13F-HR filed by Warberg Asset Management LLC
Warberg Asset Management LLC filed this 13F-HR for the quarter ended 2023-12-31, filed 2024-02-07, with 232 holding rows worth $527,977,632.
- Accession
- 0001597506-24-000003
- Filer
- CIK 1597506
- Filed
- 2024-02-07
- Accepted by EDGAR
- acceptance time not in the bulk data set
- Ingested
- Source
- SEC quarterly data set
13F report for Q4 2023
A holdings report, 233 entries on the cover page, a total value of $527,977,632 stated on the cover page (in dollars after the unit check, H1), rows summing to $527,977,632 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 | 305,000 | $144,969,550 | dollars as filed | put |
| OCCIDENTAL PETE CORP WT EXP 080327 | 674599162 | Stock | 1,024,720 | $38,780,528 | dollars as filed | |
| PALO ALTO NETWORKS INC | 697435AF2 | NOTE 0.375% 6/0 | 11,518,000 | $34,144,996 | dollars as filed | principal |
| INVESCO QQQ TR | 46090E953 | PUT | 70,000 | $28,666,400 | dollars as filed | put |
| UNITED STATES STL CORP | 912909AT5 | NOTE 5.000%11/0 | 6,552,000 | $23,836,176 | dollars as filed | principal |
| MICROCHIP TECHNOLOGY INC. | 595017AF1 | NOTE 1.625% 2/1 | 6,466,000 | $16,714,610 | dollars as filed | principal |
| INTERDIGITAL INC | 45867GAB7 | BOND | 9,247,000 | $12,369,111 | dollars as filed | principal |
| ALTAIR ENGR INC | 021369AA1 | BOND | 6,702,000 | $12,069,775 | dollars as filed | principal |
| CHART INDS INC | 16115QAE0 | NOTE 1.000%11/1 | 5,035,000 | $11,743,874 | dollars as filed | principal |
| BOOKING HOLDINGS INC | 09857LAN8 | NOTE 0.750% 5/0 | 5,289,000 | $9,988,991 | dollars as filed | principal |
| HUBSPOT INC | 443573AD2 | NOTE 0.375% 6/0 | 4,592,000 | $9,547,030 | dollars as filed | principal |
| CONMED CORP | 207410AF8 | BOND | 7,538,000 | $9,304,983 | dollars as filed | principal |
| REPLIGEN CORP | 759916AB5 | BOND | 5,864,000 | $9,199,854 | dollars as filed | principal |
| RH | 74967XAD5 | CV | 6,000,000 | $8,542,500 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAJ0 | NOTE 0.125% 5/0 | 6,504,000 | $8,267,755 | dollars as filed | principal |
| NRG ENERGY INC | 629377CG5 | DBCV 2.750% 6/0 | 6,291,000 | $8,116,994 | dollars as filed | principal |
| LIVENT CORP | 53814LAB4 | BOND | 3,850,000 | $8,082,455 | dollars as filed | principal |
| MONGODB INC | 60937PAD8 | NOTE 0.250% 1/1 | 3,655,000 | $7,233,245 | dollars as filed | principal |
| MICROSTRATEGY INC | 594972AC5 | NOTE 0.750%12/1 | 4,250,000 | $7,027,906 | dollars as filed | principal |
| PARSONS CORP DEL | 70202LAB8 | BOND | 4,706,000 | $6,749,133 | dollars as filed | principal |
| ETSY INC | 29786AAJ5 | NOTE 0.125%10/0 | 5,332,000 | $6,149,902 | dollars as filed | principal |
| ATI INC | 01741RAK8 | BOND | 1,966,000 | $5,824,676 | dollars as filed | principal |
