13F-HR filed by Warberg Asset Management LLC
Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2023-09-30, filed 2023-11-13, with 244 holding rows worth $495,644,732.
- Accession
- 0001597506-23-000004
- Filer
- CIK 1597506
- Filed
- 2023-11-13
- 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, 244 entries on the cover page, a total value of $495,644,732 stated on the cover page (in dollars after the unit check, H1), rows summing to $495,644,732 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 | 335,000 | $143,205,800 | dollars as filed | put |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 1,046,696 | $45,009,259 | dollars as filed | |
| ON SEMICONDUCTOR CORP | 682189AP0 | NOTE 1.625%10/1 | 9,849,000 | $44,208,553 | dollars as filed | principal |
| KBR INC | 48242WAB2 | BOND | 15,790,000 | $37,263,880 | dollars as filed | principal |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 5,356,000 | $12,626,894 | dollars as filed | principal |
| EQT CORP | 26884LAK5 | NOTE 1.750% 5/0 | 4,515,000 | $12,564,587 | dollars as filed | principal |
| VMWARE, INC. | 928563402 | CL A COM | 69,485 | $11,567,863 | dollars as filed | |
| RH | 74967XAD5 | CV | 7,302,000 | $9,624,090 | dollars as filed | principal |
| PIONEER NAT RES CO | 723787AP2 | NOTE 0.250% 5/1 | 3,759,000 | $9,277,415 | dollars as filed | principal |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,700,000 | $9,061,907 | dollars as filed | principal |
| CONMED CORP | 207410AF8 | BOND | 7,476,000 | $8,683,894 | dollars as filed | principal |
| INVESCO QQQ TR | 46090E953 | PUT | 23,000 | $8,240,210 | dollars as filed | put |
| INTERDIGITAL INC | 45867GAB7 | BOND | 6,200,000 | $6,630,666 | dollars as filed | principal |
| VERADIGM INC | 01988PAF5 | BOND | 5,500,000 | $6,228,650 | dollars as filed | principal |
| BOOKING HOLDINGS INC | 09857LAN8 | NOTE 0.750% 5/0 | 3,527,000 | $5,901,325 | dollars as filed | principal |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 5,323,000 | $5,422,172 | dollars as filed | principal |
| ATI INC | 01741RAK8 | BOND | 2,000,000 | $5,384,521 | dollars as filed | principal |
| PARSONS CORP DEL | 70202LAB8 | BOND | 4,096,000 | $5,214,239 | dollars as filed | principal |
| SPY | 78462F103 | SHS | 12,000 | $5,128,680 | dollars as filed | |
| REPLIGEN CORP | 759916AB5 | BOND | 3,432,000 | $4,909,944 | dollars as filed | principal |
| APPLE INC | 037833950 | PUT | 28,000 | $4,793,880 | dollars as filed | put |
| HUBSPOT INC | 443573AD2 | NOTE 0.375% 6/0 | 2,574,000 | $4,591,475 | dollars as filed | principal |
| BOX INC | 10316TAB0 | NOTE 1/1 | 3,786,000 | $4,096,610 | dollars as filed | principal |
| SEA LTD | 81141RAD2 | NOTE 1.000%12/0 | 3,500,000 | $3,896,988 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 3,273,000 | $3,866,499 | dollars as filed | principal |
| WORKIVA INC | 98139AAB1 | NOTE 1.125% 8/1 | 2,777,000 | $3,818,879 | dollars as filed | principal |
| HERTZ GLOBAL HLDGS INC | 42806J148 | *W EXP 06/30/205 | 613,408 | $3,754,057 | dollars as filed | |
| PROGRESS SOFTWARE CORP | 743312AB6 | NOTE 1.000% 4/1 | 3,123,000 | $3,225,937 | dollars as filed | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 1,300,000 | $2,870,810 | dollars as filed | principal |
