0001567619-19-020312.txt : 20191101
0001567619-19-020312.hdr.sgml : 20191101
20191101170040
ACCESSION NUMBER: 0001567619-19-020312
CONFORMED SUBMISSION TYPE: 13F-HR
PUBLIC DOCUMENT COUNT: 2
CONFORMED PERIOD OF REPORT: 20190930
FILED AS OF DATE: 20191101
DATE AS OF CHANGE: 20191101
EFFECTIVENESS DATE: 20191101
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: 191187485
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
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true
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0001444874
XXXXXXXX
09-30-2019
09-30-2019
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
10-25-2019
0
458
983259
false
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COM
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CONVERTIBLE BOND
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800000
PRN
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0
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DTE 6 1/2 10/1/19
CONVERTIBLE PREF
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ECPG 4 1/2 9/1/23
CONVERTIBLE BOND
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PRN
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COM
30057T105
774
45500
SH
SOLE
22600
0
22900
EXAS 3/8 3/15/27
CONVERTIBLE BOND
30063PAB1
541
500000
PRN
SOLE
500000
0
0
EXELIXIS INC COM
COM
30161Q104
3095
175000
SH
SOLE
175000
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EXTREME NETWORKS INC COM
COM
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75600
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3600
FARMER BROS CO
COM
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0
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FARMERS NATL BANC CORP COM
COM
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40000
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40000
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0
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COM
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595
12300
SH
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5800
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6500
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COM
313855108
18695
571000
SH
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571000
0
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FERRO CORP
COM
315405100
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30700
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COM
31983A103
324
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SH
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10000
0
0
FIRST FNDTN INC COM
COM
32026V104
1098
71900
SH
SOLE
34400
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37500
FIRST INTERNET BANCORP COM
COM
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780
36440
SH
SOLE
36440
0
0
FLUSHING FINL CORP COM
COM
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SOLE
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0
0
FORMFACTOR INC COM
COM
346375108
2618
140416
SH
SOLE
105580
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34836
FOSTER L B CO COM
COM
350060109
2363
109036
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109036
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FREQUENCY ELECTRS INC COM
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20808
SH
SOLE
20808
0
0
FRP HLDGS INC COM
COM
30292L107
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SH
SOLE
24400
0
0
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COM
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SH
SOLE
