13F-HR filed by Warberg Asset Management LLC
Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2022-12-31, filed 2023-02-13, with 271 holding rows worth $638,376,804.
- Accession
- 0001597506-23-000001
- Filer
- CIK 1597506
- Filed
- 2023-02-13
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2022
A holdings report, 271 entries on the cover page, a total value of $638,376,804 stated on the cover page (in dollars after the unit check, H1), rows summing to $638,376,804 with VALUE read as dollars as filed, 13F file number 028-20991. 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 |
|---|---|---|---|---|---|---|
| SPDR S&P 500 ETF TR | 78462F953 | PUT | 741,900 | $283,724,817 | dollars as filed | put |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 1,115,447 | $45,871,924 | dollars as filed | |
| PIONEER NAT RES CO | 723787AP2 | NOTE 0.250% 5/1 | 17,638,000 | $41,090,996 | dollars as filed | principal |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 10,659,000 | $32,090,385 | dollars as filed | principal |
| TERADYNE INC | 880770AG7 | NOTE | 7,179,000 | $19,862,319 | dollars as filed | principal |
| DICKS SPORTING GOODS INC | 253393AD4 | NOTE 3.250% 4/1 | 4,664,000 | $17,504,175 | dollars as filed | principal |
| ATLAS AIR WORLDWIDE HLDGS IN | 049164BJ4 | NOTE 1.875% 6/0 | 6,651,000 | $11,103,013 | dollars as filed | principal |
| SOUTH JERSEY INDS INC | 838518306 | UNIT 04/01/2024 | 155,100 | $10,705,002 | dollars as filed | |
| MICROCHIP TECHNOLOGY INC. | 595017AD6 | NOTE 1.625% 2/1 | 3,179,000 | $9,858,874 | dollars as filed | principal |
| PALO ALTO NETWORKS INC | 697435AD7 | NOTE 0.750% 7/0 | 6,053,000 | $9,573,455 | dollars as filed | principal |
| PLUG PWR INC | 72919PAD5 | NOTE 3.750% 6/0 | 3,535,000 | $8,852,966 | dollars as filed | principal |
| FTI CONSULTING INC | 302941AP4 | NOTE 2.000% 8/1 | 5,024,000 | $7,941,095 | dollars as filed | principal |
| VERADIGM INC | 01988PAF5 | BOND | 5,011,000 | $7,155,551 | dollars as filed | principal |
| LIBERTY MEDIA CORP DEL | 531229AF9 | NOTE 1.000% 1/3 | 4,368,000 | $7,060,412 | dollars as filed | principal |
| ATI INC | 01741RAK8 | BOND | 3,000,000 | $6,048,735 | dollars as filed | principal |
| PURE STORAGE INC | 74624MAB8 | NOTE 0.125% 4/1 | 5,000,000 | $5,405,208 | dollars as filed | principal |
| ENVISTA HOLDINGS CORPORATION | 29415FAB0 | BOND | 3,206,000 | $5,404,098 | dollars as filed | principal |
| HERTZ GLOBAL HLDGS INC | 42806J148 | *W EXP 06/30/205 | 687,436 | $5,124,835 | dollars as filed | |
| GFL ENVIRONMENTAL INC | 36168Q120 | CONV | 76,002 | $4,916,569 | dollars as filed | |
| LIVE NATION ENTERTAINMENT IN | 538034AQ2 | NOTE 2.500% 3/1 | 4,533,000 | $4,830,455 | dollars as filed | principal |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 2,939,000 | $4,548,063 | dollars as filed | principal |
| MIDDLEBY CORP | 596278AB7 | NOTE 1.000% 9/0 | 3,761,000 | $4,427,524 | dollars as filed | principal |
| ANTHEM INC | 94973VBG1 | NOTE 2.750%10/1 | 556,000 | $4,070,251 | dollars as filed | principal |
| INVESCO QQQ TR | 46090E953 | PUT | 15,000 | $3,994,200 | dollars as filed | put |
| PARSONS CORP DEL | 70202LAB8 | BOND | 3,126,000 | $3,566,063 | dollars as filed | principal |