| MIDDLEBY CORP | 596278AB7 | NOTE 1.000% 9/0 | 2,438,000 | $2,733,365 | dollars as filed | principal |
| NICE SYS INC | 65366HAB9 | BOND | 1,060,000 | $2,453,000 | dollars as filed | principal |
| IShares S&P 500 Index Fund | 464287952 | ETF | 25,000 | $2,217,250 | dollars as filed | put |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 2,145,000 | $2,113,116 | dollars as filed | principal |
| ENPHASE ENERGY INC | 29355AAF4 | BOND | 1,338,000 | $2,097,030 | dollars as filed | principal |
| NOBLE CORP PLC | G65431135 | *W EXP 02/04/202 | 59,490 | $1,894,136 | dollars as filed | |
| NEUROCRINE BIOSCIENCES INC | 64125CAD1 | NOTE 2.250% 5/1 | 1,271,000 | $1,885,846 | dollars as filed | principal |
| NVIDIA CORPORATION | 67066G954 | PUT | 4,000 | $1,739,960 | dollars as filed | put |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 24,688 | $1,719,272 | dollars as filed | |
| DOLLAR GEN CORP | 256677905 | CALL | 16,000 | $1,692,800 | dollars as filed | call |
| ZSCALER INC | 98980GAB8 | NOTE 0.125% 7/0 | 1,393,000 | $1,676,769 | dollars as filed | principal |
| MODERNA INC | 60770K957 | PUT | 14,000 | $1,446,060 | dollars as filed | put |
| VANECK ETF TRUST | 92189F906 | CALL | 52,300 | $1,407,393 | dollars as filed | call |
| NOBLE CORP PLC | G65431150 | WTS | 49,063 | $1,373,764 | dollars as filed | |
| FISKER INC | 33813J956 | PUT | 204,300 | $1,311,606 | dollars as filed | put |
| SURGEPAYS INC | 86882L113 | *W EXP 10/22/202 | 1,164,850 | $1,287,768 | dollars as filed | |
| SALESFORCE INC | 79466L952 | PUT | 6,000 | $1,216,680 | dollars as filed | put |
| ISHARES TR | 464287432 | 20 YR TR BD ETF | 12,500 | $1,108,875 | dollars as filed | |
| Apple Inc | 037833100 | COM | 5,500 | $941,655 | dollars as filed | |
| FORD MTR CO | 345370900 | CALL | 75,000 | $931,500 | dollars as filed | call |
| SPDR SERIES TRUST | 78464A958 | PUT | 22,000 | $918,940 | dollars as filed | put |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 517,000 | $911,580 | dollars as filed | principal |
| BANK HAWAII CORP | 062540959 | PUT | 18,000 | $894,420 | dollars as filed | put |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 46,425 | $873,486 | dollars as filed | |
| BLOOMIN BRANDS INC | 094235AB4 | NOTE 5.000% 5/0 | 393,000 | $869,680 | dollars as filed | principal |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 12,150 | $828,730 | dollars as filed | |
| MONTEREY CAP ACQUISITION COR | 61244M109 | CLASS A COM | 75,052 | $798,553 | dollars as filed | |
| ATLANTIC COASTAL ACQUISTN CO | 048453104 | CLASS A COM | 76,402 | $798,401 | dollars as filed | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 10,144 | $784,080 | dollars as filed | |
| RIVIAN AUTOMOTIVE INC | 76954A903 | COM CL A | 32,000 | $776,960 | dollars as filed | call |
| EXCELFIN ACQUISITION CORP | 30069X102 | COM CL A | 72,617 | $772,645 | dollars as filed | |
| EON RESOURCES INC | 40472A102 | COM CL A | 70,068 | $759,537 | dollars as filed | |
| WESTERN ALLIANCE BANCORP | 957638959 | COM | 15,800 | $726,326 | dollars as filed | put |
| ATLANTIC COASTAL AQSTN CORP | 04845A108 | COM | 68,317 | $722,794 | dollars as filed | |
| BROAD CAPITAL ACQUISITION CO | 11125B102 | COM | 65,103 | $716,133 | dollars as filed | |
| ISHARES SILVER TR | 46428Q909 | CALL | 35,000 | $711,900 | dollars as filed | call |
