Warberg Asset Management LLC
In its 13F for Q1 2026 (holdings as of March 31, 2026, filed May 7, 2026), Warberg Asset Management LLC reported 90 stock positions worth $48.6 million. Its top holding was Cornerstone Strategic Invest (CLM) at 15.6% of the portfolio, followed by Stereotaxis (STXS, 4.1%) and SS Energy Select Sector (XLE, 3.6%). Compared with Q4 2025, it opened 38 new positions, sold out of 28, added to 2 and reduced 21. The biggest buy was a new position in Cornerstone Strategic Invest (CLM) and the biggest sale Stereotaxis (STXS, shares −1%).
- Most Recent 13F
- Q2 2026
- Location
- WINNETKA, IL
- CIK
- 0001597506
- Portfolio Value
- $48.6M (Q1 2026)
- SEC Filing
- 0001597506-26-000002 ↗ filed May 7, 2026
Holdings Value
Holdings 90 stocks · $48.6M
| CLM Cornerstone Strategic Invest | 15.61% | 1,041,935 | $7.6M | New |
| STXS Stereotaxis Inc. | 4.14% | 1,094,123 | $2.0M | Reduce -1.2% |
| XLE SS Energy Select Sector | 3.64% | 28,903 | $1.8M | New |
| QQQ Invesco QQQ Trust Series 1 | 3.56% | 3,000 | $1.7M | New |
| SGOV iShares 0-3 Month Treasury B | 3.51% | 16,928 | $1.7M | New |
| FGII FG Imperii Acquisition Class A | 3.15% | 154,908 | $1.5M | New |
| XSLL Xsolla Spac 1 Class A | 2.89% | 143,000 | $1.4M | New |
| VNME Vendome Acquisition Corp. Class A | 2.47% | 118,983 | $1.2M | Reduce -14.1% |
| TAVI Tavia Acquisition Corp. | 2.27% | 104,360 | $1.1M | No change |
| NEN New England Realty Assoc-LP | 2.21% | 17,706 | $1.1M | Add +3.9% |
| PONOU Pono Capital Four Inc. | 2.16% | 105,000 | $1.0M | New |
| CHAR Charlton Aria Acquisiti Class A | 2.15% | 98,664 | $1.0M | Reduce 0.0% |
| CTAAU Clearthink 1 Acquisition Cor | 2.02% | 98,500 | $984K | New |
| PTOR Praetorian Acquisition Cor-A | 2.02% | 99,999 | $980K | New |
| DMAA Drugs Made in America Acquis | 1.99% | 92,054 | $966K | Reduce 0.0% |
| ORIQ Origin Investment Corp. I | 1.75% | 83,610 | $852K | No change |
| BKHA Black Hawk Acquisition Cor-A | 1.73% | 72,323 | $841K | No change |
| KCHV Kochav Defense Acquisition-A | 1.62% | 76,780 | $787K | Reduce -0.0% |
| TDAC Translational Development Ac | 1.60% | 73,422 | $777K | No change |
| DBCA D. Boral Acquisition I Class A | 1.56% | 77,000 | $759K | New |
| SVAQ Silicon Valley Acquisit Class A | 1.53% | 75,000 | $742K | No change |
| XCBE X3 Acquisition Corp. Ltd. Class A | 1.52% | 75,000 | $738K | New |
| VHCP Vine Hill Capital Inves Class A | 1.44% | 70,497 | $698K | Reduce -1.9% |
| RFAM RF Acquisition Corp. III | 1.41% | 70,000 | $685K | New |
| XLF SS Financial Select Sector | 1.32% | 13,000 | $642K | New |
| PAACU Proem Acquisition Corp. I | 1.06% | 51,500 | $515K | New |
| CRAQ Cal Redwood Acquisit Class A | 1.04% | 49,900 | $507K | No change |
| BHAVU Bhav Acquisition Corp. | 1.03% | 50,000 | $499K | New |
| ARTC Art Technology Acquisit Class A | 1.01% | 50,000 | $491K | New |
| HYG Ishr Ibx Usd Hiyld CB ETF-Ui | 0.98% | 6,000 | $477K | New |
| CRAC Crown Reserve Acquisiti Class A | 0.97% | 47,110 | $472K | Reduce -4.5% |
| SCII SC II Acquisition Corp. Class A | 0.95% | 46,200 | $461K | Reduce -0.2% |
| MMTX Miluna Acquisition Class A | 0.95% | 45,989 | $460K | Reduce -0.0% |
| TVAI Thayer Ventures Acquis Class A | 0.94% | 44,699 | $455K | No change |
| INAC Indigo Acquisition Corp. | 0.93% | 44,612 | $453K | No change |
| LKSP Lake Superior Acquisiti Class A | 0.93% | 44,947 | $451K | No change |
| POST Post Holdings Inc. filed as POST HLDGS INC | 0.92% | 4,500 | $445K | No change |
| GBIL Goldman Sachs Access Treasur | 0.82% | 4,000 | $401K | New |
| USAR USA Rare Earth Inc. | 0.79% | 25,333 | $383K | No change |
| HAVA Harvard Ave Acquisition Class A | 0.77% | 37,500 | $375K | No change |
| GTERA Globa Terra Acquisition Co. Class A | 0.76% | 36,300 | $370K | No change |
| OTGA Otg Acquisition Corp. I Class A | 0.73% | 35,438 | $357K | No change |
| CHPG Championsgate Acquisitio-A | 0.73% | 34,742 | $356K | No change |
