Warberg Asset Management LLC
In its 13F for Q4 2024 (holdings as of December 31, 2024, filed February 13, 2025), Warberg Asset Management LLC reported 56 stock positions worth $25.4 million. Its top holding was iShares Ultra Short Duration (ICSH) at 10.3% of the portfolio, followed by Invesco QQQ Trust Series 1 (QQQ, 6.0%) and Tavia Acquisition (TAVI, 4.4%). Compared with Q3 2024, it opened 23 new positions, sold out of 27, added to 6 and reduced 8. The biggest buy was a new position in iShares Ultra Short Duration (ICSH) and the biggest sale an exit from iShares 0-3 Month Treasury B (SGOV).
- Most Recent 13F
- Q2 2026
- Location
- WINNETKA, IL
- CIK
- 0001597506
- Portfolio Value
- $25.4M (Q4 2024)
- SEC Filing
- 0001597506-25-000001 ↗ filed Feb 13, 2025
Holdings Value
Holdings 56 stocks · $25.4M
| ICSH iShares Ultra Short Duration | 10.31% | 51,864 | $2.6M | New |
| QQQ Invesco QQQ Trust Series 1 | 6.05% | 3,000 | $1.5M | New |
| TAVI Tavia Acquisition Corp. | 4.42% | 113,000 | $1.1M | New |
| CHAR Charlton Aria Acquisiti Class A | 3.87% | 98,665 | $983K | New |
| SHV iShares 0-1 Year Treasury Bo | 3.78% | 8,696 | $958K | New |
| NEN New England Realty Assoc-LP | 3.67% | 11,379 | $930K | Add +14.9% |
| BUJA Bukit Jalil Global Acquisiti | 3.56% | 80,787 | $904K | Add +12.5% |
| CLRCF Climaterock Class A | 3.51% | 75,390 | $890K | No change |
| PGACU Pantages Capital Acquisition filed as SHEPHERD AVE CAP ACQUISITION | 3.42% | 86,585 | $868K | New |
| VCIC Vine Hill Capital Class A | 3.36% | 85,055 | $853K | Reduce -36.8% |
| MSFT Microsoft Corp. | 3.32% | 2,000 | $843K | New |
| FORL Four Leaf Acquisition Cor-A | 3.32% | 75,932 | $843K | No change |
| BKHA Black Hawk Acquisition Cor-A | 3.03% | 74,120 | $769K | No change |
| TDACU Translational Development Ac | 2.94% | 74,462 | $746K | New |
| QETA Quetta Acquisition Corp. | 2.94% | 70,700 | $746K | No change |
| SBUX Starbucks Corp. | 2.88% | 8,000 | $730K | New |
| AAM Aa Mission Acquisition Cor-A | 2.68% | 67,196 | $679K | No change |
| GSRT GSR III Acquisition Corp. | 2.65% | 67,998 | $673K | New |
| CVNA Carvana Co. | 2.48% | 3,100 | $630K | New |
| CRTAF Cartica Acquisition Corp. Class A | 2.38% | 51,079 | $604K | New |
| BRAC Broad Capital Acquisition Co. | 2.33% | 50,138 | $590K | No change |
| KVACF Keen Vision Acquisition Corp. | 1.99% | 46,000 | $505K | No change |
| PLMJF Plum Acquisition Corp. III | 1.87% | 42,754 | $475K | New |
| RDAC Rising Dragon Acquisition Co. | 1.82% | 45,979 | $461K | New |
| OAKU Oak Woods Acquisition Corp. Class A | 1.79% | 40,000 | $454K | No change |
| RFAI RF Acquisition Corp. II | 1.53% | 38,000 | $388K | No change |
| AIMTF Aimfinity Investment-Subunit | 1.37% | 29,613 | $347K | Add +22.3% |
| UCFI CN Healthy Food Tech Group C filed as IRON HORSE ACQUISITIONS CORP | 1.35% | 33,367 | $343K | No change |
| FRNM Freenome Inc. filed as PERCEPTIVE CAP SOLUTIONS COR | 1.20% | 29,931 | $305K | Reduce -2.9% |
| BYNO Bynordic Acquisition Corp. | 1.10% | 24,390 | $279K | No change |
| DYCQ DT Cloud Acquisition Corp. | 1.06% | 25,815 | $270K | No change |
| TLT iShares 20+ Year Treasury BD | 1.03% | 3,000 | $262K | New |
| DRDBU Roman DBDR Acquisition Corp. | 0.98% | 25,000 | $249K | New |
| ASPCU A Spac III Acquisition Corp. | 0.79% | 20,000 | $201K | New |
| RANGU Range Capital Acquisition Co. | 0.77% | 19,500 | $196K | New |
