# Warberg Asset Management LLC: Form 13F holdings

An institutional investment manager in WINNETKA, IL. SEC CIK 1597506.

- Quarter ended: 2026-06-30
- Filed: 2026-08-11
- Reported value: $551.1m
- Positions: 170 (170 lines in the filing's table; lines for the same security and option type are added together here)
- Compared with: the 13F for the quarter ended 2026-03-31
- Filing: https://www.sec.gov/Archives/edgar/data/1597506/000159750626000003/

## Holdings

As filed, largest first. Reported value is what the manager stated at the quarter end (Jun 30, 2026), in US dollars; it is filing data, not a price. Weight is the share of the total reported value.

| Issuer | Class | Reported value | Weight | Shares | Put or call | Change on the quarter before |
| --- | --- | ---: | ---: | ---: | --- | --- |
| [STATE STR SPDR S&P 500 ETF T (SPY)](/companies/spy.md) | TR UNIT | $172.2m | 31.2% | 230,600 | Put | New +230,600 |
| GRANITE CONSTR INC | NOTE 3.750% 5/1 | $46.9m | 8.5% | $14,102,000 principal |  | New +14,102,000 |
| MICROCHIP TECHNOLOGY INC. | NOTE 1.625% 2/1 | $42.0m | 7.6% | $15,275,000 principal |  | Added +4,169,000 |
| ASTRONICS CORP | NOTE 5.500% 3/1 | $31.3m | 5.7% | $7,185,000 principal |  | Added +5,500,000 |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | $19.0m | 3.5% | $10,684,000 principal |  | Added +26,000 |
| [NEXTNAV INC (NN)](/companies/nn.md) | COMMON STOCK | $15.3m | 2.8% | 859,839 |  | New +859,839 |
| INVESCO QQQ TR | UNIT SER 1 | $14.0m | 2.5% | 19,000 | Put | New +19,000 |
| [CORNERSTONE STRATEGIC INVEST (CLM)](/companies/clm.md) | COM | $13.9m | 2.5% | 1,836,581 |  | Added +794,646 |
| GUARDANT HEALTH INC | DEBT 1.250% 2/1 | $12.6m | 2.3% | $5,000,000 principal |  | New +5,000,000 |
| HEWLETT PACKARD ENTERPRISE C | 7.625 MAND CONV | $11.7m | 2.1% | 100,154 |  | New +100,154 |
| TXNM ENERGY INC | NOTE 5.750% 6/0 | $8.9m | 1.6% | $6,809,000 principal |  | Added +1,809,000 |
| LIBERTY MEDIA CORP DEL | NOTE 3.750% 3/1 | $8.6m | 1.6% | $7,500,000 principal |  | New +7,500,000 |
| [CORE SCIENTIFIC INC NEW (CORZ)](/companies/corz.md) | \*W EXP 01/23/202 | $7.2m | 1.3% | 385,028 |  | Added +117,128 |
| ORMAT TECHNOLOGIES INC | NOTE 2.500% 7/1 | $7.2m | 1.3% | $5,700,000 principal |  | New +5,700,000 |
| APOLLO GLOBAL MGMT INC | SER A MAND CNV | $6.7m | 1.2% | 110,589 |  | New +110,589 |
| LUMENTUM HLDGS INC | NOTE 0.500% 6/1 | $6.7m | 1.2% | $1,020,000 principal |  | New +1,020,000 |
| LCI INDS | NOTE 3.000% 3/0 | $6.2m | 1.1% | $5,500,000 principal |  | Reduced −1,000,000 |
| ALNYLAM PHARMACEUTICALS INC | NOTE 1.000% 9/1 | $6.0m | 1.1% | $5,002,000 principal |  | Unchanged |
| AKAMAI TECHNOLOGIES INC | NOTE 0.250% 5/1 | $5.1m | 0.9% | $3,500,000 principal |  | New +3,500,000 |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | $5.1m | 0.9% | $3,500,000 principal |  | Reduced −2,500,000 |
| [NVIDIA CORPORATION (NVDA)](/companies/nvda.md) | COM | $4.4m | 0.8% | 22,000 | Put | New +22,000 |
| JAZZ INVESTMENTS I LTD | NOTE 3.125% 9/1 | $4.3m | 0.8% | $2,500,000 principal |  | New +2,500,000 |