| COLLIERS INTL GROUP INC | 194693AB3 | NOTE 4.000% 6/0 | 2,000,000 | $3,348,750 | dollars as filed | principal |
| ACTIVISION BLIZZARD INC | 00507V909 | COM | 43,700 | $3,345,235 | dollars as filed | call |
| APPLE INC | 037833950 | PUT | 25,000 | $3,248,250 | dollars as filed | put |
| SURGEPAYS INC | 86882L113 | *W EXP 10/22/202 | 1,147,091 | $2,695,664 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 2,320,000 | $2,450,500 | dollars as filed | principal |
| HARMONIC INC | 413160AD4 | BOND | 1,375,000 | $2,169,295 | dollars as filed | principal |
| LUMENTUM HLDGS INC | 55024UAB5 | NOTE 0.250% 3/1 | 2,000,000 | $2,110,990 | dollars as filed | principal |
| SILICON LABORATORIES INC | 826919AD4 | NOTE 0.625% 6/1 | 1,545,000 | $1,939,755 | dollars as filed | principal |
| EXXON MOBIL CORP | 30231G902 | CALL | 17,000 | $1,875,100 | dollars as filed | call |
| NICE SYS INC | 65366HAB9 | BOND | 804,000 | $1,853,763 | dollars as filed | principal |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 25,264 | $1,791,912 | dollars as filed | |
| RAMBUS INC DEL | 750917AG1 | NOTE 1.375% 2/0 | 946,000 | $1,790,476 | dollars as filed | principal |
| VANECK ETF TRUST | 92189F906 | CALL | 61,500 | $1,762,590 | dollars as filed | call |
| JANUS DETROIT STR TR | 47103U886 | HENDRSN SHRT ETF | 34,175 | $1,619,895 | dollars as filed | |
| FISKER INC | 33813J956 | PUT | 204,300 | $1,485,261 | dollars as filed | put |
| INVESCO QQQ TR | 46090E103 | COM | 5,500 | $1,464,815 | dollars as filed | |
| MCDONALDS CORP | 580135951 | PUT | 5,000 | $1,317,650 | dollars as filed | put |
| Apple Inc | 037833100 | COM | 10,000 | $1,299,300 | dollars as filed | |
| IShares S&P 500 Index Fund | 464287952 | ETF | 13,000 | $1,294,280 | dollars as filed | put |
| STATE STR SPDR S&P 500 ETF T | 78462F903 | CALL | 3,000 | $1,147,290 | dollars as filed | call |
| GENERAC HLDGS INC | 368736904 | CALL | 11,000 | $1,107,260 | dollars as filed | call |
| INSIGHT ENTERPRISES INC | 45765UAB9 | NOTE 0.750% 2/1 | 679,000 | $1,021,556 | dollars as filed | principal |
| STARBUCKS CORP | 855244959 | PUT | 10,000 | $992,000 | dollars as filed | put |
| ROGERS CORP | 775133901 | CALL | 8,000 | $954,720 | dollars as filed | call |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 476,000 | $950,364 | dollars as filed | principal |
| INVESCO EXCH TRD SLF IDX FD | 46138J833 | BULSHS 2024 HY | 39,950 | $883,694 | dollars as filed | |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 139,000 | $827,398 | dollars as filed | principal |
| PYXIS TANKERS INC | Y71726114 | 7.75% CNV PFD A | 29,910 | $721,579 | dollars as filed | |
| ELANCO ANIMAL HEALTH INC | 28414H202 | CONV | 35,430 | $691,948 | dollars as filed | |
| ISHARES SILVER TR | 46428Q909 | CALL | 30,000 | $660,600 | dollars as filed | call |
| KBR INC | 48242WAB2 | BOND | 266,000 | $561,929 | dollars as filed | principal |
| 26 Capital Acquisition Corp | 90138P100 | Equity | 55,429 | $561,773 | dollars as filed | |
| IG ACQUISITION CORP | 449534106 | COM CL A | 54,800 | $550,740 | dollars as filed | |
| PEABODY ENGR CORP | 704551900 | COM | 19,000 | $501,980 | dollars as filed | call |
| ACRI CAPITAL ACQUISITION COR | 00501A101 | COM CL A | 44,200 | $451,724 | dollars as filed | |