| YCY Aa Mission Acquisition-A | 0.72% | 34,987 | $352K | Reduce -0.0% |
| FMACU Future Money Acquisition Cor | 0.72% | 35,000 | $350K | New |
| CCAQ Collective Acquisition Corp. filed as DUNE ACQUISITION CORP II | 0.60% | 28,303 | $292K | Reduce -0.3% |
| APAC Stonebridge Acquisition Class A | 0.57% | 27,500 | $276K | No change |
| MKLY McKinley Acquisition Co. Class A | 0.56% | 27,000 | $271K | No change |
| PGAC Pantages Capital Acquisition | 0.53% | 24,760 | $259K | Reduce -67.5% |
| ENHA Enhanced Group Inc. filed as A PARADISE ACQUISITION CORP | 0.52% | 25,000 | $254K | No change |
| SOCA Solarius Capital Acquis Class A | 0.52% | 24,895 | $253K | No change |
| EVOX Evolution Global Acquis Class A | 0.51% | 25,000 | $249K | No change |
| IPXGU Columbus Circle Capital Corp. | 0.51% | 25,000 | $249K | New |
| TDWD Tailwind 2.0 Acquisitio Class A | 0.51% | 24,900 | $247K | No change |
| LAFA Lafayette Acquisition Corp. | 0.50% | 24,553 | $245K | No change |
| AXIN Axiom Intelligence Class A | 0.50% | 23,992 | $243K | Reduce -0.0% |
| DRDB Roman DBDR Acquisition Corp. | 0.50% | 23,206 | $243K | Reduce -2.9% |
| CRAN Crane Harbor Acquisitio Class A | 0.48% | 23,512 | $233K | Reduce -40.0% |
| RIBB Ribbon Acquisition Corp. | 0.47% | 21,826 | $229K | Add +22.6% |
| QSEA Quartzsea Acquisition Corp. | 0.47% | 21,951 | $228K | Reduce -8.5% |
| GIXXU GIGCAPITAL9 Corp. | 0.45% | 21,796 | $219K | New |
| TLT iShares 20+ Year Treasury BD | 0.45% | 2,500 | $217K | New |
| NSTR Northstar Earth & Space Ente filed as VIKING ACQUISITION CORP I | 0.43% | 21,201 | $211K | No change |
| BIXI Bitcoin Infrastructure Class A | 0.41% | 20,000 | $198K | No change |
| COPL Copley Acquisition Corp. Class A | 0.37% | 17,400 | $180K | No change |
| BCAR D. Boral Arc Acquisit Class A | 0.37% | 17,585 | $178K | Reduce -84.6% |
| KOYN CSLM Digital Asset Acqu - A | 0.33% | 15,828 | $159K | No change |
| EURK Eureka Acquisition Corp. | 0.30% | 12,783 | $145K | Reduce -19.0% |
| DC Dakota Gold Corp. | 0.26% | 25,045 | $126K | New |
| OACC Oaktree Acquisition Corp. I-A | 0.22% | 10,025 | $106K | New |
| OYSE Oyster Enterprises II Acq-A | 0.21% | 10,000 | $102K | No change |
| AACIU Armada Acquisition Corp. III | 0.20% | 10,000 | $100K | New |
| RVPH Reviva Pharmaceuticals Holdi | 0.14% | 90,772 | $66K | New |
| VEEE Twin Vee Powercats Co. | 0.13% | 239,431 | $61K | New |
| CLDI Calidi Biotherapeutics Inc. | 0.12% | 250,000 | $59K | New |
| OTLK Outlook Therapeutics Inc. | 0.12% | 275,000 | $56K | New |
| LFCR Lifecore Biomedical Inc. | 0.11% | 15,000 | $56K | New |
| VOXR Vox Royalty Corp. | 0.11% | 10,000 | $52K | New |
| VANI Vivani Medical Inc. | 0.08% | 40,000 | $40K | Reduce -9.7% |
| VENU Venu Holding Corp. filed as VENU HLDG CORP | 0.08% | 12,000 | $40K | New |
| CLRB Cellectar Biosciences Inc. | 0.07% | 13,900 | $35K | No change |
| PMNT Perfect Moment Ltd. | 0.05% | 95,200 | $24K | New |
| PROP Prairie Operating Co. | 0.04% | 10,000 | $20K | New |
| ICCM Icecure Medical Ltd. | 0.04% | 65,568 | $20K | New |
| FEAM 5E Advanced Materials Inc. | 0.04% | 12,312 | $17K | New |
| ALP Alpha Compute Corp. filed as ALPHATON CAPITAL CORP | 0.03% | 42,133 | $14K | New |
| GAME Gamesquare Hldgs Inc. | 0.03% | 50,000 | $14K | No change |
| SNYRQ Synergy CHC Corp. | 0.03% | 10,222 | $13K | Reduce -25.3% |
| ERNEXA THERAPEUTICS INC | 0.02% | 50,000 | $10K | New |
| CRIS Curis Inc. | 0.01% | 10,000 | $5K | Reduce -75.2% |
Options reported separately and not counted above: STATE STR SPDR S&P 500 ETF T puts ($201.6M), INVESCO QQQ TR puts ($20.2M), EXXON MOBIL CORP calls ($5.1M), UNITED STS OIL FD LP puts ($5.0M), ISHARES TR puts ($4.3M), NVIDIA CORPORATION puts ($3.8M), CANTALOUPE INC puts ($2.6M), STRATEGY INC calls ($1.7M), SELECT SECTOR SPDR TR puts ($1.5M), OCCIDENTAL PETE CORP calls ($1.3M), STARBUCKS CORP puts ($1.3M), PALANTIR TECHNOLOGIES INC puts ($1.2M), and 14 more.
