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2020 December Asset Detail Acct Base Currency Code : USD ALL KR2 AND KR3 - KR2GALLKRS00 As Of Date : 12/31/2020 Accounting Status : PRELIMINARY Mellon Security Base Market . Shares/Par Security ID Description Value ALTERNATIVE INVESTMENTS ARROWMARK FUND I 552,069,089.000 552,069,089.00 BLACKSTONE STRAT OPP 2,525,216.120 2,525,216.12 GOVERNORS LANE FUNDÉÉÉÉÉÉÉÉ 358,526.780 358,526.78 LUXOR CAPITAL PARTNERS OFFSHORE LTDD 1,459,032.030 1,459,032.03 MAGNETAR MTP EOF II 35,678,607.620 35,678,607.62 MYRIAD OPPORTUNITIES 48,648,563.010 48,648,563.01 NORTHERN TRUST LITIGATION CREDIT 2.000 0.00 PINE RIVER FUND LTD 139,672.780 139,672.78 SRS PARTNERS USÉÉÉÉ 5,994,083.350 5,994,083.35 TOTAL ALTERNATIVE INVESTMENTS 646,872,792.690 646,872,790.69 CASH & CASH EQUIVALENTS ABN AMRO FDG USA DISC 01/04/2021 3,600,000.000 3,598,695.00 ABN AMRO FDG USA DISC 02/08/2021 2,600,000.000 2,598,700.00 ATLANTIC ASSET DISC 02/10/2021 3,800,000.000 3,797,973.34 AUSTRALIA & NZ BK DISC 03/17/2021 2,700,000.000 2,698,582.50 BANK OF MONTREAL DISC 01/05/2021 3,850,000.000 3,848,272.85 BARCLAYS BANK DISC 01/11/2021 3,750,000.000 3,748,031.25 BARCLAYS BANK DISC 03/16/2021 2,800,000.000 2,798,180.00 BLACKROCK MONEY MARKET FD B 94.450 94.45 BPCE DISC 03/03/2021 3,900,000.000 3,897,102.08 CANTOR REPO A TRI REPO 0.100% 01/04/2021 DD 12/30/20 290,200,000.000 290,200,000.00 CNH/USD SPOT OPTION 2021 PUT APR 21 006.650 ED 041521 2,324,300.000 0.00 COLLATERALIZED CP DISC 02/17/2021 1,200,000.000 1,199,488.00 CONAGRA FOODS DISC 01/05/2021 1,537,000.000 1,536,684.06 EB TEMP IVN FD VAR RT 12/31/49 FEE CL 12 226,965,987.230 226,965,987.23 EUR/USD SPOT OPTION 2021 CALL MAR 21 001.205 ED 033121 -6,180,000.000 -85,284.00 EXELON GENERATION DISC 01/13/2021 783,000.000 782,885.81 FMS WERTMANAGEM DISC 03/19/2021 1,250,000.000 1,249,168.75 FMS WERTMANAGEMEN DISC 01/13/2021 2,850,000.000 2,848,910.67 FORD MTR CR CO DISC 02/01/2021 2,790,000.000 2,668,030.50 GBP/USD SPOT OPTION 2021 PUT JAN 21 001.350 ED 010821 -5,135,000.000 -65,728.00 GENERAL MOTORS DISC 01/04/2021 500,000.000 499,805.56 GENERAL MOTORS DISC 01/13/2021 504,000.000 503,741.00 GENERAL MOTORS DISC 04/01/2021 1,737,000.000 1,732,838.45 GTA FUNDING DISC 01/05/2021 3,950,000.000 3,949,451.39 INSTITUTIONAL SEC DISC 01/06/2021 50,000,000.000 49,997,861.00 JABIL INC DISC 01/04/2021 2,554,000.000 2,552,460.50 LIBERTY ST FDG DISC 01/07/2021 3,900,000.000 3,898,405.33 Report Timestamp: Wed Jan 13 2021 13:13:45 PM Page 1 of 197 Asset Detail Acct Base Currency Code : USD ALL KR2 AND KR3 - KR2GALLKRS00 As Of Date : 12/31/2020 Accounting Status : PRELIMINARY Mellon Security Base Market . Shares/Par Security ID Description Value LLOYDS BK PLC DISC 