Warberg Asset Management LLC
In its 13F for Q3 2024 (holdings as of September 30, 2024, filed November 6, 2024), Warberg Asset Management LLC reported 60 stock positions worth $24.4 million. Its top holding was iShares 0-3 Month Treasury B (SGOV) at 20.8% of the portfolio, followed by Vine Hill Cap Invest-Unit (VCICU, 5.5%) and Grayscale Bitcoin Trust ETF (GBTC, 3.6%). Compared with Q2 2024, it opened 29 new positions, sold out of 34, added to 10 and reduced 6. The biggest buy was a new position in iShares 0-3 Month Treasury B (SGOV) and the biggest sale an exit from iShares 0-1 Year Treasury Bo (SHV).
- Most Recent 13F
- Q2 2026
- Location
- WINNETKA, IL
- CIK
- 0001597506
- Portfolio Value
- $24.4M (Q3 2024)
- SEC Filing
- 0001597506-24-000007 ↗ filed Nov 6, 2024
Holdings Value
Holdings 60 stocks · $24.4M
| SGOV iShares 0-3 Month Treasury B | 20.82% | 50,455 | $5.1M | New |
| VCICU Vine Hill Cap Invest-Unit | 5.51% | 134,524 | $1.3M | New |
| GBTC Grayscale Bitcoin Trust ETF | 3.62% | 17,500 | $884K | Add +176.5% |
| CLRCF Climaterock Class A | 3.58% | 75,390 | $875K | No change |
| BELLEVUE LIFE SCNCS AQSTN CO | 3.57% | 80,228 | $872K | Add +101.7% |
| FORL Four Leaf Acquisition Cor-A | 3.41% | 75,932 | $832K | No change |
| NEN New England Realty Assoc-LP | 3.31% | 9,900 | $808K | Reduce -21.9% |
| BUJA Bukit Jalil Global Acquisiti | 3.21% | 71,787 | $783K | New |
| VSAC Vision Sensing Acquisition-A | 3.20% | 67,179 | $782K | No change |
| BKHA Black Hawk Acquisition Cor-A | 3.11% | 74,120 | $759K | No change |
| QETA Quetta Acquisition Corp. | 3.01% | 70,700 | $735K | Add +2.9% |
| ROCL Roth CH Acquisition V Co. | 2.95% | 64,252 | $721K | Add +43.8% |
| AAM Aa Mission Acquisition Cor-A | 2.76% | 67,196 | $673K | New |
| DUET Duet Acquisition Corp. Class A | 2.74% | 59,275 | $668K | Add +17.5% |
| NE Noble Corp. PLC | 2.61% | 17,600 | $636K | New |
| BRAC Broad Capital Acquisition Co. | 2.34% | 50,138 | $572K | New |
| FNVTF Finnovate Acquisition Corp. Class A | 2.06% | 43,458 | $503K | New |
| KVACF Keen Vision Acquisition Corp. | 2.03% | 46,000 | $495K | No change |
| OAKU Oak Woods Acquisition Corp. Class A | 1.82% | 40,000 | $444K | Reduce -38.5% |
| ASTS Ast Spacemobile Inc. | 1.72% | 16,010 | $419K | New |
| STXS Stereotaxis Inc. | 1.69% | 202,698 | $414K | Reduce -56.0% |
| ESHA Esh Acquisition Corp. Class A | 1.68% | 38,700 | $411K | No change |
| RFAI RF Acquisition Corp. II | 1.58% | 38,000 | $386K | No change |
| UCFI CN Healthy Food Tech Group C filed as IRON HORSE ACQUISITIONS CORP | 1.39% | 33,367 | $340K | Add +0.3% |
| LATG Chenghe Acquisition I Co. | 1.29% | 27,205 | $315K | New |
| FRNM Freenome Inc. filed as PERCEPTIVE CAP SOLUTIONS COR | 1.27% | 30,837 | $309K | No change |
| BURTECH ACQUISITION CORP | 1.26% | 27,185 | $307K | New |
| AIMTF Aimfinity Investment-Subunit | 1.14% | 24,216 | $279K | No change |
| BYNO Bynordic Acquisition Corp. | 1.14% | 24,390 | $278K | Add +105.2% |
| CCTSF Cactus Acquisition Corp. 1 LT | 1.10% | 23,336 | $268K | New |
| DYCQ DT Cloud Acquisition Corp. | 1.09% | 25,815 | $266K | No change |
| MRNA Moderna Inc. | 0.96% | 3,500 | $234K | New |
| LGCY Legacy Education Inc. | 0.90% | 47,500 | $219K | New |
| IGTA Inception Growth Acquisition | 0.86% | 18,616 | $211K | Add +5.7% |
| GTAC Global Technology Acquisit-A | 0.77% | 16,256 | $187K | New |
| AFJK Aimei Health Technology Co. | 0.64% | 15,009 | $157K | Add +0.1% |