Other holdings (76): bonds, preferreds, convertibles and warrants · $294.1M (not counted above)
| Security | Class | Shares / Principal | Value | Change |
|---|---|---|---|---|
| LUMENTUM HOLDINGS INC (LITE 0.5 12/15/26) | NOTE 0.500%12/1 · principal | 9,700,000 | $68.5M | Add +311.0% |
| SEAGATE HDD CAYMAN (STX 3.5 06/01/28) | NOTE 3.500% 6/0 · principal | 7,592,000 | $36.0M | Add +20.8% |
| CNX RESOURCES CORP (CNX 2.25 05/01/26) | NOTE 2.250% 5/0 · principal | 11,473,000 | $34.4M | Add +43.8% |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | 486,509 | $20.9M | Add +195.0% |
| MICROCHIP TECHNOLOGY INC (MCHP 1.625 02/15/27) | NOTE 1.625% 2/1 · principal | 11,106,000 | $20.4M | No change |
| LIVE NATION ENTERTAINMEN (LYV 3.125 01/15/29) | NOTE 3.125% 1/1 · principal | 10,658,000 | $16.2M | Add +0.4% |
| WISDOMTREE INVESTMENTS (WT 3.25 06/15/26) | NOTE 3.250% 6/1 · principal | 7,712,000 | $10.2M | Add +53.7% |
| VENTAS REALTY LP (VTR 3.75 06/01/26) | NOTE 3.750% 6/0 · principal | 5,389,000 | $8.1M | Reduce -47.4% |
| LCI INDUSTRIES (LCII 3 03/01/30) | NOTE 3.000% 3/0 · principal | 6,500,000 | $7.9M | New |
| HALOZYME THERAPEUTICS IN (HALO 1 08/15/28) | NOTE 1.000% 8/1 · principal | 6,000,000 | $7.7M | Reduce -25.0% |
| TXNM ENERGY INC (TXNM 5.75 06/01/54) | NOTE 5.750% 6/0 · principal | 5,000,000 | $6.7M | New |
| ALNYLAM PHARMACEUTICALS (ALNY 1 09/15/27) | NOTE 1.000% 9/1 · principal | 5,002,000 | $6.4M | No change |
| ASTRONICS CORP (ATRO 5.5 03/15/30) | NOTE 5.500% 3/1 · principal | 1,685,000 | $5.2M | Add +149.6% |
| SNOWFLAKE INC (SNOW 0 10/01/29) | NOTE 10/0 · principal | 4,000,000 | $4.9M | New |
| CENTERPOINT ENERGY INC (CNP 4.25 08/15/26) | NOTE 4.250% 8/1 · principal | 3,000,000 | $3.6M | No change |
| WISDOMTREE INC (WT 3.25 08/15/29) | NOTE 3.250% 8/1 · principal | 2,500,000 | $3.3M | No change |
| AKAMAI TECHNOLOGIES INC (AKAM 1.125 02/15/29) | NOTE 1.125% 2/1 · principal | 2,500,000 | $2.9M | New |
| ALBEMARLE CORP (ALB 7.25 03/01/27) | 7.25% DEP SHS A | 38,500 | $2.8M | Add +219.9% |
| SHIFT4 PAYMENTS INC (FOUR 6 05/01/28) | 6 SER A CNV PREF | 49,991 | $2.7M | New |
| UBER TECHNOLOGIES INC (UBER 0.875 12/01/28 2028) | NOTE 0.875%12/0 · principal | 1,953,000 | $2.4M | Add +2.6% |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | 267,900 | $2.3M | Add +20.7% |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | 99,923 | $2.3M | Add +2.9% |
| IRHYTHM HOLDINGS INC (IRTC 1.5 09/01/29) | NOTE 1.500% 9/0 · principal | 2,000,000 | $2.2M | New |
| POST HOLDINGS INC (POST 2.5 08/15/27) | NOTE 2.500% 8/1 · principal | 2,000,000 | $2.2M | Reduce -77.5% |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | 2,121,000 | $2.1M | Reduce -57.6% |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | 1,500 | $1.8M | Add +71.8% |
| EVERGY INC (EVRG 4.5 12/15/27) | NOTE 4.500%12/1 · principal | 1,169,000 | $1.6M | Add +76.8% |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | 56,999 | $1.5M | Add +5.9% |
| EPR PROPERTIES (EPR 9 PERP E) | CONV PFD 9% SR E | 49,292 | $1.5M | Reduce -11.1% |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | 29,855 | $913K | New |
| NUTANIX INC (NTNX 0.25 10/01/27) | NOTE 0.250%10/0 · principal | 757,000 | $773K | No change |
| VAL.WS Valaris Ltd. -CW28 | *W EXP 04/29/202 | 41,465 | $663K | New |
| CENTURY ALUMINUM COMPANY (CENX 2.75 05/01/28) | NOTE 2.750% 5/0 · principal | 188,000 | $589K | No change |
| PL.WS Planet Labs PBC -CW26 | *W EXP 12/06/202 | 27,076 | $445K | Add +90.5% |
