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 |
1347 CAP CORP | COM | 68245V103 | 1,125 | 115,462 | SH | SOLE | 115,462 | 0 | 0 | ||
1347 CAP CORP | RIGHT 07/21/2016 | 68245V111 | 38 | 98,983 | SH | SOLE | 98,983 | 0 | 0 | ||
ABBVIE INC | COM | 00287Y109 | 2,682 | 115,100 | SH | Call | SOLE | 115,100 | 0 | 0 | |
ADVENT SOFTWARE INC | COM | 007974108 | 4,358 | 98,572 | SH | SOLE | 98,572 | 0 | 0 | ||
ADVENT SOFTWARE INC | COM | 007974108 | 146 | 3,400 | SH | Call | SOLE | 3,400 | 0 | 0 | |
AR CAP ACQUISITION CORP | *W EXP 10/06/201 | 00191R117 | 43 | 124,166 | SH | SOLE | 124,166 | 0 | 0 | ||
AR CAP ACQUISITION CORP | COM | 00191R109 | 2,918 | 295,234 | SH | SOLE | 295,234 | 0 | 0 | ||
AROWANA INC | UNIT 99/99/9999 | G05011138 | 728 | 71,895 | SH | SOLE | 71,895 | 0 | 0 | ||
ASSOCIATED ESTATES RLTY CORP | COM | 045604105 | 1,647 | 57,516 | SH | SOLE | 57,516 | 0 | 0 | ||
ASSOCIATED ESTATES RLTY CORP | COM | 045604105 | 86 | 24,000 | SH | Call | SOLE | 24,000 | 0 | 0 | |
AT&T INC | COM | 00206R102 | 193 | 365,400 | SH | Put | SOLE | 365,400 | 0 | 0 | |
ATLANTIC ALLIANCE PARTNER CO | SHS | G04897107 | 464 | 45,754 | SH | SOLE | 45,754 | 0 | 0 | ||
BABCOCK & WILCOX CO NEW | COM | 05615F102 | 11,648 | 355,148 | SH | SOLE | 355,148 | 0 | 0 | ||
BAXTER INTL INC | COM | 071813109 | 25,153 | 359,700 | SH | SOLE | 359,700 | 0 | 0 | ||
BOULEVARD ACQUISITION CORP | COM | 10157P104 | 299 | 23,965 | SH | SOLE | 23,965 | 0 | 0 | ||
BRIDGE CAP HLDGS | COM | 108030107 | 4,317 | 144,463 | SH | SOLE | 144,463 | 0 | 0 | ||
CAMBRIDGE CAP ACQUISITION CO | *W EXP 12/17/201 | 13215Q114 | 31 | 205,496 | SH | SOLE | 205,496 | 0 | 0 | ||
CAMBRIDGE CAP ACQUISITION CO | COM | 13215Q106 | 4,342 | 436,421 | SH | SOLE | 436,421 | 0 | 0 | ||
CAPITOL ACQUISITION CORP II | COM | 14056V105 | 1,470 | 139,342 | SH | SOLE | 139,342 | 0 | 0 | ||
CATAMARAN CORP | COM | 148887102 | 2,080 | 34,047 | SH | SOLE | 34,047 | 0 | 0 | ||
CATAMARAN CORP | COM | 148887102 | 30 | 138,100 | SH | Put | SOLE | 138,100 | 0 | 0 | |
CATAMARAN CORP | COM | 148887102 | 661 | 190,000 | SH | Call | SOLE | 190,000 | 0 | 0 | |
DEALERTRACK TECHNOLOGIES INC | COM | 242309102 | 3,013 | 47,980 | SH | SOLE | 47,980 | 0 | 0 | ||
DIRECTV | COM | 25490A309 | 17,801 | 191,840 | SH | SOLE | 191,840 | 0 | 0 | ||
DRESSER-RAND GROUP INC | COM | 261608103 | 8,690 | 101,995 | SH | SOLE | 101,995 | 0 | 0 | ||
DRESSER-RAND GROUP INC | COM | 261608103 | 496 | 95,400 | SH | Call | SOLE | 95,400 | 0 | 0 | |
ELECTRUM SPL ACQUISITION COR | UNIT 99/99/9999 | G3105C120 | 1,922 | 191,840 | SH | SOLE | 191,840 | 0 | 0 | ||
ENERGIZER HLDGS INC | COM | 29266R108 | 4,101 | 31,173 | SH | SOLE | 31,173 | 0 | 0 | ||
