UBS Group AG
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed November 14, 2024), UBS Group AG reported 7,908 stock positions worth $356.9 billion. Its top holding was Microsoft (MSFT) at 3.9% of the portfolio, followed by Apple (AAPL, 3.9%) and Nvidia (NVDA, 3.3%). Compared with Q2 2024, it opened 858 new positions, sold out of 883, added to 4,190 and reduced 2,721. The biggest buy was Meta Platforms Class A (META, shares +16%) and the biggest sale Nike Class B (NKE, shares −74%).
- Most Recent 13F
- Q2 2026
- Location
- ZURICH, V8
- CIK
- 0001610520
- Portfolio Value
- $356.9B (Q3 2024)
- SEC Filing
- 0000950123-24-011557 ↗ filed Nov 14, 2024
Holdings Value
Holdings 7,908 stocks · $356.9B
| MSFT Microsoft Corp. | 3.90% | 32,362,500 | $13.9B | Add +1.4% |
| AAPL Apple Inc. | 3.86% | 59,163,295 | $13.8B | Add +4.9% |
| NVDA Nvidia Corp. | 3.30% | 96,989,864 | $11.8B | Add +5.6% |
| AMZN Amazon.com Inc. | 1.91% | 36,615,609 | $6.8B | Add +4.4% |
| META Meta Platforms Inc. Class A | 1.53% | 9,554,524 | $5.5B | Add +16.4% |
| GOOGL Alphabet Inc. Class A | 1.38% | 29,759,717 | $4.9B | Add +9.2% |
| SPY SS SPDR S&P 500 ETF Trust-US | 1.37% | 8,525,137 | $4.9B | Add +10.1% |
| UBS UBS Group AG-Reg | 1.35% | 155,464,979 | $4.8B | Reduce -0.7% |
| AVGO Broadcom Inc. | 1.25% | 25,940,826 | $4.5B | Reduce -4.3% |
| JPM JPMorgan Chase & Co. | 1.13% | 19,108,878 | $4.0B | Add +1.5% |
| GOOG Alphabet Inc. Class C | 1.04% | 22,208,664 | $3.7B | Add +6.0% |
| UNH Unitedhealth Group Inc. | 1.00% | 6,123,088 | $3.6B | Reduce -0.1% |
| V Visa Inc. Class A | 0.94% | 12,189,882 | $3.4B | Add +4.4% |
| LLY Eli Lilly & Co. | 0.89% | 3,595,919 | $3.2B | Add +21.4% |
| BRK.B Berkshire Hathaway Inc. Class B | 0.73% | 5,623,279 | $2.6B | Add +2.5% |
| QQQ Invesco QQQ Trust Series 1 | 0.71% | 5,227,891 | $2.6B | Add +2.0% |
| HD Home Depot Inc. | 0.68% | 6,009,450 | $2.4B | Reduce -0.4% |
| IWF iShares Russell 1000 Growth | 0.66% | 6,273,706 | $2.4B | Add +0.7% |
| COST Costco Wholesale Corp. | 0.64% | 2,588,645 | $2.3B | Add +1.0% |
| ABBV Abbvie Inc. | 0.64% | 11,494,106 | $2.3B | Reduce -3.2% |
| VTV Vanguard Mrngstr Val ETF-Aui | 0.64% | 12,996,101 | $2.3B | Add +4.2% |
| PG The Procter & Gamble Co. | 0.62% | 12,844,327 | $2.2B | Add +3.9% |
| VUG Vanguard Mrngstar GR ETF-Sui | 0.62% | 5,791,023 | $2.2B | Add +3.0% |
| XOM Exxon Mobil Corp. | 0.56% | 17,010,035 | $2.0B | Reduce -0.9% |
| IVV iShares Core S&P 500 ETF | 0.53% | 3,303,997 | $1.9B | Add +16.2% |
| JNJ Johnson & Johnson | 0.53% | 11,601,447 | $1.9B | Add +12.6% |
| IEFA iShares Core MSCI Eafe ETF | 0.52% | 23,755,992 | $1.9B | Add +1.2% |
| VOO Vanguard S&P 500 ETF | 0.51% | 3,421,398 | $1.8B | Add +3.7% |
| MA Mastercard Inc. Class A | 0.50% | 3,597,773 | $1.8B | Add +5.9% |
| KO The Coca-Cola Co. | 0.49% | 24,466,731 | $1.8B | Add +0.9% |
| MCD McDonald's Corp. | 0.49% | 5,735,868 | $1.7B | Reduce -0.1% |
| TSLA Tesla Inc. | 0.49% | 6,644,626 | $1.7B | Reduce -23.6% |
| MRK Merck & Co. Inc. | 0.49% | 15,306,342 | $1.7B | Add +5.5% |
| AMD Advanced Micro Devices | 0.47% | 10,251,562 | $1.7B | Add +21.0% |
| TMO Thermo Fisher Scientific Inc. | 0.44% | 2,546,659 | $1.6B | Add +2.0% |
| IJH iShares Core S&P Midcap ETF | 0.43% | 24,715,600 | $1.5B | Add +12.5% |
| CSCO Cisco Systems Inc. | 0.43% | 28,866,096 | $1.5B | Reduce -3.0% |
| CRM Salesforce Inc. | 0.43% | 5,609,519 | $1.5B | Add +9.1% |
| NEE Nextera Energy Inc. | 0.43% | 18,135,811 | $1.5B | Add +8.1% |
| CVX Chevron Corp. | 0.42% | 10,127,288 | $1.5B | Reduce -2.1% |
| WMT Walmart Inc. | 0.42% | 18,456,149 | $1.5B | Reduce -3.2% |
| VO Vngrd Mrngstr MD-Cap ETF-Usd | 0.41% | 5,495,042 | $1.4B | Add +0.5% |
| VEA Vanguard Ftse Developed ETF | 0.39% | 26,641,776 | $1.4B | Add +0.3% |
| QCOM Qualcomm Inc. | 0.38% | 8,004,565 | $1.4B | Add +10.9% |
| ORCL Oracle Corp. | 0.38% | 7,915,512 | $1.3B | Reduce -6.3% |
| IJR iShares Core S&P Small-Cap E | 0.37% | 11,333,708 | $1.3B | Add +1.4% |
| IWD iShares Russell 1000 Value E | 0.37% | 6,872,118 | $1.3B | Add +1.8% |
| VIG Vanguard Dividend Apprec ETF | 0.35% | 6,386,021 | $1.3B | Reduce -1.0% |
| TSM Taiwan Semiconductor-SP ADR | 0.35% | 7,125,137 | $1.2B | Reduce -4.1% |
| VTI VG Morningstar TS MKT ETF-US | 0.34% | 4,269,515 | $1.2B | Add +1.1% |
| LIN Linde PLC | 0.33% | 2,487,813 | $1.2B | Add +5.6% |
| UNP Union Pacific Corp. | 0.33% | 4,788,720 | $1.2B | Add +1.6% |
| ADBE Adobe Inc. | 0.33% | 2,252,257 | $1.2B | Add +12.3% |
| AMGN Amgen Inc. | 0.33% | 3,606,738 | $1.2B | Reduce -3.0% |
| GLD SPDR Gold Shares | 0.32% | 4,765,186 | $1.2B | Reduce -4.1% |
| XLK SS Technology Select Sector | 0.32% | 5,061,270 | $1.1B | Reduce -1.1% |
| RSP Invesco S&P 500 Equal Weight | 0.31% | 6,269,901 | $1.1B | Reduce -5.2% |
| RTX RTX Corp. | 0.30% | 8,980,299 | $1.1B | Reduce -0.4% |
| MS Morgan Stanley | 0.30% | 10,431,378 | $1.1B | Add +4.7% |
| PEP Pepsico Inc. | 0.30% | 6,369,709 | $1.1B | Reduce -3.3% |
| VGT Vanguard Info Tech ETF | 0.30% | 1,817,140 | $1.1B | Add +0.9% |
| TLT iShares 20+ Year Treasury BD | 0.30% | 10,805,311 | $1.1B | Add +16.2% |
