Location: Winnetka, IL
CIK: 0001597506 · Show all filings
Period: Q3 2021 (← Previous) (Next →)
Filing Date: Nov 15, 2021
Total Value: $617M (49.6% shares, 50.4% debt)
| Ticker | Issuer | Shares | Value | % | Est. Cost | Unrealized | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|
| SPY | SPDR S&P 500 ETF TR | 518,000 | $222M | 36.0% | — | — | Put | 78462F103 |
| — | TESLA INC | 2,510,000 | $29.69M | 4.8% | $10.36 | — | NOTE 2.375% 3/1 | 88160RAD3 |
| — | NUANCE COMMUNICATIONS INC | 7,743,000 | $21.77M | 3.5% | $2.70 | — | NOTE 1.250% 4/0 | 67020YAN0 |
| — | PLUG POWER INC | 3,485,000 | $17.78M | 2.9% | $6.81 | — | NOTE 3.750% 6/0 | 72919PAD5 |
| — | MICROCHIP TECHNOLOGY INC. | 5,073,000 | $17.17M | 2.8% | $3.38 | — | NOTE 1.625% 2/1 | 595017AD6 |
| — | CLOUDFLARE INC | 5,000,000 | $15.09M | 2.4% | $3.02 | — | NOTE 0.750% 5/1 | 18915MAB3 |
| — | RH | 4,575,000 | $14.39M | 2.3% | $3.06 | — | NOTE 9/1 | 74967XAD5 |
| — | SNAP INC | 4,000,000 | $13.65M | 2.2% | $3.15 | — | NOTE 0.250% 5/0 | 83304AAD8 |
| — | REPLIGEN CORP | 5,025,000 | $12.72M | 2.1% | $2.27 | — | NOTE 0.375% 7/1 | 759916AB5 |
| — | SEA LTD | 3,533,000 | $12.55M | 2.0% | $3.08 | — | NOTE 2.375%12/0 | 81141RAF7 |
| — | ON SEMICONDUCTOR CORP | 5,450,000 | $12.28M | 2.0% | $2.04 | — | NOTE 1.625%10/1 | 682189AP0 |
| — | RH | 3,409,000 | $11.69M | 1.9% | $2.44 | — | NOTE 6/1 | 74967XAA1 |
| — | DEXCOM INC | 3,355,000 | $11.16M | 1.8% | $2.32 | — | NOTE 0.750%12/0 | 252131AH0 |
| — | PALO ALTO NETWORKS INC | 5,722,000 | $10.4M | 1.7% | $1.52 | — | NOTE 0.750% 7/0 | 697435AD7 |
| QQQ | INVESCO QQQ TR | 25,000 | $8.949M | 1.5% | $358.00 | — | Put | 46090E103 |
| — | WAYFAIR INC | 3,555,000 | $8.003M | 1.3% | $2.01 | — | NOTE 1.125%11/0 | 94419LAD3 |
| TSLA | TESLA INC | 10,000 | $7.755M | 1.3% | — | — | Put | 88160R101 |
| — | SEA LTD | 1,175,000 | $7.469M | 1.2% | $6.27 | — | NOTE 1.000%12/0 | 81141RAD2 |
| — | WIX COM LTD | 4,830,000 | $7.171M | 1.2% | $1.96 | — | NOTE 7/0 | 92940WAB5 |
| — | MERCADOLIBRE INC | 1,734,000 | $6.627M | 1.1% | $3.81 | — | NOTE 2.000% 8/1 | 58733RAD4 |
| — | ETSY INC | 2,564,000 | $6.226M | 1.0% | $2.38 | — | NOTE 0.125%10/0 | 29786AAJ5 |
| — | SQUARE INC | 1,782,000 | $5.49M | 0.9% | $2.81 | — | NOTE 0.500% 5/1 | 852234AD5 |
| — | ZILLOW GROUP INC | 2,450,000 | $5.061M | 0.8% | $2.99 | — | NOTE 0.750% 9/0 | 98954MAE1 |
