Warberg Asset Management LLC
In its 13F for Q1 2024 (holdings as of March 31, 2024, filed May 6, 2024), Warberg Asset Management LLC reported 60 stock positions worth $21.4 million. Its top holding was Stereotaxis (STXS) at 8.1% of the portfolio, followed by Goldman Sachs Access Treasur (GBIL, 6.0%) and New England Realty Assoc-LP (NEN, 5.3%). Compared with Q4 2023, it opened 20 new positions, sold out of 26, added to 18 and reduced 7. The biggest buy was a new position in Stereotaxis (STXS) and the biggest sale an exit from Invesco Ultra Short Duration (GSY).
- Most Recent 13F
- Q2 2026
- Location
- WINNETKA, IL
- CIK
- 0001597506
- Portfolio Value
- $21.4M (Q1 2024)
- SEC Filing
- 0001597506-24-000005 ↗ filed May 6, 2024
Holdings Value
Holdings 60 stocks · $21.4M
| STXS Stereotaxis Inc. | 8.13% | 665,688 | $1.7M | New |
| GBIL Goldman Sachs Access Treasur | 6.04% | 12,891 | $1.3M | New |
| NEN New England Realty Assoc-LP | 5.32% | 15,979 | $1.1M | Add +16.6% |
| CLRCF Climaterock Class A | 3.96% | 75,427 | $846K | New |
| ACAC Acri Capital Acquisition Cor | 3.85% | 73,498 | $822K | Add +12.3% |
| AQUC Aquaron Acquisition Corp. | 3.84% | 75,713 | $820K | Add +109.3% |
| FORL Four Leaf Acquisition Cor-A | 3.81% | 75,932 | $814K | Add +49.3% |
| GLST Global Star Acquisition Class A | 3.80% | 75,715 | $811K | Add +7.2% |
| PLTN Plutonian Acquisition Corp. | 3.78% | 75,213 | $808K | Add +124.7% |
| HUDA Hudson Acquisition I Corp. | 3.67% | 74,039 | $785K | Add +5.7% |
| BKHAU Black Hawk Acquisition Corp. | 3.52% | 74,124 | $753K | New |
| VSAC Vision Sensing Acquisition-A | 3.51% | 67,179 | $749K | Add +310.4% |
| NNAG 99 Acquisition Group in Class A | 3.29% | 68,300 | $704K | No change |
| QETA Quetta Acquisition Corp. | 3.28% | 68,700 | $700K | No change |
| OAKU Oak Woods Acquisition Corp. Class A | 3.27% | 65,000 | $699K | No change |
| MONTEREY CAP ACQUISITION COR | 3.24% | 62,461 | $693K | No change |
| PPHP PHP Ventures Acquisition -A | 2.43% | 46,719 | $520K | No change |
| IGTA Inception Growth Acquisition | 2.35% | 46,264 | $502K | Add +1.0% |
| KVACF Keen Vision Acquisition Corp. | 2.25% | 46,000 | $481K | No change |
| GDST Goldenstone Acquisition Ltd. | 2.15% | 41,635 | $459K | Add +118.1% |
| TCOA Zalatoris Acquisition Corp. | 1.89% | 37,103 | $404K | Add +1.4% |
| ESHA Esh Acquisition Corp. Class A | 1.83% | 37,604 | $391K | No change |
| TBMC Trailblazer Merger Corp. I | 1.70% | 34,234 | $363K | Add +49.6% |
| UCFI CN Healthy Food Tech Group C filed as IRON HORSE ACQUISITIONS CORP | 1.55% | 33,267 | $332K | Reduce -8.3% |
| QDRO Quadro Acquisition One Corp. | 1.52% | 29,583 | $325K | New |
| LEN.B Lennar Corp. Class B | 1.45% | 2,000 | $309K | No change |
| BELLEVUE LIFE SCNCS AQSTN CO | 1.35% | 27,040 | $289K | New |
| AIMTF Aimfinity Investment-Subunit | 1.26% | 24,216 | $269K | New |
| APCA Ap Acquisition Corp. Class A | 1.21% | 22,872 | $258K | Reduce -0.7% |
| DYCQU DT Cloud Acquisition Corp. | 1.19% | 25,000 | $254K | New |
| XFIN Excelfin Acquisition Corp. Class A | 1.14% | 22,280 | $244K | Add +103.1% |
| AEAE Altenergy Acquisition Corp. Class A | 0.85% | 16,139 | $181K | Reduce -38.5% |
| AFAR Aura Fat Projects Acqui Class A | 0.73% | 13,946 | $155K | New |
| AFJK Aimei Health Technology Co. | 0.72% | 15,000 | $154K | No change |
| ARYD Arya Sciences Acquisition-A | 0.69% | 13,133 | $147K | New |
| BUJA Bukit Jalil Global Acquisiti | 0.68% | 13,740 | $144K | No change |
| OMQS Omniq Corp. | 0.56% | 224,207 | $120K | Add +16.1% |
| PETV Petvivo Holdings Inc. | 0.56% | 111,100 | $119K | Add +301.2% |
