Warberg Asset Management LLC
In its 13F for Q2 2024 (holdings as of June 30, 2024, filed August 9, 2024), Warberg Asset Management LLC reported 65 stock positions worth $20.9 million. Its top holding was iShares 0-1 Year Treasury Bo (SHV) at 5.2% of the portfolio, followed by New England Realty Assoc-LP (NEN, 4.3%) and Blueriver Acquisition Class A (BLUAF, 4.3%). Compared with Q1 2024, it opened 36 new positions, sold out of 31, added to 9 and reduced 8. The biggest buy was a new position in iShares 0-1 Year Treasury Bo (SHV) and the biggest sale an exit from Goldman Sachs Access Treasur (GBIL).
- Most Recent 13F
- Q2 2026
- Location
- WINNETKA, IL
- CIK
- 0001597506
- Portfolio Value
- $20.9M (Q2 2024)
- SEC Filing
- 0001597506-24-000006 ↗ filed Aug 9, 2024
Holdings Value
Holdings 65 stocks · $20.9M
| SHV iShares 0-1 Year Treasury Bo | 5.24% | 9,899 | $1.1M | New |
| NEN New England Realty Assoc-LP | 4.33% | 12,675 | $904K | Reduce -20.7% |
| BLUAF Blueriver Acquisition Corp. Class A | 4.25% | 80,278 | $888K | New |
| AOGO Arogo Capital Acquisition -A | 4.19% | 80,279 | $876K | New |
| CLRCF Climaterock Class A | 4.15% | 75,390 | $866K | Reduce -0.1% |
| FORL Four Leaf Acquisition Cor-A | 3.98% | 75,932 | $831K | No change |
| STXS Stereotaxis Inc. | 3.93% | 461,000 | $821K | Reduce -30.8% |
| CNGL Canna-Global Acquisitio Class A | 3.72% | 72,422 | $776K | New |
| VSAC Vision Sensing Acquisition-A | 3.72% | 67,179 | $776K | No change |
| BKHA Black Hawk Acquisition Cor-A | 3.60% | 74,120 | $752K | No change |
| TCOA Zalatoris Acquisition Corp. | 3.57% | 67,420 | $745K | Add +81.7% |
| NNAG 99 Acquisition Group in Class A | 3.53% | 70,162 | $737K | Add +2.7% |
| QETA Quetta Acquisition Corp. | 3.41% | 68,700 | $711K | No change |
| OAKU Oak Woods Acquisition Corp. Class A | 3.39% | 65,000 | $707K | No change |
| DUET Duet Acquisition Corp. Class A | 2.69% | 50,434 | $562K | New |
| NOVV Nova Vision Acquisition | 2.36% | 40,849 | $493K | New |
| ROCL Roth CH Acquisition V Co. | 2.36% | 44,679 | $493K | New |
| KVACF Keen Vision Acquisition Corp. | 2.33% | 46,000 | $487K | No change |
| TBMC Trailblazer Merger Corp. I | 2.26% | 43,736 | $473K | Add +27.8% |
| BELLEVUE LIFE SCNCS AQSTN CO | 2.05% | 39,781 | $429K | Add +47.1% |
| ESHA Esh Acquisition Corp. Class A | 1.93% | 38,700 | $403K | Add +2.9% |
| RFAIU RF Acquisition Corp. II | 1.83% | 38,000 | $382K | New |
| GDXJ Vaneck Junior Gold Miners | 1.82% | 9,000 | $380K | New |
| GBTC Grayscale Bitcoin Trust ETF | 1.61% | 6,330 | $337K | New |
| UCFI CN Healthy Food Tech Group C filed as IRON HORSE ACQUISITIONS CORP | 1.60% | 33,267 | $335K | No change |
| BIL SS SPDR BB 1-3M T-Bill ETF | 1.54% | 3,500 | $321K | New |
| AFAR Aura Fat Projects Acqui Class A | 1.51% | 27,898 | $315K | Add +100.0% |
| FRNM Freenome Inc. filed as PERCEPTIVE CAP SOLUTIONS COR | 1.49% | 30,837 | $310K | New |
