13F-HR filed by NOMURA HOLDINGS INC
NOMURA HOLDINGS INC filed this 13F-HR for the quarter ended 2023-06-30, filed 2023-08-14, with 1,328 holding rows worth $36,959,091,133.
- Accession
- 0000905148-23-000711
- Filer
- CIK 1163653
- Filed
- 2023-08-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q2 2023
A holdings report, 1,482 entries on the cover page, a total value of $36,959,091,133 stated on the cover page (in dollars after the unit check, H1), rows summing to $36,959,091,133 with VALUE read as dollars as filed, 13F file number 028-10594. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerNOMURA SECURITIES INTERNATIONAL INC028-04983
- included managerNOMURA SECURITIES BERMUDA LTD028-04993
- included managerNOMURA GLOBAL FINANCIAL PRODUCTS INC028-15494
The information table after summing rows of one CUSIP and put or call (H4), with the CUSIP and issuer name as filed. Values in dollars after the unit check (method).
| Issuer as filed | CUSIP | Class | Amount | Value | Value read as | Type |
|---|---|---|---|---|---|---|
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 696,392 | $674,317 | dollars as filed | principal |
| PHILLIPS 66 COM | 718546104 | Stock | 7,059 | $673,287 | dollars as filed | |
| DARDEN RESTAURANTS INC COM | 237194105 | Stock | 4,016 | $670,993 | dollars as filed | |
| UNITED AIRLS HLDGS INC COM | 910047109 | Stock | 12,219 | $670,457 | dollars as filed | |
| DUNE ACQUISITION CORP | 265334102 | COM | 67,000 | $667,320 | dollars as filed | |
| INTEGRA LIFESCIENCES HLDGS C | 457985208 | COM NEW | 16,170 | $665,072 | dollars as filed | |
| LIVENT CORP | 53814LAB4 | BOND | 2,342,348 | $660,776 | dollars as filed | principal |
| TARGET CORP COM | 87612E106 | Stock | 5,000 | $659,500 | dollars as filed | put |
| OBSIDIAN ENERGY LTD | 674482203 | COM | 112,500 | $655,875 | dollars as filed | put |
| ALCOA CORP COM | 013872106 | Stock | 19,200 | $651,456 | dollars as filed | call |
| LUCID GROUP INC | 549498103 | COM | 94,218 | $649,162 | dollars as filed | |
| Dingdong Cayman Ltd -Sp | 25445D101 | COM | 209,000 | $645,810 | dollars as filed | |
| PROG HOLDINGS INC | 74319R101 | COM NPV | 20,000 | $642,400 | dollars as filed | |
| Accenture Plc Class A | G1151C101 | COM | 2,081 | $642,155 | dollars as filed | |
| TRIP COM GROUP LTD ADS | 89677Q107 | ADR | 18,210 | $637,350 | dollars as filed | |
| APTIV PLC | G6095L109 | SHS | 6,235 | $636,531 | dollars as filed | |
| REDWOOD TRUST INC | 758075402 | COM | 98,000 | $624,260 | dollars as filed | put |
| STEEL DYNAMICS INC COM | 858119100 | Stock | 5,715 | $622,535 | dollars as filed | |
| ARISTA NETWORKS INC | 040413106 | COM | 3,808 | $617,124 | dollars as filed | |
| NMI HLDGS INC | 629209305 | COM | 23,883 | $616,659 | dollars as filed | |
| JELD-WEN HLDG INC | 47580P103 | COM | 35,000 | $613,900 | dollars as filed | put |
| ETSY INC | 29786A106 | COM | 7,211 | $610,123 | dollars as filed | |
| VALLEY NATL BANCORP | 919794107 | COM | 78,656 | $609,584 | dollars as filed | |
| DICE THERAPEUTICS INC | 23345J104 | COM | 13,000 | $603,980 | dollars as filed | |
| KOSMOS ENERGY LTD | 500688106 | COM | 100,000 | $599,000 | dollars as filed | |
| BXP INC COM | 101121101 | REIT | 10,366 | $596,978 | dollars as filed | |
| KNIGHT-SWIFT TRANSN HLDGS IN | 499049104 | CL A | 10,711 | $595,103 | dollars as filed | |
| ALCOA CORP COM | 013872106 | Stock | 17,400 | $590,382 | dollars as filed | put |
| FRONTLINE PLC COM | M46528101 | Stock | 40,000 | $581,200 | dollars as filed | |
| DEXCOM INC COM | 252131107 | Stock | 4,502 | $578,552 | dollars as filed | |
| EQUITABLE HLDGS INC COM | 29452E101 | Stock | 20,700 | $562,212 | dollars as filed | |
| NOAH HLDGS LTD | 65487X102 | SPON ADS CL A | 39,900 | $561,792 | dollars as filed | |
| SHIFT4 PMTS INC CL A | 82452J109 | Stock | 8,138 | $552,652 | dollars as filed | |
