13F-HR/A filed by Alpine Global Management, LLC
Alpine Global Management, LLC filed this 13F-HR/A for the quarter ended 2023-09-30, filed 2024-08-06, with 158 holding rows worth $433,603,505.
- Accession
- 0001581655-24-000007
- Filer
- CIK 1581655
- Filed
- 2024-08-06
- 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, amendment of type new holdings, 158 entries on the cover page, a total value of $433,603,505 stated on the cover page (in dollars after the unit check, H1), rows summing to $433,603,505 with VALUE read as dollars as filed, 13F file number 028-15932. 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 |
|---|---|---|---|---|---|---|
| CHINDATA GROUP HLDGS LTD | 16955F107 | ADS | 6,750,000 | $56,025,000 | dollars as filed | |
| VMWARE, INC. | 928563402 | CL A COM | 300,000 | $49,944,000 | dollars as filed | |
| IMMUNOVANT INC | 45258J102 | COM | 1,252,474 | $48,082,477 | dollars as filed | |
| CORNERSTONE STRATEGIC INVEST | 21924B302 | COM | 5,381,672 | $43,322,460 | dollars as filed | |
| ROBINHOOD MKTS INC | 770700102 | COM | 2,129,168 | $20,887,138 | dollars as filed | |
| CORNERSTONE TOTAL RETURN FD | 21924U300 | COM | 2,561,482 | $20,466,247 | dollars as filed | |
| ARCHER AVIATION INC | 03945R102 | COM CL A | 3,137,169 | $15,874,075 | dollars as filed | |
| ACTVISION BLIZZARD INC | 00507V109 | COM | 120,000 | $11,235,600 | dollars as filed | |
| HORIZON THERAPEUTICS PLC | G46188101 | SHS | 89,450 | $10,348,471 | dollars as filed | |
| SEAGEN INC | 81181C104 | COM | 38,500 | $8,167,775 | dollars as filed | |
| UBER TECHNOLOGIES INC | 90353TAJ9 | NOTE 12/1 | 7,500 | $6,996,900 | dollars as filed | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| AIRBNB INC CLASS A | 009066AB7 | CLASS A | 7,334 | $6,453,920 | dollars as filed | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| FS CREDIT OPPORTUNITIES CORP | 30290Y101 | COMMON STOCK | 1,176,000 | $6,373,920 | dollars as filed | |
| CRACKER BARREL OLD CTRY STOR | 22410JAB2 | cv | 7,500 | $6,192,225 | dollars as filed | |
| LIBERTY MEDIA CORP DEL COM LBTY SRM S A | 531229813 | Stock | 235,065 | $5,982,404 | dollars as filed | |
| Shopify Inc | 82509LAA5 | Convertible bond | 6,682 | $5,957,003 | dollars as filed | |
| CRH PLC ORD | G25508105 | Stock | 100,700 | $5,511,311 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 5,300 | $5,323,320 | dollars as filed | |
| POST HLDGS INC | 737446104 | COM | 40,100 | $3,438,174 | dollars as filed | |
| Financial Select Sector SPDR Fund | 81369Y605 | SHS | 96,753 | $3,209,297 | dollars as filed | |
| FORD MTR CO COM | 345370860 | Stock | 253,400 | $3,147,228 | dollars as filed | |
| IMMUNOME INC | 45257U108 | COM | 365,971 | $3,055,858 | dollars as filed | |
| GUIDEWIRE SOFTWARE INC | 40171VAA8 | BOND | 3,000 | $3,039,000 | dollars as filed | |
| NUVEEN FLOATING RATE INCOME | 67072T108 | COM | 340,000 | $2,791,400 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC COM | 00971T101 | Stock | 26,200 | $2,791,348 | dollars as filed | |
| FS KKR CAP CORP | 302635206 | COM | 121,750 | $2,397,258 | dollars as filed | |