| EURK Eureka Acquisition Corp. | 0.62% | 15,000 | $151K | New |
| BOWN Bowen Acquisition Corp. | 0.44% | 10,000 | $108K | No change |
| FSHP Flag Ship Acquisition Corp. | 0.41% | 10,000 | $100K | No change |
| SYRA Syra Health Corp. Class A | 0.36% | 208,246 | $88K | New |
| RILY BRC Group Holdings Inc. filed as B. RILEY FINANCIAL INC | 0.29% | 13,500 | $71K | New |
| SCPX Scorpius Holdings Inc. | 0.28% | 95,000 | $69K | New |
| SRXH SRX Global Inc. filed as BETTER CHOICE CO INC | 0.26% | 30,110 | $63K | New |
| LQR HSE INC | 0.18% | 78,496 | $43K | New |
| SIYATA MOBILE INC | 0.15% | 39,728 | $37K | New |
| RNTX Rein Therapeutics Inc. filed as AILERON THERAPEUTICS INC | 0.14% | 10,000 | $35K | Reduce -68.1% |
| AZTR Azitra Inc. | 0.11% | 48,804 | $27K | New |
| CATHETER PRECISION INC | 0.11% | 67,000 | $26K | New |
| NMHI Nature's Miracle California | 0.09% | 160,000 | $22K | New |
| LONGEVITY HEALTH HLDGS INC filed as CARMELL CORPORATION | 0.07% | 45,000 | $18K | No change |
| OCGN Ocugen Inc. | 0.07% | 18,000 | $18K | New |
| RR Richtech Robotics Inc. Class B | 0.07% | 19,937 | $17K | New |
| EONR Eon Resources Inc. | 0.06% | 16,419 | $13K | Add +19.4% |
| ZTEKF Zentek Ltd. | 0.05% | 12,000 | $11K | No change |
| NOVABAY PHARMACEUTICALS INC | 0.03% | 10,000 | $7K | New |
| OGEN Oragenics Inc. | 0.02% | 10,001 | $4K | Reduce -0.0% |
| P3 HEALTH PARTNERS INC | 0.02% | 10,000 | $4K | New |
| APLM Apollomics Inc. | 0.01% | 23,513 | $3K | New |
| NORTHVIEW ACQUISITION CORP | 0.01% | 77,770 | $3K | No change |
| INUV Inuvo Inc. | 0.01% | 10,000 | $2K | Reduce -50.0% |
Options reported separately and not counted above: INVESCO QQQ TR puts ($80.3M), STATE STR SPDR S&P 500 ETF T puts ($63.1M), MICROSOFT CORP puts ($11.2M), NVIDIA CORPORATION puts ($7.9M), APPLE INC puts ($7.0M), BERKSHIRE HATHAWAY INC DEL puts ($5.5M), ISHARES TR puts ($2.5M), TESLA INC puts ($1.6M), VANECK ETF TRUST calls ($1.6M), STARBUCKS CORP calls ($1.5M), ISHARES SILVER TR calls ($1.4M), COINBASE GLOBAL INC puts ($1.2M), and 25 more.
Other holdings (112): bonds, preferreds, convertibles and warrants · $340.5M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 917,798 | $27.3M | Reduce -10.9% |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | 9,926,000 | $22.9M | Add +10.9% |
| ROYAL CARIBBEAN CRUISES (RCL 6 08/15/25) | NOTE 6.000% 8/1 · principal | 6,172,000 | $22.1M | Add +3291.2% |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | 8,936,000 | $20.5M | Add +0.1% |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | 8,874,000 | $19.9M | Reduce -0.2% |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | 6,758,000 | $18.1M | No change |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | 10,668,000 | $14.0M | Add +527.5% |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | 5,905,000 | $12.4M | Add +46.7% |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | 6,528,000 | $11.7M | Add +0.4% |
| INTEGER HOLDINGS CORP (ITGR 2.125 02/15/28) | NOTE 2.125% 2/1 · principal | 6,613,000 | $10.5M | Add +120.2% |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | 6,644,000 | $10.2M | Add +0.7% |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | 4,230,000 | $9.4M | Reduce -26.4% |
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 2,666,000 | $9.2M | Reduce -70.4% |
| POST HOLDINGS INC (POST 2.5 08/15/27) | NOTE 2.500% 8/1 · principal | 7,597,000 | $9.0M | New |