| NVDA Nvidia Corp. | 1.48% | 2,500 | $309K | New |
| ACAC Acri Capital Acquisition Cor | 1.48% | 27,357 | $309K | Reduce -62.8% |
| AIMTF Aimfinity Investment-Subunit | 1.32% | 24,216 | $275K | No change |
| DYCQ DT Cloud Acquisition Corp. | 1.26% | 25,815 | $263K | Add +3.3% |
| ZLSSF Zalatoris II Acquisition Cor | 1.24% | 23,698 | $260K | New |
| TETEF Technology & Telecommunicati | 1.00% | 17,414 | $208K | New |
| IGTA Inception Growth Acquisition | 0.95% | 17,616 | $199K | Reduce -61.9% |
| AMPX Amprius Technologies Inc. | 0.81% | 133,637 | $170K | New |
| HTZ Hertz Global Hldgs Inc. | 0.81% | 47,800 | $169K | New |
| AFJK Aimei Health Technology Co. | 0.74% | 15,000 | $155K | No change |
| ARYD Arya Sciences Acquisition-A | 0.72% | 13,147 | $151K | Add +0.1% |
| BYNO Bynordic Acquisition Corp. | 0.64% | 11,886 | $134K | New |
| PROP Prairie Operating Co. | 0.61% | 11,758 | $127K | New |
| AEROVATE THERAPEUTICS INC | 0.53% | 67,449 | $111K | New |
| BOWN Bowen Acquisition Corp. | 0.51% | 10,000 | $106K | No change |
| FSHPU Flag Ship Acquisition Corp. | 0.48% | 10,000 | $100K | New |
| RNTX Rein Therapeutics Inc. filed as AILERON THERAPEUTICS INC | 0.41% | 31,354 | $86K | New |
| GANX Gain Therapeutics Inc. | 0.31% | 51,600 | $66K | New |
| LONGEVITY HEALTH HLDGS INC filed as CARMELL CORPORATION | 0.29% | 45,000 | $60K | New |
| KWESST MICRO SYSTEMS INC | 0.25% | 112,300 | $52K | New |
| FOREMOST CLEAN ENERGY LTD | 0.23% | 113,828 | $49K | Reduce -1.0% |
| ELTX Elicio Therapeutics Inc. | 0.23% | 11,801 | $49K | New |
| DUOT Duos Technologies Group Inc. | 0.17% | 12,584 | $36K | New |
| EONR Eon Resources Inc. filed as HNR ACQUISITION CORP | 0.17% | 13,750 | $35K | New |
| TIVIC HEALTH SYSTEMS INC | 0.15% | 80,000 | $31K | New |
| NAKA Nakamoto Inc. filed as KINDLY MD INC | 0.14% | 11,000 | $30K | New |
| LILMF Lilium NV | 0.13% | 33,500 | $27K | New |
| GNLX Genelux Corp. | 0.10% | 10,000 | $20K | New |
| VBIVQ Vbi Vaccines Inc. | 0.08% | 25,000 | $17K | Add +66.7% |
| ZTEKF Zentek Ltd. | 0.08% | 12,000 | $17K | New |
| FUNDAMENTAL GLOBAL INC | 0.06% | 12,928 | $12K | Reduce -32.3% |
| CETX Cemtrex Inc. | 0.05% | 48,500 | $11K | New |
| OGEN Oragenics Inc. | 0.05% | 10,002 | $10K | Reduce -80.0% |
| VIRPAX PHARMACEUTICALS INC | 0.05% | 20,000 | $10K | New |
| BLUEJAY DIAGNOSTICS INC | 0.04% | 12,500 | $9K | New |
| INUV Inuvo Inc. | 0.02% | 20,000 | $5K | No change |
| NORTHVIEW ACQUISITION CORP | 0.02% | 77,770 | $4K | No change |
Options reported separately and not counted above: STATE STR SPDR S&P 500 ETF T puts ($197.8M), INVESCO QQQ TR puts ($37.1M), NVIDIA CORPORATION puts ($14.7M), MICROSOFT CORP puts ($12.5M), ISHARES TR puts ($1.8M), COINBASE GLOBAL INC puts ($1.8M), EXXON MOBIL CORP calls ($1.5M), VANECK ETF TRUST calls ($1.4M), DOLLAR TREE INC calls ($1.1M), APPLE INC calls ($1.1M), APPLE INC puts ($1.1M), CORE SCIENTIFIC INC NEW puts ($902K), and 21 more.