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0
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FTI CONSULTING INC COM
COM
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1025
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4818
FULL HOUSE RESORTS INC COM
COM
359678109
2414
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SH
SOLE
1117725
0
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GANNETT CO INC DTD 10/15/1 4.7
CONVERTIBLE BOND
36473HAB0
539
500000
PRN
SOLE
500000
0
0
GDS 2.000 06/01/25
CONVERTIBLE BOND
36165LAB4
542
523000
PRN
SOLE
523000
0
0
GENCOR INDS INC COM
COM
368678108
6490
559000
SH
SOLE
559000
0
0
GENESIS HEALTHCARE INC CL A CO
COM
37185X106
28
25000
SH
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25000
0
0
GENIUS BRANDS INTERN
COM
37229T301
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20000
SH
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20000
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GENTHERM INC COM
COM
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12190
SH
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GIBRALTER INDUSTRIES INC
COM
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133000
SH
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133000
0
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GLACIER BANCORP INC NEW COM
COM
37637Q105
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SH
SOLE
9300
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14700
GNC HLDGS INC COM CL A
COM
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70000
SH
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GOGO INC COM
COM
38046C109
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65000
SH
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65000
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GOLDEN ENTERTAINMENT INC
COM
381013101
8522
641210
SH
SOLE
641210
0
0
GORMAN RUPP CO
COM
383082104
4731
136000
SH
SOLE
136000
0
0
GP STRATEGIES CORP COM
COM
36225V104
2224
173172
SH
SOLE
173172
0
0
GRAHAM CORP COM
COM
384556106
687
34600
SH
SOLE
34600
0
0
GRANITE CONSTR INC COM
COM
387328107
578
18000
SH
SOLE
18000
0
0
GRAY TELEVISION, INC
COM
389375106
4049
248120
SH
SOLE
248120
0
0
GRAY TELEVISION, INC CL A
COM
389375205
1438
86293
SH
SOLE
86293
0
0
GREENBRIER COS INC
COM
393657101
485
16100
SH
SOLE
7800
0
8300
GRIFFIN INDUSTRIAL REALTY IN
COM
398231100
10681
281450
SH
SOLE
281450
0
0
GRIFFON CORP COM
COM
398433102
10833
516579
SH
SOLE
516579
0
0
GTY GOVTECH INC
COM
362409104
3022
482000
SH
SOLE
482000
0
0
GULFPORT ENERGY CORP COM NEW
COM
402635304
53
19700
SH
SOLE
0
0
19700
GYRODYNE LLC COM
COM
403829104
278
14138
SH
SOLE
14138
0
0
HAIN CELESTIAL GROUP INC
COM
405217100
1967
91600
SH
SOLE
77100
0
14500
HALLMARK FINL SVCS INC ECCOM N
COM
40624Q203
3736
195270
SH
SOLE
195270
0
0
HANCOCK HOLDING CO
COM
410120109
536
14000
SH
SOLE
14000
0
0
HANESBRANDS INC COM
COM
410345102
680
44400
SH
SOLE
21900
0
22500
HAWKINS INC COM
COM
420261109
2933
69000
SH
SOLE
69000
0
0
HC2 HLDGS INC COM
COM
404139107
1387
590000
SH
SOLE
590000
0
0
HEMISPHERE MEDIA GROUP INC CL
COM
42365Q103
551
45100
SH
SOLE
17600
0
27500
HERC HLDGS INC COM
COM
42704L104
605
13000
SH
SOLE
13000
0
0
HERITAGE COMMERCE CORP COM
COM
426927109
304
25900
SH
SOLE
25900
0
0
HESKA CORPORATION COM NEW
COM
42805E306
780
11000
SH
SOLE
11000
0
0
HEXCEL CORP NEW COM
COM
428291108
690
8400
SH
SOLE
3600
0
4800
HOMESTREET INC COM
COM
43785V102
820
30000
SH
SOLE
30000
0
0
HOPE BANCORP INC COM
COM
43940T109
1141
79570
SH
SOLE
79570
0
0
HUTTIG BLDG PRODS INC COM
COM
448451104
1407
670000
SH
SOLE
670000
0
0
I3 VERTICALS INC COM CL A
COM
