEEN GLOBAL PREMIER PPTYCOM SH BEN INT00302L10817528912SHSOLE-2891200ABERDEEN TOTAL DYNAMIC DIVDCOM SH BEN INT00326L10042548425SHSOLE-4842500ACORDA THERAPEUTICS INCCOM00484M10629515000SHPutSOLE-1500000ACORDA THERAPEUTICS INCNOTE 1.750% 6/100484MAA4658776000PRNSOLE-77600000ADAM NAT RES FD INCCOM00548F105140470424SHSOLE-7042400ADAMS DIVERSIFIED EQUITY FDCOM00621210491955099SHSOLE-5509900ADVANCED MICRO DEVICES INCCOM0079031074279138500SHPutSOLE-13850000ADVANCED MICRO DEVICES INCNOTE 2.125% 9/0007903BD85828815007000PRNSOLE-1500700000ADVENT CLAYMORE CV SECS & INCOM00764C10929118557SHSOLE-1855700ALIBABA GROUP HLDG LTDSPONSORED ADS01609W1021000160700SHPutSOLE-6070000ALIBABA GROUP HLDG LTDSPONSORED ADS01609W102352721400SHCallSOLE-2140000ALIBABA GROUP HLDG LTDSPONSORED ADS01609W10237481227489SHSOLE-22748900ALLEGION PUB LTD COORD SHSG0176J1096947663SHSOLE-766300ALLSCRIPTS HEALTHCARE SOLUTNNOTE 1.250% 7/001988PAD063386002000PRNSOLE-600200000ALLY FINL INCCOM02005N100183169244SHSOLE-6924400ALPHABET INCCAP STK CL C02079K10712281029SHSOLE-102900ALPS ETF TRALERIAN MLP00162Q86616915900SHPutSOLE-1590000ALTABA INCCOM02134610116968249100SHCallSOLE-24910000ALTABA INCCOM02134610111178164100SHPutSOLE-16410000ALTABA INCCOM02134610166352974041SHSOLE-97404100ALTRA INDL MOTION CORPCOM02208R10624322588900SHPutSOLE-58890000ALTRA INDL MOTION CORPCOM02208R10625068620188SHSOLE-62018800AMAG PHARMACEUTICALS INCCOM00163U106361796SHSOLE-179600AMAG PHARMACEUTICALS INCCOM00163U10620010000SHPutSOLE-1000000AMARIN CORP PLCSPONS ADR NEW02311120684852100SHCallSOLE-5210000AMARIN CORP PLCSPONS ADR NEW02311120632520000SHPutSOLE-2000000AMERICAN AIRLS GROUP INCCOM02376R10211441276800SHCallSOLE-27680000AMERICAN AIRLS GROUP INCCOM02376R1028527206300SHPutSOLE-20630000AMERICAN AIRLS GROUP INCCOM02376R1021037622510568SHSOLE-251056800AMERICAN INTL GROUP INC*W EXP 01/19/20202687415614910502SHSOLE-1050200ANDEAVORCOM03349M10532578212233SHSOLE-21223300ANSYS INCCOM03662Q1057193850SHSOLE-385000ANWORTH MORTGAGE ASSET CPCOM03734710141088621SHSOLE-8862100APPLE INCCOM03783310021229400SHSOLE-940000APTEVO THERAPEUTICS INCCOM03835L10844186727SHSOLE-8672700APTIV PLCSHSG6095L1092352795SHSOLE-279500ARCONIC INCCOM03965L10025611651SHSOLE-1165100ARCONIC INCCOM03965L10027512500SHCallSOLE-1250000ARMSTRONG WORLD INDS INC NEWCOM04247X1025858400SHSOLE-840000ARRAY BIOPHARMA INCCOM04269X10548431800SHCallSOLE-3180000ARRAY BIOPHARMA INCCOM04269X1052140140800SHPutSOLE-14080000ARRAY BIOPHARMA INCNOTE 2.625%12/004269XAB185126835000PRNSOLE-683500000ASA GOLD AND PRECIOUS MTLS LSHSG3156P10376586236SHSOLE-8623600ASHFORD HOSPITALITY TR INCCOM SHS04410310911117381SHSOLE-1738100ASIA PAC FD INCCOM0449011061572116533SHSOLE-11653300ASSERTIO THERAPEUTICS INCCOM04545L10729550000SHPutSOLE-5000000ASSOCIATED BANC CORPCOM04548710535813787SHSOLE-1378700AT&T INCCOM00206R102205361144SHSOLE-6114400AT&T INCCOM00206R10210286SHCallSOLE-28600ATLANTICUS HLDGS CORPCOM04914Y102309104410SHSOLE-10441000AUTODESK INCCOM0527691067815000SHPutSOLE-500000AUTOLIV INCCOM0528001092172500SHSOLE-250000AV HOMES INCCOM00234P102121560757SHSOLE-6075700AWARE INC MASSCOM05453N1008924737SHSOLE-2473700B RILEY FINL INCCOM05580M10861727220SHSOLE-2722000BABCOCK & WILCOX ENTERPRIS ICOM05614L100165160662SHSOLE-16066200BABCOCK & WILCOX ENTERPRIS ICOM05614L10055000SHPutSOLE-500000BAKER