Other holdings (122): bonds, preferreds, convertibles and warrants · $355.5M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 1,029,832 | $42.4M | Add +1.1% |
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 9,020,000 | $30.8M | Reduce -52.5% |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | 8,927,000 | $23.7M | Add +8.3% |
| ATI INC (ATI 3.5 06/15/25) | NOTE 3.500% 6/1 · principal | 5,712,000 | $20.5M | Add +186.9% |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | 6,758,000 | $19.3M | Add +3.0% |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | 8,888,000 | $18.7M | Add +11.1% |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | 8,951,000 | $16.3M | Reduce -2.1% |
| REPLIGEN CORP (RGEN 0.375 07/15/24) | NOTE 0.375% 7/1 · principal | 9,819,000 | $11.7M | Add +25.6% |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | 6,597,000 | $11.6M | Add +4.9% |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 5,378,000 | $11.2M | New |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | 5,750,000 | $11.0M | Reduce -24.7% |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | 4,025,000 | $9.9M | Reduce -21.2% |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | 6,502,000 | $9.0M | Add +0.0% |
| DJTWW Trump Media & Technology Gro | *W EXP 03/25/202 | 395,386 | $8.4M | Add +4497.5% |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | 5,258,000 | $8.2M | Add +34.0% |
| M/A-COM TECH SOLUTIONS (MTSI 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | 5,000,000 | $7.0M | New |
| RH (RH 0 09/15/24) | NOTE 9/1 · principal | 5,825,000 | $6.8M | Reduce -2.9% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | 6,259,000 | $6.6M | Reduce -19.4% |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | 5,518,000 | $5.8M | No change |
| INSMED INC (INSM 0.75 06/01/28) | NOTE 0.750% 6/0 · principal | 2,500,000 | $5.3M | New |
| NUTANIX INC (NTNX 0.25 10/01/27) | NOTE 0.250%10/0 · principal | 4,503,000 | $5.3M | New |
| SEA LTD (SEALTD 1 12/01/24) | NOTE 1.000%12/0 · principal | 3,500,000 | $5.0M | No change |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | 4,066,000 | $4.9M | Add +25312.5% |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | 3,954,000 | $4.3M | New |
| INTEGER HOLDINGS CORP (ITGR 2.125 02/15/28) | NOTE 2.125% 2/1 · principal | 3,003,000 | $4.3M | New |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | 3,698,000 | $3.7M | Add +503.3% |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | 52,233 | $3.6M | Add +228.1% |
| INSMED INC (INSM 1.75 01/15/25) | NOTE 1.750% 1/1 · principal | 1,780,000 | $3.0M | New |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | 2,745,000 | $3.0M | No change |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | 3,015,000 | $3.0M | New |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 38,488 | $2.5M | Add +27.8% |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | 1,010,000 | $2.2M | Add +0.5% |
| ETSY INC (ETSY 0.125 10/01/26) | NOTE 0.125%10/0 · principal | 2,052,000 | $2.0M | Reduce -48.7% |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | 1,700,000 | $2.0M | Reduce -55.3% |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | 2,005,000 | $1.9M | Add +0.3% |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | 74,868 | $1.9M | Add +16.9% |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | 1,615,000 | $1.7M | Add +7.7% |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 72,013 | $1.6M | Add +13.5% |
| MONGODB INC (MDB 0.25 01/15/26) | NOTE 0.250% 1/1 · principal | 1,055,000 | $1.4M | Reduce -75.3% |
| CORZZ Core Scientific Inc. - 29 | *W EXP 01/23/202 | 141,100 | $1.2M | New |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 16,300 | $1.2M | Add +55.0% |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | 266,731 | $1.2M | New |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | 60,000 | $1.2M | Add +9.5% |