| A10 NETWORKS INC | NOTE 2.750% 4/0 | $4.2m | 0.8% | $2,500,000 principal |  | New +2,500,000 |
| MIRUM PHARMACEUTICALS INC | NOTE 4.000% 5/0 | $3.9m | 0.7% | $1,045,000 principal |  | New +1,045,000 |
| SNOWFLAKE INC | NOTE 10/0 | $3.5m | 0.6% | $2,000,000 principal |  | Reduced −2,000,000 |
| ISHARES TR | 20 YR TR BD ETF | $3.5m | 0.6% | 40,600 | Put | New +40,600 |
| FLUOR CORP | NOTE 1.125% 8/1 | $3.3m | 0.6% | $2,500,000 principal |  | New +2,500,000 |
| [STATE STR SPDR S&P 500 ETF T (SPY)](/companies/spy.md) | TR UNIT | $3.0m | 0.5% | 4,000 | Call | New +4,000 |
| EPR PPTYS | PFD C CV 5.75% | $2.9m | 0.5% | 115,000 |  | Added +15,077 |
| VANECK ETF TRUST | SEMICONDUCTR ETF | $2.6m | 0.5% | 4,000 | Put | New +4,000 |
| EVERGY INC | NOTE 4.500%12/1 | $2.5m | 0.5% | $1,747,000 principal |  | Added +578,000 |
| CENTURY ALUM CO | NOTE 2.750% 5/0 | $2.5m | 0.4% | $1,000,000 principal |  | Added +812,000 |
| UBER TECHNOLOGIES INC | NOTE 0.875%12/0 | $2.3m | 0.4% | $1,953,000 principal |  | Unchanged |
| [STEREOTAXIS INC (STXS)](/companies/stxs.md) | COM NEW | $1.9m | 0.3% | 1,108,889 |  | Added +14,766 |
| POST HLDGS INC | NOTE 2.500% 8/1 | $1.8m | 0.3% | $1,728,000 principal |  | Reduced −272,000 |
| AKAMAI TECHNOLOGIES INC | NOTE 1.125% 2/1 | $1.8m | 0.3% | $1,500,000 principal |  | Reduced −1,000,000 |
| EPR PPTYS | CONV PFD 9% SR E | $1.7m | 0.3% | 54,398 |  | Added +5,106 |
| ALBEMARLE CORP | 7.25% DEP SHS A | $1.7m | 0.3% | 30,305 |  | Reduced −8,195 |
| ROUNDHILL ETF TRUST | MEMORY ETF | $1.6m | 0.3% | 21,000 | Put | New +21,000 |
| FG IMPERII ACQUISITION CORP | ORD SHS CL A | $1.5m | 0.3% | 149,908 |  | Reduced −5,000 |
| BANK OF AMER CORP | 7.25%CNV PFD L | $1.5m | 0.3% | 1,180 |  | Reduced −320 |
| XSOLLA SPAC 1 | USD CL A ORD SHS | $1.4m | 0.2% | 138,736 |  | Reduced −4,264 |
| [UNITED AIRLS HLDGS INC (UAL)](/companies/ual.md) | COM | $1.4m | 0.2% | 10,000 | Call | New +10,000 |
| WISDOMTREE INC | NOTE 3.250% 8/1 | $1.2m | 0.2% | $829,000 principal |  | Reduced −1,671,000 |
| [STARBUCKS CORP (SBUX)](/companies/sbux.md) | COM | $1.2m | 0.2% | 11,900 | Put | New +11,900 |
| ESPERION THERAPEUTICS INC NE | COM | $1.2m | 0.2% | 374,000 | Put | New +374,000 |
| [ISHARES SILVER TR (SLV)](/companies/slv.md) | ISHARES | $1.1m | 0.2% | 21,500 | Call | New +21,500 |
| VENDOME ACQUISITION CORP I | COM CL A | $1.1m | 0.2% | 111,183 |  | Reduced −7,800 |
| [PAYPAL HLDGS INC (PYPL)](/companies/pypl.md) | COM | $1.1m | 0.2% | 25,000 | Call | New +25,000 |
| COLLECTIVE ACQUISITION CORP | UNIT 04/27/2031 | $1.0m | 0.2% | 99,668 |  | New +99,668 |
| PRAETORIAN ACQUISITION CORP | ORD SHS CL A | $993.0k | 0.2% | 99,999 |  | Unchanged |
| VANECK ETF TRUST | SEMICONDUCTR ETF | $918.2k | 0.2% | 1,400 | Call | New +1,400 |
| [REVOLUTION MEDICINES INC (RVMD)](/companies/rvmd.md) | \*W EXP 12/17/202 | $889.2k | 0.2% | 94,797 |  | New +94,797 |
| [NEW ENGLAND RLTY ASSOC LTD P (NEN)](/companies/nen.md) | DEPOSITRY RCPT | $886.2k | 0.2% | 15,100 |  | Reduced −2,606 |
| KIMCO REALTY CORP | DP CV CL N 7.25% | $862.4k | 0.2% | 13,707 |  | New +13,707 |
| ORIGIN INVT CORP I | ORD SHS | $862.0k | 0.2% | 83,610 |  | Unchanged |