| AFJK Aimei Health Technology Co. | 0.63% | 15,017 | $161K | Add +0.1% |
| EURK Eureka Acquisition Corp. | 0.60% | 15,000 | $152K | No change |
| CATHETER PRECISION INC | 0.55% | 310,164 | $140K | Add +362.9% |
| STXS Stereotaxis Inc. | 0.52% | 57,838 | $132K | Reduce -71.5% |
| BOWN Bowen Acquisition Corp. | 0.43% | 10,000 | $109K | No change |
| FSHP Flag Ship Acquisition Corp. | 0.40% | 10,000 | $102K | No change |
| PROPHASE LABS INC | 0.30% | 101,672 | $77K | New |
| SRXH SRX Global Inc. filed as BETTER CHOICE CO INC | 0.22% | 23,500 | $55K | Reduce -21.9% |
| SYRA Syra Health Corp. Class A | 0.16% | 99,699 | $41K | Reduce -52.1% |
| P3 HEALTH PARTNERS INC | 0.13% | 145,346 | $33K | Add +1353.5% |
| MRM Medirom Healthcare Technolog | 0.09% | 22,919 | $24K | New |
| ZTEKF Zentek Ltd. | 0.06% | 12,000 | $16K | No change |
| OCGN Ocugen Inc. | 0.06% | 18,000 | $14K | No change |
| NRSN Neurosense Therapeutics Ltd. | 0.05% | 10,700 | $13K | New |
| KWESST MICRO SYSTEMS INC | 0.05% | 17,300 | $12K | New |
| CVM Cel-Sci Corp. | 0.04% | 27,560 | $11K | New |
| EONR Eon Resources Inc. | 0.04% | 12,500 | $10K | Reduce -23.9% |
| INUV Inuvo Inc. | 0.02% | 10,000 | $6K | No change |
| SCPX Scorpius Holdings Inc. | 0.02% | 16,529 | $5K | Reduce -82.6% |
| LONGEVITY HEALTH HLDGS INC filed as CARMELL CORPORATION | 0.02% | 14,168 | $4K | Reduce -68.5% |
| OGEN Oragenics Inc. | 0.01% | 10,001 | $4K | No change |
Options reported separately and not counted above: STATE STR SPDR S&P 500 ETF T puts ($237.4M), INVESCO QQQ TR puts ($29.7M), OCCIDENTAL PETE CORP calls ($8.9M), MICROSOFT CORP puts ($2.1M), STARBUCKS CORP puts ($1.8M), ISHARES TR puts ($1.7M), PALANTIR TECHNOLOGIES INC puts ($1.4M), APPLE INC puts ($1.3M), ISHARES SILVER TR calls ($1.2M), VANECK ETF TRUST calls ($1.1M), BERKSHIRE HATHAWAY INC DEL puts ($907K), CANTALOUPE INC calls ($713K), and 17 more.
Other holdings (113): bonds, preferreds, convertibles and warrants · $336.7M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| ROYAL CARIBBEAN CRUISES (RCL 6 08/15/25) | NOTE 6.000% 8/1 · principal | 5,709,000 | $26.5M | Reduce -7.5% |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | 10,426,000 | $21.3M | Add +5.0% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 641,155 | $17.7M | Reduce -30.1% |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | 6,758,000 | $17.6M | Add +3.5% |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | 6,762,000 | $17.4M | Add +0.1% |
| VARONIS SYSTEM INC (VRNS 1.25 08/15/25) | NOTE 1.250% 8/1 · principal | 9,937,000 | $14.5M | New |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | 8,976,000 | $14.4M | Add +0.5% |
| DATADOG INC (DDOG 0.125 06/15/25) | NOTE 0.125% 6/1 · principal | 8,905,000 | $13.8M | Add +4160.8% |
| INTEGER HOLDINGS CORP (ITGR 2.125 02/15/28) | NOTE 2.125% 2/1 · principal | 8,527,000 | $13.6M | Add +28.9% |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | 10,668,000 | $13.5M | No change |
| CINEMARK HOLDINGS INC (CNK 4.5 08/15/25) | NOTE 4.500% 8/1 · principal | 5,457,000 | $11.9M | Add +1094.1% |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | 5,213,000 | $11.5M | Add +23.2% |
| POST HOLDINGS INC (POST 2.5 08/15/27) | NOTE 2.500% 8/1 · principal | 7,969,000 | $9.4M | Add +4.9% |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 3,614,000 | $8.9M | Add +5.2% |
| SEAGATE HDD CAYMAN (STX 3.5 06/01/28) | NOTE 3.500% 6/0 · principal | 7,045,000 | $8.5M | Add +76.1% |