| — | ZENDESK INC | 2,350,000 | $4.396M | 0.7% | $2.27 | — | NOTE 0.250% 3/1 | 98936JAB7 |
| — | WORKDAY INC | 2,500,000 | $4.285M | 0.7% | $1.71 | — | NOTE 0.250%10/0 | 98138HAF8 |
| EXEEW | CHESAPEAKE ENERGY CORP | 118,000 | $4.285M | 0.7% | $36.31 | — | *W EXP 99/99/999 | 165167164 |
| — | HERCULES CAPITAL INC | 4,004,000 | $4.186M | 0.7% | $1.06 | — | DBCV 4.375% 2/0 | 427096AF9 |
| — | VARONIS SYS INC | 2,000,000 | $4.112M | 0.7% | $1.96 | — | NOTE 1.250% 8/1 | 922280AB8 |
| — | MIDDLEBY CORP | 2,600,000 | $3.718M | 0.6% | $1.43 | — | NOTE 1.000% 9/0 | 596278AB7 |
| DASH | DOORDASH INC | 18,000 | $3.708M | 0.6% | — | — | Put | 25809K105 |
| TLT | ISHARES TR | 25,000 | $3.608M | 0.6% | — | — | Put | 464287432 |
| MRNA | MODERNA INC | 9,000 | $3.464M | 0.6% | — | — | Put | 60770K107 |
| — | MICROCHIP TECHNOLOGY INC. | 1,480,000 | $3.404M | 0.6% | $2.30 | — | NOTE 2.250% 2/1 | 595017AH7 |
| — | Q2 HLDGS INC | 2,309,000 | $3.332M | 0.5% | $1.79 | — | NOTE 0.750% 2/1 | 74736LAB5 |
| — | KBR INC | 2,065,000 | $3.325M | 0.5% | $1.57 | — | NOTE 2.500%11/0 | 48242WAB2 |
| — | SQUARE INC | 1,581,000 | $3.21M | 0.5% | $2.05 | — | NOTE 0.125% 3/0 | 852234AF0 |
| — | PAVMED INC | 445,899 | $3.095M | 0.5% | $6.36 | — | *W EXP 04/30/202 | 70387R122 |
| — | AKAMAI TECHNOLOGIES INC | 2,500,000 | $3.036M | 0.5% | $1.28 | — | NOTE 0.125% 5/0 | 00971TAJ0 |
| — | PENN NATL GAMING INC | 928,000 | $2.967M | 0.5% | $4.50 | — | NOTE 2.750% 5/1 | 707569AU3 |
| — | NEXTERA ENERGY INC | 47,833 | $2.799M | 0.5% | $58.76 | — | UNIT 09/01/2022S | 65339F796 |
| — | SOUTHWEST AIRLS CO | 1,706,000 | $2.55M | 0.4% | $1.72 | — | NOTE 1.250% 5/0 | 844741BG2 |
| AAPL | APPLE INC | 17,500 | $2.476M | 0.4% | — | — | Put | 037833100 |
| — | HUBSPOT INC | 325,000 | $2.319M | 0.4% | $6.45 | — | NOTE 0.250% 6/0 | 443573AB6 |
| — | MUDRICK CAPITAL ACQU CORP II | 231,400 | $2.302M | 0.4% | $10.18 | — | COM CL A | 62477L107 |
| SLV | ISHARES SILVER TR | 110,000 | $2.257M | 0.4% | — | — | Call | 46428Q109 |
| — | BLACKLINE INC | 1,339,000 | $2.247M | 0.4% | $1.59 | — | NOTE 0.125% 8/0 | 09239BAB5 |
| — | FTI CONSULTING INC | 1,597,000 | $2.235M | 0.4% | $1.44 | — | NOTE 2.000% 8/1 | 302941AP4 |
| — | HCI GROUP INC | 1,194,000 | $2.185M | 0.4% | $1.31 | — | NOTE 4.250% 3/0 | 40416EAD5 |
