13F-HR/A filed by Sage Mountain Advisors LLC
Sage Mountain Advisors LLC filed this 13F-HR/A for the quarter ended 2020-12-31, filed 2021-03-01, with 270 holding rows worth $305,477,000.
- Accession
- 0001398344-21-005211
- Filer
- CIK 1832274
- Filed
- 2021-03-01
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2020
A holdings report, amendment of type restatement, 295 entries on the cover page, a total value of $305,477,000 stated on the cover page (in dollars after the unit check, H1), rows summing to $305,478,000 with VALUE read as thousands by filing date, 13F file number 028-20448. The quarter's positions are built on this report. The resolved quarter.
Other managers
- included managerWealthspring Capital LLC 028-20944
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 |
|---|---|---|---|---|---|---|
| ISHARES MSCI USA QUALITY FACTOR ETF | 46432F339 | ETF | 389,514 | $45,265,000 | thousands by filing date | |
| Vanguard S&P 500 ETF | 922908363 | COM | 77,274 | $26,558,000 | thousands by filing date | |
| ALLIANCE RESOURCE PARTNERS L | 01877R108 | UT LTD PART | 5,486,875 | $24,581,000 | thousands by filing date | |
| SPDR SER TR | 78468R812 | MSCI USA STRTGIC | 206,016 | $21,522,000 | thousands by filing date | |
| GOLUB CAP BDC INC | 38173M102 | COM | 1,005,483 | $14,218,000 | thousands by filing date | |
| Vanguard Small-Cap ETF | 922908751 | SHS | 63,310 | $12,325,000 | thousands by filing date | |
| ISHARES TR | 46434V456 | MSCI INTL QUALTY | 251,554 | $8,970,000 | thousands by filing date | |
| Apple Inc | 037833100 | COM | 51,997 | $6,899,000 | thousands by filing date | |
| VTI | 922908769 | COM | 32,367 | $6,300,000 | thousands by filing date | |
| VanEck High Yield Muni ETF | 92189H409 | SHS | 101,870 | $6,269,000 | thousands by filing date | |
| Vanguard FTSE Developed Markets ETF | 921943858 | SHS | 94,547 | $4,464,000 | thousands by filing date | |
| ISHARES RUSSELL 1000 ETF | 464287622 | ETF | 19,471 | $4,125,000 | thousands by filing date | |
| SPDR INDEX SHS FDS | 78463X434 | MSCI EAFE STRTGC | 52,495 | $3,668,000 | thousands by filing date | |
| Home Depot, Inc | 437076102 | COM | 13,283 | $3,528,000 | thousands by filing date | |
| FIDELITY NATL INFORMATION SVCS COM | 31620M106 | Stock | 20,866 | $2,952,000 | thousands by filing date | |
| BERKSHIRE HATHAWAY INC DEL | 084670108 | CL A | 8 | $2,783,000 | thousands by filing date | |
| Berkshire Hathaway Inc | 084670702 | COM | 11,686 | $2,710,000 | thousands by filing date | |
| SPORTS ENTERTAINMENT ACQU CO | 84918M205 | UNIT 99/99/9999 | 224,780 | $2,416,000 | thousands by filing date | |
| Amazon.com, Inc | 023135106 | COM | 647 | $2,106,000 | thousands by filing date | |
| E MERGE TECHNOLOGY ACQUISITION UNIT EX 073025 | 26873Y203 | Stock | 189,580 | $2,021,000 | thousands by filing date | |
| FOXO TECHNOLOGIES INC UNIT | 24803C201 | Stock | 189,200 | $1,930,000 | thousands by filing date | |
| KISMET ACQUISITION ONE CORP | G52753129 | UNIT 08/06 | 181,106 | $1,902,000 | thousands by filing date | |
| COHN ROBBINS HOLDINGS CORP UNIT EX | G23726121 | Stock | 165,460 | $1,778,000 | thousands by filing date | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 18,918 | $1,739,000 | thousands by filing date | |
| Microsoft Corp | 594918104 | COM | 7,330 | $1,630,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402q100 | COM | 144,944 | $1,507,000 | thousands by filing date | |
| ISHARESRUSSELL1000GROWTHETF | 464287614 | STOK | 6,225 | $1,501,000 | thousands by filing date | |
