0001567619-18-005023.txt : 20181102
0001567619-18-005023.hdr.sgml : 20181102
20181102171104
ACCESSION NUMBER: 0001567619-18-005023
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20180930
FILED AS OF DATE: 20181102
DATE AS OF CHANGE: 20181102
EFFECTIVENESS DATE: 20181102
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: Teton Advisors, Inc.
CENTRAL INDEX KEY: 0001444874
STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282]
IRS NUMBER: 134008049
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 13F-HR
SEC ACT: 1934 Act
SEC FILE NUMBER: 028-13534
FILM NUMBER: 181157995
BUSINESS ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
BUSINESS PHONE: (914) 457-1070
MAIL ADDRESS:
STREET 1: ONE CORPORATE CENTER
CITY: RYE
STATE: NY
ZIP: 10580
13F-HR
1
primary_doc.xml
13F-HR
LIVE
false
true
false
0001444874
XXXXXXXX
09-30-2018
09-30-2018
Teton Advisors, Inc.
ONE CORPORATE CENTER
RYE
NY
10580
13F HOLDINGS REPORT
028-13534
N
David Goldman
Counsel
914-921-7793
/s/ David Goldman
Rye
NY
10-30-2018
0
476
1140103
false
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COM
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COM
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COM
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ECPG 4 1/2 9/1/23
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COM
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400000
PRN
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400000
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EXELIXIS INC COM
COM
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175000
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COM
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COM
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COM
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11000
SH
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6500
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COM
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COM
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13200
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COM
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SH
SOLE
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FIRST FNDTN INC COM
COM
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SH
SOLE
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24300
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COM
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SH
SOLE
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0
0
FLUSHING FINL CORP COM
COM
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SH
SOLE
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0
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FORMFACTOR INC COM
COM
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6757
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SH
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31836
FOSTER L B CO COM
COM
350060109
1603
78000
SH