| SPY | SPDR S&P 500 ETF TR | 5,000 | $2.146M | 0.3% | — | — | Call | 78462F103 |
| — | ESSENTIAL UTILS INC | 35,990 | $2.065M | 0.3% | $57.43 | — | UNIT 04/30/2022 | 29670G201 |
| — | KNOWLES CORP | 2,010,000 | $2.044M | 0.3% | $1.20 | — | NOTE 3.250%11/0 | 49926DAB5 |
| IIPR | INNOVATIVE INDL PPTYS INC | 8,400 | $1.942M | 0.3% | — | — | Put | 45781V101 |
| — | INSULET CORP | 623,000 | $1.898M | 0.3% | $2.74 | — | NOTE 1.375%11/1 | 45784PAH4 |
| — | NICE SYS INC | 536,000 | $1.828M | 0.3% | $3.39 | — | NOTE 1.250% 1/1 | 65366HAB9 |
| EXEEL | CHESAPEAKE ENERGY CORP | 62,000 | $1.813M | 0.3% | $29.24 | — | *W EXP 09/02/202 | 165167180 |
| QQQ | INVESCO QQQ TR | 5,000 | $1.79M | 0.3% | $358.00 | — | UNIT SER 1 | 46090E103 |
| WSC | WILLSCOT MOBIL MINI HLDNG CO | 56,004 | $1.776M | 0.3% | $28.74 | +0.5% | COM CL A | 971378104 |
| — | BARCLAYS BANK PLC | 60,000 | $1.67M | 0.3% | $29.49 | — | Call | 06747R477 |
| GDX | VANECK ETF TRUST | 55,000 | $1.621M | 0.3% | — | — | Call | 92189F106 |
| — | NEXTERA ENERGY INC | 30,000 | $1.529M | 0.2% | $50.97 | — | UNIT 99/99/9999 | 65339F770 |
| — | INFRA AND ENERGY ALTRNTIVE I | 1,278,607 | $1.509M | 0.2% | $1.92 | — | *W EXP 03/27/202 | 45686J112 |
| — | DOCUSIGN INC | 367,000 | $1.318M | 0.2% | $3.85 | — | NOTE 0.500% 9/1 | 256163AB2 |
| — | RAMBUS INC DEL | 977,000 | $1.235M | 0.2% | $1.26 | — | NOTE 1.375% 2/0 | 750917AG1 |
| ARKK | ARK ETF TR | 10,000 | $1.105M | 0.2% | — | — | Put | 00214Q104 |
| — | SNAP INC | 326,000 | $1.064M | 0.2% | $3.07 | — | NOTE 0.750% 8/0 | 83304AAB2 |
| TMV | DIREXION SHS ETF TR | 15,000 | $935K | 0.2% | — | — | Call | 25460G849 |
| SSSS | SURO CAPITAL CORP | 64,929 | $838K | 0.1% | $13.92 | -5.7% | COM NEW | 86887Q109 |
| DOCN | DIGITALOCEAN HLDGS INC | 10,000 | $776K | 0.1% | — | — | Put | 25402D102 |
| NEN | NEW ENGLAND RLTY ASSOC LTD P | 12,090 | $737K | 0.1% | $55.93 | — | DEPOSITRY RCPT | 644206104 |
| — | PERSHING SQUARE TONTINE HLDG | 35,000 | $690K | 0.1% | $23.31 | — | COM CL A | 71531R109 |
| — | ZILLOW GROUP INC | 325,000 | $685K | 0.1% | $2.56 | — | NOTE 1.375% 9/0 | 98954MAG6 |
| F | FORD MTR CO DEL | 48,000 | $680K | 0.1% | — | — | Call | 345370860 |
| SSSS | SURO CAPITAL CORP | 49,200 | $635K | 0.1% | $13.92 | -5.7% | Put | 86887Q109 |
| — | CONMED CORP | 403,000 | $626K | 0.1% | $1.57 | — | NOTE 2.625% 2/0 | 207410AF8 |