| STRIDE INC (LRN 1.125 09/01/27) | NOTE 1.125% 9/0 · principal | 5,242,000 | $8.8M | Add +2432.4% |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/25) | NOTE 1.625% 2/1 · principal | 2,035,000 | $7.5M | Add +8747.8% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | 6,480,000 | $7.2M | Add +3.5% |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | 5,800,000 | $7.2M | Add +5.1% |
| M/A-COM TECH SOLUTIONS (MTSI 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | 5,000,000 | $7.1M | No change |
| SEA LTD (SEALTD 1 12/01/24) | NOTE 1.000%12/0 · principal | 3,500,000 | $6.6M | No change |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 3,435,000 | $6.5M | Reduce -36.1% |
| GLAUKOS CORP (GKOS 2.75 06/15/27) | NOTE 2.750% 6/1 · principal | 2,497,000 | $5.9M | New |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | 4,216,000 | $5.8M | Add +3.7% |
| SEAGATE HDD CAYMAN (STX 3.5 06/01/28) | NOTE 3.500% 6/0 · principal | 4,000,000 | $5.7M | New |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | 2,625,000 | $4.9M | Reduce -50.1% |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | 3,221,000 | $4.0M | Reduce -18.5% |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | 4,016,000 | $3.9M | Add +8.6% |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | 54,124 | $3.8M | Add +3.6% |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | 2,745,000 | $3.2M | No change |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | 3,060,000 | $3.1M | Add +1.5% |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | 2,599,000 | $3.0M | Add +60.9% |
| GUESS INC (GES 3.75 04/15/28) | NOTE 3.750% 4/1 · principal | 2,500,000 | $2.8M | Add +400.0% |
| MICROCHIP TECHNOLOGY INC (MCHP 0.125 11/15/24) | NOTE 0.125%11/1 · principal | 2,486,000 | $2.5M | Add +1188.1% |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 37,446 | $2.5M | Reduce -2.7% |
| NICE LTD (NICEIT 0 09/15/25) | NOTE 9/1 · principal | 2,549,000 | $2.4M | New |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | 2,005,000 | $2.0M | No change |
| NUTANIX INC (NTNX 0.25 10/01/27) | NOTE 0.250%10/0 · principal | 1,671,000 | $2.0M | Reduce -62.9% |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | 292,597 | $2.0M | Add +9.7% |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | 1,127,000 | $1.9M | Add +11.6% |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | 73,586 | $1.6M | Add +22.6% |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 16,108 | $1.2M | Reduce -1.2% |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | 902,000 | $933K | Add +10.0% |
| CINEMARK HOLDINGS INC (CNK 4.5 08/15/25) | NOTE 4.500% 8/1 · principal | 457,000 | $907K | New |
| CMPOW Composecure Inc. -CW25 | *W EXP 12/27/202 | 231,907 | $874K | Reduce -70.8% |
| NATERA INC (NTRA 2.25 05/01/27) | NOTE 2.250% 5/0 · principal | 249,000 | $825K | New |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 53,943 | $776K | Reduce -25.1% |
| HP ENTERPRISE CO (HPE 7.625 09/01/27) | 7.625 MAND CONV | 8,932 | $541K | New |
| RBC BEARINGS INC (RBC 5 10/15/24 A) | 5% CNV PFD SR A | 3,600 | $480K | Reduce -52.5% |
| WINNEBAGO INDUSTRIES (WGO 1.5 04/01/25) | NOTE 1.500% 4/0 · principal | 434,000 | $456K | Add +410.6% |
| GUIDEWIRE SOFTWARE INC (GWRE 1.25 03/15/25) | NOTE 1.250% 3/1 · principal | 213,000 | $342K | New |
| CHEFS' WAREHOUSE THE (CHEF 1.875 12/01/24) | NOTE 1.875%12/0 · principal | 322,000 | $335K | New |
| DATADOG INC (DDOG 0.125 06/15/25) | NOTE 0.125% 6/1 · principal | 209,000 | $272K | New |