| TXN Texas Instruments Inc. | 0.30% | 5,114,384 | $1.1B | Add +15.9% |
| PANW Palo Alto Networks Inc. | 0.29% | 3,068,195 | $1.0B | Reduce -2.4% |
| GS Goldman Sachs Group Inc. | 0.29% | 2,113,010 | $1.0B | Reduce -4.6% |
| ACN Accenture PLC Class A | 0.28% | 2,862,267 | $1.0B | Reduce -11.2% |
| BLK BlackRock Finance Inc. | 0.28% | 1,050,868 | $997.8M | Add +6.4% |
| LMT Lockheed Martin Corp. | 0.27% | 1,668,047 | $975.1M | Reduce -2.7% |
| ABT Abbott Laboratories | 0.27% | 8,440,096 | $962.3M | Add +13.0% |
| BAC Bank of America Corp. filed as BANK AMERICA CORP | 0.27% | 24,146,867 | $958.1M | Reduce -5.9% |
| VB Vanguard Most SM-Cap ETF-Usd | 0.27% | 4,028,914 | $955.7M | Add +1.7% |
| MRSH Marsh & McLennan Cos | 0.26% | 4,101,709 | $915.1M | Add +4.3% |
| IBM Intl Business Machines Corp. filed as INTERNATIONAL BUSINESS MACHS | 0.26% | 4,129,369 | $912.9M | Add +2.0% |
| NFLX Netflix Inc. | 0.26% | 1,285,450 | $911.7M | Add +7.9% |
| EFA iShares MSCI Eafe ETF | 0.25% | 10,816,236 | $904.6M | Reduce -0.6% |
| VZ Verizon Communications Inc. | 0.25% | 20,136,008 | $904.3M | Add +12.7% |
| IEMG iShares Core MSCI Emerging | 0.25% | 15,726,929 | $902.9M | Reduce -0.8% |
| DHR Danaher Corp. | 0.25% | 3,228,557 | $897.6M | Add +3.6% |
| BX Blackstone Inc. | 0.25% | 5,802,955 | $888.6M | Reduce -0.7% |
| TJX TJX Companies Inc. filed as TJX COS INC NEW | 0.25% | 7,551,391 | $887.6M | Add +13.6% |
| ISRG Intuitive Surgical Inc. | 0.25% | 1,799,527 | $884.1M | Add +7.4% |
| IVW iShares S&P 500 Growth ETF | 0.25% | 9,212,594 | $882.1M | Reduce -0.5% |
| DIS The Walt Disney Co. filed as DISNEY WALT CO | 0.24% | 8,996,847 | $865.4M | Add +6.3% |
| AXP American Express Co. | 0.24% | 3,164,754 | $858.3M | Add +11.9% |
| ADI Analog Devices Inc. | 0.23% | 3,635,350 | $836.7M | Add +34.2% |
| UPS United Parcel Service Class B | 0.23% | 6,067,497 | $827.2M | Reduce -8.7% |
| QUAL iShares MSCI USA Quality Fac | 0.23% | 4,583,976 | $821.9M | Add +4.0% |
| VWO Vanguard Ftse Emerging Marke | 0.23% | 16,877,001 | $807.6M | Reduce -1.4% |
| AGG iShares Core U.S. Aggregate | 0.23% | 7,964,963 | $806.6M | Reduce -8.2% |
| MDLZ Mondelez International Inc. Class A | 0.22% | 10,854,642 | $799.7M | Add +1.9% |
| SPGI S&P Global Inc. | 0.22% | 1,535,532 | $793.3M | Add +4.8% |
| SBUX Starbucks Corp. | 0.21% | 7,746,027 | $755.2M | Reduce -7.0% |
| AMAT Applied Materials Inc. | 0.21% | 3,704,730 | $748.5M | Add +0.6% |
| MU Micron Technology Inc. | 0.21% | 7,155,171 | $742.1M | Add +18.1% |
| ETN Eaton Corp. PLC | 0.20% | 2,204,389 | $730.6M | Add +2.8% |
| CAT Caterpillar Inc. | 0.20% | 1,859,081 | $727.1M | Reduce -1.7% |
| CB Chubb Ltd. | 0.20% | 2,515,180 | $725.4M | Add +3.5% |
| IWM iShares Russell 2000 ETF | 0.20% | 3,275,818 | $723.6M | Reduce -4.7% |
| AMT American Tower Corp. | 0.20% | 3,029,742 | $704.6M | Add +12.6% |
| HON Honeywell International Inc. | 0.20% | 3,374,739 | $697.6M | Reduce -11.2% |
Options reported separately and not counted above: SPY puts ($7.6B), IWM puts ($4.5B), QQQ puts ($4.0B), AAPL puts ($2.4B), IWM calls ($2.1B), NVDA calls ($2.1B), SPY calls ($1.9B), AAPL calls ($1.6B), EEM calls ($1.6B), NVDA puts ($1.5B), EEM puts ($1.3B), MSFT puts ($1.3B), and 1206 more.
Other holdings (322): bonds, preferreds, convertibles and warrants · $50.0M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | 7,321 | $9.4M | Add +4.5% |
| AKAMAI TECHNOLOGIES INC (AKAM 1.125 02/15/29) | NOTE 1.125% 2/1 · principal | 5,500,000 | $5.6M | New |
| DUKE ENERGY CORP (DUK 4.125 04/15/26) | NOTE 4.125% 4/1 · principal | 4,500,000 | $4.8M | No change |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 3,613 | $4.6M | Reduce -9.4% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | 4,200,000 | $4.3M | Reduce -0.0% |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | 3,000,000 | $3.0M | Reduce -0.0% |
| VENTAS REALTY LP (VTR 3.75 06/01/26) | NOTE 3.750% 6/0 · principal | 2,000,000 | $2.4M | No change |
| UBER TECHNOLOGIES INC (UBER 0 12/15/25) | NOTE 12/1 · principal | 1,803,000 | $2.0M | Add +90050.0% |
| EURONET WORLDWIDE INC (EEFT 0.75 03/15/49) | NOTE 0.750% 3/1 · principal | 2,000,000 | $2.0M | Reduce -0.1% |
| PDD HOLDINGS INC (PDD 0 12/01/25) | NOTE 12/0 · principal | 1,901,500 | $1.9M | Add +190050.0% |
| FIRST MAJESTIC SILVER (AGCN 0.375 01/15/27) | NOTE 0.375% 1/1 · principal | 1,500,000 | $1.3M | No change |
| ON SEMICONDUCTOR CORP (ON 0.5 03/01/29) | NOTE 0.500% 3/0 · principal | 1,001,500 | $1.0M | Add +0.1% |
| BENTLEY SYSTEMS (BSY 0.375 07/01/27) | NOTE 0.375% 7/0 · principal | 1,000,000 | $922K | No change |
| DEXCOM INC (DXCM 0.375 05/15/28) | NOTE 0.375% 5/1 · principal | 1,000,000 | $883K | No change |
| SPECIAL OPPORTUNITY FUND (SPE 2.75 01/27/27 C) | 2.75% CNV PFD C | 34,610 | $822K | Add +8.2% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 27,485 | $817K | Reduce -37.8% |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | 16,019 | $743K | Add +2962.9% |
| INSULET CORPORATION (PODD 0.375 09/01/26) | NOTE 0.375% 9/0 · principal | 500,000 | $597K | No change |
