13F-HR filed by Skaana Management L.P.
Skaana Management L.P. filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-14, with 216 holding rows worth $406,582,312.
- Accession
- 0001214659-23-015103
- Filer
- CIK 1860998
- Filed
- 2023-11-14
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q3 2023
A holdings report, 216 entries on the cover page, a total value of $406,582,312 stated on the cover page (in dollars after the unit check, H1), rows summing to $406,582,312 with VALUE read as dollars as filed, 13F file number 028-22020. The quarter's positions are built on this report. The resolved quarter.
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 |
|---|---|---|---|---|---|---|
| OCCIDENTAL PETE CORP | 674599105 | COM | 400,325 | $25,973,086 | dollars as filed | |
| OCCIDENTAL PETE CORP | 674599105 | COM | 368,400 | $23,901,792 | dollars as filed | put |
| RBC BEARINGS INC | 75524B203 | CONV | 174,224 | $19,183,805 | dollars as filed | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 69,600 | $16,295,448 | dollars as filed | put |
| COLONY CAPITAL OPERATING CO 5.75 07/15/2025 | 19626LAA5 | FIXED INCOME | 7,397,000 | $14,450,261 | dollars as filed | principal |
| AMERICAN AIRLINES GROUP INC | 02376RAF9 | NOTE 6.500% 7/0 | 13,225,000 | $14,111,075 | dollars as filed | principal |
| CARNIVAL CORP | 143658BT8 | BOND | 9,369,000 | $14,001,971 | dollars as filed | principal |
| SPIRIT AIRLS INC | 848577AA0 | NOTE 4.750% 5/1 | 8,340,000 | $14,001,192 | dollars as filed | principal |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 298,915 | $12,928,074 | dollars as filed | |
| SPY | 78462F103 | SHS | 30,000 | $12,824,400 | dollars as filed | call |
| ROYAL CARIBBEAN GROUP | 780153BQ4 | NOTE 6.000% 8/1 | 6,000,000 | $11,829,000 | dollars as filed | principal |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 2,500,000 | $11,197,500 | dollars as filed | principal |
| OCCIDENTAL PETE CORP | 674599105 | COM | 161,200 | $10,458,656 | dollars as filed | call |
| TRANSOCEAN INC. 144A 4.625 09/30/2029 | 893830BU2 | FIXED INCOME | 4,000,000 | $10,375,200 | dollars as filed | principal |
| NCL CORP LTD | 62886HAT8 | NOTE 6.000% 5/1 | 7,600,000 | $9,975,000 | dollars as filed | principal |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 531,334 | $9,925,319 | dollars as filed | |
| ALGONQUIN PWR UTILS CORP | 015857873 | CONV | 437,782 | $9,451,713 | dollars as filed | |
| APOLLO GLOBAL MGMT INC | 03769M304 | CMN | 132,602 | $7,306,370 | dollars as filed | |
| RBC BEARINGS INC COM | 75524B104 | Stock | 29,500 | $6,906,835 | dollars as filed | call |
| CINEMARK HLDGS INC | 17243VAB8 | NOTE 4.500% 8/1 | 4,500,000 | $6,570,000 | dollars as filed | principal |
| BROOKDALE SR LIVING INC | 112463302 | CONV | 111,833 | $6,517,627 | dollars as filed | |
| WTS/CALIFORNIA RESOURCES CORPO EXP10/23/2024 | 13057Q123 | WARR | 297,946 | $6,349,229 | dollars as filed | |
| TARGET HOSPITALITY CORP | 87615L115 | *W EXP 03/15/202 | 1,001,620 | $5,118,278 | dollars as filed | |
| ENVX 3 05/01/28 | 293594AC1 | FIXED INCOME | 4,750,000 | $5,052,813 | dollars as filed | principal |
