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Warberg Asset Management LLC

An institutional investment manager in WINNETKA, IL. Its Form 13F for the quarter ended Jun 30, 2026, filed Aug 11, 2026. SEC CIK 1597506.

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Holdings: 170 positions

The filing on sec.gov

As filed, largest first. Reported value is what the manager stated for each position at the quarter end, in US dollars; it is filing data, not a price. Weight is the position's share of the total reported value. Changes compare with the 13F for the quarter ended 2026-03-31.

IssuerClassCUSIPReported value$mWeightSharesPut or callChange on the quarter before
State STR SPDR S&P 500 ETF TSPYTR UNIT78462F10317231.2%230,600PutNew+230,600
Granite Constr IncNOTE 3.750% 5/1387328AD946.98.5%$14,102,000 principalNew+14,102,000
Microchip Technology Inc.NOTE 1.625% 2/1595017AF142.07.6%$15,275,000 principalAdded+4,169,000
Astronics CorpNOTE 5.500% 3/1046433AD031.35.7%$7,185,000 principalAdded+5,500,000
Live Nation Entertainment inNOTE 3.125% 1/1538034BA619.03.5%$10,684,000 principalAdded+26,000
Nextnav IncNNCOMMON STOCK65345N10615.32.8%859,839New+859,839
Invesco QQQ TRUNIT SER 146090E10314.02.5%19,000PutNew+19,000
Cornerstone Strategic InvestCLMCOM21924B30213.92.5%1,836,581Added+794,646
Guardant Health IncDEBT 1.250% 2/140131MAD112.62.3%$5,000,000 principalNew+5,000,000
Hewlett Packard Enterprise C7.625 MAND CONV42824C20811.72.1%100,154New+100,154
TXNM Energy IncNOTE 5.750% 6/069349HAF48.91.6%$6,809,000 principalAdded+1,809,000
Liberty Media Corp DelNOTE 3.750% 3/1531229AP78.61.6%$7,500,000 principalNew+7,500,000
Core Scientific Inc NewCORZ*W EXP 01/23/20221874A1147.21.3%385,028Added+117,128
Ormat Technologies IncNOTE 2.500% 7/1686688AB87.21.3%$5,700,000 principalNew+5,700,000
Apollo Global MGMT IncSER A MAND CNV03769M3046.71.2%110,589New+110,589
Lumentum Holdings IncNOTE 0.500% 6/155024UAF66.71.2%$1,020,000 principalNew+1,020,000
LCI IndsNOTE 3.000% 3/0501812AD36.21.1%$5,500,000 principalReduced−1,000,000
Alnylam Pharmaceuticals IncNOTE 1.000% 9/102043QAB36.01.1%$5,002,000 principalUnchanged
Akamai Technologies IncNOTE 0.250% 5/100971TAQ45.10.9%$3,500,000 principalNew+3,500,000
Halozyme Therapeutics IncNOTE 1.000% 8/140637HAF65.10.9%$3,500,000 principalReduced−2,500,000
Nvidia CorporationNVDACOM67066G1044.40.8%22,000PutNew+22,000
Jazz Investments I LtdNOTE 3.125% 9/1472145AH44.30.8%$2,500,000 principalNew+2,500,000
A10 Networks IncNOTE 2.750% 4/0002121AB74.20.8%$2,500,000 principalNew+2,500,000
