0001752724-21-114937.txt : 20210527
0001752724-21-114937.hdr.sgml : 20210527
20210527111304
ACCESSION NUMBER: 0001752724-21-114937
CONFORMED SUBMISSION TYPE: NPORT-P
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20210331
FILED AS OF DATE: 20210527
PERIOD START: 20210930
FILER:
COMPANY DATA:
COMPANY CONFORMED NAME: ELLSWORTH GROWTH & INCOME FUND LTD
CENTRAL INDEX KEY: 0000793040
IRS NUMBER: 133345139
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: NPORT-P
SEC ACT: 1940 Act
SEC FILE NUMBER: 811-04656
FILM NUMBER: 21969629
BUSINESS ADDRESS:
STREET 1: 65 MADISON AVENUE
STREET 2: SUITE 550
CITY: MORRISTOWN
STATE: NJ
ZIP: 07960
BUSINESS PHONE: (973) 631-1177
MAIL ADDRESS:
STREET 1: 65 MADISON AVE
STREET 2: SUITE 550
CITY: MORRISTOWN
STATE: NJ
ZIP: 07960
FORMER COMPANY:
FORMER CONFORMED NAME: ELLSWORTH FUND LTD
DATE OF NAME CHANGE: 20060330
FORMER COMPANY:
FORMER CONFORMED NAME: ELLSWORTH CONVERTIBLE GROWTH & INCOME FUND INC
DATE OF NAME CHANGE: 19920703
NPORT-P
1
primary_doc.xml
NPORT-P
false
0000793040
XXXXXXXX
Ellsworth Growth & Income Fund Ltd
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0000793040
549300GYFOXHCDQTI772
One Corporate Center
Rye
10580-1422
1-800-422-3554
Ellsworth Growth & Income Fund Ltd
549300GYFOXHCDQTI772
2021-09-30
2021-03-31
N
227297800.00
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0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
0.00000000
1800000.00000000
0.00000000
30000000.00000000
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2020 CASH EXCH TRUST
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2020 Cash Mandatory Exchangeable Trust
901375105
1730.00000000
NS
USD
1949969.50000000
1.015302051813
Long
EP
CORP
US
N
2
N
N
N
INSULET CORPORATION
549300TZTYD2PYN92D43
Insulet Corp
45784PAK7
1500000.00000000
PA
USD
2000775.14000000
1.041755322254
Long
DBT
CORP
US
N
2
2026-09-01
Fixed
0.37500000
N
N
N
N
Y
Insulet Corp
Insulet Corp
USD
XXXX
N
N
N
American Tower Corp
5493006ORUSIL88JOE18
American Tower Corp
03027X100
10000.00000000
NS
USD
2390600.00000000
1.244727717569
Long
EC
CORP
US
N
1
N
N
N
ATLAS AIR WORLDWIDE HLDG
549300R0A2TUVCYZB465
Atlas Air Worldwide Holdings Inc
049164BJ4
1700000.00000000
PA
USD
2030480.00000000
1.057221925863
Long
DBT
CORP
US
N
2
2024-06-01
Fixed
1.87500000
N
N
N
N
Y
Atlas Air Worldwide Holdings I
Atlas Air Worldwide Holdings Inc
USD
XXXX
N
N
N
LIMELIGHT NETWORKS INC
529900BNCMDQGEKW5M59
Limelight Networks Inc
53261MAA2
1685000.00000000
PA
USD
1553570.00000000
0.808906400143
Long
DBT
CORP
US
Y
2
2025-08-01
Fixed
3.50000000
N
N
N
N
Y
Limelight Networks Inc
Limelight Networks Inc
USD
XXXX
N
N
N
BANK OF AMERICA CORP
9DJT3UXIJIZJI4WXO774
Bank of America Corp
060505682
1000.00000000
NS
USD
1398000.00000000
0.727904856170
Long
EP
CORP
US
N
1
N
N
N
ROYAL CARIBBEAN CRUISES
K2NEH8QNVW44JIWK7Z55
Royal Caribbean Cruises Ltd
780153BE1
685000.00000000
PA
USD
893240.00000000
0.465088507672
Long
DBT
CORP
LR
Y
2
2023-11-15
Fixed
2.87500000
N
N
N
N
Y
Royal Caribbean Cruises Ltd
Royal Caribbean Cruises Ltd
USD
XXXX
N
N
N
SBA Communications Corp
5299001HX8ZN8Y8QIT49
SBA Communications Corp
78410G104
7000.00000000
NS
USD
1942850.00000000
1.011595100007
Long
EC
CORP
US
N
1
N
N
N
CARDLYTICS INC
549300JETJBH94EIPC66
Cardlytics Inc
14161WAA3
1375000.00000000
PA
USD
2077075.00000000
1.081482817690
Long
DBT
CORP
US
Y
2
2025-09-15
Fixed
1.00000000
N
N
N
N
Y
Cardlytics Inc
Cardlytics Inc
USD
XXXX
N
N
N
CSG SYSTEMS INTERNATIONA
549300D7FJZUOHHXUA81
CSG Systems International Inc
126349AF6
3000000.00000000
PA
USD
3150000.00000000
1.640128967766
Long
DBT
CORP
US
N
2
2036-03-15
Fixed
4.25000000
N
N
N
N
Y
CSG Systems International Inc
CSG Systems International Inc
USD
XXXX
N
N
N
QTS REALTY TRUST INC
5493006PA4CJK4OG2J54