| INTERDIGITAL INC | 45867GAD3 | NOTE 3.500% 6/0 | 2,923,000 | $4,293,171 | dollars as filed | principal |
| BOX INC | 10316TAB0 | NOTE 1/1 | 3,797,000 | $4,244,040 | dollars as filed | principal |
| PROGRESS SOFTWARE CORP | 743312AB6 | NOTE 1.000% 4/1 | 3,923,000 | $4,142,688 | dollars as filed | principal |
| ON SEMICONDUCTOR CORP | 682189AS4 | NOTE 5/0 | 2,487,000 | $4,075,260 | dollars as filed | principal |
| DATADOG INC | 23804LAB9 | NOTE 0.125% 6/1 | 2,733,000 | $3,821,827 | dollars as filed | principal |
| WORKIVA INC | 98139AAB1 | NOTE 1.125% 8/1 | 2,742,000 | $3,774,020 | dollars as filed | principal |
| SEA LTD | 81141RAD2 | NOTE 1.000%12/0 | 3,500,000 | $3,731,875 | dollars as filed | principal |
| BLOOMIN BRANDS INC | 094235AB4 | NOTE 5.000% 5/0 | 1,259,000 | $3,192,352 | dollars as filed | principal |
| HERTZ GLOBAL HLDGS INC | 42806J148 | *W EXP 06/30/205 | 555,380 | $3,043,482 | dollars as filed | |
| MIDDLEBY CORP | 596278AB7 | NOTE 1.000% 9/0 | 2,450,000 | $2,989,760 | dollars as filed | principal |
| IShares S&P 500 Index Fund | 464287952 | ETF | 30,000 | $2,966,400 | dollars as filed | put |
| PIONEER NAT RES CO | 723787AP2 | NOTE 0.250% 5/1 | 1,122,000 | $2,731,756 | dollars as filed | principal |
| SURGEPAYS INC | 86882L113 | *W EXP 10/22/202 | 1,097,313 | $2,304,357 | dollars as filed | |
| ARES CAPITAL CORP | 04010LAW3 | NOTE 4.625% 3/0 | 2,149,000 | $2,221,539 | dollars as filed | principal |
| ZSCALER INC | 98980GAB8 | NOTE 0.125% 7/0 | 1,454,000 | $2,209,891 | dollars as filed | principal |
| APPLE INC | 037833950 | PUT | 10,000 | $1,925,300 | dollars as filed | put |
| NOBLE CORP PLC | G65431135 | *W EXP 02/04/202 | 58,791 | $1,741,977 | dollars as filed | |
| VANECK ETF TRUST | 92189F906 | CALL | 52,000 | $1,612,520 | dollars as filed | call |
| COINBASE GLOBAL INC | 19260Q957 | PUT | 9,000 | $1,565,280 | dollars as filed | put |
| NOBLE CORP PLC | G65431150 | WTS | 55,936 | $1,449,973 | dollars as filed | |
| INVESCO ACTIVELY MANAGED EXC | 46090A887 | ULTRA SHRT DUR | 27,381 | $1,365,764 | dollars as filed | |
| EXPAND ENERGY CORPORATION | 165167180 | *W EXP 02/09/202 | 23,060 | $1,365,729 | dollars as filed | |
| EPR PPTYS | 26884U208 | PFD C CV 5.75% | 59,232 | $1,261,642 | dollars as filed | |
| CYBERARK SOFTWARE LTD | 23248VAB1 | NOTE 11/1 | 775,000 | $1,098,156 | dollars as filed | principal |
| NVIDIA CORPORATION | 67066G954 | PUT | 2,000 | $990,440 | dollars as filed | put |
| NEW ENGLAND RLTY ASSOC LTD P | 644206104 | DEPOSITRY RCPT | 13,700 | $954,890 | dollars as filed | |
| BANK HAWAII CORP | 062540959 | PUT | 13,000 | $941,980 | dollars as filed | put |
| ATLANTIC COASTAL ACQUISTN CO | 048453104 | CLASS A COM | 77,825 | $824,167 | dollars as filed | |
| CF ACQUISITION CORP VII | 12521H107 | COM | 72,331 | $786,238 | dollars as filed | |