| ZTO EXPRESS CAYMAN INC | 98980A105 | SPONSORED ADS A | 22,021 | $552,287 | dollars as filed | |
| WORTHINGTON ENTERPRISES INC | 981811102 | COM | 7,900 | $548,813 | dollars as filed | |
| AMEDISYS INC | 023436108 | COM | 6,000 | $548,640 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 83,018 | $547,089 | dollars as filed | |
| DEUTSCHE BK AG NAMEN AKT | D18190898 | Stock | 50,000 | $526,500 | dollars as filed | put |
| HESS CORP | 42809H107 | COM | 3,846 | $522,864 | dollars as filed | |
| NETSCOUT SYS INC | 64115T104 | COM | 16,793 | $519,743 | dollars as filed | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 78,000 | $519,480 | dollars as filed | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 77,900 | $518,814 | dollars as filed | put |
| APA CORPORATION COM | 03743Q108 | Stock | 15,179 | $518,666 | dollars as filed | |
| Airbnb, Inc. Class A | 009066101 | COM | 4,014 | $514,434 | dollars as filed | |
| Starbucks Corporation | 855244109 | COM | 5,147 | $509,862 | dollars as filed | |
| MYR GROUP INC | 55405W104 | COM | 3,612 | $499,684 | dollars as filed | |
| RALPH LAUREN CORP | 751212101 | CL A | 4,025 | $496,283 | dollars as filed | |
| MATSON INC COM | 57686G105 | Stock | 6,366 | $494,829 | dollars as filed | |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 148,979 | $490,141 | dollars as filed | |
| MOSAIC CO COM | 61945C103 | Stock | 13,991 | $489,685 | dollars as filed | |
| Intuitive Surgical,Inc. | 46120E602 | COM | 1,425 | $487,265 | dollars as filed | |
| VISTA OUTDOOR INC | 928377100 | COM | 17,580 | $486,439 | dollars as filed | |
| PENN ENTERTAINMENT INC | 707569AU3 | NOTE 2.750% 5/1 | 1,999,626 | $485,309 | dollars as filed | principal |
| Amgen Inc. | 031162100 | COM | 2,173 | $482,449 | dollars as filed | |
| MURPHY OIL CORP COM | 626717102 | Stock | 12,500 | $478,750 | dollars as filed | |
| WORLD KINECT CORPORATION | 981475106 | COM | 22,949 | $474,585 | dollars as filed | |
| METLIFE INC COM | 59156R108 | Stock | 8,383 | $473,891 | dollars as filed | |
| SOUTHWESTAIRLSCO | 844741108 | STOK | 13,058 | $472,830 | dollars as filed | |
| AUTODESK INC COM | 052769106 | Stock | 2,286 | $467,739 | dollars as filed | |
| MADISON SQUARE GARDEN ENTMT | 558256103 | COM CL A | 13,887 | $466,881 | dollars as filed | |
| ENVISTA HOLDINGS CORPORATION | 29415FAB0 | BOND | 1,368,341 | $463,594 | dollars as filed | principal |
| ICICI BANK LIMITED ADR | 45104G104 | ADR | 20,000 | $461,600 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470M109 | CL A | 70,000 | $461,300 | dollars as filed | put |
| CMS ENERGY CORP COM | 125896100 | Stock | 7,844 | $460,835 | dollars as filed | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 74,661 | $453,939 | dollars as filed | |
| FRANKLIN RESOURCES INC COM | 354613101 | Stock | 16,962 | $453,055 | dollars as filed | |
| AUTODESK INC COM | 052769106 | Stock | 2,200 | $450,142 | dollars as filed | put |
| BEACON ROOFING SUPPLY INC | 073685109 | COM | 5,400 | $448,092 | dollars as filed | |
| GAP INC COM | 364760108 | Stock | 50,000 | $446,500 | dollars as filed | call |
| BALLARD PWR SYS INC NEW COM | 058586108 | Stock | 102,234 | $445,740 | dollars as filed | |
| NUTRIEN LTD COM | 67077M108 | Stock | 7,500 | $442,875 | dollars as filed | put |
| NUTRIEN LTD COM | 67077M108 | Stock | 7,500 | $442,875 | dollars as filed | call |
| Mondelez International,Inc. Class A | 609207105 | COM | 6,000 | $437,640 | dollars as filed | put |
| LAUDER ESTEE COS INC CL A | 518439104 | Stock | 2,223 | $436,553 | dollars as filed | |
| ZHIHU INC | 98955N108 | ADR | 382,800 | $432,564 | dollars as filed | |
| INNOVIZ TECHNOLOGIES LTD | M5R635108 | SHS | 151,063 | $429,019 | dollars as filed | |
| ATLASSIANCORPCLASSA | 049468101 | STOK | 2,526 | $423,888 | dollars as filed | |