| 99 ACQUISITION GROUP INC | 65445K200 | UNIT 99/99/9999 | 68,300 | $707,588 | dollars as filed | |
| Oak Woods Acquisition Corp | 67190B104 | Equity | 65,000 | $679,575 | dollars as filed | |
| ACRI CAPITAL ACQUISITION COR | 00501A101 | COM CL A | 55,096 | $603,577 | dollars as filed | |
| ISHARES TR | 46432F956 | Option | 4,000 | $558,800 | dollars as filed | put |
| RBC BEARINGS INC | 75524B203 | CONV | 5,000 | $552,275 | dollars as filed | |
| GLOBAL STAR ACQUISITION-CL A | 37962G102 | COM | 48,562 | $516,700 | dollars as filed | |
| PHP Ventures Acquisition Corp | 69291C106 | COM | 45,666 | $499,586 | dollars as filed | |
| SIRIUSPOINT LTD | G8192H106 | COM | 48,755 | $495,838 | dollars as filed | |
| SIRIUSPOINT LTD | G8192H956 | COM | 48,700 | $495,279 | dollars as filed | put |
| COMPOSECURE INC | 20459V113 | *W EXP 12/27/202 | 740,622 | $481,404 | dollars as filed | |
| KEEN VISION ACQUISITION CORP | G52443119 | SHS | 46,000 | $467,820 | dollars as filed | |
| NVIDIA CORPORATION | 67066G904 | CALL | 1,000 | $434,990 | dollars as filed | call |
| QOMOLANGMA ACQUISITION CORP | 74738V105 | COM | 37,871 | $402,190 | dollars as filed | |
| EVEREST CONSOLIDATOR ACQ COR | 29978K102 | COM | 37,045 | $400,827 | dollars as filed | |
| BARCLAYS BANK PLC | 06748F904 | COM | 17,000 | $396,440 | dollars as filed | call |
| ZALATORIS ACQUISITION CORP | 89301B104 | COM CL A | 36,602 | $385,785 | dollars as filed | |
| ESH ACQUISITION CORP | 296424104 | COM CL A | 37,604 | $380,552 | dollars as filed | |
| FORD MTR CO | 345370950 | PUT | 30,000 | $372,600 | dollars as filed | put |
| DATADOG INC | 23804LAB9 | NOTE 0.125% 6/1 | 308,000 | $362,781 | dollars as filed | principal |
| EXPAND ENERGY CORPORATION | 165167172 | *W EXP 02/09/202 | 4,743 | $348,207 | dollars as filed | |
| AQUARON ACQUISITION CORP | 03842W105 | COMMON STOCK | 32,253 | $340,914 | dollars as filed | |
| INCEPTION GROWTH ACQUSTN LTD | 45333D104 | COM | 30,428 | $323,145 | dollars as filed | |
| MODERNA INC | 60770K107 | COM | 3,000 | $309,930 | dollars as filed | |
| TARGET HOSPITALITY CORP | 87615L115 | *W EXP 03/15/202 | 60,325 | $308,261 | dollars as filed | |
| REDWOODS ACQUISITION CORP | 758083109 | COM | 28,519 | $304,440 | dollars as filed | |
| CETUS CAP ACQUISITION CORP | 15719Y105 | CLASS A COM | 27,137 | $283,853 | dollars as filed | |
| ALPHA STAR ACQUISITION CORP | G0230C108 | ORDINARY SHARES | 24,828 | $272,487 | dollars as filed | |
| PONO CAP THREE INC | G71704103 | ORD SHS CL A | 25,300 | $266,915 | dollars as filed | |
| AP ACQUISITION CORP | G04058106 | CL A ORD SHS | 23,027 | $252,952 | dollars as filed | |
| TRAILBLAZER MERGER CORP I | 89278D109 | CL A | 22,877 | $236,319 | dollars as filed | |
| UNITED STS NAT GAS FD LP | 912318900 | COM | 34,000 | $232,220 | dollars as filed | call |
| CANTALOUPE INC | 138103906 | CALL | 34,900 | $218,125 | dollars as filed | call |
| DIRECT DIGITAL HOLDINGS INC | 25461T113 | *W EXP 02/15/202 | 180,377 | $216,452 | dollars as filed | |
| SPDR SERIES TRUST | 78464A698 | ST STR SP REGBNK | 5,000 | $208,800 | dollars as filed | |
| RENEW ENERGY GLOBAL PLC | G7500M120 | WTS | 278,328 | $208,746 | dollars as filed | |
| GOLDENSTONE ACQUISITION LTD COM | 38136Y102 | Rights | 19,090 | $204,645 | dollars as filed | |