| PYXIS TANKERS INC | Y71726122 | *W EXP 10/13/202 | 333,126 | $446,389 | dollars as filed | |
| TESLA INC | 88160R901 | CALL | 3,600 | $443,448 | dollars as filed | call |
| SELECT SECTOR SPDR TR | 81369Y956 | Option | 5,000 | $437,350 | dollars as filed | put |
| INTL GNRL INSURANCE HLDNGS L | G4809J114 | WTS | 751,800 | $432,285 | dollars as filed | |
| STRATEGY INC | 594972958 | COM NEW | 3,000 | $424,710 | dollars as filed | put |
| ARIES I ACQUISITION CORP | G0542N107 | CLASS A ORD SHS | 41,237 | $423,916 | dollars as filed | |
| UNITED STS NAT GAS FD LP | 912318900 | COM | 30,000 | $423,000 | dollars as filed | call |
| VISION SENSING ACQUISITION C | 92838J103 | COM | 40,043 | $413,844 | dollars as filed | |
| PRIME NO ACQUISITION I CORP | 74168P107 | COM CL A | 40,421 | $410,677 | dollars as filed | |
| EON RESOURCES INC | 40472A102 | COM CL A | 40,002 | $409,220 | dollars as filed | |
| G SQUARED ASCEND I INC | G4204R109 | SHS CL A | 40,000 | $404,200 | dollars as filed | |
| GLOBAL BLOCKCHAIN ACQUI CORP | 37961B104 | COMMON STOCK | 40,000 | $403,600 | dollars as filed | |
| FREEPORT MCMORAN INC | 35671D907 | CALL | 10,000 | $380,000 | dollars as filed | call |
| VALUENCE MERGER CORP I | G9R16L100 | COM | 35,205 | $365,252 | dollars as filed | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 88,608 | $362,407 | dollars as filed | |
| MONTEREY CAP ACQUISITION COR | 61244M109 | CLASS A COM | 35,740 | $357,757 | dollars as filed | |
| FILANA THERAPEUTICS INC | 14817C957 | COM | 12,000 | $354,480 | dollars as filed | put |
| AESTHER HEALTHCARE ACQSTN CO | 00809L106 | CLASS A COM | 33,809 | $351,614 | dollars as filed | |
| RH | 74967XAD5 | CV | 250,000 | $346,751 | dollars as filed | principal |
| PONO CAPITAL CORP | 732450101 | CLASS A COM | 31,919 | $334,830 | dollars as filed | |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 4,328 | $334,814 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q908 | COMMON STOCK | 40,000 | $317,200 | dollars as filed | call |
| MALACCA STRAITS ACQUISITION | G5859B117 | COM CL A | 30,889 | $315,531 | dollars as filed | |
| PIMCO ETF TR | 72201R833 | ENHAN SHRT MA AC | 3,100 | $305,815 | dollars as filed | |
| DEXCOM INC | 252131AH0 | NOTE 0.750%12/0 | 109,000 | $300,690 | dollars as filed | principal |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 3,000 | $298,710 | dollars as filed | |
| INVESCO ACTIVELY MANAGED EXC | 46090A879 | VAR RATE INVT | 11,998 | $296,291 | dollars as filed | |
| HUBSPOT INC | 443573AD2 | NOTE 0.375% 6/0 | 237,000 | $293,169 | dollars as filed | principal |
| GOLDENSTONE ACQUISITION LTD COM | 38136Y102 | Rights | 27,823 | $284,351 | dollars as filed | |
| INSULET CORP | 45784PAK7 | NOTE 0.375% 9/0 | 198,000 | $280,096 | dollars as filed | principal |
| Aura FAT Projects Acquisition Corp | G06362100 | COM | 25,000 | $256,375 | dollars as filed | |
| Thunder Power Holdings Inc | 31561T102 | Equity | 24,900 | $253,233 | dollars as filed | |
| ALAMOS GOLD INC | 011532908 | COM CL A | 25,000 | $252,750 | dollars as filed | call |
| VANECK ETF TRUST | 92189F486 | IG FLOA RATE ETF | 10,046 | $249,944 | dollars as filed | |
| J P MORGAN EXCHANGE TRADED F | 46641Q837 | ULTRA SHRT ETF | 4,752 | $238,218 | dollars as filed | |
