AQR ARBITRAGE, LLC
Adviser information for AQR ARBITRAGE, LLC last updated from Form ADV on March 28th, 2024. Select data displayed; additional Form ADV, Form D, Form 13F and other data is available from the Fincoded API.
Advisory Business
| Type of Organization | Limited Liability Company |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 15 |
|---|---|
| Investment Advisory/Research | 15 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 0 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 15 | $2.8B |
| Non-Discretionary | 0 | $0 |
| Total | 15 | $2.8B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 1 | $1.8B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 14 | $1.0B |
| Pension and profit sharing plans | 0 | $0 |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | 0 | $0 |
| Other investment advisers | 0 | $0 |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | 0 | $0 |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 67 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
ONE GREENWICH PLAZA3RD FLOOR
GREENWICH
CT
United States
Monday - Friday, 8:30 AM - 5:30 PM
Tel: 203-742-3600, Fax: 203-742-3100
Chief Compliance Officer
HJ WILLCOX
ONE GREENWICH PLAZA
3RD FLOOR
GREENWICH
CT
United States
Tel:
203-742-3690
Fax:
203-742-3190
H*********@******M
(Full email address available in API data)
Regulatory Contact
HENRY PARKIN
MANAGING DIRECTOR
ONE GREENWICH PLAZA
3RD FLOOR
GREENWICH
CT
United States
Tel:
203-742-3811
Fax:
203-742-3311
H***********@******M
(Full email address available in API data)
Industry Affiliates
| AQR CAPITAL MANAGEMENT, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CNH PRINCIPAL PARTNERS I, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| AQR ARBITRAGE MA OFFSHORE FUND, L.P. | Hedge Fund | $28.6M | $5.0M | 1 |
| CNH CA MASTER ACCOUNT, L.P. | Hedge Fund | $44.9M | $5.0M | 3 |
| CNH DIVERSIFIED OPPORTUNITIES MASTER ACCOUNT, L.P. | Hedge Fund | $1.1M | $5.0M | 4 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| AQR CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 05/2001 | 50-75% |
| MITCHELL, MARK, L | Individual | RAIM CORP | MEMBER | 05/2001 | 50-75% |
| PULVINO, TODD | Individual | RAIM CORP | PRINCIPAL | 05/2001 | 50-75% |
| AQR CAPITAL MANAGEMENT HOLDINGS, LLC | Domestic Entity | AQR CAPITAL MANAGEMENT, LLC | MEMBER | 11/2004 | > 75% |
| ASNESS, CLIFFORD, SCOTT | Individual | – | PRINCIPAL | 05/2001 | < 5% |
| KABILLER, DAVID, GARY | Individual | – | PRINCIPAL | 05/2001 | < 5% |
| LIEW, JOHN, MIHN SOO | Individual | – | PRINCIPAL | 05/2001 | < 5% |
| MITCHELL, MARK, L | Individual | – | PRINCIPAL | 05/2001 | < 5% |
| PULVINO, TODD | Individual | – | PRINCIPAL | 05/2001 | < 5% |
| BRYANT, ROBERT, FISK | Individual | – | PRINCIPAL | 01/2012 | < 5% |
| WILLCOX, HERBERT, JAMES | Individual | – | CHIEF COMPLIANCE OFFICER | 08/2013 | < 5% |
| ASNESS, CLIFFORD, SCOTT | Individual | AQR CAPITAL MANAGEMENT GROUP, L.P. | MEMBER | 01/2014 | 25-50% |
| AQR CAPITAL MANAGEMENT GROUP, L.P. | Domestic Entity | AQR CAPITAL MANAGEMENT HOLDINGS, LLC | MEMBER | 09/2012 | > 75% |
| AFFILIATED MANAGERS GROUP, INC. | Domestic Entity | TOPSPIN ACQUISITION, LLC | MEMBER | 11/2004 | > 75% |
| TOPSPIN ACQUISITION, LLC | Domestic Entity | AQR CAPITAL MANAGEMENT HOLDINGS, LLC | MEMBER | 12/2014 | 25-50% |
