Radcliffe Capital Management, L.P. — Q3 2019 13F Holdings

Name: Radcliffe Capital Management, L.P. — 13F Holdings, Q3 2019
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	PSEC 4.95 07-15-22	Prospect Capital CORP	Stock-Other	15.01%	—	+7.24%
2	ARCC 4.625 03-01-24	Ares Capital CORP	Stock-Financials	10.20%	—	-3.88%
3	NMFC 5.75 08-15-23	New Mountain Finance Cor	Stock-Other	8.37%	—	—
4	CEMEX 3.72 03-15-20 *	Cemex Sab De Cv	Stock-Other	7.77%	—	+156.61%
5	TCPC 5.25 12-15-19	Blackrock Tcp Cap CORP	Stock-Other	7.71%	—	-2.48%
6	BKCC 5 06-15-22	Blackrock Capital Invest	Stock-Other	6.83%	—	+62.97%
7	CEMEX 3.72 03-15-20	Cemex Sab De Cv	Stock-Other	6.24%	—	+172.61%
8	PSEC 6.375 03-01-25	Prospect Capital CORP	Stock-Other	6.19%	—	—
9	TSLX 4.5 12-15-19	Tpg Specialty Lending In	Stock-Other	5.91%	—	—
10	GSBD 4.5 04-01-22	Goldman Sachs Bdc INC	Stock-Other	5.49%	—	-2.45%
11	TSLX 4.5 08-01-22	Sixth Street Specialty	Stock-Other	4.57%	—	—
12	TCPC 4.625 03-01-22	Blackrock Tcp Cap CORP	Stock-Other	3.66%	—	-5.20%
13	HTGC 4.375 02-01-22	Hercules Capital INC	Stock-Financials	3.55%	—	-14.48%
14	NUAN 1 12-15-35	Nuance Communications	Stock-Other	1.77%	—	—
15	CATM 1 12-01-20	Cardtronics INC	Stock-Other	1.24%	—	—
16	TWTR 1 09-15-21	Twitter INC	Stock-Other	1.16%	—	—
17	ARCC 3.75 02-01-22	Ares Capital CORP	Stock-Financials	1.06%	—	-69.79%
18	NUAN 2.75 11-01-31	Nuance Communications	Stock-Other	0.95%	—	—
19	DISH 2.375 03-15-24	Dish Network CORP	Stock-Other	0.86%	—	—
20	SYNA 0.5 06-15-22	Synaptics INC	Stock-Other	0.64%	—	—
21	PSEC 4.75 04-15-20	Prospect Capital CORP	Stock-Other	0.25%	—	+5.71%
22	TIVO 0.5 03-01-20	Rovi CORP	Stock-Other	0.18%	—	—
23	✓	Trident Acquisitions CORP	Stock-Other	0.03%	—	—
24	✓	Arya Sciences Acquisition Co	Stock-Other	0.03%	—	—
25	✓	Mudrick Cap Acquisition CORP	Stock-Other	0.03%	—	—
26	✓	Forum Merger Ii CORP	Stock-Other	0.03%	—	—
27	✓	Graf Indl CORP	Stock-Other	0.03%	—	—
28	✓	Boxwood Merger CORP	Stock-Other	0.03%	—	—
29	MNCL	Monocle Acquisition CORP	Stock-Other	0.03%	—	—
30	✓	Amci Acquisition CORP	Stock-Other	0.03%	—	—
31	✓	Lf Cap Acquisition CORP	Stock-Other	0.02%	—	—
32	STNL	Sentinel Energy Service-cl A	Stock-Other	0.02%	—	—
33	✓	Allegro Merger CORP	Stock-Other	0.02%	—	—
34	✓	Megalith Finl Acquisition Co	Stock-Other	0.02%	—	—
35	✓	Edtechx Hldgs Acquisition Co	Stock-Other	0.02%	—	—
36	✓	Dd3 Acquisition CORP	Stock-Other	0.02%	—	—
37	✓	Chaserg Technlgy Acquisitn C	Stock-Other	0.02%	—	—
38	✓	Hennessy Cap Acqustion CORP	Stock-Other	0.02%	—	—