QTS Realty Trust Inc
74736A301
15000.00000000
NS
USD
2107650.00000000
1.097402482194
Long
EP
CORP
US
N
1
N
N
N
DEXCOM INC
549300YSK3QDSFR5EU59
Dexcom Inc
252131AH0
575000.00000000
PA
USD
1268593.75000000
0.660526145302
Long
DBT
CORP
US
N
2
2023-12-01
Fixed
0.75000000
N
N
N
N
Y
DexCom Inc
DexCom Inc
USD
XXXX
N
N
N
TECHTARGET INC
529900YQA5JL2H2VMB84
TechTarget Inc
87874RAA8
1105000.00000000
PA
USD
1309646.00000000
0.681901060990
Long
DBT
CORP
US
Y
2
2025-12-15
Fixed
0.12500000
N
N
N
N
Y
TechTarget Inc
TechTarget Inc
USD
XXXX
N
N
N
NEXTERA ENERGY INC
N/A
NextEra Energy Inc
65339F770
27900.00000000
NS
USD
1381887.00000000
0.719515205993
Long
EP
CORP
US
N
1
N
N
N
SUPERNUS PHARMACEUTICALS
549300GRM36VBKISYJ58
Supernus Pharmaceuticals Inc
868459AD0
1254000.00000000
PA
USD
1215153.74000000
0.632701221988
Long
DBT
CORP
US
N
2
2023-04-01
Fixed
0.62500000
N
N
N
N
Y
Supernus Pharmaceuticals Inc
Supernus Pharmaceuticals Inc
USD
XXXX
N
N
N
COLONY CAPITAL OPERATING
5493003D7P9HVU22YM89
Colony Capital Operating Co LLC
19626LAA5
1025000.00000000
PA
USD
3018625.00000000
1.571725176293
Long
DBT
CORP
US
Y
2
2025-07-15
Fixed
5.75000000
N
N
N
N
N
Colony Capital Inc
Colony Capital Inc
USD
XXXX
N
N
N
AEROJET ROCKETDYNE HLDG
549300VULNLWHE8QWI76
Aerojet Rocketdyne Holdings Inc
007800AB1
1000000.00000000
PA
USD
1803750.00000000
0.939169087494
Long
DBT
CORP
US
N
2
2023-12-15
Fixed
2.25000000
N
N
N
N
Y
Aerojet Rocketdyne Holdings In
Aerojet Rocketdyne Holdings Inc
USD
XXXX
N
N
N
Equinix Inc
549300EVUN2BTLJ3GT74
Equinix Inc
29444U700
5000.00000000
NS
USD
3397950.00000000
1.769230547943
Long
EC
CORP
US
N
1
N
N
N
Eli Lilly and Co
FRDRIPF3EKNDJ2CQJL29
Eli Lilly and Co
532457108
12960.00000000
NS
USD
2421187.20000000
1.260653734319
Long
EC
CORP
US
N
1
N
N
N
KAMAN CORP
5493003YK076OLTEQF95
Kaman Corp
483548AF0
1638000.00000000
PA
USD
1783782.00000000
0.928772231866
Long
DBT
CORP
US
N
2
2024-05-01
Fixed
3.25000000
N
N
N
N
Y
Kaman Corp
Kaman Corp
USD
XXXX
N
N
N
SQUARE INC
549300OHIIUWSTIZME52
Square Inc
852234AD5
500000.00000000
PA
USD
1460875.00000000
0.760642351043
Long
DBT
CORP
US
N
2
2023-05-15
Fixed
0.50000000
N
N
N
N
Y
Square Inc
Square Inc
USD
XXXX
N
N
N
INTERDIGITAL INC
N/A
InterDigital Inc
45867GAB7
1870000.00000000
PA
USD
1995152.50000000
1.038827749321
Long
DBT
CORP
US
N
2
2024-06-01
Fixed
2.00000000
N
N
N
N
Y
InterDigital Inc
InterDigital Inc
USD
XXXX
N
N
N
NICE LTD
254900YTY4EF5Z4W0A51
Nice Ltd
653656AA6
515000.00000000
PA
USD
535384.69000000
0.278761885386
Long
DBT
CORP
IL
Y
2
2025-09-15
None
0.00000000
N
N
N
N
N
Nice Ltd
Nice Ltd
USD
XXXX
N
N
N
PACIRA BIOSCIENCES INC
N/A
Pacira BioSciences Inc
695127AD2
629000.00000000
PA
USD
761939.29000000
0.396723397209
Long
DBT
CORP
US
N
2
2022-04-01
Fixed
2.37500000
N
N
N
N
Y
Pacira BioSciences Inc
Pacira BioSciences Inc
USD
XXXX
N
N
N
KLR 6 1/8 2/15/26 144A
N/A
KLR 6 1/8 2/15/26 144A
000000000
1300000.00000000
PA
USD
1300000.00000000
0.676878621617
Long
DBT
CORP
US
N
2
2026-02-15
Fixed
6.12500000
N
N
N
N
N
N
FUBOTV INC
N/A
fuboTV Inc
35953DAA2
1595000.00000000
PA
USD
1382665.63000000
0.719920619840
Long
DBT
CORP
US
Y
2
2026-02-15
Fixed
3.25000000
N
N
N
N
Y
fuboTV Inc
fuboTV Inc
USD
XXXX
N
N
N
DROPBOX INC
549300JCDF7UAR6TJR51
Dropbox Inc
26210CAB0
335000.00000000
PA
USD
347353.13000000
0.180858390653
Long
DBT
CORP
US
Y
2
2028-03-01
None
0.00000000
N
N
N
N
Y
Dropbox Inc
Dropbox Inc
USD
XXXX
N
N
N
2U INC
5493008RVTXVR43PYF84
2U Inc
90214JAA9
1395000.00000000
PA
USD
2194335.00000000
1.142537269359
Long
DBT
CORP
US
Y
2
2025-05-01
Fixed
2.25000000
N
N
N
N
Y
2U Inc
2U Inc
USD
XXXX
N
N
N
FARFETCH LTD
549300QFQ74Z0F96NS78
Farfetch Ltd
30744WAC1
750000.00000000
PA
USD
2584687.50000000
1.345784394086
Long
DBT
CORP
KY
Y
2
2027-05-01
Fixed
3.75000000
N
N
N
N
N
Farfetch Ltd