| CNH CAPITAL MANAGEMENT, LLC | Domestic Entity | – | MEMBER | 03/2015 | 50-75% |
| RAIM CORP | Domestic Entity | CNH CAPITAL MANAGEMENT, LLC | MEMBER | 03/2015 | > 75% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 180 LIFE SCIENCES CORP | *W EXP 11/07/202 | 384 | 37K | – |
| 3D SYS CORP DEL | NOTE 11/1 | 11M | – | – |
| 99 ACQUISITION GROUP INC | *W EXP 08/25/202 | 2K | 50K | – |
| 99 ACQUISITION GROUP INC | CL A | 6M | 550K | – |
| 99 ACQUISITION GROUP INC | RIGHT 08/25/2028 | 14K | 50K | – |
| A SPAC II ACQUISITION CORP | *W EXP 10/15/202 | 2K | 204K | – |
| A SPAC II ACQUISITION CORP | ORD SHS CL A | 2M | 200K | – |
| A SPAC II ACQUISITION CORP | RIGHT 10/15/2026 | 29K | 409K | – |
| ABLE VIEW GLOBAL INC | *W EXP 08/18/202 | 4K | 175K | – |
| ABRDN EMRG MKTS EQTY INCM FD | COM | 663K | 126K | – |
| ABRDN GLOBAL DYNAMIC DIVIDEN | COM | 2M | 233K | – |
| ABRDN HEALTHCARE INVESTORS | SH BEN INT | 7M | 416K | – |
| ABRDN HEALTHCARE OPPORTUNITI | SHS | 4M | 177K | – |
| ABRDN LIFE SCIENCES INVESTOR | SH BEN INT | 5M | 337K | – |
| ABRDN NATL MUN INCOME FD | SH BEN INT | 1M | 109K | – |
| ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 10M | 1M | – |
| ACRI CAPITAL ACQUISITION COR | *W EXP 02/01/202 | 6K | 117K | – |
| ACRI CAPITAL ACQUISITION COR | COM CL A | 1M | 100K | – |
| ADAM NAT RES FD INC | COM | 2M | 78K | – |
| ADVENT CONV & INCOME FD | COM | 946K | 79K | – |
| AFRICAN AGRICULTURE HOLDINGS | *W EXP 12/06/202 | 715 | 55K | – |
| AGRICULTURE & NAT SOL ACQ CO | *W EXP 10/01/202 | 124K | 750K | – |
| AGRICULTURE & NAT SOL ACQ CO | SHS CL A | 15M | 2M | – |
| AI TRANSN ACQUISITION CORP | ORD SHS | 259K | 25K | – |
| AI TRANSN ACQUISITION CORP | RIGHT 09/01/2028 | 5K | 25K | – |
| AIMFINITY INVESTMENT CORP I | *W EXP 99/99/999 | 10K | 475K | – |
| AIMFINITY INVESTMENT CORP I | UNIT 04/21/2027 | 1M | 100K | – |
| ALBERTSONS COS INC | COMMON STOCK | 50M | 3M | – |
| ALCHEMY INVTS ACQUISITN CORP | *W EXP 11/30/202 | 28K | 202K | – |
| ALCHEMY INVTS ACQUISITN CORP | SHS CL A | 9M | 803K | – |
| ALLETE INC | COM NEW | 37M | 594K | – |
| ALLIANCEBERNSTEIN NATL MUN I | COM | 2M | 196K | – |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 18M | – | – |
| ALLSPRING INCOME OPPORTUNIT | INC OPPTY FD | 3M | 485K | – |
| ALLSPRING MULTI SECTOR INCOM | COM | 950K | 106K | – |
| ALPHA STAR ACQUISITION CORP | *W EXP 12/13/202 | 2K | 188K | – |
| ALPHA STAR ACQUISITION CORP | RIGHT 05/30/2023 | 18K | 188K | – |
| ALPHABET INC | CAP STK CL A | 988K | 5K | – |
| ALPHATIME ACQUISITION CORP | ORDINARY SHARES | 2M | 155K | – |
| ALPHAVEST ACQUISITION CORP | ORDINARY SHARES | 2M | 150K | – |
| ALPHAVEST ACQUISITION CORP | RIGHT 07/04/2024 | 34K | 345K | – |
| ALTENERGY ACQUISITION CORP | *W EXP 10/29/202 | 9K | 147K | – |
| AMBIPAR EMERGENCY RESPONSE | *W EXP 99/99/999 | 14K | 69K | – |
| AMEDISYS INC | COM | 37M | 400K | – |
| AMERICAN AIRLINES GROUP INC | NOTE 6.500% 7/0 | 10M | – | – |
| ANSYS INC | COM | 41M | 127K | – |
| APX ACQUISITION CORP I | *W EXP 99/99/999 | 23K | 140K | – |
| AQUARON ACQUISITION CORP | COMMON STOCK | 548K | 50K | – |
| AQUARON ACQUISITION CORP | RIGHT 07/15/2026 | 35K | 148K | – |
| ARES ACQUISITION CORP II | *W EXP 99/99/999 | 143K | 1M | – |
| ARES ACQUISITION CORP II | SHS CLASS A | 23M | 2M | – |
| ARMADA ACQUISITION CORP I | *W EXP 99/99/999 | 19K | 135K | – |