Holding changes this quarter

Position changes disclosed by Radcliffe Capital Management, L.P. for the quarter ending Q3 2019, including ticker, issuer, weight change, shares change, and action
#	Ticker	Issuer	Weight Change	Shares Change	Action
1	CEMEX 3.72 03-15-20 *	Cemex Sab De Cv	+5%	+156.61%	Add
2	CEMEX 3.72 03-15-20	Cemex Sab De Cv	+4.2%	+172.61%	Add
3	BKCC 5 06-15-22	Blackrock Capital Invest	+3%	+62.97%	Add
4	PSEC 4.95 07-15-22	Prospect Capital CORP	+2.6%	+7.24%	Add
5	NMFC 5.75 08-15-23	New Mountain Finance Cor	+0.9%	—	Unchanged
6	ARCC 4.625 03-01-24	Ares Capital CORP	+0.9%	-3.88%	Trim
7	PSEC 6.375 03-01-25	Prospect Capital CORP	+0.8%	—	Unchanged
8	TSLX 4.5 12-15-19	Tpg Specialty Lending In	+0.6%	—	Unchanged
9	TCPC 5.25 12-15-19	Blackrock Tcp Cap CORP	+0.6%	-2.48%	Trim
10	GSBD 4.5 04-01-22	Goldman Sachs Bdc INC	+0.5%	-2.45%	Trim
11	TSLX 4.5 08-01-22	Sixth Street Specialty	+0.5%	—	Unchanged
12	TCPC 4.625 03-01-22	Blackrock Tcp Cap CORP	+0.2%	-5.20%	Trim
13	NUAN 1 12-15-35	Nuance Communications	+0.2%	—	Unchanged
14	TWTR 1 09-15-21	Twitter INC	+0.1%	—	Unchanged
15	SYNA 0.5 06-15-22	Synaptics INC	+0.1%	—	Unchanged
16	PSEC 4.75 04-15-20	Prospect Capital CORP	0%	+5.71%	Add
17	✓	Arya Sciences Acquisition Co	—	—	Unchanged
18	✓	Boxwood Merger CORP	—	—	Unchanged
19	✓	Edtechx Hldgs Acquisition Co	—	—	Unchanged
20	✓	Allegro Merger CORP	—	—	Unchanged
21	✓	Dd3 Acquisition CORP	—	—	Unchanged
22	✓	Graf Indl CORP	—	—	Unchanged
23	✓	Megalith Finl Acquisition Co	—	—	Unchanged
24	STNL	Sentinel Energy Service-cl A	—	—	Unchanged
25	MNCL	Monocle Acquisition CORP	—	—	Unchanged
26	✓	Hennessy Cap Acqustion CORP	—	—	Unchanged
27	✓	Trident Acquisitions CORP	—	—	Unchanged
28	✓	Forum Merger Ii CORP	—	—	Unchanged
29	✓	Amci Acquisition CORP	—	—	Unchanged
30	✓	Lf Cap Acquisition CORP	—	—	Unchanged
31	✓	Mudrick Cap Acquisition CORP	—	—	Unchanged
32	✓	Chaserg Technlgy Acquisitn C	—	—	Unchanged
33	HTGC 4.375 02-01-22	Hercules Capital INC	-0.1%	-14.48%	Trim
34	ARCC 3.75 02-01-22	Ares Capital CORP	-2.1%	-69.79%	Trim
35	TWTR 0.25 09-15-19	Twitter INC	—	EXIT	Sold out
36	EFII 0.75 09-01-19	Electronics For Imaging	—	EXIT	Sold out
37	CATM 1 12-01-20	Cardtronics INC	—	NEW	New buy
38	NUAN 2.75 11-01-31	Nuance Communications	—	NEW	New buy
39	DISH 2.375 03-15-24	Dish Network CORP	—	NEW	New buy
40	ICON 5.75 08-15-23	Iconix Brand Group INC	—	EXIT	Sold out
41	TIVO 0.5 03-01-20	Rovi CORP	—	NEW	New buy
42	TMCX	Trinity Merger Corp-class A	—	EXIT	Sold out
43	✓	Social Cap Hedosophia Hldgs	—	EXIT	Sold out