| BLOOMIN BRANDS INC (BLMN 5 05/01/25) | NOTE 5.000% 5/0 · principal | 6,644,000 | $7.8M | No change |
| M/A-COM TECH SOLUTIONS (MTSI 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | 4,800,000 | $7.7M | Reduce -4.0% |
| INTERDIGITAL INC (IDCC 3.5 06/01/27) | NOTE 3.500% 6/0 · principal | 2,625,000 | $6.6M | No change |
| FLUOR CORP (FLR 1.125 08/15/29) | NOTE 1.125% 8/1 · principal | 5,220,000 | $6.6M | New |
| GRANITE CONSTRUCTION INC (GVA 3.75 05/15/28) | NOTE 3.750% 5/1 · principal | 3,102,000 | $6.1M | Add +6950.0% |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | 4,949,000 | $5.5M | Add +90.4% |
| SEA LTD (SEALTD 2.375 12/01/25) | NOTE 2.375%12/0 · principal | 4,269,000 | $5.4M | New |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/25) | NOTE 1.625% 2/1 · principal | 2,039,000 | $5.2M | Add +0.2% |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | 3,195,000 | $4.6M | Add +16.4% |
| GUIDEWIRE SOFTWARE INC (GWRE 1.25 03/15/25) | NOTE 1.250% 3/1 · principal | 3,003,000 | $4.4M | Add +1309.9% |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | 4,562,000 | $4.4M | Add +13.6% |
| NCL CORPORATION LTD (NCLH 5.375 08/01/25) | NOTE 5.375% 8/0 · principal | 3,027,000 | $4.3M | Add +2422.5% |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 47,922 | $4.1M | Add +28.0% |
| ZSCALER INC. (ZS 0.125 07/01/25) | NOTE 0.125% 7/0 · principal | 3,175,000 | $3.9M | New |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | 3,165,000 | $3.8M | Reduce -45.4% |
| STRIDE INC (LRN 1.125 09/01/27) | NOTE 1.125% 9/0 · principal | 1,605,000 | $3.2M | Reduce -69.4% |
| LIVE NATION ENTERTAINMEN (LYV 3.125 01/15/29) | NOTE 3.125% 1/1 · principal | 2,006,000 | $2.7M | New |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | 316,297 | $2.6M | Add +8.1% |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | 2,073,000 | $2.5M | Reduce -35.6% |
| NICE LTD (NICEIT 0 09/15/25) | NOTE 9/1 · principal | 2,559,000 | $2.5M | Add +0.4% |
| SHIFT4 PAYMENTS INC (FOUR 0 12/15/25) | NOTE 12/1 · principal | 1,610,000 | $2.2M | New |
| JAZZ INVESTMENTS I LTD (JAZZ 2 06/15/26) | NOTE 2.000% 6/1 · principal | 2,005,000 | $2.0M | No change |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | 90,000 | $1.9M | Add +22.3% |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | 1,579,000 | $1.6M | Reduce -48.4% |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | 571,000 | $1.5M | Reduce -93.6% |
| LIVE NATION ENTERTAINMEN (LYV 2 02/15/25) | NOTE 2.000% 2/1 · principal | 1,226,000 | $1.5M | New |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | 1,076,000 | $1.1M | Add +19.3% |
| CHART INDUSTRIES INC (GTLS 6.75 12/15/25 B) | 6.75DP CNV PFD B | 14,000 | $987K | New |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | 9,694 | $926K | Reduce -39.8% |
| APOLLO GLOBAL MANAGEMENT (APO 6.75 07/31/26) | SER A MAND CNV | 10,508 | $913K | New |
| GREENBRIER COS INC (GBX 2.875 04/15/28) | NOTE 2.875% 4/1 · principal | 726,000 | $879K | Add +211.6% |
| RGTIW Rigetti Computing -CW27 | *W EXP 03/02/202 | 117,995 | $748K | New |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | 354,299 | $709K | Add +57.6% |
| GCMGW GCM Grosvenor Inc. A -CW25 | *W EXP 11/17/202 | 525,114 | $662K | New |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 57,439 | $611K | Add +6.5% |
| CMPOW Composecure Inc. -CW25 | *W EXP 12/27/202 | 97,566 | $454K | Reduce -57.9% |