| BLACK HAWK ACQUISITION CORP | USD CL A SHS | $856.6k | 0.2% | 71,923 |  | Reduced −400 |
| CRITICAL METALS CORP | PUBCO ORD SHS | $822.0k | 0.1% | 80,200 | Put | New +80,200 |
| [INTEL CORP (INTC)](/companies/intc.md) | COM | $768.0k | 0.1% | 5,500 | Call | New +5,500 |
| [CORNING INC (GLW)](/companies/glw.md) | COM | $766.3k | 0.1% | 3,000 | Put | New +3,000 |
| D BORAL ACQUISITION I CORP | ORD SHS CL A | $766.2k | 0.1% | 76,851 |  | Reduced −149 |
| KOCHAV DEFENSE ACQUI CO | SHS CL A | $757.8k | 0.1% | 73,072 |  | Reduced −3,708 |
| X3 ACQUISITION CORP LTD | ORD SHS CL A | $749.3k | 0.1% | 75,000 |  | Unchanged |
| ACP HOLDINGS ACQUISITION COR | CL A | $737.3k | 0.1% | 74,172 |  | New +74,172 |
| VINE HILL CAP INVTS CORP II | CL A | $703.5k | 0.1% | 70,494 |  | Reduced −3 |
| RF ACQUISITION CORP III | ORD SHS | $692.1k | 0.1% | 69,949 |  | Reduced −51 |
| [SPACE EXPLORATION TECHN CORP (SPCX)](/companies/spcx.md) | CLASS A COM STK | $683.4k | 0.1% | 4,000 | Put | New +4,000 |
| SILICON VY ACQUISITION CORP | CL A | $666.8k | 0.1% | 66,247 |  | Reduced −8,753 |
| [AMPRIUS TECHNOLOGIES INC (AMPX)](/companies/ampx.md) | COMMON STOCK | $651.4k | 0.1% | 47,000 |  | New +47,000 |
| [AMPRIUS TECHNOLOGIES INC (AMPX)](/companies/ampx.md) | COMMON STOCK | $637.6k | 0.1% | 46,000 | Put | New +46,000 |
| VANECK ETF TRUST | JUNIOR GOLD MINE | $611.3k | 0.1% | 6,222 |  | New +6,222 |
| AMPLITECH GROUP INC | RIGHT 07/18/2026 | $596.4k | 0.1% | 309,044 |  | Added +108,927 |
| [USA RARE EARTH INC (USAR)](/companies/usar.md) | COM | $546.7k | <0.1% | 25,333 |  | Unchanged |
| VALARIS LTD | \*W EXP 04/29/202 | $516.6k | <0.1% | 62,800 |  | Added +21,335 |
| CAL REDWOOD ACQUISITION CORP | COM CL A | $514.0k | <0.1% | 49,900 |  | Unchanged |
| JAB ACQUISITION CORP I | UNIT 06/05/2031 | $513.2k | <0.1% | 51,168 |  | New +51,168 |
| [ACM RESH INC (ACMR)](/companies/acmr.md) | COM CL A | $507.6k | <0.1% | 4,000 | Put | New +4,000 |
| BURTECH ACQUISITION CORP II | UNIT 05/21/2031 | $502.5k | <0.1% | 50,000 |  | New +50,000 |
| ART TECHNOLOGY ACQUISITION C | USD CL A ORD SHS | $496.5k | <0.1% | 50,000 |  | Unchanged |
| CROWN RESV ACQUISITION CORP | ORD SHS CL A | $476.2k | <0.1% | 47,106 |  | Reduced −4 |
| CLEARTHINK 1 ACQUISITION COR | ORD SHS CL A | $475.6k | <0.1% | 47,995 |  | New +47,995 |
| MILUNA ACQUISITION CORP | USD CL A ORD SHS | $464.9k | <0.1% | 45,989 |  | Unchanged |
| SC II ACQUISITION CORP | ORD SHS CLASS A | $463.4k | <0.1% | 46,200 |  | Unchanged |
| THAYER VENTURES ACQ CORP II | CL A | $461.3k | <0.1% | 44,699 |  | Unchanged |
| INDIGO ACQUISITION CORP | ORD SHS | $457.3k | <0.1% | 44,612 |  | Unchanged |
| LAKE SUPERIOR ACQUISITION CO | USD CL A ORD SHS | $455.8k | <0.1% | 44,947 |  | Unchanged |
| CANTOR EQUITY PARTNERS I INC | SHS CL A | $443.6k | <0.1% | 42,252 |  | New +42,252 |
| [BARCLAYS BANK PLC (ATMP)](/companies/atmp.md) | IPATH S&P 500 SH | $441.8k | <0.1% | 20,000 | Call | New +20,000 |
| OCCIDENTAL PETE CORP | \*W EXP 08/03/202 | $407.1k | <0.1% | 15,292 |  | Reduced −471,217 |