EXCEL TR INC | COM | 30068C109 | 5,688 | 360,696 | SH | SOLE | 360,696 | 0 | 0 | ||
FAMILY DLR STORES INC | COM | 307000109 | 28,821 | 365,699 | SH | SOLE | 365,699 | 0 | 0 | ||
FAMILY DLR STORES INC | COM | 307000109 | 1 | 18,500 | SH | Put | SOLE | 18,500 | 0 | 0 | |
FINTECH ACQUISITION CORP | *W EXP 02/19/202 | 31809H118 | 33 | 95,860 | SH | SOLE | 95,860 | 0 | 0 | ||
FINTECH ACQUISITION CORP | COM | 31809H100 | 959 | 95,860 | SH | SOLE | 95,860 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | *W EXP 06/24/201 | G5866L116 | 12 | 95,533 | SH | SOLE | 95,533 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | RIGHT 06/25/2016 | G5866L132 | 41 | 258,714 | SH | SOLE | 258,714 | 0 | 0 | ||
GARNERO GROUP ACQUISITION CO | SHS | G5866L108 | 2,541 | 258,714 | SH | SOLE | 258,714 | 0 | 0 | ||
GLOBAL DEFENSE & NATL SEC SY | COM | 37953N108 | 4,125 | 392,828 | SH | SOLE | 392,828 | 0 | 0 | ||
GP INVTS ACQUISITION COR | UNIT 99/99/9999 | G40357116 | 519 | 51,701 | SH | SOLE | 51,701 | 0 | 0 | ||
GRAFTECH INTL LTD | COM | 384313102 | 7 | 98,100 | SH | Call | SOLE | 98,100 | 0 | 0 | |
HARMONY MERGER CORP | *W EXP 01/01/202 | 413247123 | 75 | 268,321 | SH | SOLE | 268,321 | 0 | 0 | ||
HARMONY MERGER CORP | COM | 413247107 | 2,644 | 268,408 | SH | SOLE | 268,408 | 0 | 0 | ||
HARRIS CORP DEL | COM | 413875105 | 21 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
HERITAGE FINL GROUP INC | COM | 42726X102 | 8,034 | 265,965 | SH | SOLE | 265,965 | 0 | 0 | ||
HUDSON VALLEY HOLDING CORP | COM | 444172100 | 6,683 | 236,786 | SH | SOLE | 236,786 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | *W EXP 10/20/202 | 448740118 | 25 | 167,965 | SH | SOLE | 167,965 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | COM | 448740100 | 2,784 | 287,940 | SH | SOLE | 287,940 | 0 | 0 | ||
HYDRA INDS ACQUISITION CORP | RIGHT 99/99/9999 | 448740126 | 95 | 279,302 | SH | SOLE | 279,302 | 0 | 0 | ||
IGATE CORP | COM | 45169U105 | 16,708 | 350,339 | SH | SOLE | 350,339 | 0 | 0 | ||
MYLAN N V | SHS EURO | N59465109 | 154 | 95,600 | SH | Call | SOLE | 95,600 | 0 | 0 | |
NCR CORP NEW | COM | 62886E108 | 4 | 24,000 | SH | Call | SOLE | 24,000 | 0 | 0 | |
NEWS CORP NEW | CL B | 65249B208 | 1,660 | 116,588 | SH | SOLE | 116,588 | 0 | 0 | ||
NISOURCE INC | COM | 65473P105 | 2,523 | 55,346 | SH | SOLE | 55,346 | 0 | 0 | ||
NXP SEMICONDUCTORS N V | COM | N6596X109 | 10 | 96,000 | SH | Call | SOLE | 96,000 | 0 | 0 | |
QUINPARIO ACQUISITION CORP 2 | *W EXP 01/01/202 | 74874U119 | 193 | 552,824 | SH | SOLE | 552,824 | 0 | 0 | ||
QUINPARIO ACQUISITION CORP 2 | COM | 74874U101 | 11,460 | 1,155,998 | SH | SOLE | 1,155,998 | 0 | 0 | ||
ROCK-TENN CO | CL A | 772739207 | 9,011 | 149,694 | SH | SOLE | 149,694 | 0 | 0 | ||