| BOWN Bowen Acquisition Corp. | 0.49% | 10,000 | $104K | No change |
| OGEN Oragenics Inc. | 0.34% | 50,028 | $72K | New |
| PMNT Perfect Moment Ltd. | 0.34% | 20,000 | $72K | New |
| FOREMOST CLEAN ENERGY LTD | 0.33% | 115,028 | $70K | Add +4.9% |
| OPHC Optimumbank Holdings Inc. | 0.31% | 15,557 | $67K | Reduce -21.0% |
| AZITRA INC | 0.29% | 300,501 | $62K | New |
| NUVVE HOLDING CORP | 0.28% | 55,280 | $61K | New |
| SCPX Scorpius Holdings Inc. | 0.21% | 283,040 | $46K | New |
| SYNX Silynxcom Ltd. | 0.16% | 10,000 | $34K | New |
| APCX Apptech Payments Corp. | 0.16% | 35,000 | $34K | New |
| DPRO Draganfly Inc. | 0.12% | 139,568 | $26K | New |
| FUNDAMENTAL GLOBAL INC | 0.12% | 19,095 | $26K | Reduce -8.6% |
| AXDXQ Accelerate Diagnostics Inc. | 0.09% | 20,000 | $20K | New |
| FRSX Foresight Autonomous-SP ADR | 0.09% | 17,000 | $18K | Add +44.7% |
| SGE Strong Global Entertainmen-A | 0.07% | 10,399 | $15K | Reduce -11.1% |
| SNGX Soligenix Inc. | 0.07% | 24,500 | $15K | Add +22.5% |
| VBIVQ Vbi Vaccines Inc. | 0.04% | 15,000 | $9K | No change |
| APLM Apollomics Inc. | 0.03% | 10,026 | $7K | New |
| INUV Inuvo Inc. | 0.03% | 20,000 | $7K | Reduce -11.1% |
| THARIMMUNE INC | 0.02% | 10,002 | $4K | No change |
| NORTHVIEW ACQUISITION CORP | 0.02% | 77,770 | $3K | No change |
| NETCAPITAL INC | 0.01% | 25,000 | $3K | No change |
Options reported separately and not counted above: STATE STR SPDR S&P 500 ETF T puts ($224.9M), INVESCO QQQ TR puts ($26.1M), ISHARES TR puts ($3.1M), FEDEX CORP puts ($2.9M), APPLE INC puts ($2.6M), VANECK ETF TRUST calls ($1.6M), JPMORGAN CHASE & CO calls ($1.4M), EXXON MOBIL CORP calls ($1.2M), COINBASE GLOBAL INC puts ($1.1M), TESLA INC puts ($879K), EQUINIX INC puts ($825K), NOBLE CORP PLC puts ($761K), and 15 more.
Other holdings (126): bonds, preferreds, convertibles and warrants · $403.5M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 18,973,000 | $54.4M | Add +64.7% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 1,019,149 | $43.9M | Reduce -0.5% |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | 8,239,000 | $21.2M | Add +27.4% |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | 6,558,000 | $20.0M | Add +0.1% |
| MICROSTRATEGY INC (MSTR 0.75 12/15/25) | NOTE 0.750%12/1 · principal | 4,588,000 | $19.6M | Add +8.0% |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | 9,148,000 | $16.9M | Add +94.4% |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | 6,289,000 | $16.3M | Add +399.5% |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | 8,002,000 | $15.5M | Add +51.3% |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | 5,110,000 | $14.4M | Add +1.5% |
| ALTAIR ENGINEERING INC (ALTR 0.25 06/01/24) | NOTE 0.250% 6/0 · principal | 7,173,000 | $13.3M | Add +7.0% |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | 7,640,000 | $12.7M | Add +21.4% |
| REPLIGEN CORP (RGEN 0.375 07/15/24) | NOTE 0.375% 7/1 · principal | 7,819,000 | $12.4M | Add +33.3% |
| INTERDIGITAL INC (IDCC 2 06/01/24) | NOTE 2.000% 6/0 · principal | 9,278,000 | $12.1M | Add +0.3% |
| RH (RH 0 09/15/24) | NOTE 9/1 · principal | 6,000,000 | $9.9M | No change |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | 6,500,000 | $9.5M | New |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | 7,765,000 | $9.2M | Add +19.4% |
| NCL CORPORATION LTD (NCLH 6 05/15/24) | NOTE 6.000% 5/1 · principal | 6,000,000 | $9.2M | New |
| GUESS INC (GES 2 04/15/24) | NOTE 2.000% 4/1 · principal | 7,067,000 | $7.9M | New |
| MONGODB INC (MDB 0.25 01/15/26) | NOTE 0.250% 1/1 · principal | 4,266,000 | $7.5M | Add +16.7% |