03/12/2021 3,850,000.000 3,847,129.61 MANHATTAN AST FDG DISC 02/23/2021 2,750,000.000 2,748,418.75 MATCHPOINT FIN DISC 02/01/2021 1,150,000.000 1,149,373.89 MERRILL LYNCH REV REPO 0.050% 01/04/2021 DD 12/31/20 23,727,000.000 23,727,000.00 MITSUBISHI UFJ TR DISC 02/26/2021 2,750,000.000 2,748,235.42 MITSUBISHI UFJ TR DISC 04/19/2021 1,200,000.000 1,198,929.00 MIZUHO BANK LTD DISC 02/10/2021 3,850,000.000 3,847,946.67 NATIONAL AUST BK DISC 03/10/2021 3,950,000.000 3,948,025.00 NATIONAL BK CANADA DISC 01/04/2021 3,750,000.000 3,748,406.25 NATIONAL BK CANADA DISC 04/01/2021 3,900,000.000 3,897,292.75 NATIONWIDE BLDG DISC 01/05/2021 2,800,000.000 2,799,457.89 NATIONWIDE BLDG DISC 01/14/2021 1,200,000.000 1,199,728.67 NATIONWIDE BLDG DISC 01/19/2021 1,250,000.000 1,249,672.57 NATIONWIDE BLDG DISC 01/20/2021 2,750,000.000 2,749,279.65 NEW YORK ST TRANSPRTN DEV CORP 1.360% 12/01/2021 DD 12/01/20 440,000.000 440,000.00 NISSAN MTR ACCEPT DISC 01/29/2021 250,000.000 241,138.89 NRW BANK DISC 01/22/2021 2,900,000.000 2,899,344.28 NRW BANK DISC 01/28/2021 4,050,000.000 4,048,795.13 NZD/GBP SPOT OPTION 2021 CALL MAR 21 002.020 ED 031221 6,765,000.000 21,269.06 OLD LINE FDG CORP DISC 02/01/2021 3,750,000.000 3,747,910.41 SECURITIES LENDING POOL 0.000 0.00 SKANDINAVISKA ENS DISC 03/01/2021 3,900,000.000 3,898,201.13 SOCIETE GENERALE DISC 02/01/2021 3,850,000.000 3,848,203.33 SUMITOMO MTSU BKG DISC 02/10/2021 1,150,000.000 1,149,305.85 SWAP COLLATERAL WITH BANK OF AMERICA (MLI) 100,000.000 100,000.00 SWAP COLLATERAL WITH CIBC -50,000.000 -50,000.00 SWAP COLLATERAL WITH CITIBANK 550,000.000 550,000.00 SWAP COLLATERAL WITH GOLDMAN -680,000.000 -680,000.00 SWAP COLLATERAL WITH JP MORGAN 50,000.000 50,000.00 SWAP COLLATERAL WITH MORGAN STANLEY -230,000.000 -230,000.00 SWAP COLLATERAL WITH TORONTO DOMINION -100,000.000 -100,000.00 SWAP COLLATERAL WITH U.S. BANK N.A. 70,000.000 70,000.00 SWAP COLLATERAL WITH UBS -60,000.000 -60,000.00 TBA COLLATERAL WITH JP MORGAN -214,000.000 -214,000.00 TORONTO-DOMINION DISC 03/22/2021 3,900,000.000 3,897,474.75 TOTAL CAPITAL CDA DISC 01/12/2021 3,750,000.000 3,748,468.75 U S TREASURY BILL 0.000% 01/05/2021 DD 08/04/20 16,000,000.000 15,996,527.20 U S TREASURY BILL 0.000% 01/28/2021 DD 01/30/20 1,265,000.000 1,264,821.64 U S TREASURY BILL 0.000% 02/04/2021 DD 08/06/20 66,863,000.000 66,849,738.84 Report Timestamp: Wed Jan 13 2021 13:13:45 PM Page 2 of 197 Asset Detail Acct Base Currency Code : USD ALL KR2 AND KR3 - KR2GALLKRS00 As Of Date : 12/31/2020 Accounting Status : PRELIMINARY Mellon Security Base Market . Shares/Par Security ID Description Value U S TREASURY BILL 0.000% 03/18/2021 DD 09/17/20 9,120,000.000 9,118,214.76 U S TREASURY BILL 0.000% 04/15/2021 DD 10/15/20 10,000,000.000 