| ON SEMICONDUCTOR CORP | 682189AS4 | NOTE 5/0 | 111,000 | $200,131 | dollars as filed | principal |
| SOUTHWESTERN ENERGY CO | 845467909 | COM | 30,000 | $193,500 | dollars as filed | call |
| RF ACQUISITION CORP | 74954L104 | COM | 18,006 | $191,764 | dollars as filed | |
| REVELSTONE CAPITAL ACQSTN CO | 76137R106 | CLASS A COM | 18,007 | $191,414 | dollars as filed | |
| VISION SENSING ACQUISITION C | 92838J103 | COM | 17,429 | $190,150 | dollars as filed | |
| PAPAYA GRWT OPPORTUNITY CORP | 69882P102 | COM | 15,287 | $163,800 | dollars as filed | |
| FOUR LEAF ACQUISITION CORP | 35088F107 | COM CL A | 15,152 | $158,944 | dollars as filed | |
| CANTALOUPE INC | 138103956 | PUT | 24,600 | $153,750 | dollars as filed | put |
| BUKIT JALIL GBL ACQUISITION ORD SHS | G1676M105 | Warrant | 13,740 | $141,934 | dollars as filed | |
| KWESST MICRO SYSTEMS INC | 501506604 | COM NEW | 90,000 | $139,500 | dollars as filed | |
| STRATASYS LTD | M85548951 | SHS | 10,000 | $136,100 | dollars as filed | put |
| NEOVOLTA INC | 640655114 | *W EXP 04/01/202 | 207,627 | $130,805 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 439,138 | $130,041 | dollars as filed | |
| LIVENT CORP | 53814LAB4 | BOND | 55,000 | $119,404 | dollars as filed | principal |
| FISKER INC | 33813J106 | CL A COM STK | 18,000 | $116,010 | dollars as filed | |
| ISRAEL ACQUISITIONS CORP | G49667101 | CLASS A ORD | 10,850 | $114,522 | dollars as filed | |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 106,000 | $110,735 | dollars as filed | principal |
| BOWEN ACQUISITION CORP | G12729110 | SHS | 10,000 | $102,000 | dollars as filed | |
| PODCASTONE INC | 22275C105 | COM | 42,252 | $80,834 | dollars as filed | |
| DIRECT DIGITAL HOLDINGS INC | 25461T105 | CLASS A COM | 29,867 | $76,460 | dollars as filed | |
| PETVIVO HLDGS INC | 716817119 | *W EXP 08/13/202 | 224,501 | $74,085 | dollars as filed | |
| JOBY AVIATION INC | G65163118 | *W EXP 08/10/202 | 58,400 | $72,416 | dollars as filed | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 20,500 | $65,204 | dollars as filed | |
| TALKSPACE INC | 87427V111 | *W EXP 06/21/202 | 534,441 | $63,752 | dollars as filed | |
| APPTECH PMTS CORP | 03834B127 | *W EXP 01/04/202 | 83,029 | $61,441 | dollars as filed | |
| PYXIS TANKERS INC | Y71726122 | *W EXP 10/13/202 | 56,828 | $57,939 | dollars as filed | |
| AZITRA INC | 05479L104 | COM | 35,000 | $52,500 | dollars as filed | |
| ALLIANCE ENTERTAINMENT HOLDI | 01861F102 | COM CLASS A | 47,000 | $52,170 | dollars as filed | |
| FUNDAMENTAL GLOBAL INC | 30329Y106 | COMMON | 37,146 | $52,004 | dollars as filed | |
| SkyAI Inc | 82003F119 | *W EXP 4/13/202 | 492,755 | $51,986 | dollars as filed | |
| TINGO GROUP INC | 55328R959 | COM | 50,000 | $51,250 | dollars as filed | put |
| KWESST MICRO SYSTEMS INC | 501506133 | *W EXP 09/01/202 | 192,529 | $46,014 | dollars as filed | |
| ZIVO BIOSCIENCE INC | 98978N119 | *W EXP 06/02/202 | 100,975 | $45,237 | dollars as filed | |
| MIRION TECHNOLOGIES INC | 60471A119 | *W EXP 10/20/202 | 30,096 | $40,630 | dollars as filed | |
| Bullfrog AI Holdings Inc | 12021E117 | Warrant | 66,718 | $37,809 | dollars as filed | |
| ASCENT SOLAR TECHNOLOGIES IN | 043635705 | COM NEW | 20,000 | $35,800 | dollars as filed | |
| NEXTPLAT CORP | 68557F118 | *W EXP 06/02/202 | 61,609 | $35,567 | dollars as filed | |