| CHART INDS INC | 16115Q407 | 6.75DP CNV PFD B | 75,521 | $5,035,740 | dollars as filed | |
| WAYFAIR INC | 94419LAP6 | NOTE 3.250% 9/1 | 4,000,000 | $4,816,000 | dollars as filed | principal |
| GARRETT MOTION INC | 366505105 | COM | 597,940 | $4,711,767 | dollars as filed | |
| NOVAVAX INC. 144A 5 12/15/2027 | 670002AC8 | FIXED INCOME | 6,200,000 | $4,681,000 | dollars as filed | principal |
| STEM Inc | 85859NAC6 | NOTE 4.250 04/01/30 | 5,750,000 | $4,640,250 | dollars as filed | principal |
| RIVIAN AUTOMOTIVE INC 144A 4.625 03/15/2029 | 76954AAA1 | FIXED INCOME | 3,000,000 | $4,344,000 | dollars as filed | principal |
| Dynavax Technologies Corp. | 268158AD4 | CCB | 2,725,000 | $4,150,448 | dollars as filed | principal |
| LI AUTO INC | 50202MAB8 | NOTE 0.250% 5/0 | 2,915,000 | $4,115,980 | dollars as filed | principal |
| CTO REALTY GROWTH INC | 210226AD8 | CORP | 3,596,000 | $3,835,494 | dollars as filed | principal |
| FLUOR CORP | 343412102 | COM | 90,300 | $3,314,010 | dollars as filed | put |
| GREAT AJAX CORP | 38983D409 | PREF CONV | 131,211 | $3,164,809 | dollars as filed | |
| FLUOR CORP | 343412102 | COM | 78,500 | $2,880,950 | dollars as filed | call |
| GARRETT MOTION INC | 366505105 | COM | 356,100 | $2,806,068 | dollars as filed | put |
| MICROSTRATEGY INC | 594972AC5 | NOTE 0.750%12/1 | 2,492,000 | $2,687,024 | dollars as filed | principal |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 166,100 | $2,637,668 | dollars as filed | call |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 140,705 | $2,631,184 | dollars as filed | |
| VERTEX ENERGY INC | 92534K107 | COM | 570,900 | $2,540,505 | dollars as filed | put |
| ROYAL CARIBBEAN GROUP | 780153BF8 | NOTE 2.875%11/1 | 2,000,000 | $2,252,000 | dollars as filed | principal |
| SAREPTA THERAPEUTICS INC | 803607AD2 | NOTE 1.250% 9/1 | 2,000,000 | $2,233,800 | dollars as filed | principal |
| AMERICAN AIRLINES GROUP INC COM | 02376R102 | Stock | 171,600 | $2,198,196 | dollars as filed | put |
| VERTEX ENERGY INC | 92534K107 | COM | 483,932 | $2,153,497 | dollars as filed | |
| HERBALIFE NUTRITION LTD. 144A 4.25 06/15/2028 | 42703MAE3 | FIXED INCOME | 2,000,000 | $2,137,000 | dollars as filed | principal |
| AST SPACEMOBILE INC COM CL A | 00217D100 | Stock | 541,700 | $2,058,460 | dollars as filed | call |
| CARNIVAL CORP COMMON STOCK | 143658300 | Stock | 147,400 | $2,022,328 | dollars as filed | call |
| ICPT 2 05 15 26 2 000000 | 45845PAB4 | CONV BD US | 2,000,000 | $1,957,600 | dollars as filed | principal |
| KAMAN CORP | 483548AF0 | BOND | 2,000,000 | $1,941,400 | dollars as filed | principal |
| FISKER INC | 33813JAA4 | NOTE 2.5% 9/15/26 | 3,578,000 | $1,826,927 | dollars as filed | principal |
| Target Hospitality Corp. | 87615L107 | Common Stock, par value $0.0001 per share | 107,200 | $1,702,336 | dollars as filed | put |
| PEABODY ENGR CORP | 704551AD2 | NOTE 3.250% 3/0 | 1,000,000 | $1,514,750 | dollars as filed | principal |
| CSG SYSTEMS INTERNATIONAL IN 3.875 Percent 09/15/2028 | 126349AG4 | FIXED INCOME | 1,500,000 | $1,459,650 | dollars as filed | principal |
| EXPAND ENERGY CORPORATION COM | 165167735 | Stock | 15,800 | $1,362,434 | dollars as filed | put |