| NORTHERN OIL & GAS INC (NOG 3.625 04/15/29) | NOTE 3.625% 4/1 · principal | 500,000 | $571K | No change |
| MGP INGREDIENTS INC (MGPI 1.875 11/15/41) | NOTE 1.875%11/1 · principal | 500,000 | $532K | No change |
| LUMENTUM HOLDINGS INC (LITE 0.5 12/15/26) | NOTE 0.500%12/1 · principal | 300,000 | $294K | Reduce -1.0% |
| EL PASO ENERGY CAP TRST (KMI 4.75 03/31/28) | PFD CV TR SEC 28 | 3,557 | $172K | Add +15.4% |
| EQUITY COMMONWEALTH (EQC 6.5 PERP D) | 6.5% CNV PFD D | 6,549 | $165K | Reduce -7.3% |
| FLAGSTAR BANK NA (FLG 6 11/01/51) | UNIT 05/07/2051 | 3,193 | $124K | Reduce -68.1% |
| BLACKSTONE MORTGAGE TR (BXMT 5.5 03/15/27) | NOTE 5.500% 3/1 · principal | 104,000 | $99K | No change |
| CVE.WS Cenovus Energy Inc. -CW26 | *W EXP 01/01/202 | 6,970 | $82K | Reduce -28.3% |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | 25,973 | $57K | Reduce -75.3% |
| KIMCO REALTY CORP (KIM 7.25 PERP N) | DP CV CL N 7.25% | 758 | $47K | New |
| PYXIS TANKERS (PXS 7.75 PERP A) | 7.75% CNV PFD A | 1,786 | $45K | Reduce -19.1% |
| DISH NETWORK CORP (DISH 3.375 08/15/26) | NOTE 3.375% 8/1 · principal | 51,670 | $41K | Add +2.0% |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | 1,983 | $36K | Reduce -9.5% |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 2,512 | $35K | Add +120.2% |
| ADVENT CONVERTIBLE AND INCOM | RIGHT 10/17/2024 | 1,732,867 | $35K | Add +1033.6% |
| RLJ LODGING TRUST (RLJ 1.95 PERP A) | CUM CONV PFD A | 1,097 | $29K | Add +102.0% |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 397 | $26K | Add +43.8% |
| LEXXW Lexaria Bioscience -CW25 | *W EXP 01/14/202 | 28,065 | $26K | Reduce -70.1% |
| SEAPORT ENTERTAINMENT GR-RTS | RIGHT 10/10/2024 | 8,119 | $24K | New |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | 1,014 | $23K | Add +0.5% |
| SABLE OFFSHORE CORP | *W EXP 02/14/202 | 1,804 | $22K | Reduce -66.8% |
| APOLLO GLOBAL MANAGEMENT (APO 6.75 07/31/26) | SER A MAND CNV | 213 | $14K | Add +129.0% |
| CORZZ Core Scientific Inc. - 29 | *W EXP 01/23/202 | 1,217 | $14K | Reduce -88.2% |
| SHMDW Schmid Group NV -28 | *W EXP 04/30/202 | 42,475 | $14K | New |
| GRND.WS Grindr Inc. -26 | *W EXP 11/18/202 | 4,200 | $13K | Reduce -87.8% |
| BCTXW Briacell Therapeutics -CW27 | *W EXP 02/26/202 | 29,058 | $12K | Add +189.9% |
| EOS ENERGY ENTER -CW26 | *W EXP 11/17/202 | 61,063 | $12K | Add +128.7% |
| RSVRW Reservoir Media-CW26 | *W EXP 08/26/202 | 8,494 | $11K | Add +1688.2% |
| BRAEMAR HOTELS & RESORTS (BHR 5.5 PERP b) | 5.5 CUM CV PFD B | 782 | $11K | Add +1495.9% |
| GRABW Grab Holdings Ltd.-CW 26 | *W EXP 99/99/999 | 46,923 | $11K | Add +959.0% |
| WGSWW Genedx Holdings Corp. | *W EXP 07/22/202 | 143,405 | $11K | Add +2.1% |
| GABELLI UTILITY TRUST/THE | RIGHT 10/21/2024 | 357,905 | $10K | Add +1034.7% |
| OPFI.WS Oppfi Inc. -CW26 | *W EXP 07/20/202 | 47,309 | $10K | Add +455.8% |
| ARKOW Arko Corp. -CW25 | *W EXP 12/22/202 | 17,352 | $9K | Add +1135.0% |
| SDSTW Global Partner Acq A -CW27 | *W EXP 06/21/202 | 19,075 | $9K | New |
| NNAVW Nextnav Inc. | *W EXP 99/99/999 | 2,735 | $8K | New |
| PCTTW Purecycle Techno-CW26 | *W EXP 03/17/202 | 2,592 | $8K | New |
| XFINW Excelfin Acquisition -CW23 | *W EXP 10/25/202 | 48,196 | $7K | No change |
| AMPWF Ardagh Metal Packaging -CW26 | *W EXP 08/04/202 | 244,938 | $7K | Reduce -5.2% |
| READY CAPITAL CORP (RC 6.25 PERP C) | 6.25 CNV PFD C | 361 | $7K | New |
| IONQ.WS Ionq Inc. -CW26 | *W EXP 09/30/202 | 2,716 | $6K | Reduce -32.5% |
| NUVASIVE INC (GMED 0.375 03/15/25) | NOTE 0.375% 3/1 · principal | 6,000 | $6K | Add +50.0% |
| NVAWW Nova Minerals Ltd. -29 | *W EXP 07/24/202 | 4,555 | $6K | New |
| OKTA INC (OKTA 0.125 09/01/25) | NOTE 0.125% 9/0 · principal | 6,000 | $6K | Add +50.0% |
| RGTIW Rigetti Computing -CW27 | *W EXP 03/02/202 | 60,654 | $6K | Reduce -22.6% |
| SHOPIFY INC (SHOPCN 0.125 11/01/25) | NOTE 0.125%11/0 · principal | 5,500 | $5K | Add +37.5% |
| BEATW Heartbeam Inc.-CW26 | *W EXP 10/31/202 | 8,767 | $5K | Reduce -18.8% |
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 1,500 | $5K | Add +50.0% |
| NATERA INC (NTRA 2.25 05/01/27) | NOTE 2.250% 5/0 · principal | 1,500 | $5K | Add +50.0% |
| AVPTW Avepoint Inc.-CW24 | *W EXP 09/18/202 | 1,785 | $5K | Add +80.3% |
| LXP INDUSTRIAL TRUST (LXP 6.5 PERP C) | PFD CONV SER C | 81 | $4K | Add +1.3% |
| BENTLEY SYSTEMS INC (BSY 0.125 01/15/26) | NOTE 0.125% 1/1 · principal | 4,000 | $4K | Add +33.3% |
| VAL.WS Valaris Ltd. -CW28 | *W EXP 04/29/202 | 464 | $4K | Reduce -8.3% |
| DRAFTKINGS HOLDINGS INC (DKNG 0 03/15/28) | NOTE 3/1 · principal | 4,500 | $4K | Add +50.0% |
| WESTERN ASSET GLOBAL HIGH-RT | RIGHT 10/08/2024 | 314,572 | $3K | Add +597.0% |
| FLYX.WS Eg Acquisition Corp.-A -CW28 | *W EXP 99/99/999 | 13,428 | $3K | Add +0.8% |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | 1,500 | $3K | Add +50.0% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | 3,000 | $3K | Add +200.0% |
| ASTLW Algoma Steel Group Inc. -CW26 | *W EXP 10/19/202 | 1,887 | $3K | New |