| AROGO CAPITAL ACQUISITION CO | *W EXP 03/23/202 | 9K | 300K | – |
| ARRAY TECHNOLOGIES INC | NOTE 1.000%12/0 | 19M | – | – |
| ASA GOLD AND PRECIOUS MTLS L | SHS | 2M | 102K | – |
| ASSETMARK FINL HLDGS INC | COM | 9M | 261K | – |
| ATHENA TECHNOLOGY ACQ CORP I | *W EXP 10/17/202 | 30K | 845K | – |
| ATHENA TECHNOLOGY ACQ CORP I | COM CL A | 854K | 75K | – |
| ATLANTIC COASTAL AQSTN CORP | *W EXP 99/99/999 | 52K | 653K | – |
| ATLANTICA SUSTAINABLE INFR P | SHS | 14M | 623K | – |
| ATRION CORP | COM | 3M | 6K | – |
| AURA FAT PROJS ACQUISITION C | *W EXP 99/99/999 | 11K | 669K | – |
| AURA FAT PROJS ACQUISITION C | CLASS A ORD | 1M | 100K | – |
| AVANGRID INC | COM | 3M | 74K | – |
| AXONICS INC | COM | 65M | 974K | – |
| BANCROFT FD LTD | COM | 306K | 20K | – |
| BANDWIDTH INC | NOTE 0.500% 4/0 | 387K | – | – |
| BANNIX ACQUISITION CORP | *W EXP 07/31/202 | 1K | 64K | – |
| BANNIX ACQUISITION CORP | RIGHT 07/31/2026 | 10K | 64K | – |
| BANZAI INTERNATIONAL INC | *W EXP 12/14/202 | 2K | 74K | – |
| BATTERY FUTURE ACQUISITION C | *W EXP 99/99/999 | 10K | 530K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | *W EXP 02/09/202 | 2K | 100K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | COM | 1M | 125K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | RIGHT 02/09/2028 | 11K | 100K | – |
| BENTLEY SYS INC | NOTE 0.375% 7/0 | 22M | – | – |
| BITE ACQUISITION CORP | *W EXP 02/12/203 | 3K | 63K | – |
| BLACK HAWK ACQUISITION CORP | RIGHT 06/20/2025 | 105K | 88K | – |
| BLACK HAWK ACQUISITION CORP | USD CL A SHS | 4M | 442K | – |
| BLACKROCK CR ALLOCATION INCO | COM | 1M | 116K | – |
| BLACKROCK ENERGY & RES TR | COM | 1M | 85K | – |
| BLACKROCK ENHANCED EQUITY DI | COM | 13M | 2M | – |
| BLACKROCK ENHANCED GLOBAL DI | COM | 7M | 692K | – |
| BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 5M | 860K | – |
| BLACKROCK HEALTH SCIENCES TE | COM SHS | 4M | 231K | – |
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 5M | 674K | – |
| BLACKROCK INVT QUALITY MUN T | COM | 1M | 93K | – |
| BLACKROCK MUN INCOME QUALITY | COM | 2M | 167K | – |
| BLACKROCK MUN INCOME TR | SH BEN INT | 2M | 235K | – |
| BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 6M | 304K | – |
| BLACKROCK MUNI INCOME TR II | COM | 3M | 282K | – |
| BLACKROCK MUNICIPAL INCOME | COM | 2M | 164K | – |
| BLACKROCK MUNIHLDGS NJ QLTY | COM | 3M | 241K | – |
| BLACKROCK MUNIHLDGS NY QLTY | COM | 2M | 192K | – |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 953K | 86K | – |
| BLACKROCK MUNIHOLDINGS FD IN | COM | 4M | 309K | – |
| BLACKROCK MUNIHOLDINGS QUALI | COM | 2M | 224K | – |
| BLACKROCK MUNIVEST FD II INC | COM | 2M | 176K | – |
| BLACKROCK MUNIVEST FD INC | COM | 2M | 312K | – |
| BLACKROCK MUNIYIELD FD INC | COM | 1M | 102K | – |
| BLACKROCK MUNIYIELD MICH QU | COM | 2M | 174K | – |
| BLACKROCK MUNIYIELD N Y QUAL | COM | 2M | 194K | – |
| BLACKROCK MUNIYIELD PA QLTY | COM | 217K | 17K | – |
| BLACKROCK MUNIYIELD QUALITY | COM | 2M | 154K | – |
| BLACKROCK MUNIYILD QULT FD I | COM | 389K | 32K | – |
| BLACKROCK N Y MUN INCOME TRU | SH BEN INT | 2M | 177K | – |
| BLACKROCK RES & COMMODITIES | SHS | 7M | 750K | – |
| BLACKROCK SCIENCE & TECHNOLO | SHS BEN INT | 12M | 617K | – |
| BLEUACACIA LTD | *W EXP 10/30/202 | 3K | 169K | – |
| BLEUACACIA LTD | RIGHT 10/30/2026 | 12K | 331K | – |
| BLOCKCHAIN COINVSTRS ACQ CRP | *W EXP 11/01/202 | 11K | 190K | – |