46571Y107
2054
102100
SH
SOLE
102100
0
0
IAA SPINCO INC COM
COM
449253103
1337
32029
SH
SOLE
32029
0
0
ICC HOLDINGS INC
COM
44931Q104
465
34400
SH
SOLE
34400
0
0
ICF INTL INC COM
COM
44925C103
1968
23300
SH
SOLE
23300
0
0
ICPT 2.000 05/15/26
CONVERTIBLE BOND
45845PAB4
272
300000
PRN
SOLE
300000
0
0
ICU MEDICAL INC
COM
44930G107
1256
7872
SH
SOLE
5780
0
2092
IFF 6 09/15/21
CONVERTIBLE PREF
459506309
377
8032
SH
SOLE
8032
0
0
IMAX CORP COM
COM
45245E113
680
31000
SH
SOLE
31000
0
0
IMEDIA BRANDS INC COM CL A
COM
452465107
120
215000
SH
SOLE
215000
0
0
INDEPENDENCE CONTRACT DRIL ICO
COM
453415309
494
412000
SH
SOLE
412000
0
0
INFINERA CORPORATION COM
COM
45667G103
1433
262900
SH
SOLE
122800
0
140100
INFN 2 1/8 9/1/24
CONVERTIBLE BOND
45667GAC7
875
1000000
PRN
SOLE
1000000
0
0
INFUSYSTEM HLDGS INC COM
COM
45685K102
3240
612448
SH
SOLE
612448
0
0
INGLES MKTS INC CL A
COM
457030104
6693
172240
SH
SOLE
172240
0
0
INNOPHOS HOLDINGS INC COM
COM
45774N108
227
7000
SH
SOLE
7000
0
0
INNOVATIVE SOLUTIONS & SUPPOCO
COM
45769N105
578
123000
SH
SOLE
123000
0
0
INSIGNIA SYS INC COM
COM
45765Y105
22
22397
SH
SOLE
22397
0
0
INSPIRED ENTMT INC COM
COM
45782N108
2533
352254
SH
SOLE
352254
0
0
INSULET CORP 1.375 11/15/24
CONVERTIBLE BOND
45784PAH4
742
404000
PRN
SOLE
404000
0
0
INTEGER HOLDINGS CORP
COM
45826H109
1738
23000
SH
SOLE
23000
0
0
INTERNAP CORP COM PAR
COM
45885A409
1427
553000
SH
SOLE
553000
0
0
INTEVAC INC COM
COM
461148108
1236
235930
SH
SOLE
235930
0
0
INTRICON CORP COM
COM
46121H109
3377
173724
SH
SOLE
173724
0
0
INVESTORS BANCORP INC
COM
46146L101
1259
110846
SH
SOLE
52050
0
58796
INVITAE CORP COM
COM
46185L103
1156
60000
SH
SOLE
60000
0
0
IPHI 1 1/8 12/1/20
CONVERTIBLE BOND
45772FAB3
783
500000
PRN
SOLE
500000
0
0
IRIDIUM COMMUNICATIONS INC COM
COM
46269C102
426
20000
SH
SOLE
20000
0
0
ITERIS INC
COM
46564T107
115
20000
SH
SOLE
20000
0
0
IVC 4 1/2 6/1/22
CONVERTIBLE BOND
461203AH4
327
400000
PRN
SOLE
400000
0
0
J & J SNACK FOODS CORP
COM
466032109
288
1500
SH
SOLE
1500
0
0
JOHN BEAN TECHNOLOGIES CORP CO
COM
477839104
6475
65120
SH
SOLE
65120
0
0
JOHNSON OUTDOORS INC CL A
COM
479167108
351
6000
SH
SOLE
6000
0
0
KAMAN CORP
COM
483548103
11666
196200
SH
SOLE
196200
0
0
KAMN 3 1/4 5/1/24
CONVERTIBLE BOND
483548AF0
572
500000
PRN
SOLE
500000
0
0
KAR AUCTION SVCS INC COM
COM
48238T109
786
32029
SH
SOLE
32029
0
0
KIMBALL ELECTRONICS INC COM
COM
49428J109
1596
110000
SH
SOLE
110000
0
0
KIMBALL INTL INC CL B
COM
494274103
9457
490000
SH
SOLE
490000
0
0
KINDRED BIOSCIENCES INC COM
COM
494577109
247
36000
SH
SOLE
36000
0
0
KKR & CO INC CL A
COM
48251W104
2439
90843
SH
SOLE
90843
0
0
KLX ENERGY SERVICES HOLD
COM
48253L106
1115
129000
SH
SOLE
129000
0
0
KN 3 1/4 11/1/21
CONVERTIBLE BOND
49926DAB5
644
500000
PRN
SOLE
500000
0
0
KOPIN CORP COM
COM
500600101
105
155000
SH
SOLE
155000
0
0
LA Z BOY CHAIR CO
COM
505336107
1377
41000
SH
SOLE
41000
0
0
LAKELAND INDS INC.
COM
511795106
436
36000
SH
SOLE
36000
0
0
LANDS END INC NEW COM
COM
51509F105
1282
113000
SH
SOLE
113000
0
0
LAWSON PRODS INC COM
COM
520776105
11122
287170
SH
SOLE
287170
0
0
LEGACY HOUSING CORP COM
COM
52472M101
854
52700
SH
SOLE
52700
0
0
LEGACY TEX FINL GROUP INC COM
COM
52471Y106
2002
46000
SH
SOLE
19000
0
27000
LENDING TREE INC.
COM
52603B107
1999
6440
SH
SOLE
6440
0
0
LIFETIME BRANDS INC COM
COM
53222Q103
2099
237175
SH
SOLE
237175
0
0
LIFEWAY FOODS INC COM
COM
531914109
66
30000
SH
SOLE
30000
0
0
LIMONEIRA CO COM
COM
532746104
4011
218465
SH
SOLE
218465
0
0
LINDSAY CORP
COM
535555106
1408
15164
SH
SOLE
15164
0
0
LITE 1/4 3/15/24
CONVERTIBLE BOND
55024UAB5
828
712000
PRN
SOLE
712000
0
0
LITHIA MOTORS INC.