| FARADAY FUTRE INTLGT ELCTR I | 307359109 | COM | 2,096,571 | $419,314 | dollars as filed | |
| Stryker Corporation | 863667101 | COM | 1,373 | $418,889 | dollars as filed | |
| Vertex Pharmaceuticals Incorporated | 92532F100 | COM | 1,164 | $409,623 | dollars as filed | |
| FORGEROCK INC | 34631B101 | CL A | 19,885 | $408,438 | dollars as filed | |
| PLAYTIKA HOLDING CORP | 72815L107 | COMMON STOCK | 35,120 | $407,392 | dollars as filed | |
| BLOOMIN BRANDS INC | 094235108 | COM | 15,000 | $403,350 | dollars as filed | put |
| MINISO GROUP HLDG LTD SPONSORED ADS | 66981J102 | ADR | 22,915 | $389,326 | dollars as filed | |
| MADDEN STEVEN LTD | 556269108 | COM | 11,701 | $382,506 | dollars as filed | |
| GENERAC HLDGS INC | 368736104 | COM | 2,559 | $381,624 | dollars as filed | |
| Danaher Corporation | 235851102 | COM | 1,585 | $380,400 | dollars as filed | |
| PLUG PWR INC | 72919P202 | COM NEW | 36,350 | $377,677 | dollars as filed | |
| IROBOT CORP | 462726100 | COM | 8,272 | $374,308 | dollars as filed | |
| DUPONT DE NEMOURS INC COM | 26614N102 | Stock | 5,204 | $371,774 | dollars as filed | |
| MARINUS PHARMACEUTICALS INC | 56854Q200 | COM NEW | 34,200 | $371,412 | dollars as filed | call |
| PLUG PWR INC | 72919PAD5 | NOTE 3.750% 6/0 | 3,604,210 | $371,234 | dollars as filed | principal |
| CARS COM INC | 14575E105 | COM | 18,405 | $364,787 | dollars as filed | |
| NEVRO CORP | 64157F103 | COM | 14,250 | $362,235 | dollars as filed | |
| DOLLAR GEN CORP COM | 256677105 | Stock | 2,128 | $361,292 | dollars as filed | |
| G III APPAREL GROUP LTD | 36237H101 | COM | 18,740 | $361,120 | dollars as filed | |
| VERVE THERAPEUTICS INC | 92539P101 | COM | 19,076 | $357,675 | dollars as filed | |
| QUOTIENT TECHNOLOGY INC | 749119103 | COMMON STOCK | 93,000 | $357,120 | dollars as filed | |
| BIG LOTS INC | 089302103 | COM | 40,200 | $354,966 | dollars as filed | call |
| CINCINNATI FINL CORP COM | 172062101 | Stock | 3,603 | $350,644 | dollars as filed | |
| BARCLAYS BANK PLC | 06748F324 | IPTH SR B S&P | 14,000 | $350,000 | dollars as filed | put |
| FREEPORT MCMORAN INC CL B | 35671D857 | Stock | 8,684 | $347,360 | dollars as filed | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 5,916 | $346,914 | dollars as filed | |
| LYFT INC | 55087P104 | CL A COM | 35,899 | $344,271 | dollars as filed | |
| RAPID7 INC COM | 753422104 | Stock | 7,500 | $339,600 | dollars as filed | call |
| NORDSON CORP | 655663102 | COM | 1,364 | $338,518 | dollars as filed | |
| OLAPLEX HLDGS INC | 679369108 | COM | 89,744 | $333,848 | dollars as filed | |
| Schlumberger Limited | 806857108 | COM | 6,715 | $329,841 | dollars as filed | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 7,522 | $325,101 | dollars as filed | |
| MCCORMICK & CO INC COM NON VTG | 579780206 | Stock | 3,715 | $324,059 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 11,010 | $323,694 | dollars as filed | |
| ZOETIS INC CL A | 98978V103 | Stock | 1,879 | $323,583 | dollars as filed | |
| Charles Schwab Corp | 808513105 | COM | 5,700 | $323,076 | dollars as filed | call |
| CENTURY COMMUNITIES INC. | 156504300 | COM | 4,163 | $318,969 | dollars as filed | |
| JIN MED INTL LTD. | G5140V104 | COMMON | 27,857 | $317,848 | dollars as filed | |
| ZSCALER INC | 98980GAB8 | NOTE 0.125% 7/0 | 213,851 | $313,483 | dollars as filed | principal |
| PACWEST BANCORP DEL | 695263103 | COM | 38,457 | $313,425 | dollars as filed | |
| Net Power Inc W Exp 06/08/202 | 64107A113 | SPAC Combination | 93,279 | $313,417 | dollars as filed | |
| COUPANG INC | 22266T109 | CL A | 18,000 | $313,200 | dollars as filed | |
| VODAFONE GROUP PLC SPONSORED ADR | 92857W308 | ADR | 32,716 | $309,166 | dollars as filed | |
| STEM INC | 85859N102 | COM | 54,000 | $308,880 | dollars as filed | call |
| WORLD ACCEP CORPORATION | 981419104 | COM | 2,300 | $308,223 | dollars as filed | put |
