Location: Winnetka, IL
CIK: 0001597506 · Show all filings
Period: Q4 2021 (← Previous) (Next →)
Filing Date: Feb 14, 2022
Total Value: $540M (52.0% shares, 48.0% debt)
| Ticker | Issuer | Shares | Value | % | Share Price | Est. Cost/Share | Unrealized @ Report Date | Class | CUSIP |
|---|---|---|---|---|---|---|---|---|---|
| SPY | SPDR S&P 500 ETF TR | 377,800 | $179M | 33.3% | $474.96 | — | — | Put | 78462F103 |
| — | NUANCE COMMUNICATIONS INC | 7,743,000 | $21.86M | 4.1% | $2.82 | $2.70 | — | NOTE 1.250% 4/0 | 67020YAN0 |
| — | PLUG PWR INC | 3,485,000 | $19.59M | 3.6% | $5.62 | $6.81 | — | NOTE 3.750% 6/0 | 72919PAD5 |
| — | ON SEMICONDUCTOR CORP | 5,747,000 | $18.84M | 3.5% | $3.28 | $2.10 | — | NOTE 1.625%10/1 | 682189AP0 |
| — | CLOUDFLARE INC | 5,000,000 | $17.54M | 3.3% | $3.51 | $3.02 | — | NOTE 0.750% 5/1 | 18915MAB3 |
| — | AVANTOR INC | 126,255 | $16.31M | 3.0% | $129.21 | $129.21 | — | 6.25 PFD CNV SR | 05352A209 |
| — | DANAHER CORPORATION | 7,312 | $16.04M | 3.0% | $2194.06 | $2194.06 | — | 4.75 MND CV PFD | 235851300 |
| — | PALO ALTO NETWORKS INC | 5,622,000 | $11.8M | 2.2% | $2.10 | $1.52 | — | NOTE 0.750% 7/0 | 697435AD7 |
| — | RH | 4,310,000 | $10.91M | 2.0% | $2.53 | $3.06 | — | NOTE 9/1 | 74967XAD5 |
| — | HERCULES CAPITAL INC | 10,304,000 | $10.64M | 2.0% | $1.03 | $1.04 | — | DBCV 4.375% 2/0 | 427096AF9 |
| — | ETSY INC | 4,000,000 | $10.22M | 1.9% | $2.56 | $2.45 | — | NOTE 0.125%10/0 | 29786AAJ5 |
| — | MICROCHIP TECHNOLOGY INC. | 3,930,000 | $10.01M | 1.9% | $2.55 | $2.55 | — | NOTE 1.625% 2/1 | 595017AF1 |
| — | RH | 3,432,000 | $9.84M | 1.8% | $2.87 | $2.44 | — | NOTE 6/1 | 74967XAA1 |
| — | SEA LTD | 3,500,000 | $8.966M | 1.7% | $2.56 | $3.08 | — | NOTE 2.375%12/0 | 81141RAF7 |
| — | SNAP INC | 4,000,000 | $8.886M | 1.6% | $2.22 | $3.15 | — | NOTE 0.250% 5/0 | 83304AAD8 |
| EXEEW | CHESAPEAKE ENERGY CORP | 210,101 | $8.396M | 1.6% | $39.96 | $37.91 | — | *W EXP 99/99/999 | 165167164 |
| QQQ | INVESCO QQQ TR | 20,300 | $8.076M | 1.5% | $397.83 | $368.28 | +8.0% | Put | 46090E103 |
| — | STARWOOD WAYPOINT HOMES | 3,275,000 | $6.522M | 1.2% | $1.99 | $1.99 | — | NOTE 3.500% 1/1 | 19625XAB8 |
| — | MERCADOLIBRE INC | 2,075,000 | $6.442M | 1.2% | $3.10 | $3.69 | — | NOTE 2.000% 8/1 | 58733RAD4 |
| — | WAYFAIR INC | 3,555,000 | $6.236M | 1.2% | $1.75 | $2.01 | — | NOTE 1.125%11/0 | 94419LAD3 |
| — | NOVA LTD | 2,760,000 | $5.483M | 1.0% | $1.99 | $1.99 | — | NOTE 10/1 | 66980MAB2 |
| — | LUMENTUM HLDGS INC | 3,000,000 | $5.329M | 1.0% | $1.78 | $1.78 | — | NOTE 0.250% 3/1 | 55024UAB5 |