| ALPEX ACQUISITION CORP | UNIT 06/05/2031 | $400.8k | <0.1% | 40,000 |  | New +40,000 |
| [POST HLDGS INC (POST)](/companies/post.md) | COM | $397.0k | <0.1% | 4,500 |  | Unchanged |
| GLOBA TERRA ACQUISITION COR | CL A ORD SHS | $374.3k | <0.1% | 36,300 |  | Unchanged |
| OTG ACQUISITION CORP. I | ORD CL A | $360.2k | <0.1% | 35,438 |  | Unchanged |
| CHAMPIONSGATE ACQUISITION CO | SHS CL A | $358.0k | <0.1% | 34,442 |  | Reduced −300 |
| ON SEMICONDUCTOR CORP | NOTE 5/0 | $357.1k | <0.1% | $196,000 principal |  | Added +177,000 |
| AA MISSION ACQUISITION CORP | ORD SHS CL A | $355.5k | <0.1% | 34,987 |  | Unchanged |
| NEXTERA ENERGY CAP HLDGS INC | NOTE 3.000% 3/0 | $333.8k | <0.1% | $254,000 principal |  | Unchanged |
| FUTUREWAVE ACQUISITION CORP | UNIT 06/04/2031 | $321.5k | <0.1% | 32,056 |  | New +32,056 |
| REGENTIS BIOMATERIALS LTD | ORDINARY SHARES | $306.2k | <0.1% | 86,980 |  | New +86,980 |
| [ALNYLAM PHARMACEUTICALS INC (ALNY)](/companies/alny.md) | COM | $301.1k | <0.1% | 1,000 |  | New +1,000 |
| HARVARD AVE ACQUISITION CORP | USD CL A ORD SHS | $299.8k | <0.1% | 29,685 |  | Reduced −7,815 |
| COLLECTIVE ACQUISITION CORP | SHS CL A | $288.2k | <0.1% | 27,601 |  | Reduced −702 |
| [AMPLITECH GROUP INC (AMPG)](/companies/ampg.md) | COM NEW | $285.4k | <0.1% | 41,000 | Call | New +41,000 |
| I-80 GOLD CORP | \*W EXP 11/16/202 | $285.1k | <0.1% | 367,824 |  | Added +76,071 |
| FORTUNEX ACQUISITION CORP | UNIT 05/19/2031 | $284.1k | <0.1% | 28,269 |  | New +28,269 |
| [BIOVIE INC (BIVI)](/companies/bivi.md) | \*W EXP 08/08/203 | $276.0k | <0.1% | 613,426 |  | Added +156,797 |
| INFLEQTION INC | \*W EXP 02/17/203 | $275.5k | <0.1% | 40,100 |  | New +40,100 |
| MCKINLEY ACQUISITION CORP | SHS CL A | $274.1k | <0.1% | 27,000 |  | Unchanged |
| SOLARIUS CAPITAL ACQU CORP | SHS CL A | $255.4k | <0.1% | 24,895 |  | Unchanged |
| [AMPLITECH GROUP INC (AMPG)](/companies/ampg.md) | RIGHT 11/20/2026 | $252.9k | <0.1% | 174,400 |  | Added +7,733 |
| EVOLUTION GLOBAL ACQUISITION | USD CL A ORD SHS | $250.5k | <0.1% | 25,000 |  | Unchanged |
| TAILWIND 2.0 ACQUISITION COR | ORD SHS CL A | $250.0k | <0.1% | 24,900 |  | Unchanged |
| PROEM ACQUISITION CORP I | UNIT 01/29/2031 | $247.6k | <0.1% | 24,564 |  | Reduced −26,936 |
| LAFAYETTE ACQUISITION CORP | ORD SHS | $246.5k | <0.1% | 24,453 |  | Reduced −100 |
| QUARTZSEA ACQUISITION CORP | ORD SHS | $241.1k | <0.1% | 22,916 |  | Added +965 |
| STONEBRIDGE ACQUISITION II C | CL A SHS | $241.0k | <0.1% | 23,700 |  | Reduced −3,800 |
| RIBBON ACQUISITION CORP | ORD SHS CL A | $234.8k | <0.1% | 21,826 |  | Unchanged |
| BRIGHTSPRING HEALTH SVCS INC | UNIT 02/01/2027 | $223.1k | <0.1% | 968 |  | New +968 |
| CRANE HBR ACQUISITION CORP I | ORD SHS CL A | $221.9k | <0.1% | 21,908 |  | Reduced −1,604 |
| [UNITED STS OIL FD LP (USO)](/companies/uso.md) | UNITS | $212.9k | <0.1% | 2,000 | Put | New +2,000 |
| ROMAN DBDR ACQUISITION CORP | ORD SHS CL A | $212.9k | <0.1% | 20,206 |  | Reduced −3,000 |
| BITCOIN INFRASTRUCTURE ACQUI | USD CL A ORD SHS | $199.9k | <0.1% | 20,000 |  | Unchanged |