| — | DICKS SPORTING GOODS INC | 158,000 | $581K | 0.1% | $3.50 | — | NOTE 3.250% 4/1 | 253393AD4 |
| GCMGW | GCM GROSVENOR INC | 288,705 | $575K | 0.1% | $1.06 | — | *W EXP 11/17/202 | 36831E116 |
| — | INSEEGO CORP | 73,200 | $488K | 0.1% | $14.64 | — | Put | 45782B104 |
| — | INSEEGO CORP | 73,200 | $488K | 0.1% | $14.64 | — | COM | 45782B104 |
| — | INTL GNRL INSURANCE HLDNGS L | 649,842 | $458K | 0.1% | $0.41 | — | *W EXP 03/17/202 | G4809J114 |
| TBT | PROSHARES TR | 24,000 | $440K | 0.1% | — | — | Call | 74347B201 |
| QS | QUANTUMSCAPE CORP | 17,000 | $417K | 0.1% | — | — | Call | 74767V109 |
| MYSEW | DATCHAT INC | 45,658 | $393K | 0.1% | $8.61 | — | *W EXP 08/13/202 | 23816M115 |
| PAAS | PAN AMERN SILVER CORP | 16,500 | $384K | 0.1% | — | — | Call | 697900108 |
| — | ASHFORD HOSPITALITY TR INC | 26,000 | $383K | 0.1% | — | — | Call | 044103869 |
| — | NIKOLA CORP | 35,000 | $373K | 0.1% | — | — | Put | 654110105 |
| — | KALEYRA INC | 136,046 | $373K | 0.1% | $3.20 | — | *W EXP 11/25/202 | 483379111 |
| — | ATLAS AIR WORLDWIDE HLDGS IN | 300,000 | $353K | 0.1% | $1.18 | — | NOTE 2.250% 6/0 | 049164BH8 |
| PTON | PELOTON INTERACTIVE INC | 4,000 | $348K | 0.1% | — | — | Put | 70614W100 |
| — | SAILPOINT TECHNOLOGIES HLDGS | 200,000 | $322K | 0.1% | $1.65 | — | NOTE 0.125% 9/1 | 78781PAB1 |
| — | ALTAIR ENGR INC | 201,000 | $312K | 0.1% | $1.47 | — | NOTE 0.250% 6/0 | 021369AA1 |
| — | VIAVI SOLUTIONS INC | 224,000 | $293K | 0.0% | $1.32 | — | NOTE 1.000% 3/0 | 925550AB1 |
| — | INSULET CORP | 199,000 | $278K | 0.0% | $1.37 | — | NOTE 0.375% 9/0 | 45784PAK7 |
| — | ASTRA SPACE INC | 104,873 | $249K | 0.0% | $2.37 | — | *W EXP 08/04/202 | 04634X111 |
| — | DASEKE INC | 1,063,101 | $218K | 0.0% | $0.06 | — | *W EXP 02/27/202 | 23753F115 |
| — | TESLA INC | 17,000 | $212K | 0.0% | $10.94 | — | NOTE 2.000% 5/1 | 88160RAG6 |
| PCT | PURECYCLE TECHNOLOGIES INC | 16,000 | $212K | 0.0% | — | — | Put | 74623V103 |
| — | NOBLE ROCK ACQUISITION CORP | 21,324 | $207K | 0.0% | $9.71 | — | CL A SHS | G6546R101 |
| — | TROIKA MEDIA GROUP INC | 565,647 | $202K | 0.0% | $0.78 | — | *W EXP 04/13/202 | 89689F115 |
| BKSY/WS | BLACKSKY TECHNOLOGY INC | 126,760 | $200K | 0.0% | $1.58 | — | *W EXP 10/30/202 | 09263B116 |