Farfetch Ltd
USD
XXXX
N
N
N
BLOOM ENERGY CORP
549300XB5J9BFW5JXV97
Bloom Energy Corp
093712AG2
1155000.00000000
PA
USD
2121305.11000000
1.104512368375
Long
DBT
CORP
US
Y
2
2025-08-15
Fixed
2.50000000
N
N
N
N
Y
Bloom Energy Corp
Bloom Energy Corp
USD
XXXX
N
N
N
INVACARE CORP
549300NNUTG7HCZICS76
Invacare Corp
461203AP6
1015000.00000000
PA
USD
1016864.70000000
0.529456905006
Long
DBT
CORP
US
Y
2
2026-03-15
Fixed
4.25000000
N
N
N
N
Y
Invacare Corp
Invacare Corp
USD
XXXX
N
N
N
HARMONIC INC
549300LRGRD8XC9BTL66
Harmonic Inc
413160AD4
750000.00000000
PA
USD
846600.00000000
0.440804185432
Long
DBT
CORP
US
N
2
2024-09-01
Fixed
2.00000000
N
N
N
N
Y
Harmonic Inc
Harmonic Inc
USD
XXXX
N
N
N
DISH NETWORK CORP
529900U350CWHH15G169
DISH Network Corp
25470MAB5
1000000.00000000
PA
USD
963800.00000000
0.501827396550
Long
DBT
CORP
US
N
2
2026-08-15
Fixed
3.37500000
N
N
N
N
Y
DISH Network Corp
DISH Network Corp
USD
XXXX
N
N
N
Goodrich Pete Corp
N/A
Goodrich Pete Corp
000000000
1131.00000000
NS
USD
0.00000000
0.000000
Long
EC
CORP
US
N
3
N
N
N
NICE SYSTEMS INC
254900T6KBE4O3728267
Nice Systems Inc
65366HAB9
532000.00000000
PA
USD
1390847.50000000
0.724180722062
Long
DBT
CORP
US
N
2
2024-01-15
Fixed
1.25000000
N
N
N
N
Y
Nice Ltd
Nice Ltd
USD
XXXX
N
N
N
Verizon Communications Inc
2S72QS2UO2OESLG6Y829
Verizon Communications Inc
92343V104
25000.00000000
NS
USD
1453750.00000000
0.756932535520
Long
EC
CORP
US
N
1
N
N
N
INVACARE CORP
549300NNUTG7HCZICS76
Invacare Corp
461203AH4
500000.00000000
PA
USD
469687.50000000
0.244554944300
Long
DBT
CORP
US
N
2
2022-06-01
Fixed
4.50000000
N
N
N
N
Y
Invacare Corp
Invacare Corp
USD
XXXX
N
N
N
WAYFAIR INC
54930027N9ZAVYFDHK53
Wayfair Inc
94419LAL5
2060000.00000000
PA
USD
2209350.00000000
1.150355217439
Long
DBT
CORP
US
Y
2
2025-10-01
Fixed
0.62500000
N
N
N
N
N
Wayfair Inc
Wayfair Inc
USD
XXXX
N
N
N
VOCERA COMMUNICATIONS
5493006D2J6NPNZ60K83
Vocera Communications Inc
92857FAC1
1355000.00000000
PA
USD
1247446.88000000
0.649515480519
Long
DBT
CORP
US
Y
2
2026-09-15
Fixed
0.50000000
N
N
N
N
Y
Vocera Communications Inc
Vocera Communications Inc
USD
XXXX
N
N
N
JETBLUE AIRWAYS CORP
54930070J9H97ZO93T57
JetBlue Airways Corp
477143AN1
1505000.00000000
PA
USD
1661219.00000000
0.864956636096
Long
DBT
CORP
US
Y
2
2026-04-01
Fixed
0.50000000
N
N
N
N
N
JetBlue Airways Corp
JetBlue Airways Corp
USD
XXXX
N
N
N
LIVEPERSON INC
549300IN2P1JZ20G7N40
LivePerson Inc
538146AB7
1250000.00000000
PA
USD
1932209.83000000
1.006055020313
Long
DBT
CORP
US
N
2
2024-03-01
Fixed
0.75000000
N
N
N
N
Y
LivePerson Inc
LivePerson Inc
USD
XXXX
N
N
N
NCL CORPORATION LTD
UNZWILHE4KMRP9K2L524
NCL Corp Ltd
62886HAW1
1470000.00000000
PA
USD
2551185.00000000
1.328340450994
Long
DBT
CORP
BM
Y
2
2025-08-01
Fixed
5.37500000
N
N
N
N
N
Norwegian Cruise Line Holdings
Norwegian Cruise Line Holdings Ltd
USD
XXXX
N
N
N
TREASURY BILL
254900HROIFWPRGM1V77
United States Treasury Bill
912796B32
2235000.00000000
PA
USD
2234960.89000000
1.163690189687
Long
DBT
UST
US
N
2
2021-06-24
None
0.00000000
N
N
N
N
N
N
TABULA RASA HLTHCR INC
549300K6KY242XRMEF28
Tabula Rasa HealthCare Inc
873379AA9
1500000.00000000
PA
USD
1522500.00000000
0.792729001087
Long
DBT
CORP
US
N
2
2026-02-15
Fixed
1.75000000
N
N
N
N
Y
Tabula Rasa HealthCare Inc
Tabula Rasa HealthCare Inc
USD
XXXX
N
N
N
I3 VERTICALS LLC
549300VET627YPCK1T69
i3 Verticals LLC
44933TAA4
2000000.00000000
PA
USD
2067500.00000000
1.076497346303
Long
DBT
CORP
US
Y
2
2025-02-15
Fixed
1.00000000
N
N
N
N
Y
I3 Verticals Inc
I3 Verticals Inc
USD
XXXX
N
N
N
PEBBLEBROOK HOTEL TRUST
5493004Q1NNH6JXCSI52
Pebblebrook Hotel Trust
70509VAA8
340000.00000000
PA
USD
399500.00000000
0.208010007181
Long
DBT
CORP
US
N
2
2026-12-15
Fixed
1.75000000
N
N
N
N
Y
Pebblebrook Hotel Trust
Pebblebrook Hotel Trust