| AMPX.WS Amprius Technologies Inc. | *W EXP 09/14/202 | 63,200 | $434K | New |
| NEXTERA ENERGY CAPITAL (NEE 3 03/01/27) | NOTE 3.000% 3/0 · principal | 254,000 | $353K | No change |
| IAUX.WS I-80 Gold Corp. -26 | *W EXP 11/16/202 | 291,753 | $292K | Add +7.1% |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | 151,162 | $214K | Reduce -29.1% |
| BIVIW Biovie Inc. -30 | *W EXP 08/08/203 | 456,629 | $142K | Reduce -1.1% |
| BCTXL Briacell Therapeutics Corp. | *W EXP 01/15/203 | 115,000 | $118K | New |
| GROY.WS Gold Royalty Corp. -29 | *W EXP 05/31/202 | 68,508 | $113K | Add +124.2% |
| MOBBW Mobilicom Ltd. -27 | *W EXP 08/31/202 | 50,900 | $92K | Reduce -15.0% |
| BESS.WS Bimergen Energy Corp. | *W EXP 12/12/203 | 97,248 | $78K | New |
| EONR.WS HNR Acquisition Corp. -CW23 | *W EXP 11/15/202 | 547,077 | $62K | Reduce -16.8% |
| JOBY.WS Joby Aviation Inc. -CW25 | *W EXP 08/10/202 | 44,818 | $35K | Reduce -39.8% |
| VWAVW Visionwave Holdings Inc. | *W EXP 07/14/203 | 37,000 | $32K | Reduce -53.8% |
| LVWR.WS Livewire Group Inc.-27 | *W EXP 09/26/202 | 599,657 | $30K | Reduce -0.1% |
| ON SEMICONDUCTOR CORP (ON 0 05/01/27) | NOTE 5/0 · principal | 19,000 | $24K | New |
| AMPGZ Amplitech Group Inc. RT-B | RIGHT 11/20/2026 | 166,667 | $20K | New |
| AMPGR Amplitech Group Inc. RT-A | RIGHT 07/18/2026 | 200,117 | $19K | New |
| NAMMW Namib Minerals | *W EXP 06/05/203 | 132,494 | $18K | Reduce -14.5% |
| FLYX.WS Eg Acquisition Corp.-A -CW28 | *W EXP 99/99/999 | 33,024 | $13K | Reduce -52.8% |
| DAICW Cid Holdco Inc. -26 | *W EXP 12/31/202 | 377,800 | $10K | No change |
| OPFI.WS Oppfi Inc. -CW26 | *W EXP 07/20/202 | 74,310 | $10K | Reduce -34.0% |
| XCBEW X3 Acquisition Corp. Ltd. | *W EXP 12/19/203 | 37,500 | $9K | New |
| SVAQW Silicon Valley Acquisition C | *W EXP 12/08/203 | 31,600 | $9K | Reduce -15.7% |
| FTW.WS Presidio Pubco Inc. | *W EXP 03/04/203 | 10,500 | $9K | New |
| NXGLW Nexgel Inc. -CW26 | *W EXP 12/27/202 | 146,091 | $8K | No change |
| ERNAW Ernexa Therapeutics Inc. - 31 | *W EXP 02/04/203 | 253,800 | $7K | New |
| TGE.WS Generation Essentials - 30 | *W EXP 02/15/202 | 35,775 | $7K | No change |
| PTORW Praetorian Acquisition Corp. | *W EXP 01/16/203 | 21,732 | $7K | New |
| FGIIW FG Imperii Acquisition Corp. | *W EXP 10/14/203 | 37,029 | $6K | New |
| XSLLW Xsolla Spac 1 | *W EXP 01/12/203 | 28,234 | $6K | New |
| VHCPW Vine Hill Capital Investment | *W EXP 11/25/203 | 12,356 | $5K | Reduce -48.4% |
| MRNOW Murano Global BV-28 | *W EXP 03/19/202 | 63,000 | $3K | Reduce -23.8% |
| BTBDW BT Brands Inc. -CW26 | *W EXP 11/12/202 | 10,000 | $2K | No change |
| PIIIW P3 Health Partne -CW27 | *W EXP 11/19/202 | 292,107 | $2K | No change |
| HAVAR Harvard Ave Acquisition | RIGHT 99/99/9999 | 12,190 | $2K | Reduce -25.7% |
| AERTW Aeries Technology Inc. -CW23 | *W EXP 11/06/202 | 70,787 | $1K | No change |
| APLMW Apollomics Inc.-27 | *W EXP 04/01/202 | 87,049 | $1K | No change |
| SVREW Saverone 2014 Ltd. -CW27 | *W EXP 06/02/202 | 125,026 | $1K | No change |
| BNCWW Cea Industries Inc. -CW27 | *W EXP 02/11/202 | 35,000 | $1K | No change |
| HUBCW Hub Cyber Security Ltd.-28 | *W EXP 02/27/202 | 162,771 | $1K | No change |
| CRACW Crown Reserve Acquisition Co. | *W EXP 10/06/203 | 12,352 | $587 | Reduce -27.8% |
| ANGHW Anghami Inc. -CW27 | *W EXP 02/03/202 | 40,409 | $501 | No change |
| RNWWW Renew Energy Global -CW26 | *W EXP 08/21/202 | 31,092 | $239 | No change |
Total filed on the 13F, all lines: $342.7M.