HUGHES A GE COCL A05722G10060717950SHSOLE-1795000BANK AMER CORP*W EXP 10/28/2010605051535051682701SHSOLE-168270100BANK AMER CORPCOM0605051043184108100SHCallSOLE-10810000BARCLAYS PLCADR06738E20452858981SHSOLE-5898100BARINGS BDC INCCOM06759L10311711716SHSOLE-1171600BARINGS BDC INCCOM06759L103101000SHPutSOLE-100000BARRICK GOLD CORPCOM06790110823220901SHSOLE-2090100BEL FUSE INCCL A07734720197145041SHSOLE-4504100BELDEN INCCOM07745410671410000SHCallSOLE-1000000BELDEN INCCOM07745410671410000SHPutSOLE-1000000BEMIS INCCOM081437105120524800SHSOLE-2480000BERKSHIRE HATHAWAY INC DELCL B NEW08467070215707333SHSOLE-733300BIO RAD LABS INCCL B090572108697722310SHSOLE-2231000BIOMARIN PHARMACEUTICAL INCCOM09061G1017477700SHCallSOLE-770000BIOMARIN PHARMACEUTICAL INCNOTE 0.750%10/109061GAE12099320256000PRNSOLE-2025600000BLACKROCK DEBT STRAT FD INCCOM NEW09255R20216314643SHSOLE-1464300BLACKROCK ENHANCED EQT DIV TCOM09251A10480885093SHSOLE-8509300BOEING COCOM09702310513023500SHPutSOLE-350000BOSTON PRIVATE FINL HLDGS IN*W EXP 11/21/2011011191135081746994SHSOLE-74699400BOULDER GROWTH & INCOME FD ICOM1015071018094722051SHSOLE-72205100BRIDGEPOINT ED INCCOM10807M10520219911SHSOLE-1991100BRIGHTHOUSE FINL INCCOM10922N1032756200SHSOLE-620000BRISTOW GROUP INCCOM1103941031100SHPutSOLE-10000BRISTOW GROUP INCNOTE 4.500% 6/0110394AF045934521000PRNSOLE-452100000BROADCOM INCCOM11135F1012471000SHSOLE-100000BROOKFIELD PPTY PARTNERS L PUNIT LTD PARTNG16249107194292986SHPutSOLE-9298600BROOKFIELD PROPERTY REIT INCCL A11282X103125359878SHSOLE-5987800BROOKFIELD REAL ASSETS INCOMSHS BEN INT112830104148764503SHSOLE-6450300CAESARS ENTMT CORPCOM127686103626000SHCallSOLE-600000CAESARS ENTMT CORPCOM12768610310210000SHPutSOLE-1000000CAESARS ENTMT CORPCOM127686103161771578259SHSOLE-157825900CAESARS ENTMT CORPNOTE 5.000%10/0127686AA11876411562412PRNSOLE-1156241200CAMPBELL SOUP COCOM1344291092386500SHSOLE-650000CAMPBELL SOUP COCOM13442910985023200SHPutSOLE-2320000CANNAE HLDGS INCCOM13765N10783139680SHSOLE-3968000CARBONITE INCCOM14133710518500SHSOLE-50000CARBONITE INCNOTE 2.500% 4/0141337AB144983000000PRNSOLE-300000000CBS CORP NEWCL A12485710350859SHSOLE-85900CBS CORP NEWCL B1248572021612800SHSOLE-280000CBS CORP NEWCL B1248572021152000SHPutSOLE-200000CECO ENVIRONMENTAL CORPCOM12514110122728783SHSOLE-2878300CENTRAL GARDEN & PET COCL A NON-VTG15352720546414000SHSOLE-1400000CENTRAL SECS CORPCOM155123102103735158SHSOLE-3515800CHANGYOU COM LTDADS REP CL A15911M107109682996SHSOLE-8299600CHANGYOU COM LTDADS REP CL A15911M10728521600SHPutSOLE-2160000CHINA FD INCCOM169373107192798312SHSOLE-9831200CIENA CORPNOTE 3.750%10/1171779AJ0150319711000PRNSOLE-971100000CIT GROUP INCCOM NEW125581801128024792SHSOLE-2479200CITIGROUP INCCOM NEW172967424106914901SHSOLE-1490100CIVEO CORP CDACOM17878Y1085914321SHSOLE-1432100CLOUGH GLOBAL OPPORTUNITIESSH BEN INT18914E10670264809SHSOLE-6480900CLOVIS ONCOLOGY INCCOM1894641001776013SHSOLE-601300CLOVIS ONCOLOGY INCCOM1894641002358000SHCallSOLE-800000CLOVIS ONCOLOGY INCCOM18946410064522000SHPutSOLE-2200000CLOVIS ONCOLOGY INCNOTE 2.500% 9/1189464AB6233250000PRNSOLE-25000000COASTWAY BANCORP INCCOM190632109194568972SHSOLE-6897200COBIZ FINANCIAL INCCOM190897108145065506SHSOLE-6550600COMERICA INCCOM2003401077898749SHSOLE-874900COMMUNITY HEALTH SYS INC NEWRIGHT 