| PIONEER NATURAL RESOURCE (PXD 0.25 05/15/25) | NOTE 0.250% 5/1 · principal | 2,460,000 | $7.0M | Add +119.3% |
| ATI INC (ATI 3.5 06/15/25) | NOTE 3.500% 6/1 · principal | 1,991,000 | $6.6M | Add +1.3% |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | 5,518,000 | $5.7M | Add +40.7% |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | 3,923,000 | $5.6M | Add +34.2% |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | 3,801,000 | $4.6M | Add +0.1% |
| ETSY INC (ETSY 0.125 10/01/26) | NOTE 0.125%10/0 · principal | 4,002,000 | $4.2M | Reduce -24.9% |
| SEA LTD (SEALTD 1 12/01/24) | NOTE 1.000%12/0 · principal | 3,500,000 | $4.2M | No change |
| LIVENT CORP (LTHM 4.125 07/15/25) | NOTE 4.125% 7/1 · principal | 3,000,000 | $4.0M | Reduce -22.1% |
| ON SEMICONDUCTOR CORP (ON 0 05/01/27) | NOTE 5/0 · principal | 2,544,000 | $3.7M | Add +2.3% |
| CYTOKINETICS INC (CYTK 3.5 07/01/27) | NOTE 3.500% 7/0 · principal | 2,313,000 | $3.7M | New |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | 2,745,000 | $3.3M | Add +0.1% |
| GRANITE CONSTRUCTION INC (GVA 2.75 11/01/24) | NOTE 2.750%11/0 · principal | 1,484,000 | $2.7M | New |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 30,128 | $2.2M | Add +30.6% |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | 2,000,000 | $2.0M | New |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | 1,500,000 | $2.0M | Reduce -38.8% |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | 64,026 | $1.9M | Add +8.9% |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | 1,005,000 | $1.8M | Add +82.7% |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 63,461 | $1.6M | Add +13.4% |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | 318,430 | $1.4M | Reduce -42.7% |
| RBC BEARINGS INC (RBC 5 10/15/24 A) | 5% CNV PFD SR A | 11,000 | $1.3M | Add +117.7% |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | 15,922 | $1.2M | Add +403.1% |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | 54,774 | $1.1M | Reduce -7.5% |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 10,513 | $864K | Add +1.3% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | 734,000 | $775K | Add +63.8% |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | 613,000 | $634K | Add +42.9% |
| CMPOW Composecure Inc. -CW25 | *W EXP 12/27/202 | 844,759 | $591K | Add +9.2% |
| SURGW Surgepays Inc. -CW24 | *W EXP 10/22/202 | 764,016 | $443K | Reduce -30.4% |
| DJTWW Trump Media & Technology Gro | *W EXP 03/25/202 | 8,600 | $236K | New |
| STRIDE INC (LRN 1.125 09/01/27) | NOTE 1.125% 9/0 · principal | 171,000 | $227K | Add +388.6% |
| TRANSOCEAN INTERNTNL LTD (RIG 4.625 09/30/29 *) | DEB 4.625% 9/3 · principal | 92,000 | $186K | Add +41.5% |
| JOBY.WS Joby Aviation Inc. -CW25 | *W EXP 08/10/202 | 182,289 | $142K | No change |
| VISHAY INTERTECHNOLOGY (VSH 2.25 06/15/25) | NOTE 2.250% 6/1 · principal | 139,000 | $136K | Add +595.0% |
| DTSTW Data Storage Corp. -CW26 | *W EXP 05/18/202 | 172,503 | $131K | New |
| RNWWW Renew Energy Global -CW26 | *W EXP 08/21/202 | 259,120 | $130K | Reduce -30.2% |
| TALKW Hudson Executive Inv -CW25 | *W EXP 06/21/202 | 549,400 | $124K | Reduce -1.8% |
| ROYAL CARIBBEAN CRUISES (RCL 6 08/15/25) | NOTE 6.000% 8/1 · principal | 39,000 | $111K | New |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/25) | NOTE 1.625% 2/1 · principal | 23,000 | $93K | New |
| SKYH.WS Yellowstone Acquisit A -CW25 | *W EXP 01/25/202 | 41,000 | $72K | Add +30.4% |
| AMPX.WS Amprius Technologies Inc. | *W EXP 09/14/202 | 281,481 | $70K | Reduce -24.3% |