| — | LIBERTY MEDIA CORP DEL | 3,000,000 | $5.172M | 1.0% | $1.72 | $1.72 | — | NOTE 1.000% 1/3 | 531229AF9 |
| — | KBR INC | 2,321,000 | $4.424M | 0.8% | $1.91 | $1.61 | — | NOTE 2.500%11/0 | 48242WAB2 |
| — | ZENDESK INC | 2,584,000 | $4.378M | 0.8% | $1.69 | $2.21 | — | NOTE 0.250% 3/1 | 98936JAB7 |
| — | WORKDAY INC | 2,346,000 | $4.373M | 0.8% | $1.86 | $1.71 | — | NOTE 0.250%10/0 | 98138HAF8 |
| — | MIDDLEBY CORP | 2,600,000 | $4.168M | 0.8% | $1.60 | $1.43 | — | NOTE 1.000% 9/0 | 596278AB7 |
| — | ZILLOW GROUP INC | 2,450,000 | $3.822M | 0.7% | $1.56 | $2.99 | — | NOTE 0.750% 9/0 | 98954MAE1 |
| EXEEZ | CHESAPEAKE ENERGY CORP | 106,250 | $3.815M | 0.7% | $35.91 | $35.91 | — | *W EXP 99/99/999 | 165167172 |
| — | II-VI INC | 2,460,000 | $3.642M | 0.7% | $1.48 | $1.48 | — | NOTE 0.250% 9/0 | 902104AB4 |
| — | Q2 HLDGS INC | 2,400,000 | $3.444M | 0.6% | $1.44 | $1.78 | — | NOTE 0.750% 2/1 | 74736LAB5 |
| — | VARONIS SYS INC | 2,000,000 | $3.435M | 0.6% | $1.72 | $1.96 | — | NOTE 1.250% 8/1 | 922280AB8 |
| — | HANNON ARMSTRONG SUST INFR C | 2,782,000 | $3.3M | 0.6% | $1.19 | $1.19 | — | NOTE 8/1 | 41068XAD2 |
| — | AKAMAI TECHNOLOGIES INC | 2,452,000 | $3.221M | 0.6% | $1.31 | $1.28 | — | NOTE 0.125% 5/0 | 00971TAJ0 |
| — | RAMBUS INC DEL | 1,977,000 | $3.105M | 0.6% | $1.57 | $1.42 | — | NOTE 1.375% 2/0 | 750917AG1 |
| — | BROADCOM INC | 1,473 | $3.057M | 0.6% | $2075.36 | $2075.36 | — | 8% MCNV PFD SR A | 11135F200 |
| TSLA | TESLA INC | 2,600 | $2.748M | 0.5% | $1056.92 | — | — | Put | 88160R101 |
| AAPL | APPLE INC | 15,100 | $2.681M | 0.5% | $177.55 | — | — | Put | 037833100 |
| — | ESSENTIAL UTILS INC | 40,220 | $2.622M | 0.5% | $65.19 | $58.25 | — | UNIT 04/30/2022 | 29670G201 |
| — | FTI CONSULTING INC | 1,617,000 | $2.515M | 0.5% | $1.56 | $1.44 | — | NOTE 2.000% 8/1 | 302941AP4 |
| SPY | SPDR S&P 500 ETF TR | 5,100 | $2.422M | 0.4% | $474.90 | — | — | Call | 78462F103 |
| — | SOUTHWEST AIRLS CO | 1,791,000 | $2.392M | 0.4% | $1.34 | $1.70 | — | NOTE 1.250% 5/0 | 844741BG2 |
| — | ALTAIR ENGR INC | 1,201,000 | $2.051M | 0.4% | $1.71 | $1.67 | — | NOTE 0.250% 6/0 | 021369AA1 |
| — | NEXTERA ENERGY INC | 29,867 | $2.034M | 0.4% | $68.10 | $58.76 | — | UNIT 09/01/2022S | 65339F796 |
| — | CARNIVAL CORP | 960,000 | $2.033M | 0.4% | $2.12 | $2.12 | — | NOTE 5.750% 4/0 | 143658BE1 |
| EXEEL | CHESAPEAKE ENERGY CORP | 62,000 | $2.031M | 0.4% | $32.76 | $29.24 | — | *W EXP 09/02/202 | 165167180 |
| — | BLACKLINE INC | 1,339,000 | $2.017M | 0.4% | $1.51 | $1.59 | — | NOTE 0.125% 8/0 | 09239BAB5 |
| — | NICE SYS INC | 547,000 | $1.994M | 0.4% | $3.65 | $3.39 | — | NOTE 1.250% 1/1 | 65366HAB9 |