| GREENBRIER COS INC (GBX 2.875 04/15/28) | NOTE 2.875% 4/1 · principal | 233,000 | $257K | Add +50.3% |
| SMR.WS Nuscale Power Co. -CW27 | *W EXP 05/02/202 | 52,000 | $165K | New |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | 224,818 | $152K | Add +15.6% |
| NCL CORPORATION LTD (NCLH 5.375 08/01/25) | NOTE 5.375% 8/0 · principal | 120,000 | $149K | New |
| PXSAW Pyxis Tankers Inc. -CW25 | *W EXP 10/13/202 | 170,974 | $147K | Add +79.1% |
| JOBY.WS Joby Aviation Inc. -CW25 | *W EXP 08/10/202 | 177,145 | $112K | Add +39.0% |
| DTSTW Data Storage Corp. -CW26 | *W EXP 05/18/202 | 179,597 | $96K | Reduce -34.6% |
| RNWWW Renew Energy Global -CW26 | *W EXP 08/21/202 | 259,020 | $86K | No change |
| DSX.WS Diana Shipping Inc.-28 | *W EXP 12/14/202 | 180,037 | $81K | Add +42.2% |
| GRANITE CONSTRUCTION INC (GVA 3.75 05/15/28) | NOTE 3.750% 5/1 · principal | 44,000 | $79K | New |
| EONR.WS HNR Acquisition Corp. -CW23 | *W EXP 11/15/202 | 609,917 | $41K | Reduce -3.3% |
| NAKAW Kindly MD Inc. -29 | *W EXP 05/31/202 | 172,783 | $36K | Add +5.3% |
| NVAWW Nova Minerals Ltd. -29 | *W EXP 07/24/202 | 26,484 | $33K | New |
| RZLVW Rezolve AI PLC -CW27 | *W EXP 08/15/202 | 179,603 | $32K | New |
| TALKW Hudson Executive Inv -CW25 | *W EXP 06/21/202 | 373,127 | $29K | Reduce -25.1% |
| MTEKW Maris - Tech Ltd. -23 | *W EXP 02/04/202 | 184,500 | $25K | Reduce -5.2% |
| VISHAY INTERTECHNOLOGY (VSH 2.25 06/15/25) | NOTE 2.250% 6/1 · principal | 22,000 | $21K | Reduce -96.9% |
| AUROW Aurora Innovation Inc. -CW28 | *W EXP 11/03/202 | 20,000 | $17K | No change |
| TNONW Tenon Medical Inc.-28 | *W EXP 06/16/202 | 525,079 | $16K | Reduce -21.5% |
| MOBBW Mobilicom Ltd. -27 | *W EXP 08/31/202 | 85,996 | $15K | Reduce -1.0% |
| FGIWW Fgi Industries Ltd. -23 | *W EXP 99/99/999 | 121,152 | $15K | No change |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 265,076 | $13K | Reduce -10.8% |
| NXLIW Nexalin Technology Inc.- 27 | *W EXP 99/99/999 | 151,272 | $12K | Add +28.5% |
| SVREW Saverone 2014 Ltd. -CW27 | *W EXP 06/02/202 | 145,068 | $12K | Reduce -9.9% |
| ONFOW Onfolio Holdings Inc. -27 | *W EXP 01/02/202 | 67,906 | $12K | Reduce -7.8% |
| FLYX.WS Eg Acquisition Corp.-A -CW28 | *W EXP 99/99/999 | 29,900 | $10K | New |
| KTTAW Pasithea Therapeutics -CW26 | *W EXP 08/12/202 | 263,001 | $9K | Reduce -5.6% |
| NEXTPLAT CORP | *W EXP 06/02/202 | 40,776 | $9K | Reduce -32.4% |
| OCEAW Aesther Healthcare Acq -CW23 | *W EXP 02/14/202 | 168,596 | $8K | Reduce -2.5% |
| BTBDW BT Brands Inc. -CW26 | *W EXP 11/12/202 | 117,882 | $8K | No change |
| DFSCW Kwesst Micro Systems Inc.-27 | *W EXP 09/01/202 | 345,141 | $6K | Reduce -2.5% |
| PGYWW Pagaya Technologies Ltd. -27 | *W EXP 99/99/999 | 30,000 | $6K | No change |
| SWAGW Stran & Co. -CW26 | *W EXP 99/99/999 | 180,824 | $6K | No change |
| RBOT.WS Vicarious Surgical Inc.-CW27 | *W EXP 09/17/202 | 112,000 | $5K | No change |
| CRPWF Carbon Revolution PLC | *W EXP 99/99/999 | 172,022 | $5K | No change |
| IGTAW Inception Growth Acq -23 | *W EXP 10/15/202 | 79,550 | $4K | Reduce -0.6% |
| MRNOW Murano Global BV-28 | *W EXP 03/19/202 | 28,200 | $4K | No change |
| APLMW Apollomics Inc.-27 | *W EXP 04/01/202 | 438,787 | $4K | Reduce -14.2% |
| NRSNW Neurosense Therapeuti -CW23 | *W EXP 11/10/202 | 20,201 | $3K | Reduce -36.9% |
| AERTW Aeries Technology Inc. -CW23 | *W EXP 11/06/202 | 95,027 | $3K | No change |
| APCXW Apptech -CW26 | *W EXP 01/04/202 | 13,804 | $3K | Reduce -76.4% |