| PHILLIPS 66 COM | 718546104 | Stock | 3,200 | $305,216 | dollars as filed | put |
| ALNYLAM PHARMACEUTICALS INC COM | 02043Q107 | Stock | 1,572 | $298,586 | dollars as filed | |
| FEDERAL RLTY INVT TR NEW | 313745101 | SH BEN INT NEW | 3,061 | $296,213 | dollars as filed | |
| CALLAWAY GOLF CO | 131193AE4 | NOTE 2.750% 5/0 | 1,450,014 | $290,728 | dollars as filed | principal |
| TARGET CORP COM | 87612E106 | Stock | 2,200 | $290,180 | dollars as filed | call |
| CALIFORNIA RES CORP | 13057Q305 | COM STOCK | 6,343 | $287,274 | dollars as filed | |
| COHERUS ONCOLOGY INC | 19249H103 | COM | 66,417 | $283,601 | dollars as filed | |
| REGIONS FINANCIAL CORP NEW COM | 7591EP100 | Stock | 15,734 | $280,380 | dollars as filed | |
| MERCADOLIBREINC | 58733R102 | STOK | 235 | $278,381 | dollars as filed | |
| TIDEWATER INC NEW COM | 88642R109 | Stock | 5,000 | $277,200 | dollars as filed | |
| LIVENT CORP | 53814L108 | COM | 10,000 | $274,300 | dollars as filed | |
| ARDAGH METAL PACKAGING S A | L02235106 | SHS | 72,793 | $273,702 | dollars as filed | |
| BAUSCH HEALTH COS INC COM | 071734107 | Stock | 34,000 | $272,000 | dollars as filed | call |
| NOBLE CORP PLC ORD SHS A | G65431127 | Stock | 6,447 | $266,326 | dollars as filed | |
| BATH & BODY WORKS INC COM | 070830104 | Stock | 7,012 | $262,950 | dollars as filed | |
| Lowes Companies,Inc. | 548661107 | COM | 1,162 | $262,263 | dollars as filed | |
| ROYAL BK CDA COM | 780087102 | Stock | 2,718 | $259,596 | dollars as filed | |
| PORTILLOS INC | 73642K106 | COM CL A | 11,489 | $258,847 | dollars as filed | |
| AUTOZONE INC COM | 053332102 | Stock | 102 | $254,323 | dollars as filed | |
| CME Group Inc. Class A | 12572Q105 | COM | 1,367 | $253,291 | dollars as filed | |
| CIENA CORP COM NEW | 171779309 | Stock | 5,961 | $253,283 | dollars as filed | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 29,248 | $243,928 | dollars as filed | |
| MITEK SYS INC | 606710200 | COM NEW | 22,400 | $242,816 | dollars as filed | |
| GLOBUS MED INC CL A | 379577208 | Stock | 4,000 | $238,160 | dollars as filed | |
| GREENBRIER COS INC | 393657101 | COM | 5,520 | $237,912 | dollars as filed | |
| MCKESSON CORP COM | 58155Q103 | Stock | 552 | $235,875 | dollars as filed | |
| WALKME LTD ORD SHS | M97628107 | Stock | 24,426 | $234,490 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 91,568 | $233,169 | dollars as filed | principal |
| REALTY INCOME CORP COM | 756109104 | REIT | 3,895 | $232,882 | dollars as filed | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 2,465 | $232,523 | dollars as filed | |
| RAPID7 INC | 753422AD6 | NOTE 2.250% 5/0 | 513,863 | $232,215 | dollars as filed | principal |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 120,344 | $231,495 | dollars as filed | principal |
| TYSON FOODS INC CL A | 902494103 | Stock | 4,533 | $231,364 | dollars as filed | |
| MADRIGAL PHARMACEUTICALS INC COM | 558868105 | Stock | 1,000 | $231,000 | dollars as filed | |
| SKYWEST INC COM | 830879102 | Stock | 5,550 | $225,996 | dollars as filed | |
| AUTODESK INC COM | 052769106 | Stock | 1,100 | $225,071 | dollars as filed | call |
| VALE S A | 91912E105 | SPONSORED ADS | 16,763 | $224,959 | dollars as filed | |
| STONEX GROUP INC | 861896108 | COM | 2,698 | $224,150 | dollars as filed | |
| EDGIO INC | 53261M104 | COM | 331,207 | $223,234 | dollars as filed | |
| ROYALTY PHARMA PLC | G7709Q104 | SHS CLASS A | 7,250 | $222,865 | dollars as filed | |
| AMERICAN EAGLE OUTFITTERS INC COM | 02553E106 | Stock | 18,301 | $215,952 | dollars as filed | |
| IRHYTHM HOLDINGS INC COM | 450056106 | Stock | 2,000 | $208,640 | dollars as filed | |
| LCI INDS | 501812AB7 | NOTE 1.125% 5/1 | 162,650 | $206,663 | dollars as filed | principal |
| DATADOG INC | 23804LAB9 | NOTE 0.125% 6/1 | 208,031 | $204,473 | dollars as filed | principal |