| COPLEY ACQUISITION CORP | ORD SHS CL A | $175.2k | <0.1% | 16,794 |  | Reduced −606 |
| [NEOVOLTA INC (NEOV)](/companies/neov.md) | \*W EXP 04/01/202 | $175.1k | <0.1% | 125,321 |  | Reduced −25,841 |
| [EXYN TECHNOLOGIES INC (EXYN)](/companies/exyn.md) | \*W EXP 04/21/203 | $169.0k | <0.1% | 127,084 |  | New +127,084 |
| [PG&E CORP (PCG)](/companies/pcg.md) | COM | $168.2k | <0.1% | 10,000 | Call | New +10,000 |
| CSLM DIGITA ASSET ACQ CORP I | USD CL A ORD SHS | $160.5k | <0.1% | 15,828 |  | Unchanged |
| [OPTIMUM COMMUNICATIONS INC (OPTU)](/companies/optu.md) | CL A | $143.7k | <0.1% | 99,090 |  | New +99,090 |
| [BRIACELL THERAPEUTICS CORP (BCTX)](/companies/bctx.md) | \*W EXP 01/15/203 | $142.0k | <0.1% | 159,555 |  | Added +44,555 |
| TENON MEDICAL INC | COM | $140.4k | <0.1% | 430,407 |  | New +430,407 |
| BIMERGEN ENERGY CORP | \*W EXP 12/12/203 | $137.3k | <0.1% | 72,282 |  | Reduced −24,966 |
| [DIGI PWR X INC (DGXX)](/companies/dgxx.md) | COM SUB VTG | $136.3k | <0.1% | 25,000 |  | New +25,000 |
| [DIGI PWR X INC (DGXX)](/companies/dgxx.md) | COM SUB VTG | $136.3k | <0.1% | 25,000 | Put | New +25,000 |
| EUREKA ACQUISITION CORP | SHS CL A | $115.1k | <0.1% | 10,057 |  | Reduced −2,726 |
| OAKTREE ACQUISITION CORP III | SHS CL A | $107.4k | <0.1% | 10,037 |  | Added +12 |
| [DAKOTA GOLD CORP (DC)](/companies/dc.md) | COM | $106.7k | <0.1% | 25,045 |  | Unchanged |
| OYSTER ENTERPRISES II ACQUIS | ORD SHS CL A | $102.9k | <0.1% | 10,000 |  | Unchanged |
| [REIN THERAPEUTICS INC (RNTX)](/companies/rntx.md) | COM NEW | $101.0k | <0.1% | 99,000 |  | New +99,000 |
| [GREENLAND ENERGY CO (GLND)](/companies/glnd.md) | \*W EXP 04/21/203 | $87.0k | <0.1% | 102,405 |  | New +102,405 |
| [LIQTECH INTL INC (LIQT)](/companies/liqt.md) | COM | $77.9k | <0.1% | 91,746 |  | New +91,746 |
| [MOBILICOM LTD (MOB)](/companies/mob.md) | \*W EXP 08/31/202 | $76.4k | <0.1% | 38,200 |  | Reduced −12,700 |
| GOLD ROYALTY CORP | \*W EXP 05/31/202 | $76.1k | <0.1% | 76,822 |  | Added +8,314 |
| [DUKE ROBOTICS CORP (DUKR)](/companies/dukr.md) | \*W EXP 05/06/203 | $61.4k | <0.1% | 47,625 |  | New +47,625 |
| EON RESOURCES INC | \*W EXP 11/15/202 | $39.5k | <0.1% | 515,167 |  | Reduced −31,910 |
| [PRAIRIE OPER CO (PROP)](/companies/prop.md) | COM | $35.0k | <0.1% | 48,500 | Call | New +48,500 |
| NAMIB MINERALS | \*W EXP 06/05/203 | $29.1k | <0.1% | 132,494 |  | Unchanged |
| [AMESITE INC (AMST)](/companies/amst.md) | COM NEW | $19.0k | <0.1% | 14,287 |  | New +14,287 |
| T1 ENERGY INC | \*W EXP 07/09/202 | $16.3k | <0.1% | 85,922 |  | New +85,922 |
| LIVEWIRE GROUP INC | \*W EXP 09/26/202 | $11.9k | <0.1% | 594,393 |  | Reduced −5,264 |
| ACP HOLDINGS ACQUISITION COR | \*W EXP 03/30/203 | $11.6k | <0.1% | 38,633 |  | New +38,633 |
| [ALEANNA INC (ANNA)](/companies/anna.md) | \*W EXP 12/13/202 | $9.4k | <0.1% | 30,473 |  | New +30,473 |
| FG IMPERII ACQUISITION CORP | \*W EXP 10/14/203 | $8.5k | <0.1% | 34,019 |  | Reduced −3,010 |
| FLYEXCLUSIVE INC | \*W EXP 99/99/999 | $6.0k | <0.1% | 29,800 |  | Reduced −3,224 |
| X3 ACQUISITION CORP LTD | \*W EXP 12/19/203 | $5.6k | <0.1% | 20,737 |  | Reduced −16,763 |