| DSX.WS Diana Shipping Inc.-28 | *W EXP 12/14/202 | 124,286 | $57K | New |
| PXSAW Pyxis Tankers Inc. -CW25 | *W EXP 10/13/202 | 47,250 | $54K | Reduce -32.1% |
| OCEAW Aesther Healthcare Acq -CW23 | *W EXP 02/14/202 | 168,260 | $49K | Add +1582.6% |
| MIR.WS Mirion Technologies Inc.-CW25 | *W EXP 10/20/202 | 19,996 | $45K | Reduce -33.6% |
| DEXCOM INC (DXCM 0.25 11/15/25) | NOTE 0.250%11/1 · principal | 36,000 | $40K | New |
| TNONW Tenon Medical Inc.-28 | *W EXP 06/16/202 | 671,558 | $39K | Reduce -0.0% |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 464,483 | $37K | Reduce -1.3% |
| MTEKW Maris - Tech Ltd. -23 | *W EXP 02/04/202 | 207,000 | $33K | Reduce -8.7% |
| NEXTPLAT CORP | *W EXP 06/02/202 | 68,800 | $31K | Reduce -14.9% |
| MOBBW Mobilicom Ltd. -27 | *W EXP 08/31/202 | 89,375 | $29K | Reduce -3.0% |
| EONR.WS HNR Acquisition Corp. -CW23 | *W EXP 11/15/202 | 201,105 | $28K | New |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | 165,332 | $27K | Reduce -16.8% |
| APCXW Apptech -CW26 | *W EXP 01/04/202 | 69,609 | $23K | Add +0.1% |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | 16,000 | $22K | New |
| DFSCW Kwesst Micro Systems Inc.-27 | *W EXP 09/01/202 | 182,888 | $21K | Reduce -4.5% |
| PETVW Petvivo Holdings Inc. -CW26 | *W EXP 08/13/202 | 204,183 | $20K | Reduce -2.3% |
| FGIWW Fgi Industries Ltd. -23 | *W EXP 99/99/999 | 121,152 | $19K | No change |
| BEATW Heartbeam Inc.-CW26 | *W EXP 10/31/202 | 76,045 | $19K | Add +32.6% |
| NRSNW Neurosense Therapeuti -CW23 | *W EXP 11/10/202 | 41,406 | $17K | Reduce -34.8% |
| WHOLE EARTH BRANDS INC | *W EXP 06/25/202 | 312,649 | $17K | Add +94.5% |
| CRPWF Carbon Revolution PLC | *W EXP 99/99/999 | 175,300 | $16K | Reduce -7.7% |
| SVREW Saverone 2014 Ltd. -CW27 | *W EXP 06/02/202 | 183,181 | $15K | Reduce -1.2% |
| APLMW Apollomics Inc.-27 | *W EXP 04/01/202 | 511,000 | $15K | Add +14.7% |
| BIAFW Bioaffinity Technologiew-27 | *W EXP 09/07/202 | 15,679 | $12K | Reduce -31.6% |
| BTBDW BT Brands Inc. -CW26 | *W EXP 11/12/202 | 118,082 | $12K | Reduce -12.5% |
| WLDSW Wearable Devices Ltd. - 27 | *W EXP 09/14/202 | 117,200 | $9K | Reduce -0.4% |
| RBOT.WS Vicarious Surgical Inc.-CW27 | *W EXP 09/17/202 | 112,000 | $9K | No change |
| SWAGW Stran & Co. -CW26 | *W EXP 99/99/999 | 180,824 | $9K | Reduce -0.6% |
| SBEVW Splash Beverage Group -CW | *W EXP 06/15/202 | 137,940 | $8K | Reduce -1.3% |
| HGASW Dune Acq Class A -CW27 | *W EXP 12/21/202 | 182,002 | $8K | Add +401.4% |
| ONFOW Onfolio Holdings Inc. -27 | *W EXP 01/02/202 | 193,570 | $8K | No change |
| LEGWQ Lion Electric Co./the-27 | *W EXP 12/16/202 | 21,000 | $7K | No change |
| ZURA BIO LTD | *W EXP 99/99/999 | 25,818 | $7K | No change |
| NXLIW Nexalin Technology Inc.- 27 | *W EXP 99/99/999 | 150,000 | $6K | Reduce -15.4% |
| AERTW Aeries Technology Inc. -CW23 | *W EXP 11/06/202 | 95,027 | $6K | No change |
| PTIXW Protagenic Therapeutic -CW25 | *W EXP 04/26/202 | 177,196 | $6K | No change |
| HOLOW Golden Path Acq -CW28 | *W EXP 01/31/202 | 65,089 | $6K | Add +26.1% |
| AUROW Aurora Innovation Inc. -CW28 | *W EXP 11/03/202 | 20,000 | $5K | No change |
| BAERW Wildfire New Pubco Inc.-27 | *W EXP 01/24/202 | 25,200 | $5K | No change |
| IGTAW Inception Growth Acq -23 | *W EXP 10/15/202 | 89,900 | $4K | No change |
| KTTAW Pasithea Therapeutics -CW26 | *W EXP 08/12/202 | 289,868 | $4K | No change |
| PNSWQ Banyan Acquisition Co. -CW23 | *W EXP 09/30/202 | 12,200 | $3K | No change |
| IVDAW Iveda Solutions Inc. -CW27 | *W EXP 04/01/202 | 40,497 | $3K | Reduce -18.0% |