| — | BLOCK INC | 1,241,000 | $1.846M | 0.3% | $1.49 | $2.05 | — | NOTE 0.125% 3/0 | 852234AF0 |
| — | GFL ENVIRONMENTAL INC | 20,641 | $1.795M | 0.3% | $86.96 | $86.96 | — | UNIT 99/99/9999T | 36168Q120 |
| HTZWW | HERTZ GLOBAL HLDGS INC | 111,621 | $1.78M | 0.3% | $15.95 | $15.95 | — | *W EXP 06/30/205 | 42806J148 |
| — | HCI GROUP INC | 1,194,000 | $1.651M | 0.3% | $1.38 | $1.31 | — | NOTE 4.250% 3/0 | 40416EAD5 |
| HD | HOME DEPOT INC | 3,700 | $1.536M | 0.3% | $415.14 | — | — | Call | 437076102 |
| — | SERVICENOW INC | 300,000 | $1.443M | 0.3% | $4.81 | $4.81 | — | NOTE 6/0 | 81762PAC6 |
| — | SABRE CORP | 12,194 | $1.4M | 0.3% | $114.81 | $114.81 | — | 6.50% CONV PFD A | 78573M203 |
| OXY/WS | OCCIDENTAL PETE CORP | 108,885 | $1.373M | 0.3% | $12.61 | $12.61 | — | *W EXP 08/03/202 | 674599162 |
| TBT | PROSHARES TR | 65,000 | $1.098M | 0.2% | $16.89 | — | — | Call | 74347B201 |
| PTC | PTC INC | 8,200 | $993K | 0.2% | $121.10 | — | — | Put | 69370C100 |
| — | MUDRICK CAPITAL ACQU CORP II | 91,856 | $913K | 0.2% | $9.94 | $10.18 | — | COM CL A | 62477L107 |
| IIPR | INNOVATIVE INDL PPTYS INC | 3,400 | $894K | 0.2% | $262.94 | — | — | Put | 45781V101 |
| — | SILICON LABORATORIES INC | 475,000 | $834K | 0.2% | $1.76 | $1.76 | — | NOTE 0.625% 6/1 | 826919AD4 |
| — | BARCLAYS BANK PLC | 44,600 | $826K | 0.2% | $18.52 | — | — | Call | 06747R477 |
| — | ATLAS AIR WORLDWIDE HLDGS IN | 581,000 | $746K | 0.1% | $1.28 | $1.23 | — | NOTE 2.250% 6/0 | 049164BH8 |
| DASH | DOORDASH INC | 4,700 | $700K | 0.1% | $148.94 | — | — | Put | 25809K105 |
| COIN | COINBASE GLOBAL INC | 2,600 | $656K | 0.1% | $252.31 | — | — | Put | 19260Q107 |
| GDX | VANECK ETF TRUST | 20,300 | $650K | 0.1% | $32.02 | — | — | Call | 92189F106 |
| — | II-VI INC | 2,262 | $640K | 0.1% | $282.94 | $282.94 | — | 6% CONV PFD A | 902104306 |
| SSSS | SURO CAPITAL CORP | 49,200 | $637K | 0.1% | $12.95 | $13.92 | -7.0% | Put | 86887Q109 |
| IYR | ISHARES TR | 5,100 | $592K | 0.1% | $116.08 | — | — | Put | 464287739 |
| — | PERSHING SQUARE TONTINE HLDG | 30,001 | $592K | 0.1% | $19.73 | $23.31 | — | COM CL A | 71531R109 |
| AVGO | BROADCOM INC | 873 | $581K | 0.1% | $665.52 * | $51.79 | +19.0% | COM | 11135F101 |
| — | DICKS SPORTING GOODS INC | 158,000 | $560K | 0.1% | $3.54 | $3.50 | — | NOTE 3.250% 4/1 | 253393AD4 |
| — | PAVMED INC | 339,517 | $543K | 0.1% | $1.60 | $6.36 | — | *W EXP 04/30/202 | 70387R122 |
| SLV | ISHARES SILVER TR | 25,200 | $542K | 0.1% | $21.51 | — | — | Call | 46428Q109 |
| — | SIXTH STREET SPECIALTY LENDN | 415,000 | $529K | 0.1% | $1.27 | $1.27 | — | NOTE 4.500% 8/0 | 87265KAD4 |