COM
536797103
3475
26250
SH
SOLE
26250
0
0
LITTELFUSE INC
COM
537008104
1118
6304
SH
SOLE
6304
0
0
LIVE OAK BANCSHARES INC COM
COM
53803X105
241
13300
SH
SOLE
6500
0
6800
LOGMEIN INC COM
COM
54142L109
624
8800
SH
SOLE
4100
0
4700
LUMENTUM HLDGS INC COM
COM
55024U109
625
11668
SH
SOLE
5722
0
5946
LYDALL INC COM
COM
550819106
2549
102309
SH
SOLE
102309
0
0
MACOM TECH SOLUTIONS HLDGS ICO
COM
55405Y100
445
20700
SH
SOLE
12600
0
8100
MACQUARIE INFRASTRUCTURE COMPA
COM
55608B105
632
16000
SH
SOLE
16000
0
0
MAGNOLIA OIL & GAS CORP CL A
COM
559663109
937
84400
SH
SOLE
41200
0
43200
MARCUS CORP COM
COM
566330106
13095
353812
SH
SOLE
353812
0
0
MARINE PRODS CORP COM
COM
568427108
11328
800000
SH
SOLE
800000
0
0
MARINEMAX INC COM
COM
567908108
929
60000
SH
SOLE
60000
0
0
MARVELL TECHNOLOGY GRP LTD
COM
G5876H105
1089
43600
SH
SOLE
20600
0
23000
MATADOR RES CO COM
COM
576485205
914
55300
SH
SOLE
27000
0
28300
MATERIALISE NV SPONSORED ADS
COM
57667T100
185
10000
SH
SOLE
10000
0
0
MATERION CORPORATION
COM
576690101
3776
61540
SH
SOLE
61540
0
0
MCGRATH RENTCORP COM
COM
580589109
2860
41100
SH
SOLE
26600
0
14500
MDC PARTNERS INC-A
COM
552697104
240
85000
SH
SOLE
85000
0
0
MEDALLION FINANCIAL CORP
COM
583928106
1088
170000
SH
SOLE
170000
0
0
MELI 2 8/15/28
CORPORATE BONDS
58733RAD4
734
500000
PRN
SOLE
500000
0
0
MERCURY COMPUTER SYS INC COM
COM
589378108
2110
26000
SH
SOLE
26000
0
0
MEREDITH CORP
COM
589433101
1188
32400
SH
SOLE
16100
0
16300
MERIDIAN BIOSCIENCE INC COM
COM
589584101
902
95000
SH
SOLE
95000
0
0
MESA LABS INC COM
COM
59064R109
4518
19000
SH
SOLE
19000
0
0
METHODE ELECTRS INC CL A
COM
591520200
834
24800
SH
SOLE
24800
0
0
MGE ENERGY INC
COM
55277P104
2316
29000
SH
SOLE
29000
0
0
MGP INGREDIENTS INC NEW COM
COM
55303J106
497
10000
SH
SOLE
10000
0
0
MIDDLEBY CORP COM
COM
596278101
5073
43400
SH
SOLE
43400
0
0
MIDDLESEX WTR CO COM
COM
596680108
1854
28533
SH
SOLE
28533
0
0
MINERALS TECHNOLOGIES INC
COM
603158106
218
4100
SH
SOLE
4100
0
0
MITCHAM INDS INC COM
COM
606501104
650
200000
SH
SOLE
200000
0
0
MITEK SYS INC COM NEW
COM
606710200
864
89500
SH
SOLE
89500
0
0
MIX TELEMATICS LTD SPONSORED A
COM
60688N102
140
10000
SH
SOLE
10000
0
0
MODINE MFG CO
COM
607828100
4548
400000
SH
SOLE
400000
0
0
MONEYGRAM INTERNATIONAL INC CO
COM
60935Y208
2484
624000
SH
SOLE
624000
0
0
MOTORCAR PTS & ACCESSORS INCCO
COM
620071100
406
24000
SH
SOLE
24000
0
0
MOVADO GROUP INC COM
COM
624580106
2312
93000
SH
SOLE
93000
0
0
MSA SAFETY INC COM
COM
553498106
982
9000
SH
SOLE
9000
0
0
MUELLER WATER PRODUCTS INC
COM
624758108
1349
120000
SH
SOLE
77300
0
42700
MVC CAP COM
COM
553829102
1137
127800
SH
SOLE
127800
0
0
MYERS INDS INC
COM
628464109
18054
1022900
SH
SOLE
1022900
0
0
MYR GROUP INC DEL COM
COM
55405W104
4057
129674
SH
SOLE
117974
0
11700
NABORS INDUSTRIES LTD SHS
COM
G6359F103
43
23000
SH
SOLE