| CLEARMIND MEDICINE INC | 185053204 | COM NEW | 220,000 | $35,200 | dollars as filed | |
| FOREMOST CLEAN ENERGY LTD | 345510119 | *W EXP 08/24/202 | 56,136 | $33,126 | dollars as filed | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 63,856 | $31,449 | dollars as filed | |
| STRONG GLOBAL ENTMT INC | 86335G109 | CL A COM VOTING | 14,561 | $30,578 | dollars as filed | |
| UPEXI INC | 39959A106 | COMMON | 17,199 | $29,754 | dollars as filed | |
| TENON MEDICAL INC | 88066N113 | *W EXP 06/16/202 | 664,292 | $27,103 | dollars as filed | |
| SAVERONE 2014 LTD | 80516T113 | *W EXP 06/02/202 | 198,769 | $26,963 | dollars as filed | |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 28,000 | $26,003 | dollars as filed | principal |
| ONFOLIO HOLDINGS INC | 68277K124 | *W EXP 01/02/202 | 193,785 | $25,851 | dollars as filed | |
| EDIBLE GARDEN AG INC | 28059P204 | COM | 34,486 | $25,651 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 24,000 | $24,083 | dollars as filed | principal |
| BRANCHOUT FOOD INC | 105230106 | COM | 10,369 | $21,775 | dollars as filed | |
| BT BRANDS INC | 0557MQ115 | *W EXP 11/12/202 | 136,459 | $20,476 | dollars as filed | |
| TERRAN ORBITAL CORPORATION | 88105P103 | COM | 24,250 | $20,125 | dollars as filed | |
| FGI INDUSTRIES LTD | G3302D111 | *W EXP 99/99/999 | 121,152 | $20,008 | dollars as filed | |
| ESPERION THERAPEUTICS INC NE | 29664W905 | COM | 20,000 | $19,600 | dollars as filed | call |
| WORKSPORT LTD | 98139Q118 | *W EXP 08/06/202 | 78,291 | $19,565 | dollars as filed | |
| Apollomics Inc W Exp 04/01/202 | G0411D115 | SPAC Combination | 390,208 | $19,498 | dollars as filed | |
| P3 HEALTH PARTNERS INC | 744413105 | COM CL A | 12,000 | $17,640 | dollars as filed | |
| CINEVERSE CORP | 172406308 | COM CL A | 14,952 | $17,492 | dollars as filed | |
| NAVIDEA BIOPHARMACEUTICALS INC | 63937x202 | COM | 194,997 | $17,491 | dollars as filed | |
| SPLASH BEVERAGE GROUP INC | 84862C112 | *W EXP 06/15/202 | 170,733 | $17,073 | dollars as filed | |
| ASP ISOTOPES INC | 00218A105 | COM | 17,000 | $16,150 | dollars as filed | |
| KNOW LABS INC | 499238103 | COM NEW | 60,000 | $15,006 | dollars as filed | |
| WEARABLE DEVICES LTD | M97838110 | *W EXP 09/14/202 | 125,500 | $14,897 | dollars as filed | |
| NXU INC | 62956D105 | COM | 69,500 | $13,740 | dollars as filed | |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 40,994 | $13,393 | dollars as filed | |
| MOBILICOM LTD | 60742B110 | *W EXP 08/31/202 | 90,000 | $12,947 | dollars as filed | |
| ESPERION THERAPEUTICS INC NEW COM | 29664W105 | Stock | 13,000 | $12,796 | dollars as filed | |
| INUVO INC | 46122W204 | COM NEW | 54,595 | $11,683 | dollars as filed | |
| HEARTBEAM INC | 42238H116 | *W EXP 10/31/202 | 58,346 | $11,669 | dollars as filed | |
| NEUROSENSE THERAPEUTICS LTD | M74240116 | *W EXP 11/10/202 | 76,109 | $11,040 | dollars as filed | |
| WTS/LION ELECTRIC EXP12/13/2027 | 536221120 | WARR | 21,000 | $10,952 | dollars as filed | |
| IVEDA SOLUTIONS INC | 46583A113 | *W EXP 04/01/202 | 49,413 | $10,821 | dollars as filed | |
| STRAN & COMPANY INC | 86260J110 | *W EXP 99/99/999 | 181,824 | $10,637 | dollars as filed | |
| 60 DEGREES PHARMACEUTICALS I | 83006G112 | *W EXP 07/12/202 | 29,515 | $10,330 | dollars as filed | |