Mirum Pharmaceuticals IncNOTE 4.000% 5/0604749AB73.90.7%$1,045,000 principalNew+1,045,000
Snowflake IncNOTE 10/0833445AD13.50.6%$2,000,000 principalReduced−2,000,000
Ishares TR20 YR TR BD ETF4642874323.50.6%40,600PutNew+40,600
Fluor CorpNOTE 1.125% 8/1343412AJ13.30.6%$2,500,000 principalNew+2,500,000
State STR SPDR S&P 500 ETF TSPYTR UNIT78462F1033.00.5%4,000CallNew+4,000
EPR PptysPFD C CV 5.75%26884U2082.90.5%115,000Added+15,077
Vaneck ETF TrustSEMICONDUCTR ETF92189F6762.60.5%4,000PutNew+4,000
Evergy IncNOTE 4.500%12/130034WAD82.50.5%$1,747,000 principalAdded+578,000
Century Alum CoNOTE 2.750% 5/0156431AQ12.50.4%$1,000,000 principalAdded+812,000
Uber Technologies IncNOTE 0.875%12/090353TAM22.30.4%$1,953,000 principalUnchanged
Stereotaxis IncSTXSCOM NEW85916J4091.90.3%1,108,889Added+14,766
Post Holdings IncNOTE 2.500% 8/1737446AT11.80.3%$1,728,000 principalReduced−272,000
Akamai Technologies IncNOTE 1.125% 2/100971TAN11.80.3%$1,500,000 principalReduced−1,000,000
EPR PptysCONV PFD 9% SR E26884U3071.70.3%54,398Added+5,106
Albemarle Corp7.25% DEP SHS A0126532001.70.3%30,305Reduced−8,195
Roundhill ETF TrustMEMORY ETF77926X3201.60.3%21,000PutNew+21,000
FG Imperii Acquisition CorpORD SHS CL AG3R41C1021.50.3%149,908Reduced−5,000
Bank of Amer Corp7.25%CNV PFD L0605056821.50.3%1,180Reduced−320
Xsolla Spac 1USD CL A ORD SHSG9833K1021.40.2%138,736Reduced−4,264
United Airls Holdings IncUALCOM9100471091.40.2%10,000CallNew+10,000
Wisdomtree IncNOTE 3.250% 8/197717PAH71.20.2%$829,000 principalReduced−1,671,000
Starbucks CorpSBUXCOM8552441091.20.2%11,900PutNew+11,900
Esperion Therapeutics Inc NeCOM29664W1051.20.2%374,000PutNew+374,000
Ishares Silver TRSLVISHARES46428Q1091.10.2%21,500CallNew+21,500
Vendome Acquisition Corp ICOM CL AG9580A1091.10.2%111,183Reduced−7,800
Paypal Holdings IncPYPLCOM70450Y1031.10.2%25,000CallNew+25,000
Collective Acquisition CorpUNIT 04/27/2031G227411211.00.2%99,668New+99,668
Praetorian Acquisition CorpORD SHS CL AG7S17G1031.00.2%99,999Unchanged
Vaneck ETF TrustSEMICONDUCTR ETF92189F6760.90.2%1,400CallNew+1,400
Revolution Medicines IncRVMD*W EXP 12/17/20276155X1180.90.2%94,797New+94,797
New England Rlty Assoc Ltd PNENDEPOSITRY RCPT6442061040.90.2%15,100Reduced−2,606
Kimco Realty CorpDP CV CL N 7.25%49446R6870.90.2%13,707New+13,707
Origin Invt Corp IORD SHSG677511000.90.2%83,610Unchanged
Black Hawk Acquisition CorpUSD CL A SHSG1148A1010.90.2%71,923Reduced−400
Critical Metals CorpPUBCO ORD SHSG2662B1030.80.1%80,200PutNew+80,200
Intel CorpINTCCOM4581401000.80.1%5,500CallNew+5,500
Corning IncGLWCOM2193501050.80.1%3,000PutNew+3,000
D Boral Acquisition I CorpORD SHS CL AG2616T1010.80.1%76,851Reduced−149