| FAST ACQUISITION CORP | 311875207 | UNIT 99/99/9999 | 134,030 | $1,474,000 | thousands by filing date | |
| ACE CONVERGENCE ACQU CORP | G0083D112 | UNIT 99/99/9999 | 128,330 | $1,398,000 | thousands by filing date | |
| GREENSKY INC | 39572G100 | CL A | 300,000 | $1,389,000 | thousands by filing date | |
| CAPITOL INVESTMENT CORP V | 14064F209 | UNIT 99/99/9999 | 133,750 | $1,377,000 | thousands by filing date | |
| SCVX CORP | G79448208 | COM | 131,688 | $1,356,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 3,581 | $1,339,000 | thousands by filing date | |
| D8 HOLDINGS CORP | G2614K102 | UNIT 99/99/9999 | 115,978 | $1,240,000 | thousands by filing date | |
| CHURCHILL CAPITAL CORP IV | 171439201 | UNIT 99/99/9999 | 117,460 | $1,210,000 | thousands by filing date | |
| CF ACQUISITION CORP IV | 12520T201 | UNIT 12/31/2027 | 113,650 | $1,169,000 | thousands by filing date | |
| GREENROSE HOLDING CO INC/THE | 395392202 | COM | 105,561 | $1,161,000 | thousands by filing date | |
| Vanguard Intermediate-Term Corporate Bond ETF | 92206C870 | SHS | 11,540 | $1,121,000 | thousands by filing date | |
| Visa Inc | 92826C839 | COM | 5,119 | $1,120,000 | thousands by filing date | |
| LIONHEART ACQUISITION CORP | 53625R203 | CMN | 106,100 | $1,105,000 | thousands by filing date | |
| GO ACQUISITION CORP | 362019200 | UNIT 08/31/2027 | 100,860 | $1,072,000 | thousands by filing date | |
| CC NEUBERGER PRIN HLDGS II | G3166T129 | UNIT 99/99/9999 | 106,480 | $1,059,000 | thousands by filing date | |
| GALILEO ACQUISITION CORP | G3770A102 | SHS | 103,345 | $1,054,000 | thousands by filing date | |
| 10X CAPITAL VENTURE ACQU COR | 88025V206 | UNIT 10/21/2025 | 98,950 | $1,054,000 | thousands by filing date | |
| JPMorgan Chase & Co | 46625H100 | COM | 8,256 | $1,049,000 | thousands by filing date | |
| EUCRATES BIOMEDICAL ACQU COR | G3141W114 | UNIT 10/23/2027 | 95,970 | $1,023,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J101 | SHS CL A | 101,560 | $1,022,000 | thousands by filing date | |
| SPY | 78462F103 | SHS | 2,700 | $1,009,000 | thousands by filing date | put |
| CITIC CAPITAL ACQUISITION CO | G21513125 | UNIT 99/99/9999 | 87,052 | $994,000 | thousands by filing date | |
| FUSION ACQUISITION CORP | 36118H204 | UNIT 99/99/9999 | 75,900 | $937,000 | thousands by filing date | |
| SPDW | 78463X889 | COM | 27,570 | $930,000 | thousands by filing date | |
| MUDRICK CAPITAL ACQU CORP II | 62477L206 | UNIT 99/99/9999 | 88,500 | $912,000 | thousands by filing date | |
| APOLLO STRATEGIC GROWTH CAPT | G0411R122 | UNIT 99/99/9999 | 81,270 | $888,000 | thousands by filing date | |
| EAST RES ACQUISITION CO | 274681204 | UNIT 07/01/2027 | 81,976 | $866,000 | thousands by filing date | |
| NavSight Holdings Inc | 639358209 | Unit | 83,030 | $855,000 | thousands by filing date | |
| NEWHOLD INVESTMENT CORP | 651448201 | UNIT 03/10/2025 | 80,750 | $843,000 | thousands by filing date | |
| CASCADE ACQUISITION CORP UNIT | 147151203 | Stock | 79,584 | $832,000 | thousands by filing date | |
| PROPTECH INVESTMENT CORP II UNIT EX | 743497208 | Stock | 77,600 | $825,000 | thousands by filing date | |
| Vanguard Value ETF | 922908744 | SHS | 6,875 | $818,000 | thousands by filing date | |
| LEFTERIS ACQUISITION CORP UNIT EX | 52470X208 | Stock | 75,074 | $814,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares C | 02079K107 | COM | 460 | $806,000 | thousands by filing date | |
| BOWX ACQUISITION CORP | 103085205 | UNIT 08/03/2025 | 73,807 | $790,000 | thousands by filing date | |