| PAGAYA TECHNOLOGIES LTD | M7S64L107 | WTS | 30,000 | $10,140 | dollars as filed | |
| VBI VACCINES INC | 91822J202 | Foreign Stock | 15,000 | $9,993 | dollars as filed | |
| AINOS INC | 00902F113 | *W EXP 07/29/202 | 30,295 | $9,909 | dollars as filed | |
| INCEPTION GR -23 EQUITY | 45333D112 | COM | 89,900 | $8,990 | dollars as filed | |
| BIO-PATH HLDGS INC | 09057N300 | COM | 24,000 | $8,880 | dollars as filed | |
| ZURA BIO LTD | G9TY5A119 | YW EXP 99/99/999 | 25,818 | $8,778 | dollars as filed | |
| MARIS TECH LTD | M68057112 | *W EXP 02/04/202 | 199,900 | $8,776 | dollars as filed | |
| LITHIA MTRS INC COM | 92561V117 | COM | 112,000 | $8,590 | dollars as filed | |
| NETCAPITAL INC | 64113L103 | COM | 20,000 | $8,200 | dollars as filed | |
| CF ACQUISITION CORP VIII | 12520C117 | *W EXP 03/31/202 | 32,401 | $8,100 | dollars as filed | |
| AEON BIOPHARMA INC | 00791X118 | *W EXP 07/21/202 | 53,500 | $8,025 | dollars as filed | |
| GLUCOTRACK INC COM NEW | 45824Q507 | Stock | 30,000 | $7,875 | dollars as filed | |
| CEA INDUSTRIES INC | 86887P119 | *W EXP 02/11/202 | 207,084 | $7,621 | dollars as filed | |
| NETCAPITAL INC | 64113L111 | *W EXP 07/12/202 | 145,287 | $7,417 | dollars as filed | |
| Bridger Aerospace Grp Hldgs W Exp 01/24/202 | 96812F110 | SPAC Combination | 25,200 | $7,308 | dollars as filed | |
| THARIMMUNE INC | 432705101 | COM | 36,000 | $7,200 | dollars as filed | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 58,874 | $7,065 | dollars as filed | |
| COMERA LIFE SCIENCES HLDGS I | 20037C116 | *W EXP 03/15/202 | 300,000 | $6,510 | dollars as filed | |
| Aurora Innovation Inc W Exp 11/03/202 | 051774115 | SPAC Combination | 20,000 | $6,400 | dollars as filed | |
| NOGIN INC | 65528N204 | COM NEW | 11,500 | $6,107 | dollars as filed | |
| MEDICENNA THERAPEUTICS F | 58490H107 | FOREIGN CANADIAN | 20,000 | $5,898 | dollars as filed | |
| PALISADE BIO INC | 696389204 | COM | 10,000 | $5,820 | dollars as filed | |
| SOLIGENIX INC | 834223505 | COM NEW | 10,000 | $5,575 | dollars as filed | |
| PROTAGENIC THERAPEUTICS INC | 74365N111 | *W EXP 04/26/202 | 177,196 | $5,316 | dollars as filed | |
| TRANSCODE THERAPEUTICS INC | 89357L204 | COM NEW | 10,000 | $5,027 | dollars as filed | |
| Semantix, Inc | G6332A114 | Warrant | 102,119 | $4,763 | dollars as filed | |
| Arogo Capital Acquisition Corp | 042644112 | Warrant | 90,000 | $4,518 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L112 | WTS | 316,872 | $4,468 | dollars as filed | |
| NEXALIN TECHNOLOGY INC | 65345B110 | *W EXP 99/99/999 | 177,383 | $4,435 | dollars as filed | |
| CERBERUS CYBER SENTINEL CORP | 15672X102 | COM | 31,117 | $4,356 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L104 | COMMON | 16,500 | $4,336 | dollars as filed | |
| ENERGEM CORP | G30449121 | *W EXP 11/15/202 | 90,000 | $4,275 | dollars as filed | |
| Beneficient W Exp 06/07/202 | 08178Q119 | SPAC Combination | 110,000 | $4,235 | dollars as filed | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 11,500 | $4,127 | dollars as filed | |
| Cingulate Inc W Exp 12/10/202 | 17248W113 | Warrant | 23,905 | $3,944 | dollars as filed | |
| PASITHEA THERAPEUTICS CORP | 70261F111 | *W EXP 08/12/202 | 289,868 | $3,799 | dollars as filed | |