| — | MUDRICK CAPITAL ACQU CORP II | 20,000 | $199K | 0.0% | $10.18 | — | Put | 62477L107 |
| — | DIGITAL MEDIA SOLUTIONS INC | 262,122 | $199K | 0.0% | $1.32 | — | *W EXP 07/15/202 | 25401G114 |
| — | FAR PEAK ACQUISITION CORP | 19,900 | $198K | 0.0% | $9.95 | — | SHS CL A | G3312L103 |
| — | CITIC CAPITAL ACQUISITION CO | 19,900 | $198K | 0.0% | $9.90 | — | COM CL A | G21513109 |
| — | GLOBAL CONSUMER ACQUISITN CO | 20,000 | $198K | 0.0% | $9.90 | — | COM | 37892B108 |
| NBST | NEWBURY STREET ACQUISITN COR | 20,000 | $194K | 0.0% | $9.67 | -0.1% | COM | 65101L104 |
| CLVRW | CLEVER LEAVES HOLDINGS INC | 167,350 | $187K | 0.0% | $1.63 | — | *W EXP 12/18/202 | 186760112 |
| — | GROM SOCIAL ENTERPRISES INC | 161,100 | $184K | 0.0% | $1.06 | — | *W EXP 06/17/202 | 39878L118 |
| — | PINE TECHNOLOGY ACQUISITN CO | 17,502 | $169K | 0.0% | $9.71 | — | CLASS A COM | 722850104 |
| — | MALACCA STRAITS ACQUISITION | 16,269 | $162K | 0.0% | $9.90 | — | COM CL A | G5859B117 |
| — | ALTITUDE ACQUISITION CORP | 16,400 | $161K | 0.0% | $9.82 | — | COM CL A | 02156Y103 |
| — | ROSECLIFF ACQUISITION CORP I | 16,077 | $156K | 0.0% | $9.70 | — | COM CL A | 77732R103 |
| — | PROPERTY SOLUTIONS ACQUISITI | 16,000 | $155K | 0.0% | $9.69 | — | COM CL A | 74350A108 |
| — | MACONDRAY CAP ACQUISITN CORP | 15,000 | $148K | 0.0% | $9.87 | — | CLASS A ORD SHS | G5853A107 |
| — | G&P ACQUISITION CORP | 15,000 | $148K | 0.0% | $9.73 | — | COM CL A | 36146G103 |
| — | HOSTESS BRANDS INC | 49,603 | $148K | 0.0% | $1.20 | — | *W EXP 11/04/202 | 44109J114 |
| CNXX | CONX CORP | 15,044 | $147K | 0.0% | $9.84 | — | COM CL A | 212873103 |
| — | PINE IS ACQUISITION CORP | 15,000 | $146K | 0.0% | $9.73 | — | CL A | 722615101 |
| PTIXW | PROTAGENIC THERAPEUTICS INC | 364,791 | $143K | 0.0% | $0.71 | — | *W EXP 04/13/202 | 74365N111 |
| — | TASTEMAKER ACQUISITION CORP | 14,500 | $143K | 0.0% | $9.72 | — | COM CL A | 876545104 |
| — | WORKSPORT LTD | 73,000 | $134K | 0.0% | $1.84 | — | *W EXP 06/01/202 | 98139Q118 |
| — | DELWINDS INS ACQUISITION COR | 13,500 | $133K | 0.0% | $9.70 | — | COM CLS A | 24803C102 |
| — | BRIACELL THERAPEUTICS CORP | 27,000 | $130K | 0.0% | $1.08 | — | *W EXP 02/24/202 | 10778Y112 |
| — | PROSHARES TR | 14,000 | $124K | 0.0% | $10.77 | — | ULTRASHRT S&P500 | 74347B383 |
| — | DPCM CAP INC | 12,000 | $117K | 0.0% | $9.92 | — | COM CL A | 23344P101 |