| DIANA SHIPPING INC | \*W EXP 12/14/202 | $5.2k | <0.1% | 34,500 |  | New +34,500 |
| GENERATION ESSENTIALS GROUP | \*W EXP 02/15/202 | $5.0k | <0.1% | 31,944 |  | Reduced −3,831 |
| [ERNEXA THERAPEUTICS INC (ERNA)](/companies/erna.md) | \*W EXP 02/04/203 | $5.0k | <0.1% | 69,430 |  | Reduced −184,370 |
| [NEXGEL INC (NXGL)](/companies/nxgl.md) | \*W EXP 12/27/202 | $4.7k | <0.1% | 145,591 |  | Reduced −500 |
| [CID HOLDCO INC (DAIC)](/companies/daic.md) | \*W EXP 12/31/202 | $4.6k | <0.1% | 377,800 |  | Unchanged |
| XSOLLA SPAC 1 | \*W EXP 01/12/203 | $3.1k | <0.1% | 13,991 |  | Reduced −14,243 |
| SHREYA ACQUISITION GROUP | \*W EXP 04/30/203 | $2.0k | <0.1% | 34,300 |  | New +34,300 |
| AERIES TECHNOLOGY INC | \*W EXP 11/06/202 | $1.4k | <0.1% | 70,787 |  | Unchanged |
| MURANO GLOBAL INVT PLC | \*W EXP 03/19/202 | $825 | <0.1% | 55,374 |  | Reduced −7,626 |
| [CEA INDUSTRIES INC (BNC)](/companies/bnc.md) | \*W EXP 02/11/202 | $784 | <0.1% | 35,000 |  | Unchanged |
| [SAVERONE 2014 LTD (SVRE)](/companies/svre.md) | \*W EXP 06/02/202 | $735 | <0.1% | 66,820 |  | Reduced −58,206 |
| OPPFI INC | \*W EXP 07/20/202 | $708 | <0.1% | 23,600 |  | Reduced −50,710 |
| CROWN RESV ACQUISITION CORP | \*W EXP 10/06/203 | $650 | <0.1% | 12,352 |  | Unchanged |
| ANGHAMI INC | \*W EXP 02/03/202 | $331 | <0.1% | 40,409 |  | Unchanged |
| HUB CYBER SECURITY LTD | \*W EXP 02/27/202 | $310 | <0.1% | 18,787 |  | Reduced −143,984 |
| RENEW ENERGY GLOBAL PLC | \*W EXP 08/21/202 | $103 | <0.1% | 31,092 |  | Unchanged |

## Sold out

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

| Issuer | Class | Reported value | Weight | Shares | Put or call | Change on the quarter before |
| --- | --- | ---: | ---: | ---: | --- | --- |
| [5E ADVANCED MATERIALS INC (FEAM)](/companies/feam.md) | COM NEW | $0 | 0.0% | 0 |  | Sold out −12,312 |
| ALPHATON CAPITAL CORP | SHS NEW | $0 | 0.0% | 0 |  | Sold out −42,133 |
| AMPRIUS TECHNOLOGIES INC | \*W EXP 09/14/202 | $0 | 0.0% | 0 |  | Sold out −63,200 |
| A PARADISE ACQUISITION CORP | COM CL A | $0 | 0.0% | 0 |  | Sold out −25,000 |
| APOLLOMICS INC | \*W EXP 04/01/202 | $0 | 0.0% | 0 |  | Sold out −87,049 |
| ARMADA ACQUISITION CORP III | UNIT 02/13/2031 | $0 | 0.0% | 0 |  | Sold out −10,000 |
| AXIOM INTELLIGENCE AC CORP 1 | ORD SHS CL A | $0 | 0.0% | 0 |  | Sold out −23,992 |
| BARCLAYS BANK PLC | CALL | $0 | 0.0% | 0 | Call | Sold out −22,000 |
| BHAV ACQUISITION CORP | UNIT 03/18/2031 | $0 | 0.0% | 0 |  | Sold out −50,000 |
| [BT BRANDS INC (BTBD)](/companies/btbd.md) | \*W EXP 11/12/202 | $0 | 0.0% | 0 |  | Sold out −10,000 |
| CALIDI BIOTHERAPEUTICS INC | COM | $0 | 0.0% | 0 |  | Sold out −250,000 |
| CANTALOUPE INC | PUT | $0 | 0.0% | 0 | Put | Sold out −236,400 |
| CARVANA CO | PUT | $0 | 0.0% | 0 | Put | Sold out −3,600 |
| [CELLECTAR BIOSCIENCES INC (CLRB)](/companies/clrb.md) | COM NEW | $0 | 0.0% | 0 |  | Sold out −13,900 |
| CENTERPOINT ENERGY INC | NOTE 4.250% 8/1 | $0 | 0.0% | $0 principal |  | Sold out −3,000,000 |
| CHARLTON ARIA ACQUISITION CO | ORD SHS CL A | $0 | 0.0% | 0 |  | Sold out −98,664 |