12/31/20192036681161159104SHSOLE-15910400CONDUENT INCCOM20678710345820340SHSOLE-2034000CONOCOPHILLIPSCOM20825C1047379514SHSOLE-951400CONSTELLATION BRANDS INCCL B21036P2077503400SHSOLE-340000CORENERGY INFRASTRUCTURE TRNOTE 7.000% 6/121870UAA434663000000PRNSOLE-300000000COREPOINT LODGING INCCOM21872L10431116000SHSOLE-1600000CORNERSTONE STRATEGIC VALUECOM21924B30241029289SHSOLE-2928900CORPORATE CAP TR INCCOM21988010192860807SHSOLE-6080700CORSICANTO II DESIGNATED ACTNOTE 3.500% 1/2220485AB2112852700000PRNSOLE-270000000COTY INCCOM CL A22207020376460856SHSOLE-6085600COTY INCCOM CL A222070203887000SHPutSOLE-700000COUSINS PPTYS INCCOM22279510623226080SHSOLE-2608000CTRIP COM INTL LTDAMERICAN DEP SHS22943F1002336281SHSOLE-628100CTRIP COM INTL LTDAMERICAN DEP 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C25470F3028074272948SHSOLE-27294800DISNEY WALT COCOM DISNEY2546871065855000SHPutSOLE-500000DIVIDEND & INCOME FUNDCOM NEW25538A20487072942SHSOLE-7294200DOMINION ENERGY INCUNIT 08/15/201925746U836133528135SHSOLE-2813500DRIVE SHACK INCCOM2620771008714549SHSOLE-1454900EAGLE CAP GROWTH FD INCCOM26945110019624527SHSOLE-2452700ECA MARCELLUS TR ICOM UNIT26827L1094624649SHSOLE-2464900ELECTRAMECCANICA VEHS CORP*W EXP 08/03/2022848491141540315SHSOLE-4031500ELECTRAMECCANICA VEHS CORPCOM NEW2848492050100SHSOLE-10000ENCORE CAP EUROPE FIN LTDNOTE 4.500% 9/029260UAA520502000000PRNSOLE-200000000ENCORE CAP GROUP INCNOTE 3.000% 7/0292554AF931203114000PRNSOLE-311400000ENCORE CAP GROUP INCNOTE 3.250% 3/1292554AK856465650000PRNSOLE-565000000ENERGY TRANSFER EQUITY L PCOM UT LTD PTN29273V10074442700SHSOLE-4270000ENVISION HEALTHCARE CORPCOM29414D1003808300SHSOLE-830000ENVISION HEALTHCARE CORPCOM29414D1003808300SHPutSOLE-830000EVERBRIDGE INCNOTE 1.500%11/029978AAA226441500000PRNSOLE-150000000EXACT SCIENCES CORPCOM30063P1052373000SHCallSOLE-300000EXACT SCIENCES CORPDBCV 1.000% 1/130063PAA386216954000PRNSOLE-695400000FACEBOOK INCCL A30303M1024112500SHPutSOLE-250000FACEBOOK INCCL A30303M1022961800SHSOLE-180000FIDELITY SOUTHERN CORP NEWCOM31639410526910854SHSOLE-1085400FIREEYE INCCOM31816Q10117010000SHPutSOLE-1000000FIRST CONN BANCORP INC MDCOM3198501032669000SHSOLE-900000FIRST FINL BANCORP OHCOM3202091092969962SHSOLE-996200FIRST MAJESTIC SILVER CORPCOM32076V1031135199800SHPutSOLE-19980000FIRST TR ABERDEEN GLBL OPP FCOM SHS33731910719320066SHSOLE-2006600FLUIDIGM CORP DELNOTE 2.750% 2/034385PAA6123143000PRNSOLE-14300000FORD MTR CO DELCOM PAR $0.013453708609510323SHSOLE-1032300FORTIVE CORP5% PFD CNV SER A34959J20740963821SHSOLE-382100FORTIVE CORPCOM34959J1081544811834700SHPutSOLE-183470000FORTIVE CORPCOM34959J1081529021815940SHSOLE-181594000FORTIVE CORPCOM34959J1082102500SHCallSOLE-250000FRANKLIN UNVL TRSH BEN INT35514510310115224SHSOLE-1522400FRONTIER COMMUNICATIONS CORPCOM 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INCCOM370373102411837SHSOLE-1183700GENERAL MTRS COCOM37045V1003928116666SHSOLE-11666600GLOBAL X FDSMSCI GREECE ETF37950E3661282154598SHSOLE-15459800GNC HLDGS INCCOM CL A36191G107164000SHPutSOLE-400000GNC HLDGS INCNOTE 1.500% 8/136191GAB3263340000PRNSOLE-34000000GRAY TELEVISION INCCL A389375205030SHSOLE-3000GRAY TELEVISION INCCOM38937510619211000SHSOLE-1100000GREAT ELM CAP CORPCOM39032010982484994SHSOLE-8499400GREENHILL & CO INCCOM3952591042419142SHSOLE-914200GREIF INCCL