| HOLLY ENERGY PARTNERS L P | 435763107 | COM UT LTD PTN | 96,168 | $2,111,849 | dollars as filed | |
| BRIGHTSPIRE CAPITAL INC COM CL A | 10949T109 | REIT | 315,000 | $1,971,900 | dollars as filed | |
| CION INVT CORP | 17259U204 | COM | 180,849 | $1,911,574 | dollars as filed | |
| CHASE CORP | 16150R104 | COM | 15,000 | $1,908,450 | dollars as filed | |
| BLACKROCK CAP INVT CORP | 092533108 | COM | 512,774 | $1,902,392 | dollars as filed | |
| BROOKFIELD REAL ASSETS INCOM | 112830104 | SHS BEN INT | 152,765 | $1,871,371 | dollars as filed | |
| ETSY INC | 29786A106 | COM | 28,000 | $1,808,240 | dollars as filed | |
| CONSTELLATION ENERGY CORP COM | 21037T109 | Stock | 16,200 | $1,767,096 | dollars as filed | |
| RUNWAY GROWTH FINANCE CORP | 78163D100 | COM | 137,700 | $1,765,314 | dollars as filed | |
| VERALTO CORP COM SHS | 92338C103 | Stock | 20,000 | $1,691,200 | dollars as filed | |
| EQRX INC | 26886C107 | COM | 750,643 | $1,666,427 | dollars as filed | |
| OPERA LTD SPONSORED ADS | 68373M107 | ADR | 146,604 | $1,652,227 | dollars as filed | |
| VIRTUS TOTAL RETURN FUND INC | 92835W107 | COM | 338,222 | $1,623,466 | dollars as filed | |
| SPDR S&P Midcap 400 ETF Trust | 78467Y107 | SHS | 3,345 | $1,527,461 | dollars as filed | |
| Danaher Corporation | 235851102 | COM | 6,000 | $1,488,600 | dollars as filed | |
| CLEARBRIDGE ENERGY MIDSTREAM O | 18469P209 | COM | 44,300 | $1,404,310 | dollars as filed | |
| SARATOGA INVESTMENT CORP | 80349A208 | COM NEW | 52,000 | $1,336,400 | dollars as filed | |
| CAPRI HOLDINGS LIMITED | G1890L107 | SHS | 25,000 | $1,315,250 | dollars as filed | |
| GRUPO AEROPORTUARIO DEL SURE | 40051E202 | SPON ADR SER B | 5,303 | $1,303,000 | dollars as filed | |
| SERITAGE GROWTH PPTYS | 81752R100 | CL A | 157,841 | $1,221,689 | dollars as filed | |
| CLEARBRIDGE ENERGY MLP FUND, I | 184692200 | COM | 33,200 | $1,169,636 | dollars as filed | |
| EATON VANCE LIMITED DURATION | 27828H105 | COM | 127,500 | $1,152,600 | dollars as filed | |
| ALBERTSONS COMPANIES INC COMMON STOCK | 013091103 | Stock | 50,000 | $1,137,500 | dollars as filed | |
| BLACKROCK CAP ALLOCATION TER | 09260U109 | COM | 74,854 | $1,084,634 | dollars as filed | |
| GREEN PLAINS PARTNERS LP | 393221106 | COM | 72,574 | $1,079,901 | dollars as filed | |
| BLACKROCK HEALTH SCIENCES TE | 09260E105 | COM SHS | 74,554 | $1,074,323 | dollars as filed | |
| BLACKSTONE STRATEGIC CREDIT FU | 09257R101 | COM SHS BEN IN | 97,623 | $1,072,877 | dollars as filed | |
| Real Estate Select Sector SPDR Fund | 81369Y860 | SHS | 31,429 | $1,070,786 | dollars as filed | |
| BLACKROCK TECH AND PRIVATE E | 09260Q108 | SHS BEN INT | 145,098 | $1,009,882 | dollars as filed | |
| BLACKROCK ESG CAP ALLC TR | 09262F100 | SHS BEN INT | 63,113 | $933,441 | dollars as filed | |
| FIVE9 INC | 338307AD3 | NOTE 0.500% 6/0 | 1,000 | $933,000 | dollars as filed | |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 1,000 | $928,000 | dollars as filed | Value about 1,000 times the price other filers imply, kept as filed and left out of ratios. |
| BARINGS BDC INC | 06759L103 | COM | 102,500 | $913,275 | dollars as filed | |