| MOBIV ACQUISITION CORP | 60742N106 | CLASS A COM | 22,750 | $233,870 | dollars as filed | |
| SPDR Bloomberg Investment Grade Floating Rate ETF | 78468R200 | SHS | 7,600 | $230,964 | dollars as filed | |
| VISIONWAVE HOLDINGS INC COM | 066644105 | Stock | 22,500 | $228,825 | dollars as filed | |
| FG MERGER CORP | 30324Y101 | COMMON STOCK | 22,068 | $225,425 | dollars as filed | |
| EAST RES ACQUISITION CO | 274681105 | COM CL A | 21,809 | $221,579 | dollars as filed | |
| SOUTHWESTERN ENERGY CO | 845467909 | COM | 37,600 | $219,960 | dollars as filed | call |
| SAB BIOTHERAPEUTICS INC | 78397T103 | COM | 370,370 | $218,518 | dollars as filed | |
| ALPHA STAR ACQUISITION CORP | G0230C108 | ORDINARY SHARES | 21,103 | $216,411 | dollars as filed | |
| NORTHERN REVIVAL ACQUISITION | G6546R101 | CL A SHS | 21,324 | $215,372 | dollars as filed | |
| NULL | G3312W109 | NULL | 20,636 | $212,138 | dollars as filed | |
| BEYOND MEAT INC | 08862E959 | PUT | 17,000 | $209,270 | dollars as filed | put |
| JETAI INC COM | G6855L109 | Stock | 20,000 | $209,000 | dollars as filed | |
| NEWBURY STREET ACQUISITN COR | 65101L104 | COM | 20,730 | $207,507 | dollars as filed | |
| CIIG CAPITAL PARTNERS II INC | 12561U109 | COM | 20,000 | $203,800 | dollars as filed | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 2,402 | $202,248 | dollars as filed | |
| AIMFINITY INVESTMENT CORP I | G0135E142 | UNIT 04/21/2027 | 20,000 | $200,800 | dollars as filed | |
| MACONDRAY CAP ACQUISITN CORP | G5853A107 | CLASS A ORD SHS | 19,700 | $200,743 | dollars as filed | |
| SBC MEDICAL GROUP HOLDINGS I | 73245B107 | COMMON STOCK | 18,250 | $186,150 | dollars as filed | |
| SPREE ACQUISITION CORP 1 LTD | G83745102 | COM | 17,713 | $181,735 | dollars as filed | |
| DENALI CAPITAL ACQUISITN COR | G6256B106 | CLASS A ORD | 17,500 | $179,550 | dollars as filed | |
| GLOBAL STAR ACQUISITION-CL A | 37962G102 | COM | 17,456 | $176,829 | dollars as filed | |
| PINE TECHNOLOGY ACQUISITN CO | 722850104 | CLASS A COM | 17,502 | $175,545 | dollars as filed | |
| GENESIS UNICORN CAPITAL CORP | 37187C100 | CLASS A COM | 17,043 | $173,924 | dollars as filed | |
| PROGRESS ACQUISITION CORP | 74327P105 | CMN | 16,970 | $171,906 | dollars as filed | |
| MAXPRO CAPITAL ACQUISITN COR | 57778T106 | CLASS A COM | 16,502 | $170,961 | dollars as filed | |
| FINTECH ECOSYSTEM DEVE | 318136108 | COM | 16,608 | $170,232 | dollars as filed | |
| FISKER INC | 33813J106 | CL A COM STK | 22,400 | $162,848 | dollars as filed | |
| PLUTONIAN ACQUISITION CORP | 72942P203 | UNIT 10/26/2027 | 15,800 | $159,264 | dollars as filed | |
| PINSTRIPES HOLDINGS INC CL A COM | 06690B107 | Stock | 15,000 | $153,150 | dollars as filed | |
| COLISEUM ACQUISITION CORP | G2263T123 | COM | 15,000 | $150,600 | dollars as filed | |
| GIGCAPITAL 5 INC | 37519U109 | COMMON STOCK | 14,401 | $146,890 | dollars as filed | |
| PEPPERLIME HEALTH ACQUSTN CO | G70021103 | COM | 14,136 | $144,329 | dollars as filed | |
| SEABRIDGE GOLD INC | 811916905 | CALL | 11,000 | $138,380 | dollars as filed | call |
| PALISADE BIO INC | 696389204 | COM | 26,316 | $136,843 | dollars as filed | |
| EF HUTTON ACQUISITION CORP I | 28201D109 | COM | 13,303 | $133,296 | dollars as filed | |
| INTEGRATED RAIL AND RES ACQ | 45827R106 | COM | 12,843 | $131,320 | dollars as filed | |