Kochav Defense Acqui CoSHS CL AG5304D1060.80.1%73,072Reduced−3,708
X3 Acquisition Corp LtdORD SHS CL AG9831H1010.70.1%75,000Unchanged
ACP Holdings Acquisition CorCL AG0113G1010.70.1%74,172New+74,172
Vine Hill Cap Invts Corp IICL AG9709D1090.70.1%70,494Reduced−3
RF Acquisition Corp IIIORD SHSG7537X1070.70.1%69,949Reduced−51
Space Exploration Techn CorpSPCXCLASS A COM STK84615Q1030.70.1%4,000PutNew+4,000
Silicon Vy Acquisition CorpCL AG813061210.70.1%66,247Reduced−8,753
Amprius Technologies IncAMPXCOMMON STOCK03214Q1080.70.1%47,000New+47,000
Amprius Technologies IncAMPXCOMMON STOCK03214Q1080.60.1%46,000PutNew+46,000
Vaneck ETF TrustJUNIOR GOLD MINE92189F7910.60.1%6,222New+6,222
Amplitech Group IncRIGHT 07/18/202603211Q1350.60.1%309,044Added+108,927
USA Rare Earth IncUSARCOM91733P1070.5<0.1%25,333Unchanged
Valaris Ltd*W EXP 04/29/202G9460G1190.5<0.1%62,800Added+21,335
CAL Redwood Acquisition CorpCOM CL AG175641080.5<0.1%49,900Unchanged
JAB Acquisition Corp IUNIT 06/05/2031G500041290.5<0.1%51,168New+51,168
ACM Resh IncACMRCOM CL A00108J1090.5<0.1%4,000PutNew+4,000
Burtech Acquisition Corp IIUNIT 05/21/2031G1810A1240.5<0.1%50,000New+50,000
Art Technology Acquisition CUSD CL A ORD SHSG0579E1030.5<0.1%50,000Unchanged
Crown Resv Acquisition CorpORD SHS CL AG2574F1190.5<0.1%47,106Reduced−4
Clearthink 1 Acquisition CorORD SHS CL AG2294A1010.5<0.1%47,995New+47,995
Miluna Acquisition CorpUSD CL A ORD SHSG6180J1000.5<0.1%45,989Unchanged
SC II Acquisition CorpORD SHS CLASS AG7866D1020.5<0.1%46,200Unchanged
Thayer Ventures Acq Corp IICL AG878901020.5<0.1%44,699Unchanged
Indigo Acquisition CorpORD SHSG4791J1060.5<0.1%44,612Unchanged
Lake Superior Acquisition CoUSD CL A ORD SHSG5354C1070.5<0.1%44,947Unchanged
Cantor Equity Partners I IncSHS CL AG1827K1070.4<0.1%42,252New+42,252
Barclays Bank plcATMPIPATH S&P 500 SH06748M1960.4<0.1%20,000CallNew+20,000
Occidental Pete Corp*W EXP 08/03/2026745991620.4<0.1%15,292Reduced−471,217
Alpex Acquisition CorpUNIT 06/05/2031G633251230.4<0.1%40,000New+40,000
Post Holdings IncPOSTCOM7374461040.4<0.1%4,500Unchanged
Globa Terra Acquisition CorCL A ORD SHSG3933N1160.4<0.1%36,300Unchanged
OTG Acquisition Corp. IORD CL AG6791A1000.4<0.1%35,438Unchanged
Championsgate Acquisition CoSHS CL AG2124S1080.4<0.1%34,442Reduced−300
On Semiconductor CorpNOTE 5/0682189AS40.4<0.1%$196,000 principalAdded+177,000
AA Mission Acquisition CorpORD SHS CL AG1000S1090.4<0.1%34,987Unchanged
Nextera Energy Cap Holdings IncNOTE 3.000% 3/065339KCY40.3<0.1%$254,000 principalUnchanged
Futurewave Acquisition CorpUNIT 06/04/2031G370731220.3<0.1%32,056New+32,056