23000
0
0
NANOMETRICS INC COM
COM
630077105
555
17000
SH
SOLE
8400
0
8600
NAPCO SEC SYS INC COM
COM
630402105
2976
116600
SH
SOLE
116600
0
0
NATHANS FAMOUS INC NEW COM
COM
632347100
15968
222234
SH
SOLE
222234
0
0
NATIONAL CINEMEDIA INC COM
COM
635309107
459
56000
SH
SOLE
56000
0
0
NATUS MEDICAL INC DEL COM
COM
639050103
898
28200
SH
SOLE
12800
0
15400
NAVIGATOR HOLDINGS LTD SHS
COM
Y62132108
1666
156000
SH
SOLE
156000
0
0
NAVISTAR INTL CORP COM
COM
63934E112
562
20000
SH
SOLE
20000
0
0
NBIX 2 1/4 5/15/24
CONVERTIBLE BOND
64125CAD1
461
337000
PRN
SOLE
337000
0
0
NEE 4.872 9/1/22 CV PFD
CONVERTIBLE PREF
65339F796
703
14000
SH
SOLE
14000
0
0
NEOGEN CORP COM
COM
640491106
10489
154000
SH
SOLE
154000
0
0
NEOGENOMICS INC COM NEW
COM
64049M209
2099
109780
SH
SOLE
109780
0
0
NETSCOUT SYS INC COM
COM
64115T104
2083
90350
SH
SOLE
44000
0
46350
NEW SR INVT GROUP INC COM
COM
648691103
216
32356
SH
SOLE
32356
0
0
NEW YORK CMNTY CAP TR V CV PFD
CONVERTIBLE PREF
64944P307
297
6000
SH
SOLE
6000
0
0
NICE 1 1/4 1/15/24
CONVERTIBLE BOND
65366HAB9
544
305000
PRN
SOLE
305000
0
0
NII HLDGS INC COM PAR $0.001
COM
62913F508
2156
1100000
SH
SOLE
1100000
0
0
OCEANEERING INTL INC COM
COM
675232102
653
48200
SH
SOLE
23700
0
24500
OCEANFIRST FINL CORP COM
COM
675234108
1049
44440
SH
SOLE
31540
0
12900
OFG BANCORP
COM
67103X102
380
17350
SH
SOLE
17350
0
0
OIL DRI CORP AMER COM
COM
677864100
3883
114000
SH
SOLE
114000
0
0
OKTA 1/4 2/15/23
CONVERTIBLE BOND
679295AB1
211
100000
PRN
SOLE
100000
0
0
OLD LINE BANCSHARES INC
COM
67984M100
1066
36739
SH
SOLE
36739
0
0
OMNICELL INC COM
COM
68213N109
4364
60388
SH
SOLE
47873
0
12515
OMNOVA SOLUTIONS INC COM
COM
682129101
2407
239027
SH
SOLE
239027
0
0
OPKO HEALTH INC COM
COM
68375N103
481
230000
SH
SOLE
230000
0
0
OPTION CARE HEALTH INC COM
COM
68404L102
493
153911
SH
SOLE
153911
0
0
OPUS BK IRVINE CALIF COM
COM
684000102
305
14000
SH
SOLE
14000
0
0
ORBCOMM INC COM
COM
68555P100
2439
512315
SH
SOLE
512315
0
0
ORITANI FINL CORP DEL COM
COM
68633D103
972
54912
SH
SOLE
44220
0
10692
ORTHOFIX MED INC COM
COM
68752M108
2397
45200
SH
SOLE
45200
0
0
OXFORD INDS INC COM
COM
691497309
989
13800
SH
SOLE
7300
0
6500
PARAMOUNT GROUP INC COM
COM
69924R108
446
33400
SH
SOLE
15200
0
18200
PARATEK PHARMACEUTICALS INC CO
COM
699374302
194
45000
SH
SOLE
45000
0
0
PARK AEROSPACE CORP
COM
70014A104
2248
128000
SH
SOLE
128000
0
0
PARK OHIO HLDGS CORP COM
COM
700666100
6433
215431
SH
SOLE
215431
0
0
PARSLEY ENERGY INC CL A
COM
701877102
1174
69900
SH
SOLE
34500
0
35400
PATRIOT TRAMSPORTATION HOLDING
COM
70338W105
304
17000
SH
SOLE
17000
0
0
PATTERSON COMPANIES INC
COM
703395103
1731
97113
SH
SOLE
44900
0
52213
PATTERSON-UTI ENERGY INC COM
COM
703481101
1730
202346
SH
SOLE
94200
0
108146
PCRX 2 3/8 4/1/22
CONVERTIBLE BOND
695127AD2
493
500000
PRN
SOLE
500000
0
0
PCSB FINANCIAL CORPORATION COM