Portfolio Sells Q4 2025 → Q1 2026
| STXS Stereotaxis Inc. | Reduce -1.2% | 4.14% | −3.97 |
| BCAR D. Boral Arc Acquisit Class A | Reduce -84.6% | 0.37% | −3.29 |
| RGTI Rigetti Computing Inc. | Sold out | 0.00% | −2.94 |
| AAM Aa Mission Acquisition Cor-A | Sold out | 0.00% | −2.28 |
| PGAC Pantages Capital Acquisition | Reduce -67.5% | 0.53% | −1.99 |
| VNME Vendome Acquisition Corp. Class A | Reduce -14.1% | 2.47% | −1.95 |
| TLNC Talon Capital Corp. Class A | Sold out | 0.00% | −1.86 |
| KVACF Keen Vision Acquisition Corp. | Sold out | 0.00% | −1.72 |
| PELI Pelican Acquisition Corp. | Sold out | 0.00% | −1.62 |
| QUMS Quantumsphere Acquisition Co. | Sold out | 0.00% | −1.32 |
| CHAR Charlton Aria Acquisiti Class A | Reduce 0.0% | 2.15% | −1.15 |
| OKLO Oklo Inc. | Sold out | 0.00% | −1.14 |
| DMAA Drugs Made in America Acquis | Reduce 0.0% | 1.99% | −1.05 |
| MPTI M-Tron Industries Inc. | Sold out | 0.00% | −0.89 |
| CAPN Cayson Acquisition Corp. | Sold out | 0.00% | −0.89 |
| KCHV Kochav Defense Acquisition-A | Reduce -0.0% | 1.62% | −0.86 |
| VHCP Vine Hill Capital Inves Class A | Reduce -1.9% | 1.44% | −0.86 |
| CRAN Crane Harbor Acquisitio Class A | Reduce -40.0% | 0.48% | −0.78 |
| WTG Wintergreen Acquisition Corp. | Sold out | 0.00% | −0.77 |
| HCACU Hall Chadwick Acquisition Co. | Sold out | 0.00% | −0.64 |
| CRAC Crown Reserve Acquisiti Class A | Reduce -4.5% | 0.97% | −0.59 |
| SCII SC II Acquisition Corp. Class A | Reduce -0.2% | 0.95% | −0.54 |
| PROF Profound Medical Corp. | Sold out | 0.00% | −0.53 |
| MMTX Miluna Acquisition Class A | Reduce -0.0% | 0.95% | −0.50 |
| FG MERGER II CORP | Sold out | 0.00% | −0.48 |
| UYSC Uy Scuti Acquisition Corp. | Sold out | 0.00% | −0.48 |
| EOSE Eos Energy Enterprises Inc. | Sold out | 0.00% | −0.41 |
| RGNT Regentis Biomaterials Ltd. | Sold out | 0.00% | −0.40 |
| YCY Aa Mission Acquisition-A | Reduce -0.0% | 0.72% | −0.38 |
| ATII Archimedes Tech Spac Partner | Sold out | 0.00% | −0.33 |
| CCAQ Collective Acquisition Corp. | Reduce -0.3% | 0.60% | −0.32 |
| CHECU Chenghe Acquisition III Co. | Sold out | 0.00% | −0.32 |
| QSEA Quartzsea Acquisition Corp. | Reduce -8.5% | 0.47% | −0.31 |
| DRDB Roman DBDR Acquisition Corp. | Reduce -2.9% | 0.50% | −0.29 |
| AKTX Akari Therapeutics PLC | Sold out | 0.00% | −0.28 |
| AXIN Axiom Intelligence Class A | Reduce -0.0% | 0.50% | −0.27 |
| EURK Eureka Acquisition Corp. | Reduce -19.0% | 0.30% | −0.25 |
| CRIS Curis Inc. | Reduce -75.2% | 0.01% | −0.12 |
| MODULAR MED INC | Sold out | 0.00% | −0.11 |
| NXB Nextboat Inc. | Sold out | 0.00% | −0.10 |
| INTS Intensity Therapeutics Inc. | Sold out | 0.00% | −0.09 |
| VANI Vivani Medical Inc. | Reduce -9.7% | 0.08% | −0.09 |
| ASNS Actelis Networks Inc. | Sold out | 0.00% | −0.08 |
| VNRX Volitionrx Ltd. | Sold out | 0.00% | −0.07 |
| REED Reed's Inc. | Sold out | 0.00% | −0.07 |
| EONR Eon Resources Inc. | Sold out | 0.00% | −0.06 |
| SALARIUS PHARMACEUTICALS INC | Sold out | 0.00% | −0.06 |
| SNYRQ Synergy CHC Corp. | Reduce -25.3% | 0.03% | −0.05 |
| SYNX Silynxcom Ltd. | Sold out | 0.00% | −0.05 |