| — | ZILLOW GROUP INC | 325,000 | $524K | 0.1% | $1.61 | $2.56 | — | NOTE 1.375% 9/0 | 98954MAG6 |
| — | LUCID GROUP INC | 13,700 | $521K | 0.1% | $38.03 | — | — | Put | 549498103 |
| — | CONMED CORP | 290,000 | $483K | 0.1% | $1.67 | $1.57 | — | NOTE 2.625% 2/0 | 207410AF8 |
| TTD | THE TRADE DESK INC | 5,100 | $467K | 0.1% | $91.57 | — | — | Put | 88339J105 |
| — | BM TECHNOLOGIES INC | 236,415 | $442K | 0.1% | $1.87 | $1.98 | — | *W EXP 01/04/202 | 05591L115 |
| — | KALEYRA INC | 182,270 | $434K | 0.1% | $2.38 | $2.99 | — | *W EXP 11/25/202 | 483379111 |
| TMV | DIREXION SHS ETF TR | 7,600 | $414K | 0.1% | $54.47 | — | — | Call | 25460G849 |
| MRNA | MODERNA INC | 1,600 | $406K | 0.1% | $253.75 | $292.38 | -13.1% | Put | 60770K107 |
| — | ATLAS AIR WORLDWIDE HLDGS IN | 239,000 | $389K | 0.1% | $1.63 | $1.63 | — | NOTE 1.875% 6/0 | 049164BJ4 |
| MRNA | MODERNA INC | 1,501 | $381K | 0.1% | $253.83 | $292.38 | -13.1% | COM | 60770K107 |
| — | SAILPOINT TECHNOLOGIES HLDGS | 200,000 | $356K | 0.1% | $1.78 | $1.65 | — | NOTE 0.125% 9/1 | 78781PAB1 |
| NEN | NEW ENGLAND RLTY ASSOC LTD P | 5,001 | $339K | 0.1% | $67.79 | $55.93 | — | DEPOSITRY RCPT | 644206104 |
| SWAGW | STRAN & COMPANY INC | 281,123 | $318K | 0.1% | $1.13 | $1.13 | — | *W EXP 11/01/202 | 86260J110 |
| — | VIAVI SOLUTIONS INC | 224,000 | $317K | 0.1% | $1.42 | $1.32 | — | NOTE 1.000% 3/0 | 925550AB1 |
| CTLP | CANTALOUPE INC | 33,200 | $295K | 0.1% | $8.89 | — | — | Call | 138103106 |
| — | INTL GNRL INSURANCE HLDNGS L | 341,391 | $256K | 0.0% | $0.75 | $0.41 | — | *W EXP 03/17/202 | G4809J114 |
| CAR | AVIS BUDGET GROUP | 1,100 | $228K | 0.0% | $207.27 | — | — | Put | 053774105 |
| — | CBDMD INC | 38,000 | $227K | 0.0% | $5.97 | $5.97 | — | 8% SER A CUM PFD | 12482W200 |
| — | TERADYNE INC | 43,000 | $222K | 0.0% | $5.16 | $5.16 | — | NOTE 1.250%12/1 | 880770AG7 |
| F | FORD MTR CO DEL | 10,100 | $210K | 0.0% | $20.79 | — | — | Put | 345370860 |
| PXS 7.75 PERP A | PYXIS TANKERS INC | 15,307 | $210K | 0.0% | $13.72 | $13.72 | — | 7.75% CNV PFD A | Y71726114 |
| — | NOBLE ROCK ACQUISITION CORP | 21,324 | $207K | 0.0% | $9.71 | $9.71 | — | CL A SHS | G6546R101 |
| — | GLOBAL CONSUMER ACQUISITN CO | 20,000 | $198K | 0.0% | $9.90 | $9.90 | — | COM | 37892B108 |
| NBST | NEWBURY STREET ACQUISITN COR | 20,000 | $194K | 0.0% | $9.70 | $9.67 | +0.7% | COM | 65101L104 |
| — | REVANCE THERAPEUTICS INC | 10,900 | $178K | 0.0% | $16.33 | — | — | Call | 761330109 |
| SSSS | SURO CAPITAL CORP | 13,398 | $174K | 0.0% | $12.99 | $13.92 | -7.0% | COM NEW | 86887Q109 |