| TRANSOCEAN INTERNTNL LTD (RIG 4.625 09/30/29 *) | DEB 4.625% 9/3 · principal | 642,000 | $1.1M | Add +597.8% |
| RBC BEARINGS INC (RBC 5 10/15/24 A) | 5% CNV PFD SR A | 7,575 | $926K | Reduce -31.1% |
| PERMIAN RESOURC OPTG LLC (PR 3.25 04/01/28) | NOTE 3.250% 4/0 · principal | 325,000 | $898K | New |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | 820,000 | $795K | Add +11.7% |
| VISHAY INTERTECHNOLOGY (VSH 2.25 06/15/25) | NOTE 2.250% 6/1 · principal | 714,000 | $702K | Add +413.7% |
| ROYAL CARIBBEAN CRUISES (RCL 6 08/15/25) | NOTE 6.000% 8/1 · principal | 182,000 | $588K | Add +366.7% |
| GUESS INC (GES 3.75 04/15/28) | NOTE 3.750% 4/1 · principal | 500,000 | $548K | New |
| DEXCOM INC (DXCM 0.25 11/15/25) | NOTE 0.250%11/1 · principal | 437,000 | $438K | Add +1113.9% |
| DTSTW Data Storage Corp. -CW26 | *W EXP 05/18/202 | 274,455 | $383K | Add +59.1% |
| CMPOW Composecure Inc. -CW25 | *W EXP 12/27/202 | 794,980 | $354K | Reduce -5.9% |
| TDW.WS Tidewater Inc.-CW24 | *W EXP 11/14/202 | 32,624 | $325K | New |
| STRIDE INC (LRN 1.125 09/01/27) | NOTE 1.125% 9/0 · principal | 207,000 | $297K | Add +21.1% |
| MICROCHIP TECHNOLOGY INC (MCHP 0.125 11/15/24) | NOTE 0.125%11/1 · principal | 193,000 | $204K | New |
| GREENBRIER COS INC (GBX 2.875 04/15/28) | NOTE 2.875% 4/1 · principal | 155,000 | $166K | New |
| RNWWW Renew Energy Global -CW26 | *W EXP 08/21/202 | 259,020 | $142K | Reduce -0.0% |
| PXSAW Pyxis Tankers Inc. -CW25 | *W EXP 10/13/202 | 95,450 | $115K | Add +102.0% |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | 194,413 | $103K | Add +17.6% |
| SURGW Surgepays Inc. -CW24 | *W EXP 10/22/202 | 366,705 | $98K | Reduce -52.0% |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/25) | NOTE 1.625% 2/1 · principal | 23,000 | $98K | No change |
| WINNEBAGO INDUSTRIES (WGO 1.5 04/01/25) | NOTE 1.500% 4/0 · principal | 85,000 | $88K | New |
| JOBY.WS Joby Aviation Inc. -CW25 | *W EXP 08/10/202 | 127,481 | $74K | Reduce -30.1% |
| DSX.WS Diana Shipping Inc.-28 | *W EXP 12/14/202 | 126,576 | $72K | Add +1.8% |
| ASTSW Ast Spacemobile Inc.-CW24 | *W EXP 04/06/202 | 14,000 | $59K | New |
| NAKAW Kindly MD Inc. -29 | *W EXP 05/31/202 | 164,150 | $56K | New |
| TALKW Hudson Executive Inv -CW25 | *W EXP 06/21/202 | 497,965 | $50K | Reduce -9.4% |
| SOUTHERN CO (SO 3.875 12/15/25) | NOTE 3.875%12/1 · principal | 41,000 | $42K | New |
| NXLIW Nexalin Technology Inc.- 27 | *W EXP 99/99/999 | 117,740 | $40K | Reduce -21.5% |
| TNONW Tenon Medical Inc.-28 | *W EXP 06/16/202 | 668,971 | $33K | Reduce -0.4% |
| EONR.WS HNR Acquisition Corp. -CW23 | *W EXP 11/15/202 | 630,973 | $32K | Add +213.8% |
| NEXTPLAT CORP | *W EXP 06/02/202 | 60,316 | $24K | Reduce -12.3% |
| APCXW Apptech -CW26 | *W EXP 01/04/202 | 58,438 | $22K | Reduce -16.1% |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 297,084 | $22K | Reduce -36.0% |
| ONFOW Onfolio Holdings Inc. -27 | *W EXP 01/02/202 | 73,643 | $18K | Reduce -62.0% |
| FGIWW Fgi Industries Ltd. -23 | *W EXP 99/99/999 | 121,152 | $18K | No change |
| MTEKW Maris - Tech Ltd. -23 | *W EXP 02/04/202 | 194,575 | $16K | Reduce -6.0% |
| BTBDW BT Brands Inc. -CW26 | *W EXP 11/12/202 | 117,882 | $14K | Reduce -0.2% |
| WHOLE EARTH BRANDS INC | *W EXP 06/25/202 | 313,349 | $13K | Add +0.2% |
| MOBBW Mobilicom Ltd. -27 | *W EXP 08/31/202 | 86,896 | $11K | Reduce -2.8% |
| SVREW Saverone 2014 Ltd. -CW27 | *W EXP 06/02/202 | 160,943 | $10K | Reduce -12.1% |
| DFSCW Kwesst Micro Systems Inc.-27 | *W EXP 09/01/202 | 354,151 | $10K | Add +93.6% |
| SWAGW Stran & Co. -CW26 | *W EXP 99/99/999 | 180,824 | $8K | No change |