USD
XXXX
N
N
N
MICROSTRATEGY INC
549300WQTWEJUEHXQX21
MicroStrategy Inc
594972AD3
2000000.00000000
PA
USD
1680000.00000000
0.874735449475
Long
DBT
CORP
US
Y
2
2027-02-15
None
0.00000000
N
N
N
N
Y
MicroStrategy Inc
MicroStrategy Inc
USD
XXXX
N
N
N
BROADCOM INC
549300WV6GIDOZJTV909
Broadcom Inc
11135F200
1945.00000000
NS
USD
2867883.05000000
1.493237481419
Long
EP
CORP
US
N
1
N
N
N
TWILIO INC
5493004W8TRGD63APX93
Twilio Inc
90138FAB8
500000.00000000
PA
USD
2401497.82000000
1.250401949400
Long
DBT
CORP
US
N
2
2023-06-01
Fixed
0.25000000
N
N
N
N
Y
Twilio Inc
Twilio Inc
USD
XXXX
N
N
N
VARONIS SYSTEM INC
549300SHIVNRRH7STS26
Varonis Systems Inc
922280AA0
1045000.00000000
PA
USD
1858793.75000000
0.967829039516
Long
DBT
CORP
US
Y
2
2025-08-15
Fixed
1.25000000
N
N
N
N
Y
Varonis Systems Inc
Varonis Systems Inc
USD
XXXX
N
N
N
PROOFPOINT INC
529900C5FODDK0WSR085
Proofpoint Inc
743424AF0
2040000.00000000
PA
USD
2186625.00000000
1.138522858457
Long
DBT
CORP
US
N
2
2024-08-15
Fixed
0.25000000
N
N
N
N
Y
Proofpoint Inc
Proofpoint Inc
USD
XXXX
N
N
N
ROYAL CARIBBEAN CRUISES
K2NEH8QNVW44JIWK7Z55
Royal Caribbean Cruises Ltd
780153BA9
430000.00000000
PA
USD
606515.00000000
0.315797720915
Long
DBT
CORP
LR
Y
2
2023-06-15
Fixed
4.25000000
N
N
N
N
Y
Royal Caribbean Cruises Ltd
Royal Caribbean Cruises Ltd
USD
XXXX
N
N
N
PETIQ INC
549300GROACFGKVYOX14
PetIQ Inc
71639TAA4
1390000.00000000
PA
USD
1976406.25000000
1.029067029428
Long
DBT
CORP
US
Y
2
2026-06-01
Fixed
4.00000000
N
N
N
N
Y
PetIQ Inc
PetIQ Inc
USD
XXXX
N
N
N
MERCADOLIBRE INC
549300DKPDN9M5S8GB14
MercadoLibre Inc
58733RAD4
1000000.00000000
PA
USD
3350625.00000000
1.744589562737
Long
DBT
CORP
US
N
2
2028-08-15
Fixed
2.00000000
N
N
N
N
Y
MercadoLibre Inc
MercadoLibre Inc
USD
XXXX
N
N
N
8X8 INC
254900XWSOC5U1BRW939
8x8 Inc
282914AB6
1560000.00000000
PA
USD
2175225.00000000
1.132587153622
Long
DBT
CORP
US
N
2
2024-02-01
Fixed
0.50000000
N
N
N
N
Y
8x8 Inc
8x8 Inc
USD
XXXX
N
N
N
Merck & Co Inc
4YV9Y5M8S0BRK1RP0397
Merck & Co Inc
58933Y105
22651.00000000
NS
USD
1746165.59000000
0.909186275135
Long
EC
CORP
US
N
1
N
N
N
NY COMMUNITY CAP TRUST V
N/A
New York Community Capital Trust V
64944P307
24000.00000000
NS
USD
1200000.00000000
0.624811035339
Long
EP
CORP
US
N
1
N
N
N
PAGERDUTY INC.
549300U1SB749EDAGH21
PagerDuty Inc
69553PAA8
1345000.00000000
PA
USD
1688815.63000000
0.879325535231
Long
DBT
CORP
US
Y
2
2025-07-01
Fixed
1.25000000
N
N
N
N
Y
PagerDuty Inc
PagerDuty Inc
USD
XXXX
N
N
N
IIP OPERATING PARTNER
N/A
IIP Operating Partnership LP
44988FAA8
1000000.00000000
PA
USD
2742881.15000000
1.428152009287
Long
DBT
CORP
US
Y
2
2024-02-21
Fixed
3.75000000
N
N
N
N
N
Innovative Industrial Properti
Innovative Industrial Properties Inc
USD
XXXX
N
N
N
EVERBRIDGE INC
549300WCY0UMR64ATW81
Everbridge Inc
29978AAC8
2030000.00000000
PA
USD
2592056.25000000
1.349621124350
Long
DBT
CORP
US
N
2
2024-12-15
Fixed
0.12500000
N
N
N
N
Y
Everbridge Inc
Everbridge Inc
USD
XXXX
N
N
N
1LIFE HEALTHCARE INC
N/A
1Life Healthcare Inc
68269GAA5
1545000.00000000
PA
USD
1851064.50000000
0.963804605604
Long
DBT
CORP
US
Y
2
2025-06-15
Fixed
3.00000000
N
N
N
N
Y
1Life Healthcare Inc
1Life Healthcare Inc
USD
XXXX
N
N
N
ENCORE CAPITAL GROUP INC
5493000UVC6H49CIH830
Encore Capital Group Inc
292554AK8
1000000.00000000
PA
USD
1090636.97000000
0.567868345337
Long
DBT
CORP
US
N
2
2022-03-15
Fixed
3.25000000
N
N
N
N
Y
Encore Capital Group Inc
Encore Capital Group Inc
USD
XXXX
N
N
N
SHOPIFY INC
549300HGQ43STJLLP808
Shopify Inc
82509LAA5
685000.00000000
PA
USD
784325.00000000
0.408379096077
Long
DBT
CORP
CA
N
2
2025-11-01
Fixed
0.12500000
N
N
N
N
Y
Shopify Inc
Shopify Inc
USD
XXXX
N
N
N
Pfizer Inc
765LHXWGK1KXCLTFYQ30
Pfizer Inc
717081103
40000.00000000
NS
USD
1449200.00000000
0.754563460345
Long
EC