| — | PINE TECHNOLOGY ACQUISITN CO | 17,502 | $172K | 0.0% | $9.83 | $9.71 | — | CLASS A COM | 722850104 |
| — | MALACCA STRAITS ACQUISITION | 16,269 | $166K | 0.0% | $10.20 | $9.90 | — | COM CL A | G5859B117 |
| GCMGW | GCM GROSVENOR INC | 109,001 | $164K | 0.0% | $1.50 | $1.06 | — | *W EXP 11/17/202 | 36831E116 |
| — | ALTITUDE ACQUISITION CORP | 16,400 | $162K | 0.0% | $9.88 | $9.82 | — | COM CL A | 02156Y103 |
| — | ROSECLIFF ACQUISITION CORP I | 16,077 | $158K | 0.0% | $9.83 | $9.70 | — | COM CL A | 77732R103 |
| — | PROPERTY SOLUTIONS ACQUISITI | 16,000 | $155K | 0.0% | $9.69 | $9.69 | — | COM CL A | 74350A108 |
| CNXX | CONX CORP | 15,044 | $148K | 0.0% | $9.84 | $9.84 | — | COM CL A | 212873103 |
| — | MACONDRAY CAP ACQUISITN CORP | 15,000 | $148K | 0.0% | $9.87 | $9.87 | — | CLASS A ORD SHS | G5853A107 |
| — | G&P ACQUISITION CORP | 15,000 | $147K | 0.0% | $9.80 | $9.73 | — | COM CL A | 36146G103 |
| — | COLISEUM ACQUISITION CORP | 15,000 | $146K | 0.0% | $9.73 | $2.00 | — | CLASS A ORD SHS | G2263T123 |
| NG | NOVAGOLD RES INC | 21,000 | $144K | 0.0% | $6.86 | — | — | Call | 66987E206 |
| — | TASTEMAKER ACQUISITION CORP | 14,500 | $143K | 0.0% | $9.86 | $9.72 | — | COM CL A | 876545104 |
| GOEWQ | CANOO INC | 69,588 | $143K | 0.0% | $2.05 | $2.22 | — | *W EXP 12/21/202 | 13803R110 |
| — | BOXED INC | 116,826 | $139K | 0.0% | $1.19 | $1.19 | — | *W EXP 12/22/202 | 103174116 |
| — | PEPPERLIME HEALTH ACQUSTN CO | 14,136 | $139K | 0.0% | $9.83 | $9.83 | — | CLASS A ORD SHS | G70021103 |
| NXPLW | ORBSAT CORP | 119,654 | $134K | 0.0% | $1.12 | $1.21 | — | *W EXP 04/29/202 | 68557F118 |
| — | DELWINDS INS ACQUISITION COR | 13,500 | $134K | 0.0% | $9.93 | $9.70 | — | COM CLS A | 24803C102 |
| — | SPREE ACQUISITION CORP 1 LTD | 13,000 | $130K | 0.0% | $10.00 | $10.00 | — | UNIT 99/99/9999 | G83745110 |
| — | LARKSPUR HEALTH ACQUISITION | 12,000 | $120K | 0.0% | $10.00 | $10.00 | — | UNIT 12/20/2026 | 51724W206 |
| — | DPCM CAP INC | 12,000 | $118K | 0.0% | $9.83 | $9.92 | — | COM CL A | 23344P101 |
| — | ATLANTIC AVE ACQUISITION COR | 11,850 | $116K | 0.0% | $9.79 | $10.04 | — | COM CL A | 04906P101 |
| NNAVW | NEXTNAV INC | 66,000 | $112K | 0.0% | $1.70 | $1.70 | — | *W EXP 10/28/202 | 65345N114 |
| — | ENVISTA HOLDINGS CORPORATION | 50,000 | $111K | 0.0% | $2.22 | $2.22 | — | NOTE 2.375% 6/0 | 29415FAB0 |
| — | ARCHIMEDES TECH SPAC PARTNR | 11,000 | $109K | 0.0% | $9.91 | $9.73 | — | UNIT 99/99/9999 | 039562301 |
| — | JAWS HURRICANE ACQUISITN COR | 11,076 | $109K | 0.0% | $9.84 | $9.75 | — | CLASS A COM | 47201B103 |