| Sandbridge Acquisition Corp | 799793203 | Unit | 72,726 | $749,000 | thousands by filing date | |
| ATLAS CREST INVT CORP UNIT CL A & WT | 049284201 | Stock | 70,000 | $739,000 | thousands by filing date | |
| STARBOARD VALUE ACQUISITN CORP UNIT EXP 091025 | 85521J208 | Stock | 71,696 | $739,000 | thousands by filing date | |
| MOTIVE CAPITAL CORP | G6293A129 | UNIT 99/99/9999 | 70,050 | $738,000 | thousands by filing date | |
| FTAC OLYMPUS ACQUISITION COR | G37288118 | UNIT 08/24/2025 | 65,410 | $711,000 | thousands by filing date | |
| MALACCA STRAITS ACQUISITION | G5859B125 | UNIT 99/99/9999 | 68,750 | $706,000 | thousands by filing date | |
| PINE IS ACQUISITION CORP UNIT EX | 722615200 | Stock | 66,300 | $684,000 | thousands by filing date | |
| HIGHCAPE CAP ACQUISITION COR | 42984L204 | UNIT 09/30/2027 | 65,650 | $678,000 | thousands by filing date | |
| AEA-BRIDGES IMPACT CORP UNIT | G01046120 | Stock | 60,210 | $653,000 | thousands by filing date | |
| ACON S2 ACQUISITION CORP | G00748122 | UNIT 09/15/2027 | 61,720 | $648,000 | thousands by filing date | |
| KINS TECHNOLOGY GROUP INC | 49714K208 | UNIT 10/14/2025 | 62,700 | $645,000 | thousands by filing date | |
| SUSTAINABLE OPPORTNTS ACQ CO | G8598Y125 | UNIT 99/99/9999 | 54,020 | $637,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G106 | COM CL A | 62,600 | $634,000 | thousands by filing date | |
| META PLATFORMS INC CL A | 30303M102 | COM | 2,251 | $615,000 | thousands by filing date | |
| Walmart Inc. | 931142103 | COM | 4,223 | $609,000 | thousands by filing date | |
| DYADIC INTL INC DEL | 26745T101 | COM | 108,380 | $583,000 | thousands by filing date | |
| BETTER WORLD ACQUISITION COR | 08772B203 | UNIT 11/15/2027 | 52,230 | $577,000 | thousands by filing date | |
| PROPERTY SOLUTIONS ACQUISITI | 74348Q207 | UNIT 03/30/2027 | 52,110 | $575,000 | thousands by filing date | |
| ALTITUDE ACQUISITION CORP | 02156Y202 | UNIT 11/30/2027 | 53,650 | $555,000 | thousands by filing date | |
| GENESIS PK ACQUISITION CORP | G38245117 | UNIT 99/99/9999 | 53,075 | $551,000 | thousands by filing date | |
| OMNICHANNEL ACQUISITION CORP | 68218L207 | UNIT 99/99/9999 | 53,150 | $548,000 | thousands by filing date | |
| Cisco Systems,Inc. | 17275R102 | COM | 12,173 | $545,000 | thousands by filing date | |
| LUX HEALTH TECH ACQUISITION | 55068A209 | UNIT 11/30/2027 | 47,250 | $543,000 | thousands by filing date | |
| DUNE ACQUISITION CORP | 265334201 | UNIT 10/29/2027 | 52,550 | $539,000 | thousands by filing date | |
| CERBERUS TELECOM ACQUISITION | G2040C112 | Cmn | 49,480 | $527,000 | thousands by filing date | |
| Johnson & Johnson | 478160104 | COM | 3,338 | $525,000 | thousands by filing date | |
| ISHARES TR CORE S&P 500 ETF | 464287200 | SHS | 1,346 | $505,000 | thousands by filing date | |
| H I G ACQUISITION CORP UNIT | G44898115 | Stock | 47,898 | $500,000 | thousands by filing date | |
| THAYER VENTURES ACQU CORP | 88332T209 | UNIT 01/01/2030 | 47,700 | $500,000 | thousands by filing date | |
| ROYAL BK CDA COM | 780087102 | Stock | 5,906 | $485,000 | thousands by filing date | |
| ARTIUS ACQUISITION INC | 04316G204 | UNIT 99/99/9999 | 42,873 | $482,000 | thousands by filing date | |
| ASA GOLD AND PRECIOUS MTLS L | G3156P103 | SHS | 21,918 | $479,000 | thousands by filing date | |
| HORIZON ACQUISITION CORP | G46049121 | UNIT 99/99/9999 | 45,350 | $479,000 | thousands by filing date | |