B397624206139124120SHSOLE-2412000GRIFOLS S ASP ADR REP B NVT3984384082109828SHSOLE-982800GSI TECHNOLOGYCOM36241U1067711222SHSOLE-1122200GYRODYNE LLCCOM40382910488143003SHSOLE-4300300HALCON RES CORP*W EXP 09/09/20240537Q118222145SHSOLE-2214500HALCON RES CORPCOM PAR NEW40537Q60514632857SHSOLE-3285700HARMONIC INCCOM4131601026712176SHSOLE-1217600HARTFORD FINL SVCS GROUP INCCOM4165151049923198606SHSOLE-19860600HECLA MNG COCOM4227041066623744SHSOLE-2374400HECLA MNG COPFD CV SER B422704205651200SHSOLE-120000HERBALIFE LTDNOTE 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FDCOM48249T10630018260SHSOLE-1826000KLX ENERGY SERVICS HOLDNGS ICOM48253L10650115641SHSOLE-1564100KLX INCCOM482539103571891085SHSOLE-9108500KOREA FDCOM NEW50063420959516248SHSOLE-1624800LAM RESEARCH CORPCOM5128071081831208SHSOLE-120800LAM RESEARCH CORPCOM5128071085313500SHPutSOLE-350000LATIN AMERN DISCOVERY FD INCCOM51828C10663256461SHSOLE-5646100LATTICE SEMICONDUCTOR CORPCOM51841510425131400SHSOLE-3140000LENNAR CORPCL A5260571041032200SHSOLE-220000LENNAR CORPCL B526057302317282394SHSOLE-8239400LIBERTY BROADBAND CORPCOM SER A530307107475756407SHSOLE-5640700LIBERTY BROADBAND CORPCOM SER C530307305135516075SHSOLE-1607500LIBERTY EXPEDIA HOLDINGSSER A COM53046P1092214692SHSOLE-469200LIBERTY EXPEDIA HOLDINGSSER B COM53046P20859712437SHSOLE-1243700LIBERTY GLOBAL PLCSHS CL BG5480U1122689194SHSOLE-919400LIBERTY GLOBAL PLCSHS CL CG5480U12043315410SHSOLE-1541000LIBERTY MEDIA CORPDEB 3.500% 1/1530715AN11071915500000PRNSOLE-1550000000LIBERTY MEDIA CORP DELAWARECOM A BRAVES GRP531229706206675743SHSOLE-7574300LIBERTY MEDIA CORP DELAWARECOM A SIRIUSXM53122940920447470699SHSOLE-47069900LIBERTY MEDIA CORP DELAWARECOM B SIRIUSXM531229508286960912SHSOLE-6091200LIBERTY MEDIA CORP DELAWARECOM C SIRIUSXM531229607151934952SHSOLE-3495200LIBERTY MEDIA CORP DELAWARECOM SER A FRMLA531229870163045815SHSOLE-4581500LIBERTY TRIPADVISOR HLDGS INCOM SER A53146510216411068SHSOLE-1106800LIBERTY TRIPADVISOR HLDGS INCOM SER B53146520124116700SHSOLE-1670000LINCOLN NATL CORP INDCOM5341871096794100411SHSOLE-10041100LULULEMON ATHLETICA INCCOM55002110911056800SHSOLE-680000LUMENTUM HLDGS INCCOM55024U1092173618SHSOLE-361800MACQUARIE GLBL INFRA TOTL RECOM55608D1012707127379SHSOLE-12737900MADISON SQUARE GARDEN CO NEWCL A55825T1038552712SHSOLE-271200MARRIOTT INTL INC NEWCL A5719032023562700SHPutSOLE-270000MARRIOTT INTL INC NEWCL A5719032023692794SHSOLE-279400MCEWEN MNG INCCOM58039P10712363646SHSOLE-6364600MEDICINES COCOM58468810576925700SHCallSOLE-2570000MEDICINES COCOM584688105119640000SHPutSOLE-4000000MEDICINES CONOTE 2.500% 1/1584688AE564315983000PRNSOLE-598300000MERCADOLIBRE INCCOM58733R1026812000SHPutSOLE-200000MEREDITH CORPCOM5894331014188188SHSOLE-818800MEXICO EQUITY & INCOME FDCOM5928341051724140375SHSOLE-14037500MICROCHIP TECHNOLOGY INCCOM5950171041031300SHSOLE-130000MICROCHIP TECHNOLOGY INCNOTE 1.625% 2/1595017AD61681811098000PRNSOLE-1109800000MICRON TECHNOLOGY INCCOM5951121031363000SHSOLE-300000MICRON TECHNOLOGY INCCOM595112103175138700SHPutSOLE-3870000MICRON TECHNOLOGY INCNOTE 3.000%11/1595112AY93693623825000PRNSOLE-2382500000MIDATECH PHARMA PLCSPONSORED ADS59564R104916850SHSOLE-1685000MIDSTATES PETE CO INCCOM PAR59804T4071830205398SHSOLE-20539800MITEL NETWORKS CORPCOM60671Q1043433311519SHSOLE-31151900MITEL