| MACERICH CO | 554382101 | COM | 17,866 | $201,350 | dollars as filed | |
| AURINIA PHARMACEUTICALS INC COM | 05156V102 | Stock | 20,390 | $197,375 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 140,900 | $195,851 | dollars as filed | call |
| EATON VANCE MUNICIPAL BOND FUN | 27827X101 | COM | 19,100 | $190,045 | dollars as filed | |
| SCULPTOR CAP MGMT | 811246107 | COM CL A | 21,022 | $185,624 | dollars as filed | |
| SNAP INC | 83304AAB2 | NOTE 0.75% 08/01/2026 | 1,518,021 | $182,466 | dollars as filed | principal |
| Mersana Therapeutics Inc | 59045L106 | Common Stock | 54,800 | $180,292 | dollars as filed | call |
| CNX RES CORP COM | 12653C108 | Stock | 10,100 | $178,972 | dollars as filed | |
| ALLOT LTD | M0854Q105 | SHS | 56,300 | $177,908 | dollars as filed | call |
| AMYRIS INC | 03236M200 | COM NEW | 168,932 | $174,000 | dollars as filed | |
| METALS ACQUISITION LIMITED | G60409102 | *W EXP 06/15/202 | 133,333 | $173,333 | dollars as filed | |
| INVESCO VALUE MUNICIPAL INCOME | 46132P108 | COM | 14,400 | $170,208 | dollars as filed | |
| PAN AMERN SILVER CORP | 697900108 | COM | 11,365 | $165,702 | dollars as filed | |
| TEVA PHARMACEUTICAL INDS LTD SPONSORED ADS | 881624209 | ADR | 21,789 | $164,071 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 116,021 | $161,269 | dollars as filed | |
| NINE ENERGY SERVICE INC | 65441V101 | COM | 41,375 | $158,466 | dollars as filed | |
| BNY MELLON STRATEGIC MUNS IN | 05588W108 | COM | 25,100 | $156,122 | dollars as filed | |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 233,049 | $154,278 | dollars as filed | principal |
| NUSCALE PWR CORP | 67079K118 | *W EXP 05/02/202 | 108,747 | $152,246 | dollars as filed | |
| EHANG HLDGS LTD ADS | 26853E102 | ADR | 10,000 | $151,700 | dollars as filed | |
| LIBERTY LATIN AMERICA LTD | G9001E128 | COM CL C | 17,500 | $150,850 | dollars as filed | |
| Dynavax Technologies Corp. | 268158AD4 | CCB | 1,170,696 | $149,615 | dollars as filed | principal |
| EATON VANCE MUNICIPAL INCOME T | 27826U108 | SH BEN INT | 14,779 | $147,051 | dollars as filed | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 13,000 | $146,510 | dollars as filed | |
| NUVEEN AMT FREE QLTY MUN INC | 670657105 | COM | 13,300 | $145,369 | dollars as filed | |
| TAL ED GROUP SPONSORED ADS | 874080104 | ADR | 24,043 | $143,296 | dollars as filed | |
| NUVEEN CALIFORNIA AMT-FREE MUN | 670651108 | COM | 12,200 | $140,788 | dollars as filed | |
| INVESCO MUNI OPPORTUNITY TRUST | 46132C107 | COM | 14,800 | $140,008 | dollars as filed | |
| NUVEEN MUN VALUE FD INC | 670928100 | COM | 16,000 | $139,200 | dollars as filed | |
| OCULIS HOLDING AG | H5870P110 | *W EXP 03/06/202 | 126,000 | $138,600 | dollars as filed | |
| NUVEEN MUN CR INCOME FD | 67070X101 | COM SH BEN INT | 11,600 | $135,256 | dollars as filed | |
| NOKIA CORP | 654902204 | SPONSORED ADR | 32,066 | $133,395 | dollars as filed | |
| HESAI GROUP | 428050108 | SPONSORED ADS | 12,609 | $132,773 | dollars as filed | |
| INVESCO MUNICIPAL TRUST | 46131J103 | COM | 13,500 | $127,305 | dollars as filed | |
| PAR TECHNOLOGY CORP | 698884AC7 | NOTE 2.875% 4/1 | 368,050 | $121,861 | dollars as filed | principal |
| AMC ENTMT HLDGS INC | 00165C104 | CL A COM | 27,502 | $121,009 | dollars as filed | |
| GREEN PLAINS INC | 393222AK0 | NOTE 2.250% 3/1 | 366,514 | $120,547 | dollars as filed | principal |
| IHEARTMEDIA INC CLASS A | 45174J509 | COMMON STOCK | 32,410 | $117,972 | dollars as filed | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 11,300 | $117,633 | dollars as filed | |
| NUVEEN DYNAMIC MUN OPPORTUNITI | 67079X102 | COM SHS | 11,500 | $116,955 | dollars as filed | |
| MANNKIND CORP | 56400PAQ5 | NOTE 2.500% 3/0 | 2,882,662 | $114,730 | dollars as filed | principal |