COM
69324R104
340
17000
SH
SOLE
17000
0
0
PEOPLES UNITED FINANCIAL INCCO
COM
712704105
292
18681
SH
SOLE
18681
0
0
PFSWEB INC COM NEW
COM
717098206
733
294330
SH
SOLE
294330
0
0
PLANTRONICS
COM
727493108
1030
27600
SH
SOLE
12100
0
15500
PLAYAGS INC COM
COM
72814N104
370
36000
SH
SOLE
36000
0
0
POLYONE CORP COM
COM
73179P106
313
9600
SH
SOLE
4700
0
4900
POWELL INDS INC COM
COM
739128106
806
20593
SH
SOLE
20593
0
0
PREFORMED LINE PRODS CO COM
COM
740444104
316
5788
SH
SOLE
5788
0
0
PRFT 2 3/8 9/15/23
CONVERTIBLE BOND
71375UAB7
889
750000
PRN
SOLE
750000
0
0
PRGX GLOBAL INC
COM
69357C503
229
44549
SH
SOLE
44549
0
0
PRIMO WTR CORP COM
COM
74165N105
161
13121
SH
SOLE
13121
0
0
PROGRESS SOFTWARE CORP COM
COM
743312100
1441
37858
SH
SOLE
15600
0
22258
PRTK 4 3/4 5/1/24
CONVERTIBLE BOND
699374AB0
280
400000
PRN
SOLE
400000
0
0
PZENA INVESTMENT MGMT INC CLAS
COM
74731Q103
1320
148000
SH
SOLE
148000
0
0
QTS 6 1/2 SERIES B PERP
CONVERTIBLE PREF
74736A301
911
7500
SH
SOLE
7500
0
0
QTWO 3/4 2/15/23
CONVERTIBLE BOND
74736LAB5
366
250000
PRN
SOLE
250000
0
0
QUIDEL CORP COM
COM
74838J101
6994
114000
SH
SOLE
114000
0
0
RAVEN INDS INC COM
COM
754212108
839
25080
SH
SOLE
25080
0
0
READING INTERNATIONAL INC CL B
COM
755408200
1861
74459
SH
SOLE
74459
0
0
READING INTL INC CL A
COM
755408101
6306
527269
SH
SOLE
527269
0
0
RENASANT CORP COM
COM
07597E111
1294
36971
SH
SOLE
36971
0
0
RGC RES INC COM
COM
74955L103
1838
62850
SH
SOLE
62850
0
0
RMBS 1 3/8 2/1/23
CONVERTIBLE BOND
750917AG1
751
758000
PRN
SOLE
758000
0
0
RNG 0 3/15/23
CONVERTIBLE BOND
76680RAD9
501
310000
PRN
SOLE
310000
0
0
RPC INC. COMMON
COM
749660106
395
70450
SH
SOLE
70450
0
0
RTI BIOLOGICS INC COM
COM
74975N105
188
66000
SH
SOLE
66000
0
0
RTRX 2 1/2 9/15/25
CONVERTIBLE BOND
761299AB2
259
350000
PRN
SOLE
350000
0
0
RUMBLEON INC CL B
COM
781386206
72
25000
SH
SOLE
25000
0
0
RUSH ENTERPRISES INC CL A
COM
781846209
2161
56005
SH
SOLE
43705
0
12300
RUSH ENTERPRISES INC CL B
COM
781846308
4153
104005
SH
SOLE
104005
0
0
RYMAN HOSPITALITY PPTYS INC CO
COM
78377T107
491
6000
SH
SOLE
6000
0
0
SAFEGUARD SCIENTIFICS INC COM
COM
786449207
195
17230
SH
SOLE
17230
0
0
SALEM COMMUNICATIONS CORP DECL
COM
794093104
413
270000
SH
SOLE
270000
0
0
SANDY SPRING BANCORP INC COM
COM
800363103
1011
30000
SH
SOLE
30000
0
0
SANFILIPPO JOHN B & SON INC CO
COM
800422107
2076
21490
SH
SOLE
21490
0
0
SANOFI-AVENTIS-CVR
WARRANT AND RIGH
80105N113
224
400000
SH
SOLE
400000
0
0
SCHMITT INDS INC ORE COM NEW
COM
806870200
1533
700000
SH
SOLE
700000
0
0
SCRIPPS E W CO OHIO CL A
COM
811054402
11323
852600
SH
SOLE
852600
0
0
SCTY 1 5/8 11/01/19
CONVERTIBLE BOND
83416TAC4
247
250000
PRN
SOLE
250000
0
0
SHENANDOAH TELECOMMUNICATIONCD
COM
82312B106
8832
278000
SH
SOLE
278000
0
0
SILVERCREST ASSET MGMT GROUPCL
COM
828359109
984
80000
SH
SOLE
80000
0
0