NETWORKS CORPCOM60671Q10456751400SHPutSOLE-5140000MOLINA HEALTHCARE INCCOM60855R1002972000SHCallSOLE-200000MOLINA HEALTHCARE INCCOM60855R1007885300SHPutSOLE-530000MOLINA HEALTHCARE INCNOTE 1.125% 1/160855RAC48601423576000PRNSOLE-2357600000MOMO INCADR60879B107311971200SHPutSOLE-7120000MORGAN STANLEY ASIA PAC FD ICOM61744U106141585691SHSOLE-8569100MORGAN STANLEY CHINA A SH FDCOM61746810343820369SHSOLE-2036900MORGAN STANLEY EMER MKTS FDCOM61744G10793059613SHSOLE-5961300MORGAN STANLEY INDIA INVS FDCOM61745C10540717352SHSOLE-1735200MVC CAPITAL INCCOM55382910261663782SHSOLE-6378200NABORS INDUSTRIES LTD6% PFD CNV SR AG6359F129297067668SHSOLE-6766800NAVIOS MARITIME HLDGS INCSPN ADR RP PFD G63938Y10031027559SHSOLE-2755900NAVIOS MARITIME HLDGS INCSPON ADR PFD H63938Y30844739780SHSOLE-3978000NAVISTAR INTL CORP NEWCOM63934E1082195697SHSOLE-569700NAVISTAR INTL CORP NEWCOM63934E10838410000SHCallSOLE-1000000NETAPP INCCOM64110D1042583000SHSOLE-300000NETFLIX INCCOM64110L1069352500SHPutSOLE-250000NEUROCRINE BIOSCIENCES INCNOTE 2.250% 5/164125CAD12556114955000PRNSOLE-1495500000NEW GERMANY FD INCCOM64446510677142338SHSOLE-4233800NEW IRELAND FUND INCCOM6456731042596245858SHSOLE-24585800NEW SR INVT GROUP INCCOM6486911039916836SHSOLE-1683600NEW YORK CMNTY BANCORP INCCOM64944510318517837SHSOLE-1783700NEW YORK REIT INCCOM NEW64976L20845525080SHSOLE-2508000NEW YORK REIT INCCOM NEW64976L208543000SHPutSOLE-300000NEWMONT MINING CORPCOM651639106132944000SHSOLE-4400000NEWS CORP NEWCL A65249B10990568600SHSOLE-6860000NEXTERA ENERGY INCCOM65339F101367021902SHSOLE-2190200NII HLDGS INCCOM PAR62913F508157142681514SHSOLE-268151400NOBLE ENERGY INCCOM6550441052317400SHSOLE-740000NOVAVAX INCCOM6700021045730000SHPutSOLE-3000000NOVAVAX INCNOTE 3.750% 2/0670002AB06711094000PRNSOLE-109400000NUVASIVE INCNOTE 2.250% 3/1670704AG012671000000PRNSOLE-100000000NUVEEN GLOBAL HIGH INCOME FDSHS67075G10355435566SHSOLE-3556600NUVEEN NEW JERSEY QULT MUN FCOM67069Y10222017094SHSOLE-1709400NUVEEN REAL ASSET INM AND GWCOM67074Y10565940893SHSOLE-4089300NXP SEMICONDUCTORS N VCOMN6596X10926300SHSOLE-30000NXP SEMICONDUCTORS N VCOMN6596X1099414110100SHCallSOLE-11010000NXP SEMICONDUCTORS N VCOMN6596X10915937186400SHPutSOLE-18640000OCCIDENTAL PETE CORP DELCOM6745991056908400SHSOLE-840000OFFICE DEPOT INCCOM67622010618457257SHSOLE-5725700OI S ASPONSORED ADR NE6708515001306478409SHSOLE-47840900ON SEMICONDUCTOR CORPCOM682189105945100SHSOLE-510000ON SEMICONDUCTOR CORPNOTE 1.000%12/0682189AK11607213850000PRNSOLE-1385000000OPKO HEALTH INCCOM68375N10310831144SHSOLE-3114400OPKO HEALTH INCCOM68375N10331000SHPutSOLE-100000OSI SYSTEMS INCCOM671044105781028SHSOLE-102800OSI SYSTEMS INCNOTE 1.250% 9/0671044AD79581000000PRNSOLE-100000000PANDORA MEDIA INCCOM6983541071684177100SHPutSOLE-17710000PANDORA MEDIA INCCOM698354107576000SHSOLE-600000PANDORA MEDIA INCCOM69835410732734400SHCallSOLE-3440000PANDORA MEDIA INCNOTE 1.750%12/0698354AB365706704000PRNSOLE-670400000PARKER DRILLING COCOM NEW701081408375125700SHPutSOLE-12570000PARKER DRILLING COCOM NEW7010814085418200SHCallSOLE-1820000PENNANTPARK FLOATING RATE CACOM70806A106126295954SHSOLE-9595400PERSPECTA INCCOM715347100152159131SHSOLE-5913100PHILLIPS 66COM7185461043062716SHSOLE-271600PIMCO INCOME STRATEGY FUND ICOM72201J10427325852SHSOLE-2585200PINNACLE ENTMT INC