| HEARTBEAM INC | 42238H116 | *W EXP 10/31/202 | 117,500 | $128,075 | dollars as filed | |
| NUSCALE PWR CORP | 67079K118 | *W EXP 05/02/202 | 75,656 | $120,293 | dollars as filed | |
| CALLAWAY GOLF CO | 131193AE4 | NOTE 2.750% 5/0 | 89,000 | $116,188 | dollars as filed | principal |
| KIORA PHARMACEUTICALS INC | 49721T309 | COMMON | 33,000 | $113,190 | dollars as filed | |
| GLOBAL SYSTEMS DYNAMICS INC | 37653T108 | COM | 10,922 | $112,824 | dollars as filed | |
| MARA HOLDINGS INC | 565788906 | CALL | 32,500 | $111,150 | dollars as filed | call |
| JAWS HURRICANE ACQUISITN COR | 47201B103 | CLASS A COM | 11,076 | $110,428 | dollars as filed | |
| ZURA BIO LTD CLASS A ORD SHS | G50752107 | COM | 10,000 | $102,100 | dollars as filed | |
| ELLIOTT OPPORTUNITY II CORP | G30092103 | CMN | 10,000 | $100,800 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 319,068 | $93,861 | dollars as filed | |
| ENPHASE ENERGY INC | 29355AAK3 | NOTE 3/0 | 77,000 | $90,120 | dollars as filed | principal |
| NEXTPLAT CORP | 68557F118 | *W EXP 06/02/202 | 120,289 | $74,555 | dollars as filed | |
| SPLASH BEVERAGE GROUP INC | 84862C112 | *W EXP 06/15/202 | 453,974 | $68,096 | dollars as filed | |
| ONFOLIO HOLDINGS INC | 68277K124 | *W EXP 01/02/202 | 282,128 | $67,711 | dollars as filed | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 41,000 | $64,893 | dollars as filed | principal |
| POLISHED COM INC | 28252C117 | *W EXP 06/02/202 | 773,118 | $61,849 | dollars as filed | |
| PETVIVO HLDGS INC | 716817119 | *W EXP 08/13/202 | 221,977 | $60,736 | dollars as filed | |
| KWESST MICRO SYSTEMS INC | 501506133 | *W EXP 09/01/202 | 64,000 | $57,600 | dollars as filed | |
| MARA HOLDINGS INC | 565788956 | COM NEW | 15,900 | $54,378 | dollars as filed | put |
| FGI INDUSTRIES LTD | G3302D111 | *W EXP 99/99/999 | 121,074 | $52,062 | dollars as filed | |
| DIRECT DIGITAL HOLDINGS INC | 25461T113 | *W EXP 02/15/202 | 62,616 | $48,840 | dollars as filed | |
| KWESST MICRO SYSTEMS INC | 501506604 | COM NEW | 13,865 | $47,557 | dollars as filed | |
| WTS/LION ELECTRIC EXP12/13/2027 | 536221120 | WARR | 60,667 | $41,860 | dollars as filed | |
| ZIVO BIOSCIENCE INC | 98978N119 | *W EXP 06/02/202 | 86,508 | $41,091 | dollars as filed | |
| MARA HOLDINGS INC COM | 565788106 | Stock | 12,000 | $41,040 | dollars as filed | |
| TALKSPACE INC | 87427V111 | *W EXP 06/21/202 | 521,442 | $38,013 | dollars as filed | |
| TWIN VEE POWERCATS CO | 90177C101 | COM | 20,700 | $37,881 | dollars as filed | |
| VIRIOS THERAPEUTICS INC | 92829J104 | COM | 160,000 | $37,760 | dollars as filed | |
| NEOVOLTA INC | 640655114 | *W EXP 04/01/202 | 38,527 | $34,482 | dollars as filed | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 161,250 | $33,863 | dollars as filed | |
| MIRION TECHNOLOGIES INC | 60471A119 | *W EXP 10/20/202 | 30,096 | $33,708 | dollars as filed | |
| NEXALIN TECHNOLOGY INC | 65345B110 | *W EXP 99/99/999 | 166,483 | $33,297 | dollars as filed | |
| RH | 74967XAA1 | BOND | 24,000 | $33,114 | dollars as filed | principal |
| GROM SOCIAL ENTRPRISES INC | 39878L407 | COM | 21,000 | $32,340 | dollars as filed | |