| CLEARTHINK 1 ACQUISITION COR | UNIT 01/26/2031 | $0 | 0.0% | 0 |  | Sold out −98,500 |
| CNX RES CORP | NOTE 2.250% 5/0 | $0 | 0.0% | $0 principal |  | Sold out −11,473,000 |
| COLUMBUS CIRCLE CAP CORP II | UNIT 02/11/2031 | $0 | 0.0% | 0 |  | Sold out −25,000 |
| CRITICAL METALS CORP | PUT | $0 | 0.0% | 0 | Put | Sold out −33,000 |
| CURIS INC | COM | $0 | 0.0% | 0 |  | Sold out −10,000 |
| D. BORAL ARC ACQ I CORP. | SHS CL A | $0 | 0.0% | 0 |  | Sold out −17,585 |
| DRUGS MADE IN AMER ACQUTN CO | ORD SHS | $0 | 0.0% | 0 |  | Sold out −92,054 |
| ERNEXA THERAPEUTICS INC | COM | $0 | 0.0% | 0 |  | Sold out −50,000 |
| EXXON MOBIL CORP | CALL | $0 | 0.0% | 0 | Call | Sold out −30,000 |
| FUTURE MONEY ACQUISITION COR | UNIT 03/16/2031 | $0 | 0.0% | 0 |  | Sold out −35,000 |
| GAMESQUARE HLDGS INC | COM | $0 | 0.0% | 0 |  | Sold out −50,000 |
| GIGCAPITAL9 CORP | UNIT 12/01/2030 | $0 | 0.0% | 0 |  | Sold out −21,796 |
| GOLDMAN SACHS ETF TR | ACCES TREASURY | $0 | 0.0% | 0 |  | Sold out −4,000 |
| HARVARD AVE ACQUISITION CORP | RIGHT 03/30/2026 | $0 | 0.0% | 0 |  | Sold out −12,190 |
| ICECURE MEDICAL LTD CAESAREA | SHS NEW | $0 | 0.0% | 0 |  | Sold out −65,568 |
| INVESCO QQQ TR | PUT | $0 | 0.0% | 0 | Put | Sold out −35,000 |
| INVESCO QQQ TR | UNIT SER 1 | $0 | 0.0% | 0 |  | Sold out −3,000 |
| IRHYTHM HOLDINGS INC | NOTE 1.500% 9/0 | $0 | 0.0% | $0 principal |  | Sold out −2,000,000 |
| ISHARES SILVER TR | CALL | $0 | 0.0% | 0 | Call | Sold out −4,000 |
| ISHARES TR | 0-3 MNTH TREASRY | $0 | 0.0% | 0 |  | Sold out −16,928 |
| ISHARES TR | IBOXX HI YD ETF | $0 | 0.0% | 0 |  | Sold out −6,000 |
| ISHARES TR | 20 YR TR BD ETF | $0 | 0.0% | 0 |  | Sold out −2,500 |
| ISHARES TR | PUT | $0 | 0.0% | 0 | Put | Sold out −50,000 |
| ISHARES TR | PUT | $0 | 0.0% | 0 | Put | Sold out −12,000 |
| JOBY AVIATION INC | \*W EXP 08/10/202 | $0 | 0.0% | 0 |  | Sold out −44,818 |
| [LIFECORE BIOMEDICAL INC (LFCR)](/companies/lfcr.md) | COM | $0 | 0.0% | 0 |  | Sold out −15,000 |
| LUMENTUM HLDGS INC | NOTE 0.500%12/1 | $0 | 0.0% | $0 principal |  | Sold out −9,700,000 |
| MICRON TECHNOLOGY INC | CALL | $0 | 0.0% | 0 | Call | Sold out −2,000 |
| MOSAIC CO | CALL | $0 | 0.0% | 0 | Call | Sold out −30,000 |
| NOBLE CORP PLC | \*W EXP 02/04/202 | $0 | 0.0% | 0 |  | Sold out −29,855 |
| NOBLE CORP PLC | \*W EXP 02/04/202 | $0 | 0.0% | 0 |  | Sold out −56,999 |
| NUTANIX INC | NOTE 0.250%10/0 | $0 | 0.0% | $0 principal |  | Sold out −757,000 |
| NVIDIA CORPORATION | PUT | $0 | 0.0% | 0 | Put | Sold out −22,000 |
| OCCIDENTAL PETE CORP | CALL | $0 | 0.0% | 0 | Call | Sold out −20,000 |
| OCCIDENTAL PETE CORP | PUT | $0 | 0.0% | 0 | Put | Sold out −5,500 |
| [OUTLOOK THERAPEUTICS INC (OTLK)](/companies/otlk.md) | COM | $0 | 0.0% | 0 |  | Sold out −275,000 |
| [P3 HEALTH PARTNERS INC (PIII)](/companies/piii.md) | \*W EXP 11/19/202 | $0 | 0.0% | 0 |  | Sold out −292,107 |
| PALANTIR TECHNOLOGIES INC | PUT | $0 | 0.0% | 0 | Put | Sold out −8,000 |
| PANTAGES CAPITAL ACQUISITION | ORD SHS CL A | $0 | 0.0% | 0 |  | Sold out −24,760 |
| PAYPAL HLDGS INC | CALL | $0 | 0.0% | 0 | Call | Sold out −10,000 |