| WESTW Westrock Coffee Holdings- 27 | *W EXP 08/29/202 | 1,846 | $3K | Add +1130.7% |
| MICROCHIP TECHNOLOGY INC (MCHP 0.125 11/15/24) | NOTE 0.125%11/1 · principal | 3,000 | $3K | Add +50.0% |
| LYFT INC (LYFT 1.5 05/15/25) | NOTE 1.500% 5/1 · principal | 3,000 | $3K | Add +50.0% |
| EXPEDIA GROUP INC (EXPE 0 02/15/26) | NOTE 2/1 · principal | 3,000 | $3K | Add +50.0% |
| CYBERARK SOFTWARE LTD (CYBR 0 11/15/24) | NOTE 11/1 · principal | 1,500 | $3K | Add +50.0% |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | 1,500 | $3K | Add +50.0% |
| ARBEW Arbe Robotics Ltd. -CW26 | *W EXP 99/99/999 | 12,802 | $3K | New |
| ENPHASE ENERGY INC (ENPH 0 03/01/28) | NOTE 3/0 · principal | 3,000 | $3K | Add +50.0% |
| AFRIW Forafric Global PLC -CW27 | *W EXP 06/09/202 | 1,900 | $3K | New |
| BZFDW Buzzfeed Inc. -CW27 | *W EXP 12/03/202 | 24,729 | $2K | Reduce -78.5% |
| AIRBNB INC (ABNB 0 03/15/26) | NOTE 3/1 · principal | 2,500 | $2K | Add +25.0% |
| SKGRW SK Growth Opportunities -29 | *W EXP 06/28/202 | 10,957 | $2K | New |
| INSMED INC (INSM 0.75 06/01/28) | NOTE 0.750% 6/0 · principal | 1,000 | $2K | No change |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | 1,000 | $2K | No change |
| SKYH.WS Yellowstone Acquisit A -CW25 | *W EXP 01/25/202 | 971 | $2K | Add +112.9% |
| FRESHPET INC (FRPT 3 04/01/28) | NOTE 3.000% 4/0 · principal | 1,000 | $2K | No change |
| EVEX.WS Eve Holdng Inc. -CW25 | *W EXP 05/09/202 | 18,900 | $2K | Add +15650.0% |
| MONGODB INC (MDB 0.25 01/15/26) | NOTE 0.250% 1/1 · principal | 1,500 | $2K | Add +50.0% |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | 1,500 | $2K | Add +50.0% |
| HYMCW Hycroft Mining Holding | *W EXP 05/29/202 | 124,300 | $2K | New |
| NAKAW Kindly MD Inc. -29 | *W EXP 05/31/202 | 8,876 | $2K | New |
| EPR PROPERTIES (EPR 9 PERP E) | CONV PFD 9% SR E | 60 | $2K | No change |
| ZSCALER INC. (ZS 0.125 07/01/25) | NOTE 0.125% 7/0 · principal | 1,500 | $2K | Add +50.0% |
| H WORLD GROUP LTD (HTHT 3 05/01/26) | NOTE 3.000% 5/0 · principal | 1,500 | $2K | Add +50.0% |
| LNZAW Amci Acquisition II A -CW28 | *W EXP 01/01/202 | 14,310 | $2K | Add +59.5% |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | 1,000 | $2K | New |
| PXSAW Pyxis Tankers Inc. -CW25 | *W EXP 10/13/202 | 1,934 | $2K | New |
| ZTO EXPRESS KY INC (ZTO 1.5 09/01/27) | NOTE 1.500% 9/0 · principal | 1,500 | $2K | Add +50.0% |
| ISLWF Israel Acquisitions Corp.-28 | *W EXP 99/99/999 | 51,035 | $2K | New |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 30,899 | $2K | Add +659.0% |
| NXLIW Nexalin Technology Inc.- 27 | *W EXP 99/99/999 | 20,742 | $2K | Add +21.0% |
| AUROW Aurora Innovation Inc. -CW28 | *W EXP 11/03/202 | 1,834 | $2K | Reduce -23.9% |
| ATMCR Alphatime Acquisition-Right | RIGHT 03/01/2028 | 9,254 | $2K | Add +9247.5% |
| COINBASE GLOBAL INC (COIN 0.5 06/01/26) | NOTE 0.500% 6/0 · principal | 1,500 | $1K | Add +50.0% |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | 1,500 | $1K | Add +50.0% |
| RBC BEARINGS INC (RBC 5 10/15/24 A) | 5% CNV PFD SR A | 11 | $1K | Reduce -83.6% |
| CHEGG INC (CHGG 0.125 03/15/25) | NOTE 0.125% 3/1 · principal | 1,500 | $1K | Add +50.0% |
| OPTXW Omnilit Acquisition Class A -23 | *W EXP 99/99/999 | 20,471 | $1K | New |
| SHAKE SHACK INC (SHAK 0 03/01/28) | NOTE 3/0 · principal | 1,500 | $1K | Add +50.0% |
| DSX.WS Diana Shipping Inc.-28 | *W EXP 12/14/202 | 3,057 | $1K | Reduce -60.1% |
| CONFLUENT INC (CFLT 0 01/15/27) | NOTE 1/1 · principal | 1,500 | $1K | Add +50.0% |
| DC.WS Dakota Gold Corp.-26 | *W EXP 03/15/202 | 1,935 | $1K | New |
| T1 ENERGY INC | *W EXP 07/09/202 | 20,237 | $1K | No change |
| VEEAW Plum Acquisition I A -CW28 | *W EXP 09/13/202 | 4,617 | $1K | New |
| NKGNW Graf Acquisition Corp.-CW28 | *W EXP 05/31/202 | 14,538 | $1K | Add +6.8% |
| SDAWW Suncar Technology Group -28 | *W EXP 05/17/202 | 4,559 | $1K | Reduce -79.9% |
| ILLRW Agba Acquisition Ltd. -CW24 | *W EXP 03/15/202 | 4,486 | $987 | Add +343.3% |
| INVZW Innoviz Technologies -CW26 | *W EXP 04/05/202 | 7,446 | $916 | New |
| LMND.WS Lemonade Inc.-28 | *W EXP 02/09/202 | 28,194 | $902 | Reduce -27.9% |
| USARW Inflection Point Acquis-C-28 | *W EXP 08/31/202 | 3,629 | $867 | New |
| ABVWF Above Food Ingredients- 29 | *W EXP 06/28/202 | 47,317 | $852 | New |
| CINGW Cingulate -CW23 | *W EXP 12/10/202 | 12,297 | $848 | Reduce -27.8% |
| NETDW Nabors Energy Transiti-CW | *W EXP 09/01/202 | 8,464 | $762 | New |
| BETRW Better Home & Finance-CW26 | *W EXP 08/22/202 | 10,834 | $758 | Add +1564.2% |
| NRXPW NRX Pharmaceuticals Inc.-CW22 | *W EXP 05/24/202 | 15,251 | $686 | Reduce -35.0% |
| QTEXW Inspira Tech Oxy BHN -CW26 | *W EXP 07/16/202 | 2,312 | $670 | Reduce -21.4% |
| GRDIW Griid Infrastructure Inc.-28 | *W EXP 12/29/202 | 19,498 | $663 | Add +143.0% |
| FATBW Fat Brands Inc. -CW25 | *W EXP 07/16/202 | 268 | $643 | Add +8.5% |
| EXELA TECHNOLOGIES INC (XELA 6 PERP B) | 6% CONV PFD SR B | 400 | $640 | Reduce -36.5% |
| GIPRW Generation Income Proper -CW | *W EXP 99/99/999 | 2,600 | $624 | Add +420.0% |
| NOTEW Fiscalnote Holdings Inc.-CW25 | *W EXP 07/29/202 | 5,508 | $606 | Add +30.2% |