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78000
0
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FREQUENCY ELECTRS INC COM
COM
358010106
216
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SH
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0
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FRP HLDGS INC COM
COM
30292L107
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SH
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COM
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COM
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13400
SH
SOLE
13400
0
0
GIBRALTER INDUSTRIES INC
COM
374689107
6612
145000
SH
SOLE
145000
0
0
GLACIER BANCORP INC NEW COM
COM
37637Q105
1094
25400
SH
SOLE
7900
0
17500
GNC HLDGS INC COM CL A
COM
36191G107
145
35000
SH
SOLE
35000
0
0
GOGO INC COM
COM
38046C109
337
65000
SH
SOLE
65000
0
0
GOLDEN ENTERTAINMENT INC
COM
381013101
12228
509297
SH
SOLE
509297
0
0
GORMAN RUPP CO
COM
383082104
4986
136600
SH
SOLE
136600
0
0
GP STRATEGIES CORP COM
COM
36225V104
2153
127793
SH
SOLE
127793
0
0
GRAHAM CORP COM
COM
384556106
975
34600
SH
SOLE
34600
0
0
GRANITE CONSTR INC COM
COM
387328107
2514
55000
SH
SOLE
55000
0
0
GRAY TELEVISION, INC
COM
389375106
4366
249500
SH
SOLE
249500
0
0
GRAY TELEVISION, INC CL A
COM
389375205
1333
84084
SH
SOLE
84084
0
0
GRIFFIN INDUSTRIAL REALTY IN
COM
398231100
10725
275000
SH
SOLE
275000
0
0
GRIFFON CORP COM
COM
398433102
7083
438579
SH
SOLE
438579
0
0
GSE SYS INC COM
COM
36227K106
72
20000
SH
SOLE
20000
0
0
GULFPORT ENERGY CORP COM NEW
COM
402635304
205
19700
SH
SOLE
0
0
19700
GYRODYNE LLC COM
COM
403829104
290
14138
SH
SOLE
14138
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
2050
75586
SH
SOLE
75586
0
0
HALLMARK FINL SVCS INC ECCOM N
COM
40624Q203
2022
183860
SH
SOLE
183860
0
0
HANCOCK HOLDING CO
COM
410120109
689
14500
SH
SOLE
14500
0
0
HANESBRANDS INC COM
COM
410345102
786
42662
SH
SOLE
20162
0
22500
HAVERTY FURNITURE INC COM
COM
419596101
265
12000
SH
SOLE
0
0
12000
HAWKINS INC COM
COM
420261109
3109
75000
SH
SOLE
75000
0
0
HAYNES INTERNATIONAL INC
COM
420877201
817
23000
SH
SOLE
23000
0
0
HC2 HLDGS INC COM
COM
404139107
4407
720117
SH
SOLE
720117
0
0
HEARTLAND FINL USA INC COM
COM
42234Q102
261
4500
SH
SOLE
2000
0
2500
HEMISPHERE MEDIA GROUP INC CL
COM
42365Q103
593
42500
SH
SOLE
15000
0
27500
HERC HLDGS INC COM
COM
42704L104
666
13000
SH
SOLE
13000
0
0
HERITAGE COMMERCE CORP COM
COM
426927109
461
30900
SH
SOLE
30900
0
0
HESKA CORPORATION COM NEW
COM
42805E306
1303
11500
SH
SOLE
11500
0
0
HEXCEL CORP NEW COM
COM
428291108
734
10952
SH
SOLE
4752
0
6200
HOMESTREET INC COM
COM
43785V102
795
30000
SH
SOLE
30000
0
0
HOPE BANCORP INC COM
COM
43940T109
1453
89850
SH
SOLE
89850
0
0
HUTTIG BLDG PRODS INC COM
COM
448451104
3224
764000
SH
SOLE
764000
0
0
I3 VERTICALS INC COM CL A
COM
46571Y107
2167
94300
SH
SOLE
94300
0
0
ICC HOLDINGS INC
COM
44931Q104
516
34400
SH
SOLE
34400
0
0
ICF INTL INC COM
COM
44925C103
1758
23300
SH
SOLE
23300
0
0
ICPT 3 1/4 7/1/23
CONVERTIBLE BOND
45845PAA6