| ANGHW Anghami Inc. -CW27 | *W EXP 02/03/202 | 40,409 | $3K | No change |
| PGYWW Pagaya Technologies Ltd. -27 | *W EXP 99/99/999 | 30,000 | $3K | No change |
| HUBCW Hub Cyber Security Ltd.-28 | *W EXP 02/27/202 | 171,171 | $3K | No change |
| AOGOW Arogo Capital Acq -CW23 | *W EXP 03/23/202 | 90,000 | $2K | No change |
| SXTPW 60 Degrees Pharma Inc.-28 | *W EXP 07/12/202 | 29,515 | $2K | No change |
| LIXTW Lixte Biotechnology H -CW25 | *W EXP 11/30/202 | 40,875 | $2K | No change |
| WKSPW Worksport Ltd. -CW26 | *W EXP 08/06/202 | 64,652 | $2K | Reduce -0.8% |
| CNGLW Canna-Global Acquisit -CW23 | *W EXP 99/99/999 | 90,100 | $2K | No change |
| KACWF Kairous Acquisition -23 | *W EXP 09/15/202 | 78,977 | $2K | No change |
| XBPEW CF Acquisition Viii A -CW27 | *W EXP 11/30/202 | 38,900 | $2K | No change |
| BNIXW Bannix Acquisition Corp.-CW23 | *W EXP 07/31/202 | 43,200 | $1K | No change |
| ICUCW LMF Acquisition Opp -A -CW26 | *W EXP 10/28/202 | 10,000 | $1K | Reduce -94.8% |
| SMXWW SMX Security Matters PLC-28 | *W EXP 03/07/202 | 99,100 | $1K | No change |
| AIMDW Ainos Inc. - 27 | *W EXP 07/29/202 | 18,800 | $1K | Reduce -24.4% |
| STWWF Semantix Inc. -27 | *W EXP 08/03/202 | 102,119 | $1K | No change |
| BNCWW Cea Industries Inc. -CW27 | *W EXP 02/11/202 | 79,872 | $1K | No change |
| CINGW Cingulate -CW23 | *W EXP 12/10/202 | 43,155 | $969 | No change |
| SLNWF Selina Hospitality PLC-27 | *W EXP 10/27/202 | 126,860 | $888 | Reduce -1.0% |
| BZFDW Buzzfeed Inc. -CW27 | *W EXP 12/03/202 | 19,778 | $886 | No change |
| BENFW Beneficient Co. Group -28 | *W EXP 06/07/202 | 104,385 | $851 | No change |
| FLFVW Feutune Light Acquisit -29 | *W EXP 06/01/202 | 20,796 | $564 | No change |
| ACONW Aclarion Inc. -CW27 | *W EXP 04/21/202 | 15,000 | $525 | Reduce -42.9% |
| EDBLW Edible Garden AG Inc.-CW27 | *W EXP 99/99/999 | 29,126 | $446 | No change |
| DRMAW Dermata Therapeutics -CW26 | *W EXP 99/99/999 | 30,000 | $285 | No change |
| ALSWF Alpha Star Acquisition -CW23 | *W EXP 12/13/202 | 16,452 | $165 | No change |
Total filed on the 13F, all lines: $424.8M.
Portfolio Sells Q4 2023 → Q1 2024
| GSY Invesco Ultra Short Duration | Sold out | 0.00% | −7.23 |
| ACAH Atlantic Coastal Acquisiti-A | Sold out | 0.00% | −4.36 |
| CFFS CF Acquisition Corp. Vii Class A | Sold out | 0.00% | −4.16 |
| EVCO Everest Consolidator Acquisi | Sold out | 0.00% | −4.09 |
| CPTK Crown Proptech Acquisition-A | Sold out | 0.00% | −3.20 |
| BITE Bite Acquisition Corp. | Sold out | 0.00% | −2.74 |
| DSAQ Direct Selling Acquisition-A | Sold out | 0.00% | −2.73 |
| CHAA Catcha Investment Corp. Class A | Sold out | 0.00% | −1.69 |
| ALSAF Alpha Star Acquisition Corp. | Sold out | 0.00% | −1.44 |
| CETU Cetus Capital Acquisition Co. | Sold out | 0.00% | −1.04 |
| PPYA Papaya Growth Opportuni Class A | Sold out | 0.00% | −0.87 |
| AEAE Altenergy Acquisition Corp. Class A | Reduce -38.5% | 0.85% | −0.67 |
| BRAC Broad Capital Acquisition Co. | Sold out | 0.00% | −0.61 |
| UCFI CN Healthy Food Tech Group C | Reduce -8.3% | 1.55% | −0.37 |
| PODC Podcastone Inc. | Sold out | 0.00% | −0.30 |
| KWESST MICRO SYSTEMS INC | Sold out | 0.00% | −0.27 |
| FSRNQ Fisker Inc. | Sold out | 0.00% | −0.17 |
| APCA Ap Acquisition Corp. Class A | Reduce -0.7% | 1.21% | −0.15 |
| IBIO Ibio Inc. | Sold out | 0.00% | −0.14 |
| OPHC Optimumbank Holdings Inc. | Reduce -21.0% | 0.31% | −0.12 |
| AUMN Golden Minerals Co. | Sold out | 0.00% | −0.12 |
| P3 HEALTH PARTNERS INC | Sold out | 0.00% | −0.10 |
| EDIBLE GARDEN AG INC | Sold out | 0.00% | −0.08 |
| UPXI Upexi Inc. | Sold out | 0.00% | −0.08 |