| — | ATLANTIC AVE ACQUISITION COR | 11,850 | $116K | 0.0% | $10.04 | — | COM CL A | 04906P101 |
| — | GLADSTONE ACQUISITION CORP | 11,329 | $115K | 0.0% | $10.15 | — | UNIT 04/01/2024 | 37653T207 |
| SQLLW | SEQLL INC | 107,045 | $113K | 0.0% | $1.06 | — | *W EXP 08/31/202 | 81734C114 |
| — | PARABELLUM ACQUISITION CORP | 11,000 | $110K | 0.0% | $10.00 | — | UNIT 99/99/9999 | 69901P208 |
| NG | NOVAGOLD RES INC | 15,700 | $108K | 0.0% | — | — | Call | 66987E206 |
| — | ARCHIMEDES TECH SPAC PARTNR | 11,000 | $108K | 0.0% | $9.73 | — | UNIT 99/99/9999 | 039562301 |
| — | JAWS HURRICANE ACQUISITN COR | 11,076 | $108K | 0.0% | $9.75 | — | CLASS A COM | 47201B103 |
| — | ZANITE ACQUISITION CORP | 10,600 | $107K | 0.0% | $10.09 | — | COM CL A | 98907K103 |
| — | CLARUS THERAPEUTICS HLDNGS I | 139,840 | $105K | 0.0% | $0.75 | — | *W EXP 08/11/202 | 18271L115 |
| — | HHG CAPITAL CORPORATION | 10,092 | $103K | 0.0% | $10.21 | — | UNIT 02/25/2026 | G4R23P137 |
| HUMAW | HUMACYTE INC | 35,662 | $103K | 0.0% | $2.89 | — | *W EXP 09/21/202 | 44486Q111 |
| — | EZFILL HOLDINGS INC | 25,000 | $102K | 0.0% | $4.08 | — | COM NEW | 302314208 |
| — | CHAVANT CAPITAL ACQUISITN CO | 10,000 | $99,000 | 0.0% | $9.90 | — | ORDINARY SHARES | G2058L103 |
| — | JATT ACQUISITION CORP | 10,000 | $99,000 | 0.0% | $9.90 | — | SHS CL A | G50752107 |
| — | AMERICAN EAGLE OUTFITTERS IN | 32,000 | $98,000 | 0.0% | $4.36 | — | NOTE 3.750% 4/1 | 02553EAB2 |
| OPHC | OPTIMUMBANK HLDGS INC | 19,000 | $98,000 | 0.0% | $3.11 | +67.6% | COM | 68401P403 |
| CELUW | CELULARITY INC | 85,147 | $98,000 | 0.0% | $1.15 | — | *W EXP 05/24/202 | 151190113 |
| — | ELLIOTT OPPORTUNITY II CORP | 10,000 | $97,000 | 0.0% | $9.70 | — | SHS CL A | G30092103 |
| — | BM TECHNOLOGIES INC | 64,160 | $96,000 | 0.0% | $2.26 | — | *W EXP 01/04/202 | 05591L115 |
| DTSTW | DATA STORAGE CORP | 92,837 | $93,000 | 0.0% | $1.22 | — | *W EXP 05/13/202 | 23786R110 |
| VGZ | VISTA GOLD CORP | 126,219 | $91,000 | 0.0% | $0.86 | 0.0% | COM NEW | 927926303 |
| — | BTRS HOLDINGS INC | 32,400 | $85,000 | 0.0% | $4.64 | — | *W EXP 01/12/202 | 11778X112 |
| DRMAW | DERMATA THERAPEUTICS INC | 100,000 | $85,000 | 0.0% | $0.85 | — | *W EXP 08/13/202 | 249845116 |
| — | WHOLE EARTH BRANDS INC | 50,000 | $78,000 | 0.0% | $2.22 | — | *W EXP 06/25/202 | 96684W126 |