| HUBCW Hub Cyber Security Ltd.-28 | *W EXP 02/27/202 | 171,171 | $2K | No change |
| PTIXW Protagenic Therapeutic -CW25 | *W EXP 04/26/202 | 177,196 | $2K | No change |
| SURGW Surgepays Inc. -CW24 | *W EXP 10/22/202 | 116,509 | $2K | Reduce -68.2% |
| LIXTW Lixte Biotechnology H -CW25 | *W EXP 11/30/202 | 35,906 | $2K | Reduce -5.2% |
| SXTPW 60 Degrees Pharma Inc.-28 | *W EXP 07/12/202 | 29,515 | $2K | No change |
| LEGWQ Lion Electric Co./the-27 | *W EXP 12/16/202 | 17,000 | $1K | Reduce -19.1% |
| HOLOW Golden Path Acq -CW28 | *W EXP 01/31/202 | 32,545 | $1K | No change |
| BNCWW Cea Industries Inc. -CW27 | *W EXP 02/11/202 | 79,872 | $1K | No change |
| SBEVW Splash Beverage Group -CW | *W EXP 06/15/202 | 70,150 | $1K | Reduce -49.1% |
| ANGHW Anghami Inc. -CW27 | *W EXP 02/03/202 | 40,409 | $1K | No change |
| XBPEW CF Acquisition Viii A -CW27 | *W EXP 11/30/202 | 40,000 | $996 | No change |
| IVDAW Iveda Solutions Inc. -CW27 | *W EXP 04/01/202 | 34,537 | $966 | Reduce -2.3% |
| SMXWW SMX Security Matters PLC-28 | *W EXP 03/07/202 | 99,100 | $892 | No change |
| BNIXW Bannix Acquisition Corp.-CW23 | *W EXP 07/31/202 | 43,200 | $864 | No change |
| BAERW Wildfire New Pubco Inc.-27 | *W EXP 01/24/202 | 12,600 | $840 | Reduce -50.0% |
| AIMDW Ainos Inc. - 27 | *W EXP 07/29/202 | 18,800 | $799 | No change |
| BNAIW Brand Engagement Netwo -CW27 | *W EXP 03/14/202 | 10,000 | $700 | No change |
| KACWF Kairous Acquisition -23 | *W EXP 09/15/202 | 78,977 | $687 | No change |
| ALSWF Alpha Star Acquisition -CW23 | *W EXP 12/13/202 | 16,452 | $230 | No change |
Total filed on the 13F, all lines: $364.9M.
Portfolio Sells Q2 2024 → Q3 2024
| SHV iShares 0-1 Year Treasury Bo | Sold out | 0.00% | −5.24 |
| BLUAF Blueriver Acquisition Corp. Class A | Sold out | 0.00% | −4.25 |
| AOGO Arogo Capital Acquisition -A | Sold out | 0.00% | −4.19 |
| CNGL Canna-Global Acquisitio Class A | Sold out | 0.00% | −3.72 |
| TCOA Zalatoris Acquisition Corp. | Sold out | 0.00% | −3.57 |
| NNAG 99 Acquisition Group in Class A | Sold out | 0.00% | −3.53 |
| NOVV Nova Vision Acquisition | Sold out | 0.00% | −2.36 |
| TBMC Trailblazer Merger Corp. I | Sold out | 0.00% | −2.26 |
| STXS Stereotaxis Inc. | Reduce -56.0% | 1.69% | −2.24 |
| GDXJ Vaneck Junior Gold Miners | Sold out | 0.00% | −1.82 |
| OAKU Oak Woods Acquisition Corp. Class A | Reduce -38.5% | 1.82% | −1.57 |
| BIL SS SPDR BB 1-3M T-Bill ETF | Sold out | 0.00% | −1.54 |
| AFAR Aura Fat Projects Acqui Class A | Sold out | 0.00% | −1.51 |
| NVDA Nvidia Corp. | Sold out | 0.00% | −1.48 |
| ACAC Acri Capital Acquisition Cor | Sold out | 0.00% | −1.48 |
| ZLSSF Zalatoris II Acquisition Cor | Sold out | 0.00% | −1.24 |
| NEN New England Realty Assoc-LP | Reduce -21.9% | 3.31% | −1.02 |
| TETEF Technology & Telecommunicati | Sold out | 0.00% | −1.00 |
| AMPX Amprius Technologies Inc. | Sold out | 0.00% | −0.81 |
| HTZ Hertz Global Hldgs Inc. | Sold out | 0.00% | −0.81 |
| ARYD Arya Sciences Acquisition-A | Sold out | 0.00% | −0.72 |
| PROP Prairie Operating Co. | Sold out | 0.00% | −0.61 |
| AEROVATE THERAPEUTICS INC | Sold out | 0.00% | −0.53 |
| GANX Gain Therapeutics Inc. | Sold out | 0.00% | −0.31 |
| RNTX Rein Therapeutics Inc. | Reduce -68.1% | 0.14% | −0.27 |
| KWESST MICRO SYSTEMS INC | Sold out | 0.00% | −0.25 |
| FOREMOST CLEAN ENERGY LTD | Sold out | 0.00% | −0.23 |
| ELTX Elicio Therapeutics Inc. | Sold out | 0.00% | −0.23 |