| CYCUW Cycurion Inc.-CW27 | *W EXP 02/13/203 | 28,328 | $595 | New |
| GRMLW Anew Medical Inc. | *W EXP 06/21/202 | 14,574 | $583 | New |
| NCNWF Prime Number Holding Ltd.-28 | *W EXP 08/25/202 | 81,591 | $571 | New |
| SAREPTA THERAPEUTICS INC (SRPT 1.25 09/15/27) | NOTE 1.250% 9/1 · principal | 500 | $567 | New |
| AUUDW Auddia Inc.-CW25 | *W EXP 02/19/202 | 12,252 | $564 | Reduce -7.2% |
| PGYWW Pagaya Technologies Ltd. -27 | *W EXP 99/99/999 | 2,850 | $559 | New |
| HUBCW Hub Cyber Security Ltd.-28 | *W EXP 02/27/202 | 39,769 | $557 | Add +4034.0% |
| CHART INDUSTRIES INC (GTLS 6.75 12/15/25 B) | 6.75DP CNV PFD B | 11 | $553 | No change |
| NTRBW Nutriband Inc. -CW26 | *W EXP 99/99/999 | 415 | $548 | Add +111.7% |
| BIAFW Bioaffinity Technologiew-27 | *W EXP 09/07/202 | 467 | $537 | New |
| DRTSW Alpha Tau Medical Ltd. -27 | *W EXP 99/99/999 | 2,800 | $532 | Add +15.2% |
| ITRON INC (ITRI 0 03/15/26) | NOTE 3/1 · principal | 500 | $522 | New |
| AILWQ Arrowroot Acquisition -CW26 | *W EXP 04/16/202 | 1,951 | $517 | New |
| XAGEW Alpha Healthcare Acquis-CW27 | *W EXP 07/12/202 | 8,976 | $494 | Add +6751.9% |
| LIDRW Aeye Inc. -CW27 | *W EXP 09/30/202 | 57,438 | $460 | New |
| AISPW Airship AI Holdings Inc.-CW28 | *W EXP 12/21/202 | 2,178 | $457 | Reduce -90.5% |
| MSSWF Metal SKY Star Acq -CW27 | *W EXP 03/31/202 | 56,978 | $456 | Add +324.2% |
| ADNWW Amci Acquisition Corp.-CW26 | *W EXP 02/03/202 | 50,006 | $450 | Add +137.6% |
| PRLHW Pearl Holdings Acq -CW23 | *W EXP 12/15/202 | 16,440 | $411 | Reduce -19.8% |
| ZAPWF Zapp Electric Vehicles -28 | *W EXP 99/99/999 | 40,845 | $408 | Add +15670.3% |
| BNCWW Cea Industries Inc. -CW27 | *W EXP 02/11/202 | 56,907 | $398 | Add +743.1% |
| MITAW Coliseum Acquisition A -CW28 | *W EXP 08/22/202 | 7,709 | $385 | Reduce -10.3% |
| NIOBW Niocorp Developments Ltd. -28 | *W EXP 03/17/202 | 3,061 | $383 | Reduce -68.1% |
| CDIOW Cardio Diagnostics-CW26 | *W EXP 10/25/202 | 9,737 | $380 | Reduce -2.6% |
| ML.WS Moneylion Inc. -CW27 | *W EXP 09/22/202 | 8,023 | $369 | Reduce -59.2% |
| GRRRW Gorilla Technology Group-CW | *W EXP 99/99/999 | 8,651 | $363 | New |
| RZLVW Rezolve AI PLC -CW27 | *W EXP 08/15/202 | 2,004 | $361 | New |
| GWHWW Ess Tech Inc. -CW27 | *W EXP 10/08/202 | 9,613 | $356 | Add +38.7% |
| CBDMD INC (YCBD 8 PERP A) | 8% SER A CUM PFD | 580 | $348 | New |
| GCTS.WS Concord Acq Class A -CW28 | *W EXP 03/01/202 | 2,572 | $334 | New |
| SNAXW Stryve Food Inc.-CW24 | *W EXP 07/20/202 | 47,776 | $334 | Add +197.8% |
| EZRAW Reliance Global -CW26 | *W EXP 02/01/202 | 7,335 | $330 | Reduce -21.5% |
| OXBRW Oxbridge Re Holdings-CW24 | *W EXP 03/26/202 | 2,742 | $329 | Reduce -56.8% |
| DBGIW Digital Brands Group -CW28 | *W EXP 05/18/202 | 29 | $328 | New |
| HPKEW Highpeak Energy Inc. | *W EXP 08/21/202 | 80 | $324 | Reduce -92.2% |
| MNTSW Momentus Inc.-CW26 | *W EXP 08/12/202 | 29,850 | $299 | Reduce -83.1% |
| PRENW Prenetics Global Ltd. -CW26 | *W EXP 05/18/202 | 26,995 | $297 | Add +4669.4% |
| SVIWF Spring Valley Acquisition-Aw | *W EXP 02/25/202 | 7,725 | $286 | New |
| CDAWF Compass Digital Acq -CW28 | *W EXP 99/99/999 | 4,495 | $274 | New |
| YOTAW Yotta Acquisition Corp. -27 | *W EXP 03/15/202 | 12,600 | $265 | New |
| SWAGW Stran & Co. -CW26 | *W EXP 99/99/999 | 9,985 | $260 | No change |
| CLNNW Clene Inc. -CW25 | *W EXP 12/30/202 | 7,626 | $252 | Add +128.3% |
| SEATW Vivid Seats Inc. -CW26 | *W EXP 10/18/202 | 1,096 | $252 | Add +9.6% |
| AMPGW Amplitech Group Inc.-CW26 | *W EXP 02/26/202 | 5,902 | $236 | Reduce -0.9% |
| EGUVF Evergreen Corporation -CW27 | *W EXP 02/08/202 | 7,839 | $235 | New |
| RDW.WS Redwire Corp. -CW27 | *W EXP 05/27/202 | 181 | $224 | No change |
| GDSTW Goldenstone Acquisitio -CW23 | *W EXP 07/15/202 | 8,890 | $222 | New |
| NOVVR Nova Vision Acquisition-RTS | RIGHT 99/99/9999 | 905 | $222 | Reduce -85.9% |
| PNSWQ Banyan Acquisition Co. -CW23 | *W EXP 09/30/202 | 20,000 | $220 | Reduce -78.0% |
| VSEEW Digital Health Acquist-CW23 | *W EXP 99/99/999 | 5,458 | $218 | Reduce -14.7% |
| RNWWW Renew Energy Global -CW26 | *W EXP 08/21/202 | 652 | $217 | Reduce -76.8% |
| AMPX.WS Amprius Technologies Inc. | *W EXP 09/14/202 | 1,546 | $216 | Reduce -77.3% |
| JWSWF Jaws Mustang Acq C -CW26 | *W EXP 01/30/202 | 9,377 | $216 | Add +179.8% |
| FIACW Focus Impact Acquisit -CW23 | *W EXP 99/99/999 | 6,472 | $214 | New |
| DFNSW T3 Defense Inc.-CW28 | *W EXP 12/22/202 | 23,630 | $213 | Reduce -52.3% |
| NCPLW Netcapital Inc. -27 | *W EXP 07/12/202 | 11,705 | $211 | Add +2172.8% |
| BNAIW Brand Engagement Netwo -CW27 | *W EXP 03/14/202 | 2,967 | $208 | Add +3390.6% |
| GCMGW GCM Grosvenor Inc. A -CW25 | *W EXP 11/17/202 | 232 | $204 | Reduce -97.7% |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | 499 | $200 | New |
| TDW.WS Tidewater Inc.-CW24 | *W EXP 11/14/202 | 454 | $200 | Add +1197.1% |
| SBFMW Sunshine Biopharma Inc. -27 | *W EXP 02/15/202 | 1,889 | $198 | Reduce -30.6% |
| BLEUACACIA LTD | *W EXP 10/30/202 | 7,309 | $197 | New |
Largest 200 of 322 shown.