| VRMEW | VERIFYME INC | 57,158 | $77,000 | 0.0% | $1.14 | — | *W EXP 06/22/202 | 92346X115 |
| — | SPIRE GLOBAL INC | 45,370 | $77,000 | 0.0% | $1.70 | — | *W EXP 01/01/203 | 848560116 |
| ALFWQ | ALFI INC | 20,017 | $75,000 | 0.0% | $10.26 | — | *W EXP 04/29/202 | 00161P117 |
| — | AMPCO-PITTSBURG CORP | 84,800 | $71,000 | 0.0% | $0.43 | — | *W EXP 08/01/202 | 032037111 |
| JRSH | JERASH HLDGS US INC | 10,000 | $67,000 | 0.0% | $7.51 | 0.0% | COM | 47632P101 |
| — | HIGHPEAK ENERGY INC | 29,479 | $66,000 | 0.0% | $2.24 | — | *W EXP 08/21/202 | 43114Q121 |
| — | HARBOR CUSTOM DEVELOPMENT IN | 96,000 | $54,000 | 0.0% | $0.63 | — | *W EXP 05/09/202 | 41150T116 |
| — | DIGITAL BRANDS GROUP INC | 67,900 | $52,000 | 0.0% | $1.48 | — | *W EXP 05/01/202 | 25401N119 |
| — | AUDDIA INC | 69,800 | $52,000 | 0.0% | $1.26 | — | *W EXP 10/17/202 | 05072K115 |
| PETVW | PETVIVO HLDGS INC | 65,180 | $50,000 | 0.0% | $0.77 | — | *W EXP 08/13/202 | 716817119 |
| — | INHIBIKASE THERAPEUTICS INC | 26,000 | $49,000 | 0.0% | $2.80 | — | COM | 45719W106 |
| — | GEOVAX LABS INC | 35,000 | $49,000 | 0.0% | $1.09 | — | *W EXP 09/29/202 | 373678119 |
| — | NUANCE COMMUNICATIONS INC | 20,000 | $46,000 | 0.0% | $2.18 | — | DBCV 1.000%12/1 | 67020YAK6 |
| NXPLW | ORBSAT CORP | 16,000 | $45,000 | 0.0% | $1.76 | — | *W EXP 04/29/202 | 68557F118 |
| — | ALZAMEND NEURO INC | 14,000 | $43,000 | 0.0% | $3.07 | — | COM NEW | 02262M308 |
| ZIVOW | ZIVO BIOSCIENCE INC | 40,000 | $40,000 | 0.0% | $1.38 | — | *W EXP 05/14/202 | 98978N119 |
| — | LEGATO MERGER CORP | 15,000 | $38,000 | 0.0% | $2.53 | — | *W EXP 12/31/202 | 52473X114 |
| — | VERB TECHNOLOGY CO INC | 55,157 | $38,000 | 0.0% | $0.69 | — | *W EXP 03/14/202 | 92337U112 |
| — | PYXIS TANKERS INC | 50,000 | $38,000 | 0.0% | $0.89 | — | COM | Y71726106 |
| — | KIROMIC BIOPHARMA INC | 12,000 | $37,000 | 0.0% | $4.81 | — | COM | 497634105 |
| RCAT | RED CAT HLDGS INC | 10,000 | $35,000 | 0.0% | $3.10 | 0.0% | COM | 75644T100 |
| — | AGRIFORCE GROWING SYSTEMS LT | 57,461 | $32,000 | 0.0% | $0.56 | — | *W EXP 02/01/202 | C00948114 |
| — | COLISEUM ACQUISITION CORP | 15,000 | $30,000 | 0.0% | $2.00 | — | CLASS A ORD SHS | G2263T123 |
| — | NLS PHARMACEUTICS LTD | 35,480 | $29,000 | 0.0% | $0.96 | — | *W EXP 09/25/202 | H57830111 |