| BLOOM ENERGY CORP | NOTE 3.000% 6/0 | 12M | – | – |
| BLUE OCEAN ACQUISITION CORP | *W EXP 99/99/999 | 4K | 263K | – |
| BLUE WORLD ACQUISITION CORP | *W EXP 01/10/202 | 12K | 155K | – |
| BLUE WORLD ACQUISITION CORP | RIGHT 08/29/2029 | 62K | 308K | – |
| BLUERIVER ACQUISITION CORP | *W EXP 01/04/202 | 227 | 17K | – |
| BNY MELLON MUN BD INFRASTRUC | COM SHS | 207K | 20K | – |
| BNY MELLON MUN INCOME INC | COM | 1M | 198K | – |
| BNY MELLON STRATEGIC MUN BD | COM | 2M | 417K | – |
| BNY MELLON STRATEGIC MUNS IN | COM | 3M | 564K | – |
| BOWEN ACQUISITION CORP | RIGHT 99/99/9999 | 17K | 150K | – |
| BOWEN ACQUISITION CORP | SHS | 4M | 404K | – |
| BRIDGEBIO PHARMA INC | NOTE 2.250% 2/0 | 14M | – | – |
| BROAD CAPITAL ACQUISITION CO | RIGHT 01/10/2027 | 47K | 228K | – |
| BROOGE ENERGY LTD | *W EXP 12/20/202 | 1K | 228K | – |
| BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 10M | 821K | – |
| BURTECH ACQUISITION CORP | *W EXP 12/18/202 | 293K | 1M | – |
| BURTECH ACQUISITION CORP | CLASS A COM | 3M | 300K | – |
| BYNORDIC ACQUISITION CORP | *W EXP 07/01/202 | 5K | 209K | – |
| BYNORDIC ACQUISITION CORP | CLASS A COM | 2M | 205K | – |
| CACTUS ACQUISITION CORP 1 LT | *W EXP 08/17/202 | 5K | 99K | – |
| CALAMOS GBL DYN INCOME FUND | COM | 4M | 635K | – |
| CALAMOS LNG SHR EQT DYNAMIC | COM | 2M | 159K | – |
| CANNA GLOBAL ACQUISITION COR | *W EXP 99/99/999 | 5K | 488K | – |
| CAPRI HOLDINGS LIMITED | SHS | 10M | 316K | – |
| CARMELL CORPORATION | *W EXP 07/12/202 | 6K | 81K | – |
| CARTESIAN GROWTH CORP II | *W EXP 07/12/202 | 26K | 256K | – |
| CARTICA ACQUISITION CORP | *W EXP 04/30/202 | 58K | 299K | – |
| CARTICA ACQUISITION CORP | CLASS A ORD SHS | 1M | 120K | – |
| CATALENT INC | COM | 20M | 358K | – |
| CBRE GBL REAL ESTATE INC FD | COM | 225K | 45K | – |
| CENTRAL GARDEN & PET CO | CL A NON-VTG | 2M | 75K | – |
| CENTRAL SECS CORP | COM | 5M | 108K | – |
| CENTURION ACQUISITION CORP | UNIT 05/31/2032 | 18M | 2M | – |
| CERENCE INC | COM | 1M | 518K | – |
| CEREVEL THERAPEUTICS HLDNG I | COM | 21M | 502K | – |
| CETUS CAP ACQUISITION CORP | *W EXP 01/31/202 | 3K | 115K | – |
| CETUS CAP ACQUISITION CORP | CLASS A COM | 2M | 150K | – |
| CF ACQUISITION CORP VII | *W EXP 03/16/202 | 9K | 140K | – |
| CHAMPIONX CORPORATION | COM | 55M | 2M | – |
| CHEFS WHSE INC | NOTE 2.375%12/1 | 27M | – | – |
| CHENGHE ACQUISITION II CO | UNIT 05/30/2031 | 4M | 400K | – |
| CHURCHILL CAPITAL CORP IX | CL A SHS | 2M | 200K | – |
| CHURCHILL CAPITAL CORP VII | *W EXP 02/29/202 | 8K | 23K | – |
| CHURCHILL CAPITAL CORP VII | COM CL A | 5M | 500K | – |
| CLIMATEROCK | *W EXP 99/99/999 | 5K | 195K | – |
| CLIMATEROCK | RIGHT 10/31/2028 | 43K | 389K | – |
| CLOUDFLARE INC | NOTE 8/1 | 21M | – | – |
| CLOUGH GLOBAL EQUITY FD | COM | 3M | 359K | – |
| CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 2M | 317K | – |
| CLOVER LEAF CAPITAL CORP | RIGHT 05/31/2028 | 64K | 290K | – |
| COHEN & STEERS LTD DURATION | COM | 847K | 43K | – |
| COHERUS BIOSCIENCES INC | NOTE 1.500% 4/1 | 9M | – | – |
| COINBASE GLOBAL INC | COM CL A | 2M | 8K | – |
| COINBASE GLOBAL INC | NOTE 0.500% 6/0 | 98K | – | – |
| COLISEUM ACQUISITION CORP | *W EXP 08/22/202 | 4K | 84K | – |
| COLOMBIER ACQUISITION CORP I | *W EXP 11/24/202 | 129K | 429K | – |
| COLOMBIER ACQUISITION CORP I | COM SHS CL A | 13M | 1M | – |