| SOUTHERN CO (SO 3.875 12/15/25) | NOTE 3.875%12/1 · principal | 414,000 | $435K | New |
| ON SEMICONDUCTOR CORP (ON 0 05/01/27) | NOTE 5/0 · principal | 277,000 | $363K | New |
| NVAWW Nova Minerals Ltd. -29 | *W EXP 07/24/202 | 52,458 | $346K | Add +98.1% |
| WINNEBAGO INDUSTRIES (WGO 1.5 04/01/25) | NOTE 1.500% 4/0 · principal | 321,000 | $319K | Reduce -26.0% |
| NORTHERN OIL & GAS INC (NOG 3.625 04/15/29) | NOTE 3.625% 4/1 · principal | 242,000 | $283K | New |
| JOBY.WS Joby Aviation Inc. -CW25 | *W EXP 08/10/202 | 129,700 | $262K | Reduce -26.8% |
| MTEKW Maris - Tech Ltd. -23 | *W EXP 02/04/202 | 188,359 | $182K | Add +2.1% |
| NXGLW Nexgel Inc. -CW26 | *W EXP 12/27/202 | 206,186 | $155K | New |
| NNAVW Nextnav Inc. | *W EXP 99/99/999 | 21,999 | $126K | New |
| LUNRW Intuitive Machines Inc.-CW | *W EXP 99/99/999 | 15,100 | $119K | New |
| AVPTW Avepoint Inc.-CW24 | *W EXP 09/18/202 | 20,259 | $115K | New |
| ON SEMICONDUCTOR CORP (ON 0.5 03/01/29) | NOTE 0.500% 3/0 · principal | 102,000 | $96K | New |
| PALO ALTO NETWORKS (PANW 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | 25,000 | $91K | Reduce -99.1% |
| DTSTW Data Storage Corp. -CW26 | *W EXP 05/18/202 | 156,154 | $77K | Reduce -13.1% |
| MICROSTRATEGY INC (MSTR 0 02/15/27) | NOTE 2/1 · principal | 34,000 | $70K | Reduce -99.2% |
| ONFOW Onfolio Holdings Inc. -27 | *W EXP 01/02/202 | 218,071 | $62K | Add +221.1% |
| USGOW US Goldmining Inc.-28 | *W EXP 99/99/999 | 27,476 | $49K | New |
| NXLIW Nexalin Technology Inc.- 27 | *W EXP 99/99/999 | 112,685 | $39K | Reduce -25.5% |
| EONR.WS HNR Acquisition Corp. -CW23 | *W EXP 11/15/202 | 651,117 | $38K | Add +6.8% |
| MOBBW Mobilicom Ltd. -27 | *W EXP 08/31/202 | 46,025 | $37K | Reduce -46.5% |
| RNWWW Renew Energy Global -CW26 | *W EXP 08/21/202 | 218,400 | $36K | Reduce -15.7% |
| AMPX.WS Amprius Technologies Inc. | *W EXP 09/14/202 | 98,000 | $35K | New |
| FMSTW Foremost Clean Energy Ltd. | *W EXP 08/24/202 | 114,728 | $33K | New |
| PXSAW Pyxis Tankers Inc. -CW25 | *W EXP 10/13/202 | 157,174 | $31K | Reduce -8.1% |
| NAKAW Kindly MD Inc. -29 | *W EXP 05/31/202 | 170,000 | $28K | Reduce -1.6% |
| DSX.WS Diana Shipping Inc.-28 | *W EXP 12/14/202 | 199,965 | $23K | Add +11.1% |
| TALKW Hudson Executive Inv -CW25 | *W EXP 06/21/202 | 162,015 | $21K | Reduce -56.6% |
| MDCXW Medicus Pharma Ltd. -29 | *W EXP 11/15/202 | 27,470 | $18K | New |
| AIRJW Power & Digital Acq -CW24 | *W EXP 03/15/202 | 14,800 | $16K | New |
| MDAIW Spectral AI -CW27 | *W EXP 09/11/202 | 20,000 | $15K | New |
| FGIWW Fgi Industries Ltd. -23 | *W EXP 99/99/999 | 121,152 | $11K | No change |
| CRPWF Carbon Revolution PLC | *W EXP 99/99/999 | 148,600 | $10K | Reduce -13.6% |
| BTBDW BT Brands Inc. -CW26 | *W EXP 11/12/202 | 117,882 | $9K | No change |
| KTTAW Pasithea Therapeutics -CW26 | *W EXP 08/12/202 | 254,701 | $9K | Reduce -3.2% |
| NRSNW Neurosense Therapeuti -CW23 | *W EXP 11/10/202 | 17,936 | $8K | Reduce -11.2% |
| SKYAW Sharps Technology Inc. -27 | *W EXP 04/13/202 | 186,903 | $8K | Reduce -29.5% |
| DFSCW Kwesst Micro Systems Inc.-27 | *W EXP 09/01/202 | 332,880 | $7K | Reduce -3.5% |
| TNONW Tenon Medical Inc.-28 | *W EXP 06/16/202 | 525,079 | $7K | No change |
| MRNOW Murano Global BV-28 | *W EXP 03/19/202 | 28,200 | $7K | No change |
| HUBCW Hub Cyber Security Ltd.-28 | *W EXP 02/27/202 | 171,171 | $6K | No change |