| ARRAY TECHNOLOGIES INC | 04271TAB6 | NOTE 1.000%12/0 | 1,146,000 | $1,309,305 | dollars as filed | principal |
| NIO INC. 144A 4.625 10/15/2030 | 62914VAH9 | FIXED INCOME | 1,250,000 | $1,298,963 | dollars as filed | principal |
| ARBOR REALTY TRUST INC. 144A 7.5 Percent 08/01/2025 | 038923AZ1 | FIXED INCOME | 1,200,000 | $1,206,756 | dollars as filed | principal |
| ENOVIX CORPORATION COM | 293594107 | Stock | 96,000 | $1,204,800 | dollars as filed | call |
| SPIRIT AIRLS INC | 848577102 | COM | 72,300 | $1,192,950 | dollars as filed | call |
| FISKER INC | 33813J106 | CL A COM STK | 184,500 | $1,184,490 | dollars as filed | call |
| NextEra Energy,Inc. | 65339F101 | COM | 19,000 | $1,088,510 | dollars as filed | put |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 129,800 | $1,037,102 | dollars as filed | |
| SOFI TECHNOLOGIES INC COM | 83406F102 | Stock | 129,800 | $1,037,102 | dollars as filed | put |
| VERRA MOBILITY CORP CL A COM STK | 92511U102 | Stock | 55,400 | $1,035,980 | dollars as filed | put |
| NIO INC. 144A 3.875 10/15/2029 | 62914VAG1 | FIXED INCOME | 1,000,000 | $1,030,500 | dollars as filed | principal |
| SPIRIT AIRLS INC | 848577102 | COM | 59,200 | $976,800 | dollars as filed | put |
| HAT HOLDINGS I LLC | 418751AJ2 | NOTE 3.750% 8/1 | 1,000,000 | $971,880 | dollars as filed | principal |
| LUMENTUM HOLDINGS INC. 144A 1.5 Percent 12/15/2029 | 55024UAG4 | FIXED INCOME | 1,000,000 | $909,000 | dollars as filed | principal |
| ENOVIX CORPORATION COM | 293594107 | Stock | 72,300 | $907,365 | dollars as filed | put |
| STRATEGY INC CL A NEW | 594972408 | Stock | 2,600 | $853,528 | dollars as filed | call |
| VINFAST AUTO LTD | Y9390M111 | *W EXP 08/11/202 | 211,907 | $828,556 | dollars as filed | |
| ROYAL CARIBBEAN GROUP COM | V7780T103 | Stock | 8,000 | $737,120 | dollars as filed | call |
| VERTEX ENERGY INC | 92534K107 | COM | 165,200 | $735,140 | dollars as filed | call |
| AST SPACEMOBILE INC | 00217D118 | *W EXP 04/06/202 | 729,930 | $686,134 | dollars as filed | |
| NIO INC SPON ADS | 62914V106 | ADR | 75,000 | $678,000 | dollars as filed | call |
| NOVAVAX INC | 670002401 | COM NEW | 86,366 | $625,290 | dollars as filed | |
| NIO INC | 62914VAB2 | NOTE 4.500% 2/0 | 530,000 | $588,470 | dollars as filed | principal |
| FARADAY FUTRE INTLGT ELCTR I | 307359505 | COMMON | 429,200 | $570,836 | dollars as filed | call |
| NOVAVAX INC | 670002401 | COM NEW | 76,300 | $552,412 | dollars as filed | call |
| NORWEGIAN CRUISE LINE HLDGS LT SHS | G66721104 | Stock | 30,700 | $505,936 | dollars as filed | call |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 26,000 | $482,040 | dollars as filed | put |
| BIGBEAR AI HLDGS INC COM | 08975B109 | Stock | 262,500 | $396,375 | dollars as filed | call |
| PAYSAFE LIMITED | G6964L206 | SHS | 32,800 | $393,272 | dollars as filed | call |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 20,877 | $387,060 | dollars as filed | |
| FISKER INC | 33813J106 | CL A COM STK | 59,500 | $381,990 | dollars as filed | put |
| SELINA HOSPITALITY PLC 6 11/01/2026 | 81635BAA6 | FIXED INCOME | 5,250,000 | $367,500 | dollars as filed | principal |