CORP
US
N
1
N
N
N
WORKIVA INC
529900RTOQ8GRWHY1O58
Workiva Inc
98139AAB1
2000000.00000000
PA
USD
2647174.40000000
1.378319814657
Long
DBT
CORP
US
N
2
2026-08-15
Fixed
1.12500000
N
N
N
N
Y
Workiva Inc
Workiva Inc
USD
XXXX
N
N
N
DANAHER CORP
S4BKK9OTCEWQ3YHPFM11
Danaher Corp
235851409
1000.00000000
NS
USD
1295200.00000000
0.674379377476
Long
EP
CORP
US
N
1
N
N
N
ELANCO ANIMAL HEALTH INC
549300SHPNDCE059M934
Elanco Animal Health Inc
28414H202
30900.00000000
NS
USD
1417692.00000000
0.738158005260
Long
EP
CORP
US
N
1
N
N
N
CHIMERA INVESTMENT CORP
2JBBQFJOL123LOUBE657
Chimera Investment Corp
16934QAA7
875000.00000000
PA
USD
1688203.13000000
0.879006621265
Long
DBT
CORP
US
N
2
2023-04-01
Fixed
7.00000000
N
N
N
N
N
Chimera Investment Corp
Chimera Investment Corp
USD
XXXX
N
N
N
BANDWIDTH INC
549300QC70JB7MUGXM66
Bandwidth Inc
05988JAB9
1500000.00000000
PA
USD
2301000.00000000
1.198075160263
Long
DBT
CORP
US
N
2
2026-03-01
Fixed
0.25000000
N
N
N
N
Y
Bandwidth Inc
Bandwidth Inc
USD
XXXX
N
N
N
VOCERA COMMUNICATIONS
5493006D2J6NPNZ60K83
Vocera Communications Inc
92857FAB3
900000.00000000
PA
USD
1219500.00000000
0.634964214663
Long
DBT
CORP
US
N
2
2023-05-15
Fixed
1.50000000
N
N
N
N
Y
Vocera Communications Inc
Vocera Communications Inc
USD
XXXX
N
N
N
THERAVANCE BIOPHARMA INC
5493007VTSXP4Z6MIW52
Theravance Biopharma Inc
88339KAA0
1500000.00000000
PA
USD
1526250.00000000
0.794681535572
Long
DBT
CORP
KY
N
2
2023-11-01
Fixed
3.25000000
N
N
N
N
N
Theravance Biopharma Inc
Theravance Biopharma Inc
USD
XXXX
N
N
N
TRAVERE THERAPEUTICS INC
N/A
Travere Therapeutics Inc
761299AB2
500000.00000000
PA
USD
516875.00000000
0.269124336575
Long
DBT
CORP
US
N
2
2025-09-15
Fixed
2.50000000
N
N
N
N
Y
Retrophin Inc
Retrophin Inc
USD
XXXX
N
N
N
COUPA SOFTWARE INC
549300Q95ICR2GFL2K37
Coupa Software Inc
22266LAC0
870000.00000000
PA
USD
1485525.00000000
0.773477011060
Long
DBT
CORP
US
N
2
2025-06-15
Fixed
0.12500000
N
N
N
N
Y
Coupa Software Inc
Coupa Software Inc
USD
XXXX
N
N
N
SEASPAN CORP
5493007Z8Q1H45KT7W98
Seaspan Corp
81254UAH9
680000.00000000
PA
USD
814300.00000000
0.423986355064
Long
DBT
CORP
MH
Y
2
2025-12-15
Fixed
3.75000000
N
N
N
N
N
Atlas Corp
Atlas Corp
USD
XXXX
N
N
N
CLOUDFLARE INC
5493007DY18BGNLDWU14
Cloudflare Inc
18915MAA5
695000.00000000
PA
USD
1376534.38000000
0.716728225956
Long
DBT
CORP
US
Y
2
2025-05-15
Fixed
0.75000000
N
N
N
N
Y
Cloudflare Inc
Cloudflare Inc
USD
XXXX
N
N
N
UBER TECHNOLOGIES INC
549300B2FTG34FILDR98
Uber Technologies Inc
90353TAH3
340000.00000000
PA
USD
358912.50000000
0.186877075601
Long
DBT
CORP
US
Y
2
2025-12-15
None
0.00000000
N
N
N
N
Y
Uber Technologies Inc
Uber Technologies Inc
USD
XXXX
N
N
N
AVANTOR INC
N/A
Avantor Inc
05352A209
25445.00000000
NS
USD
2296920.15000000
1.195950880844
Long
EP
CORP
US
N
1
N
N
N
SMILEDIRECTCLUB INC
254900QFZEGKCURCJS93
SmileDirectClub Inc
83192HAA4
340000.00000000
PA
USD
299412.50000000
0.155896861765
Long
DBT
CORP
US
Y
2
2026-02-01
None
0.00000000
N
N
N
N
Y
SmileDirectClub Inc
SmileDirectClub Inc
USD
XXXX
N
N
N
EXACT SCIENCES CORP
549300VM3X1FYD4N9Z14
Exact Sciences Corp
30063PAB1
1960000.00000000
PA
USD
2690100.00000000
1.400670138472
Long
DBT
CORP
US
N
2
2027-03-15
Fixed
0.37500000
N
N
N
N
Y
Exact Sciences Corp
Exact Sciences Corp
USD
XXXX
N
N
N
OKTA INC
549300N8J06I8MRHU620
Okta Inc
679295AE5
1000000.00000000
PA
USD
1171250.00000000
0.609841604284
Long
DBT
CORP
US
Y
2
2026-06-15
Fixed
0.37500000
N
N
N
N
Y
Okta Inc
Okta Inc
USD
XXXX
N
N
N
ESPERION THERAPEUTICS
549300OFU56UKEWVUS92
Esperion Therapeutics Inc
29664WAA3
1360000.00000000
PA
USD
1399950.00000000
0.728920174103
Long
DBT
CORP
US
Y
2
2025-11-15
Fixed
4.00000000
N
N
N
N
Y
Esperion Therapeutics Inc
Esperion Therapeutics Inc
USD
XXXX
N
N
N
NATIONAL VISION HOLDINGS
549300JHURCBLI5ROA42