| — | SEANERGY MARITIME HLDGS CORP | 20,000 | $29,000 | 0.0% | $1.45 | — | SHS NEW | Y73760194 |
| — | SOLENO THERAPEUTICS INC | 30,000 | $28,000 | 0.0% | $1.27 | — | COM NEW | 834203200 |
| — | IMAC HLDGS INC | 66,215 | $28,000 | 0.0% | $0.23 | — | *W EXP 02/12/202 | 44967K112 |
| GOEWQ | CANOO INC | 15,000 | $28,000 | 0.0% | $2.83 | — | *W EXP 12/21/202 | 13803R110 |
| IINNW | INSPIRA TECHNOLOGIES OXY BHN | 31,100 | $26,000 | 0.0% | $0.84 | — | *W EXP 06/30/202 | M53637118 |
| PXSAW | PYXIS TANKERS INC | 97,485 | $25,000 | 0.0% | $0.35 | — | *W EXP 09/15/202 | Y71726122 |
| SBEVW | SPLASH BEVERAGE GROUP INC | 44,912 | $24,000 | 0.0% | $0.71 | — | *W EXP 99/99/999 | 84862C112 |
| — | CASTOR MARITIME INC | 10,000 | $24,000 | 0.0% | $2.40 | — | SHS NEW | Y1146L125 |
| — | ENTERA BIO LTD | 45,001 | $23,000 | 0.0% | $0.28 | — | *W EXP 07/02/202 | M40527117 |
| — | JUPITER WELLNESS INC | 16,000 | $23,000 | 0.0% | $1.44 | — | COM NEW | 48208F105 |
| — | BURGERFI INTERNATIONAL INC | 13,657 | $22,000 | 0.0% | $3.38 | — | *W EXP 12/16/202 | 12122L119 |
| — | LIXTE BIOTECHNOLOGY HLDGS IN | 35,996 | $20,000 | 0.0% | $0.68 | — | *W EXP 01/01/202 | 539319111 |
| GFAIW | GUARDFORCE AI CO LTD | 23,250 | $19,000 | 0.0% | $0.82 | — | *W EXP 09/01/202 | G4236L120 |
| — | HYCROFT MINING HOLDING CORP | 51,158 | $18,000 | 0.0% | $0.75 | — | *W EXP 10/06/202 | 44862P133 |
| — | METROMILE INC | 20,000 | $17,000 | 0.0% | $0.85 | — | *W EXP 02/09/202 | 591697115 |
| — | LIBERTY MEDIA CORP DEL | 12,968 | $16,000 | 0.0% | $0.93 | — | DEB 3.500% 1/1 | 530715AN1 |
| — | SEACHANGE INTL INC | 15,400 | $16,000 | 0.0% | $1.56 | — | COM | 811699107 |
| JOB | GEE GROUP INC | 30,000 | $14,000 | 0.0% | $0.67 | -25.2% | COM | 36165A102 |
| — | G MED INNOVATIONS HLDGS LTD | 25,600 | $10,000 | 0.0% | $0.39 | — | *W EXP 06/30/202 | G39462117 |
| — | CREATD INC | 13,131 | $9,000 | 0.0% | $0.69 | — | *W EXP 09/15/202 | 225265115 |
| — | MEDIGUS LTD | 18,450 | $9,000 | 0.0% | $0.19 | — | *W EXP 07/23/202 | 58471G128 |
| — | COMSOVEREIGN HLDG CORP | 16,660 | $7,000 | 0.0% | $1.25 | — | *W EXP 12/18/202 | 205650112 |
| — | GLOBAL CONSUMER ACQUISITN CO | 10,000 | $5,000 | 0.0% | $0.50 | — | *W EXP 05/21/202 | 37892B116 |
| NBSTW | NEWBURY STREET ACQUISITN COR | 10,000 | $5,000 | 0.0% | $0.80 | — | *W EXP 04/30/202 | 65101L112 |