| HORIZON ACQUISITION CORPORAT | G46044122 | UNIT 10/19/2027 | 43,850 | $471,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A107 | COM CL A | 42,770 | $470,000 | thousands by filing date | |
| FAR PEAK ACQUISITION CORP | G3312L129 | UNIT 99/99/9999 | 44,880 | $465,000 | thousands by filing date | |
| UnitedHealth Group Inc | 91324P102 | COM | 1,321 | $463,000 | thousands by filing date | |
| ARK ETF TR | 00214Q104 | INNOVATION ETF | 3,715 | $462,000 | thousands by filing date | |
| MAGELLAN MIDSTREAM PARTNERS, L | 559080106 | COM UNIT RP LP | 10,598 | $450,000 | thousands by filing date | |
| Alphabet Inc. Reg. Shares A | 02079K305 | COM | 256 | $449,000 | thousands by filing date | |
| TAILWIND ACQUISITION CORP | 87403Q201 | UNIT 09/07/2027 | 41,350 | $446,000 | thousands by filing date | |
| NEXTGEN ACQUISITION CORP | G65305115 | UNIT 11/26/2020 | 43,224 | $445,000 | thousands by filing date | |
| DPCM CAPITAL, INC. | 23344P200 | COM | 40,260 | $444,000 | thousands by filing date | |
| PERIDOT ACQUISIT | G7008A123 | UNIT | 39,400 | $443,000 | thousands by filing date | |
| ACKRELL SPAC PARTNERS I CO | 00461L204 | COMMON STOCK | 42,700 | $439,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8251L121 | UNIT 99/99/9999 | 33,600 | $434,000 | thousands by filing date | |
| Merck & Co.,Inc. | 58933Y105 | COM | 5,277 | $432,000 | thousands by filing date | |
| TREPONT ACQUISITION CORP I UNIT | G9095M119 | Stock | 40,950 | $425,000 | thousands by filing date | |
| Procter & Gamble Co | 742718109 | COM | 2,925 | $407,000 | thousands by filing date | |
| Decarbonization Plus Acquisition Corp | 242797207 | Unit | 34,000 | $391,000 | thousands by filing date | |
| DELTA AIR LINES INC COM NEW | 247361702 | Stock | 9,637 | $388,000 | thousands by filing date | |
| CORNER GROWTH ACQUISITION CO | G2425N121 | UNIT 01/01/2027 | 35,450 | $370,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R104 | COM CL A | 35,205 | $369,000 | thousands by filing date | |
| BRIDGETOWN HOLDINGS LTD | G1355U105 | UNIT 10/15/2025 | 21,550 | $366,000 | thousands by filing date | |
| Amgen Inc. | 031162100 | COM | 1,589 | $365,000 | thousands by filing date | |
| AMPLITUDE HEALTHCARE ACQUISITI | 03212a105 | COM | 35,696 | $357,000 | thousands by filing date | |
| Chevron Corporation | 166764100 | COM | 4,171 | $352,000 | thousands by filing date | |
| LIVE OAK ACQUISITION CORP II | 53804W205 | UNIT 99/99/9999 | 32,100 | $348,000 | thousands by filing date | |
| FIFTH THIRD BANCORP COM | 316773100 | Stock | 12,545 | $346,000 | thousands by filing date | |
| Rodgers Silicon Valley Acquisition Corp | 774873202 | Unit | 25,600 | $342,000 | thousands by filing date | |
| AT&T Inc | 00206R102 | COM | 11,838 | $340,000 | thousands by filing date | |
| ARCLIGHT CLEAN TRANSITION CO | G04561117 | UNIT 09/21/2025 | 27,636 | $329,000 | thousands by filing date | |
| Comcast Corp | 20030N101 | COM | 6,216 | $326,000 | thousands by filing date | |
| ASCENDANT DIGITAL ACQUISITIO | G05155125 | UNIT 99/99/9999 | 30,832 | $324,000 | thousands by filing date | |
| Tesla Motors, Inc | 88160R101 | COM | 455 | $321,000 | thousands by filing date | |
| FOLEY TRASIMENE ACQUISITION | 344328117 | *W EXP 08/11/202 | 68,082 | $312,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP GROWTH ETF | 464287481 | ETF | 3,002 | $308,000 | thousands by filing date | |
| Intel Corp | 458140100 | COM | 6,100 | $304,000 | thousands by filing date | |
| LANDCADIA HOLDINGS III INC | 51476H209 | UNIT 99/99/9999 | 26,810 | $300,000 | thousands by filing date | |