| ASTRA SPACE INC | 04634X202 | CL A NEW | 190,500 | $352,425 | dollars as filed | call |
| NOVAVAX INC | 670002401 | COM NEW | 46,800 | $338,832 | dollars as filed | put |
| UNITED STATES STL CORP NEW | 912909108 | COM | 9,500 | $308,560 | dollars as filed | put |
| VINFAST AUTO LTD | Y9390M103 | SHS | 24,362 | $304,525 | dollars as filed | |
| STEM INC | 85859N102 | COM | 65,200 | $276,448 | dollars as filed | put |
| NIO INC SPON ADS | 62914V106 | ADR | 30,000 | $271,200 | dollars as filed | put |
| GINKGO BIOWORKS HOLDINGS INC | 37611X100 | CL A SHS | 143,800 | $260,278 | dollars as filed | call |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 43,500 | $257,520 | dollars as filed | call |
| PEABODY ENGR CORP | 704551100 | COM | 9,400 | $244,306 | dollars as filed | put |
| UNITED STATES STL CORP | 912909AT5 | NOTE 5.000%11/0 | 90,000 | $221,670 | dollars as filed | principal |
| PURECYCLE TECHNOLOGIES INC | 74623V103 | COM | 37,500 | $210,375 | dollars as filed | put |
| PURECYCLE TECHNOLOGIES INC | 74623V103 | COM | 36,651 | $205,612 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 7,400 | $187,664 | dollars as filed | call |
| CINEMARK HLDGS INC COM | 17243V102 | Stock | 9,000 | $165,150 | dollars as filed | call |
| UNITED STATES STL CORP NEW | 912909108 | COM | 5,000 | $162,400 | dollars as filed | call |
| WTS/LION ELECTRIC EXP12/13/2027 | 536221120 | WARR | 311,927 | $162,202 | dollars as filed | |
| VIRGIN GALACTIC HLDGS INC | 92766K106 | COM | 80,000 | $144,000 | dollars as filed | call |
| STRATA CRITICAL MEDICAL INC | 092667104 | CL A COM | 52,900 | $137,011 | dollars as filed | call |
| INDIE SEMICONDUCTOR INC | 45569U101 | CLASS A COM | 18,400 | $115,920 | dollars as filed | call |
| BLACKSTONE MORTGAGE TRUST INC COM CL A | 09257W100 | REIT | 5,000 | $108,750 | dollars as filed | put |
| ALGONQUIN POWER & UTILITIES CO COM | 015857105 | Stock | 17,400 | $103,008 | dollars as filed | put |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 367,173 | $99,137 | dollars as filed | |
| CANO HEALTH INC | 13781Y103 | COM | 3,600 | $91,296 | dollars as filed | put |
| STEM INC | 85859N102 | COM | 20,000 | $84,800 | dollars as filed | call |
| CHART INDS INC | 16115Q308 | COM | 500 | $84,560 | dollars as filed | call |
| Psq Holdings Inc W Exp 07/19/202 | 693691115 | SPAC Combination | 57,932 | $80,525 | dollars as filed | |
| BIGBEAR AI HLDGS INC | 08975B117 | *W EXP 12/08/202 | 166,864 | $75,089 | dollars as filed | |
| Weatherford Intl Warrants Exp | G48833126 | WT | 30,616 | $73,478 | dollars as filed | |
| Livewire Group Inc W Exp 09/26/202 | 53838J113 | SPAC Combination | 183,989 | $64,415 | dollars as filed | |
| HERBALIFE LTD | G4412G101 | COM SHS | 4,000 | $55,960 | dollars as filed | call |
| SABRE CORP COM | 78573M104 | Stock | 10,629 | $47,724 | dollars as filed | |
| 23ANDME HOLDING CO | 90138Q108 | CLASS A COM | 47,700 | $46,636 | dollars as filed | call |
| FORD MTR CO COM | 345370860 | Stock | 3,100 | $38,502 | dollars as filed | call |
| RUM GROUP INC COM CL A | 78137L105 | Stock | 7,400 | $37,740 | dollars as filed | call |
| FREYR BATTERY | L4135L100 | SHS | 7,200 | $35,208 | dollars as filed | call |