| TAVIR Tavia Acquisition Corp. | RIGHT 11/26/2029 | 43,000 | $6K | New |
| FLYX.WS Eg Acquisition Corp.-A -CW28 | *W EXP 99/99/999 | 29,900 | $5K | No change |
| APLMW Apollomics Inc.-27 | *W EXP 04/01/202 | 436,987 | $4K | Reduce -0.4% |
| NEXTPLAT CORP | *W EXP 06/02/202 | 40,776 | $4K | No change |
| PIIIW P3 Health Partne -CW27 | *W EXP 11/19/202 | 288,207 | $3K | New |
| AERTW Aeries Technology Inc. -CW23 | *W EXP 11/06/202 | 95,027 | $3K | No change |
| BTMWQ Bitcoin Depot Inc.-CW23 | *W EXP 06/30/202 | 50,000 | $3K | New |
| SMXWW SMX Security Matters PLC-28 | *W EXP 03/07/202 | 57,750 | $3K | Reduce -41.7% |
| SVREW Saverone 2014 Ltd. -CW27 | *W EXP 06/02/202 | 144,961 | $3K | Reduce -0.1% |
| RBOT.WS Vicarious Surgical Inc.-CW27 | *W EXP 09/17/202 | 112,000 | $2K | No change |
| SWAGW Stran & Co. -CW26 | *W EXP 99/99/999 | 168,734 | $2K | Reduce -6.7% |
| OCEAW Aesther Healthcare Acq -CW23 | *W EXP 02/14/202 | 90,419 | $2K | Reduce -46.4% |
| PGYWW Pagaya Technologies Ltd. -27 | *W EXP 99/99/999 | 30,000 | $2K | No change |
| SBEVW Splash Beverage Group -CW | *W EXP 06/15/202 | 70,150 | $1K | No change |
| BNIXW Bannix Acquisition Corp.-CW23 | *W EXP 07/31/202 | 43,200 | $1K | No change |
| PTIXW Protagenic Therapeutic -CW25 | *W EXP 04/26/202 | 170,242 | $1K | Reduce -3.9% |
| AIMDW Ainos Inc. - 27 | *W EXP 07/29/202 | 18,789 | $934 | Reduce -0.1% |
| XBPEW CF Acquisition Viii A -CW27 | *W EXP 11/30/202 | 19,826 | $813 | Reduce -50.4% |
| ANGHW Anghami Inc. -CW27 | *W EXP 02/03/202 | 40,409 | $727 | No change |
| BNCWW Cea Industries Inc. -CW27 | *W EXP 02/11/202 | 79,372 | $726 | Reduce -0.6% |
| BNAIW Brand Engagement Netwo -CW27 | *W EXP 03/14/202 | 10,000 | $559 | No change |
| BAERW Wildfire New Pubco Inc.-27 | *W EXP 01/24/202 | 12,600 | $551 | No change |
Total filed on the 13F, all lines: $362.1M.
Portfolio Sells Q3 2024 → Q4 2024
| SGOV iShares 0-3 Month Treasury B | Sold out | 0.00% | −20.82 |
| GBTC Grayscale Bitcoin Trust ETF | Sold out | 0.00% | −3.62 |
| BELLEVUE LIFE SCNCS AQSTN CO | Sold out | 0.00% | −3.57 |
| VSAC Vision Sensing Acquisition-A | Sold out | 0.00% | −3.20 |
| ROCL Roth CH Acquisition V Co. | Sold out | 0.00% | −2.95 |
| DUET Duet Acquisition Corp. Class A | Sold out | 0.00% | −2.74 |
| NE Noble Corp. PLC | Sold out | 0.00% | −2.61 |
| VCIC Vine Hill Capital Class A | Reduce -36.8% | 3.36% | −2.15 |
| FNVTF Finnovate Acquisition Corp. Class A | Sold out | 0.00% | −2.06 |
| ASTS Ast Spacemobile Inc. | Sold out | 0.00% | −1.72 |
| ESHA Esh Acquisition Corp. Class A | Sold out | 0.00% | −1.68 |
| LATG Chenghe Acquisition I Co. | Sold out | 0.00% | −1.29 |
| BURTECH ACQUISITION CORP | Sold out | 0.00% | −1.26 |
| STXS Stereotaxis Inc. | Reduce -71.5% | 0.52% | −1.17 |
| CCTSF Cactus Acquisition Corp. 1 LT | Sold out | 0.00% | −1.10 |
| MRNA Moderna Inc. | Sold out | 0.00% | −0.96 |
| LGCY Legacy Education Inc. | Sold out | 0.00% | −0.90 |
| IGTA Inception Growth Acquisition | Sold out | 0.00% | −0.86 |
| GTAC Global Technology Acquisit-A | Sold out | 0.00% | −0.77 |
| RILY BRC Group Holdings Inc. | Sold out | 0.00% | −0.29 |
| SCPX Scorpius Holdings Inc. | Reduce -82.6% | 0.02% | −0.26 |
| SYRA Syra Health Corp. Class A | Reduce -52.1% | 0.16% | −0.20 |
| LQR HSE INC | Sold out | 0.00% | −0.18 |
| SIYATA MOBILE INC | Sold out | 0.00% | −0.15 |