| NATERA INC | 632307AB0 | BOND | 223,396 | $108,906 | dollars as filed | principal |
| GORES HOLDINGS IX INC | 38287A119 | WARR | 750,000 | $101,250 | dollars as filed | |
| BIOXCEL THERAPEUTICS INC | 09075P105 | COM | 15,200 | $101,232 | dollars as filed | call |
| ABRDN NATL MUN INCOME FD SH BEN INT | 24610T108 | CEF | 10,000 | $100,400 | dollars as filed | |
| MOATABLE INC | 759892300 | COM | 59,168 | $96,444 | dollars as filed | |
| CHARGEPOINT HLDGS INC | 15961R105 | COM CL A | 10,923 | $96,013 | dollars as filed | |
| LUFAX HOLDING LTD | 54975P102 | ADS REP SHS CL A | 67,100 | $95,953 | dollars as filed | |
| INVESCO QUALITY MUNICIPAL INCO | 46133G107 | COM | 10,000 | $95,600 | dollars as filed | |
| PELOTON INTERACTIVE INC | 70614W100 | CL A COM | 12,252 | $94,218 | dollars as filed | |
| TD HLDGS INC | 87250W202 | COM NEW | 150,134 | $92,332 | dollars as filed | |
| TRAVERE THERAPEUTICS INC | 89422GAA5 | CNV | 583,494 | $90,733 | dollars as filed | principal |
| BYTE ACQUISITION CORP | G1R25Q113 | *W EXP 03/18/202 | 584,550 | $90,605 | dollars as filed | |
| PIONEER MUNICIPAL HIGH INCOME | 723763108 | COM SHS | 10,328 | $88,098 | dollars as filed | |
| CALAMP CORP | 128126109 | COMMON STOCK | 81,151 | $86,020 | dollars as filed | |
| ROSS ACQUISITION II CORP | g7641c114 | WT | 504,999 | $83,830 | dollars as filed | |
| ARROWROOT ACQUISITION CORP | 04282M110 | WARR | 383,227 | $83,160 | dollars as filed | |
| SNAP INC | 83304AAH9 | NOTE 0.125% 3/0 | 690,117 | $82,952 | dollars as filed | principal |
| LANDCADIA HOLDINGS IV INC | 51477A112 | *W EXP 03/29/202 | 500,000 | $82,000 | dollars as filed | |
| INVESCO MUNI INCOME OPP TRST | 46132X101 | COM | 12,846 | $80,159 | dollars as filed | |
| NIU TECHNOLOGIES | 65481N100 | CMN | 20,000 | $79,600 | dollars as filed | |
| L CATTERTON ASIA ACQUISITION | G5346G117 | *W EXP 03/08/202 | 158,859 | $79,430 | dollars as filed | |
| ANYWHERE REAL ESTATE GROUP L | 75606DAP6 | CNV | 1,114,883 | $76,927 | dollars as filed | principal |
| SNAP INC | 83304AAD8 | NOTE 0.250% 5/0 | 616,497 | $74,103 | dollars as filed | principal |
| 8X8 INC NEW | 282914AE0 | NOTE 4.000% 2/0 | 1,676,838 | $73,781 | dollars as filed | principal |
| KINGSOFT CLOUD HLDGS LTD ADS | 49639K101 | ADR | 11,935 | $72,804 | dollars as filed | |
| PRENETICS GLOBAL LTD SHS NEW | G72245106 | Stock | 80,675 | $71,801 | dollars as filed | |
| Up Fintech Holding Ltd | 91531W106 | COM | 25,000 | $71,000 | dollars as filed | |
| ALPHATEC HLDGS INC | 02081GAB8 | NOTE 0.750% 8/0 | 400,916 | $70,521 | dollars as filed | principal |
| ANNEXON INC | 03589W102 | COM | 20,000 | $70,400 | dollars as filed | |
| SK GROWTH OPPORTUNITIES CORP | G8192N111 | *W EXP 06/28/202 | 500,000 | $70,000 | dollars as filed | |
| NCL CORP LTD | 62886HBK6 | NOTE 2.500% 2/1 | 316,470 | $69,339 | dollars as filed | principal |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 10,000 | $67,300 | dollars as filed | |
| MSP RECOVERY INC | 553745126 | *W EXP 05/20/202 | 16,325,000 | $65,300 | dollars as filed | |
| GINKGO BIOWORKS HOLDINGS INC | 37611X100 | CL A SHS | 34,587 | $64,332 | dollars as filed | |
| CALIDI BIOTHERAPEUTICS INC | 320703119 | *W EXP 03/14/202 | 467,818 | $60,816 | dollars as filed | |
| MSP RECOVERY INC | 553745100 | COM CL A | 182,013 | $59,700 | dollars as filed | |
| Algoma Stl Group Inc W Exp 10/19/202 | 015658115 | SPAC Combination | 34,200 | $58,140 | dollars as filed | |
| CANAAN INC | 134748102 | SPONSORED ADS | 25,393 | $54,087 | dollars as filed | |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 345,986 | $52,728 | dollars as filed | principal |
| PEABODY ENGR CORP | 704551AD2 | NOTE 3.250% 3/0 | 230,831 | $50,714 | dollars as filed | principal |
| CC NEUBERGER PRINCIPAL HOLDN | G1992N126 | *W EXP 02/05/202 | 250,000 | $50,000 | dollars as filed | |