National Vision Holdings Inc
63845RAA5
1045000.00000000
PA
USD
1639343.75000000
0.853566721429
Long
DBT
CORP
US
Y
2
2025-05-15
Fixed
2.50000000
N
N
N
N
Y
National Vision Holdings Inc
National Vision Holdings Inc
USD
XXXX
N
N
N
BLACKLINE INC
529900P9N7PK9LV5EK56
Blackline Inc
09239BAB5
700000.00000000
PA
USD
1111687.50000000
0.578828848207
Long
DBT
CORP
US
N
2
2024-08-01
Fixed
0.12500000
N
N
N
N
Y
Blackline Inc
Blackline Inc
USD
XXXX
N
N
N
NEUROCRINE BIOSCIENCES
549300FECER0XBN49756
Neurocrine Biosciences Inc
64125CAD1
1171000.00000000
PA
USD
1585973.13000000
0.825777927813
Long
DBT
CORP
US
N
2
2024-05-15
Fixed
2.25000000
N
N
N
N
Y
Neurocrine Biosciences Inc
Neurocrine Biosciences Inc
USD
XXXX
N
N
N
TREASURY BILL
254900HROIFWPRGM1V77
United States Treasury Bill
9127964Z9
100000.00000000
PA
USD
99999.51000000
0.052067331147
Long
DBT
UST
US
N
2
2021-04-29
None
0.00000000
N
N
N
N
N
N
PERFICIENT INC
549300HTBXKL2755T650
Perficient Inc
71375UAC5
2000000.00000000
PA
USD
2588513.42000000
1.347776458283
Long
DBT
CORP
US
Y
2
2025-08-01
Fixed
1.25000000
N
N
N
N
Y
Perficient Inc
Perficient Inc
USD
XXXX
N
N
N
KLR - Kaleyra Inc (PIPE)
N/A
KLR - Kaleyra Inc (PIPE)
000000000
40000.00000000
NS
USD
423000.00000000
0.220245889957
Long
EC
CORP
US
N
2
N
N
N
Walt Disney Co/The
549300GZKULIZ0WOW665
Walt Disney Co/The
254687106
12500.00000000
NS
USD
2306500.00000000
1.200938877509
Long
EC
CORP
US
N
1
N
N
N
BANDWIDTH INC
549300QC70JB7MUGXM66
Bandwidth Inc
05988JAC7
1175000.00000000
PA
USD
1145625.00000000
0.596499285300
Long
DBT
CORP
US
Y
2
2028-04-01
Fixed
0.50000000
N
N
N
N
Y
Bandwidth Inc
Bandwidth Inc
USD
XXXX
N
N
N
TELADOC HEALTH INC
549300I2PVFBC9MFAC61
Teladoc Health Inc
87918AAE5
1870000.00000000
PA
USD
2087481.00000000
1.086900970718
Long
DBT
CORP
US
Y
2
2027-06-01
Fixed
1.25000000
N
N
N
N
Y
Teladoc Health Inc
Teladoc Health Inc
USD
XXXX
N
N
N
GOL EQUITY FINANCE SA
222100H9BH197YU7RY14
GOL Equity Finance SA
36256KAA8
750000.00000000
PA
USD
621266.17000000
0.323478299082
Long
DBT
CORP
LU
Y
2
2024-07-15
Fixed
3.75000000
N
N
N
N
Y
Gol Linhas Aereas Inteligentes
Gol Linhas Aereas Inteligentes SA
USD
XXXX
N
N
N
Microsoft Corp
INR2EJN1ERAN0W5ZP974
Microsoft Corp
594918104
14300.00000000
NS
USD
3371511.00000000
1.755464398807
Long
EC
CORP
US
N
1
N
N
N
SHIFT4 PAYMENTS INC
N/A
Shift4 Payments Inc
82452JAA7
170000.00000000
PA
USD
213452.00000000
0.111139304262
Long
DBT
CORP
US
Y
2
2025-12-15
None
0.00000000
N
N
N
N
Y
Shift4 Payments Inc
Shift4 Payments Inc
USD
XXXX
N
N
N
AMERIVON HOLDINGS LLC - PRIVATE PLACEMENT
N/A
AMERIVON HOLDINGS LLC - PRIVATE PLACEMENT
000000000
809253.00000000
NS
USD
436035.23000000
0.227033019584
Long
EP
CORP
US
N
3
N
N
N
SOUTHWEST AIRLINES CO
UDTZ87G0STFETI6HGH41
Southwest Airlines Co
844741BG2
1000000.00000000
PA
USD
1721875.00000000
0.896538751229
Long
DBT
CORP
US
N
2
2025-05-01
Fixed
1.25000000
N
N
N
N
Y
Southwest Airlines Co
Southwest Airlines Co
USD
XXXX
N
N
N
SUMMIT HOTEL PROPERTIES
254900OBQWJK6X20LS71
Summit Hotel Properties Inc
866082AA8
1005000.00000000
PA
USD
1112409.38000000
0.579204713699
Long
DBT
CORP
US
N
2
2026-02-15
Fixed
1.50000000
N
N
N
N
N
Summit Hotel Properties Inc
Summit Hotel Properties Inc
USD
XXXX
N
N
N
SPLUNK INC
549300XGDSGBP6UEI867
Splunk Inc
848637AD6
2000000.00000000
PA
USD
2361250.00000000
1.229445880996
Long
DBT
CORP
US
N
2
2025-09-15
Fixed
1.12500000
N
N
N
N
N
Splunk Inc
Splunk Inc
USD
XXXX
N
N
N
T-Mobile US Inc
549300QHIJYOHPACPG31
T-Mobile US Inc
872590104
16119.00000000
NS
USD
2019549.51000000
1.051530683552
Long
EC
CORP
US
N
1
N
N
N
Goodrich Petroleum Corp
5493000G2GU65EVWSF15
Goodrich Petroleum Corp
382410843
132.00000000
NS
USD
1248.72000000
0.000650178363
Long
EC
CORP
US
N
1
N
N
N
CONMED CORP
Z6C0YCECH9DCU5ZIQW84
CONMED Corp
207410AF8