| Technology Select Sector SPDR Fund | 81369Y803 | SHS | 5,547 | $909,320 | dollars as filed | |
| INTERCEPT PHARMACEUTICALS IN | 45845P108 | COM | 44,660 | $827,996 | dollars as filed | |
| PAR TECHNOLOGY CORP | 698884AE3 | NOTE 1.500%10/1 | 1,000 | $827,000 | dollars as filed | |
| SABA CAPITAL INCOME & OPRNT | 78518H202 | SHS NEW | 104,785 | $804,749 | dollars as filed | |
| NUVEEN MULTI ASSET INCOME FUND | 670750108 | COM | 71,456 | $794,591 | dollars as filed | |
| FEDERATED HERMES PREM MUNI I | 31423P108 | COM | 78,312 | $750,229 | dollars as filed | |
| UNITED STATES STL CORP NEW | 912909108 | COM | 22,500 | $730,800 | dollars as filed | |
| BLACKROCK MUNI INCOME TR II | 09249N101 | COM | 76,626 | $700,362 | dollars as filed | |
| UTZ BRANDS INC COM CL A | 918090101 | Stock | 52,000 | $698,360 | dollars as filed | |
| ENERGY FUELS INC | 292671708 | COM NEW | 80,000 | $657,600 | dollars as filed | |
| GRUPO AEROPORTUNARIO DEL PAC | 400506101 | SPON ADS B | 3,966 | $651,891 | dollars as filed | |
| URANIUM ENERGY CORP COM | 916896103 | Stock | 125,000 | $643,750 | dollars as filed | |
| NORTHERN OIL & GAS INC COM | 665531307 | Stock | 15,000 | $603,450 | dollars as filed | |
| REDFIN CORP | 75737FAE8 | NOTE 0.500% 4/0 | 1,000 | $580,000 | dollars as filed | |
| NUVEEN QUALITY MUNCP INCOME | 67066V101 | COM | 57,009 | $578,071 | dollars as filed | |
| NEUBERGER BERMAN NEXT GENERA | 64133Q108 | COMMON STOCK | 55,219 | $575,382 | dollars as filed | |
| XERIS BIOPHARMA HOLDINGS INC | 98422E103 | COM | 300,000 | $558,000 | dollars as filed | |
| INTEGER HLDGS CORP | 45826H109 | COM | 7,100 | $556,853 | dollars as filed | |
| iShares Core S&P Small-Cap ETF | 464287804 | SHS | 5,794 | $546,548 | dollars as filed | |
| BLACKROCK MUNIHOLDINGS QUALITY | 09254C107 | COM | 61,174 | $537,108 | dollars as filed | |
| Energy Select Sector SPDR Fund | 81369Y506 | SHS | 5,891 | $532,487 | dollars as filed | |
| LIVE NATION ENTERTAINMENT IN | 538034AU3 | NOTE 2.000% 2/1 | 500 | $509,230 | dollars as filed | |
| BROOKFIELD INFRASTRUCT FCLASS A | 11275Q107 | FOREIGN CANADIAN | 14,049 | $496,492 | dollars as filed | |
| FLUOR CORP | 343412102 | COM | 12,500 | $458,750 | dollars as filed | |
| NextEra Energy,Inc. | 65339F101 | COM | 8,000 | $458,320 | dollars as filed | |
| NUVEEN REAL ASSET INCOME AND G | 67074Y105 | COM | 38,876 | $412,863 | dollars as filed | |
| SPIRIT AIRLS INC | 848577102 | COM | 25,000 | $412,500 | dollars as filed | |
| AIR LEASE CORP | 00912X302 | CL A | 10,000 | $394,100 | dollars as filed | |
| WESTERN ASSET MUN PARTNERS F | 95766P108 | COM | 36,639 | $387,641 | dollars as filed | |
| GRUPO AEROPORTUARIO DEL CENT | 400501102 | SPON ADR | 4,318 | $375,277 | dollars as filed | |
| DEVON ENERGY CORP NEW COM | 25179M103 | Stock | 7,800 | $372,060 | dollars as filed | |
| SELECT SECTOR SPDR TR | 81369Y704 | INDL | 3,452 | $349,964 | dollars as filed | |
| NEWMONT CORP | 651639106 | COM | 9,402 | $347,404 | dollars as filed | |
| EVERSOURCE ENERGY COM | 30040W108 | Stock | 5,897 | $342,911 | dollars as filed | |