303
300000
PRN
SOLE
300000
0
0
ICU MEDICAL INC
COM
44930G107
2141
7572
SH
SOLE
5480
0
2092
IFF 6 09/15/21
CONVERTIBLE PREF
459506309
289
5032
SH
SOLE
5032
0
0
IMAX CORP COM
COM
45245E109
800
31000
SH
SOLE
31000
0
0
INDEPENDENCE CONTRACT DRIL ICO
COM
453415309
1260
255000
SH
SOLE
255000
0
0
INFINERA CORPORATION COM
COM
45667G103
1442
197600
SH
SOLE
76200
0
121400
INFN 2 1/8 9/1/24
CONVERTIBLE BOND
45667GAC7
404
400000
PRN
SOLE
400000
0
0
INFUSYSTEM HLDGS INC COM
COM
45685K102
1990
612448
SH
SOLE
612448
0
0
INGLES MKTS INC CL A
COM
457030104
6186
180600
SH
SOLE
180600
0
0
INNOPHOS HOLDINGS INC COM
COM
45774N108
311
7000
SH
SOLE
7000
0
0
INNOVATIVE SOLUTIONS & SUPPOCO
COM
45769N105
312
123000
SH
SOLE
123000
0
0
INSIGNIA SYS INC COM
COM
45765Y105
187
108090
SH
SOLE
108090
0
0
INSPIRED ENTMT INC COM
COM
45782N108
1614
264640
SH
SOLE
264640
0
0
INTEGER HOLDINGS CORP
COM
45826H109
1908
23000
SH
SOLE
23000
0
0
INTERDIGITAL INC 1.5 3/1/20
CONVERTIBLE BOND
458660AD9
410
350000
PRN
SOLE
350000
0
0
INTERNAP CORP COM PAR
COM
45885A409
5406
427997
SH
SOLE
427997
0
0
INTEVAC INC COM
COM
461148108
1222
235030
SH
SOLE
235030
0
0
INTRICON CORP COM
COM
46121H109
6875
122337
SH
SOLE
122337
0
0
INVESTORS BANCORP INC
COM
46146L101
1264
103046
SH
SOLE
44250
0
58796
INVITAE CORP COM
COM
46185L103
1899
113500
SH
SOLE
113500
0
0
IPHI 1 1/8 12/1/20
CONVERTIBLE BOND
45772FAB3
577
500000
PRN
SOLE
500000
0
0
IRIDIUM COMMUNICATIONS INC COM
COM
46269C102
450
20000
SH
SOLE
20000
0
0
ITERIS INC
COM
46564T107
108
20000
SH
SOLE
20000
0
0
IVC 4 1/2 6/1/22
CONVERTIBLE BOND
461203AH4
228
200000
PRN
SOLE
200000
0
0
J & J SNACK FOODS CORP
COM
466032109
226
1500
SH
SOLE
1500
0
0
JOHN BEAN TECHNOLOGIES CORP CO
COM
477839104
10260
86000
SH
SOLE
86000
0
0
JOHNSON OUTDOORS INC CL A
COM
479167108
883
9500
SH
SOLE
9500
0
0
K2M GROUP HLDGS INC COM
COM
48273J107
1204
44000
SH
SOLE
44000
0
0
KAMAN CORP
COM
483548103
13102
196200
SH
SOLE
196200
0
0
KAMN 3 1/4 5/1/24
CONVERTIBLE BOND
483548AF0
591
500000
PRN
SOLE
500000
0
0
KAR AUCTION SVCS INC COM
COM
48238T109
2207
36979
SH
SOLE
36979
0
0
KIMBALL ELECTRONICS INC COM
COM
49428J109
2162
110000
SH
SOLE
110000
0
0
KIMBALL INTL INC CL B
COM
494274103
8978
536000
SH
SOLE
536000
0
0
KKR & CO INC CL A
COM
48251W104
2477
90843
SH
SOLE
90843
0
0
KLX ENERGY SERVICES HOLD
COM
48253L106
362
11306
SH
SOLE
11306
0
0
KN 3 1/4 11/1/21
CONVERTIBLE BOND
49926DAB5
343
300000
PRN
SOLE
300000
0
0
KOPIN CORP COM
COM
500600101
520
215000
SH
SOLE
215000
0
0
LA Z BOY CHAIR CO
COM
505336107
1770
56000
SH
SOLE
56000
0
0
LAKELAND INDS INC.
COM
511795106
162
12211
SH
SOLE
12211
0
0
LANDS END INC NEW COM
COM
51509F105
1492
85000
SH
SOLE
85000
0
0
LAWSON PRODS INC COM
COM
520776105
9731
287042
SH
SOLE
287042
0
0
LEGACY TEX FINL GROUP INC COM
COM
52471Y106
2458
57700
SH
SOLE
19800
0
37900
LENDING TREE INC.
COM
52603B107
2577
11200
SH
SOLE
11200
0
0
LIFETIME BRANDS INC COM
COM
53222Q103
1542
141451
SH
SOLE
141451
0
0
LIFEWAY FOODS INC COM
COM
531914109
412
154700
SH
SOLE
154700
0
0