NEWCOM72348Y10580123783SHSOLE-2378300POTLATCHDELTIC CORPORATIONCOM73763010343010500SHSOLE-1050000POTLATCHDELTIC CORPORATIONCOM7376301031052568SHPutSOLE-256800PRETIUM RES INCCOM74139C102466000SHSOLE-600000PRETIUM RES INCCOM74139C10226234500SHPutSOLE-3450000PRICELINE GRP INCNOTE 0.350% 6/1741503AS537752500000PRNSOLE-250000000PROCTER AND GAMBLE COCOM7427181096147373SHSOLE-737300PROCTER AND GAMBLE COCOM7427181096087300SHPutSOLE-730000PROS HOLDINGS INCNOTE 2.000%12/074346YAB951974500000PRNSOLE-450000000QAD INCCL B74727D207158738237SHSOLE-3823700QIWI PLCSPON ADR REP B74735M108120291248SHSOLE-9124800QTS RLTY TR INC6.50% CON PFD B74736A301284927039SHSOLE-2703900QUALCOMM INCCOM7475251034346031SHSOLE-603100QUALCOMM INCCOM747525103100814000SHPutSOLE-1400000QURATE RETAIL INCCOM SER A74915M100151067978SHSOLE-6797800QURATE RETAIL INCCOM SER B74915M209110952110SHSOLE-5211000RAMCO-GERSHENSON PPTYS TRPERP PFD-D CV7514526088031148485SHSOLE-14848500RAYONIER ADVANCED MATLS INCCOM75508B1041236700SHSOLE-670000RAYONIER ADVANCED MATLS INCPFD CV SER A75508B203451034997SHSOLE-3499700REAVES UTIL INCOME FDCOM SH BEN INT7561581014536147949SHSOLE-14794900REGENCY CTRS CORPCOM758849103104916227SHSOLE-1622700REIS INCCOM75936P105102844684SHSOLE-4468400RENREN INCSPON ADR A NEW7598922017855509SHSOLE-5550900RENREN INCSPON ADR A NEW7598922013927800SHPutSOLE-2780000REPLIGEN CORPNOTE 2.125% 6/0759916AA72593014597000PRNSOLE-1459700000RESTORATION HARDWARE HLDGS IDBCV 7/1761283AC435132844000PRNSOLE-284400000RESTORATION HARDWARE HLDGS INOTE 6/1761283AD299858261000PRNSOLE-826100000RHCOM74967X1031264296500SHPutSOLE-9650000RITE AID CORPCOM7677541048768000SHCallSOLE-6800000RITE AID CORPCOM767754104245191300SHPutSOLE-19130000RITE AID CORPCOM76775410427602156542SHSOLE-215654200RMR REAL ESTATE INCOME FUNDCOM76970B101130072302SHSOLE-7230200ROSEHILL RES INC*W EXP 09/16/2027773851136657536SHSOLE-5753600ROYAL BK SCOTLAND GROUP PLCSPONS ADR 2 ORD7800976897912100SHSOLE-1210000ROYAL DUTCH SHELL PLCSPONS ADR A78025920675111011SHSOLE-1101100ROYCE GLOBAL VALUE TR INCCOM78081T10413412693SHSOLE-1269300ROYCE VALUE TR INCCOM78091010524014687SHSOLE-1468700RYANAIR HLDGS PLCSPONSORED ADR NE7835132034704896SHSOLE-489600SANDISK CORPNOTE 0.500%10/180004CAF8471530000PRNSOLE-53000000SANOFIRIGHT 12/31/202080105N1138811661065SHSOLE-166106500SAREPTA THERAPEUTICS INCCOM803607100274617000SHPutSOLE-1700000SCANA CORP NEWCOM80589M1024933126854SHSOLE-12685400SCANA CORP NEWCOM80589M1021945000SHPutSOLE-500000SCHOLASTIC CORPCOM80706610557712363SHSOLE-1236300SEARS HLDGS CORP*W EXP 12/15/201812350155028SHSOLE-2800SEARS HLDGS CORPCOM8123501064647523SHSOLE-4752300SELECT INCOME REITCOM SH BEN INT81618T100135661809SHSOLE-6180900SELECT SECTOR SPDR TRENERGY81369Y5064015300SHSOLE-530000SELECT SECTOR SPDR TRSBI INT-FINL81369Y605193170000SHCallSOLE-7000000SELECT SECTOR SPDR TRSBI INT-FINL81369Y60514066510000SHPutSOLE-51000000SELECT SECTOR SPDR TRSBI MATERIALS81369Y100581000SHSOLE-100000SEMPRA ENERGY6% PFD CONV A816851406309730755SHSOLE-3075500SENSEONICS HLDGS INCCOM81727U1059520000SHCallSOLE-2000000SENSEONICS HLDGS INCNOTE 5.250% 2/081727UAA316081000000PRNSOLE-100000000SERITAGE GROWTH PPTYSCL A81752R1003647662SHSOLE-766200SERVICENOW INCCOM81762P1021961000SHPutSOLE-100000SERVICENOW INCNOTE 6/081762PAC62870319245000PRNSOLE-1924500000SHIP FINANCE INTERNATIONAL