| SAREPTA THERAPEUTICS INC | 803607AB6 | DBCV 1.500%11/1 | 550,000 | $781,204 | dollars as filed | principal |
| BURLINGTON STORES INC | 122017906 | COM | 4,000 | $777,920 | dollars as filed | call |
| EVEREST CONSOLIDATOR ACQ COR | 29978K102 | COM | 70,530 | $771,598 | dollars as filed | |
| APPLE INC | 037833900 | CALL | 4,000 | $770,120 | dollars as filed | call |
| NOBLE CORP PLC | G65431957 | ORD SHS A | 15,700 | $756,112 | dollars as filed | put |
| GLOBAL STAR ACQUISITION-CL A | 37962G102 | COM | 70,608 | $749,151 | dollars as filed | |
| HUDSON ACQUISITION I CORP | 44364H100 | COMMON STOCK | 70,039 | $742,413 | dollars as filed | |
| ACRI CAPITAL ACQUISITION COR | 00501A101 | COM CL A | 65,468 | $724,731 | dollars as filed | |
| EXPAND ENERGY CORPORATION | 165167164 | *W EXP 02/09/202 | 10,379 | $699,908 | dollars as filed | |
| BARCLAYS BANK PLC | 06748F904 | COM | 45,000 | $698,400 | dollars as filed | call |
| 99 ACQUISITION GROUP INC | 65445K101 | CL A | 68,300 | $695,977 | dollars as filed | |
| Quetta Acquisition Corp Com | 74841A105 | Common Stock | 68,700 | $694,557 | dollars as filed | |
| Oak Woods Acquisition Corp | 67190B104 | Equity | 65,000 | $684,450 | dollars as filed | |
| MONTEREY CAP ACQUISITION COR | 61244M109 | CLASS A COM | 62,461 | $678,326 | dollars as filed | |
| RBC BEARINGS INC | 75524B203 | CONV | 5,054 | $656,060 | dollars as filed | |
| CARVANA CO | 146869952 | CALL | 12,000 | $635,280 | dollars as filed | put |
| CARVANA CO | 146869902 | CALL | 12,000 | $635,280 | dollars as filed | call |
| WHIRLPOOL CORP | 963320906 | COM | 5,000 | $608,850 | dollars as filed | call |
| CROWN PROPTECH ACQUISITIONS | G25741102 | SHS CL A | 56,813 | $605,058 | dollars as filed | |
| MODERNA INC | 60770K957 | PUT | 6,000 | $596,700 | dollars as filed | put |
| FORD MTR CO | 345370900 | CALL | 45,000 | $548,550 | dollars as filed | call |
| ISHARES SILVER TR | 46428Q909 | CALL | 25,000 | $544,500 | dollars as filed | call |
| FOUR LEAF ACQUISITION CORP | 35088F107 | COM CL A | 50,845 | $534,381 | dollars as filed | |
| ABERCROMBIE & FITCH CO | 002896957 | PUT | 6,000 | $529,320 | dollars as filed | put |
| SALESFORCE INC | 79466L952 | PUT | 2,000 | $526,280 | dollars as filed | put |
| PHP Ventures Acquisition Corp | 69291C106 | COM | 46,719 | $518,114 | dollars as filed | |
| BITE ACQUISITION CORP | 09175K105 | COMMON STOCK | 48,790 | $516,686 | dollars as filed | |
| DIRECT SELLING ACQUISITIN CO | 25460L103 | COM | 47,356 | $515,702 | dollars as filed | |
| WESTERN DIGITAL CORP. | 958102AP0 | NOTE 1.500% 2/0 | 504,000 | $501,838 | dollars as filed | principal |
| AKAMAI TECHNOLOGIES INC | 00971TAL5 | NOTE 0.375% 9/0 | 448,000 | $500,741 | dollars as filed | principal |
| INCEPTION GROWTH ACQUSTN LTD | 45333D104 | COM | 45,792 | $488,138 | dollars as filed | |