LIMONEIRA CO COM
COM
532746104
3642
139475
SH
SOLE
139475
0
0
LINDSAY CORP
COM
535555106
1520
15164
SH
SOLE
15164
0
0
LITE 1/4 3/15/24
CONVERTIBLE BOND
55024UAB5
615
512000
PRN
SOLE
512000
0
0
LITHIA MOTORS INC.
COM
536797103
2221
27200
SH
SOLE
27200
0
0
LITTELFUSE INC
COM
537008104
1247
6304
SH
SOLE
6304
0
0
LSB INDS INC COM
COM
502160104
799
81650
SH
SOLE
81650
0
0
LYDALL INC COM
COM
550819106
4739
109949
SH
SOLE
109949
0
0
MACQUARIE INFRASTRUCTURE COMPA
COM
55608B105
738
16000
SH
SOLE
16000
0
0
MAGNOLIA OIL & GAS CORP CL A
COM
559663109
740
49300
SH
SOLE
22000
0
27300
MARCUS CORP COM
COM
566330106
15311
364112
SH
SOLE
364112
0
0
MARINE PRODS CORP COM
COM
568427108
18449
806000
SH
SOLE
806000
0
0
MARINEMAX INC COM
COM
567908108
1275
60000
SH
SOLE
60000
0
0
MARVELL TECHNOLOGY GRP LTD
COM
G5876H105
796
41260
SH
SOLE
18260
0
23000
MATADOR RES CO COM
COM
576485205
1292
39100
SH
SOLE
17500
0
21600
MATERIALISE NV SPONSORED ADS
COM
57667T100
138
10000
SH
SOLE
10000
0
0
MATERION CORPORATION
COM
576690101
10031
165800
SH
SOLE
165800
0
0
MATTHEWS INTL CORP CL A
COM
577128101
208
4150
SH
SOLE
4150
0
0
MCDERMOTT INTERNATIONAL INC
COM
580037703
660
35800
SH
SOLE
17900
0
17900
MCGRATH RENTCORP COM
COM
580589109
2184
40100
SH
SOLE
25600
0
14500
MCHP 1 5/8 2/15/27
CONVERTIBLE BOND
595017AF1
320
300000
PRN
SOLE
300000
0
0
MDC PARTNERS INC-A
COM
552697104
519
125000
SH
SOLE
125000
0
0
MEDALLION FINANCIAL CORP
COM
583928106
1131
170000
SH
SOLE
170000
0
0
MELINTA THERAPEUTICS INC
COM
58549G100
67
17000
SH
SOLE
17000
0
0
MERCURY COMPUTER SYS INC COM
COM
589378108
1936
35000
SH
SOLE
35000
0
0
MEREDITH CORP
COM
589433101
1373
26900
SH
SOLE
12900
0
14000
MERIDIAN BIOSCIENCE INC COM
COM
589584101
1997
134000
SH
SOLE
134000
0
0
MESA LABS INC COM
COM
59064R109
5383
29000
SH
SOLE
29000
0
0
METHODE ELECTRS INC CL A
COM
591520200
1043
28800
SH
SOLE
28800
0
0
MGE ENERGY INC
COM
55277P104
2299
36000
SH
SOLE
36000
0
0
MGP INGREDIENTS INC NEW COM
COM
55303J106
1941
24580
SH
SOLE
24580
0
0
MIDDLEBY CORP COM
COM
596278101
5743
44400
SH
SOLE
44400
0
0
MIDDLESEX WTR CO COM
COM
596680108
1435
29633
SH
SOLE
29633
0
0
MINERALS TECHNOLOGIES INC
COM
603158106
277
4100
SH
SOLE
4100
0
0
MITCHAM INDS INC COM
COM
606501104
623
150069
SH
SOLE
150069
0
0
MITEK SYS INC COM NEW
COM
606710200
476
67500
SH
SOLE
67500
0
0
MITEL NETWORKS CORP COM
COM
60671Q104
1582
143600
SH
SOLE
48700
0
94900
MODINE MFG CO
COM
607828100
4643
311600
SH
SOLE
311600
0
0
MONEYGRAM INTERNATIONAL INC CO
COM
60935Y208
1586
296500
SH
SOLE
296500
0
0
MOTORCAR PTS & ACCESSORS INCCO
COM
620071100
563
24000
SH
SOLE
24000
0
0
MOVADO GROUP INC COM
COM
624580106
2640
63000
SH
SOLE
63000
0
0
MSA SAFETY INC COM
COM
553498106
1011
9500
SH
SOLE
9500
0
0
MTS SYS CORP COM
COM
553777103
274
5002
SH
SOLE
5002
0
0
MUELLER WATER PRODUCTS INC
COM
624758108
1297
112700
SH
SOLE
82400
0
30300
MVC CAP COM
COM
553829102
1296
134300
SH
SOLE
134300
0
0
MYERS INDS INC
COM
628464109
23899
1027900
SH
SOLE
1027900
0
0
MYR GROUP INC DEL COM
COM
55405W104
4180