| ISHARES SHORT-TERM NATIONAL MUNI BOND ETF | 464288158 | ETF | 2,770 | $299,000 | thousands by filing date | |
| AMERICAS TECHNOLOGY ACQSN CORP UNIT | G0404A128 | Stock | 27,750 | $285,000 | thousands by filing date | |
| BINAH CAP GROUP INC | 496861204 | BCG | 27,350 | $284,000 | thousands by filing date | |
| DD3 ACQUISITION CORP II | 23318M209 | COM | 27,050 | $284,000 | thousands by filing date | |
| L&F ACQUISITION CORP | G53702125 | UNIT 99/99/9999 | 27,060 | $281,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G82514129 | UNIT 99/99/9999 | 19,150 | $280,000 | thousands by filing date | |
| Coca-Cola Company | 191216100 | COM | 5,090 | $279,000 | thousands by filing date | |
| TRUIST FINL CORP COM | 89832Q109 | Stock | 5,829 | $279,000 | thousands by filing date | |
| Forest Road Acquisition Corp | 34619R201 | Unit | 26,550 | $279,000 | thousands by filing date | |
| TS INNOVATION ACQUISITN CORP | 87284T209 | UNIT 99/99/9999 | 26,244 | $277,000 | thousands by filing date | |
| AJAX I | G0190X118 | UNIT 99/99/9999 | 22,250 | $276,000 | thousands by filing date | |
| BURGUNDY TECHNOLOGY ACQU COR | G1702T116 | CL A | 26,350 | $274,000 | thousands by filing date | |
| PTK ACQUISITION CORP | 69375F207 | UNIT 99/99/9999 | 25,400 | $273,000 | thousands by filing date | |
| BLACKSTONE INC | 09260D107 | COM | 4,100 | $266,000 | thousands by filing date | |
| HUDSON EXECUTIVE INVT CORP | 443761200 | UNIT 06/21/2025 | 23,150 | $264,000 | thousands by filing date | |
| VG ACQUISITION C | G9446E121 | UNIT | 21,809 | $262,000 | thousands by filing date | |
| Pfizer Inc. | 717081103 | COM | 7,086 | $261,000 | thousands by filing date | |
| Starbucks Corporation | 855244109 | COM | 2,411 | $258,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A103 | COM | 23,429 | $258,000 | thousands by filing date | |
| VANGUARD TAX-EXEMPT BOND ETF | 922907746 | ETF | 4,650 | $257,000 | thousands by filing date | |
| SPRING VY ACQUISITION CORP | G8377A116 | UNIT 11/11/2025 | 24,264 | $256,000 | thousands by filing date | |
| PMV CONSUMER ACQUISITION CORP UNIT EX 083127 | 693486201 | Stock | 24,800 | $255,000 | thousands by filing date | |
| TUSCAN HLDGS CORP II | 90070A202 | UNIT 04/01/2026 | 19,466 | $248,000 | thousands by filing date | |
| CF Finance Acquisition Corp III | 12529D207 | Unit | 23,100 | $248,000 | thousands by filing date | |
| iShares S&P 500 Growth ETF | 464287309 | SHS | 3,740 | $239,000 | thousands by filing date | |
| NORFOLK SOUTHN CORP COM | 655844108 | Stock | 1,005 | $239,000 | thousands by filing date | |
| ETF SER SOLUTIONS | 26922A248 | CMN | 9,210 | $239,000 | thousands by filing date | |
| EDTECHX HOLDINGS ACQU CORP I | 28139A201 | UNIT 08/31/2027 | 22,800 | $235,000 | thousands by filing date | |
| FINTECH ACQUISITION CORP V | 31810Q305 | UNIT 99/99/9999 | 21,900 | $234,000 | thousands by filing date | |
| iShares Russell 2000 ETF | 464287655 | SHS | 1,156 | $227,000 | thousands by filing date | |
| PepsiCo,Inc. | 713448108 | COM | 1,529 | $227,000 | thousands by filing date | |
| JUNIPER INDL HLDGS INC | 48205G106 | COM CL A | 21,100 | $226,000 | thousands by filing date | |
| INSU ACQUISITION CORP III | 457817302 | UNIT 12/31/2026 | 20,900 | $221,000 | thousands by filing date | |
| EDWARDS LIFESCIENCES CORP COM | 28176E108 | Stock | 2,409 | $220,000 | thousands by filing date | |
| CONX CORP | 212873202 | UNIT 10/30/2027 | 20,770 | $217,000 | thousands by filing date | |
| HPX CORP | G32219118 | UNIT 99/99/9999 | 20,384 | $215,000 | thousands by filing date | |