Total filed on the 13F, all lines: $357.0B.
Portfolio Sells Q2 2024 → Q3 2024
| NKE Nike Inc. Class B | Reduce -74.2% | 0.12% | −0.31 |
| AVGO Broadcom Inc. | Reduce -4.3% | 1.25% | −0.08 |
| VLO Valero Energy Corp. | Reduce -59.0% | 0.04% | −0.08 |
| ACWI iShares MSCI Acwi ETF | Reduce -73.9% | 0.03% | −0.08 |
| CVX Chevron Corp. | Reduce -2.1% | 0.42% | −0.08 |
| UBS UBS Group AG-Reg | Reduce -0.7% | 1.35% | −0.07 |
| LUV Southwest Airlines Co. | Reduce -74.5% | 0.02% | −0.06 |
| MTCH Match Group Inc. | Reduce -50.6% | 0.07% | −0.06 |
| EWJ iShares MSCI Japan ETF | Reduce -44.6% | 0.06% | −0.06 |
| CEDAR FAIR LP | Sold out | 0.00% | −0.05 |
| HON Honeywell International Inc. | Reduce -11.2% | 0.20% | −0.05 |
| TSM Taiwan Semiconductor-SP ADR | Reduce -4.1% | 0.35% | −0.05 |
| WRK Westrock Co. | Sold out | 0.00% | −0.05 |
| XOM Exxon Mobil Corp. | Reduce -0.9% | 0.56% | −0.05 |
| CRH CRH PLC | Reduce -43.7% | 0.08% | −0.05 |
| UPS United Parcel Service Class B | Reduce -8.7% | 0.23% | −0.05 |
| BAC Bank of America Corp. | Reduce -5.9% | 0.27% | −0.05 |
| TSLA Tesla Inc. | Reduce -23.6% | 0.49% | −0.04 |
| EOG EOG Resources Inc. | Reduce -10.2% | 0.15% | −0.04 |
| XLK SS Technology Select Sector | Reduce -1.1% | 0.32% | −0.04 |
| XLI SS Industrial Select Sector | Reduce -21.6% | 0.14% | −0.04 |
| XLE SS Energy Select Sector | Reduce -4.3% | 0.18% | −0.03 |
| PANW Palo Alto Networks Inc. | Reduce -2.4% | 0.29% | −0.03 |
| AGG iShares Core U.S. Aggregate | Reduce -8.2% | 0.23% | −0.03 |
| CHTR Charter Communications Inc. Class A | Reduce -28.9% | 0.08% | −0.03 |
| AMGN Amgen Inc. | Reduce -3.0% | 0.33% | −0.03 |
| CMG Chipotle Mexican Grill Inc. | Reduce -6.8% | 0.11% | −0.03 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Reduce -7.9% | 0.16% | −0.03 |
| PEP Pepsico Inc. | Reduce -3.3% | 0.30% | −0.03 |
| WDC Western Digital Corp. | Reduce -2.3% | 0.12% | −0.03 |
| SOXX iShares Semiconductor ETF | Reduce -24.9% | 0.05% | −0.03 |
| EWZ iShares MSCI Brazil ETF | Reduce -54.2% | 0.02% | −0.03 |
| SU Suncor Energy Inc. | Reduce -42.6% | 0.03% | −0.03 |
| PSX Phillips 66 | Reduce -1.2% | 0.13% | −0.03 |
| ROK Rockwell Automation Inc. | Reduce -4.2% | 0.15% | −0.03 |
| ET Energy Transfer LP | Reduce -4.9% | 0.15% | −0.02 |
| MCK McKesson Corp. | Reduce -6.4% | 0.06% | −0.02 |
| SMH Vaneck Semiconductor ETF | Reduce -5.4% | 0.10% | −0.02 |
| AAP Advance Auto Parts Inc. | Reduce -91.7% | 0.00% | −0.02 |
| XLV SS Health Care Select Sector | Reduce -8.9% | 0.15% | −0.02 |
| EMR Emerson Electric Co. | Reduce -3.7% | 0.14% | −0.02 |
| ETRN Equitrans Midstream Corp. | Sold out | 0.00% | −0.02 |
| CDNS Cadence Design SYS Inc. | Reduce -12.6% | 0.05% | −0.02 |
| SNPS Synopsys Inc. | Reduce -3.7% | 0.06% | −0.02 |
| COWZ Pacer US Cash Cows 100 ETF | Reduce -10.7% | 0.12% | −0.02 |
| RSP Invesco S&P 500 Equal Weight | Reduce -5.2% | 0.31% | −0.02 |
| MLM Martin Marietta Materials | Reduce -37.3% | 0.02% | −0.02 |
| MPC Marathon Petroleum Corp. | Reduce -14.5% | 0.05% | −0.02 |
| PCAR Paccar Inc. | Reduce -19.5% | 0.04% | −0.02 |
| ACN Accenture PLC Class A | Reduce -11.2% | 0.28% | −0.02 |
Portfolio Buys Q2 2024 → Q3 2024
| META Meta Platforms Inc. Class A | Add +16.4% | 1.53% | +0.26 |
| AAPL Apple Inc. | Add +4.9% | 3.86% | +0.21 |
| FXI iShares China Large-Cap ETF | Add +206.3% | 0.15% | +0.10 |
| SPY SS SPDR S&P 500 ETF Trust-US | Add +10.1% | 1.37% | +0.08 |
| LLY Eli Lilly & Co. | Add +21.4% | 0.89% | +0.07 |
| NEE Nextera Energy Inc. | Add +8.1% | 0.43% | +0.06 |
| JNJ Johnson & Johnson | Add +12.6% | 0.53% | +0.06 |
| IVV iShares Core S&P 500 ETF | Add +16.2% | 0.53% | +0.06 |
| IYR iShares US Real Estate ETF | Add +247.9% | 0.07% | +0.05 |
| PGR Progressive Corp. | Add +24.0% | 0.18% | +0.05 |
| AMD Advanced Micro Devices | Add +21.0% | 0.47% | +0.05 |
| RACE Ferrari NV | Add +114.9% | 0.08% | +0.05 |
| ADI Analog Devices Inc. | Add +34.2% | 0.23% | +0.04 |
| PDD PDD Holdings Inc. | Add +69.2% | 0.12% | +0.04 |
| IBM Intl Business Machines Corp. | Add +2.0% | 0.26% | +0.04 |
| BLK BlackRock Finance Inc. | Add +6.4% | 0.28% | +0.04 |
| UBER Uber Technologies Inc. | Add +35.8% | 0.18% | +0.04 |
| AXP American Express Co. | Add +11.9% | 0.24% | +0.04 |
| BRK.B Berkshire Hathaway Inc. Class B | Add +2.5% | 0.73% | +0.04 |
| CEG Constellation Energy | Add +31.0% | 0.11% | +0.04 |
| MA Mastercard Inc. Class A | Add +5.9% | 0.50% | +0.04 |
| AMT American Tower Corp. | Add +12.6% | 0.20% | +0.04 |
| IJH iShares Core S&P Midcap ETF | Add +12.5% | 0.43% | +0.04 |
| VST Vistra Corp. | Add +26.1% | 0.10% | +0.04 |
| TLT iShares 20+ Year Treasury BD | Add +16.2% | 0.30% | +0.03 |
| U Unity Software Inc. | Add +94.8% | 0.06% | +0.03 |
| PLTR Palantir Technologies Inc. Class A | Add +30.5% | 0.08% | +0.03 |
| SHW The Sherwin-Williams Co. | Add +13.9% | 0.14% | +0.03 |