| NEXTERA ENERGY INC | 65339F901 | CALL | 8,000 | $485,920 | dollars as filed | call |
| KEEN VISION ACQUISITION CORP | G52443119 | SHS | 46,000 | $475,870 | dollars as filed | |
| FORD MTR CO | 345370CZ1 | NOTE 3/1 | 429,000 | $427,175 | dollars as filed | principal |
| RENEW ENERGY GLOBAL PLC | G7500M120 | WTS | 371,067 | $423,016 | dollars as filed | |
| WESTERN ALLIANCE BANCORP | 957638959 | COM | 6,000 | $394,740 | dollars as filed | put |
| ZALATORIS ACQUISITION CORP | 89301B104 | COM CL A | 36,602 | $391,092 | dollars as filed | |
| AQUARON ACQUISITION CORP | 03842W105 | COMMON STOCK | 36,183 | $386,434 | dollars as filed | |
| ESH ACQUISITION CORP | 296424104 | COM CL A | 37,604 | $384,877 | dollars as filed | |
| BLACKSTONE MORTGAGE TRUST IN | 09257W950 | COM CL A | 18,000 | $382,860 | dollars as filed | put |
| IRON HORSE ACQUISITIONS CORP | 462837204 | UNIT 10/15/2028 | 36,267 | $364,121 | dollars as filed | |
| CANTALOUPE INC | 138103906 | CALL | 49,000 | $363,090 | dollars as filed | call |
| PLUTONIAN ACQUISITION CORP | 72942P104 | COM | 33,473 | $356,153 | dollars as filed | |
| STRATASYS LTD | M85548901 | SHS | 23,200 | $331,296 | dollars as filed | call |
| FISKER INC | 33813J956 | PUT | 186,100 | $325,675 | dollars as filed | put |
| CATCHA INVESTMENT CORP | G1962Y102 | SHS CL A | 28,529 | $318,241 | dollars as filed | |
| RIVIAN AUTOMOTIVE INC | 76954A903 | COM CL A | 13,000 | $304,980 | dollars as filed | call |
| COMPOSECURE INC | 20459V113 | *W EXP 12/27/202 | 773,729 | $288,678 | dollars as filed | |
| ALTENERGY ACQUISITION CORP | 02157M108 | COM | 26,221 | $285,547 | dollars as filed | |
| BLOCK INC | 852234AF0 | NOTE 0.125% 3/0 | 286,000 | $280,373 | dollars as filed | principal |
| DOLLAR GEN CORP | 256677905 | CALL | 2,000 | $271,900 | dollars as filed | call |
| ALPHA STAR ACQUISITION CORP | G0230C108 | ORDINARY SHARES | 24,196 | $271,237 | dollars as filed | |
| LENNAR CORP CL B | 526057302 | Stock | 2,000 | $268,100 | dollars as filed | |
| ARK ETF TR | 00214Q954 | PUT | 5,000 | $261,850 | dollars as filed | put |
| AP ACQUISITION CORP | G04058106 | CL A ORD SHS | 23,027 | $256,291 | dollars as filed | |
| SOUTHWESTERN ENERGY CO | 845467909 | COM | 37,000 | $242,350 | dollars as filed | call |
| DELCATH SYS INC | 24661P907 | COM NEW | 57,600 | $239,616 | dollars as filed | call |
| TRAILBLAZER MERGER CORP I | 89278D109 | CL A | 22,877 | $239,293 | dollars as filed | |
| JOBY AVIATION INC | G65163118 | *W EXP 08/10/202 | 182,289 | $222,939 | dollars as filed | |
| GOLDENSTONE ACQUISITION LTD COM | 38136Y102 | Rights | 19,090 | $205,886 | dollars as filed | |
| EXPAND ENERGY CORPORATION | 165167172 | *W EXP 02/09/202 | 3,165 | $201,737 | dollars as filed | |
| CETUS CAP ACQUISITION CORP | 15719Y105 | CLASS A COM | 18,668 | $196,014 | dollars as filed | |