LNOTE 5.750%10/1G81075AF334973500000PRNSOLE-350000000SHIRE PLCSPONSORED ADR82481R106390721550SHSOLE-2155000SIBANYE STILLWATERSPONSORED ADR825724206520208728SHSOLE-20872800SIGNATURE BK NEW YORK N Y*W EXP 12/12/20182669G112168119863SHSOLE-1986300SINA CORPORDG8147710417225247918SHSOLE-24791800SIRIUS XM HLDGS INCCOM82968B1031716271700SHPutSOLE-27170000SLM CORPCOM78442P10620618510SHSOLE-1851000SOCKET MOBILE INCCOM NEW83368E20013458441SHSOLE-5844100SOGOU INCADR REPSTG A83409V10422330000SHPutSOLE-3000000SOHU COM LTDSPONSORED ADS83410S108134767777SHSOLE-6777700SOUTH JERSEY INDS INCCOM838518108401140SHSOLE-114000SOUTH JERSEY INDS INCUNIT 99/99/9999838518116197535000SHSOLE-3500000SOUTHCROSS ENERGY PARTNERS LCOM UNIT LTDPT84130C1001424100SHSOLE-2410000SPARTON CORPCOM84723510881756637SHSOLE-5663700SPDR GOLD TRUSTGOLD SHS78463V1077897000SHSOLE-700000SPDR SERIES TRUSTS&P REGL BKG78464A6985942100000SHPutSOLE-10000000SPECIAL OPPORTUNITIES FD INCCOM84741T1043107206042SHSOLE-20604200SPECIAL OPPORTUNITIES FD INCPFD CONV SE B84741T302103840713SHSOLE-4071300SPECTRUM PHARMACEUTICALS INCNOTE 2.750%12/184763AAB41893711755000PRNSOLE-1175500000SPIRIT MTA REITCOM SHS BEN IN84861U10524020790SHSOLE-2079000SPRINT CORPCOM SER 185207U105967148028SHSOLE-14802800SPROTT PHYSICAL GOLD & SILVETR UNIT85208R1013350286848SHSOLE-28684800SQUARE INCCL A8522341034464500SHPutSOLE-450000SQUARE INCCL A8522341034464500SHCallSOLE-450000SQUARE INCNOTE 0.375% 3/0852234AB99337921896000PRNSOLE-2189600000STANLEY BLACK & DECKER INCCOM85450210111287700SHSOLE-770000STELLAR ACQUISITION III INCCOMY8172W1071057100472SHSOLE-10047200STEWART INFORMATION SVCS CORCOM86037210176517000SHSOLE-1700000SUNCOR ENERGY INC NEWCOM86722410767417420SHSOLE-1742000SUNPOWER CORPCOM86765240613218106SHSOLE-1810600SUNTRUST BKS INCCOM86791410323143346501SHSOLE-34650100SUPERNUS PHARMACEUTICALS INCCOM8684591083126200SHCallSOLE-620000SWISS HELVETIA FD INCCOM8708751012888339382SHSOLE-33938200SYNOVUS FINL CORPCOM NEW87161C501114525000SHSOLE-2500000SYNOVUS FINL CORPCOM NEW87161C501691500SHCallSOLE-150000SYNOVUS FINL CORPCOM NEW87161C501103022500SHPutSOLE-2250000SYNTEL INCCOM87162H103202349369SHSOLE-4936900T MOBILE US INCCOM8725901043014282SHSOLE-428200TAIWAN FD INCCOM874036106111258022SHSOLE-5802200TCF FINL CORPCOM87227510250721301SHSOLE-2130100TECHNIPFMC PLCCOMG871101053089862SHSOLE-986200TEEKAY CORPORATIONCOMY8564W10330645400SHSOLE-4540000TEEKAY CORPORATIONCOMY8564W10319829300SHPutSOLE-2930000TELADOC HEALTH INCNOTE 3.000%12/187918AAB12379111500000PRNSOLE-1150000000TELECOM ARGENTINA S ASPON ADR REP B879273209148985451SHSOLE-8545100TELECOM ARGENTINA S ASPON ADR REP B879273209875000SHPutSOLE-500000TEMPLETON DRAGON FD INCCOM88018T10171836008SHSOLE-3600800TERADYNE INCNOTE 1.250%12/1880770AG713021000000PRNSOLE-100000000TESARO INCCOM881569107113529100SHPutSOLE-2910000TESARO INCNOTE 3.000%10/0881569AA564284827000PRNSOLE-482700000TESLA INCCOM88160R101132500SHSOLE-50000TESLA INCCOM88160R10126902101600SHPutSOLE-10160000TESLA INCNOTE 0.250% 3/088160RAB729823000000PRNSOLE-300000000TESLA INCNOTE 1.250% 3/088160RAC581508500000PRNSOLE-850000000TESLA INCNOTE 2.375% 3/188160RAD340944000000PRNSOLE-400000000TEVA PHARMACEUTICAL FIN LLCDBCV 0.250% 2/088163VAE937624000000PRNSOLE-400000000TEVA PHARMACEUTICAL INDS LTDSPONSORED ADR8816242093230150000SHPutSOLE-15000000THE