The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
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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 |
| AGILE THERAPEUTICS INC | COM | 00847L100 | 225 | 23,035 | SH | SOLE | 23,035 | 0 | 0 | ||
| AMERICAN CAP LTD | COM | 02503Y103 | 946 | 68,621 | SH | SOLE | 68,621 | 0 | 0 | ||
| AMERICAN CAP SR FLOATING LTD | COM | 02504D108 | 129 | 13,157 | SH | SOLE | 13,157 | 0 | 0 | ||
| ARBUTUS BIOPHARMA CORP | COM | 03879J100 | 132 | 29,762 | SH | SOLE | 29,762 | 0 | 0 | ||
| ASSEMBLY BIOSCIENCES INC | COM | 045396108 | 136 | 18,101 | SH | SOLE | 18,101 | 0 | 0 | ||
| BERKSHIRE HATHAWAY INC DEL | CL B NEW | 084670702 | 204 | 1,546 | SH | SOLE | 1,546 | 0 | 0 | ||
| BLACKROCK FLOAT RATE OME STR | COM | 09255X100 | 287 | 22,285 | SH | SOLE | 22,285 | 0 | 0 | ||
| CELATOR PHARMACEUTICALS INC | COM | 15089R102 | 3,954 | 2,246,469 | SH | SOLE | 2,246,469 | 0 | 0 | ||
| CIDARA THERAPEUTICS INC | COM | 171757107 | 220 | 12,812 | SH | SOLE | 12,812 | 0 | 0 | ||
| CM FIN INC | COM | 12574Q103 | 150 | 15,020 | SH | SOLE | 15,020 | 0 | 0 | ||
| MEDLEY CAP CORP | COM | 58503F106 | 126 | 16,693 | SH | SOLE | 16,693 | 0 | 0 | ||
| MEDLEY MGMT INC | CL A COM | 58503T106 | 187 | 32,893 | SH | SOLE | 32,893 | 0 | 0 | ||
| NUVEEN FLTNG RTE INCM OPP FD | COM SHS | 6706EN100 | 258 | 26,314 | SH | SOLE | 26,314 | 0 | 0 | ||
| NUVEEN SR INCOME FD | COM | 67067Y104 | 418 | 72,363 | SH | SOLE | 72,363 | 0 | 0 | ||
| PIONEER FLOATING RATE TR | COM | 72369J102 | 321 | 29,603 | SH | SOLE | 29,603 | 0 | 0 | ||
| PRONAI THERAPEUTICS INC | COM | 74346L101 | 688 | 45,719 | SH | SOLE | 45,719 | 0 | 0 | ||
| SPDR S&P 500 ETF TR | TR UNIT | 78462F103 | 7,594 | 37,251 | SH | Put | SOLE | 37,251 | 0 | 0 | |
| STELLUS CAP INVT CORP | COM | 858568108 | 206 | 21,380 | SH | SOLE | 21,380 | 0 | 0 | ||
| SYNTA PHARMACEUTICALS CORP | COM | 87162T206 | 7,637 | 21,696,894 | SH | SOLE | 21,696,894 | 0 | 0 | ||
| SYNTA PHARMACEUTICALS CORP | COM | 87162T206 | 22 | 62,000 | SH | Call | SOLE | 62,000 | 0 | 0 | |