| CANTALOUPE INC | 138103956 | PUT | 24,600 | $182,286 | dollars as filed | put |
| VISION SENSING ACQUISITION C | 92838J103 | COM | 16,368 | $180,948 | dollars as filed | |
| PAPAYA GRWT OPPORTUNITY CORP | 69882P102 | COM | 15,287 | $164,641 | dollars as filed | |
| AIMEI HEALTH TECHNOLOGY CO L | G01341117 | UNIT 11/17/2028 | 15,000 | $153,000 | dollars as filed | |
| AMPRIUS TECHNOLOGIES INC | 03214Q116 | *W EXP 09/14/202 | 371,879 | $145,033 | dollars as filed | |
| BUKIT JALIL GBL ACQUISITION ORD SHS | G1676M105 | Warrant | 13,740 | $142,759 | dollars as filed | |
| TRANSOCEAN INC | 893830BW8 | DEB 4.625% 9/3 | 65,000 | $134,970 | dollars as filed | principal |
| OMNIQ CORP | 68217M107 | COM | 193,200 | $125,638 | dollars as filed | |
| INDIE SEMICONDUCTOR INC | 45569U901 | CLASS A COM | 15,000 | $121,650 | dollars as filed | call |
| SEABRIDGE GOLD INC | 811916905 | CALL | 10,000 | $121,300 | dollars as filed | call |
| TESLA INC | 88160RAG6 | NOTE 2.000% 5/1 | 10,000 | $120,188 | dollars as filed | principal |
| EXCELFIN ACQUISITION CORP | 30069X102 | COM CL A | 10,972 | $117,675 | dollars as filed | |
| BROAD CAPITAL ACQUISITION CO | 11125B102 | COM | 10,329 | $114,755 | dollars as filed | |
| BOWEN ACQUISITION CORP | G12729110 | SHS | 10,000 | $103,200 | dollars as filed | |
| OPTIMUMBANK HLDGS INC | 68401P403 | COM | 19,700 | $82,381 | dollars as filed | |
| PYXIS TANKERS INC | Y71726122 | *W EXP 10/13/202 | 69,617 | $76,710 | dollars as filed | |
| TALKSPACE INC | 87427V111 | *W EXP 06/21/202 | 559,300 | $72,501 | dollars as filed | |
| MIRION TECHNOLOGIES INC | 60471A119 | *W EXP 10/20/202 | 30,096 | $61,095 | dollars as filed | |
| ESPERION THERAPEUTICS INC NE | 29664W905 | COM | 20,000 | $59,800 | dollars as filed | call |
| PODCASTONE INC | 22275C105 | COM | 30,652 | $56,706 | dollars as filed | |
| NEOVOLTA INC | 640655114 | *W EXP 04/01/202 | 198,611 | $53,625 | dollars as filed | |
| KWESST MICRO SYSTEMS INC | 501506604 | COM NEW | 57,283 | $51,555 | dollars as filed | |
| SkyAI Inc | 82003F119 | *W EXP 4/13/202 | 470,752 | $51,547 | dollars as filed | |
| NEXTPLAT CORP | 68557F118 | *W EXP 06/02/202 | 80,826 | $48,496 | dollars as filed | |
| STRIDE INC | 86333MAA6 | NOTE 1.125% 9/0 | 35,000 | $44,503 | dollars as filed | principal |
| HCI GROUP INC | 40416EAD5 | NOTE 4.250% 3/0 | 28,000 | $39,883 | dollars as filed | principal |
| TENON MEDICAL INC | 88066N113 | *W EXP 06/16/202 | 671,700 | $36,473 | dollars as filed | |
| FUNDAMENTAL GLOBAL INC | 30329Y106 | COMMON | 20,885 | $33,416 | dollars as filed | |
| MOBILICOM LTD | 60742B110 | *W EXP 08/31/202 | 92,100 | $33,384 | dollars as filed | |
| FISKER INC | 33813J106 | CL A COM STK | 18,600 | $32,550 | dollars as filed | |
