Radcliffe Capital Management, L.P. — Q3 2016 13F Holdings

Name: Radcliffe Capital Management, L.P. — 13F Holdings, Q3 2016
Creator: AlphaSMO
License: https://www.sec.gov/forms

CIK: 0001218275

Total reported value

$1.3B

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Full holdings list this quarter

#	Ticker	Issuer	Asset Subclass	Weight	Weight Change	Shares Change
1	NMFC 5 06-15-19	New Mountain Finance Cor	Stock-Other	11.14%	—	+28.79%
2	PSEC 5.875 01-15-19	Prospect Capital CORP	Stock-Other	10.87%	—	—
3	PSEC 5.75 03-15-18	Prospect Capital CORP	Stock-Other	10.86%	—	+46.77%
4	ARCC 4.375 01-15-19	Ares Capital CORP	Stock-Financials	8.28%	—	-13.27%
5	OXSQ 7.5 11-01-17	Ticc Capital CORP	Stock-Other	8.06%	—	+29.88%
6	TCPC 5.25 12-15-19	Blackrock Tcp Cap CORP	Stock-Other	7.54%	—	—
7	BKCC 5.5 02-15-18	Blackrock Capital Invest	Stock-Other	6.96%	—	—
8	PSEC 5.375 10-15-17	Prospect Capital CORP	Stock-Other	6.70%	—	-4.86%
9	WEB 1 08-15-18	Web.com Group INC	Stock-Other	4.96%	—	—
10	ARCC 4.75 01-15-18	Ares Capital CORP	Stock-Financials	4.54%	—	+17.02%
11	GTLS 2 08-01-18	Chart Industries INC	Stock-Industrials	4.24%	—	+8290.57%
12	TSLX 4.5 12-15-19	Tpg Specialty Lending In	Stock-Other	4.16%	—	—
13	PSEC 4.75 04-15-20	Prospect Capital CORP	Stock-Other	4.01%	—	+42.59%
14	ARCC 4.875 03-15-17	Ares Capital CORP	Stock-Financials	3.60%	—	—
15	TOL 0.5 09-15-32	Toll Bros Finance CORP	Stock-Consumer Disc	1.19%	—	+150.00%
16	NUAN 2.75 11-01-31	Nuance Communications	Stock-Other	1.06%	—	—
17	MTH 1.875 09-15-32	Meritage Homes CORP	Stock-Consumer Disc	0.75%	—	+55.25%
18	TIVO 0.5 03-01-20	Rovi CORP	Stock-Other	0.29%	—	—
19	CIEN 0.875 06-15-17	Ciena CORP	Stock-Tech	0.24%	—	—
20	✓		Stock-Other	0.14%	—	—
21	✓	Crossroads Capital INC	Stock-Other	0.09%	—	+0.85%
22	SVVC	Firsthand Technology Value	Stock-Other	0.09%	—	—
23	BKCCUSD	Blackrock Capital Investment	Stock-Other	0.06%	—	—
24	PSEC	Prospect Capital CORP	Stock-Other	0.05%	—	—
25	MFIN	Medallion Financial CORP	Stock-Other	0.05%	—	—
26	ICLR	ICON Public Limited Company	Stock-Healthcare	0.04%	—	—
27	FITB	Fifth Third Bancorp	Stock-Financials	0.04%	—	—

Holding changes this quarter

Position changes disclosed by Radcliffe Capital Management, L.P. for the quarter ending Q3 2016, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	GTLS 2 08-01-18	Chart Industries INC	+4.2%	+8290.57%	Add
2	PSEC 5.75 03-15-18	Prospect Capital CORP	+3.6%	+46.77%	Add
3	NMFC 5 06-15-19	New Mountain Finance Cor	+2.8%	+28.79%	Add
4	OXSQ 7.5 11-01-17	Ticc Capital CORP	+1.9%	+29.88%	Add
5	PSEC 4.75 04-15-20	Prospect Capital CORP	+1.3%	+42.59%	Add
6	TOL 0.5 09-15-32	Toll Bros Finance CORP	+0.7%	+150.00%	Add
7	ARCC 4.75 01-15-18	Ares Capital CORP	+0.6%	+17.02%	Add
8	PSEC 5.875 01-15-19	Prospect Capital CORP	+0.3%	—	Unchanged
9	MTH 1.875 09-15-32	Meritage Homes CORP	+0.3%	+55.25%	Add
10	TCPC 5.25 12-15-19	Blackrock Tcp Cap CORP	+0.1%	—	Unchanged
11	TSLX 4.5 12-15-19	Tpg Specialty Lending In	0%	—	Unchanged
12	BKCC 5.5 02-15-18	Blackrock Capital Invest	0%	—	Unchanged
13	TIVO 0.5 03-01-20	Rovi CORP	0%	—	Unchanged
14	✓		0%	—	Unchanged
15	FITB	Fifth Third Bancorp	0%	—	Unchanged
16	SVVC	Firsthand Technology Value	0%	—	Unchanged
17	BKCCUSD	Blackrock Capital Investment	0%	—	Unchanged
18	ICLR	ICON Public Limited Company	—	—	Unchanged
19	PSEC	Prospect Capital CORP	—	—	Unchanged
20	CIEN 0.875 06-15-17	Ciena CORP	—	—	Unchanged
21	NUAN 2.75 11-01-31	Nuance Communications	—	—	Unchanged
22	✓	Crossroads Capital INC	0%	+0.85%	Add
23	ARCC 4.875 03-15-17	Ares Capital CORP	0%	—	Unchanged
24	PSEC 5.375 10-15-17	Prospect Capital CORP	-0.3%	-4.86%	Trim
25	ARCC 4.375 01-15-19	Ares Capital CORP	-1.3%	-13.27%	Trim
26	PSEC 5.5 08-15-16	Prospect Capital CORP	—	EXIT	Sold out
27	WEB 1 08-15-18	Web.com Group INC	—	NEW	New buy
28	SFLY 0.25 05-15-18	Shutterfly INC	—	EXIT	Sold out
29	SLRC	Slr Investment CORP	—	EXIT	Sold out
30	MFIN	Medallion Financial CORP	—	NEW	New buy
31	HRZN	Horizon Technology Finance C	—	EXIT	Sold out
32	ABDCUSD	Alcentra Capital CORP	—	EXIT	Sold out