128074
SH
SOLE
116374
0
11700
NABORS INDUSTRIES LTD SHS
COM
G6359F103
237
38402
SH
SOLE
38402
0
0
NABRIVA THERAPEUTICS PLC SHS
COM
G63637105
27
10000
SH
SOLE
10000
0
0
NAPCO SEC SYS INC COM
COM
630402105
4134
276551
SH
SOLE
276551
0
0
NATHANS FAMOUS INC NEW COM
COM
632347100
18345
222634
SH
SOLE
222634
0
0
NATIONAL CINEMEDIA INC COM
COM
635309107
593
56000
SH
SOLE
56000
0
0
NATIONAL COMM CORP COM
COM
63546L102
1156
28000
SH
SOLE
28000
0
0
NATUS MEDICAL INC DEL COM
COM
639050103
417
11700
SH
SOLE
4300
0
7400
NAUTILUS INC
COM
63910B102
1479
106031
SH
SOLE
106031
0
0
NAVIGATOR HOLDINGS LTD SHS
COM
Y62132108
2009
166000
SH
SOLE
166000
0
0
NAVISTAR INTL CORP COM
COM
63934E108
770
20000
SH
SOLE
20000
0
0
NBIX 2 1/4 5/15/24
CONVERTIBLE BOND
64125CAD1
404
237000
PRN
SOLE
237000
0
0
NEOGEN CORP COM
COM
640491106
11302
158000
SH
SOLE
158000
0
0
NEOGENOMICS INC COM NEW
COM
64049M209
3007
195877
SH
SOLE
195877
0
0
NETSCOUT SYS INC COM
COM
64115T104
1403
55550
SH
SOLE
24600
0
30950
NEW YORK CMNTY CAP TR V CV PFD
CONVERTIBLE PREF
64944P307
299
6000
SH
SOLE
6000
0
0
NICE 1 1/4 1/15/24
CONVERTIBLE BOND
65366HAB9
436
305000
PRN
SOLE
305000
0
0
NII HLDGS INC COM PAR $0.001
COM
62913F508
4747
810000
SH
SOLE
810000
0
0
NXP SEMICONDUCTORS N. V. 1.000
CONVERTIBLE BOND
62952QAB6
416
400000
PRN
SOLE
400000
0
0
OAKTREE CAP GROUP LLC UNIT CL
UNITS
674001201
967
23361
SH
SOLE
10861
0
12500
OCEANEERING INTL INC COM
COM
675232102
814
29500
SH
SOLE
15600
0
13900
OCEANFIRST FINL CORP COM
COM
675234108
668
24550
SH
SOLE
24550
0
0
OCLARO INC COM NEW
COM
67555N206
305
34100
SH
SOLE
14500
0
19600
OFG BANCORP
COM
67103X102
325
20150
SH
SOLE
20150
0
0
OIL DRI CORP AMER COM
COM
677864100
5167
134000
SH
SOLE
134000
0
0
OLD LINE BANCSHARES INC
COM
67984M100
1001
31639
SH
SOLE
31639
0
0
OMNICELL INC COM
COM
68213N109
4506
62677
SH
SOLE
50162
0
12515
OMNOVA SOLUTIONS INC COM
COM
682129101
3762
381900
SH
SOLE
381900
0
0
ON SEMICONDUCTOR CORP COM
COM
682189105
461
25020
SH
SOLE
9100
0
15920
OPKO HEALTH INC COM
COM
68375N103
810
234200
SH
SOLE
234200
0
0
OPUS BK IRVINE CALIF COM
COM
684000102
206
7500
SH
SOLE
7500
0
0
ORBCOMM INC COM
COM
68555P100
5662
521335
SH
SOLE
521335
0
0
ORITANI FINL CORP DEL COM
COM
68633D103
920
59192
SH
SOLE
48500
0
10692
ORTHOFIX MED INC COM
COM
68752M108
2613
45200
SH
SOLE
45200
0
0
OXFORD INDS INC COM
COM
691497309
1146
12700
SH
SOLE
6200
0
6500
PANDORA MEDIA INC COM
COM
698354107
1853
194839
SH
SOLE
94539
0
100300
PARAMOUNT GROUP INC COM
COM
69924R108
469
31100
SH
SOLE
12900
0
18200
PARATEK PHARMACEUTICALS INC CO
COM
699374302
233
24000
SH
SOLE
24000
0
0
PARK ELECTROCHEMICAL CORP COM
COM
700416209
2524
129500
SH
SOLE
129500
0
0
PARK OHIO HLDGS CORP COM
COM
700666100
7214
188100
SH
SOLE
188100
0
0
PARSLEY ENERGY INC CL A
COM
701877102
995
34000
SH
SOLE
16600
0
17400
PATRIOT TRAMSPORTATION HOLDING
COM
70338W105
327
17000
SH
SOLE
17000
0
0
PATTERSON COMPANIES INC
COM
703395103
1735
70944
SH
SOLE
35531
0
35413
PATTERSON-UTI ENERGY INC COM
COM
703481101
2216
129525
SH