| REPUBLIC FIRST BANCORP INC | 760416107 | COM | 15,000 | $32,250 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L112 | WTS | 351,211 | $31,609 | dollars as filed | |
| NETCAPITAL INC | 64113L111 | *W EXP 07/12/202 | 105,000 | $31,290 | dollars as filed | |
| APPTECH PMTS CORP | 03834B127 | *W EXP 01/04/202 | 205,831 | $29,598 | dollars as filed | |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 27,000 | $26,809 | dollars as filed | principal |
| Cingulate Inc W Exp 12/10/202 | 17248W113 | Warrant | 110,032 | $26,419 | dollars as filed | |
| CASTELLUM INC | 14838T204 | COM NEW | 20,000 | $25,200 | dollars as filed | |
| CEA INDUSTRIES INC | 86887P119 | *W EXP 02/11/202 | 264,095 | $23,769 | dollars as filed | |
| ASP ISOTOPES INC | 00218A105 | COM | 14,848 | $23,460 | dollars as filed | |
| MARIS TECH LTD | M68057112 | *W EXP 02/04/202 | 223,236 | $22,324 | dollars as filed | |
| IBIO INC COM | 451033609 | Stock | 50,000 | $22,200 | dollars as filed | |
| MICROCLOUD HOLOGRAM INC | G55032125 | *W EXP 01/31/202 | 315,673 | $22,097 | dollars as filed | |
| STEREOTAXIS INC | 85916J409 | COMMON STOCK | 10,000 | $20,600 | dollars as filed | |
| PEAK BIO INC | 70470P116 | *W EXP 10/26/202 | 101,345 | $20,522 | dollars as filed | |
| STRAN & COMPANY INC | 86260J110 | *W EXP 99/99/999 | 168,494 | $19,453 | dollars as filed | |
| SAVERONE 2014 LTD | 80516T113 | *W EXP 06/02/202 | 194,497 | $19,411 | dollars as filed | |
| SNAIL INC | 83301J100 | CLASS A COM | 13,000 | $19,110 | dollars as filed | |
| LITHIA MTRS INC COM | 92561V117 | COM | 112,000 | $19,040 | dollars as filed | |
| GCM GROSVENOR INC | 36831E116 | W EXP 11/17/202 | 43,042 | $18,938 | dollars as filed | |
| HYCROFT MINING HOLDING CORP | 44862P117 | *W EXP 05/29/202 | 250,000 | $18,675 | dollars as filed | |
| INVITAE CORP | 46185L903 | CALL | 10,000 | $18,600 | dollars as filed | call |
| Evgo Inc W Exp 07/01/202 | 30052F118 | SPAC Combination | 25,500 | $17,337 | dollars as filed | |
| DATA STORAGE CORP | 23786R110 | *W EXP 05/18/202 | 105,312 | $16,797 | dollars as filed | |
| BOA ACQUISITION CORP | g8059b119 | WT | 183,376 | $14,670 | dollars as filed | |
| COMERA LIFE SCIENCES HLDGS I | 20037C116 | *W EXP 03/15/202 | 305,440 | $14,569 | dollars as filed | |
| NEUROSENSE THERAPEUTICS LTD | M74240116 | *W EXP 11/10/202 | 79,668 | $14,380 | dollars as filed | |
| ATHERSYS INC NEW COM NEW | 04744L205 | COM | 16,780 | $14,095 | dollars as filed | |
| MOBILICOM LTD | 60742B110 | *W EXP 08/31/202 | 127,366 | $14,010 | dollars as filed | |
| AMPCO-PITTSBURG CORP | 032037111 | *W EXP 08/01/202 | 84,200 | $13,262 | dollars as filed | |
| VERSUS SYSTEMS INC | 92535P147 | *W EXP 01/20/202 | 443,244 | $12,721 | dollars as filed | |
| ARQIT QUANTUM INC | G0567U119 | WTS | 24,355 | $12,421 | dollars as filed | |
| PAGAYA TECHNOLOGIES LTD | M7S64L107 | WTS | 124,231 | $11,790 | dollars as filed | |
| WEARABLE DEVICES LTD | M97838110 | *W EXP 09/14/202 | 95,965 | $11,631 | dollars as filed | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T124 | *W EXP 10/07/202 | 165,000 | $11,517 | dollars as filed | |
| BT BRANDS INC | 0557MQ115 | *W EXP 11/12/202 | 74,786 | $11,218 | dollars as filed | |
| TC BIOPHARM HOLDINGS PLC | 87807D111 | *W EXP 02/10/202 | 86,667 | $10,937 | dollars as filed | |