| PETVIVO HLDGS INC EQUITYCLASS EQUITY | 716817408 | COMMON STOCK | 27,693 | $29,355 | dollars as filed | |
| PETVIVO HLDGS INC | 716817119 | *W EXP 08/13/202 | 209,086 | $29,272 | dollars as filed | |
| FOREMOST CLEAN ENERGY LTD | 345510119 | *W EXP 08/24/202 | 109,631 | $27,408 | dollars as filed | |
| KWESST MICRO SYSTEMS INC | 501506133 | *W EXP 09/01/202 | 191,429 | $26,762 | dollars as filed | |
| IBIO INC | 451033708 | CMN | 19,000 | $26,220 | dollars as filed | |
| TARGET HOSPITALITY CORP | 87615L115 | *W EXP 03/15/202 | 64,011 | $25,883 | dollars as filed | |
| APPTECH PMTS CORP | 03834B127 | *W EXP 01/04/202 | 69,507 | $24,334 | dollars as filed | |
| SKY HARBOUR GROUP CORPORATIO | 83085C115 | *W EXP 01/25/202 | 31,436 | $23,577 | dollars as filed | |
| HEARTBEAM INC | 42238H116 | *W EXP 10/31/202 | 57,345 | $22,881 | dollars as filed | |
| SAVERONE 2014 LTD | 80516T113 | *W EXP 06/02/202 | 185,481 | $22,258 | dollars as filed | |
| GOLDEN MINERALS CO | 381119403 | COM | 42,402 | $22,045 | dollars as filed | |
| VISHAY INTERTECHNOLOGY INC | 928298AP3 | NOTE 2.250% 6/1 | 20,000 | $19,705 | dollars as filed | principal |
| P3 HEALTH PARTNERS INC | 744413105 | COM CL A | 13,400 | $18,894 | dollars as filed | |
| STRONG GLOBAL ENTMT INC | 86335G109 | CL A COM VOTING | 11,699 | $18,702 | dollars as filed | |
| FGI INDUSTRIES LTD | G3302D111 | *W EXP 99/99/999 | 121,152 | $18,482 | dollars as filed | |
| BT BRANDS INC | 0557MQ115 | *W EXP 11/12/202 | 134,959 | $17,686 | dollars as filed | |
| SOLIGENIX INC | 834223505 | COM NEW | 20,000 | $15,144 | dollars as filed | |
| EDIBLE GARDEN AG INC | 28059P204 | COM | 30,000 | $15,102 | dollars as filed | |
| UPEXI INC | 39959A106 | COMMON | 13,000 | $15,080 | dollars as filed | |
| ONFOLIO HOLDINGS INC | 68277K124 | *W EXP 01/02/202 | 193,570 | $14,741 | dollars as filed | |
| RED CAT HLDGS INC | 75644T100 | COM | 16,310 | $14,353 | dollars as filed | |
| BIOSIG TECHNOLOGIES INC | 09073N201 | COM NEW | 27,928 | $13,266 | dollars as filed | |
| WHOLE EARTH BRANDS INC | 96684W126 | WARRANT | 160,742 | $12,859 | dollars as filed | |
| FORESIGHT AUTONOMOUS HLDGS L | 345523203 | SPONSORED ADR | 11,749 | $12,101 | dollars as filed | |
| WORKSPORT LTD | 98139Q118 | *W EXP 08/06/202 | 65,152 | $11,727 | dollars as filed | |
| Apollomics Inc W Exp 04/01/202 | G0411D115 | SPAC Combination | 445,600 | $11,140 | dollars as filed | |
| Aurora Innovation Inc W Exp 11/03/202 | 051774115 | SPAC Combination | 20,000 | $10,832 | dollars as filed | |
| TWIN RIDGE CAPITAL ACQUISITION | g1893d110 | WT | 190,000 | $10,346 | dollars as filed | |
| INUVO INC | 46122W204 | COM NEW | 22,500 | $9,563 | dollars as filed | |
| VBI VACCINES INC | 91822J202 | Foreign Stock | 15,000 | $8,813 | dollars as filed | |