| RNTX Rein Therapeutics Inc. | Sold out | 0.00% | −0.14 |
| AZTR Azitra Inc. | Sold out | 0.00% | −0.11 |
| NMHI Nature's Miracle California | Sold out | 0.00% | −0.09 |
| RR Richtech Robotics Inc. Class B | Sold out | 0.00% | −0.07 |
| FRNM Freenome Inc. | Reduce -2.9% | 1.20% | −0.06 |
| LONGEVITY HEALTH HLDGS INC | Reduce -68.5% | 0.02% | −0.06 |
| SRXH SRX Global Inc. | Reduce -21.9% | 0.22% | −0.04 |
| NOVABAY PHARMACEUTICALS INC | Sold out | 0.00% | −0.03 |
| EONR Eon Resources Inc. | Reduce -23.9% | 0.04% | −0.01 |
| APLM Apollomics Inc. | Sold out | 0.00% | −0.01 |
| NORTHVIEW ACQUISITION CORP | Sold out | 0.00% | −0.01 |
Portfolio Buys Q3 2024 → Q4 2024
| ICSH iShares Ultra Short Duration | New | 10.31% | +10.31 |
| QQQ Invesco QQQ Trust Series 1 | New | 6.05% | +6.05 |
| TAVI Tavia Acquisition Corp. | New | 4.42% | +4.42 |
| CHAR Charlton Aria Acquisiti Class A | New | 3.87% | +3.87 |
| SHV iShares 0-1 Year Treasury Bo | New | 3.78% | +3.78 |
| PGACU Pantages Capital Acquisition | New | 3.42% | +3.42 |
| MSFT Microsoft Corp. | New | 3.32% | +3.32 |
| TDACU Translational Development Ac | New | 2.94% | +2.94 |
| SBUX Starbucks Corp. | New | 2.88% | +2.88 |
| GSRT GSR III Acquisition Corp. | New | 2.65% | +2.65 |
| CVNA Carvana Co. | New | 2.48% | +2.48 |
| CRTAF Cartica Acquisition Corp. Class A | New | 2.38% | +2.38 |
| PLMJF Plum Acquisition Corp. III | New | 1.87% | +1.87 |
| RDAC Rising Dragon Acquisition Co. | New | 1.82% | +1.82 |
| TLT iShares 20+ Year Treasury BD | New | 1.03% | +1.03 |
| DRDBU Roman DBDR Acquisition Corp. | New | 0.98% | +0.98 |
| ASPCU A Spac III Acquisition Corp. | New | 0.79% | +0.79 |
| RANGU Range Capital Acquisition Co. | New | 0.77% | +0.77 |
| CATHETER PRECISION INC | Add +362.9% | 0.55% | +0.44 |
| BUJA Bukit Jalil Global Acquisiti | Add +12.5% | 3.56% | +0.36 |
| NEN New England Realty Assoc-LP | Add +14.9% | 3.67% | +0.35 |
| PROPHASE LABS INC | New | 0.30% | +0.30 |
| AIMTF Aimfinity Investment-Subunit | Add +22.3% | 1.37% | +0.22 |
| P3 HEALTH PARTNERS INC | Add +1353.5% | 0.13% | +0.11 |
| MRM Medirom Healthcare Technolog | New | 0.09% | +0.09 |
| NRSN Neurosense Therapeutics Ltd. | New | 0.05% | +0.05 |
| KWESST MICRO SYSTEMS INC | New | 0.05% | +0.05 |
| CVM Cel-Sci Corp. | New | 0.04% | +0.04 |
| AFJK Aimei Health Technology Co. | Add +0.1% | 0.63% | −0.01 |
Options Activity Q3 2024 → Q4 2024
| STATE STR SPDR S&P 500 ETF T | put | Add +268.2% | 405,000 | $237.4M |
| INVESCO QQQ TR | put | Reduce -64.8% | 58,000 | $29.7M |
| OCCIDENTAL PETE CORP | call | New | 180,000 | $8.9M |
| NVIDIA CORPORATION | put | Sold out | 65,000 | $7.9Mbefore exit |
| MICROSOFT CORP | put | Reduce -80.8% | 5,000 | $2.1M |
| STARBUCKS CORP | put | Add +100.0% | 20,000 | $1.8M |
| ISHARES TR | put | Reduce -20.0% | 20,000 | $1.7M |
| TESLA INC | put | Sold out | 6,000 | $1.6Mbefore exit |
| STARBUCKS CORP | call | Sold out | 15,000 | $1.5Mbefore exit |
| PALANTIR TECHNOLOGIES INC | put | New | 19,000 | $1.4M |
| APPLE INC | put | Reduce -83.3% | 5,000 | $1.3M |
| COINBASE GLOBAL INC | put | Sold out | 7,000 | $1.2Mbefore exit |
| ISHARES SILVER TR | call | Reduce -6.3% | 45,000 | $1.2M |
| CAVA GROUP INC | put | Sold out | 9,000 | $1.1Mbefore exit |
| VANECK ETF TRUST | call | Reduce -20.5% | 31,000 | $1.1M |
| WALMART INC | call | Sold out | 12,600 | $1.0Mbefore exit |
| BERKSHIRE HATHAWAY INC DEL | put | Reduce -83.3% | 2,000 | $907K |
