The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete.
The reader should not assume that the information is accurate and complete.

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 13F

FORM 13F INFORMATION TABLE
OMB APPROVAL
OMB Number: 3235-0006
Estimated average burden
hours per response: 23.8
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
AMER STRAT INC PORT II COM 30099105 6,468 736,620 SH   SOLE   736,620 0 0
AMER STRAT INC PTF III COM 03009T101 16,299 2,226,702 SH   SOLE   2,226,702 0 0
AQUASITION CORP COM Y0192H103 10,059 984,647 SH   SOLE   984,647 0 0
CIS AQUISITION LTD COM G21490209 4,269 415,736 SH   SOLE   415,736 0 0
COLLABRIUM JAPAN ACQUISITION COM G2266G102 6,067 578,381 SH   SOLE   578,381 0 0
EQUUS TOTAL RETURN INC COM 294766100 1,299 523,605 SH   SOLE   523,605 0 0
FIRSTHAND TECHNOLOGY VALUE COM 33766Y100 28,787 1,354,665 SH   SOLE   1,354,665 0 0
GLOBAL DEFENSE & NATL SEC SYS COM 37953N108 5,625 549,900 SH   SOLE   549,900 0 0
HELIOS STRATEGIC INC FD COM 42328A203 4,526 656,956 SH   SOLE   656,956 0 0
HF2 FINANCIAL MANAGEMENT INC COM 40421A104 12,230 1,187,411 SH   SOLE   1,187,411 0 0
IMPERIAL HOLDINGS INC COM 452834104 15,663 2,296,697 SH   SOLE   2,296,697 0 0
MVC CAPITAL INC COM 553829102 18,294 1,412,685 SH   SOLE   1,412,685 0 0
QUARTET MERGER CORP COM 747717304 7,028 700,000 SH   SOLE   700,000 0 0
SWISS HELVETIA FUND COM 870875101 25,337 1,738,973 SH   SOLE   1,738,973 0 0
ZWEIG TOTAL RETURN FD COM 989837208 12,798 889,396 SH   SOLE   889,396 0 0