| CHART INDS INC | 16115Q308 | COM | 200 | $33,824 | dollars as filed | put |
| VINFAST AUTO LTD | Y9390M103 | SHS | 2,500 | $31,250 | dollars as filed | call |
| BIGBEAR AI HLDGS INC COM | 08975B109 | Stock | 20,000 | $30,200 | dollars as filed | |
| EVE HLDG INC WTS EXP 05/09/202 | 29970n112 | WT | 42,218 | $29,979 | dollars as filed | |
| OFFERPAD SOLUTIONS INC | 67623L307 | COM CL A | 2,800 | $27,328 | dollars as filed | call |
| PAYSAFE LIMITED | G6964L206 | SHS | 2,100 | $25,179 | dollars as filed | put |
| CANOO INC | 13803R102 | COM CL A | 45,500 | $22,295 | dollars as filed | call |
| BRILLIANT ACQUISITION CORP | G1643W137 | RIGHT 99/99/9999 | 100,000 | $20,900 | dollars as filed | |
| CYTOKINETICS INC | 23282W605 | COM NEW | 700 | $20,622 | dollars as filed | put |
| FORAFRIC GLOBAL PLC | X3R81D110 | *W EXP 06/09/202 | 16,300 | $19,560 | dollars as filed | |
| FARADAY FUTURE INTLGT ELEC I | 307359117 | *W EXP 07/21/202 | 708,071 | $18,268 | dollars as filed | |
| PSQ HOLDINGS INC | 693691107 | CL A | 2,000 | $18,160 | dollars as filed | call |
| BETTER HOME & FINANCE HOLDIN | 08774B102 | COM | 30,000 | $14,370 | dollars as filed | |
| BROOKDALE SR LIVING INC | 112463104 | COM | 2,400 | $9,936 | dollars as filed | call |
| CUSTOM TRUCK ONE SOURCE INC | 23204X111 | WARRANT | 118,936 | $9,503 | dollars as filed | |
| A SPAC II ACQUISITION RTS | G0543H133 | RIGHT | 100,000 | $9,000 | dollars as filed | |
| EDOC ACQUISITION CORP | G4000A136 | COM | 100,000 | $9,000 | dollars as filed | |
| AST SPACEMOBILE INC COM CL A | 00217D100 | Stock | 2,100 | $7,980 | dollars as filed | put |
| GETTY IMAGES HOLDINGS INC | 374275105 | CL A COM | 1,200 | $7,788 | dollars as filed | call |
| BRIDGETOWN HOLDINGS LTD | G1355U121 | *W EXP 09/30/202 | 19,785 | $6,727 | dollars as filed | |
| ABACUS GLOBAL MGMT INC | 00258Y112 | *W EXP 06/30/202 | 16,261 | $6,179 | dollars as filed | |
| Better Home & Finance Holdin W Exp 08/22/202 | 08774B110 | SPAC Combination | 56,611 | $5,661 | dollars as filed | |
| EOS ENERGY ENTERPRISES, INC | 29415C119 | *W EXP 11/17/202 | 12,998 | $5,394 | dollars as filed | |
| WTS/CLEVER LEAVES HOLDINGS INC 11.5000EXP12/31/2025 | 186760112 | WARR | 290,052 | $4,960 | dollars as filed | |
| Rocket Pharmaceuticals Inc W Exp 09/02/202 | 77313F114 | Warrant | 23,288 | $3,959 | dollars as filed | |
| FAZE HOLDINGS INC. 11.5000EXP03/01/2028 | 31423J110 | WARR | 257,905 | $3,559 | dollars as filed | |
| FAZE HOLDINGS INC | 31423J102 | COMMON STOCK | 20,100 | $3,333 | dollars as filed | call |
| FARADAY FUTRE INTLGT ELCTR I | 307359505 | COMMON | 2,400 | $3,192 | dollars as filed | put |
| KATAPULT HOLDINGS INC | 485859201 | COM NEW | 300 | $3,072 | dollars as filed | call |
| BLACKSKY TECHNOLOGY INC | 09263B108 | COM CL A | 2,500 | $2,925 | dollars as filed | call |
| IRONNET INC | 46323Q113 | *W EXP 08/26/202 | 290,781 | $2,908 | dollars as filed | |
| WTS/ONESPAWORLD HOLDINGS LIMI11.5000 EXP03/19/2024 | P73684105 | WARR | 2,700 | $2,700 | dollars as filed | |
| FREYR BATTERY INC | L4135L118 | *W EXP 09/01/202 | 2,194 | $2,194 | dollars as filed | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 100 | $1,854 | dollars as filed | call |