ROI ACQUISITION CORP II | *W EXP 09/17/201 | 74966G119 | 20 | 81,234 | SH | SOLE | 81,234 | 0 | 0 | ||
ROI ACQUISITION CORP II | COM | 74966G101 | 5,321 | 519,110 | SH | SOLE | 519,110 | 0 | 0 | ||
RTI INTL METALS INC | COM | 74973W107 | 7,807 | 247,681 | SH | SOLE | 247,681 | 0 | 0 | ||
SINO MERCURY ACQUISITION COR | COM | 82936K102 | 953 | 95,810 | SH | SOLE | 95,810 | 0 | 0 | ||
SINO MERCURY ACQUISITION COR | RIGHT 08/26/2016 | 82936K110 | 48 | 77,606 | SH | SOLE | 77,606 | 0 | 0 | ||
SUSQUEHANNA BANCSHARES INC P | COM | 869099101 | 9,447 | 669,034 | SH | SOLE | 669,034 | 0 | 0 | ||
TERRAPIN 3 ACQUISITION CORP | COM CL A | 88104P104 | 5,968 | 587,964 | SH | SOLE | 587,964 | 0 | 0 | ||
WESTROCK CO | COM | 96145D105 | 5,844 | 95,956 | SH | SOLE | 95,956 | 0 | 0 | ||
WL ROSS HLDG CORP | *W EXP 06/11/201 | 92939D112 | 147 | 146,650 | SH | SOLE | 146,650 | 0 | 0 | ||
WL ROSS HLDG CORP | COM SHS | 92939D104 | 8,349 | 801,977 | SH | SOLE | 801,977 | 0 | 0 | ||
HEALTHEQUITY INC | COM | 42226A107 | 457,321 | 14,269,000 | SH | SOLE | 14,269,000 | 0 | 0 | ||
POTASH CORP. OF SASKATCHEWAN INC. | COM | 73755L107 | 33,726 | 1,089,000 | SH | SOLE | 1,089,000 | 0 | 0 | ||
ANN INC | COM | 035623107 | 23,679 | 490,341 | SH | SOLE | 490,341 | 0 | 0 | ||
COMCAST CORP NEW | CL A | 20030N101 | 866 | 14,395 | SH | SOLE | 14,395 | 0 | 0 | ||
DISCOVERY COMMUNICATNS NEW | COM SER C | 25470F302 | 7,562 | 243,318 | SH | SOLE | 243,318 | 0 | 0 | ||
HCC INS HLDGS INC | COM | 404132102 | 11,808 | 153,670 | SH | SOLE | 153,670 | 0 | 0 | ||
HCC INS HLDGS INC | COM | 404132102 | 51 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
KYTHERA BIOPHARMACEUTICALS I | COM | 501570105 | 7,609 | 101,036 | SH | SOLE | 101,036 | 0 | 0 | ||
KYTHERA BIOPHARMACEUTICALS I | COM | 501570105 | 3 | 11,100 | SH | Put | SOLE | 11,100 | 0 | 0 | |
LIBERTY GLOBAL PLC | SHS CL A | G5480U104 | 20 | 19,200 | SH | Call | SOLE | 19,200 | 0 | 0 | |
LIBERTY GLOBAL PLC | SHS CL C | G5480U120 | 9,616 | 189,922 | SH | SOLE | 189,922 | 0 | 0 | ||
LOEWS CORP | COM | 540424108 | 2,143 | 55,657 | SH | SOLE | 55,657 | 0 | 0 | ||
SIGMA ALDRICH CORP | COM | 826552101 | 23,922 | 171,669 | SH | SOLE | 171,669 | 0 | 0 | ||
VIACOM INC NEW | CL A | 92553P102 | 544 | 8,381 | SH | SOLE | 8,381 | 0 | 0 | ||
WILLIAMS PARTNERS L P NEW | COM UNIT LTD PAR | 96949L105 | 21,909 | 452,390 | SH | SOLE | 452,390 | 0 | 0 | ||
OMNICARE INC | NOTE 3.500% 2/1 | 681904AQ1 | 6,870 | 4,796,000 | PRN | SOLE | 4,796,000 | 0 | 0 | ||
PALL CORP | COM | 696429307 | 16,951 | 136,206 | SH | SOLE | 136,206 | 0 | 0 | ||
TWENTY FIRST CENTY FOX INC | CL B | 90130A200 | 502 | 15,577 | SH | SOLE | 15,577 | 0 | 0 |