Regentis Biomaterials LtdORDINARY SHARESM8211G1080.3<0.1%86,980New+86,980
Alnylam Pharmaceuticals IncALNYCOM02043Q1070.3<0.1%1,000New+1,000
Harvard Ave Acquisition CorpUSD CL A ORD SHSG4330A1030.3<0.1%29,685Reduced−7,815
Collective Acquisition CorpSHS CL AG2867S1090.3<0.1%27,601Reduced−702
Amplitech Group IncAMPGCOM NEW03211Q2000.3<0.1%41,000CallNew+41,000
I-80 Gold Corp*W EXP 11/16/20244955L1550.3<0.1%367,824Added+76,071
Fortunex Acquisition CorpUNIT 05/19/2031G3645W1230.3<0.1%28,269New+28,269
Biovie IncBIVI*W EXP 08/08/20309074F1730.3<0.1%613,426Added+156,797
Infleqtion Inc*W EXP 02/17/20345676K1110.3<0.1%40,100New+40,100
McKinley Acquisition CorpSHS CL AG6005T1010.3<0.1%27,000Unchanged
Solarius Capital Acqu CorpSHS CL AG826171040.3<0.1%24,895Unchanged
Amplitech Group IncAMPGRIGHT 11/20/202603211Q1430.3<0.1%174,400Added+7,733
Evolution Global AcquisitionUSD CL A ORD SHSG3226F1010.3<0.1%25,000Unchanged
Tailwind 2.0 Acquisition CorORD SHS CL AG8662J1110.2<0.1%24,900Unchanged
Proem Acquisition Corp IUNIT 01/29/2031G7341A1290.2<0.1%24,564Reduced−26,936
Lafayette Acquisition CorpORD SHSG534261050.2<0.1%24,453Reduced−100
Quartzsea Acquisition CorpORD SHSG7314B1040.2<0.1%22,916Added+965
Stonebridge Acquisition II CCL A SHSG850961080.2<0.1%23,700Reduced−3,800
Ribbon Acquisition CorpORD SHS CL AG7552W1090.2<0.1%21,826Unchanged
Brightspring Health SVCS IncUNIT 02/01/202710950A2050.2<0.1%968New+968
Crane HBR Acquisition Corp IORD SHS CL AG250141040.2<0.1%21,908Reduced−1,604
United STS Oil FD LPUSOUNITS91232N2070.2<0.1%2,000PutNew+2,000
Roman DBDR Acquisition CorpORD SHS CL AG7633M1040.2<0.1%20,206Reduced−3,000
Bitcoin Infrastructure AcquiUSD CL A ORD SHSG1143H1010.2<0.1%20,000Unchanged
Copley Acquisition CorpORD SHS CL AG242431000.2<0.1%16,794Reduced−606
Neovolta IncNEOV*W EXP 04/01/2026406551140.2<0.1%125,321Reduced−25,841
Exyn Technologies IncEXYN*W EXP 04/21/20330233T1100.2<0.1%127,084New+127,084
PG&E CorpPCGCOM69331C1080.2<0.1%10,000CallNew+10,000
CSLM Digita Asset Acq Corp IUSD CL A ORD SHSG2584S1010.2<0.1%15,828Unchanged
Optimum Communications IncOPTUCL A02156K1030.1<0.1%99,090New+99,090
Briacell Therapeutics CorpBCTX*W EXP 01/15/2031079301250.1<0.1%159,555Added+44,555
Tenon Medical IncCOM88066N3030.1<0.1%430,407New+430,407
Bimergen Energy Corp*W EXP 12/12/20384856X1220.1<0.1%72,282Reduced−24,966
Digi PWR X IncDGXXCOM SUB VTG25380B1020.1<0.1%25,000New+25,000
Digi PWR X IncDGXXCOM SUB VTG25380B1020.1<0.1%25,000PutNew+25,000
Eureka Acquisition CorpSHS CL AG321681090.1<0.1%10,057Reduced−2,726