1000000.00000000
PA
USD
1568119.71000000
0.816482082951
Long
DBT
CORP
US
N
2
2024-02-01
Fixed
2.62500000
N
N
N
N
Y
CONMED Corp
CONMED Corp
USD
XXXX
N
N
N
LUMENTUM HOLDINGS INC
549300JLWRRC38DWEF52
Lumentum Holdings Inc
55024UAD1
1250000.00000000
PA
USD
1460125.00000000
0.760251844146
Long
DBT
CORP
US
N
2
2026-12-15
Fixed
0.50000000
N
N
N
N
Y
Lumentum Holdings Inc
Lumentum Holdings Inc
USD
XXXX
N
N
N
NEXTERA ENERGY INC
N/A
NextEra Energy Inc
65339F739
27465.00000000
NS
USD
1362264.00000000
0.709297983538
Long
EP
CORP
US
N
1
N
N
N
RINGCENTRAL INC
549300C8EH0H1614VE84
RingCentral Inc
76680RAF4
1000000.00000000
PA
USD
1100625.00000000
0.573068871475
Long
DBT
CORP
US
N
2
2025-03-01
None
0.00000000
N
N
N
N
Y
RingCentral Inc
RingCentral Inc
USD
XXXX
N
N
N
Unilever PLC
549300MKFYEKVRWML317
Unilever PLC
904767704
24000.00000000
NS
USD
1339920.00000000
0.697664002060
Long
EC
CORP
GB
N
1
N
N
N
TREASURY BILL
254900HROIFWPRGM1V77
United States Treasury Bill
9127963H0
2049000.00000000
PA
USD
2048955.09000000
1.066841459289
Long
DBT
UST
US
N
2
2021-06-17
None
0.00000000
N
N
N
N
N
N
CALLAWAY GOLF CO
5493005UB0KFRKBPCU72
Callaway Golf Co
131193AD6
1050000.00000000
PA
USD
1802062.50000000
0.938290446976
Long
DBT
CORP
US
Y
2
2026-05-01
Fixed
2.75000000
N
N
N
N
Y
Callaway Golf Co
Callaway Golf Co
USD
XXXX
N
N
N
COHERUS BIOSCIENCES INC
5493007IL8W5MV932D26
Coherus Biosciences Inc
19249HAA1
735000.00000000
PA
USD
785442.95000000
0.408961185658
Long
DBT
CORP
US
Y
2
2026-04-15
Fixed
1.50000000
N
N
N
N
N
Coherus Biosciences Inc
Coherus Biosciences Inc
USD
XXXX
N
N
N
PAR TECHNOLOGY CORP
549300HYPTHBJQINVG57
PAR Technology Corp
698884AC7
1750000.00000000
PA
USD
3010000.00000000
1.567234346976
Long
DBT
CORP
US
N
2
2026-04-15
Fixed
2.87500000
N
N
N
N
Y
PAR Technology Corp
PAR Technology Corp
USD
XXXX
N
N
N
STRIDE INC
254900BRWS3AFONWU277
Stride Inc
48273UAA0
2105000.00000000
PA
USD
1944599.00000000
1.012505762091
Long
DBT
CORP
US
Y
2
2027-09-01
Fixed
1.12500000
N
N
N
N
Y
K12 Inc
K12 Inc
USD
XXXX
N
N
N
APTIV PLC
N/A
Aptiv PLC
000000000
19100.00000000
NS
USD
3015699.00000000
1.570201678718
Long
EP
CORP
JE
N
1
N
N
N
Q2 HOLDINGS INC
549300M9RKR9DZXWS696
Q2 Holdings Inc
74736LAD1
1735000.00000000
PA
USD
2269553.50000000
1.181701726744
Long
DBT
CORP
US
N
2
2026-06-01
Fixed
0.75000000
N
N
N
N
Y
Q2 Holdings Inc
Q2 Holdings Inc
USD
XXXX
N
N
N
IAC FINANCECO 3 INC
5493003IEL8HSZKWUI17
IAC FINANCECO 3 INC
44932KAA4
1500000.00000000
PA
USD
2681250.00000000
1.396062157086
Long
DBT
CORP
US
Y
2
2030-01-15
Fixed
2.00000000
N
N
N
N
N
IAC/InterActiveCorp
IAC/InterActiveCorp
USD
XXXX
N
N
N
PayPal Holdings Inc
5493005X2GO78EFZ3E94
PayPal Holdings Inc
70450Y103
13000.00000000
NS
USD
3156920.00000000
1.643732044736
Long
EC
CORP
US
N
1
N
N
N
COLFAX CORP
635400OP2DYYYMOIYL17
Colfax Corp
194014205
15000.00000000
NS
USD
2702400.00000000
1.407074451584
Long
EP
CORP
US
N
1
N
N
N
MANNKIND CORP
213800GFBCNY1ZFST722
MannKind Corp
56400PAP7
340000.00000000
PA
USD
344675.00000000
0.179463953004
Long
DBT
CORP
US
Y
2
2026-03-01
Fixed
2.50000000
N
N
N
N
Y
MannKind Corp
MannKind Corp
USD
XXXX
N
N
N
COLLEGIUM PHARMA INC
54930049FXZMTLW8D496
Collegium Pharmaceutical Inc
19459JAA2
1000000.00000000
PA
USD
1090452.93000000
0.567772520152
Long
DBT
CORP
US
N
2
2026-02-15
Fixed
2.62500000
N
N
N
N
Y
Collegium Pharmaceutical Inc
Collegium Pharmaceutical Inc
USD
XXXX
N
N
N
REPAY HOLDINGS
N/A
Repay Holdings Corp
76029LAA8
335000.00000000
PA
USD
329137.50000000
0.171373951786
Long
DBT
CORP
US
Y
2
2026-02-01
None
0.00000000
N
N
N
N
Y
Repay Holdings Corp
Repay Holdings Corp
USD
XXXX
N
N
N
CHENIERE ENERGY INC
MIHC87W9WTYSYZWV1J40
Cheniere Energy Inc
16411RAG4
1700000.00000000
PA
USD
1405862.75000000
0.731998800310
Long
DBT
CORP
US
N
2
2045-03-15
Fixed
4.25000000
N