| [PERFECT MOMENT LTD (PMNT)](/companies/pmnt.md) | COM SHS | $0 | 0.0% | 0 |  | Sold out −95,200 |
| PG&E CORP | CALL | $0 | 0.0% | 0 | Call | Sold out −47,000 |
| PLANET LABS PBC | \*W EXP 12/06/202 | $0 | 0.0% | 0 |  | Sold out −27,076 |
| PONO CAP FOUR INC | UNIT 03/11/2031 | $0 | 0.0% | 0 |  | Sold out −105,000 |
| PRAETORIAN ACQUISITION CORP | \*W EXP 01/16/203 | $0 | 0.0% | 0 |  | Sold out −21,732 |
| PRAIRIE OPER CO | CALL | $0 | 0.0% | 0 | Call | Sold out −31,100 |
| [PRAIRIE OPER CO (PROP)](/companies/prop.md) | COM | $0 | 0.0% | 0 |  | Sold out −10,000 |
| PRESIDIO PRODTN CO | \*W EXP 03/04/203 | $0 | 0.0% | 0 |  | Sold out −10,500 |
| [REVIVA PHARMACEUTCLS HLDGS I (RVPH)](/companies/rvph.md) | COM NEW | $0 | 0.0% | 0 |  | Sold out −90,772 |
| SEAGATE HDD CAYMAN | NOTE 3.500% 6/0 | $0 | 0.0% | $0 principal |  | Sold out −7,592,000 |
| SELECT SECTOR SPDR TR | STATE STREET ENE | $0 | 0.0% | 0 |  | Sold out −28,903 |
| SELECT SECTOR SPDR TR | PUT | $0 | 0.0% | 0 | Put | Sold out −30,000 |
| SELECT SECTOR SPDR TR | STATE STREET FIN | $0 | 0.0% | 0 |  | Sold out −13,000 |
| SHIFT4 PMTS INC | 6 SER A CNV PREF | $0 | 0.0% | 0 |  | Sold out −49,991 |
| SILICON VY ACQUISITION CORP | \*W EXP 12/08/203 | $0 | 0.0% | 0 |  | Sold out −31,600 |
| STARBUCKS CORP | PUT | $0 | 0.0% | 0 | Put | Sold out −14,000 |
| STATE STR SPDR S&P 500 ETF T | PUT | $0 | 0.0% | 0 | Put | Sold out −310,000 |
| STRATEGY INC | CALL | $0 | 0.0% | 0 | Call | Sold out −14,000 |
| [SYNERGY CHC CORP (SNYRQ)](/companies/snyrq.md) | COM NEW | $0 | 0.0% | 0 |  | Sold out −10,222 |
| TAVIA ACQUISITION CORP | SHS | $0 | 0.0% | 0 |  | Sold out −104,360 |
| THE TRADE DESK INC | CALL | $0 | 0.0% | 0 | Call | Sold out −17,000 |
| TRANSLATIONAL DEV ACQUISITIO | COM CL A | $0 | 0.0% | 0 |  | Sold out −73,422 |
| TWIN VEE POWERCATS CO | COM NEW | $0 | 0.0% | 0 |  | Sold out −239,431 |
| UNIQURE NV | CALL | $0 | 0.0% | 0 | Call | Sold out −10,000 |
| UNITED STS OIL FD LP | PUT | $0 | 0.0% | 0 | Put | Sold out −39,000 |
| VANECK ETF TRUST | CALL | $0 | 0.0% | 0 | Call | Sold out −3,000 |
| VENTAS RLTY LTD PARTNERSHIP | NOTE 3.750% 6/0 | $0 | 0.0% | $0 principal |  | Sold out −5,389,000 |
| [VENU HLDG CORP (VENU)](/companies/venu.md) | COM | $0 | 0.0% | 0 |  | Sold out −12,000 |
| VIKING ACQUISITION CORP I | ORD CL A | $0 | 0.0% | 0 |  | Sold out −21,201 |
| VINE HILL CAP INVTS CORP II | \*W EXP 11/25/203 | $0 | 0.0% | 0 |  | Sold out −12,356 |
| [VISIONWAVE HOLDINGS INC (VWAV)](/companies/vwav.md) | \*W EXP 07/14/203 | $0 | 0.0% | 0 |  | Sold out −37,000 |
| [VIVANI MEDICAL INC (VANI)](/companies/vani.md) | COMMON STOCK | $0 | 0.0% | 0 |  | Sold out −40,000 |
| [VOX ROYALTY CORP (VOXR)](/companies/voxr.md) | COM | $0 | 0.0% | 0 |  | Sold out −10,000 |
| WISDOMTREE INC | NOTE 3.250% 6/1 | $0 | 0.0% | $0 principal |  | Sold out −7,712,000 |
| WORKIVA INC | NOTE 1.125% 8/1 | $0 | 0.0% | $0 principal |  | Sold out −2,121,000 |

Source: SEC EDGAR, Form 13F-HR, accession 0001597506-26-000003. Last ingested by Listed: Oct 22, 2026, 05:26 ET. No prices; not investment advice.