| LIVEONE INC | 53814X102 | COM | 16,981 | $10,927 | dollars as filed | |
| ESPORTS ENTMT GROUP INC | 29667K306 | COM | 135,756 | $10,657 | dollars as filed | |
| VIRPAX PHARMACEUTICALS INC | 928251107 | COM | 17,012 | $10,561 | dollars as filed | |
| CANOO INC | 13803R110 | *W EXP 12/21/202 | 42,000 | $9,660 | dollars as filed | |
| PASITHEA THERAPEUTICS CORP | 70261F111 | *W EXP 08/12/202 | 289,968 | $9,554 | dollars as filed | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 20,000 | $9,160 | dollars as filed | |
| Aurora Innovation Inc W Exp 11/03/202 | 051774115 | SPAC Combination | 70,109 | $9,114 | dollars as filed | |
| AINOS INC | 00902F113 | *W EXP 07/29/202 | 34,695 | $8,670 | dollars as filed | |
| INNOVATIVE EYEWEAR INC | 45791D117 | *W EXP 08/16/202 | 67,265 | $8,381 | dollars as filed | |
| BIOAFFINITY TECHNOLOGIES INC | 09076W117 | *W EXP 09/07/202 | 19,426 | $8,159 | dollars as filed | |
| SYSTEM1 INC | 87200P117 | W EXP 01/27/202 | 17,400 | $8,070 | dollars as filed | |
| PROTAGENIC THERAPEUTICS INC | 74365N103 | COM | 20,000 | $8,000 | dollars as filed | |
| AMESITE INC | 031094105 | COM | 44,348 | $7,765 | dollars as filed | |
| Lixte Biotech HLDG | 539319202 | COM | 14,500 | $7,359 | dollars as filed | |
| PROTAGENIC THERAPEUTICS INC | 74365N111 | *W EXP 04/26/202 | 177,196 | $7,265 | dollars as filed | |
| INFINTT ACQUISITION CORP | g47862126 | WT | 90,100 | $7,208 | dollars as filed | |
| FORAFRIC GLOBAL PLC | X3R81D110 | *W EXP 06/09/202 | 10,500 | $7,140 | dollars as filed | |
| ENERGEM CORP | G30449121 | *W EXP 11/15/202 | 90,000 | $7,110 | dollars as filed | |
| APTOSE BIOSCIENCES INC COM | 03835T200 | Stock | 11,500 | $6,670 | dollars as filed | |
| KAIROUS ACQUISITION CORP LTD | G52131128 | *W EXP 09/15/202 | 80,677 | $6,656 | dollars as filed | |
| BONE BIOLOGICS CORP | 098070303 | COM | 30,000 | $6,291 | dollars as filed | |
| ALPHA TAU MEDICAL LTD WT EXP | M0740A116 | Stock | 22,900 | $5,727 | dollars as filed | |
| AGRIFORCE GROWING SYSTEMS LT | C00948114 | *W EXP 07/12/202 | 60,401 | $5,496 | dollars as filed | |
| TROIKA MEDIA GROUP INC | 89689F305 | COM | 44,999 | $5,233 | dollars as filed | |
| ASSURE HLDGS CORP | 04625J204 | COM | 20,000 | $5,206 | dollars as filed | |
| Arogo Capital Acquisition Corp | 042644112 | Warrant | 90,000 | $5,175 | dollars as filed | |
| ASPIRA WOMENS HEALTH INC | 04537Y109 | COM | 15,000 | $5,100 | dollars as filed | |
| SkyAI Inc | 82003F119 | *W EXP 4/13/202 | 38,847 | $5,054 | dollars as filed | |
| AMERICAN REBEL HOLDINGS INC | 02919L117 | *W EXP 01/20/202 | 130,921 | $4,517 | dollars as filed | |
| QTREX QUANTUM LTD | M53637118 | *W EXP 07/16/202 | 24,000 | $4,445 | dollars as filed | |
| ACLARION INC | 655187110 | *W EXP 04/21/202 | 28,647 | $4,440 | dollars as filed | |
| IVEDA SOLUTIONS INC | 46583A113 | *W EXP 04/01/202 | 36,286 | $4,354 | dollars as filed | |
| WINDTREE THERAPEUTICS INC | 97382D303 | COM | 25,000 | $4,263 | dollars as filed | |
| RAIL VISION LTD | M8186D114 | *W EXP 03/27/202 | 59,563 | $4,163 | dollars as filed | |
| GORILLA TECHNOLOGY GROUP INC | G4000K118 | *W EXP 99/99/999 | 20,000 | $4,100 | dollars as filed | |
| MOBIQUITY TECHNOLOGIES INC | 60743F128 | *W EXP 12/03/202 | 50,368 | $4,029 | dollars as filed | |