| IG ACQUISITION CORP | 449534205 | UNIT 10/05/2027 | 19,825 | $214,000 | thousands by filing date | |
| VECTOR ACQUISITION CORP | G9442R100 | UNIT 09/30/2027 | 19,950 | $214,000 | thousands by filing date | |
| FEDEX CORP COM | 31428X106 | Stock | 800 | $208,000 | thousands by filing date | |
| Accenture Plc Class A | G1151C101 | COM | 788 | $206,000 | thousands by filing date | |
| LULULEMON ATHLETICA INC | 550021109 | COM | 591 | $206,000 | thousands by filing date | |
| EQUITY DISTR ACQUISITION CORP UNIT EX 090925 | 29465E205 | Stock | 19,350 | $206,000 | thousands by filing date | |
| 7GC & CO HOLDINGS INC | 81786A206 | UNIT 12/23/2025 | 19,300 | $204,000 | thousands by filing date | |
| EXXON MOBIL CORP | 30231G102 | COM | 4,918 | $203,000 | thousands by filing date | |
| VANGUARD SCOTTSDALE FDS | 92206C409 | COM | 2,415 | $201,000 | thousands by filing date | |
| Walt Disney Co | 254687106 | COM | 1,109 | $201,000 | thousands by filing date | |
| TURMERIC ACQUISITION CORP | G9127T116 | UNT | 19,600 | $201,000 | thousands by filing date | |
| TIGA ACQUISITION CORP | G88672129 | UNIT 99/99/9999 | 18,950 | $201,000 | thousands by filing date | |
| SARISSA CAPITAL ACQUISITN CO | G7823W128 | UNIT 10/23/2027 | 18,850 | $201,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M106 | COM | 19,269 | $197,000 | thousands by filing date | |
| YUCAIPA ACQUISITION CORP | G9879L121 | UNIT 99/99/9999 | 19,129 | $195,000 | thousands by filing date | |
| Colonnade Acquisition Corp | G2283K128 | COLONNADE ACQUISITION CORP | 12,174 | $184,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP UNIT | G0682V117 | Stock | 16,800 | $182,000 | thousands by filing date | |
| Fintech Acquisition Corp IV | 31810N302 | Unit | 15,200 | $181,000 | thousands by filing date | |
| Vanguard Growth | 922908736 | COM | 701 | $178,000 | thousands by filing date | |
| TWC TECH HLDGS II CORP | 90117G204 | UNIT 09/10/2025 | 16,401 | $176,000 | thousands by filing date | |
| iShares Core US Aggregate Bond ETF | 464287226 | SHS | 1,458 | $172,000 | thousands by filing date | |
| ASPIRATIONAL CONSUMER LIFEST | G05436129 | UNIT 99/99/9999 | 16,150 | $169,000 | thousands by filing date | |
| JAWS SPITFIRE ACQUISITION CO | G50740128 | UNIT 99/99/9999 | 15,200 | $168,000 | thousands by filing date | |
| SPARTAN ACQUISITION CORP II | 846775203 | UNIT 99/99/9999 | 15,250 | $165,000 | thousands by filing date | |
| SPDR Portfolio Emerging Markets ETF | 78463X509 | SHS | 3,890 | $164,000 | thousands by filing date | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 5,407 | $159,000 | thousands by filing date | |
| HOLICITY INC | 435063201 | UNIT 08/05/2025 | 15,300 | $159,000 | thousands by filing date | |
| VANECK ETF TRUST | 92189F411 | BDC INCOME ETF | 11,200 | $154,000 | thousands by filing date | |
| SOCIAL CAPITAL HEDOSOPHA HLD | G8252P121 | UNIT 99/99/9999 | 11,700 | $154,000 | thousands by filing date | |
| JIYA ACQUISITION CORP | 47760M102 | CMN | 14,650 | $151,000 | thousands by filing date | |
| HIGHLAND TRANSCEND PARTNERS | G44690116 | UNIT 99/99/9999 | 14,400 | $151,000 | thousands by filing date | |
| ROMAN DBDR TECH ACQUISITION | 77584N200 | UNIT 99/99/9999 | 14,300 | $149,000 | thousands by filing date | |
| REVOLUTION ACCEL | 76156P205 | UNIT | 13,750 | $143,000 | thousands by filing date | |
| KAMAN CORP | 483548AF0 | BOND | 118,000 | $136,000 | thousands by filing date | principal |