SOLE
56379
0
73146
PCRX 2 3/8 4/1/22
CONVERTIBLE BOND
695127AD2
212
200000
PRN
SOLE
200000
0
0
PCSB FINANCIAL CORPORATION COM
COM
69324R104
295
14500
SH
SOLE
14500
0
0
PDC ENERGY INC
COM
69327R101
348
7100
SH
SOLE
3200
0
3900
PFSWEB INC COM NEW
COM
717098206
2442
329962
SH
SOLE
329962
0
0
PHH CORP COM NEW
COM
693320202
220
20000
SH
SOLE
20000
0
0
PIER 1 IMPORTS INC SHS BEN INT
COM
720279108
18
12000
SH
SOLE
12000
0
0
PLANTRONICS
COM
727493108
742
12300
SH
SOLE
3600
0
8700
POWELL INDS INC COM
COM
739128106
729
20103
SH
SOLE
20103
0
0
PREFORMED LINE PRODS CO COM
COM
740444104
407
5788
SH
SOLE
5788
0
0
PRGX GLOBAL INC
COM
69357C503
1392
160019
SH
SOLE
160019
0
0
PRIMO WTR CORP COM
COM
74165N105
237
13121
SH
SOLE
13121
0
0
PRO 2.000 06/01/47
CONVERTIBLE BOND
74346YAD5
486
500000
PRN
SOLE
500000
0
0
PROGENICS PHARMACEUTICALS INCO
COM
743187106
63
10000
SH
SOLE
10000
0
0
PROGRESS SOFTWARE CORP COM
COM
743312100
1255
35558
SH
SOLE
13300
0
22258
PROOFPOINT INC COM
COM
743424103
203
1911
SH
SOLE
1911
0
0
PROPETRO HLDG CORP COM
COM
74347M108
383
23200
SH
SOLE
11800
0
11400
PZENA INVESTMENT MGMT INC CLAS
COM
74731Q103
1507
158000
SH
SOLE
158000
0
0
QTS 6 1/2 SERIES B PERP
CONVERTIBLE PREF
74736A301
422
4000
SH
SOLE
4000
0
0
QUIDEL CORP COM
COM
74838J101
9222
141500
SH
SOLE
141500
0
0
RAVEN INDS INC COM
COM
754212108
1147
25080
SH
SOLE
25080
0
0
READING INTERNATIONAL INC CL B
COM
755408200
2119
74359
SH
SOLE
74359
0
0
READING INTL INC CL A
COM
755408101
7816
494652
SH
SOLE
494652
0
0
RENASANT CORP COM
COM
75970E107
1524
36971
SH
SOLE
36971
0
0
RGC RES INC COM
COM
74955L103
1679
62850
SH
SOLE
62850
0
0
RLJ ENTMT INC COM NEW
COM
74965F203
2573
415000
SH
SOLE
415000
0
0
RPC INC. COMMON
COM
749660106
1310
84605
SH
SOLE
84605
0
0
RTI BIOLOGICS INC COM
COM
74975N105
297
66000
SH
SOLE
66000
0
0
RUSH ENTERPRISES INC CL A
COM
781846209
1891
48105
SH
SOLE
40605
0
7500
RUSH ENTERPRISES INC CL B
COM
781846308
4149
104005
SH
SOLE
104005
0
0
RYMAN HOSPITALITY PPTYS INC CO
COM
78377T107
862
10000
SH
SOLE
10000
0
0
SAFEGUARD SCIENTIFICS INC COM
COM
786449207
261
27920
SH
SOLE
27920
0
0
SALEM COMMUNICATIONS CORP DECL
COM
794093104
1946
572477
SH
SOLE
572477
0
0
SANDY SPRING BANCORP INC COM
COM
800363103
256
6500
SH
SOLE
6500
0
0
SANFILIPPO JOHN B & SON INC CO
COM
800422107
1608
22531
SH
SOLE
22531
0
0
SANOFI-AVENTIS-CVR
WARRANT AND RIGH
80105N113
212
400000
SH
SOLE
400000
0
0
SCHMITT INDS INC ORE COM NEW
COM
806870200
1970
701029
SH
SOLE
701029
0
0
SCIENTIFIC GAMES CORP CL A
COM
80874P109
533
21000
SH
SOLE
21000
0
0
SCRIPPS E W CO OHIO CL A
COM
811054402
14983
908048
SH
SOLE
908048
0
0
SHENANDOAH TELECOMMUNICATIONCD
COM
82312B106
12342
318500
SH
SOLE
318500
0
0
SHILOH INDS INC COM
COM
824543102
594
54000
SH
SOLE
54000
0
0
SI FINL GROUP INC MD COM
COM
78425V104
145
10342
SH
SOLE
10342
0
0
SILVERCREST ASSET MGMT GROUPCL
COM
828359109
1177
85000
SH
SOLE
85000
0
0
SIMMONS 1ST NATL CORP CL A $1
COM
828730200
473
16074
SH
SOLE
16074
0
0
SINCLAIR BROADCAST GROUP INCCL
COM
829226109
936