| SBEVW Splash Beverage Group -CW | *W EXP 06/15/202 | 137,940 | $7K | No change |
| APLMW Apollomics Inc.-27 | *W EXP 04/01/202 | 511,500 | $7K | Add +0.1% |
| WLDSW Wearable Devices Ltd. - 27 | *W EXP 09/14/202 | 117,200 | $7K | No change |
| OCEAW Aesther Healthcare Acq -CW23 | *W EXP 02/14/202 | 172,896 | $7K | Add +2.8% |
| NRSNW Neurosense Therapeuti -CW23 | *W EXP 11/10/202 | 32,006 | $7K | Reduce -22.7% |
| BIAFW Bioaffinity Technologiew-27 | *W EXP 09/07/202 | 14,476 | $6K | Reduce -7.7% |
| CRPWF Carbon Revolution PLC | *W EXP 99/99/999 | 172,022 | $6K | Reduce -1.9% |
| IGTAW Inception Growth Acq -23 | *W EXP 10/15/202 | 80,050 | $6K | Reduce -11.0% |
| ZURA BIO LTD | *W EXP 99/99/999 | 12,909 | $5K | Reduce -50.0% |
| MRNOW Murano Global BV-28 | *W EXP 03/19/202 | 28,200 | $5K | New |
| HUBCW Hub Cyber Security Ltd.-28 | *W EXP 02/27/202 | 171,171 | $4K | No change |
| KTTAW Pasithea Therapeutics -CW26 | *W EXP 08/12/202 | 278,684 | $4K | Reduce -3.9% |
| AUROW Aurora Innovation Inc. -CW28 | *W EXP 11/03/202 | 20,000 | $4K | No change |
| LEGWQ Lion Electric Co./the-27 | *W EXP 12/16/202 | 21,000 | $4K | No change |
| PGYWW Pagaya Technologies Ltd. -27 | *W EXP 99/99/999 | 30,000 | $3K | No change |
| RBOT.WS Vicarious Surgical Inc.-CW27 | *W EXP 09/17/202 | 112,000 | $3K | No change |
| BAERW Wildfire New Pubco Inc.-27 | *W EXP 01/24/202 | 25,200 | $3K | No change |
| IVDAW Iveda Solutions Inc. -CW27 | *W EXP 04/01/202 | 35,337 | $3K | Reduce -12.7% |
| AERTW Aeries Technology Inc. -CW23 | *W EXP 11/06/202 | 95,027 | $3K | No change |
| AOGOW Arogo Capital Acq -CW23 | *W EXP 03/23/202 | 90,000 | $3K | 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 | 37,874 | $2K | Reduce -7.3% |
| WKSPW Worksport Ltd. -CW26 | *W EXP 08/06/202 | 24,444 | $2K | Reduce -62.2% |
| XBPEW CF Acquisition Viii A -CW27 | *W EXP 11/30/202 | 40,000 | $2K | Add +2.8% |
| HOLOW Golden Path Acq -CW28 | *W EXP 01/31/202 | 32,545 | $1K | Reduce -50.0% |
| PTIXW Protagenic Therapeutic -CW25 | *W EXP 04/26/202 | 177,196 | $1K | No change |
| SLNWF Selina Hospitality PLC-27 | *W EXP 10/27/202 | 126,860 | $1K | No change |
| CNGLW Canna-Global Acquisit -CW23 | *W EXP 99/99/999 | 90,100 | $1K | No change |
| BNCWW Cea Industries Inc. -CW27 | *W EXP 02/11/202 | 79,872 | $1K | No change |
| AIMDW Ainos Inc. - 27 | *W EXP 07/29/202 | 18,800 | $1K | No change |
| SMXWW SMX Security Matters PLC-28 | *W EXP 03/07/202 | 99,100 | $991 | No change |
| ANGHW Anghami Inc. -CW27 | *W EXP 02/03/202 | 40,409 | $962 | No change |
| BNIXW Bannix Acquisition Corp.-CW23 | *W EXP 07/31/202 | 43,200 | $864 | No change |
| KACWF Kairous Acquisition -23 | *W EXP 09/15/202 | 78,977 | $711 | No change |
| CINGW Cingulate -CW23 | *W EXP 12/10/202 | 43,155 | $466 | No change |
| DRMAW Dermata Therapeutics -CW26 | *W EXP 99/99/999 | 30,000 | $420 | No change |
| BNAIW Brand Engagement Netwo -CW27 | *W EXP 03/14/202 | 10,000 | $315 | New |
| ALSWF Alpha Star Acquisition -CW23 | *W EXP 12/13/202 | 16,452 | $192 | No change |
Total filed on the 13F, all lines: $376.4M.
Portfolio Sells Q1 2024 → Q2 2024
| GBIL Goldman Sachs Access Treasur | Sold out | 0.00% | −6.04 |
| STXS Stereotaxis Inc. | Reduce -30.8% | 3.93% | −4.20 |
| AQUC Aquaron Acquisition Corp. | Sold out | 0.00% | −3.84 |
| GLST Global Star Acquisition Class A | Sold out | 0.00% | −3.80 |
| PLTN Plutonian Acquisition Corp. | Sold out | 0.00% | −3.78 |
| HUDA Hudson Acquisition I Corp. | Sold out | 0.00% | −3.67 |
| MONTEREY CAP ACQUISITION COR | Sold out | 0.00% | −3.24 |
| PPHP PHP Ventures Acquisition -A | Sold out | 0.00% | −2.43 |
| ACAC Acri Capital Acquisition Cor | Reduce -62.8% | 1.48% | −2.37 |