| DOLLAR TREE INC | call | Sold out | 11,000 | $774Kbefore exit |
| BARCLAYS BANK PLC | call | Sold out | 15,000 | $744Kbefore exit |
| CANTALOUPE INC | call | Reduce -11.4% | 75,000 | $713K |
| PALANTIR TECHNOLOGIES INC | call | New | 8,600 | $651K |
| CARVANA CO | put | Reduce -40.0% | 3,000 | $610K |
| ADVANCED MICRO DEVICES INC | call | New | 5,000 | $604K |
| NOBLE CORP PLC | put | Sold out | 15,700 | $567Kbefore exit |
| SCORPIO TANKERS INC | call | Add +20.0% | 10,200 | $507K |
| VORNADO RLTY TR | put | Sold out | 12,000 | $473Kbefore exit |
| CASSAVA SCIENCES INC | put | Sold out | 16,000 | $471Kbefore exit |
| NUSCALE PWR CORP | put | New | 23,000 | $412K |
| STRATEGY INC | put | Reduce -76.7% | 1,400 | $405K |
| BLACKSTONE MTG TR INC | put | Sold out | 19,000 | $361Kbefore exit |
| STRATEGY INC | call | Sold out | 2,100 | $354Kbefore exit |
| MODERNA INC | put | Sold out | 4,000 | $267Kbefore exit |
| AST SPACEMOBILE INC | put | Sold out | 10,000 | $262Kbefore exit |
| POET TECHNOLOGIES INC | put | New | 39,100 | $233K |
| SUPER MICRO COMPUTER INC | put | New | 7,000 | $213K |
| CANTALOUPE INC | put | Reduce -75.0% | 20,000 | $190K |
| GPGI INC | put | New | 11,800 | $181K |
| FLAGSTAR FINANCIAL INC | call | Reduce -16.0% | 16,800 | $157K |
| B. RILEY FINANCIAL INC | put | Sold out | 22,000 | $116Kbefore exit |
| FARADAY FUTURE INTLGT ELEC I | call | Sold out | 23,500 | $67Kbefore exit |
| PSQ HOLDINGS INC | call | New | 10,000 | $45K |
Calls and puts are listed by the shares they cover; their value is not part of the stock holdings above.
Notes & Other Activity Q3 2024 → Q4 2024
| ROYAL CARIBBEAN CRUISES (RCL 6 08/15/25) | NOTE 6.000% 8/1 · principal | Reduce -7.5% | 5,709,000 | $26.5M |
| PARSONS CORP (PSN 0.25 08/15/25) | NOTE 0.250% 8/1 · principal | Add +5.0% | 10,426,000 | $21.3M |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Reduce -30.1% | 641,155 | $17.7M |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | Add +3.5% | 6,758,000 | $17.6M |
| UNITED STATES STEEL CORP (X 5 11/01/26) | NOTE 5.000%11/0 · principal | Add +0.1% | 6,762,000 | $17.4M |
| VARONIS SYSTEM INC (VRNS 1.25 08/15/25) | NOTE 1.250% 8/1 · principal | New | 9,937,000 | $14.5M |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | Add +0.5% | 8,976,000 | $14.4M |
| DATADOG INC (DDOG 0.125 06/15/25) | NOTE 0.125% 6/1 · principal | Add +4160.8% | 8,905,000 | $13.8M |
| INTEGER HOLDINGS CORP (ITGR 2.125 02/15/28) | NOTE 2.125% 2/1 · principal | Add +28.9% | 8,527,000 | $13.6M |
| CHART INDUSTRIES INC (GTLS 1 11/15/24) | NOTE 1.000%11/1 · principal | Sold out | 5,905,000 | $12.4Mbefore exit |
| CINEMARK HOLDINGS INC (CNK 4.5 08/15/25) | NOTE 4.500% 8/1 · principal | Add +1094.1% | 5,457,000 | $11.9M |
| NRG ENERGY INC (NRG 2.75 06/01/48) | DBCV 2.750% 6/0 · principal | Add +23.2% | 5,213,000 | $11.5M |
| POST HOLDINGS INC (POST 2.5 08/15/27) | NOTE 2.500% 8/1 · principal | Add +4.9% | 7,969,000 | $9.4M |
| HUBSPOT INC (HUBS 0.375 06/01/25) | NOTE 0.375% 6/0 · principal | Add +5.2% | 3,614,000 | $8.9M |
| SEAGATE HDD CAYMAN (STX 3.5 06/01/28) | NOTE 3.500% 6/0 · principal | Add +76.1% | 7,045,000 | $8.5M |
| M/A-COM TECH SOLUTIONS (MTSI 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | Reduce -4.0% | 4,800,000 | $7.7M |
| AKAMAI TECHNOLOGIES INC (AKAM 0.125 05/01/25) | NOTE 0.125% 5/0 · principal | Sold out | 6,480,000 | $7.2Mbefore exit |