CENTRAL AND EASTERN EU ICOM15343610065827359SHSOLE-2735900TRI POINTE GROUP INCCOM87265H10927121826SHSOLE-2182600TRI POINTE GROUP INCCOM87265H10914912000SHPutSOLE-1200000TURQUOISE HILL RES LTDCOM9004351088037601SHSOLE-3760100TWENTY FIRST CENTY FOX INCCL A90130A101932000SHCallSOLE-200000TWENTY FIRST CENTY FOX INCCL A90130A101150632500SHPutSOLE-3250000TWENTY FIRST CENTY FOX INCCL B90130A20024763540431SHSOLE-54043100TWENTY FIRST CENTY FOX INCCL B90130A20091620000SHCallSOLE-2000000TWITTER INCCOM90184L10259520900SHSOLE-2090000TWITTER INCCOM90184L102142450000SHPutSOLE-5000000TWITTER INCNOTE 0.250% 9/190184LAB8459474000PRNSOLE-47400000TWITTER INCNOTE 1.000% 9/190184LAD460646601000PRNSOLE-660100000UNILEVER PLCSPON ADR NEW904767704411674883SHSOLE-7488300UNITED CONTL HLDGS INCCOM9100471092532843SHSOLE-284300URSTADT BIDDLE PPTYS INCCOM91728610642524679SHSOLE-2467900VALLEY NATL BANCORP*W EXP 11/14/2019197941311157309SHSOLE-15730900VICI PPTYS INCCOM9256521096374294819SHSOLE-29481900VIPSHOP HLDGS LTDSPONSORED ADR92763W10318529610SHSOLE-2961000VIPSHOP HLDGS LTDSPONSORED ADR92763W10318630000SHPutSOLE-3000000VIRTUS INVT PARTNERS INCPFD CV SER D92828Q20813907139766SHSOLE-13976600VISTRA ENERGY CORPCOM92840M1022108450SHCallSOLE-845000VISTRA ENERGY CORPUNIT 02/02/202492840M300163316797SHSOLE-1679700VMWARE INCCL A COM9285634021561000SHPutSOLE-100000VMWARE INCCL A COM928563402602438600SHCallSOLE-3860000VORNADO RLTY TRSH BEN INT9290421092263100SHSOLE-310000W & T OFFSHORE INCCOM92922P106343577SHSOLE-357700W & T OFFSHORE INCCOM92922P10639741200SHPutSOLE-4120000WASHINGTON PRIME GROUP NEWCOM93964W10831943730SHSOLE-4373000WATSCO INCCL B CONV9426221016533671SHSOLE-367100WAYFAIR INCNOTE 0.375% 9/094419LAB787115761000PRNSOLE-576100000WEIBO CORPSPONSORED ADR948596101255935000SHPutSOLE-3500000WEIBO CORPSPONSORED ADR948596101544174400SHCallSOLE-7440000WELLTOWER INCCOM95040Q104128620000SHPutSOLE-2000000WENDYS COCOM95058W10024214102SHSOLE-1410200WESTERN ASSET EMRG MKT DEBTCOM95766A10145033544SHSOLE-3354400WESTERN AST INFL LKD OPP & ICOM95766R10414513382SHSOLE-1338200WHIRLPOOL CORPCOM96332010610378730SHSOLE-873000WHIRLPOOL CORPCOM9633201068437100SHPutSOLE-710000WILEY JOHN & SONS INCCL B9682233053115072SHSOLE-507200WILLIAMS COS INC DELCOM9694571001666100SHPutSOLE-610000WILLIAMS COS INC DELCOM96945710033412293SHSOLE-1229300WINTRUST FINL CORPCOM97650W108103512184SHSOLE-1218400WORKDAY INCCL A98138H10113189032SHSOLE-903200WORKDAY INCCL A98138H1018766000SHPutSOLE-600000WPX ENERGY INCCOM98212B10363631600SHPutSOLE-3160000WRIGHT MED GROUP INCNOTE 2.000% 2/198235TAE721591970000PRNSOLE-197000000WRIGHT MED GROUP N VNOTE 2.250%11/198236JAB494096500000PRNSOLE-650000000WRIGHT MED GROUP N VORD SHS 0.03 PARN9661711857319731SHSOLE-1973100WRIGHT MED GROUP N VRIGHT 03/01/2019N966171267754980SHSOLE-5498000XCERRA CORPCOM98400J108100370284SHSOLE-7028400XPERI CORPCOM98421B10023816004SHSOLE-1600400YAMANA GOLD INCCOM98462Y1003313100SHSOLE-1310000ZILLOW GROUP INCCL A98954M10162014017SHSOLE-1401700ZILLOW GROUP INCNOTE 2.000%12/098954MAB72306921256000PRNSOLE-2125600000ZION OIL & GAS INCCOM9896961095442543SHSOLE-4254300ZIONS BANCORPORATION*W EXP 05/22/202989701115773804520485SHSOLE-452048500ZIONS BANCORPORATIONCOM989701107118723666SHSOLE-2366600ZYNGA INCCL A98986T10811428400SHSOLE-2840000