| SPARTACUS ACQUISITION CORP | 84677L208 | Cmn | 12,780 | $135,000 | thousands by filing date | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 116,000 | $132,000 | thousands by filing date | principal |
| SCION TECH GROWTH I | G31067120 | UNIT 12/17/2025 | 12,500 | $129,000 | thousands by filing date | |
| ISHARES TR | 464287234 | MSCI EMG MKT ETF | 2,478 | $128,000 | thousands by filing date | |
| BIOMARIN PHARMACEUTICAL INC | 09061GAH4 | NOTE 0.599% 8/0 | 116,000 | $124,000 | thousands by filing date | principal |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 119,000 | $124,000 | thousands by filing date | principal |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 97,000 | $123,000 | thousands by filing date | principal |
| INTERDIGITAL INC | 45867GAB7 | BOND | 117,000 | $123,000 | thousands by filing date | principal |
| SCVX CORP | G79448117 | *W EXP 01/24/202 | 71,394 | $121,000 | thousands by filing date | |
| TREBIA ACQUISITION CORP | G9027T125 | UNIT 99/99/9999 | 10,500 | $121,000 | thousands by filing date | |
| SPDR SER TR | 78464A508 | PRTFLO S&P500 VL | 3,391 | $117,000 | thousands by filing date | |
| iShares S&P Mid-Cap 400 Value ETF | 464287705 | SHS | 1,338 | $115,000 | thousands by filing date | |
| OSI SYSTEMS INC | 671044AD7 | NOTE 1.250% 9/0 | 108,000 | $115,000 | thousands by filing date | principal |
| FG NEW AMER ACQUISITION CORP | 30259V205 | UNIT 08/31/2027 | 10,800 | $115,000 | thousands by filing date | |
| PRIME IMPACT ACQUISITION I | G61074111 | UNIT 10/01/2030 | 10,720 | $114,000 | thousands by filing date | |
| U.S. GLOBAL JETS ETF | 26922A842 | ETF | 5,030 | $113,000 | thousands by filing date | |
| Collective Growth Corp | 19424L119 | W EXP 04/30/202 | 28,625 | $110,000 | thousands by filing date | |
| GOLDEN FALCON ACQUISITION CO | 38102H208 | UNIT 99/99/9999 | 10,350 | $108,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D115 | *W EXP 05/18/202 | 29,733 | $104,000 | thousands by filing date | |
| iShares U.S. Technology ETF | 464287721 | SHS | 1,212 | $103,000 | thousands by filing date | |
| EURONET WORLDWIDE INC | 298736AL3 | NOTE 0.750% 3/1 | 90,000 | $102,000 | thousands by filing date | principal |
| ISHARES TR | 464288414 | NATIONAL MUN ETF | 736 | $86,000 | thousands by filing date | |
| GUESS INC | 401617AD7 | BOND | 70,000 | $78,000 | thousands by filing date | principal |
| VANECK ETF TRUST | 92189F106 | GOLD MINERS ETF | 1,810 | $65,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BH8 | NOTE 2.250% 6/0 | 55,000 | $57,000 | thousands by filing date | principal |
| HANNON ARMSTRONG SUST INFR C | 41068XAD2 | BOND | 40,000 | $54,000 | thousands by filing date | principal |
| iShares TIPS Bond ETF | 464287176 | SHS | 412 | $53,000 | thousands by filing date | |
| SPDR S&P Dividend ETF | 78464A763 | SHS | 500 | $53,000 | thousands by filing date | |
| LGL SYS ACQUISITION CORP | 50201G114 | *W EXP 11/12/202 | 31,300 | $51,000 | thousands by filing date | |
| BURGUNDY TECHNOLOGY ACQU COR | G1702T132 | UNIT 08/26/2025 | 4,390 | $50,000 | thousands by filing date | |
| iShares Currency Hedged MSCI EAFE ETF | 46434V803 | SHS | 1,545 | $47,000 | thousands by filing date | |
| SPDR SER TR | 78464A359 | BBG CONV SEC ETF | 569 | $47,000 | thousands by filing date | |
| iShares Core MSCI EAFE ETF | 46432F842 | SHS | 664 | $46,000 | thousands by filing date | |
| ISHARES TR | 464287648 | RUS 2000 GRW ETF | 152 | $44,000 | thousands by filing date | |
| OSPREY TECHNLGY AQUISTION CO | 68839R401 | UNIT 10/30/2024 | 3,560 | $39,000 | thousands by filing date | |