| DUOT Duos Technologies Group Inc. | Sold out | 0.00% | −0.17 |
| TIVIC HEALTH SYSTEMS INC | Sold out | 0.00% | −0.15 |
| NAKA Nakamoto Inc. | Sold out | 0.00% | −0.14 |
| LILMF Lilium NV | Sold out | 0.00% | −0.13 |
| GNLX Genelux Corp. | Sold out | 0.00% | −0.10 |
| VBIVQ Vbi Vaccines Inc. | Sold out | 0.00% | −0.08 |
| FUNDAMENTAL GLOBAL INC | Sold out | 0.00% | −0.06 |
| CETX Cemtrex Inc. | Sold out | 0.00% | −0.05 |
| VIRPAX PHARMACEUTICALS INC | Sold out | 0.00% | −0.05 |
| BLUEJAY DIAGNOSTICS INC | Sold out | 0.00% | −0.04 |
| OGEN Oragenics Inc. | Reduce -0.0% | 0.02% | −0.03 |
| INUV Inuvo Inc. | Reduce -50.0% | 0.01% | −0.01 |
Portfolio Buys Q2 2024 → Q3 2024
| SGOV iShares 0-3 Month Treasury B | New | 20.82% | +20.82 |
| VCICU Vine Hill Cap Invest-Unit | New | 5.51% | +5.51 |
| BUJA Bukit Jalil Global Acquisiti | New | 3.21% | +3.21 |
| AAM Aa Mission Acquisition Cor-A | New | 2.76% | +2.76 |
| NE Noble Corp. PLC | New | 2.61% | +2.61 |
| BRAC Broad Capital Acquisition Co. | New | 2.34% | +2.34 |
| FNVTF Finnovate Acquisition Corp. Class A | New | 2.06% | +2.06 |
| GBTC Grayscale Bitcoin Trust ETF | Add +176.5% | 3.62% | +2.01 |
| ASTS Ast Spacemobile Inc. | New | 1.72% | +1.72 |
| BELLEVUE LIFE SCNCS AQSTN CO | Add +101.7% | 3.57% | +1.52 |
| LATG Chenghe Acquisition I Co. | New | 1.29% | +1.29 |
| BURTECH ACQUISITION CORP | New | 1.26% | +1.26 |
| CCTSF Cactus Acquisition Corp. 1 LT | New | 1.10% | +1.10 |
| MRNA Moderna Inc. | New | 0.96% | +0.96 |
| LGCY Legacy Education Inc. | New | 0.90% | +0.90 |
| GTAC Global Technology Acquisit-A | New | 0.77% | +0.77 |
| EURK Eureka Acquisition Corp. | New | 0.62% | +0.62 |
| ROCL Roth CH Acquisition V Co. | Add +43.8% | 2.95% | +0.59 |
| BYNO Bynordic Acquisition Corp. | Add +105.2% | 1.14% | +0.49 |
| SYRA Syra Health Corp. Class A | New | 0.36% | +0.36 |
| RILY BRC Group Holdings Inc. | New | 0.29% | +0.29 |
| SCPX Scorpius Holdings Inc. | New | 0.28% | +0.28 |
| SRXH SRX Global Inc. | New | 0.26% | +0.26 |
| LQR HSE INC | New | 0.18% | +0.18 |
| SIYATA MOBILE INC | New | 0.15% | +0.15 |
| AZTR Azitra Inc. | New | 0.11% | +0.11 |
| CATHETER PRECISION INC | New | 0.11% | +0.11 |
| NMHI Nature's Miracle California | New | 0.09% | +0.09 |
| OCGN Ocugen Inc. | New | 0.07% | +0.07 |
| RR Richtech Robotics Inc. Class B | New | 0.07% | +0.07 |
| DUET Duet Acquisition Corp. Class A | Add +17.5% | 2.74% | +0.05 |
| NOVABAY PHARMACEUTICALS INC | New | 0.03% | +0.03 |
| P3 HEALTH PARTNERS INC | New | 0.02% | +0.02 |
| APLM Apollomics Inc. | New | 0.01% | +0.01 |
| IGTA Inception Growth Acquisition | Add +5.7% | 0.86% | −0.09 |
| AFJK Aimei Health Technology Co. | Add +0.1% | 0.64% | −0.10 |
| EONR Eon Resources Inc. | Add +19.4% | 0.06% | −0.11 |
| UCFI CN Healthy Food Tech Group C | Add +0.3% | 1.39% | −0.21 |
| QETA Quetta Acquisition Corp. | Add +2.9% | 3.01% | −0.39 |
Options Activity Q2 2024 → Q3 2024
| INVESCO QQQ TR | put | Add +112.4% | 164,600 | $80.3M |
| STATE STR SPDR S&P 500 ETF T | put | Reduce -69.7% | 110,000 | $63.1M |
| MICROSOFT CORP | put | Reduce -7.1% | 26,000 | $11.2M |
| NVIDIA CORPORATION | put | Reduce -45.4% | 65,000 | $7.9M |
| APPLE INC | put | Add +500.0% | 30,000 | $7.0M |
| BERKSHIRE HATHAWAY INC DEL | put | New | 12,000 | $5.5M |
| ISHARES TR | put | Add +25.0% | 25,000 | $2.5M |
| TESLA INC | put | New | 6,000 | $1.6M |
| VANECK ETF TRUST | call | Reduce -6.5% | 39,000 | $1.6M |
| EXXON MOBIL CORP | call | Sold out | 13,000 | $1.5Mbefore exit |