| — | GLADSTONE ACQUISITION CORP | 10,828 | $108K | 0.0% | $9.97 | $9.97 | — | CLASS A COM | 37653T108 |
| AOGOU | AROGO CAPITAL ACQUISITION CO | 10,600 | $106K | 0.0% | $10.00 | $10.00 | — | UNIT 99/99/9999 | 042644203 |
| — | BLOCK INC | 50,000 | $104K | 0.0% | $2.08 | $2.81 | — | NOTE 0.500% 5/1 | 852234AD5 |
| — | AETHERIUM ACQUISITION CORP | 10,000 | $100K | 0.0% | $10.00 | $10.00 | — | UNIT 12/21/2026 | 00809J200 |
| — | JATT ACQUISITION CORP | 10,000 | $99,000 | 0.0% | $9.90 | $9.90 | — | SHS CL A | G50752107 |
| — | ELLIOTT OPPORTUNITY II CORP | 10,000 | $98,000 | 0.0% | $9.80 | $9.70 | — | SHS CL A | G30092103 |
| — | CHAVANT CAPITAL ACQUISITN CO | 10,000 | $98,000 | 0.0% | $9.80 | $9.90 | — | ORDINARY SHARES | G2058L103 |
| — | AMERICAN EAGLE OUTFITTERS IN | 32,000 | $97,000 | 0.0% | $3.03 | $4.36 | — | NOTE 3.750% 4/1 | 02553EAB2 |
| — | ASHFORD HOSPITALITY TR INC | 10,000 | $96,000 | 0.0% | $9.60 | — | — | Call | 044103869 |
| — | DASEKE INC | 717,408 | $96,000 | 0.0% | $0.13 | $0.06 | — | *W EXP 02/27/202 | 23753F115 |
| — | BLUE OWL CAPITAL INC | 20,311 | $95,000 | 0.0% | $4.68 | $4.68 | — | *W EXP 05/19/202 | 09581B111 |
| — | HIGHPEAK ENERGY INC | 17,166 | $89,000 | 0.0% | $5.18 | $2.24 | — | *W EXP 08/21/202 | 43114Q121 |
| KTTAW | PASITHEA THERAPEUTICS CORP | 218,920 | $81,000 | 0.0% | $0.37 | $0.37 | — | *W EXP 08/12/202 | 70261F111 |
| DTSTW | DATA STORAGE CORP | 88,300 | $72,000 | 0.0% | $0.82 | $1.22 | — | *W EXP 05/13/202 | 23786R110 |
| PTIXW | PROTAGENIC THERAPEUTICS INC | 181,534 | $69,000 | 0.0% | $0.38 | $0.71 | — | *W EXP 04/13/202 | 74365N111 |
| — | HARBOR CUSTOM DEVELOPMENT IN | 89,743 | $69,000 | 0.0% | $0.77 | $0.77 | — | *W EXP 10/04/202 | 41150T124 |
| OPHC | OPTIMUMBANK HLDGS INC | 17,114 | $67,000 | 0.0% | $3.91 | $3.11 | +26.5% | COM | 68401P403 |
| BFRIW | BIOFRONTERA INC | 18,487 | $67,000 | 0.0% | $3.62 | $3.62 | — | *W EXP 10/27/202 | 09077D118 |
| VEVMQ | VICINITY MOTOR CORP | 18,501 | $65,000 | 0.0% | $3.51 | $3.51 | — | COM | 925654105 |
| VRMEW | VERIFYME INC | 57,158 | $65,000 | 0.0% | $1.14 | $1.14 | — | *W EXP 06/22/202 | 92346X115 |
| NRSNW | NEUROSENSE THERAPEUTICS LTD | 66,606 | $61,000 | 0.0% | $0.92 | $0.92 | — | *W EXP 99/99/999 | M74240116 |
| — | WHOLE EARTH BRANDS INC | 50,000 | $59,000 | 0.0% | $1.18 | $2.22 | — | *W EXP 06/25/202 | 96684W126 |
| VGZ | VISTA GOLD CORP | 78,110 | $55,000 | 0.0% | $0.70 | $0.86 | -17.0% | COM NEW | 927926303 |
| — | TROIKA MEDIA GROUP INC | 219,043 | $53,000 | 0.0% | $0.24 | $0.78 | — | *W EXP 04/13/202 | 89689F115 |