33000
SH
SOLE
33000
0
0
SJW GROUP
COM
784305104
5461
89304
SH
SOLE
89304
0
0
SKYLINE CHAMPION CORPORATION
COM
830830105
2943
103000
SH
SOLE
103000
0
0
SLAB 13/8 3/1/22
CONVERTIBLE BOND
826919AB8
241
211000
PRN
SOLE
211000
0
0
SMART SAND INC COM
COM
83191H107
41
10000
SH
SOLE
10000
0
0
SONIC AUTOMOTIVE INC CL A
COM
83545G102
1287
66500
SH
SOLE
66500
0
0
SOUTH JERSEY INDS INC CORP UNI
UNITS
838518116
543
9705
SH
SOLE
9705
0
0
SOUTH ST CORP COM
COM
840441109
262
3200
SH
SOLE
3200
0
0
SOUTHERN FIRST BANCSHARES INCO
COM
842873101
2262
57559
SH
SOLE
57559
0
0
SOUTHERN NATL BANCORP OF VA CO
COM
843395104
763
47100
SH
SOLE
47100
0
0
SPARTON CORP COM
COM
847235108
3300
228687
SH
SOLE
228687
0
0
SPWR 4 1/15/23
CONVERTIBLE BOND
867652AL3
421
500000
PRN
SOLE
500000
0
0
SRE 6 01/15/21
CONVERTIBLE PREF
816851406
356
3535
SH
SOLE
3535
0
0
STANDARD MTR PRODS INC CLASS A
COM
853666105
6015
122200
SH
SOLE
122200
0
0
STANDEX INTL CORP
COM
854231107
2919
28000
SH
SOLE
28000
0
0
STARRETT L S CO CL A
COM
855668109
2119
353183
SH
SOLE
353183
0
0
STATE BK FINL CORP COM
COM
856190103
2028
67200
SH
SOLE
56800
0
10400
STEEL CONNECT INC
COM
858098106
3472
1630000
SH
SOLE
1630000
0
0
STEEL PARTNERS HLDGS L P
COM
85814R107
10588
634000
SH
SOLE
634000
0
0
STEELCASE INC CL A
COM
858155203
851
45980
SH
SOLE
21980
0
24000
STERIS PLC SHARES
COM
G84720104
400
3500
SH
SOLE
3500
0
0
STERLING BANCORP/DE
COM
85917A100
3164
143809
SH
SOLE
143809
0
0
STIFEL FINL CORP COM
COM
860630102
899
17532
SH
SOLE
5500
0
12032
STONERIDGE INC
COM
86183P102
6940
233498
SH
SOLE
233498
0
0
STRATASYS LTD SHS
COM
M85548101
370
16000
SH
SOLE
16000
0
0
STRATTEC SECURITY CORP.
COM
863111100
6528
183100
SH
SOLE
183100
0
0
SUNOPTA INC COM
COM
8676EP108
1548
210545
SH
SOLE
210545
0
0
SUPERIOR INDS INTL INC
COM
868168105
7742
454100
SH
SOLE
454100
0
0
SURMODICS INC COM
COM
868873100
10662
142828
SH
SOLE
142828
0
0
SVB FINL GROUP COM
COM
78486Q101
325
1045
SH
SOLE
148
0
897
SWK 5 3/8 5/15/20
CONVERTIBLE PREF
854502887
330
3007
SH
SOLE
3007
0
0
S&W SEED CO COM
COM
785135104
1201
490000
SH
SOLE
490000
0
0
TDOC 3.000 12/15/22
CONVERTIBLE BOND
87918AAB1
613
300000
PRN
SOLE
300000
0
0
TEAM INC COM
COM
878155100
6089
270600
SH
SOLE
270600
0
0
TEJON RANCH CO DEL COM
COM
879080109
3734
172000
SH
SOLE
172000
0
0
TENNANT CO
COM
880345103
3744
49300
SH
SOLE
49300
0
0
TENNECO INC
COM
880349105
1559
37000
SH
SOLE
37000
0
0
TER 1 1/4 12/15/23
CONVERTIBLE BOND
880770AG7
391
300000
PRN
SOLE
300000
0
0
TETRAPHASE PHARMACEUTICALS ICO
COM
88165N105
121
44000
SH
SOLE
44000
0
0
THESTREET INC
COM
88368Q103
154
70000
SH
SOLE
70000
0
0
TIMKENSTEEL CORP COM
COM
887399103
4699
316000
SH
SOLE
316000
0
0
TISI 5.000 08/01/23
CONVERTIBLE BOND
878155AE0
368
292000
PRN
SOLE
292000
0
0
TITAN INTL INC ILL COM
COM
88830M102
264
35600
SH
SOLE
35600
0
0
TITAN MACHY INC COM
COM
88830R101
2600
167888
SH
SOLE
167888
0
0
TOWER INTL INC COM
COM
891826109
1011
33425
SH
SOLE
33425
0
0
TOWNSQUARE MEDIA INC CL A
COM
892231101
979
125007
SH
SOLE
125007
0
0