| TXN Texas Instruments Inc. | Add +15.9% | 0.30% | +0.03 |
| KWEB Kranesh Csi China Internet | Add +117.1% | 0.05% | +0.03 |
| ABT Abbott Laboratories | Add +13.0% | 0.27% | +0.03 |
| PLD Prologis Inc. | Add +18.8% | 0.17% | +0.03 |
| MMM 3M Co. | Add +15.1% | 0.10% | +0.03 |
| TT Trane Technologies PLC | Add +10.2% | 0.19% | +0.03 |
| SO The Southern Co. | Add +23.0% | 0.12% | +0.03 |
| AFL Aflac Inc. | Add +35.1% | 0.08% | +0.03 |
| PH Parker Hannifin Corp. | Add +4.5% | 0.17% | +0.03 |
| BMY Bristol-Myers Squibb Co. | Add +16.4% | 0.11% | +0.03 |
| DUK Duke Energy Corp. | Add +25.1% | 0.11% | +0.03 |
| VZ Verizon Communications Inc. | Add +12.7% | 0.25% | +0.03 |
| GDX Vaneck Gold Miners ETF | Add +17.7% | 0.12% | +0.03 |
| MPWR Monolithic Power Systems Inc. | Add +81.3% | 0.06% | +0.03 |
| EQIX Equinix Inc. | Add +48.9% | 0.07% | +0.02 |
| ETR Entergy Corp. | Add +55.7% | 0.06% | +0.02 |
| CRM Salesforce Inc. | Add +9.1% | 0.43% | +0.02 |
| TJX TJX Companies Inc. | Add +13.6% | 0.25% | +0.02 |
| JD Jd.com Inc.-ADR | Add +97.7% | 0.04% | +0.02 |
| WELL Welltower Inc. | Add +46.3% | 0.06% | +0.02 |
| PVAL Putnam Focused LRG Cap Value | Add +398.0% | 0.03% | +0.02 |
| T AT&T Inc. | Add +11.0% | 0.16% | +0.02 |
Options Activity Q2 2024 → Q3 2024
| SPY SS SPDR S&P 500 ETF Trust-US | put | Add +64.2% | 13,179,800 | $7.6B |
| IWM iShares Russell 2000 ETF | put | Reduce -4.9% | 20,577,900 | $4.5B |
| QQQ Invesco QQQ Trust Series 1 | put | Reduce -5.3% | 8,237,237 | $4.0B |
| AAPL Apple Inc. | put | Add +11.7% | 10,475,142 | $2.4B |
| IWM iShares Russell 2000 ETF | call | Add +0.0% | 9,527,552 | $2.1B |
| NVDA Nvidia Corp. | call | Add +131.0% | 17,286,612 | $2.1B |
| SPY SS SPDR S&P 500 ETF Trust-US | call | Reduce -10.6% | 3,278,846 | $1.9B |
| AAPL Apple Inc. | call | Add +25.8% | 7,004,326 | $1.6B |
| EEM iShares MSCI Emerging Market | call | Add +6.3% | 33,800,700 | $1.6B |
| NVDA Nvidia Corp. | put | Add +40.1% | 12,665,745 | $1.5B |
| EEM iShares MSCI Emerging Market | put | Reduce -1.9% | 28,694,100 | $1.3B |
| MSFT Microsoft Corp. | put | Add +52.2% | 2,967,008 | $1.3B |
| SLV iShares Silver Trust | call | Add +19.6% | 40,909,500 | $1.2B |
| TSM Taiwan Semiconductor-SP ADR | put | Add +25.0% | 6,428,712 | $1.1B |
| MSFT Microsoft Corp. | call | Add +50.4% | 2,510,895 | $1.1B |
| XLF SS Financial Select Sector | put | Add +57.6% | 23,662,400 | $1.1B |
| LQD Ishr Ibx Usd Invgd CB ETF-Ui | call | Add +243.0% | 8,991,100 | $1.0B |
| TSLA Tesla Inc. | call | Reduce -19.4% | 3,681,126 | $963.1M |
| GLD SPDR Gold Shares | call | Add +40.4% | 3,954,300 | $961.1M |
| TSLA Tesla Inc. | put | Reduce -6.0% | 3,662,018 | $958.1M |
| QQQ Invesco QQQ Trust Series 1 | call | Reduce -16.0% | 1,715,873 | $837.5M |
| HYG Ishr Ibx Usd Hiyld CB ETF-Ui | put | Reduce -6.1% | 9,361,200 | $751.7M |
| FXI iShares China Large-Cap ETF | call | Add +186.6% | 23,554,300 | $748.6M |
| GLD SPDR Gold Shares | put | Reduce -29.3% | 3,032,600 | $737.1M |
| JPM JPMorgan Chase & Co. | put | Add +48.1% | 3,337,700 | $703.8M |
| FXI iShares China Large-Cap ETF | put | Add +120.5% | 20,947,900 | $665.7M |
| XLE SS Energy Select Sector | put | Add +740.6% | 7,479,600 | $656.7M |
| MS Morgan Stanley | call | Add +5.5% | 6,093,118 | $635.1M |
| AMD Advanced Micro Devices | put | Add +12.6% | 3,769,800 | $618.5M |
| AMZN Amazon.com Inc. | call | Add +75.1% | 3,259,922 | $607.4M |
| META Meta Platforms Inc. Class A | put | Add +35.4% | 1,020,900 | $584.4M |
| DHR Danaher Corp. | call | Add +358.9% | 2,029,100 | $564.1M |
| CSCO Cisco Systems Inc. | put | Add +7.9% | 10,115,100 | $538.3M |
| AMZN Amazon.com Inc. | put | Add +7.1% | 2,876,400 | $536.0M |
| NFLX Netflix Inc. | put | Add +17.4% | 752,700 | $533.9M |
| USO United States Oil Fund LP | call | Add +60.6% | 7,193,600 | $503.0M |
| MCD McDonald's Corp. | call | Add +11.0% | 1,624,624 | $494.7M |
| META Meta Platforms Inc. Class A | call | Add +27.8% | 840,588 | $481.2M |
| BAC Bank of America Corp. | put | Add +17.4% | 11,594,100 | $460.1M |
| GOOGL Alphabet Inc. Class A | put | Add +37.8% | 2,754,100 | $456.8M |
| AMD Advanced Micro Devices | call | Reduce -5.9% | 2,717,940 | $446.0M |
| TLT iShares 20+ Year Treasury BD | put | Reduce -31.2% | 4,485,100 | $440.0M |
| TLT iShares 20+ Year Treasury BD | call | Reduce -21.8% | 4,465,857 | $438.1M |
| XLF SS Financial Select Sector | call | Add +10.0% | 8,807,600 | $399.2M |
| BRK.B Berkshire Hathaway Inc. Class B | put | Add +54.8% | 862,800 | $397.1M |
| STLA Stellantis NV | put | Add +14.8% | 28,102,850 | $394.8M |
| AVGO Broadcom Inc. | put | Add +142.4% | 2,249,700 | $388.1M |
| NEM Newmont Corp. | put | Add +8.4% | 7,150,867 | $382.2M |
| UNH Unitedhealth Group Inc. | put | Add +43.6% | 632,400 | $369.8M |
| EFA iShares MSCI Eafe ETF | put | Reduce -31.2% | 4,143,800 | $346.5M |
Showing the first 50 of 1,109.