| ULTRAPAR PARTICIPACOES SA | 90400P101 | SP ADR REP COM | 91,600 | $336,172 | dollars as filed | |
| ANTERO MIDSTREAM CORP COM | 03676B102 | Stock | 27,534 | $329,857 | dollars as filed | |
| LUCID GROUP INC | 549498103 | COM | 57,500 | $321,425 | dollars as filed | |
| BARRICK GOLD CORP | 067901108 | COM | 21,504 | $312,883 | dollars as filed | |
| Communication Services Select Sector SPDR Fund | 81369Y852 | SHS | 4,696 | $307,917 | dollars as filed | |
| TARO PHARMACEUTICAL INDS LTD | M8737E108 | SHS | 8,158 | $307,638 | dollars as filed | |
| PROVIDENT FINL SVCS INC COM | 74386T105 | Stock | 19,931 | $304,745 | dollars as filed | |
| FIRST TRUST | 33733G109 | COM BEN INTR | 89,346 | $301,096 | dollars as filed | |
| IONQ INC COM | 46222L108 | Stock | 20,000 | $297,600 | dollars as filed | |
| XPLR INFRASTRUCTURE LP | 65341B106 | COM UNIT PART IN | 10,000 | $297,000 | dollars as filed | |
| FRANCO NEV CORP COM | 351858105 | Stock | 2,193 | $292,744 | dollars as filed | |
| BLACKROCK MUNICIPAL INCOME FUN | 09253X102 | COM | 28,675 | $291,051 | dollars as filed | |
| Utilities Select Sector SPDR Fund | 81369Y886 | SHS | 4,836 | $284,985 | dollars as filed | |
| BROOKFIELD RENEWABLE ENERGY | G16258108 | PARTNERSHIP UNIT | 12,950 | $281,533 | dollars as filed | |
| MEDICAL PROPERTIES TRUST INC COM | 58463J304 | REIT | 50,000 | $272,500 | dollars as filed | |
| EXTREME NETWORKS INC | 30226D106 | COM | 10,905 | $264,010 | dollars as filed | |
| AGNICO EAGLE MINES LTD COM | 008474108 | Stock | 5,786 | $262,974 | dollars as filed | |
| PG&E CORP COM | 69331C108 | Stock | 15,714 | $253,467 | dollars as filed | |
| HERZFELD CREDIT INCOME FUND | 42804T106 | COM | 75,000 | $250,500 | dollars as filed | |
| AXIA ENERGIA SA | 15234Q207 | SPONSORED ADR | 34,100 | $249,271 | dollars as filed | |
| ENEL CHILE SA SPONSORED ADR | 29278D105 | ADR | 80,200 | $237,392 | dollars as filed | |
| SPECIAL OPPORTUNITIES FD INC | 84741T104 | COM | 20,404 | $223,016 | dollars as filed | |
| LUMIRADX LTD | G5709L109 | SHS | 923,366 | $218,930 | dollars as filed | |
| BROOKFIELD RENEWABLE CORP | 11284V105 | CL A SUB VTG | 9,000 | $215,460 | dollars as filed | |
| BLACKROCK MUNIVEST FUND | 09253R105 | COM | 35,391 | $214,469 | dollars as filed | |
| WHEATON PRECIOUS METALS CORP COM | 962879102 | Stock | 5,278 | $214,023 | dollars as filed | |
| SCORPIO TANKERS INC | Y7542C130 | SHS | 3,900 | $211,068 | dollars as filed | |
| BLACKROCK MUNIYEILD QUALITY FU | 09254G108 | COM | 22,278 | $200,279 | dollars as filed | |
| COMPANHIA DE SANEAMENTO BASICO SPONSORED ADR | 20441A102 | ADR | 16,128 | $195,471 | dollars as filed | |
| DWS MUNICIPAL INCOME TRUST | 233368109 | COM | 25,078 | $193,101 | dollars as filed | |
| SABRE CORP COM | 78573M104 | Stock | 40,000 | $179,600 | dollars as filed | |
| MITEK SYS INC | 606710AA9 | NOTE 0.750% 2/0 | 200 | $174,000 | dollars as filed | |
| COUPANG INC | 22266T109 | CL A | 10,000 | $170,000 | dollars as filed | |
| 89BIO INC | 282559103 | COM | 10,287 | $158,831 | dollars as filed | |
| DESTINATION XL GROUP INC | 25065K104 | COM | 33,117 | $148,364 | dollars as filed | |