| SEA LTD (SEALTD 1 12/01/24) | NOTE 1.000%12/0 · principal | Sold out | 3,500,000 | $6.6Mbefore exit |
| FLUOR CORP (FLR 1.125 08/15/29) | NOTE 1.125% 8/1 · principal | New | 5,220,000 | $6.6M |
| GRANITE CONSTRUCTION INC (GVA 3.75 05/15/28) | NOTE 3.750% 5/1 · principal | Add +6950.0% | 3,102,000 | $6.1M |
| GLAUKOS CORP (GKOS 2.75 06/15/27) | NOTE 2.750% 6/1 · principal | Sold out | 2,497,000 | $5.9Mbefore exit |
| MIDDLEBY CORP (MIDD 1 09/01/25) | NOTE 1.000% 9/0 · principal | Add +90.4% | 4,949,000 | $5.5M |
| SEA LTD (SEALTD 2.375 12/01/25) | NOTE 2.375%12/0 · principal | New | 4,269,000 | $5.4M |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/25) | NOTE 1.625% 2/1 · principal | Add +0.2% | 2,039,000 | $5.2M |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | Add +16.4% | 3,195,000 | $4.6M |
| GUIDEWIRE SOFTWARE INC (GWRE 1.25 03/15/25) | NOTE 1.250% 3/1 · principal | Add +1309.9% | 3,003,000 | $4.4M |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | Add +13.6% | 4,562,000 | $4.4M |
| NCL CORPORATION LTD (NCLH 5.375 08/01/25) | NOTE 5.375% 8/0 · principal | Add +2422.5% | 3,027,000 | $4.3M |
| EXEEL Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Add +28.0% | 47,922 | $4.1M |
| ZSCALER INC. (ZS 0.125 07/01/25) | NOTE 0.125% 7/0 · principal | New | 3,175,000 | $3.9M |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | Reduce -45.4% | 3,165,000 | $3.8M |
| EXEEZ Chesapeake Energy -CW26 | *W EXP 02/09/202 | Sold out | 54,124 | $3.8Mbefore exit |
| STRIDE INC (LRN 1.125 09/01/27) | NOTE 1.125% 9/0 · principal | Reduce -69.4% | 1,605,000 | $3.2M |
| GUESS INC (GES 3.75 04/15/28) | NOTE 3.750% 4/1 · principal | Sold out | 2,500,000 | $2.8Mbefore exit |
| LIVE NATION ENTERTAINMEN (LYV 3.125 01/15/29) | NOTE 3.125% 1/1 · principal | New | 2,006,000 | $2.7M |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | Add +8.1% | 316,297 | $2.6M |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | Reduce -35.6% | 2,073,000 | $2.5M |
| MICROCHIP TECHNOLOGY INC (MCHP 0.125 11/15/24) | NOTE 0.125%11/1 · principal | Sold out | 2,486,000 | $2.5Mbefore exit |
| NICE LTD (NICEIT 0 09/15/25) | NOTE 9/1 · principal | Add +0.4% | 2,559,000 | $2.5M |
| SHIFT4 PAYMENTS INC (FOUR 0 12/15/25) | NOTE 12/1 · principal | New | 1,610,000 | $2.2M |
| NUTANIX INC (NTNX 0.25 10/01/27) | NOTE 0.250%10/0 · principal | Sold out | 1,671,000 | $2.0Mbefore exit |
| SAREPTA THERAPEUTICS INC (SRPT 1.5 11/15/24) | DBCV 1.500%11/1 · principal | Sold out | 1,127,000 | $1.9Mbefore exit |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | Add +22.3% | 90,000 | $1.9M |
| SOUTHWEST AIRLINES CO (LUV 1.25 05/01/25) | NOTE 1.250% 5/0 · principal | Reduce -48.4% | 1,579,000 | $1.6M |
| BOOKING HOLDINGS INC (BKNG 0.75 05/01/25) | NOTE 0.750% 5/0 · principal | Reduce -93.6% | 571,000 | $1.5M |
| LIVE NATION ENTERTAINMEN (LYV 2 02/15/25) | NOTE 2.000% 2/1 · principal | New | 1,226,000 | $1.5M |
| AKAMAI TECHNOLOGIES INC (AKAM 0.375 09/01/27) | NOTE 0.375% 9/0 · principal | Add +19.3% | 1,076,000 | $1.1M |
| CHART INDUSTRIES INC (GTLS 6.75 12/15/25 B) | 6.75DP CNV PFD B | New | 14,000 | $987K |
| EXEEW Chesapeake Energy Corp. -CW26 | *W EXP 02/09/202 | Reduce -39.8% | 9,694 | $926K |
| APOLLO GLOBAL MANAGEMENT (APO 6.75 07/31/26) | SER A MAND CNV | New | 10,508 | $913K |
Showing the first 50 of 121.
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 |