Portfolio Buys Q4 2025 → Q1 2026
| CLM Cornerstone Strategic Invest | New | 15.61% | +15.61 |
| XLE SS Energy Select Sector | New | 3.64% | +3.64 |
| QQQ Invesco QQQ Trust Series 1 | New | 3.56% | +3.56 |
| SGOV iShares 0-3 Month Treasury B | New | 3.51% | +3.51 |
| FGII FG Imperii Acquisition Class A | New | 3.15% | +3.15 |
| XSLL Xsolla Spac 1 Class A | New | 2.89% | +2.89 |
| PONOU Pono Capital Four Inc. | New | 2.16% | +2.16 |
| CTAAU Clearthink 1 Acquisition Cor | New | 2.02% | +2.02 |
| PTOR Praetorian Acquisition Cor-A | New | 2.02% | +2.02 |
| DBCA D. Boral Acquisition I Class A | New | 1.56% | +1.56 |
| XCBE X3 Acquisition Corp. Ltd. Class A | New | 1.52% | +1.52 |
| RFAM RF Acquisition Corp. III | New | 1.41% | +1.41 |
| XLF SS Financial Select Sector | New | 1.32% | +1.32 |
| PAACU Proem Acquisition Corp. I | New | 1.06% | +1.06 |
| BHAVU Bhav Acquisition Corp. | New | 1.03% | +1.03 |
| ARTC Art Technology Acquisit Class A | New | 1.01% | +1.01 |
| HYG Ishr Ibx Usd Hiyld CB ETF-Ui | New | 0.98% | +0.98 |
| GBIL Goldman Sachs Access Treasur | New | 0.82% | +0.82 |
| FMACU Future Money Acquisition Cor | New | 0.72% | +0.72 |
| IPXGU Columbus Circle Capital Corp. | New | 0.51% | +0.51 |
| GIXXU GIGCAPITAL9 Corp. | New | 0.45% | +0.45 |
| TLT iShares 20+ Year Treasury BD | New | 0.45% | +0.45 |
| DC Dakota Gold Corp. | New | 0.26% | +0.26 |
| OACC Oaktree Acquisition Corp. I-A | New | 0.22% | +0.22 |
| AACIU Armada Acquisition Corp. III | New | 0.20% | +0.20 |
| RVPH Reviva Pharmaceuticals Holdi | New | 0.14% | +0.14 |
| VEEE Twin Vee Powercats Co. | New | 0.13% | +0.13 |
| CLDI Calidi Biotherapeutics Inc. | New | 0.12% | +0.12 |
| OTLK Outlook Therapeutics Inc. | New | 0.12% | +0.12 |
| LFCR Lifecore Biomedical Inc. | New | 0.11% | +0.11 |
| VOXR Vox Royalty Corp. | New | 0.11% | +0.11 |
| VENU Venu Holding Corp. | New | 0.08% | +0.08 |
| PMNT Perfect Moment Ltd. | New | 0.05% | +0.05 |
| PROP Prairie Operating Co. | New | 0.04% | +0.04 |
| ICCM Icecure Medical Ltd. | New | 0.04% | +0.04 |
| FEAM 5E Advanced Materials Inc. | New | 0.04% | +0.04 |
| ALP Alpha Compute Corp. | New | 0.03% | +0.03 |
| ERNEXA THERAPEUTICS INC | New | 0.02% | +0.02 |
| RIBB Ribbon Acquisition Corp. | Add +22.6% | 0.47% | −0.12 |
| NEN New England Realty Assoc-LP | Add +3.9% | 2.21% | −1.29 |
Options Activity Q4 2025 → Q1 2026
| STATE STR SPDR S&P 500 ETF T | put | Reduce -51.0% | 310,000 | $201.6M |
| INVESCO QQQ TR | put | Reduce -22.2% | 35,000 | $20.2M |
| EXXON MOBIL CORP | call | New | 30,000 | $5.1M |
| UNITED STS OIL FD LP | put | New | 39,000 | $5.0M |
| NVIDIA CORPORATION | put | Add +57.1% | 22,000 | $3.8M |
| VANECK ETF TRUST | put | Sold out | 39,000 | $3.3Mbefore exit |
| CANTALOUPE INC | put | Add +4.7% | 236,400 | $2.6M |
| STRATEGY INC | call | New | 14,000 | $1.7M |
| SELECT SECTOR SPDR TR | put | Add +50.0% | 30,000 | $1.5M |
| APPLE INC | call | Sold out | 5,000 | $1.4Mbefore exit |
| RIGETTI COMPUTING INC | put | Sold out | 59,800 | $1.3Mbefore exit |
| OCCIDENTAL PETE CORP | call | New | 20,000 | $1.3M |
| STARBUCKS CORP | put | New | 14,000 | $1.3M |