| CEPTON INC | 15673X101 | COM | 101,601 | $49,276 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 34,474 | $47,919 | dollars as filed | |
| MORGAN STANLEY EMERGING MKTS | 617477104 | COM | 10,000 | $46,900 | dollars as filed | |
| BAOZUN INC ADR | 06684L103 | SPONSORED ADR | 11,462 | $45,733 | dollars as filed | |
| KERNEL GROUP HOLDINGS INC | G5259L129 | *W EXP 99/99/999 | 387,620 | $45,352 | dollars as filed | |
| VIRTUS STONE HBR EMRG MKTS I | 86164T107 | COM | 10,000 | $45,100 | dollars as filed | |
| THE9 LTD | 88337K302 | ADR | 59,137 | $44,193 | dollars as filed | |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 19,100 | $42,402 | dollars as filed | |
| MFS HIGH YIELD MUNICIPAL TRUST | 59318E102 | SH BEN INT | 12,698 | $40,888 | dollars as filed | |
| CUTERA INC | 232109AD0 | NOTE 2.250% 6/0 | 257,716 | $39,430 | dollars as filed | principal |
| BITE ACQUISITION CORP | 09175K113 | *W EXP 02/12/203 | 481,988 | $38,559 | dollars as filed | |
| DIGITAL TRANSFORMATN OPT COR | 25401K115 | *W EXP 03/31/202 | 275,000 | $38,500 | dollars as filed | |
| CREDIT SUISSE HIGH YIELD CRE | 22544F103 | SH BEN INT | 19,884 | $37,581 | dollars as filed | |
| DISH NETWORK CORPORATION | 25470MAB5 | NOTE 3.375% 8/1 | 548,892 | $37,160 | dollars as filed | principal |
| LAMF GLOBAL VENTURES CORP I | G5338L124 | *W EXP 99/99/999 | 350,000 | $34,300 | dollars as filed | |
| 3D SYS CORP DEL | 88554DAD8 | NOTE 11/1 | 325,325 | $32,239 | dollars as filed | principal |
| FASTLY INC | 31188VAB6 | NOTE 3/1 | 201,855 | $32,034 | dollars as filed | principal |
| CF ACQUISITION CORP VII | 12521H115 | WARR | 216,666 | $31,850 | dollars as filed | |
| EVENTBRITE INC | 29975EAB5 | NOTE 5.000%12/0 | 308,352 | $29,787 | dollars as filed | principal |
| Northern Revival Acquisition Corp | G6546R119 | Warrant | 326,999 | $29,430 | dollars as filed | |
| Valuence Merger Corp I | G9R16L118 | Warrant | 245,000 | $29,400 | dollars as filed | |
| DISRUPTIVE ACQUISITION CORP | G2770Y128 | *W EXP 03/06/202 | 366,666 | $29,333 | dollars as filed | |
| ANZU SPECIAL ACQUISITIN CORP | 03737A119 | *W EXP 01/27/202 | 633,332 | $26,600 | dollars as filed | |
| HELIOGEN INC | 42329E105 | COM | 107,900 | $26,436 | dollars as filed | call |
| HENNESSY CAPITAL INVST CORP | 42600H116 | *W EXP 99/99/999 | 200,000 | $26,000 | dollars as filed | |
| FLAME ACQUISITION CORP | 33850F116 | *W EXP 02/26/202 | 80,700 | $25,178 | dollars as filed | |
| BLEUACACIA LTD | G11728113 | *W EXP 10/30/202 | 500,000 | $25,000 | dollars as filed | |
| AMYRIS INC | 03236MAJ0 | BOND | 2,064,598 | $24,156 | dollars as filed | principal |
| WM TECHNOLOGY INC | 92971A109 | COM *D* | 28,562 | $23,921 | dollars as filed | |
| APOLLO STRATEGIC GRWT CPTL I | G0412A128 | *W EXP 02/12/202 | 210,000 | $23,100 | dollars as filed | |
| QUADRO ACQUISITION ONE CORP | G52807115 | *W EXP 06/30/202 | 366,508 | $21,257 | dollars as filed | |
| Cartesian Growth Corp II | G19305120 | Warrant | 133,333 | $20,133 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T116 | *W EXP 01/13/202 | 50,000 | $18,200 | dollars as filed | |
| JAGUAR GLOBAL GROWTH CORP I | G5S11A130 | *W EXP 11/23/202 | 575,000 | $17,825 | dollars as filed | |
| MULTIPLAN CORPORATION | 62548M118 | *W EXP 02/13/202 | 150,000 | $15,000 | dollars as filed | |
| Goal Acquisitions Corp | 38021H115 | Warrant | 500,000 | $14,500 | dollars as filed | |
| ARES ACQUISITION CORPORATION | G33032122 | *W EXP 02/02/202 | 16,489 | $13,818 | dollars as filed | |
| NORTHERN STAR INVEST CORP IV | 66575B119 | *W EXP 02/25/202 | 233,333 | $13,300 | dollars as filed | |
| SLAM CORP | G8210L121 | *W EXP 02/23/202 | 62,800 | $11,932 | dollars as filed | |
| SILVERSPAC INC | G8136V112 | WARR | 166,666 | $11,333 | dollars as filed | |
| BRAEMAR HOTELS & RESORTS INC | 10482BAB7 | NOTE 4.500% 6/0 | 265,282 | $10,824 | dollars as filed | principal |