SINCLAIR BROADCAST GROUP INCCL
COM
829226109
1410
33000
SH
SOLE
33000
0
0
SJW GROUP
COM
784305104
5552
81304
SH
SOLE
81304
0
0
SKYLINE CHAMPION CORPORATION
COM
830830105
3084
102500
SH
SOLE
102500
0
0
SONIC AUTOMOTIVE INC CL A
COM
83545G102
1505
47930
SH
SOLE
47930
0
0
SOUTH JERSEY INDS INC CORP UNI
UNITS
838518116
768
14705
SH
SOLE
14705
0
0
SOUTH ST CORP COM
COM
840441109
301
4000
SH
SOLE
4000
0
0
SOUTHERN COMPANY 6.75 8/1/2022
CONVERTIBLE PREF
842587602
401
7500
SH
SOLE
7500
0
0
SOUTHERN FIRST BANCSHARES INCO
COM
842873101
2251
56480
SH
SOLE
56480
0
0
SOUTHERN NATL BANCORP OF VA CO
COM
843395104
985
64000
SH
SOLE
64000
0
0
SPLK 1 1/8 9/15/25
CONVERTIBLE BOND
848637AD6
438
400000
PRN
SOLE
400000
0
0
SPWR 4 1/15/23
CONVERTIBLE BOND
867652AL3
690
750000
PRN
SOLE
750000
0
0
SRE 6 3/4 7/15/21
CONVERTIBLE PREF
816851505
232
1970
SH
SOLE
1970
0
0
SRE 6 01/15/21
CONVERTIBLE PREF
816851406
418
3535
SH
SOLE
3535
0
0
STANDARD MTR PRODS INC CLASS A
COM
853666105
2526
52028
SH
SOLE
52028
0
0
STANDEX INTL CORP
COM
854231107
2144
29400
SH
SOLE
29400
0
0
STARRETT L S CO CL A
COM
855668109
1959
337820
SH
SOLE
337820
0
0
STEEL CONNECT INC
COM
858098106
2853
1630000
SH
SOLE
1630000
0
0
STEEL PARTNERS HLDGS L P
COM
85814R107
8192
640000
SH
SOLE
640000
0
0
STEELCASE INC CL A
COM
858155203
889
48300
SH
SOLE
24300
0
24000
STERLING BANCORP/DE
COM
85917A100
3285
163749
SH
SOLE
147349
0
16400
STIFEL FINL CORP COM
COM
860630102
1063
18532
SH
SOLE
6500
0
12032
STONERIDGE INC
COM
86183P102
5824
188038
SH
SOLE
188038
0
0
STRATASYS LTD SHS
COM
M85548101
341
16000
SH
SOLE
16000
0
0
STRATTEC SECURITY CORP.
COM
863111100
3708
186339
SH
SOLE
186339
0
0
SUPERIOR INDS INTL INC
COM
868168105
951
329000
SH
SOLE
329000
0
0
SUPERNUS PHARMACEUTICALS INCCO
COM
868459108
242
8800
SH
SOLE
4100
0
4700
SUPN 5/8 4/1/23
CONVERTIBLE BOND
868459AD0
656
708000
PRN
SOLE
708000
0
0
SURMODICS INC COM
COM
868873100
5394
117934
SH
SOLE
117934
0
0
SWITCH INC A
COM
87105L104
594
38000
SH
SOLE
15500
0
22500
S&W SEED CO COM
COM
785135104
1214
510000
SH
SOLE
510000
0
0
TDOC 3.000 12/15/22
CONVERTIBLE BOND
87918AAB1
511
300000
PRN
SOLE
300000
0
0
TEAM INC COM
COM
878155100
7264
402451
SH
SOLE
402451
0
0
TEJON RANCH CO DEL COM
COM
879080109
2783
164000
SH
SOLE
164000
0
0
TENNANT CO
COM
880345103
3157
44650
SH
SOLE
44650
0
0
TENNECO INC
COM
880349105
391
31200
SH
SOLE
31200
0
0
TER 1 1/4 12/15/23
CONVERTIBLE BOND
880770AG7
571
300000
PRN
SOLE
300000
0
0
TIMKENSTEEL CORP COM
COM
887399103
448
71300
SH
SOLE
71300
0
0
TISI 5.000 08/01/23
CONVERTIBLE BOND
878155AE0
323
292000
PRN
SOLE
292000
0
0
TITAN INTL INC ILL COM
COM
88830M102
97
36000
SH
SOLE
36000
0
0
TITAN MACHY INC COM
COM
88830R101
2200
153435
SH
SOLE
153435
0
0
TOWNSQUARE MEDIA INC CL A
COM
892231101
1118
159000
SH
SOLE
159000
0
0
TRANSACT TECHNOLOGIES INC COM
COM
892918103