| CLIMATEROCK | G2311X134 | RIGHT 10/31/2028 | 19,600 | $1,764 | dollars as filed | |
| WTS/CHICKEN SOUP FOR THE SOUL 11.5000EXP10/22/2026 | 16842Q134 | WARR | 156,418 | $1,689 | dollars as filed | |
| SHUAA PARTNERS ACQUISTN CORP | G81173117 | *W EXP 02/24/202 | 33,285 | $1,671 | dollars as filed | |
| BROOGE ENERGY LTD | G1611B115 | *W EXP 12/20/202 | 100,000 | $1,510 | dollars as filed | |
| VIVEON HEALTH ACQUISITION CORP | 92853V114 | COM | 60,777 | $1,392 | dollars as filed | |
| UCOMMUNE INTERNATIONAL LTD | G9449A118 | *W EXP 11/01/202 | 48,592 | $1,380 | dollars as filed | |
| AGBA GROUP HOLDING LTD | G01212110 | *W EXP 03/15/202 | 46,220 | $1,363 | dollars as filed | |
| Cartesian Growth Corp II | G19305120 | Warrant | 8,333 | $1,333 | dollars as filed | |
| BRILLIANT ACQUISITION CORP | G1643W129 | *W EXP 03/30/202 | 18,650 | $1,333 | dollars as filed | |
| SHAPEWAYS HOLDINGS INC 11.5000EXP10/31/2026 | 81947T110 | WARR | 155,696 | $1,090 | dollars as filed | |
| A SPAC II Acquisition Corp | G0543H117 | Warrant | 37,996 | $954 | dollars as filed | |
| LIGHTNING EMOTORS INC 11.5000EXP05/18/2025 | 53228T119 | WARR | 392,968 | $904 | dollars as filed | |
| EOS ENERGY ENTERPRISES INC COM CL A | 29415C101 | Stock | 400 | $860 | dollars as filed | call |
| WTS/PARKER DRILLING COMPANY EXP09/16/2024 | 701081119 | WARR | 29,534 | $738 | dollars as filed | |
| UWM HOLDINGS CORPORATION | 91823B117 | *W EXP 01/21/202 | 5,400 | $702 | dollars as filed | |
| CLARIVATE PLC | G21810109 | ORD SHS | 100 | $671 | dollars as filed | call |
| PRESTO AUTOMATION INC (U.S.) | 74113T113 | COM | 13,352 | $666 | dollars as filed | |
| KATAPULT HOLDINGS INC | 485859110 | *W EXP 06/09/202 | 65,000 | $663 | dollars as filed | |
| COEPTIS THERAPEUTICS HLDGS I | 19207A116 | *W EXP 10/28/202 | 29,180 | $659 | dollars as filed | |
| Anghami Inc W Exp 02/03/202 | G0369L119 | SPAC Combination | 20,000 | $590 | dollars as filed | |
| EDOC ACQUISITION CORP | G4000A110 | *W EXP 11/30/202 | 20,200 | $586 | dollars as filed | |
| GLOBALINK INVESTMENT -CW23 | 37892F125 | COM | 50,000 | $550 | dollars as filed | |
| Oppfi Inc W Exp 07/20/202 | 68386H111 | SPAC Combination | 12,049 | $516 | dollars as filed | |
| SPIRE GLOBAL INC | 848560306 | COMMON STOCK | 100 | $489 | dollars as filed | call |
| AGILETHOUGHT INC 11.5000EXP01/10/2025 | 00857F118 | WARR | 46,807 | $463 | dollars as filed | |
| BLACKSKY TECHNOLOGY INC | 09263B116 | W EXP 09/09/202 | 5,700 | $456 | dollars as filed | |
| EDIFY ACQUISITION CORP | 28059Q111 | WARR | 22,620 | $339 | dollars as filed | |
| ClimateRock | G2311X118 | Warrant | 9,800 | $280 | dollars as filed | |
| VERTICAL AEROSPACE LTD | G9471C115 | YW EXP 12/16/202 | 2,800 | $280 | dollars as filed | |
| Curiositystream Inc W Exp 10/14/202 | 23130Q115 | SPAC Combination | 10,000 | $225 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L112 | WTS | 10,000 | $141 | dollars as filed | |
| SHARECARE INC | 81948W104 | COM | 100 | $94 | dollars as filed | call |
| WTS/DERMTECH INC. 11.5000EXP03/23/2024 | 24984K113 | WARR | 5,000 | $87 | dollars as filed | |