| POWER & DIGITAL INFRASTRUCTU | 73919C118 | *W EXP 12/09/202 | 148,980 | $10,429 | dollars as filed | |
| TMC THE METALS COMPANY INC | 87261Y114 | *W EXP 09/09/202 | 36,415 | $10,196 | dollars as filed | |
| TRISTAR ACQUISITION I CORP | G9074V114 | *W EXP 99/99/999 | 375,000 | $10,125 | dollars as filed | |
| KAIXIN AUTO HLDGS | G5223X100 | CMN | 30,446 | $9,438 | dollars as filed | |
| Jaws Mustang Acquisition Corp | G50737124 | Warrant | 187,500 | $9,375 | dollars as filed | |
| RMG ACQUISITION CORP III | G76088122 | *W EXP 99/99/999 | 81,070 | $8,999 | dollars as filed | |
| GOLDEN ARROW MERGER CORP | 380799114 | *W EXP 07/31/202 | 300,000 | $8,700 | dollars as filed | |
| ALLEGO N V | N0796A118 | WTS | 30,000 | $8,700 | dollars as filed | |
| 2U INC | 90214JAB7 | NOTE 2.250% 5/0 | 219,691 | $8,480 | dollars as filed | principal |
| POWERUP ACQUISITION CORP | G7207P129 | WARR | 150,000 | $7,500 | dollars as filed | |
| KNIGHTSWAN ACQUISITION CORP | 499103117 | WARR | 200,000 | $7,000 | dollars as filed | |
| TWIN RIDGE CAPITAL ACQUIS CO | G9151L120 | WARR | 116,666 | $6,417 | dollars as filed | |
| FTAC ZEUS ACQUISITION COR | 30320F114 | *W EXP 04/15/202 | 450,000 | $5,850 | dollars as filed | |
| HCM ACQUISITION CO | G4365A127 | WARR | 250,000 | $5,750 | dollars as filed | |
| FUTURE HEALTH ESG CORP | 36118W110 | *W EXP 99/99/999 | 205,212 | $4,104 | dollars as filed | |
| OSIRIS ACQUISITION CORP | 68829A111 | *W EXP 05/01/202 | 42,150 | $4,004 | dollars as filed | |
| IRIS ACQUISITION CORP | 89601Y119 | *W EXP 02/28/202 | 97,325 | $3,990 | dollars as filed | |
| GOLDEN FALCON ACQUISITION CO | 38102H117 | *W EXP 11/04/202 | 30,000 | $3,900 | dollars as filed | |
| VISTRA CORP | 92840M128 | COM | 42,829 | $3,619 | dollars as filed | |
| GLOBAL PARTNER ACQISTN CORP | G3934P128 | *W EXP 01/14/202 | 107,229 | $3,539 | dollars as filed | |
| THUNDER BRIDGE CAP PRTNRS II | 88605T118 | *W EXP 02/01/202 | 25,820 | $3,098 | dollars as filed | |
| ATLANTIC COASTAL ACQUISTN CO | 048453112 | *W EXP 03/02/202 | 99,998 | $2,800 | dollars as filed | |
| FINSERV ACQUISITION CORP II | 31809Y111 | *W EXP 02/17/202 | 109,084 | $2,727 | dollars as filed | |
| PLUM ACQUISITION CORP I | G7134L118 | *W EXP 03/18/202 | 80,000 | $2,400 | dollars as filed | |
| PRIVETERRA ACQUISITION CORP | 74275N110 | WARR | 29,833 | $2,357 | dollars as filed | |
| CHURCHILL CAPITAL CORP VII | 17144M110 | *W EXP 02/29/202 | 15,020 | $2,253 | dollars as filed | |
| Ecarx Holdings Inc W Exp 99/99/999 | G29201111 | SPAC Combination | 21,687 | $1,930 | dollars as filed | |
| Plum Acquisition Corp. III | G63290103 | Warrant | 40,000 | $1,800 | dollars as filed | |
| Movella Holdings Inc | 62459N113 | Warrant | 15,276 | $1,696 | dollars as filed | |
| HH&L ACQUISITION CO | G39714129 | WARR | 83,822 | $1,593 | dollars as filed | |
| TORTOISEECOFIN ACQUISITION C | G8956E117 | *W EXP 07/22/202 | 25,000 | $1,150 | dollars as filed | |
| Constellation Acquisition Corp I | G2R18K113 | WARRANT | 16,666 | $1,033 | dollars as filed | |
| OCA ACQUISITION CORP | 670865112 | *W EXP 01/14/202 | 22,295 | $981 | dollars as filed | |
| M3 BRIGADE ACQUISITION II CO | 553800111 | *W EXP 03/09/202 | 43,894 | $878 | dollars as filed | |
| STRATIM CLOUD ACQUISITION CO | 86309R115 | *W EXP 03/05/202 | 416,666 | $833 | dollars as filed | |
| MEDTECH ACQUISITION CORP | 58507N113 | *W EXP 12/22/202 | 10,800 | $454 | dollars as filed | |
| PRIVETERRA ACQUISITION CORP | 876545112 | *W EXP 01/07/202 | 12,500 | $425 | dollars as filed | |
| Dave Inc W Exp 01/05/202 | 23834J110 | SPAC Combination | 12,500 | $375 | dollars as filed | |
| FORUM MERGER IV CORP | 349875112 | *W EXP 03/15/202 | 212,500 | $213 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0000905148-23-000711 | this filing | 2023-08-14 | acceptance time not in the bulk data set |