| COMPASS DIGITAL ACQUISITN CO | *W EXP 99/99/999 | 11K | 183K | – |
| CONCORD ACQUISITION CORP II | *W EXP 99/99/999 | 27K | 244K | – |
| CONDUIT PHARMACEUTICALS INC | *W EXP 09/22/202 | 3K | 209K | – |
| CONMED CORP | NOTE 2.250% 6/1 | 15M | – | – |
| CORNER GROWTH ACQUISITN CORP | *W EXP 99/99/999 | 3K | 113K | – |
| CRITICAL METALS CORP | *W EXP 02/27/202 | 13K | 44K | – |
| CSLM ACQUISITION CORP | *W EXP 99/99/999 | 50K | 359K | – |
| CSLM ACQUISITION CORP | RIGHT 07/01/2023 | 72K | 717K | – |
| CYBERARK SOFTWARE LTD | NOTE 11/1 | 59M | – | – |
| CYTOKINETICS INC | NOTE 3.500% 7/0 | 26M | – | – |
| DENALI CAPITAL ACQUISITN COR | CLASS A ORD | 2M | 162K | – |
| DIAMOND OFFSHORE DRILLING IN | COM | 25M | 2M | – |
| DIGITALOCEAN HLDGS INC | NOTE 12/0 | 24M | – | – |
| DISCOVER FINL SVCS | COM | 40M | 317K | – |
| DISTOKEN ACQUISITION CORP | *W EXP 11/30/202 | 2K | 125K | – |
| DISTOKEN ACQUISITION CORP | RIGHT 99/99/9999 | 14K | 125K | – |
| DMY SQUARED TECHNOLOGY GROUP | *W EXP 99/99/999 | 3K | 23K | – |
| DP CAP ACQUISITION CORP I | *W EXP 11/08/202 | 4K | 142K | – |
| DRAFTKINGS INC NEW | NOTE 3/1 | 26M | – | – |
| DROPBOX INC | NOTE 3/0 | 210K | – | – |
| DUET ACQUISITION CORP | *W EXP 07/19/202 | 4K | 248K | – |
| DUFF & PHELPS UTLITY AND INF | COM | 3M | 265K | – |
| DUKE ENERGY CORP NEW | NOTE 4.125% 4/1 | 16M | – | – |
| DWS MUN INCOME TR NEW | COM | 1M | 129K | – |
| EATON VANCE CALIF MUN BD FD | COM | 726K | 76K | – |
| EATON VANCE LTD DURATION INC | COM | 989K | 102K | – |
| EATON VANCE MUN BD FD | COM | 2M | 210K | – |
| EATON VANCE MUNI INCOME TRUS | SH BEN INT | 2M | 210K | – |
| EATON VANCE NEW YORK MUN BD | COM | 173K | 18K | – |
| EATON VANCE TAX ADVT DIV INC | COM | 7M | 321K | – |
| EATON VANCE TAX MNGED BUY WR | COM | 531K | 38K | – |
| EATON VANCE TAX-ADVANTAGED G | COM | 2M | 82K | – |
| EATON VANCE TAX-MANAGED GLOB | COM | 10M | 1M | – |
| EATON VANCE TAX-MANAGED GLOB | COM | 15M | 2M | – |
| EATON VANCE TX ADV GLBL DIV | COM | 9M | 495K | – |
| ELLSWORTH GROWTH & INCOME FD | COM | 1M | 171K | – |
| EMBRACE CHANGE ACQUISITN COR | *W EXP 10/25/202 | 4K | 193K | – |
| EMBRACE CHANGE ACQUISITN COR | ORDINARY SHARES | 2M | 193K | – |
| EMBRACE CHANGE ACQUISITN COR | RIGHT 10/25/2026 | 23K | 193K | – |
| ENCORE WIRE CORP | COM | 29M | 100K | – |
| ENDEAVOR GROUP HLDGS INC | CL A COM | 56M | 2M | – |
| ENPHYS ACQUISITION CORP | *W EXP 99/99/999 | 19K | 544K | – |
| ENVESTNET INC | COM | 5M | 76K | – |
| ENVESTNET INC | NOTE 2.625%12/0 | 54K | – | – |
| EQUITRANS MIDSTREAM CORP | COM | 77M | 6M | – |
| ESGL HLDGS LTD | *W EXP 10/19/202 | 952 | 73K | – |
| ESH ACQUISITION CORP | COM | 10M | 975K | – |
| ESH ACQUISITION CORP | RIGHT 99/99/9999 | 66K | 600K | – |
| ETSY INC | NOTE 0.250% 6/1 | 16M | – | – |
| EUDA HEALTH HOLDINGS LTD | *W EXP 11/22/202 | 33K | 138K | – |
| EVE MOBILITY ACQUISITION COR | *W EXP 12/31/202 | 40K | 367K | – |
| EVENTBRITE INC | NOTE 0.750% 9/1 | 14M | – | – |
| EVERBRIDGE INC | COM | 19M | 561K | – |
| EVERBRIDGE INC | NOTE 3/1 | 10M | – | – |
| EVEREST CONSOLIDATOR ACQ COR | *W EXP 99/99/999 | 38K | 189K | – |
| EVERGREEN CORPORATION | *W EXP 02/08/202 | 17K | 333K | – |
| EXACT SCIENCES CORP | NOTE 0.375% 3/0 | 13M | – | – |
| EXACT SCIENCES CORP | NOTE 0.375% 3/1 | 9M | – | – |