| WEARABLE DEVICES LTD | M97838110 | *W EXP 09/14/202 | 117,700 | $8,239 | dollars as filed | |
| WTS/LION ELECTRIC EXP12/13/2027 | 536221120 | WARR | 21,000 | $7,996 | dollars as filed | |
| STRAN & COMPANY INC | 86260J110 | *W EXP 99/99/999 | 181,824 | $7,273 | dollars as filed | |
| SPLASH BEVERAGE GROUP INC | 84862C112 | *W EXP 06/15/202 | 139,740 | $6,973 | dollars as filed | |
| Aeries Technology Inc W Exp 11/06/202 | G0136H110 | SPAC Combination | 95,027 | $6,771 | dollars as filed | |
| PAGAYA TECHNOLOGIES LTD | M7S64L107 | WTS | 30,000 | $6,594 | dollars as filed | |
| YIELD10 BIOSCIENCE INC | 98585K862 | COM | 25,500 | $6,120 | dollars as filed | |
| PALISADE BIO INC | 696389204 | COM | 10,000 | $5,900 | dollars as filed | |
| SEASTAR MEDICAL HOLDING CORP | 81256L112 | WTS | 193,600 | $5,885 | dollars as filed | |
| Volcon Inc | 92864V202 | Common Stock | 55,000 | $5,456 | dollars as filed | |
| IVEDA SOLUTIONS INC | 46583A113 | *W EXP 04/01/202 | 49,413 | $5,430 | dollars as filed | |
| AEON BIOPHARMA INC | 00791X118 | *W EXP 07/21/202 | 53,500 | $5,341 | dollars as filed | |
| Bridger Aerospace Grp Hldgs W Exp 01/24/202 | 96812F110 | SPAC Combination | 25,200 | $5,325 | dollars as filed | |
| NETCAPITAL INC | 64113L103 | COM | 25,000 | $5,305 | dollars as filed | |
| AINOS INC | 00902F113 | *W EXP 07/29/202 | 24,871 | $5,223 | dollars as filed | |
| PASITHEA THERAPEUTICS CORP | 70261F111 | *W EXP 08/12/202 | 289,868 | $5,218 | dollars as filed | |
| THARIMMUNE INC | 432705200 | COMMON | 10,002 | $5,091 | dollars as filed | |
| NEUROSENSE THERAPEUTICS LTD | M74240116 | *W EXP 11/10/202 | 63,502 | $4,960 | dollars as filed | |
| AURORA CANNABIS INC | 05156X904 | CALL | 10,000 | $4,762 | dollars as filed | call |
| MARIS TECH LTD | M68057112 | *W EXP 02/04/202 | 226,620 | $4,578 | dollars as filed | |
| PINSTRIPES HOLDINGS INC | 06690B115 | *W EXP 09/30/202 | 12,200 | $4,502 | dollars as filed | |
| ZURA BIO LTD | G9TY5A119 | YW EXP 99/99/999 | 25,818 | $4,389 | dollars as filed | |
| NUSCALE PWR CORP | 67079K118 | *W EXP 05/02/202 | 11,500 | $3,565 | dollars as filed | |
| LITHIA MTRS INC COM | 92561V117 | COM | 112,000 | $3,360 | dollars as filed | |
| Anghami Inc W Exp 02/03/202 | G0369L119 | SPAC Combination | 40,409 | $3,233 | dollars as filed | |
| HUB CYBER SECURITY LTD | M6000J127 | WTS | 171,171 | $2,396 | dollars as filed | |
| Arogo Capital Acquisition Corp | 042644112 | Warrant | 90,000 | $2,349 | dollars as filed | |
| KULR TECHNOLOGY GROUP INC | 50125G109 | COM | 11,500 | $2,128 | dollars as filed | |
| 60 DEGREES PHARMACEUTICALS I | 83006G112 | *W EXP 07/12/202 | 29,515 | $2,066 | dollars as filed | |
| Xbp Global Holdings Inc W Exp 11/30/202 | 98400V119 | SPAC Combination | 38,900 | $1,945 | dollars as filed | |
| BIOAFFINITY TECHNOLOGIES INC | 09076W117 | *W EXP 09/07/202 | 22,926 | $1,875 | dollars as filed | |