Oaktree Acquisition Corp IIISHS CL AG6717R1040.1<0.1%10,037Added+12
Dakota Gold CorpDCCOM46655E1000.1<0.1%25,045Unchanged
Oyster Enterprises II AcquisORD SHS CL AG6861F1040.1<0.1%10,000Unchanged
Rein Therapeutics IncRNTXCOM NEW00887A2040.1<0.1%99,000New+99,000
Greenland Energy CoGLND*W EXP 04/21/20370580B1140.1<0.1%102,405New+102,405
Liqtech International IncLIQTCOM53632A3000.1<0.1%91,746New+91,746
Mobilicom LtdMOB*W EXP 08/31/20260742B1100.1<0.1%38,200Reduced−12,700
Gold Royalty Corp*W EXP 05/31/20238071H1220.1<0.1%76,822Added+8,314
Duke Robotics CorpDUKR*W EXP 05/06/2039034481160.1<0.1%47,625New+47,625
EON Resources Inc*W EXP 11/15/20240472A1280.0<0.1%515,167Reduced−31,910
Prairie Oper CoPROPCOM7396501090.0<0.1%48,500CallNew+48,500
Namib Minerals*W EXP 06/05/203G636381110.0<0.1%132,494Unchanged
Amesite IncAMSTCOM NEW0310942040.0<0.1%14,287New+14,287
T1 Energy Inc*W EXP 07/09/20235834F1120.0<0.1%85,922New+85,922
Livewire Group Inc*W EXP 09/26/20253838J1130.0<0.1%594,393Reduced−5,264
ACP Holdings Acquisition Cor*W EXP 03/30/203G0113G1190.0<0.1%38,633New+38,633
Aleanna IncANNA*W EXP 12/13/20201444V1110.0<0.1%30,473New+30,473
FG Imperii Acquisition Corp*W EXP 10/14/203G3R41C1100.0<0.1%34,019Reduced−3,010
Flyexclusive Inc*W EXP 99/99/9993439281150.0<0.1%29,800Reduced−3,224
X3 Acquisition Corp Ltd*W EXP 12/19/203G9831H1190.0<0.1%20,737Reduced−16,763
Diana Shipping Inc*W EXP 12/14/202Y2066G1380.0<0.1%34,500New+34,500
Generation Essentials Group*W EXP 02/15/202G382681190.0<0.1%31,944Reduced−3,831
Ernexa Therapeutics IncERNA*W EXP 02/04/2031140821180.0<0.1%69,430Reduced−184,370
Nexgel IncNXGL*W EXP 12/27/20265344E1150.0<0.1%145,591Reduced−500
CID Holdco IncDAIC*W EXP 12/31/2021717561170.0<0.1%377,800Unchanged
Xsolla Spac 1*W EXP 01/12/203G9833K1100.0<0.1%13,991Reduced−14,243
Shreya Acquisition Group*W EXP 04/30/203G8116J1390.0<0.1%34,300New+34,300
Aeries Technology Inc*W EXP 11/06/202G0136H1100.0<0.1%70,787Unchanged
Murano Global Invt plc*W EXP 03/19/202G633691130.0<0.1%55,374Reduced−7,626
CEA Industries IncBNC*W EXP 02/11/20286887P1190.0<0.1%35,000Unchanged
Saverone 2014 LtdSVRE*W EXP 06/02/20280516T1130.0<0.1%66,820Reduced−58,206
Oppfi Inc*W EXP 07/20/20268386H1110.0<0.1%23,600Reduced−50,710
Crown Resv Acquisition Corp*W EXP 10/06/203G2574S1030.0<0.1%12,352Unchanged
Anghami Inc*W EXP 02/03/202G0369L1190.0<0.1%40,409Unchanged
Hub Cyber Security Ltd*W EXP 02/27/202M6000J1270.0<0.1%18,787Reduced−143,984
Renew Energy Global plc*W EXP 08/21/202G7500M1200.0<0.1%31,092Unchanged

Sold out: 91 positions

Held at the end of the quarter before and not reported this quarter.