| STARBUCKS CORP | call | New | 15,000 | $1.5M |
| ISHARES SILVER TR | call | Add +60.0% | 48,000 | $1.4M |
| COINBASE GLOBAL INC | put | Reduce -12.5% | 7,000 | $1.2M |
| CAVA GROUP INC | put | Add +125.0% | 9,000 | $1.1M |
| APPLE INC | call | Sold out | 5,000 | $1.1Mbefore exit |
| WALMART INC | call | Add +26.0% | 12,600 | $1.0M |
| STRATEGY INC | put | New | 6,000 | $1.0M |
| STARBUCKS CORP | put | New | 10,000 | $975K |
| CORE SCIENTIFIC INC NEW | put | Sold out | 97,000 | $902Kbefore exit |
| DOLLAR TREE INC | call | Add +10.0% | 11,000 | $774K |
| EQUINIX INC | put | Sold out | 1,000 | $757Kbefore exit |
| BARCLAYS BANK PLC | call | New | 15,000 | $744K |
| ABERCROMBIE & FITCH CO | put | Sold out | 4,000 | $711Kbefore exit |
| CANTALOUPE INC | call | Add +18.6% | 84,700 | $627K |
| SCORPIO TANKERS INC | call | New | 8,500 | $606K |
| HIMS & HERS HEALTH INC | put | Sold out | 30,000 | $606Kbefore exit |
| CANTALOUPE INC | put | Add +95.1% | 80,000 | $592K |
| VORNADO RLTY TR | put | Add +20.0% | 12,000 | $473K |
| CASSAVA SCIENCES INC | put | New | 16,000 | $471K |
| NORDSTROM INC | call | Sold out | 22,000 | $467Kbefore exit |
| JPMORGAN CHASE & CO | call | New | 2,000 | $422K |
| BLACKSTONE MTG TR INC | put | Reduce -5.0% | 19,000 | $361K |
| STRATEGY INC | call | New | 2,100 | $354K |
| AST SPACEMOBILE INC | put | New | 10,000 | $262K |
| INTEL CORP | call | Reduce -50.0% | 10,000 | $235K |
| FLAGSTAR FINANCIAL INC | call | New | 20,000 | $225K |
| RIVIAN AUTOMOTIVE INC | put | New | 20,000 | $224K |
| PULSE BIOSCIENCES INC | call | Sold out | 17,100 | $191Kbefore exit |
| HERTZ GLOBAL HLDGS INC | put | Sold out | 48,000 | $169Kbefore exit |
| B. RILEY FINANCIAL INC | put | Reduce -38.0% | 22,000 | $116K |
| RIVIAN AUTOMOTIVE INC | call | New | 10,000 | $112K |
| FARADAY FUTURE INTLGT ELEC I | call | New | 23,500 | $67K |
| MAXEON SOLAR TECHNOLOGIES LT | put | Sold out | 72,500 | $62Kbefore exit |
| FARADAY FUTURE INTLGT ELEC I | call | Sold out | 23,500 | $12Kbefore exit |
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
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -10.9% | 917,798 | $27.3M |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | Add +10.9% | 9,926,000 | $22.9M |
| ROYAL CARIBBEAN CRUISES (RCL 6 08/15/25) | NOTE 6.000% 8/1 · principal | Add +3291.2% | 6,172,000 | $22.1M |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | Add +0.1% | 8,936,000 | $20.5M |
| ATI INC (ATI 3.5 06/15/25) | NOTE 3.500% 6/1 · principal | Sold out | 5,712,000 | $20.5Mbefore exit |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | Reduce -0.2% | 8,874,000 | $19.9M |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | Add +527.5% | 10,668,000 | $14.0M |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | Add +46.7% | 5,905,000 | $12.4M |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | Add +0.4% | 6,528,000 | $11.7M |
| REPLIGEN CORP (RGEN 0.375 07/15/24) | NOTE 0.375% 7/1 · principal | Sold out | 9,819,000 | $11.7Mbefore exit |
| INTEGER HOLDINGS CORP (ITGR 2.125 02/15/28) | NOTE 2.125% 2/1 · principal | Add +120.2% | 6,613,000 | $10.5M |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | Add +0.7% | 6,644,000 | $10.2M |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | Reduce -26.4% | 4,230,000 | $9.4M |
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | Reduce -70.4% | 2,666,000 | $9.2M |
| POST HOLDINGS INC (POST 2.5 08/15/27) | NOTE 2.500% 8/1 · principal | New | 7,597,000 | $9.0M |