TRANSACT TECHNOLOGIES INC COM
COM
892918103
1830
127100
SH
SOLE
127100
0
0
TRECORA RES COM
COM
894648104
531
37900
SH
SOLE
17400
0
20500
TREDEGAR INDS INC
COM
894650100
11343
523920
SH
SOLE
523920
0
0
TREE 5/8 6/1/22
CONVERTIBLE BOND
52603BAA5
252
199000
PRN
SOLE
199000
0
0
TRINITY BIOTECH PLC SPON ADR N
COM
896438306
576
143890
SH
SOLE
143890
0
0
TRINITY PL HLDGS INC COM
COM
89656D101
274
45023
SH
SOLE
45023
0
0
TRISTATE CAP HLDGS INC COM
COM
89678F100
276
10000
SH
SOLE
10000
0
0
TRONC INC COM
COM
89703P107
442
27057
SH
SOLE
27057
0
0
TRUSTCO BK CORP N Y COM
COM
898349105
628
73900
SH
SOLE
73900
0
0
TTM TECHNOLOGIES INC COM
COM
87305R109
315
19800
SH
SOLE
8300
0
11500
TUESDAY MORNING CORP COM NEW
COM
899035505
275
86000
SH
SOLE
86000
0
0
TWIN DISC INC COM
COM
901476101
9881
428854
SH
SOLE
428854
0
0
TYLER TECHNOLOGIES INC COM
COM
902252105
833
3400
SH
SOLE
3400
0
0
ULTRA CLEAN HLDGS INC COM
COM
90385V107
1970
157000
SH
SOLE
157000
0
0
ULTRALIFE BATTERIES INC COM
COM
903899102
204
25000
SH
SOLE
25000
0
0
UMPQUA HLDGS CORP COM
COM
904214103
434
20886
SH
SOLE
14250
0
6636
UNION BANKSHARES CORP NEW COM
COM
90539J109
1074
27880
SH
SOLE
23280
0
4600
UNITED FINANCIAL BANCORP INC
COM
910304104
3292
195600
SH
SOLE
158500
0
37100
UNITED GUARDIAN INC COM
COM
910571108
1287
79700
SH
SOLE
79700
0
0
UNIVERSAL TECHNICAL INST INCCO
COM
913915104
346
130000
SH
SOLE
130000
0
0
UTAH MED PRODS INC COM
COM
917488108
471
5000
SH
SOLE
5000
0
0
VALUE LINE INC
COM
920437100
824
33089
SH
SOLE
33089
0
0
VERITEX HLDGS INC COM
COM
923451108
3086
109200
SH
SOLE
100000
0
9200
VERSUM MATLS INC COM
COM
92532W103
747
20741
SH
SOLE
10047
0
10694
VIAD CORP COM NEW
COM
92552R406
2209
37282
SH
SOLE
37282
0
0
VICOR CORP COM
COM
925815102
391
8500
SH
SOLE
8500
0
0
VILLAGE SUPER MKT INC CL A NEW
COM
927107409
2007
73781
SH
SOLE
73781
0
0
VITAMIN SHOPPE INC COM
COM
92849E101
550
55000
SH
SOLE
55000
0
0
WABASH NATL CORP COM
COM
929566107
1276
70000
SH
SOLE
70000
0
0
WASHINGTON FED INC
COM
938824109
818
25550
SH
SOLE
7000
0
18550
WASHINGTON TR BANCORP COM
COM
940610108
3319
60020
SH
SOLE
49900
0
10120
WATERSTONE FINL INC MD COM
COM
94188P101
1682
98100
SH
SOLE
88000
0
10100
WESTERN NEW ENGLAND BANCORP
COM
958892101
948
87760
SH
SOLE
87760
0
0
WHITING PETE CORP NEW COM
COM
966387409
451
8500
SH
SOLE
3700
0
4800
WIDEOPENWEST INC COM
COM
96758W101
224
20000
SH
SOLE
20000
0
0
WILLAMETTE VY VINEYARD INC COM
COM
969136100
182
23000
SH
SOLE
23000
0
0
WILLDAN GROUP INC COM
COM
96924N100
849
25000
SH
SOLE
25000
0
0
WINDSTREAM CORP
COM
97382A309
123
25000
SH
SOLE
25000
0
0
WINNEBAGO INDS INC COM
COM
974637100
2486
75000
SH
SOLE
67700
0
7300
WOODWARD INC
COM
980745103
441
5450
SH
SOLE
3400
0
2050
WORLD WRESTLING ENTERTAINMENT
COM
98156Q108
3192
33000
SH
SOLE
33000
0
0
XERIUM TECHNOLOGIES INC COM NE
COM
98416J118
673
50000
SH
SOLE
50000
0
0
XO GROUP INC COM
COM
983772104
2586
74991
SH
SOLE
74991
0
0
YORK WTR CO COM
COM
987184108
1368
45007
SH
SOLE
45007
0
0
ZAGG INC COM
COM
98884U108
1307
88600
SH
SOLE
88600
0
0