IssuerClassCUSIPReported value$WeightSharesPut or callChange on the quarter before
5E Advanced Materials IncFEAMCOM NEW33830Q2080.00.0%0Sold out−12,312
Alphaton Capital CorpSHS NEWG7185A1360.00.0%0Sold out−42,133
Amprius Technologies Inc*W EXP 09/14/20203214Q1160.00.0%0Sold out−63,200
A Paradise Acquisition CorpCOM CL AG048191010.00.0%0Sold out−25,000
Apollomics Inc*W EXP 04/01/202G0411D1150.00.0%0Sold out−87,049
Armada Acquisition Corp IIIUNIT 02/13/2031G0R38M1270.00.0%0Sold out−10,000
Axiom Intelligence Ac Corp 1ORD SHS CL AG0750N1040.00.0%0Sold out−23,992
Barclays Bank plcCALL06748M9060.00.0%0CallSold out−22,000
Bhav Acquisition CorpUNIT 03/18/2031G1R59W1270.00.0%0Sold out−50,000
BT Brands IncBTBD*W EXP 11/12/2020557MQ1150.00.0%0Sold out−10,000
Calidi Biotherapeutics IncCOM3207034080.00.0%0Sold out−250,000
Cantaloupe IncPUT1381039560.00.0%0PutSold out−236,400
Carvana CoPUT1468699520.00.0%0PutSold out−3,600
Cellectar Biosciences IncCLRBCOM NEW15117F8800.00.0%0Sold out−13,900
Centerpoint Energy IncNOTE 4.250% 8/115189TBD80.00.0%$0 principalSold out−3,000,000
Charlton Aria Acquisition CoORD SHS CL AG9877L1070.00.0%0Sold out−98,664
Clearthink 1 Acquisition CorUNIT 01/26/2031G2294A1270.00.0%0Sold out−98,500
CNX Res CorpNOTE 2.250% 5/012653CAG30.00.0%$0 principalSold out−11,473,000
Columbus Circle Cap Corp IIUNIT 02/11/2031G2296M1110.00.0%0Sold out−25,000
Critical Metals CorpPUTG2662B9530.00.0%0PutSold out−33,000
Curis IncCOM2312693090.00.0%0Sold out−10,000
D. Boral Arc Acq I Corp.SHS CL AG2616F1010.00.0%0Sold out−17,585
Drugs Made in Amer Acqutn CoORD SHSG2847J1040.00.0%0Sold out−92,054
Ernexa Therapeutics IncCOM1140823080.00.0%0Sold out−50,000
Exxon Mobil CorpCALL30231G9020.00.0%0CallSold out−30,000
Future Money Acquisition CorUNIT 03/16/2031G3700S1240.00.0%0Sold out−35,000
Gamesquare Holdings IncCOM36468G1030.00.0%0Sold out−50,000
GIGCAPITAL9 CorpUNIT 12/01/2030G3865B1060.00.0%0Sold out−21,796
Goldman Sachs ETF TRACCES TREASURY3814305290.00.0%0Sold out−4,000
Harvard Ave Acquisition CorpRIGHT 03/30/2026G4330A1110.00.0%0Sold out−12,190
Icecure Medical Ltd CaesareaSHS NEWM530711360.00.0%0Sold out−65,568
Invesco QQQ TRPUT46090E9530.00.0%0PutSold out−35,000
Invesco QQQ TRUNIT SER 146090E1030.00.0%0Sold out−3,000
Irhythm Holdings IncNOTE 1.500% 9/0450056AB20.00.0%$0 principalSold out−2,000,000
Ishares Silver TRCALL46428Q9090.00.0%0CallSold out−4,000
Ishares TR0-3 MNTH TREASRY46436E7180.00.0%0Sold out−16,928
Ishares TRIBOXX HI YD ETF4642885130.00.0%0Sold out−6,000
Ishares TR20 YR TR BD ETF4642874320.00.0%0Sold out−2,500
Ishares TRPUT4642879520.00.0%0PutSold out−50,000
Ishares TRPUT4642889530.00.0%0PutSold out−12,000
Joby Aviation Inc*W EXP 08/10/202G651631180.00.0%0Sold out−44,818
Lifecore Biomedical IncLFCRCOM5147661040.00.0%0Sold out−15,000
Lumentum Holdings IncNOTE 0.500%12/155024UAD10.00.0%$0 principalSold out−9,700,000
Micron Technology IncCALL5951129030.00.0%0CallSold out−2,000
Mosaic CoCALL61945C9030.00.0%0CallSold out−30,000
Noble Corp plc*W EXP 02/04/202G654311350.00.0%0Sold out−29,855