| STRIDE INC (LRN 1.125 09/01/27) | NOTE 1.125% 9/0 · principal | Add +2432.4% | 5,242,000 | $8.8M |
| DJTWW Trump Media & Technology Gro | *W EXP 03/25/202 | Sold out | 395,386 | $8.4Mbefore exit |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/25) | NOTE 1.625% 2/1 · principal | Add +8747.8% | 2,035,000 | $7.5M |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | Add +3.5% | 6,480,000 | $7.2M |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | Add +5.1% | 5,800,000 | $7.2M |
| RH (RH 0 09/15/24) | NOTE 9/1 · principal | Sold out | 5,825,000 | $6.8Mbefore exit |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | Reduce -36.1% | 3,435,000 | $6.5M |
| GLAUKOS CORP (GKOS 2.75 06/15/27) | NOTE 2.750% 6/1 · principal | New | 2,497,000 | $5.9M |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | Add +3.7% | 4,216,000 | $5.8M |
| SEAGATE HDD CAYMAN (STX 3.5 06/01/28) | NOTE 3.500% 6/0 · principal | New | 4,000,000 | $5.7M |
| INSMED INC (INSM 0.75 06/01/28) | NOTE 0.750% 6/0 · principal | Sold out | 2,500,000 | $5.3Mbefore exit |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | Reduce -50.1% | 2,625,000 | $4.9M |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | Reduce -18.5% | 3,221,000 | $4.0M |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | Add +8.6% | 4,016,000 | $3.9M |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | Add +3.6% | 54,124 | $3.8M |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | Add +1.5% | 3,060,000 | $3.1M |
| INSMED INC (INSM 1.75 01/15/25) | NOTE 1.750% 1/1 · principal | Sold out | 1,780,000 | $3.0Mbefore exit |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | Add +60.9% | 2,599,000 | $3.0M |
| GUESS INC (GES 3.75 04/15/28) | NOTE 3.750% 4/1 · principal | Add +400.0% | 2,500,000 | $2.8M |
| MICROCHIP TECHNOLOGY INC (MCHP 0.125 11/15/24) | NOTE 0.125%11/1 · principal | Add +1188.1% | 2,486,000 | $2.5M |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Reduce -2.7% | 37,446 | $2.5M |
| NICE LTD (NICEIT 0 09/15/25) | NOTE 9/1 · principal | New | 2,549,000 | $2.4M |
| ETSY INC (ETSY 0.125 10/01/26) | NOTE 0.125%10/0 · principal | Sold out | 2,052,000 | $2.0Mbefore exit |
| NUTANIX INC (NTNX 0.25 10/01/27) | NOTE 0.250%10/0 · principal | Reduce -62.9% | 1,671,000 | $2.0M |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | Add +9.7% | 292,597 | $2.0M |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | Add +11.6% | 1,127,000 | $1.9M |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | Sold out | 74,868 | $1.9Mbefore exit |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | Add +22.6% | 73,586 | $1.6M |
| MONGODB INC (MDB 0.25 01/15/26) | NOTE 0.250% 1/1 · principal | Sold out | 1,055,000 | $1.4Mbefore exit |
| CORZZ Core Scientific Inc. - 29 | *W EXP 01/23/202 | Sold out | 141,100 | $1.2Mbefore exit |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Reduce -1.2% | 16,108 | $1.2M |
| TRANSOCEAN INTERNTNL LTD (RIG 4.625 09/30/29 *) | DEB 4.625% 9/3 · principal | Sold out | 642,000 | $1.1Mbefore exit |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | Add +10.0% | 902,000 | $933K |
| CINEMARK HOLDINGS INC (CNK 4.5 08/15/25) | NOTE 4.500% 8/1 · principal | New | 457,000 | $907K |
| PERMIAN RESOURC OPTG LLC (PR 3.25 04/01/28) | NOTE 3.250% 4/0 · principal | Sold out | 325,000 | $898Kbefore exit |
Showing the first 50 of 110.
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 |