| GDST Goldenstone Acquisition Ltd. | Sold out | 0.00% | −2.15 |
| QDRO Quadro Acquisition One Corp. | Sold out | 0.00% | −1.52 |
| LEN.B Lennar Corp. Class B | Sold out | 0.00% | −1.45 |
| IGTA Inception Growth Acquisition | Reduce -61.9% | 0.95% | −1.40 |
| APCA Ap Acquisition Corp. Class A | Sold out | 0.00% | −1.21 |
| XFIN Excelfin Acquisition Corp. Class A | Sold out | 0.00% | −1.14 |
| NEN New England Realty Assoc-LP | Reduce -20.7% | 4.33% | −0.99 |
| AEAE Altenergy Acquisition Corp. Class A | Sold out | 0.00% | −0.85 |
| BUJA Bukit Jalil Global Acquisiti | Sold out | 0.00% | −0.68 |
| OMQS Omniq Corp. | Sold out | 0.00% | −0.56 |
| PETV Petvivo Holdings Inc. | Sold out | 0.00% | −0.56 |
| PMNT Perfect Moment Ltd. | Sold out | 0.00% | −0.34 |
| OPHC Optimumbank Holdings Inc. | Sold out | 0.00% | −0.31 |
| AZITRA INC | Sold out | 0.00% | −0.29 |
| OGEN Oragenics Inc. | Reduce -80.0% | 0.05% | −0.29 |
| NUVVE HOLDING CORP | Sold out | 0.00% | −0.28 |
| SCPX Scorpius Holdings Inc. | Sold out | 0.00% | −0.21 |
| SYNX Silynxcom Ltd. | Sold out | 0.00% | −0.16 |
| APCX Apptech Payments Corp. | Sold out | 0.00% | −0.16 |
| DPRO Draganfly Inc. | Sold out | 0.00% | −0.12 |
| AXDXQ Accelerate Diagnostics Inc. | Sold out | 0.00% | −0.09 |
| FOREMOST CLEAN ENERGY LTD | Reduce -1.0% | 0.23% | −0.09 |
| FRSX Foresight Autonomous-SP ADR | Sold out | 0.00% | −0.09 |
| SGE Strong Global Entertainmen-A | Sold out | 0.00% | −0.07 |
| SNGX Soligenix Inc. | Sold out | 0.00% | −0.07 |
| FUNDAMENTAL GLOBAL INC | Reduce -32.3% | 0.06% | −0.06 |
| APLM Apollomics Inc. | Sold out | 0.00% | −0.03 |
| THARIMMUNE INC | Sold out | 0.00% | −0.02 |
| NETCAPITAL INC | Sold out | 0.00% | −0.01 |
| CLRCF Climaterock Class A | Reduce -0.1% | 4.15% | +0.19 |
Portfolio Buys Q1 2024 → Q2 2024
| SHV iShares 0-1 Year Treasury Bo | New | 5.24% | +5.24 |
| BLUAF Blueriver Acquisition Corp. Class A | New | 4.25% | +4.25 |
| AOGO Arogo Capital Acquisition -A | New | 4.19% | +4.19 |
| CNGL Canna-Global Acquisitio Class A | New | 3.72% | +3.72 |
| DUET Duet Acquisition Corp. Class A | New | 2.69% | +2.69 |
| NOVV Nova Vision Acquisition | New | 2.36% | +2.36 |
| ROCL Roth CH Acquisition V Co. | New | 2.36% | +2.36 |
| RFAIU RF Acquisition Corp. II | New | 1.83% | +1.83 |
| GDXJ Vaneck Junior Gold Miners | New | 1.82% | +1.82 |
| TCOA Zalatoris Acquisition Corp. | Add +81.7% | 3.57% | +1.68 |
| GBTC Grayscale Bitcoin Trust ETF | New | 1.61% | +1.61 |
| BIL SS SPDR BB 1-3M T-Bill ETF | New | 1.54% | +1.54 |
| FRNM Freenome Inc. | New | 1.49% | +1.49 |
| NVDA Nvidia Corp. | New | 1.48% | +1.48 |
| ZLSSF Zalatoris II Acquisition Cor | New | 1.24% | +1.24 |
| TETEF Technology & Telecommunicati | New | 1.00% | +1.00 |
| AMPX Amprius Technologies Inc. | New | 0.81% | +0.81 |
| HTZ Hertz Global Hldgs Inc. | New | 0.81% | +0.81 |
| AFAR Aura Fat Projects Acqui Class A | Add +100.0% | 1.51% | +0.78 |
| BELLEVUE LIFE SCNCS AQSTN CO | Add +47.1% | 2.05% | +0.70 |
| BYNO Bynordic Acquisition Corp. | New | 0.64% | +0.64 |
| PROP Prairie Operating Co. | New | 0.61% | +0.61 |
| TBMC Trailblazer Merger Corp. I | Add +27.8% | 2.26% | +0.56 |
| AEROVATE THERAPEUTICS INC | New | 0.53% | +0.53 |
| FSHPU Flag Ship Acquisition Corp. | New | 0.48% | +0.48 |
| RNTX Rein Therapeutics Inc. | New | 0.41% | +0.41 |
| GANX Gain Therapeutics Inc. | New | 0.31% | +0.31 |
| LONGEVITY HEALTH HLDGS INC | New | 0.29% | +0.29 |
| KWESST MICRO SYSTEMS INC | New | 0.25% | +0.25 |
| NNAG 99 Acquisition Group in Class A | Add +2.7% | 3.53% | +0.23 |
| ELTX Elicio Therapeutics Inc. | New | 0.23% | +0.23 |
| DUOT Duos Technologies Group Inc. | New | 0.17% | +0.17 |
| EONR Eon Resources Inc. | New | 0.17% | +0.17 |
| TIVIC HEALTH SYSTEMS INC | New | 0.15% | +0.15 |