| PALANTIR TECHNOLOGIES INC | put | Reduce -72.4% | 8,000 | $1.2M |
| CARVANA CO | put | Reduce -60.0% | 3,600 | $1.1M |
| ISHARES BITCOIN TRUST ETF | put | Sold out | 20,000 | $993Kbefore exit |
| ISHARES TR | put | Reduce -60.0% | 12,000 | $955K |
| ISHARES SILVER TR | put | Sold out | 13,000 | $837Kbefore exit |
| PG&E CORP | call | Reduce -7.8% | 47,000 | $826K |
| BARCLAYS BANK PLC | call | Add +5.3% | 22,000 | $785K |
| MOSAIC CO | call | Add +20.0% | 30,000 | $765K |
| NVIDIA CORPORATION | call | Sold out | 4,000 | $746Kbefore exit |
| TIDAL TRUST I | put | Sold out | 30,000 | $743Kbefore exit |
| CENTRUS ENERGY CORP | put | Sold out | 3,000 | $728Kbefore exit |
| MICRON TECHNOLOGY INC | call | Reduce -33.3% | 2,000 | $676K |
| PAYPAL HLDGS INC | call | New | 10,000 | $452K |
| OKLO INC | put | Sold out | 6,000 | $431Kbefore exit |
| THE TRADE DESK INC | call | New | 17,000 | $386K |
| VANECK ETF TRUST | call | Reduce -86.4% | 3,000 | $275K |
| ISHARES SILVER TR | call | Reduce -84.0% | 4,000 | $273K |
| UNIQURE NV | call | New | 10,000 | $164K |
| PRAIRIE OPER CO | call | Reduce -43.5% | 31,100 | $63K |
| GOSSAMER BIO INC | call | Sold out | 16,400 | $51Kbefore 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 2025 → Q1 2026
| LUMENTUM HOLDINGS INC (LITE 0.5 12/15/26) | NOTE 0.500%12/1 · principal | Add +311.0% | 9,700,000 | $68.5M |
| SEAGATE HDD CAYMAN (STX 3.5 06/01/28) | NOTE 3.500% 6/0 · principal | Add +20.8% | 7,592,000 | $36.0M |
| CNX RESOURCES CORP (CNX 2.25 05/01/26) | NOTE 2.250% 5/0 · principal | Add +43.8% | 11,473,000 | $34.4M |
| AXON ENTERPRISE INC (AXON 0.5 12/15/27) | NOTE 0.500%12/1 · principal | Sold out | 12,059,000 | $30.4Mbefore exit |
| WESTERN DIGITAL CORP (WDC 3 11/15/28) | NOTE 3.000%11/1 · principal | Sold out | 5,731,000 | $26.3Mbefore exit |
| M/A-COM TECH SOLUTIONS (MTSI 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | Sold out | 11,650,000 | $24.2Mbefore exit |
| OXY.WS Occidental Petroleum-CW27 | *W EXP 08/03/202 | Add +195.0% | 486,509 | $20.9M |
| LIVE NATION ENTERTAINMEN (LYV 3.125 01/15/29) | NOTE 3.125% 1/1 · principal | Add +0.4% | 10,658,000 | $16.2M |
| BOX INC (BOX 0 01/15/26) | NOTE 1/1 · principal | Sold out | 11,302,000 | $13.2Mbefore exit |
| WISDOMTREE INVESTMENTS (WT 3.25 06/15/26) | NOTE 3.250% 6/1 · principal | Add +53.7% | 7,712,000 | $10.2M |
| VENTAS REALTY LP (VTR 3.75 06/01/26) | NOTE 3.750% 6/0 · principal | Reduce -47.4% | 5,389,000 | $8.1M |
| LCI INDUSTRIES (LCII 3 03/01/30) | NOTE 3.000% 3/0 · principal | New | 6,500,000 | $7.9M |
| HALOZYME THERAPEUTICS IN (HALO 1 08/15/28) | NOTE 1.000% 8/1 · principal | Reduce -25.0% | 6,000,000 | $7.7M |
| SPOTIFY USA INC (SPOT 0 03/15/26) | NOTE 3/1 · principal | Sold out | 6,152,000 | $7.0Mbefore exit |
| TXNM ENERGY INC (TXNM 5.75 06/01/54) | NOTE 5.750% 6/0 · principal | New | 5,000,000 | $6.7M |
| PROGRESS SOFTWARE CORP (PRGS 1 04/15/26) | NOTE 1.000% 4/1 · principal | Sold out | 6,606,000 | $6.6Mbefore exit |
| SNOWFLAKE INC (SNOW 0 10/01/27) | NOTE 10/0 · principal | Sold out | 4,136,000 | $6.1Mbefore exit |