| COMPANHIA PARANAENSE DE ENERGI | 20441B605 | SPON ADS | 16,900 | $148,213 | dollars as filed | |
| APOLLO UNVT CORP | 03761U502 | COM NEW | 10,000 | $137,500 | dollars as filed | |
| VILLAGE FARMS INTL INC | 92707Y108 | COM | 160,000 | $127,600 | dollars as filed | |
| NAVITAS SEMICONDUCTOR CORP COM | 63942X106 | Stock | 17,065 | $118,602 | dollars as filed | |
| NULL | 02008G102 | NULL | 22,536 | $96,905 | dollars as filed | |
| UR-ENERGY INC | 91688R108 | COM | 62,500 | $96,250 | dollars as filed | |
| ZEROFOX HLDGS INC | 98955G103 | COMMON | 106,617 | $93,738 | dollars as filed | |
| GUARDFORCE AI CO LTD | G4236L138 | SHS NEW | 20,000 | $92,200 | dollars as filed | |
| LUMBER LIQUIDATORS HOLDINGS | 55003T107 | COMMON STOCK | 27,487 | $87,134 | dollars as filed | |
| BRASKEM S A SP ADR PFD A | 105532105 | ADR | 10,000 | $82,100 | dollars as filed | |
| YEXT INC | 98585N106 | COM | 12,955 | $82,005 | dollars as filed | |
| LIVEONE INC | 53814X102 | COM | 75,000 | $71,715 | dollars as filed | |
| SNAIL INC | 83301J100 | CLASS A COM | 60,000 | $69,600 | dollars as filed | |
| EMEREN GROUP LTD | 75971T301 | SPONSORED ADS | 19,976 | $61,526 | dollars as filed | |
| SUMMIT THERAPEUTICS INC | 86627T108 | COM | 30,000 | $56,100 | dollars as filed | |
| SES AI CORPORATION | 78397Q109 | CL A COM | 20,033 | $45,475 | dollars as filed | |
| ENERGY VAULT HOLDINGS INC | 29280W109 | COM | 14,969 | $38,171 | dollars as filed | |
| THE LION ELECTRIC COMPANY | 536221104 | COMMON STOCK | 17,763 | $33,927 | dollars as filed | |
| FTC SOLAR INC | 30320C103 | COM | 18,728 | $23,972 | dollars as filed | |
| VBI VACCINES INC | 91822J202 | Foreign Stock | 25,000 | $16,655 | dollars as filed | |
| TRITIUM DCFC LIMITED | Q9225T108 | ORDINARY SHARES | 41,844 | $12,670 | dollars as filed | |
| KNOW LABS INC | 499238103 | COM NEW | 50,000 | $12,500 | dollars as filed | |
| GRAB HOLDINGS LIMITED | G4124C117 | *W EXP 99/99/999 | 17,800 | $6,141 | dollars as filed | |
| Zalatoris II Acquisition Corp | G9831X122 | WARRANT | 99,580 | $5,975 | dollars as filed | |
| Aurora Innovation Inc W Exp 11/03/202 | 051774115 | SPAC Combination | 12,500 | $4,000 | dollars as filed | |
| The Oncology Institute Inc W Exp 99/99/999 | 68236X118 | SPAC Combination | 25,024 | $2,127 | dollars as filed | |
| WTS-LEAFLY HLDGS 4FEB27 | 52178J113 | *W EXP 02/04/202 | 49,750 | $1,741 | dollars as filed | |
| Genedx Holdings Corp W Exp 07/22/202 | 81663L119 | SPAC Combination | 20,000 | $598 | dollars as filed | |
| ARTELO BIOSCIENCES INC | 04301G128 | *W EXP 06/20/202 | 14,099 | $565 | dollars as filed | |
| ENERGEM CORP | G30449121 | *W EXP 11/15/202 | 10,300 | $489 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001581655-23-000005 | superseded | 2023-11-14 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001581655-23-000006 | superseded | 2023-11-21 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001581655-23-000009 | superseded | 2023-11-21 | acceptance time not in the bulk data set | |
| 13F-HR/A 0001581655-24-000007 | this filing | 2024-08-06 | acceptance time not in the bulk data set |