| NAKA Nakamoto Inc. | New | 0.14% | +0.14 |
| LILMF Lilium NV | New | 0.13% | +0.13 |
| ESHA Esh Acquisition Corp. Class A | Add +2.9% | 1.93% | +0.10 |
| GNLX Genelux Corp. | New | 0.10% | +0.10 |
| ZTEKF Zentek Ltd. | New | 0.08% | +0.08 |
| DYCQ DT Cloud Acquisition Corp. | Add +3.3% | 1.26% | +0.07 |
| CETX Cemtrex Inc. | New | 0.05% | +0.05 |
| VIRPAX PHARMACEUTICALS INC | New | 0.05% | +0.05 |
| BLUEJAY DIAGNOSTICS INC | New | 0.04% | +0.04 |
| VBIVQ Vbi Vaccines Inc. | Add +66.7% | 0.08% | +0.04 |
| ARYD Arya Sciences Acquisition-A | Add +0.1% | 0.72% | +0.03 |
Options Activity Q1 2024 → Q2 2024
| STATE STR SPDR S&P 500 ETF T | put | Reduce -15.5% | 363,500 | $197.8M |
| INVESCO QQQ TR | put | Add +31.8% | 77,500 | $37.1M |
| NVIDIA CORPORATION | put | New | 119,000 | $14.7M |
| MICROSOFT CORP | put | New | 28,000 | $12.5M |
| FEDEX CORP | put | Sold out | 10,000 | $2.9Mbefore exit |
| ISHARES TR | put | Reduce -39.4% | 20,000 | $1.8M |
| COINBASE GLOBAL INC | put | Add +100.0% | 8,000 | $1.8M |
| EXXON MOBIL CORP | call | Add +30.0% | 13,000 | $1.5M |
| VANECK ETF TRUST | call | Reduce -19.8% | 41,700 | $1.4M |
| JPMORGAN CHASE & CO | call | Sold out | 7,000 | $1.4Mbefore exit |
| DOLLAR TREE INC | call | New | 10,000 | $1.1M |
| APPLE INC | put | Reduce -66.7% | 5,000 | $1.1M |
| APPLE INC | call | New | 5,000 | $1.1M |
| CORE SCIENTIFIC INC NEW | put | New | 97,000 | $902K |
| TESLA INC | put | Sold out | 5,000 | $879Kbefore exit |
| ISHARES SILVER TR | call | Add +20.0% | 30,000 | $797K |
| ABERCROMBIE & FITCH CO | put | New | 4,000 | $711K |
| WALMART INC | call | New | 10,000 | $677K |
| B. RILEY FINANCIAL INC | put | Add +195.8% | 35,500 | $626K |
| INTEL CORP | call | New | 20,000 | $619K |
| HIMS & HERS HEALTH INC | put | New | 30,000 | $606K |
| CANTALOUPE INC | call | Reduce -10.5% | 71,400 | $471K |
| NORDSTROM INC | call | New | 22,000 | $467K |
| CAVA GROUP INC | put | New | 4,000 | $371K |
| UNITED STS NAT GAS FD LP | call | Sold out | 20,000 | $291Kbefore exit |
| CANTALOUPE INC | put | Add +66.7% | 41,000 | $271K |
| VORNADO RLTY TR | put | New | 10,000 | $263K |
| DELCATH SYS INC | call | Sold out | 53,000 | $253Kbefore exit |
| PEABODY ENERGY CORP | call | Sold out | 10,000 | $243Kbefore exit |
| PULSE BIOSCIENCES INC | call | New | 17,100 | $191K |
| SEABRIDGE GOLD INC | call | Sold out | 10,000 | $151Kbefore exit |
| SOUNDHOUND AI INC | put | Sold out | 22,000 | $130Kbefore exit |
| SURGEPAYS INC | put | Sold out | 30,000 | $116Kbefore exit |
| MAXEON SOLAR TECHNOLOGIES LT | put | New | 72,500 | $62K |
| FARADAY FUTURE INTLGT ELEC I | call | New | 23,500 | $12K |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q1 2024 → Q2 2024
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Add +1.1% | 1,029,832 | $42.4M |
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | Reduce -52.5% | 9,020,000 | $30.8M |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | Add +8.3% | 8,927,000 | $23.7M |
| ATI INC (ATI 3.5 06/15/25) | NOTE 3.500% 6/1 · principal | Add +186.9% | 5,712,000 | $20.5M |
| MICROSTRATEGY INC (MSTR 0.75 12/15/25) | NOTE 0.750%12/1 · principal | Sold out | 4,588,000 | $19.6Mbefore exit |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | Add +3.0% | 6,758,000 | $19.3M |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | Add +11.1% | 8,888,000 | $18.7M |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | Reduce -2.1% | 8,951,000 | $16.3M |
| ALTAIR ENGINEERING INC (ALTR 0.25 06/01/24) | NOTE 0.250% 6/0 · principal | Sold out | 7,173,000 | $13.3Mbefore exit |
| INTERDIGITAL INC (IDCC 2 06/01/24) | NOTE 2.000% 6/0 · principal | Sold out | 9,278,000 | $12.1Mbefore exit |