| RCAT Red Cat Holdings Inc. | Sold out | 0.00% | −0.08 |
| BIOSIG TECHNOLOGIES INC | Sold out | 0.00% | −0.07 |
| FUNDAMENTAL GLOBAL INC | Reduce -8.6% | 0.12% | −0.05 |
| YIELD10 BIOSCIENCE INC | Sold out | 0.00% | −0.03 |
| PALI Palisade Bio Inc. | Sold out | 0.00% | −0.03 |
| VOLCON INC | Sold out | 0.00% | −0.03 |
| SGE Strong Global Entertainmen-A | Reduce -11.1% | 0.07% | −0.03 |
| INUV Inuvo Inc. | Reduce -11.1% | 0.03% | −0.02 |
| KULR Kulr Technology Group Inc. | Sold out | 0.00% | −0.01 |
Portfolio Buys Q4 2023 → Q1 2024
| STXS Stereotaxis Inc. | New | 8.13% | +8.13 |
| GBIL Goldman Sachs Access Treasur | New | 6.04% | +6.04 |
| CLRCF Climaterock Class A | New | 3.96% | +3.96 |
| BKHAU Black Hawk Acquisition Corp. | New | 3.52% | +3.52 |
| VSAC Vision Sensing Acquisition-A | Add +310.4% | 3.51% | +2.55 |
| PLTN Plutonian Acquisition Corp. | Add +124.7% | 3.78% | +1.90 |
| AQUC Aquaron Acquisition Corp. | Add +109.3% | 3.84% | +1.79 |
| QDRO Quadro Acquisition One Corp. | New | 1.52% | +1.52 |
| BELLEVUE LIFE SCNCS AQSTN CO | New | 1.35% | +1.35 |
| AIMTF Aimfinity Investment-Subunit | New | 1.26% | +1.26 |
| DYCQU DT Cloud Acquisition Corp. | New | 1.19% | +1.19 |
| GDST Goldenstone Acquisition Ltd. | Add +118.1% | 2.15% | +1.06 |
| FORL Four Leaf Acquisition Cor-A | Add +49.3% | 3.81% | +0.98 |
| AFAR Aura Fat Projects Acqui Class A | New | 0.73% | +0.73 |
| ARYD Arya Sciences Acquisition-A | New | 0.69% | +0.69 |
| XFIN Excelfin Acquisition Corp. Class A | Add +103.1% | 1.14% | +0.52 |
| TBMC Trailblazer Merger Corp. I | Add +49.6% | 1.70% | +0.43 |
| PETV Petvivo Holdings Inc. | Add +301.2% | 0.56% | +0.40 |
| OGEN Oragenics Inc. | New | 0.34% | +0.34 |
| PMNT Perfect Moment Ltd. | New | 0.34% | +0.34 |
| AZITRA INC | New | 0.29% | +0.29 |
| NUVVE HOLDING CORP | New | 0.28% | +0.28 |
| NEN New England Realty Assoc-LP | Add +16.6% | 5.32% | +0.27 |
| SCPX Scorpius Holdings Inc. | New | 0.21% | +0.21 |
| FOREMOST CLEAN ENERGY LTD | Add +4.9% | 0.33% | +0.18 |
| SYNX Silynxcom Ltd. | New | 0.16% | +0.16 |
| APCX Apptech Payments Corp. | New | 0.16% | +0.16 |
| DPRO Draganfly Inc. | New | 0.12% | +0.12 |
| AXDXQ Accelerate Diagnostics Inc. | New | 0.09% | +0.09 |
| APLM Apollomics Inc. | New | 0.03% | +0.03 |
| FRSX Foresight Autonomous-SP ADR | Add +44.7% | 0.09% | +0.02 |
| ACAC Acri Capital Acquisition Cor | Add +12.3% | 3.85% | +0.01 |
| SNGX Soligenix Inc. | Add +22.5% | 0.07% | −0.01 |
| OMQS Omniq Corp. | Add +16.1% | 0.56% | −0.10 |
| GLST Global Star Acquisition Class A | Add +7.2% | 3.80% | −0.17 |
| TCOA Zalatoris Acquisition Corp. | Add +1.4% | 1.89% | −0.18 |
| IGTA Inception Growth Acquisition | Add +1.0% | 2.35% | −0.23 |
| HUDA Hudson Acquisition I Corp. | Add +5.7% | 3.67% | −0.26 |
Options Activity Q4 2023 → Q1 2024
| STATE STR SPDR S&P 500 ETF T | put | Add +41.0% | 430,000 | $224.9M |
| INVESCO QQQ TR | put | Reduce -16.0% | 58,800 | $26.1M |
| ISHARES TR | put | Add +10.0% | 33,000 | $3.1M |
| FEDEX CORP | put | New | 10,000 | $2.9M |
| APPLE INC | put | Add +50.0% | 15,000 | $2.6M |
| JPMORGAN CHASE & CO | call | New | 7,000 | $1.4M |
| EXXON MOBIL CORP | call | New | 10,000 | $1.2M |
| COINBASE GLOBAL INC | put | Reduce -55.6% | 4,000 | $1.1M |
| NVIDIA CORPORATION | put | Sold out | 2,000 | $990Kbefore exit |
| BANK HAWAII CORP | put | Sold out | 13,000 | $942Kbefore exit |
| TESLA INC | put | New | 5,000 | $879K |
| EQUINIX INC | put | New | 1,000 | $825K |
| BURLINGTON STORES INC | call | Sold out | 4,000 | $778Kbefore exit |
| APPLE INC | call | Sold out | 4,000 | $770Kbefore exit |