| IONIS PHARMACEUTICALS IN (IONS 0 04/01/26) | NOTE 4/0 · principal | Sold out | 4,000,000 | $5.5Mbefore exit |
| ASTRONICS CORP (ATRO 5.5 03/15/30) | NOTE 5.500% 3/1 · principal | Add +149.6% | 1,685,000 | $5.2M |
| SNOWFLAKE INC (SNOW 0 10/01/29) | NOTE 10/0 · principal | New | 4,000,000 | $4.9M |
| FORD MOTOR COMPANY (F 0 03/15/26) | NOTE 3/1 · principal | Sold out | 4,326,000 | $4.5Mbefore exit |
| TYLER TECHNOLOGIES INC (TYL 0.25 03/15/26) | NOTE 0.250% 3/1 · principal | Sold out | 3,000,000 | $3.0Mbefore exit |
| AKAMAI TECHNOLOGIES INC (AKAM 1.125 02/15/29) | NOTE 1.125% 2/1 · principal | New | 2,500,000 | $2.9M |
| ALBEMARLE CORP (ALB 7.25 03/01/27) | 7.25% DEP SHS A | Add +219.9% | 38,500 | $2.8M |
| AMERICAN WATER CAPITAL C (AWK 3.625 06/15/26) | NOTE 3.625% 6/1 · principal | Sold out | 2,751,000 | $2.7Mbefore exit |
| SHIFT4 PAYMENTS INC (FOUR 6 05/01/28) | 6 SER A CNV PREF | New | 49,991 | $2.7M |
| UBER TECHNOLOGIES INC (UBER 0.875 12/01/28 2028) | NOTE 0.875%12/0 · principal | Add +2.6% | 1,953,000 | $2.4M |
| CORZW Core Scientific Inc. - 27 | *W EXP 01/23/202 | Add +20.7% | 267,900 | $2.3M |
| EPR PROPERTIES (EPR 5.75 PERP C) | PFD C CV 5.75% | Add +2.9% | 99,923 | $2.3M |
| IRHYTHM HOLDINGS INC (IRTC 1.5 09/01/29) | NOTE 1.500% 9/0 · principal | New | 2,000,000 | $2.2M |
| POST HOLDINGS INC (POST 2.5 08/15/27) | NOTE 2.500% 8/1 · principal | Reduce -77.5% | 2,000,000 | $2.2M |
| WORKIVA INC (WK 1.125 08/15/26) | NOTE 1.125% 8/1 · principal | Reduce -57.6% | 2,121,000 | $2.1M |
| BANK OF AMERICA CORP (BAC 7.25 PERP L) | 7.25%CNV PFD L | Add +71.8% | 1,500 | $1.8M |
| GREENBRIER COS INC (GBX 2.875 04/15/28) | NOTE 2.875% 4/1 · principal | Sold out | 1,565,000 | $1.7Mbefore exit |
| EVERGY INC (EVRG 4.5 12/15/27) | NOTE 4.500%12/1 · principal | Add +76.8% | 1,169,000 | $1.6M |
| ITRON INC (ITRI 0 03/15/26) | NOTE 3/1 · principal | Sold out | 1,527,000 | $1.5Mbefore exit |
| NOBLE CORP PLC-28 | *W EXP 02/04/202 | Add +5.9% | 56,999 | $1.5M |
| EPR PROPERTIES (EPR 9 PERP E) | CONV PFD 9% SR E | Reduce -11.1% | 49,292 | $1.5M |
| LIBERTY MEDIA CORP (FWONK 2.25 08/15/27) | NOTE 2.250% 8/1 · principal | Sold out | 730,000 | $926Kbefore exit |
| NE.WS Noble Corp. PLC-28 | *W EXP 02/04/202 | New | 29,855 | $913K |
| VAL.WS Valaris Ltd. -CW28 | *W EXP 04/29/202 | New | 41,465 | $663K |
| PL.WS Planet Labs PBC -CW26 | *W EXP 12/06/202 | Add +90.5% | 27,076 | $445K |
| AMPX.WS Amprius Technologies Inc. | *W EXP 09/14/202 | New | 63,200 | $434K |
| IAUX.WS I-80 Gold Corp. -26 | *W EXP 11/16/202 | Add +7.1% | 291,753 | $292K |
| NEOVW Neovolta Inc. -CW27 | *W EXP 04/01/202 | Reduce -29.1% | 151,162 | $214K |
| BIVIW Biovie Inc. -30 | *W EXP 08/08/203 | Reduce -1.1% | 456,629 | $142K |
| BCTXL Briacell Therapeutics Corp. | *W EXP 01/15/203 | New | 115,000 | $118K |
| GROY.WS Gold Royalty Corp. -29 | *W EXP 05/31/202 | Add +124.2% | 68,508 | $113K |
| MOBBW Mobilicom Ltd. -27 | *W EXP 08/31/202 | Reduce -15.0% | 50,900 | $92K |
| BESS.WS Bimergen Energy Corp. | *W EXP 12/12/203 | New | 97,248 | $78K |
Showing the first 50 of 76.
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 |