| CANNA-GLOBAL ACQUISITION CORP | 13767k119 | WT | 90,100 | $1,694 | dollars as filed | |
| NEXALIN TECHNOLOGY INC | 65345B110 | *W EXP 99/99/999 | 177,383 | $1,561 | dollars as filed | |
| PROTAGENIC THERAPEUTICS INC | 74365N111 | *W EXP 04/26/202 | 177,196 | $1,559 | dollars as filed | |
| MICROCLOUD HOLOGRAM INC | G55032125 | *W EXP 01/31/202 | 51,600 | $1,548 | dollars as filed | |
| LIXTE BIOTECHNOLOGY HLDGS IN | 539319111 | *W EXP 11/30/202 | 40,875 | $1,533 | dollars as filed | |
| INCEPTION GR -23 EQUITY | 45333D112 | COM | 89,900 | $1,528 | dollars as filed | |
| ENERGEM CORP | G30449121 | *W EXP 11/15/202 | 90,000 | $1,350 | dollars as filed | |
| Cingulate Inc W Exp 12/10/202 | 17248W113 | Warrant | 43,155 | $1,295 | dollars as filed | |
| GLOBAL GAS CORP DEL | 37892P115 | *W EXP 12/21/202 | 36,300 | $1,162 | dollars as filed | |
| KAIROUS ACQUISITION CORP LTD | G52131128 | *W EXP 09/15/202 | 78,977 | $1,157 | dollars as filed | |
| Semantix, Inc | G6332A114 | Warrant | 102,119 | $1,052 | dollars as filed | |
| Beneficient W Exp 06/07/202 | 08178Q119 | SPAC Combination | 104,385 | $1,044 | dollars as filed | |
| SMX SEC MATTERS PLC | G8267K117 | *W EXP 03/07/202 | 99,100 | $941 | dollars as filed | |
| ACLARION INC | 655187110 | *W EXP 04/21/202 | 26,256 | $893 | dollars as filed | |
| CUSTOM TRUCK ONE SOURCE INC | 23204X111 | WARRANT | 15,900 | $851 | dollars as filed | |
| NORTHVIEW ACQUISITION CORP | 66718N111 | *W EXP 08/02/202 | 77,770 | $837 | dollars as filed | |
| BUZZFEED INC | 12430A110 | *W EXP 12/03/202 | 19,778 | $813 | dollars as filed | |
| SPREE ACQUISITION 1 CORP LTD | g83745128 | WT | 23,576 | $707 | dollars as filed | |
| RAIL VISION LTD | M8186D114 | *W EXP 03/27/202 | 36,049 | $660 | dollars as filed | |
| EDIBLE GARDEN AG INC | 28059P113 | *W EXP 99/99/999 | 29,126 | $623 | dollars as filed | |
| BANNIX ACQUISITION CORP | 066644113 | *W EXP 07/31/202 | 43,200 | $540 | dollars as filed | |
| BOA ACQUISITION CORP | g8059b119 | WT | 128,198 | $538 | dollars as filed | |
| Thunder Power Holdings Inc | 31561T110 | Warrant | 20,796 | $439 | dollars as filed | |
| AESTHER HC -CW23 EQUITY | 67644C112 | COM | 10,000 | $380 | dollars as filed | |
| CEA INDUSTRIES INC | 86887P119 | *W EXP 02/11/202 | 79,872 | $319 | dollars as filed | |
| DERMATA THERAPEUTICS INC | 249845116 | *W EXP 99/99/999 | 30,000 | $210 | dollars as filed | |
| Embrace Change Acquisition Corp | G3034H125 | Warrant | 12,500 | $193 | dollars as filed | |
| Alpha Star Acquisition Corp | G0230C116 | WARRANT | 16,452 | $144 | dollars as filed |
Amendment chain
| Filing | Role | Filed | Accepted | Ingested |
|---|---|---|---|---|
| 13F-HR 0001597506-24-000003 | this filing | 2024-02-07 | acceptance time not in the bulk data set |