N
N
N
Y
Cheniere Energy Inc
Cheniere Energy Inc
USD
XXXX
N
N
N
Conagra Brands Inc
54930035UDEIH090K650
Conagra Brands Inc
205887102
30000.00000000
NS
USD
1128000.00000000
0.587322373219
Long
EC
CORP
US
N
1
N
N
N
DEXCOM INC
549300YSK3QDSFR5EU59
Dexcom Inc
252131AJ6
520000.00000000
PA
USD
513175.00000000
0.267197835883
Long
DBT
CORP
US
Y
2
2025-11-15
Fixed
0.25000000
N
N
N
N
Y
DexCom Inc
DexCom Inc
USD
XXXX
N
N
N
NEXTERA ENERGY INC
N/A
NextEra Energy Inc
65339F796
24025.00000000
NS
USD
1379275.25000000
0.718155330809
Long
EP
CORP
US
N
1
N
N
N
CYBERARK SOFTWARE LTD
529900YEXNDM894PWS93
CyberArk Software Ltd
23248VAB1
1500000.00000000
PA
USD
1624650.00000000
0.845916040470
Long
DBT
CORP
IL
N
2
2024-11-15
None
0.00000000
N
N
N
N
Y
CyberArk Software Ltd
CyberArk Software Ltd
USD
XXXX
N
N
N
CUTERA INC
529900NPKPEWJWR21Z42
Cutera Inc
232109AA6
1180000.00000000
PA
USD
1331158.00000000
0.693101840150
Long
DBT
CORP
US
Y
2
2026-03-15
Fixed
2.25000000
N
N
N
N
Y
Cutera Inc
Cutera Inc
USD
XXXX
N
N
N
INFINERA CORP
549300ZOF66WPV3H0H17
Infinera Corp
45667GAE3
1250000.00000000
PA
USD
1811033.15000000
0.942961247904
Long
DBT
CORP
US
N
2
2027-03-01
Fixed
2.50000000
N
N
N
N
Y
Infinera Corp
Infinera Corp
USD
XXXX
N
N
N
Crown Castle International Cor
54930012H97VSM0I2R19
Crown Castle International Corp
22822V101
16100.00000000
NS
USD
2771293.00000000
1.442945373799
Long
EC
CORP
US
N
1
N
N
N
PROS HOLDINGS INC
549300LPE1KNL5RWKQ48
PROS Holdings Inc
74346YAF0
1330000.00000000
PA
USD
1683281.25000000
0.876443917150
Long
DBT
CORP
US
Y
2
2027-09-15
Fixed
2.25000000
N
N
N
N
Y
PROS Holdings Inc
PROS Holdings Inc
USD
XXXX
N
N
N
BUNGE LTD
5493007M0RIN8HY3MM77
Bunge Ltd
000000000
9000.00000000
NS
USD
1041561.00000000
0.542315672316
Long
EP
CORP
BM
N
1
N
N
N
BLACKLINE INC
529900P9N7PK9LV5EK56
Blackline Inc
09239BAC3
1340000.00000000
PA
USD
1307337.50000000
0.680699080761
Long
DBT
CORP
US
Y
2
2026-03-15
None
0.00000000
N
N
N
N
N
Blackline Inc
Blackline Inc
USD
XXXX
N
N
N
SQUARE INC
549300OHIIUWSTIZME52
Square Inc
852234AH6
1000000.00000000
PA
USD
1134375.00000000
0.590641681844
Long
DBT
CORP
US
Y
2
2027-11-01
Fixed
0.25000000
N
N
N
N
Y
Square Inc
Square Inc
USD
XXXX
N
N
N
CHART INDUSTRIES INC
EM7QGKC1GYOF3LSZSL80
Chart Industries Inc
16115QAD2
750000.00000000
PA
USD
1865156.25000000
0.971141839693
Long
DBT
CORP
US
Y
2
2024-11-15
Fixed
1.00000000
N
N
N
N
Y
Chart Industries Inc
Chart Industries Inc
USD
XXXX
N
N
N
ZSCALER INC.
529900MZ0RTK1BWRNF46
Zscaler Inc
98980GAA0
1515000.00000000
PA
USD
2027070.00000000
1.055446421171
Long
DBT
CORP
US
Y
2
2025-07-01
Fixed
0.12500000
N
N
N
N
Y
Zscaler Inc
Zscaler Inc
USD
XXXX
N
N
N
COUPA SOFTWARE INC
549300Q95ICR2GFL2K37
Coupa Software Inc
22266LAE6
1375000.00000000
PA
USD
1560625.00000000
0.812579768355
Long
DBT
CORP
US
Y
2
2026-06-15
Fixed
0.37500000
N
N
N
N
Y
Coupa Software Inc
Coupa Software Inc
USD
XXXX
N
N
N
DISH NETWORK CORP
529900U350CWHH15G169
DISH Network Corp
25470MAE9
2040000.00000000
PA
USD
2168520.00000000
1.129096021962
Long
DBT
CORP
US
Y
2
2025-12-15
None
0.00000000
N
N
N
N
Y
DISH Network Corp
DISH Network Corp
USD
XXXX
N
N
N
AMERIVON HOLDINGS LLC - PRIVATE PLACEMENT
N/A
AMERIVON HOLDINGS LLC - PRIVATE PLACEMENT
000000000
272728.00000000
NS
USD
16363.68000000
0.008520173202
Long
EP
CORP
US
N
3
N
N
N
AT&T Inc
549300Z40J86GGSTL398
AT&T Inc
00206R102
30000.00000000
NS
USD
908100.00000000
0.472825750993
Long
EC
CORP
US
N
1
N
N
N
SPIRE INC
549300NXSY15DRY2R511
Spire Inc
84857L606
16290.00000000
NS
USD
896764.50000000
0.466923629750
Long
EP
CORP
US
N
1
N
N
N
Intel Corp
KNX4USFCNGPY45LOCE31
Intel Corp
458140100
20000.00000000
NS
USD
1280000.00000000
0.666465104362
Long
EC
CORP
US
N
1
N
N
N
2021-05-25
Ellsworth Growth & Income Fund Ltd
John C. Ball
John C. Ball
Treasurer