| — | HANNON ARMSTRONG SUST INFR C | 27,000 | $53,000 | 0.0% | $1.96 | $1.96 | — | NOTE 4.125% 9/0 | 41068XAB6 |
| — | KIROMIC BIOPHARMA INC | 33,815 | $52,000 | 0.0% | $1.54 | $2.70 | — | COM | 497634105 |
| — | PENN NATL GAMING INC | 20,000 | $47,000 | 0.0% | $2.35 | $4.50 | — | NOTE 2.750% 5/1 | 707569AU3 |
| — | ENGINE GAMING AND MEDIA INC | 15,000 | $46,000 | 0.0% | $3.07 | — | — | Call | 29287W102 |
| CINGW | CINGULATE INC | 56,667 | $40,000 | 0.0% | $0.71 | $0.71 | — | *W EXP 12/03/202 | 17248W113 |
| NRSN | NEUROSENSE THERAPEUTICS LTD | 15,501 | $38,000 | 0.0% | $2.45 * | $3.04 | 0.0% | ORDINARY SHARES | M74240108 |
| CELUW | CELULARITY INC | 43,603 | $37,000 | 0.0% | $0.85 | $1.15 | — | *W EXP 05/24/202 | 151190113 |
| BKSY/WS | BLACKSKY TECHNOLOGY INC | 63,865 | $35,000 | 0.0% | $0.55 | $1.58 | — | *W EXP 10/30/202 | 09263B116 |
| — | APPLIED UV INC | 12,500 | $34,000 | 0.0% | $2.72 | $2.72 | — | COM | 03828V105 |
| PETVW | PETVIVO HLDGS INC | 60,508 | $34,000 | 0.0% | $0.56 | $0.77 | — | *W EXP 08/13/202 | 716817119 |
| — | RELIANCE GLOBAL GROUP INC | 30,156 | $34,000 | 0.0% | $1.13 | $1.13 | — | *W EXP 02/01/202 | 75946W116 |
| — | SIYATA MOBILE INC | 42,426 | $34,000 | 0.0% | $0.80 | $0.80 | — | *W EXP 09/24/202 | 83013Q152 |
| — | SURGEPAYS INC | 60,000 | $34,000 | 0.0% | $0.57 | $0.57 | — | *W EXP 10/22/202 | 86882L113 |
| GFAIW | GUARDFORCE AI CO LTD | 61,500 | $31,000 | 0.0% | $0.50 | $0.62 | — | *W EXP 09/01/202 | G4236L120 |
| TALKW | TALKSPACE INC | 125,002 | $29,000 | 0.0% | $0.23 | $0.23 | — | *W EXP 06/21/202 | 87427V111 |
| — | BONE BIOLOGICS CORP | 39,003 | $27,000 | 0.0% | $0.69 | $0.69 | — | *W EXP 10/13/202 | 098070113 |
| RBOTW | VICARIOUS SURGICAL INC | 12,000 | $26,000 | 0.0% | $2.17 | $2.17 | — | *W EXP 08/05/202 | 92561V117 |
| — | AMPCO-PITTSBURG CORP | 42,401 | $25,000 | 0.0% | $0.59 | $0.43 | — | *W EXP 08/01/202 | 032037111 |
| BTBDW | BT BRANDS INC | 32,737 | $24,000 | 0.0% | $0.73 | $0.73 | — | *W EXP 11/12/202 | 0557MQ115 |
| TMC | TMC THE METALS COMPANY INC | 11,100 | $23,000 | 0.0% | $2.07 | — | — | Call | 87261Y106 |
| — | WORKSPORT LTD | 25,778 | $23,000 | 0.0% | $0.89 | $1.84 | — | *W EXP 06/01/202 | 98139Q118 |
| MOBQW | MOBIQUITY TECHNOLOGIES INC | 42,501 | $23,000 | 0.0% | $0.54 | $0.54 | — | *W EXP 12/03/202 | 60743F128 |
| DRMAW | DERMATA THERAPEUTICS INC | 51,399 | $22,000 | 0.0% | $0.43 | $0.85 | — | *W EXP 08/13/202 | 249845116 |
| — | ADITXT INC | 39,900 | $21,000 | 0.0% | $0.53 | $0.53 | — | COM | 007025109 |
| — | GEOVAX LABS INC | 21,087 | $20,000 | 0.0% | $0.95 | $1.09 | — | *W EXP 09/29/202 | 373678119 |