1411
116100
SH
SOLE
116100
0
0
TREDEGAR INDS INC
COM
894650100
10131
519000
SH
SOLE
519000
0
0
TREE 5/8 6/1/22
CONVERTIBLE BOND
52603BAA5
319
199000
PRN
SOLE
199000
0
0
TRIBUNE PUBG CO NEW COM
COM
89609W107
232
27057
SH
SOLE
27057
0
0
TRINITY PL HLDGS INC COM
COM
89656D101
2512
628023
SH
SOLE
628023
0
0
TRUSTCO BK CORP N Y COM
COM
898349105
589
72250
SH
SOLE
72250
0
0
TSLA 2.000 05/15/24
CONVERTIBLE BOND
88160RAG6
625
615000
PRN
SOLE
615000
0
0
TTM TECHNOLOGIES INC COM
COM
87305R109
651
53400
SH
SOLE
25700
0
27700
TUESDAY MORNING CORP COM NEW
COM
899035505
143
91000
SH
SOLE
91000
0
0
TWIN DISC INC COM
COM
901476101
5534
522554
SH
SOLE
522554
0
0
TWIN RIVER WORLDWIDE HOLDINGS
COM
90171V204
1723
75461
SH
SOLE
75461
0
0
TWLO 1/4 6/1/23
CONVERTIBLE BOND
90138FAB8
501
300000
PRN
SOLE
300000
0
0
TYLER TECHNOLOGIES INC COM
COM
902252105
840
3200
SH
SOLE
3200
0
0
ULTRA CLEAN HLDGS INC COM
COM
90385V107
2208
150870
SH
SOLE
150870
0
0
ULTRALIFE BATTERIES INC COM
COM
903899102
1231
142200
SH
SOLE
142200
0
0
UMPQUA HLDGS CORP COM
COM
904214103
615
37386
SH
SOLE
19050
0
18336
UNITED FINANCIAL BANCORP INC
COM
910304104
2093
153560
SH
SOLE
119660
0
33900
UNITED GUARDIAN INC COM
COM
910571108
1481
78101
SH
SOLE
78101
0
0
UNIVERSAL TECHNICAL INST INCCO
COM
913915104
680
125000
SH
SOLE
125000
0
0
UTAH MED PRODS INC COM
COM
917488108
441
4600
SH
SOLE
4600
0
0
VALLEY NATL BANCORP COM
COM
919794107
545
50100
SH
SOLE
24600
0
25500
VALUE LINE INC
COM
920437100
753
33089
SH
SOLE
33089
0
0
VCRA 1 1/2 5/15/23
CONVERTIBLE BOND
92857FAB3
830
800000
PRN
SOLE
800000
0
0
VERITEX HLDGS INC COM
COM
923451108
3007
123920
SH
SOLE
96320
0
27600
VERSUM MATLS INC COM
COM
92532W103
1141
21555
SH
SOLE
10861
0
10694
VIAD CORP COM NEW
COM
92552R406
2493
37132
SH
SOLE
37132
0
0
VICOR CORP COM
COM
925815102
251
8500
SH
SOLE
8500
0
0
VILLAGE SUPER MKT INC CL A NEW
COM
927107409
3205
121174
SH
SOLE
121174
0
0
WABASH NATL CORP COM
COM
929566107
1016
70000
SH
SOLE
70000
0
0
WASHINGTON FED INC
COM
938824109
1204
32550
SH
SOLE
14000
0
18550
WASHINGTON TR BANCORP COM
COM
940610108
2933
60720
SH
SOLE
50600
0
10120
WATERSTONE FINL INC MD COM
COM
94188P101
1412
82200
SH
SOLE
82200
0
0
WESTERN NEW ENGLAND BANCORP
COM
958892101
855
89760
SH
SOLE
89760
0
0
WIDEOPENWEST INC COM
COM
96758W101
246
40000
SH
SOLE
40000
0
0
WILLAMETTE VY VINEYARD INC COM
COM
969136100
159
23000
SH
SOLE
23000
0
0
WILLDAN GROUP INC COM
COM
96924N100
2216
63169
SH
SOLE
63169
0
0
WINNEBAGO INDS INC COM
COM
974637100
3919
102200
SH
SOLE
80700
0
21500
WOODWARD INC
COM
980745103
210
1950
SH
SOLE
900
0
1050
WORLD WRESTLING ENTERTAINMENT
COM
98156Q108
2277
32000
SH
SOLE
32000
0
0
WTR 6 04/30/22
CONVERTIBLE PREF
03836W202
588
9720
SH
SOLE
9720
0
0
YORK WTR CO COM
COM
987184108
1978
45307
SH
SOLE
45307
0
0
ZAGG INC COM
COM
98884U108
804
128220
SH
SOLE
128220
0
0