| AGILE THERAPEUTICS INC | 00847L209 | COM NEW | 17,500 | $3,973 | dollars as filed | |
| NEXTNAV INC | 65345N114 | *W EXP 99/99/999 | 10,000 | $3,725 | dollars as filed | |
| NORTHVIEW ACQUISITION CORP | 66718N111 | *W EXP 08/02/202 | 77,770 | $3,325 | dollars as filed | |
| KALEYRA INC | 483379111 | *W EXP 11/25/202 | 86,316 | $3,250 | dollars as filed | |
| PLUS THERAPEUTICS INC | 72941H400 | COM | 10,000 | $3,170 | dollars as filed | |
| INCEPTION GR -23 EQUITY | 45333D112 | COM | 90,000 | $2,925 | dollars as filed | |
| BOXED INC | 103174116 | WARR | 71,618 | $2,793 | dollars as filed | |
| ALLEGO N V | N0796A118 | WTS | 22,500 | $2,250 | dollars as filed | |
| AUDDIA INC | 05072K115 | *W EXP 02/19/202 | 12,768 | $2,231 | dollars as filed | |
| FAT PROJECTS ACQUISITION COR | G3400W110 | *W EXP 08/31/202 | 85,000 | $2,125 | dollars as filed | |
| WORKSPORT LTD | 98139Q118 | *W EXP 08/06/202 | 14,960 | $2,094 | dollars as filed | |
| SPREE ACQUISITION 1 CORP LTD | g83745128 | WT | 47,154 | $1,900 | dollars as filed | |
| BUZZFEED INC | 12430A110 | *W EXP 12/03/202 | 44,284 | $1,771 | dollars as filed | |
| EF HUTTON ACQUISITION CORP I | 28201D125 | RIGHT 11/18/2027 | 13,246 | $1,656 | dollars as filed | |
| ACCRETION ACQUISITION CORP | 00438Y115 | *W EXP 03/01/202 | 87,348 | $1,633 | dollars as filed | |
| CANNA-GLOBAL ACQUISITION CORP | 13767k119 | WT | 90,100 | $1,577 | dollars as filed | |
| NEXGEL INC | 65344E115 | *W EXP 12/27/202 | 10,000 | $1,500 | dollars as filed | |
| BANNIX ACQUISITION CORP | 066644113 | *W EXP 07/31/202 | 85,700 | $1,500 | dollars as filed | |
| EDIBLE GARDEN AG INC | 28059P113 | *W EXP 99/99/999 | 103,861 | $1,464 | dollars as filed | |
| CELULARITY INC | 151190113 | *W EXP 07/16/202 | 18,200 | $1,456 | dollars as filed | |
| FG MERGER CORP | 30324Y119 | *W EXP 06/17/202 | 16,546 | $1,448 | dollars as filed | |
| BONE BIOLOGICS CORP | 098070113 | *W EXP 10/13/202 | 41,100 | $1,215 | dollars as filed | |
| DERMATA THERAPEUTICS INC | 249845116 | *W EXP 99/99/999 | 60,711 | $1,214 | dollars as filed | |
| FINANCIAL STRATEGIES ACQUISI | 31772T115 | *W EXP 03/31/202 | 80,000 | $1,200 | dollars as filed | |
| Alpha Star Acquisition Corp | G0230C116 | WARRANT | 80,000 | $1,192 | dollars as filed | |
| Anghami Inc W Exp 02/03/202 | G0369L119 | SPAC Combination | 40,409 | $1,063 | dollars as filed | |
| PRIME NO ACQUISITION I CORP | 74168P115 | *W EXP 07/31/202 | 13,658 | $888 | dollars as filed | |
| BRUUSH ORAL CARE INC | 11750K120 | *W EXP 08/03/202 | 15,000 | $876 | dollars as filed | |
| WTS/CLEVER LEAVES HOLDINGS INC 11.5000EXP12/31/2025 | 186760112 | WARR | 25,000 | $873 | dollars as filed | |
| GELESIS HLDGS INC | 36850R113 | *W EXP 01/13/202 | 89,400 | $796 | dollars as filed | |
| Thunder Power Holdings Inc | 31561T110 | Warrant | 20,796 | $624 | dollars as filed | |
| Embrace Change Acquisition Corp | G3034H125 | Warrant | 12,500 | $406 | dollars as filed | |
| SHAPEWAYS HOLDINGS INC 11.5000EXP10/31/2026 | 81947T110 | WARR | 14,668 | $248 | dollars as filed | |
| EF HUTTON ACQUISITION CORP I | 28201D117 | *W EXP 11/18/202 | 10,000 | $160 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001597506-23-000001 | this filing | 2023-02-13 | acceptance time not in the bulk data set |