| REPLIGEN CORP (RGEN 0.375 07/15/24) | NOTE 0.375% 7/1 · principal | Add +25.6% | 9,819,000 | $11.7M |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | Add +4.9% | 6,597,000 | $11.6M |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | New | 5,378,000 | $11.2M |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | Reduce -24.7% | 5,750,000 | $11.0M |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | Reduce -21.2% | 4,025,000 | $9.9M |
| NCL CORPORATION LTD (NCLH 6 05/15/24) | NOTE 6.000% 5/1 · principal | Sold out | 6,000,000 | $9.2Mbefore exit |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | Add +0.0% | 6,502,000 | $9.0M |
| DJTWW Trump Media & Technology Gro | *W EXP 03/25/202 | Add +4497.5% | 395,386 | $8.4M |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | Add +34.0% | 5,258,000 | $8.2M |
| GUESS INC (GES 2 04/15/24) | NOTE 2.000% 4/1 · principal | Sold out | 7,067,000 | $7.9Mbefore exit |
| M/A-COM TECH SOLUTIONS (MTSI 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | New | 5,000,000 | $7.0M |
| PIONEER NATURAL RESOURCE (PXD 0.25 05/15/25) | NOTE 0.250% 5/1 · principal | Sold out | 2,460,000 | $7.0Mbefore exit |
| RH (RH 0 09/15/24) | NOTE 9/1 · principal | Reduce -2.9% | 5,825,000 | $6.8M |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | Reduce -19.4% | 6,259,000 | $6.6M |
| INSMED INC (INSM 0.75 06/01/28) | NOTE 0.750% 6/0 · principal | New | 2,500,000 | $5.3M |
| NUTANIX INC (NTNX 0.25 10/01/27) | NOTE 0.250%10/0 · principal | New | 4,503,000 | $5.3M |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | Add +25312.5% | 4,066,000 | $4.9M |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | New | 3,954,000 | $4.3M |
| INTEGER HOLDINGS CORP (ITGR 2.125 02/15/28) | NOTE 2.125% 2/1 · principal | New | 3,003,000 | $4.3M |
| LIVENT CORP (LTHM 4.125 07/15/25) | NOTE 4.125% 7/1 · principal | Sold out | 3,000,000 | $4.0Mbefore exit |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | Add +503.3% | 3,698,000 | $3.7M |
| ON SEMICONDUCTOR CORP (ON 0 05/01/27) | NOTE 5/0 · principal | Sold out | 2,544,000 | $3.7Mbefore exit |
| CYTOKINETICS INC (CYTK 3.5 07/01/27) | NOTE 3.500% 7/0 · principal | Sold out | 2,313,000 | $3.7Mbefore exit |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | Add +228.1% | 52,233 | $3.6M |
| INSMED INC (INSM 1.75 01/15/25) | NOTE 1.750% 1/1 · principal | New | 1,780,000 | $3.0M |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | New | 3,015,000 | $3.0M |
| GRANITE CONSTRUCTION INC (GVA 2.75 11/01/24) | NOTE 2.750%11/0 · principal | Sold out | 1,484,000 | $2.7Mbefore exit |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Add +27.8% | 38,488 | $2.5M |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | Add +0.5% | 1,010,000 | $2.2M |
| ETSY INC (ETSY 0.125 10/01/26) | NOTE 0.125%10/0 · principal | Reduce -48.7% | 2,052,000 | $2.0M |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | Reduce -55.3% | 1,700,000 | $2.0M |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | Add +0.3% | 2,005,000 | $1.9M |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | Add +16.9% | 74,868 | $1.9M |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | Add +7.7% | 1,615,000 | $1.7M |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | Add +13.5% | 72,013 | $1.6M |
| HTZWW Hertz Global Hldgs Inc. -CW51 | *W EXP 06/30/205 | Sold out | 318,430 | $1.4Mbefore exit |
| MONGODB INC (MDB 0.25 01/15/26) | NOTE 0.250% 1/1 · principal | Reduce -75.3% | 1,055,000 | $1.4M |
| CORZZ Core Scientific Inc. - 29 | *W EXP 01/23/202 | New | 141,100 | $1.2M |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Add +55.0% | 16,300 | $1.2M |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | New | 266,731 | $1.2M |
Showing the first 50 of 118.
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 |