| PL/WS | PLANET LABS PBC | 10,000 | $19,000 | 0.0% | $1.90 | $1.90 | — | *W EXP 12/06/202 | 72703X114 |
| SQLLW | SEQLL INC | 22,795 | $19,000 | 0.0% | $0.83 | $1.06 | — | *W EXP 08/31/202 | 81734C114 |
| — | INHIBIKASE THERAPEUTICS INC | 12,494 | $18,000 | 0.0% | $1.44 | $2.80 | — | COM | 45719W106 |
| IINNW | INSPIRA TECHNOLOGIES OXY BHN | 20,001 | $18,000 | 0.0% | $0.90 | $0.84 | — | *W EXP 06/30/202 | M53637118 |
| ZIVOW | ZIVO BIOSCIENCE INC | 19,441 | $18,000 | 0.0% | $0.93 | $1.38 | — | *W EXP 05/14/202 | 98978N119 |
| — | EZFILL HOLDINGS INC | 12,001 | $17,000 | 0.0% | $1.42 | $4.08 | — | COM NEW | 302314208 |
| — | DIGITAL BRANDS GROUP INC | 32,503 | $17,000 | 0.0% | $0.52 | $1.48 | — | *W EXP 05/01/202 | 25401N119 |
| — | CREATD INC | 24,545 | $14,000 | 0.0% | $0.57 | $0.63 | — | *W EXP 09/15/202 | 225265115 |
| BEATW | HEARTBEAM INC | 18,638 | $14,000 | 0.0% | $0.75 | $0.75 | — | *W EXP 10/31/202 | 42238H116 |
| — | LIVEONE INC | 10,000 | $13,000 | 0.0% | $1.30 | $1.30 | — | COM | 53814X102 |
| — | SPIRE GLOBAL INC | 29,800 | $13,000 | 0.0% | $0.44 | $1.70 | — | *W EXP 08/16/202 | 848560116 |
| SBEVW | SPLASH BEVERAGE GROUP INC | 40,712 | $13,000 | 0.0% | $0.32 | $0.71 | — | *W EXP 99/99/999 | 84862C112 |
| — | GROM SOCIAL ENTERPRISES INC | 24,022 | $12,000 | 0.0% | $0.50 | $1.06 | — | *W EXP 06/17/202 | 39878L118 |
| — | PYXIS TANKERS INC | 25,001 | $12,000 | 0.0% | $0.48 | $0.89 | — | COM | Y71726106 |
| PXSAW | PYXIS TANKERS INC | 81,744 | $12,000 | 0.0% | $0.15 | $0.35 | — | *W EXP 09/15/202 | Y71726122 |
| JOB | GEE GROUP INC | 15,001 | $9,000 | 0.0% | $0.60 | $0.67 | -14.6% | COM | 36165A102 |
| — | CLARUS THERAPEUTICS HLDNGS I | 32,502 | $9,000 | 0.0% | $0.28 | $0.75 | — | *W EXP 08/11/202 | 18271L115 |
| CLVRW | CLEVER LEAVES HOLDINGS INC | 18,686 | $9,000 | 0.0% | $0.48 | $1.63 | — | *W EXP 12/18/202 | 186760112 |
| — | AVENUE THERAPEUTICS INC | 10,001 | $9,000 | 0.0% | $0.90 | $0.90 | — | COM NEW | 05360L205 |
| — | ABEONA THERAPEUTICS INC | 23,200 | $8,000 | 0.0% | $0.34 | $0.34 | — | COM | 00289Y107 |
| — | LIXTE BIOTECHNOLOGY HLDGS IN | 17,934 | $8,000 | 0.0% | $0.45 | $0.68 | — | *W EXP 01/01/202 | 539319111 |
| SHPSQ | SHAPEWAYS HOLDINGS INC | 14,669 | $8,000 | 0.0% | $0.55 | $0.55 | — | *W EXP 99/99/999 | 81947T110 |
| — | IMAC HLDGS INC | 24,313 | $6,000 | 0.0% | $0.25 | $0.23 | — | *W EXP 02/12/202 | 44967K112 |
| — | G MED INNOVATIONS HLDGS LTD | 12,801 | $4,000 | 0.0% | $0.31 | $0.39 | — | *W EXP 06/30/202 | G39462117 |
| — | ENTERA BIO LTD | 14,047 | $4,000 | 0.0% | $0.28 | $0.28 | — | *W EXP 07/02/202 | M40527117 |