Noble Corp plc*W EXP 02/04/202G654311500.00.0%0Sold out−56,999
Nutanix IncNOTE 0.250%10/067059NAH10.00.0%$0 principalSold out−757,000
Nvidia CorporationPUT67066G9540.00.0%0PutSold out−22,000
Occidental Pete CorpCALL6745999050.00.0%0CallSold out−20,000
Occidental Pete CorpPUT6745999550.00.0%0PutSold out−5,500
Outlook Therapeutics IncOTLKCOM69012T3050.00.0%0Sold out−275,000
P3 Health Partners IncPIII*W EXP 11/19/2027444131130.00.0%0Sold out−292,107
Palantir Technologies IncPUT69608A9580.00.0%0PutSold out−8,000
Pantages Capital AcquisitionORD SHS CL AG8089R1000.00.0%0Sold out−24,760
Paypal Holdings IncCALL70450Y9030.00.0%0CallSold out−10,000
Perfect Moment LtdPMNTCOM SHS7137151000.00.0%0Sold out−95,200
PG&E CorpCALL69331C9080.00.0%0CallSold out−47,000
Planet Labs PBC*W EXP 12/06/20272703X1140.00.0%0Sold out−27,076
Pono Cap Four IncUNIT 03/11/2031G717021230.00.0%0Sold out−105,000
Praetorian Acquisition Corp*W EXP 01/16/203G7S17G1290.00.0%0Sold out−21,732
Prairie Oper CoCALL7396509090.00.0%0CallSold out−31,100
Prairie Oper CoPROPCOM7396501090.00.0%0Sold out−10,000
Presidio Prodtn Co*W EXP 03/04/20374102N1190.00.0%0Sold out−10,500
Reviva Pharmaceutcls Holdings IRVPHCOM NEW76152G2090.00.0%0Sold out−90,772
Seagate HDD CaymanNOTE 3.500% 6/081180WBL40.00.0%$0 principalSold out−7,592,000
Select Sector SPDR TRSTATE STREET ENE81369Y5060.00.0%0Sold out−28,903
Select Sector SPDR TRPUT81369Y9550.00.0%0PutSold out−30,000
Select Sector SPDR TRSTATE STREET FIN81369Y6050.00.0%0Sold out−13,000
SHIFT4 PMTS Inc6 SER A CNV PREF82452J3070.00.0%0Sold out−49,991
Silicon Vy Acquisition Corp*W EXP 12/08/203G813061130.00.0%0Sold out−31,600
Starbucks CorpPUT8552449590.00.0%0PutSold out−14,000
State STR SPDR S&P 500 ETF TPUT78462F9530.00.0%0PutSold out−310,000
Strategy IncCALL5949729080.00.0%0CallSold out−14,000
Synergy CHC CorpSNYRQCOM NEW87165D2080.00.0%0Sold out−10,222
Tavia Acquisition CorpSHSG868801040.00.0%0Sold out−104,360
The Trade Desk IncCALL88339J9050.00.0%0CallSold out−17,000
Translational Dev AcquisitioCOM CL AG9008W1050.00.0%0Sold out−73,422
Twin Vee Powercats CoCOM NEW90177C2000.00.0%0Sold out−239,431
Uniqure NVCALLN900649010.00.0%0CallSold out−10,000
United STS Oil FD LPPUT91232N9570.00.0%0PutSold out−39,000
Vaneck ETF TrustCALL92189F9060.00.0%0CallSold out−3,000
Ventas Rlty Ltd PartnershipNOTE 3.750% 6/092277GAZ00.00.0%$0 principalSold out−5,389,000
Venu HLDG CorpVENUCOM92333E1040.00.0%0Sold out−12,000
Viking Acquisition Corp IORD CL AG9582G1040.00.0%0Sold out−21,201
Vine Hill Cap Invts Corp II*W EXP 11/25/203G9709D1170.00.0%0Sold out−12,356
Visionwave Holdings IncVWAV*W EXP 07/14/2039279501130.00.0%0Sold out−37,000
Vivani Medical IncVANICOMMON STOCK92854B1090.00.0%0Sold out−40,000
VOX Royalty CorpVOXRCOM92919F1030.00.0%0Sold out−10,000
Wisdomtree IncNOTE 3.250% 6/197717PAD60.00.0%$0 principalSold out−7,712,000
Workiva IncNOTE 1.125% 8/198139AAB10.00.0%$0 principalSold out−2,121,000

Source: SEC EDGAR, Form 13F-HR, accession 0001597506-26-000003 (on sec.gov). Last ingested by Listed: Oct 22, 2026, 05:26 ET. Listed shows no prices and gives no investment advice.