| INFINTT ACQUISITION CORP | g47862126 | WT | 90,100 | $3,392 | dollars as filed | |
| ACLARION INC | 655187110 | *W EXP 04/21/202 | 42,957 | $3,222 | dollars as filed | |
| NEXGEL INC | 65344E115 | *W EXP 12/27/202 | 10,000 | $3,050 | dollars as filed | |
| BOA ACQUISITION CORP | g8059b119 | WT | 217,025 | $2,950 | dollars as filed | |
| FAT PROJECTS ACQUISITION COR | G3400W110 | *W EXP 08/31/202 | 85,000 | $2,911 | dollars as filed | |
| NORTHVIEW ACQUISITION CORP | 66718N111 | *W EXP 08/02/202 | 77,770 | $2,877 | dollars as filed | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 40,875 | $2,575 | dollars as filed | |
| DUNE ACQUISITION CORP | 265334110 | *W EXP 10/29/202 | 36,300 | $2,541 | dollars as filed | |
| HUB CYBER SECURITY LTD | M6000J101 | ORD SHS | 10,000 | $2,340 | dollars as filed | |
| PINSTRIPES HOLDINGS INC | 06690B115 | *W EXP 09/30/202 | 12,200 | $2,214 | dollars as filed | |
| MICROCLOUD HOLOGRAM INC | G55032125 | *W EXP 01/31/202 | 55,000 | $2,206 | dollars as filed | |
| BANNIX ACQUISITION CORP | 066644113 | *W EXP 07/31/202 | 85,700 | $2,143 | dollars as filed | |
| BIOAFFINITY TECHNOLOGIES INC | 09076W117 | *W EXP 09/07/202 | 22,926 | $2,091 | dollars as filed | |
| ACCRETION ACQUISITION CORP | 00438Y115 | *W EXP 03/01/202 | 87,348 | $1,974 | dollars as filed | |
| RAIL VISION LTD | M8186D114 | *W EXP 03/27/202 | 50,000 | $1,750 | dollars as filed | |
| CANNA-GLOBAL ACQUISITION CORP | 13767k119 | WT | 90,100 | $1,586 | dollars as filed | |
| KAIROUS ACQUISITION CORP LTD | G52131128 | *W EXP 09/15/202 | 78,977 | $1,580 | dollars as filed | |
| AESTHER HC -CW23 EQUITY | 67644C112 | COM | 10,000 | $1,514 | dollars as filed | |
| SEQLL INC | 81734C114 | *W EXP 08/31/202 | 56,000 | $1,406 | dollars as filed | |
| CUSTOM TRUCK ONE SOURCE INC | 23204X111 | WARRANT | 15,000 | $1,199 | dollars as filed | |
| Anghami Inc W Exp 02/03/202 | G0369L119 | SPAC Combination | 40,409 | $1,192 | dollars as filed | |
| Keen Vision Acquisition Corp W Exp 03/15/202 | G52443127 | SPACS Warrant | 20,500 | $1,128 | dollars as filed | |
| HUB CYBER SECURITY LTD | M6000J127 | WTS | 100,000 | $1,050 | dollars as filed | |
| BUZZFEED INC | 12430A110 | *W EXP 12/03/202 | 19,778 | $979 | dollars as filed | |
| SPREE ACQUISITION 1 CORP LTD | g83745128 | WT | 23,576 | $885 | dollars as filed | |
| EDIBLE GARDEN AG INC | 28059P113 | *W EXP 99/99/999 | 30,426 | $767 | dollars as filed | |
| SMX SEC MATTERS PLC | G8267K117 | *W EXP 03/07/202 | 53,261 | $607 | dollars as filed | |
| AGRIFORCE GROWING SYSTEMS LT | C00948114 | *W EXP 07/12/202 | 28,879 | $575 | dollars as filed | |
| HARBOR CUSTOM DEVELOPMENT IN | 41150T124 | *W EXP 10/07/202 | 55,000 | $545 | dollars as filed | |
| DERMATA THERAPEUTICS INC | 249845116 | *W EXP 99/99/999 | 30,000 | $525 | dollars as filed | |
| Thunder Power Holdings Inc | 31561T110 | Warrant | 20,796 | $468 | dollars as filed | |
| Alpha Star Acquisition Corp | G0230C116 | WARRANT | 40,000 | $400 | dollars as filed | |
| Embrace Change Acquisition Corp | G3034H125 | Warrant | 12,500 | $313 | dollars as filed | |
| MOBIQUITY TECHNOLOGIES INC | 60743F128 | *W EXP 12/03/202 | 33,057 | $122 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001597506-23-000004 | this filing | 2023-11-13 | acceptance time not in the bulk data set |