| EXCELFIN ACQUISITION CORP | *W EXP 10/25/202 | 4K | 147K | – |
| EXCELFIN ACQUISITION CORP | COM CL A | 1M | 125K | – |
| EZCORP INC | NOTE 2.375% 5/0 | 5M | – | – |
| FEDERATED HERMES PREM MUNI I | COM | 1M | 98K | – |
| FINNOVATE ACQUISITION CORP | *W EXP 09/30/202 | 6K | 233K | – |
| FINTECH ECOSYSTEM DEVE | *W EXP 04/01/202 | 250 | 12K | – |
| FINTECH ECOSYSTEM DEVE | RIGHT 04/01/2026 | 3K | 25K | – |
| FIRSTENERGY CORP | NOTE 4.000% 5/0 | 29M | – | – |
| FLAG SHIP ACQUISITION CORP | UNIT 05/22/2029 | 4M | 377K | – |
| FLAHERTY & CRUMRINE PFD INCO | COM | 2M | 153K | – |
| FLAHERTY & CRUMRINE PFD INCO | COM | 809K | 95K | – |
| FLAHERTY & CRUMRINE PFD SECS | COM | 8M | 547K | – |
| FLAHERTY & CRUMRINE TOTAL RE | COM | 2M | 152K | – |
| FOCUS IMPACT ACQUISITION COR | *W EXP 99/99/999 | 4K | 122K | – |
| FOCUS IMPACT BH3 ACQUISITION | *W EXP 99/99/999 | 8K | 99K | – |
| FOCUS IMPACT BH3 ACQUISITION | CLASS A COM | 2M | 144K | – |
| FORD MTR CO DEL | NOTE 3/1 | 31M | – | – |
| FORTUNE RISE ACQUISITION COR | *W EXP 12/06/202 | 3K | 155K | – |
| FOUR LEAF ACQUISITION CORP | *W EXP 03/15/202 | 21K | 465K | – |
| FOUR LEAF ACQUISITION CORP | COM CL A | 5M | 465K | – |
| FRANKLIN LTD DURATION INCOME | COM | 1M | 224K | – |
| FREIGHTOS LTD | *W EXP 99/99/999 | 4K | 28K | – |
| FTAC EMERALD ACQUISITION COR | *W EXP 10/19/202 | 13K | 329K | – |
| FUTURETECH II ACQUISITION CO | *W EXP 08/18/202 | 2K | 116K | – |
| GABELLI DIVID & INCOME TR | COM | 12M | 522K | – |
| GABELLI HLTHCARE & WELLNESS | SHS | 2M | 188K | – |
| GCT SEMICONDUCTOR HLDG INC | COMMON STOCK | 521K | 100K | – |
| GENERAL AMERN INVS CO INC | COM | 5M | 96K | – |
| GENERATION ASIA I ACQUISITIO | CL A ORD SHS | 588K | 52K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | *W EXP 99/99/999 | 10K | 655K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | COMMON STOCK | 495K | 45K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | RIGHT 05/09/2027 | 39K | 655K | – |
| GLOBAL PMTS INC | COM | 3M | 32K | – |
| GLOBAL STAR ACQUISITION INC | *W EXP 07/15/202 | 5K | 205K | – |
| GLOBAL STAR ACQUISITION INC | CLASS A COM | 721K | 65K | – |
| GLOBAL STAR ACQUISITION INC | RIGHT 06/21/2024 | 26K | 205K | – |
| GLOBAL TECHNOLGY ACQSTN CORP | *W EXP 99/99/999 | 5K | 99K | – |
| GLOBALINK INVT INC | *W EXP 12/03/202 | 10K | 192K | – |
| GLOBALINK INVT INC | RIGHT 12/06/2026 | 30K | 192K | – |
| GOLDEN ARROW MERGER CORP | *W EXP 07/31/202 | 32K | 212K | – |
| GOLDEN STAR ACQUISITION CORP | RIGHT 03/30/2025 | 51K | 140K | – |
| GOLDEN STAR ACQUISITION CORP | USD ORD SHS | 2M | 140K | – |
| GOLDENSTONE ACQUISITION LTD | *W EXP 07/15/202 | 5K | 107K | – |
| GOLDENSTONE ACQUISITION LTD | RIGHT 07/15/2026 | 19K | 107K | – |
| GOPRO INC | NOTE 1.250%11/1 | 11M | – | – |
| GORES HOLDINGS IX INC | *W EXP 01/14/202 | 123K | 2M | – |
| GP-ACT III ACQUISITION CORP | UNIT 99/99/9999 | 10M | 1M | – |
| GRAF GLOBAL CORP | UNIT 05/31/2032 | 10M | 1M | – |
| GREEN PLAINS INC | NOTE 2.250% 3/1 | 8M | – | – |
| GREENBRIER COS INC | NOTE 2.875% 4/1 | 30M | – | – |
| GUARDANT HEALTH INC | NOTE 11/1 | 26M | – | – |
| HALL OF FAME RESORT & ENTMT | *W EXP 07/01/202 | 2K | 175K | – |
| HALOZYME THERAPEUTICS INC | NOTE 0.250% 3/0 | 9M | – | – |
| HALOZYME THERAPEUTICS INC | NOTE 1.000% 8/1 | 15M | – | – |
| HANCOCK JOHN INCOME SECS TR | COM | 519K | 48K | – |