| SRAX INC | 78472M106 | CL A | 11,500 | $36,000 | thousands by filing date | |
| IJH | 464287507 | COM | 153 | $35,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y407 | SBI CONS DISCR | 220 | $35,000 | thousands by filing date | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 890 | $34,000 | thousands by filing date | |
| GIGCAPITAL3 INC | 37519D107 | COM | 2,471 | $33,000 | thousands by filing date | |
| Health Care Select Sector SPDR Fund | 81369Y209 | SHS | 238 | $27,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 302 | $27,000 | thousands by filing date | |
| ALUSSA ENERGY ACQUISITION CO | G0232J127 | UNIT 10/31/2026 | 2,506 | $27,000 | thousands by filing date | |
| Vanguard Mid-Cap ETF | 922908629 | SHS | 126 | $26,000 | thousands by filing date | |
| iShares S&P 500 Value ETF | 464287408 | SHS | 200 | $26,000 | thousands by filing date | |
| VISHAY INTERTECHNOLOGY INC COM | 928298108 | Stock | 1,167 | $24,000 | thousands by filing date | |
| ISHARES TR | 464287606 | S&P MC 400GR ETF | 328 | $24,000 | thousands by filing date | |
| UNION ACQUISITION CORP II | G9402Q118 | UNIT 99/99/9999 | 2,114 | $22,000 | thousands by filing date | |
| Vanguard Mid-Cap Value ETF | 922908512 | SHS | 174 | $21,000 | thousands by filing date | |
| Amplitude Inc | 03212A204 | Class A Common | 2,010 | $21,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y308 | STATE STREET CON | 300 | $20,000 | thousands by filing date | |
| GREENBRIER COS INC | 393657AK7 | NOTE 2.875% 2/0 | 20,000 | $20,000 | thousands by filing date | principal |
| GALILEO ACQUISITION CORP | G3770A128 | UNIT 99/99/9999 | 1,875 | $20,000 | thousands by filing date | |
| SELECT SECTOR SPDR TR | 81369Y100 | SBI MATERIALS | 247 | $18,000 | thousands by filing date | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 92 | $12,000 | thousands by filing date | |
| GX ACQUISITION CORP | 36251A206 | UNIT 05/24/2026 | 1,000 | $12,000 | thousands by filing date | |
| ISHARES TR | 464287556 | ISHARES BIOTECH | 75 | $11,000 | thousands by filing date | |
| PACIRA BIOSCIENCES | 695127AD2 | NOTE 2.375% 4/0 | 10,000 | $11,000 | thousands by filing date | principal |
| iShares U.S. Aerospace & Defense ETF | 464288760 | SHS | 110 | $10,000 | thousands by filing date | |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 9,000 | $10,000 | thousands by filing date | principal |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 125 | $8,000 | thousands by filing date | |
| ARK ETF TR | 00214Q708 | BLOC FIN INN ETF | 140 | $7,000 | thousands by filing date | |
| AVANTI ACQUISITION CORP | G0682V109 | CMN | 700 | $7,000 | thousands by filing date | |
| NRG ENERGY INC COM NEW | 629377508 | Stock | 83 | $3,000 | thousands by filing date | |
| ISHARES RUSSELL MID-CAP VALUE ETF | 464287473 | ETF | 21 | $2,000 | thousands by filing date | |
| ISHARES TR | 464287630 | RUS 2000 VAL ETF | 15 | $2,000 | thousands by filing date | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 16 | $1,000 | thousands by filing date | |
| MERIDA MERGER CORP I | 58953M114 | *W EXP 11/07/202 | 755 | $1,000 | thousands by filing date | |
| SCVX CORP U | G79448109 | COM | 1 | $0 | thousands by filing date | Value filed as zero, left out of ratios. |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001398344-21-001115 | superseded | 2021-01-21 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001398344-21-005211 | this filing | 2021-03-01 | acceptance time not in the bulk data set |