| BARCLAYS BANK PLC | call | Sold out | 45,000 | $698Kbefore exit |
| CARVANA CO | call | Sold out | 12,000 | $635Kbefore exit |
| WHIRLPOOL CORP | call | Sold out | 5,000 | $609Kbefore exit |
| FORD MTR CO | call | Sold out | 45,000 | $549Kbefore exit |
| ABERCROMBIE & FITCH CO | put | Sold out | 6,000 | $529Kbefore exit |
| SALESFORCE INC | put | Sold out | 2,000 | $526Kbefore exit |
| CANTALOUPE INC | call | Add +62.9% | 79,800 | $513K |
| NEXTERA ENERGY INC | call | Sold out | 8,000 | $486Kbefore exit |
| CARVANA CO | put | Reduce -58.3% | 5,000 | $440K |
| MODERNA INC | put | Reduce -33.3% | 4,000 | $426K |
| BLACKSTONE MTG TR INC | put | Add +11.1% | 20,000 | $398K |
| WESTERN ALLIANCE BANCORP | put | Sold out | 6,000 | $395Kbefore exit |
| HERTZ GLOBAL HLDGS INC | put | New | 48,000 | $376K |
| STRATASYS LTD | call | Sold out | 23,200 | $331Kbefore exit |
| FISKER INC | put | Sold out | 186,100 | $326Kbefore exit |
| RIVIAN AUTOMOTIVE INC | call | Sold out | 13,000 | $305Kbefore exit |
| UNITED STS NAT GAS FD LP | call | New | 20,000 | $291K |
| DOLLAR GEN CORP | call | Sold out | 2,000 | $272Kbefore exit |
| ARK ETF TR | put | Sold out | 5,000 | $262Kbefore exit |
| B. RILEY FINANCIAL INC | put | New | 12,000 | $254K |
| DELCATH SYS INC | call | Reduce -8.0% | 53,000 | $253K |
| PEABODY ENERGY CORP | call | New | 10,000 | $243K |
| SOUTHWESTERN ENERGY CO | call | Sold out | 37,000 | $242Kbefore exit |
| SOUNDHOUND AI INC | put | New | 22,000 | $130K |
| INDIE SEMICONDUCTOR INC | call | Sold out | 15,000 | $122Kbefore exit |
| SURGEPAYS INC | put | New | 30,000 | $116K |
| ESPERION THERAPEUTICS INC NE | call | Reduce -50.0% | 10,000 | $27K |
| AURORA CANNABIS INC | call | Sold out | 10,000 | $5Kbefore exit |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q4 2023 → Q1 2024
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | Add +64.7% | 18,973,000 | $54.4M |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -0.5% | 1,019,149 | $43.9M |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | Add +27.4% | 8,239,000 | $21.2M |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | Add +0.1% | 6,558,000 | $20.0M |
| MICROSTRATEGY INC (MSTR 0.75 12/15/25) | NOTE 0.750%12/1 · principal | Add +8.0% | 4,588,000 | $19.6M |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | Add +94.4% | 9,148,000 | $16.9M |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | Add +399.5% | 6,289,000 | $16.3M |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | Add +51.3% | 8,002,000 | $15.5M |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | Add +1.5% | 5,110,000 | $14.4M |
| ALTAIR ENGINEERING INC (ALTR 0.25 06/01/24) | NOTE 0.250% 6/0 · principal | Add +7.0% | 7,173,000 | $13.3M |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | Add +21.4% | 7,640,000 | $12.7M |
| REPLIGEN CORP (RGEN 0.375 07/15/24) | NOTE 0.375% 7/1 · principal | Add +33.3% | 7,819,000 | $12.4M |
| INTERDIGITAL INC (IDCC 2 06/01/24) | NOTE 2.000% 6/0 · principal | Add +0.3% | 9,278,000 | $12.1M |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | Sold out | 4,592,000 | $9.5Mbefore exit |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | New | 6,500,000 | $9.5M |
| CONMED CORP (CNMD 2.625 02/01/24) | NOTE 2.625% 2/0 · principal | Sold out | 7,538,000 | $9.3Mbefore exit |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | Add +19.4% | 7,765,000 | $9.2M |
| NCL CORPORATION LTD (NCLH 6 05/15/24) | NOTE 6.000% 5/1 · principal | New | 6,000,000 | $9.2M |
| GUESS INC (GES 2 04/15/24) | NOTE 2.000% 4/1 · principal | New | 7,067,000 | $7.9M |