| HANCOCK JOHN PREM DIVID FD | COM SH BEN INT | 2M | 171K | – |
| HANCOCK JOHN TAX-ADVANTAGED | COM | 5M | 249K | – |
| HASHICORP INC | COM CL A | 54M | 2M | – |
| HAWAIIAN HOLDINGS INC | COM | 13M | 1M | – |
| HAYMAKER ACQUISITION CORP IV | *W EXP 05/31/202 | 26K | 150K | – |
| HAYMAKER ACQUISITION CORP IV | CLASS A | 7M | 700K | – |
| HAYNES INTL INC | COM NEW | 11M | 191K | – |
| HEALTHCARE AI ACQUISITION CO | *W EXP 12/07/202 | 11K | 276K | – |
| HEARTLAND FINL USA INC | COM | 31M | 688K | – |
| HENNESSY CAPITAL INVST CORP | *W EXP 99/99/999 | 84K | 559K | – |
| HENNESSY CAPITAL INVST CORP | CLASS A COM | 4M | 350K | – |
| HESS CORP | COM | 53M | 360K | – |
| HHG CAPITAL CORPORATION | *W EXP 02/25/202 | 369 | 24K | – |
| HHG CAPITAL CORPORATION | RIGHT 02/25/2026 | 4K | 24K | – |
| HIBBETT INC | COM | 14M | 163K | – |
| HIGHLAND GLOBAL ALLOCATION F | COM | 1M | 194K | – |
| HOLLYSYS AUTOMATION TCHNGY L | SHS | 20M | 927K | – |
| HORIZON SPACE ACQUSTN I CORP | *W EXP 12/27/202 | 4K | 246K | – |
| HORIZON SPACE ACQUSTN I CORP | RIGHT 03/02/2024 | 21K | 246K | – |
| HUDSON ACQUISITION I CORP | RIGHT 99/99/9999 | 39K | 168K | – |
| IB ACQUISITION CORP | COM SHS | 8M | 850K | – |
| IB ACQUISITION CORP | RIGHT 09/28/2025 | 57K | 750K | – |
| ILLUMINA INC | COM | 4M | 35K | – |
| INCEPTION GROWTH ACQUSTN LTD | *W EXP 10/15/202 | 23K | 144K | – |
| INCEPTION GROWTH ACQUSTN LTD | COMMON STOCK | 1M | 112K | – |
| INCEPTION GROWTH ACQUSTN LTD | RIGHT 12/08/2026 | 43K | 289K | – |
| INDEPENDENT BANK GROUP INC | COM | 4M | 88K | – |
| INFINERA CORP | COM | 9M | 1M | – |
| INFINERA CORP | NOTE 2.500% 3/0 | 7M | – | – |
| INFLECTION PT ACQUISITN CRP | *W EXP 08/31/202 | 24K | 250K | – |
| INFLECTION PT ACQUISITN CRP | CL A ORD SHS | 13M | 1M | – |
| INNOVIVA INC | NOTE 2.125% 3/1 | 13M | – | – |
| INOTIV INC | NOTE 3.250%10/1 | 4M | – | – |
| INSIGHT ACQUISITION CORP | *W EXP 08/26/202 | 2K | 62K | – |
| INSIGHT SELECT INCOME FD | COM | 475K | 29K | – |
| INTEGRAL ACQUISITION CORP 1 | *W EXP 05/31/202 | 17K | 167K | – |
| INTEGRATED WELLNESS ACQ CORP | *W EXP 10/31/202 | 4K | 238K | – |
| INTERDIGITAL INC | NOTE 3.500% 6/0 | 25M | – | – |
| INVESCO ADVANTAGE MUN INCOME | SH BEN INT | 3M | 286K | – |
| INVESCO CALIF VALUE MUN INCO | COM | 3M | 317K | – |
| INVESCO MUN OPPORTUNITY TR | COM | 4M | 370K | – |
| INVESCO MUNICIPAL TRUST | COM | 3M | 329K | – |
| INVESCO PA VALUE MUN INC TR | COM | 903K | 83K | – |
| INVESCO QUALITY MUN INCOME T | COM | 3M | 331K | – |
| INVESCO TR INVT GRADE MUNS | COM | 4M | 382K | – |
| INVESCO TR INVT GRADE NEW YO | COM | 1M | 99K | – |
| INVESCO VALUE MUN INCOME TR | COM | 4M | 286K | – |
| INVESTCORP EUROPE ACQUISITIO | *W EXP 12/15/202 | 30K | 633K | – |
| INVESTCORP INDIA ACQUISTN CO | *W EXP 06/01/202 | 12K | 288K | – |
| INVESTCORP INDIA ACQUISTN CO | CLASS A ORD SHS | 3M | 252K | – |
| IONIS PHARMACEUTICALS INC | NOTE 1.750% 6/1 | 24M | – | – |
| IRIS ACQUISITION CORP | *W EXP 02/28/202 | 3K | 81K | – |
| IRON HORSE ACQUISITIONS CORP | *W EXP 99/99/999 | 16K | 460K | – |
| IRON HORSE ACQUISITIONS CORP | COM | 5M | 535K | – |
| IRON HORSE ACQUISITIONS CORP | RIGHT 99/99/9999 | 106K | 460K | – |
| ISRAEL ACQUISITIONS CORP | *W EXP 99/99/999 | 20K | 398K | – |
| ISRAEL ACQUISITIONS CORP | CLASS A ORD | 2M | 225K | – |
| IX ACQUISITION CORP | *W EXP 07/31/202 | 12K | 147K | – |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 2K | 18K | – |