| CELULARITY INC | 151190113 | *W EXP 07/16/202 | 2,770 | $42 | dollars as filed | |
| WTS/NOVUS CAPITAL CORP11.5000EXP06/30/2027 | 03783T111 | WARR | 8,838 | $36 | dollars as filed | |
| FAZE HOLDINGS INC | 31423J102 | COMMON STOCK | 100 | $17 | dollars as filed | put |
| WTS/PMV CONSUMER ACQUISITION C EXP08/31/2027 | 693486110 | WARR | 9,826 | $12 | dollars as filed | |
| BOA ACQUISITION CORP | g8059b119 | WT | 100 | $1 | dollars as filed | |
| Semilux International Ltd | G2086M123 | Warrant | 26,250 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/ALLEGRO MERGER CORP EXP01/06/25 | 01749N111 | WARR | 45,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/ENVIRONMENTAL IMPACT ACQUI 11.5000EXP09/30/2027 | 39536G113 | WARR | 5,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/GREENROSE ACQUISITION CORP EXP12/31/2024 | 395392111 | WARR | 13,100 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/MODULAR MEDICAL INC. 6.6000 EXP02/14/2027 | 60785L116 | WARR | 24,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/PYXIS ONCOLOGY INC EXP07/29/2027 | 747324119 | WARR | 73,130 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| UPHEALTH INC 11.5000EXP07/01/2024 | 91532B119 | WARR | 61,593 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/CALLON PETROLEUM COMPANY 10.0000 EXP12/29/2010 | 131990608 | WARR | 25,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/CELSION CORP 5.2400 EXP03/30/2015 | 151992708 | WARR | 50,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/CELSION CORPORATION 2.7700 EXP12/02/2017 | 151993052 | WARR | 200,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/DISCOVERY LABS INC. 2.8000 EXP02/22/2016 | 254993397 | WARR | 8,750 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/FIBROCELL SCIENCE INC. 0.3000 EXP05/24/2017 | 315991380 | WARR | 250,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/HECLA MINING COMPANY 2.4500 EXP06/09/2014 | 422992792 | WARR | 50,000 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/ICORECONNECT INC. EXP08/21/2028 | 450958111 | WARR | 16,750 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/XOMA CORPORATION 1.7600 EXP03/09/2017 | 983992991 | WARR | 9,470 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| CELSION CORP 2.3600 EXP12/06/2016 | 151993276 | WARR | 166,217 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| UPHEALTH INC | 91532B200 | COM | 33,200 | $0 | dollars as filed | callValue filed as zero, left out of ratios. |
| GREENCITY ACQUISITION CORP | G4086B123 | *W EXP 04/30/202 | 53,560 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/CELLECTAR BIOSCIENCES INC EXP06/08/2025 | 15117F187 | WARR | 32,500 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/BRICKELL BIOTECH INC. EXP10/27/2025 | 10802T147 | WARR | 1,544 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/HUNTER MARITIME ACQUISITIEXP12/31/2021 | Y37828129 | WARR | 75,001 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
| WTS/SUMMER INFANT INC5.0000 EXP04/20/2009 | 865646111 | WARR | 14,584 | $0 | dollars as filed | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001214659-23-015103 | this filing | 2023-11-14 | acceptance time not in the bulk data set |