| MONGODB INC (MDB 0.25 01/15/26) | NOTE 0.250% 1/1 · principal | Add +16.7% | 4,266,000 | $7.5M |
| PIONEER NATURAL RESOURCE (PXD 0.25 05/15/25) | NOTE 0.250% 5/1 · principal | Add +119.3% | 2,460,000 | $7.0M |
| ATI INC (ATI 3.5 06/15/25) | NOTE 3.500% 6/1 · principal | Add +1.3% | 1,991,000 | $6.6M |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | Add +40.7% | 5,518,000 | $5.7M |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | Add +34.2% | 3,923,000 | $5.6M |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | Add +0.1% | 3,801,000 | $4.6M |
| ETSY INC (ETSY 0.125 10/01/26) | NOTE 0.125%10/0 · principal | Reduce -24.9% | 4,002,000 | $4.2M |
| LIVENT CORP (LTHM 4.125 07/15/25) | NOTE 4.125% 7/1 · principal | Reduce -22.1% | 3,000,000 | $4.0M |
| DATADOG INC (DDOG 0.125 06/15/25) | NOTE 0.125% 6/1 · principal | Sold out | 2,733,000 | $3.8Mbefore exit |
| ON SEMICONDUCTOR CORP (ON 0 05/01/27) | NOTE 5/0 · principal | Add +2.3% | 2,544,000 | $3.7M |
| CYTOKINETICS INC (CYTK 3.5 07/01/27) | NOTE 3.500% 7/0 · principal | New | 2,313,000 | $3.7M |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | Add +0.1% | 2,745,000 | $3.3M |
| GRANITE CONSTRUCTION INC (GVA 2.75 11/01/24) | NOTE 2.750%11/0 · principal | New | 1,484,000 | $2.7M |
| ARES CAPITAL CORP (ARCC 4.625 03/01/24) | NOTE 4.625% 3/0 · principal | Sold out | 2,149,000 | $2.2Mbefore exit |
| ZSCALER INC. (ZS 0.125 07/01/25) | NOTE 0.125% 7/0 · principal | Sold out | 1,454,000 | $2.2Mbefore exit |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Add +30.6% | 30,128 | $2.2M |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | New | 2,000,000 | $2.0M |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | Reduce -38.8% | 1,500,000 | $2.0M |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | Add +8.9% | 64,026 | $1.9M |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | Add +82.7% | 1,005,000 | $1.8M |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | Add +13.4% | 63,461 | $1.6M |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | Reduce -42.7% | 318,430 | $1.4M |
| RBC BEARINGS INC (RBC 5 10/15/24 A) | 5% CNV PFD SR A | Add +117.7% | 11,000 | $1.3M |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | Add +403.1% | 15,922 | $1.2M |
| CYBERARK SOFTWARE LTD (CYBR 0 11/15/24) | NOTE 11/1 · principal | Sold out | 775,000 | $1.1Mbefore exit |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | Reduce -7.5% | 54,774 | $1.1M |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Add +1.3% | 10,513 | $864K |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | Add +63.8% | 734,000 | $775K |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | Add +42.9% | 613,000 | $634K |
| CMPOW Composecure Inc. -CW25 | *W EXP 12/27/202 | Add +9.2% | 844,759 | $591K |
| WESTERN DIGITAL CORP (WDC 1.5 02/01/24) | NOTE 1.500% 2/0 · principal | Sold out | 504,000 | $502Kbefore exit |
Showing the first 50 of 109.
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 | 69 | $60.6M | NN, CLM, STXS, FGII, XSLL |
| Q1 2026 | 90 | $48.6M | CLM, STXS, XLE, QQQ, SGOV |
| Q4 2025 | 80 | $31.4M | STXS, VNME, BCAR, NEN, TAVI |
| Q3 2025 | 68 | $27.8M | STXS, BCAR, VNME, TAVI, CHAR |
| Q2 2025 | 55 | $23.6M | PARAA, STXS, TAVI, CHAR, DMAA |
| Q1 2025 | 58 | $23.6M | QQQ, SGOV, TAVI, CHAR, DMAA |
| Q4 2024 | 56 | $25.4M | ICSH, QQQ, TAVI, CHAR, SHV |
| Q3 2024 | 60 | $24.4M | SGOV, VCICU, GBTC, CLRCF, BELLEVUE LIFE SCNCS AQSTN CO |
| Q2 2024 | 65 | $20.9M | SHV, NEN, BLUAF, AOGO, CLRCF |
| Q1 2024 | 60 | $21.4M | STXS, GBIL, NEN, CLRCF, ACAC |