9,997,679.76 USD/EUR SPOT OPTION 2021 PUT MAR 21 001.185 ED 033121 -5,755,000.000 -47,178.25 VIATRIS INC DISC 03/22/2021 1,860,000.000 1,856,708.83 VODAFONE GROUP DISC 01/04/2021 3,741,000.000 3,740,563.55 WALGREENS BOOTS DISC 01/22/2021 1,254,000.000 1,253,622.06 WESTPAC BANKING DISC 02/01/2021 3,900,000.000 3,898,925.33 TOTAL CASH & CASH EQUIVALENTS 809,996,381.680 817,584,969.14 CONVERTIBLE OR EXCHANGEABLE SECURITIES AIR CANADA 144A 4.000% 07/01/2025 DD 06/02/20 100,000.000 147,500.00 AMERICAN AIRLINES GROUP INC 6.500% 07/01/2025 DD 06/25/20 1,545,000.000 1,936,761.84 ARBOR REALTY TRUST INC 4.750% 11/01/2022 DD 11/12/19 1,184,000.000 1,163,540.48 ARBOR REALTY TRUST INC 5.250% 07/01/2021 DD 07/20/18 518,000.000 594,239.94 BP CAPITAL MARKETS PLC REGS 1.000% 04/28/2023 900,000.000 1,277,781.94 DISH NETWORK CORP 3.375% 08/15/2026 DD 08/08/16 610,000.000 581,471.30 EXANTAS CAPITAL CORP 4.500% 08/15/2022 DD 08/16/17 2,390,000.000 2,195,932.00 LIBERTY BROADBAND CORP 144A 1.250% 09/30/2050 DD 11/23/20 905,000.000 913,607.46 LIBERTY BROADBAND CORP 144A 2.750% 09/30/2050 DD 08/27/20 470,000.000 502,788.20 LIBERTY MEDIA CORP 144A 0.500% 12/01/2050 DD 11/12/20 375,000.000 397,734.71 MFA FINANCIAL INC 6.250% 06/15/2024 DD 06/03/19 1,005,000.000 999,956.23 NRG ENERGY INC 2.750% 06/01/2048 DD 05/24/18 1,620,000.000 1,840,806.00 PENNYMAC CORP 5.500% 11/01/2024 DD 11/07/19 1,088,000.000 1,068,960.00 REDWOOD TRUST INC 4.750% 08/15/2023 DD 08/18/17 1,107,000.000 1,043,846.44 REDWOOD TRUST INC 5.625% 07/15/2024 DD 06/25/18 748,000.000 703,813.78 SABRE GLBL INC 144A 4.000% 04/15/2025 DD 04/17/20 465,000.000 834,442.50 SONY CORP 0.000% 09/30/2022 34,000,000.000 679,538.96 SOUTHWEST AIRLINES CO 1.250% 05/01/2025 DD 05/01/20 90,000.000 130,725.00 UBER TECHNOLOGIES INC 144A 0.000% 12/15/2025 DD 12/11/20 2,180,000.000 2,230,224.69 WEIBO CORP 1.250% 11/15/2022 DD 10/30/17 2,690,000.000 2,609,275.23 TOTAL CONVERTIBLE OR EXCHANGEABLE SECURITIES 53,990,000.000 21,852,946.70 CONVERTIBLE SECURITIES 2020 CASH MANDATORY EXCHA 144A PFD 5.250% 525.000 637,717.50 AMERICAN ELECTRIC POWER CO INC PFD 6.125% 27,250.000 1,379,667.50 BECTON DICKINSON AND CO PFD 6.000% 11,900.000 656,047.00 BROADCOM INC PFD 8.000% CUMULATIVE 1,400.000 1,991,458.00 CENTERPOINT ENERGY INC PFD 7.000% 24,400.000 995,520.00 DANAHER CORP PFD 5.000% 745.000 962,972.10 DOMINION ENERGY INC PFD 7.250% CUMULATIVE 13,000.000 1,304,290.00 DTE ENERGY CO PFD 6.250% 30,650.000 1,455,081.01 Report Timestamp: Wed Jan 13 2021 13:13:45 PM Page 3 of 197 Asset Detail Acct Base Currency Code : USD ALL KR2 AND KR3 - KR2GALLKRS00 As Of Date : 12/31/2020 Accounting Status : PRELIMINARY Mellon Security Base Market .
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