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q2 2024 → Q3 2024
| WELLS FARGO & COMPANY (WFC 7.5 PERP L) | PERP PFD CNV A | Add +4.5% | 7,321 | $9.4M |
| AKAMAI TECHNOLOGIES INC (AKAM 1.125 02/15/29) | NOTE 1.125% 2/1 · principal | New | 5,500,000 | $5.6M |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | Reduce -9.4% | 3,613 | $4.6M |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | Reduce -0.0% | 4,200,000 | $4.3M |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | Reduce -0.0% | 3,000,000 | $3.0M |
| SOUTHERN CO (SO 3.875 12/15/25) | NOTE 3.875%12/1 · principal | Sold out | 2,000,000 | $2.0Mbefore exit |
| UBER TECHNOLOGIES INC (UBER 0 12/15/25) | NOTE 12/1 · principal | Add +90050.0% | 1,803,000 | $2.0M |
| EURONET WORLDWIDE INC (EEFT 0.75 03/15/49) | NOTE 0.750% 3/1 · principal | Reduce -0.1% | 2,000,000 | $2.0M |
| PDD HOLDINGS INC (PDD 0 12/01/25) | NOTE 12/0 · principal | Add +190050.0% | 1,901,500 | $1.9M |
| SSR MINING INC (SSRMCN 2.5 04/01/39) | NOTE 2.500% 4/0 · principal | Sold out | 2,000,000 | $1.8Mbefore exit |
| ON SEMICONDUCTOR CORP (ON 0.5 03/01/29) | NOTE 0.500% 3/0 · principal | Add +0.1% | 1,001,500 | $1.0M |
| SPECIAL OPPORTUNITY FUND (SPE 2.75 01/27/27 C) | 2.75% CNV PFD C | Add +8.2% | 34,610 | $822K |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -37.8% | 27,485 | $817K |
| NEXTERA ENERGY INC (NEE 6.926 09/01/25) | UNIT 09/01/2025 | Add +2962.9% | 16,019 | $743K |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | Sold out | 500,000 | $480Kbefore exit |
| LUMENTUM HOLDINGS INC (LITE 0.5 12/15/26) | NOTE 0.500%12/1 · principal | Reduce -1.0% | 300,000 | $294K |
| SMR.WS Nuscale Power Co. -CW27 | *W EXP 05/02/202 | Sold out | 62,669 | $175Kbefore exit |
| EL PASO ENERGY CAP TRST (KMI 4.75 03/31/28) | PFD CV TR SEC 28 | Add +15.4% | 3,557 | $172K |
| EQUITY COMMONWEALTH (EQC 6.5 PERP D) | 6.5% CNV PFD D | Reduce -7.3% | 6,549 | $165K |
| FLAGSTAR BANK NA (FLG 6 11/01/51) | UNIT 05/07/2051 | Reduce -68.1% | 3,193 | $124K |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | Sold out | 24,103 | $109Kbefore exit |
| CVE.WS Cenovus Energy Inc. -CW26 | *W EXP 01/01/202 | Reduce -28.3% | 6,970 | $82K |
| NXG NEXTGEN INFRAS | RIGHT 07/17/2024 | Sold out | 121,323 | $67Kbefore exit |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | Reduce -75.3% | 25,973 | $57K |
| KIMCO REALTY CORP (KIM 7.25 PERP N) | DP CV CL N 7.25% | New | 758 | $47K |
| PYXIS TANKERS (PXS 7.75 PERP A) | 7.75% CNV PFD A | Reduce -19.1% | 1,786 | $45K |
| DISH NETWORK CORP (DISH 3.375 08/15/26) | NOTE 3.375% 8/1 · principal | Add +2.0% | 51,670 | $41K |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | Reduce -9.5% | 1,983 | $36K |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | Add +120.2% | 2,512 | $35K |
| ADVENT CONVERTIBLE AND INCOM | RIGHT 10/17/2024 | Add +1033.6% | 1,732,867 | $35K |
| ADSEW ADS-Tec Energy PLC-WRNT | *W EXP 99/99/999 | Sold out | 13,944 | $34Kbefore exit |
| RLJ LODGING TRUST (RLJ 1.95 PERP A) | CUM CONV PFD A | Add +102.0% | 1,097 | $29K |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Add +43.8% | 397 | $26K |
| LEXXW Lexaria Bioscience -CW25 | *W EXP 01/14/202 | Reduce -70.1% | 28,065 | $26K |
| SEAPORT ENTERTAINMENT GR-RTS | RIGHT 10/10/2024 | New | 8,119 | $24K |
| ABLLW East Resources Acquis -CW27 | *W EXP 06/30/202 | Sold out | 33,191 | $24Kbefore exit |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | Add +0.5% | 1,014 | $23K |
| SABLE OFFSHORE CORP | *W EXP 02/14/202 | Reduce -66.8% | 1,804 | $22K |
| OCSAW Oculis Holding AG -30 | *W EXP 03/06/202 | Sold out | 9,652 | $18Kbefore exit |
| APOLLO GLOBAL MANAGEMENT (APO 6.75 07/31/26) | SER A MAND CNV | Add +129.0% | 213 | $14K |
| CORZZ Core Scientific Inc. - 29 | *W EXP 01/23/202 | Reduce -88.2% | 1,217 | $14K |
| LUNRW Intuitive Machines Inc.-CW | *W EXP 99/99/999 | Sold out | 20,930 | $14Kbefore exit |
| SHMDW Schmid Group NV -28 | *W EXP 04/30/202 | New | 42,475 | $14K |
| GRND.WS Grindr Inc. -26 | *W EXP 11/18/202 | Reduce -87.8% | 4,200 | $13K |
| BCTXW Briacell Therapeutics -CW27 | *W EXP 02/26/202 | Add +189.9% | 29,058 | $12K |
| EOS ENERGY ENTER -CW26 | *W EXP 11/17/202 | Add +128.7% | 61,063 | $12K |
| RSVRW Reservoir Media-CW26 | *W EXP 08/26/202 | Add +1688.2% | 8,494 | $11K |
| BRAEMAR HOTELS & RESORTS (BHR 5.5 PERP b) | 5.5 CUM CV PFD B | Add +1495.9% | 782 | $11K |
| GRABW Grab Holdings Ltd.-CW 26 | *W EXP 99/99/999 | Add +959.0% | 46,923 | $11K |
| HUMAW Humacyte Inc.-CW27 | *W EXP 08/27/202 | Sold out | 7,925 | $11Kbefore exit |
Showing the first 50 of 443.
Bonds, preferreds, convertibles and warrants; not part of the stock holdings or percentages above.
All Filings
| Quarter | Positions | 13F Reported Value | Top Holdings |
|---|---|---|---|
| Q2 2026 | 8,634 | $628.7B | NVDA, AAPL, MSFT, AVGO, SPY |
| Q1 2026 | 8,728 | $563.1B | NVDA, AAPL, MSFT, SPY, AVGO |
| Q4 2025 | 8,711 | $504.5B | NVDA, MSFT, AAPL, AVGO, AMZN |
| Q3 2025 | 8,513 | $511.5B | NVDA, MSFT, AAPL, AMZN, AVGO |
| Q2 2025 | 8,500 | $477.9B | MSFT, NVDA, AAPL, AMZN, AVGO |
| Q1 2025 | 8,455 | $451.4B | AAPL, MSFT, NVDA, AMZN, SPY |
| Q4 2024 | 8,290 | $445.9B | AAPL, MSFT, NVDA, AMZN, AVGO |
| Q3 2024 | 7,908 | $356.9B | MSFT, AAPL, NVDA, AMZN, META |
| Q2 2024 | 7,931 | $325.5B | MSFT, AAPL, NVDA, AMZN, GOOGL |
| Q1 2024 | 7,779 | $303.0B | MSFT, AAPL, NVDA, AMZN, SPY |