| JAZZ INVESTMENTS I LTD | NOTE 1.500% 8/1 | 75K | – | – |
| JAZZ INVESTMENTS I LTD | NOTE 2.000% 6/1 | 198K | – | – |
| JOHN HANCOCK HEDGED EQUITY & | COM | 2M | 151K | – |
| JUNIPER NETWORKS INC | COM | 21M | 590K | – |
| JVSPAC ACQUISITION CORP | RIGHT 11/26/2026 | 61K | 204K | – |
| JVSPAC ACQUISITION CORP | SHS CL A | 4M | 404K | – |
| KAIROUS ACQUISITION CORP LTD | *W EXP 09/15/202 | 794 | 88K | – |
| KAIROUS ACQUISITION CORP LTD | RIGHT 09/15/2026 | 16K | 176K | – |
| KEEN VISION ACQUISITION CORP | *W EXP 03/15/202 | 9K | 125K | – |
| KEEN VISION ACQUISITION CORP | SHS | 7M | 675K | – |
| KENSINGTON CAPITAL ACQUISITI | *W EXP 99/99/999 | 7K | 253K | – |
| KERNEL GROUP HOLDINGS INC | *W EXP 99/99/999 | 5K | 37K | – |
| LANTHEUS HLDGS INC | NOTE 2.625%12/1 | 21M | – | – |
| LAVORO LTD | *W EXP 02/27/202 | 29K | 72K | – |
| LAZARD GLOBAL TOTAL RETURN & | COM | 2M | 123K | – |
| LCI INDS | NOTE 1.125% 5/1 | 17M | – | – |
| LEAFLY HOLDINGS INC | *W EXP 02/04/202 | 933 | 60K | – |
| LEARN CW INVESTMENT COR | *W EXP 10/08/202 | 12K | 80K | – |
| LEGATO MERGER CORP III | *W EXP 05/08/203 | 98K | 750K | – |
| LEGATO MERGER CORP III | ORD SHS | 15M | 1M | – |
| LIBERTY ALL-STAR GROWTH FD I | COM | 365K | 69K | – |
| LIBERTY MEDIA CORP DEL | NOTE 2.250% 8/1 | 64K | – | – |
| LIBERTY MEDIA CORP DEL | NOTE 3.750% 3/1 | 9M | – | – |
| LIONHEART HOLDINGS | UNIT 99/99/9999 | 21M | 2M | – |
| LIVE NATION ENTERTAINMENT IN | NOTE 2.000% 2/1 | 67K | – | – |
| LIVE NATION ENTERTAINMENT IN | NOTE 3.125% 1/1 | 11M | – | – |
| LUMENTUM HLDGS INC | NOTE 0.500% 6/1 | 8M | – | – |
| LUMENTUM HLDGS INC | NOTE 1.500%12/1 | 8M | – | – |
| LYFT INC | CL A COM | 4M | 251K | – |
| LYFT INC | NOTE 1.500% 5/1 | 22M | – | – |
| MACOM TECH SOLUTIONS HLDGS I | NOTE 0.250% 3/1 | 40M | – | – |
| MAKEMYTRIP LIMITED MAURITIUS | NOTE 2/1 | 67M | – | – |
| MAQUIA CAPITAL ACQUISITION C | *W EXP 99/99/999 | 4K | 197K | – |
| MARATHON OIL CORP | COM | 23M | 815K | – |
| MARBLEGATE ACQUISITION CORP | *W EXP 08/31/202 | 50K | 1M | – |
| MARRIOTT VACATIONS WORLDWIDE | COM | 319K | 4K | – |
| MARRIOTT VACATIONS WORLDWIDE | NOTE 3.250%12/1 | 64K | – | – |
| MARS ACQUISITION CORP | ORDINARY SHARES | 2M | 150K | – |
| MARS ACQUISITION CORP | RIGHT 02/09/2028 | 42K | 175K | – |
| MATTERPORT INC | COM CL A | 15M | 3M | – |
| MCGRATH RENTCORP | COM | 47M | 442K | – |
| MELAR ACQUISITION CORP. I | UNIT 06/10/2029 | 8M | 750K | – |
| MERITAGE HOMES CORP | COM | 5M | 29K | – |
| METAL SKY STAR ACQUISITION C | *W EXP 03/31/202 | 5K | 436K | – |
| METAL SKY STAR ACQUISITION C | RIGHT 12/31/2025 | 26K | 436K | – |
| MFS MUN INCOME TR | SH BEN INT | 123K | 22K | – |
| MGP INGREDIENTS INC NEW | NOTE 1.875%11/1 | 14M | – | – |
| MICROCHIP TECHNOLOGY INC. | NOTE 0.125%11/1 | 40M | – | – |
| MONTEREY CAP ACQUISITION COR | *W EXP 01/01/202 | 12K | 291K | – |
| MONTEREY CAP ACQUISITION COR | RIGHT 05/10/2027 | 53K | 294K | – |
| MORINGA ACQUISITION CORP | *W EXP 02/22/202 | 2K | 20K | – |
| MOUNTAIN & CO I ACQUISITN CO | *W EXP 09/30/202 | 13K | 154K | – |
| MULTISENSOR AI HOLDINGS INC | *W EXP 12/19/202 | 2K | 55K | – |
| NABORS ENERGY TRANSITION COR | *W EXP 09/01/202 | 50K | 500K | – |
| NABORS ENERGY TRANSITION COR | CL A | 24M | 2M | – |
| NATIONAL WESTN LIFE GROUP IN | CL A | 9M | 17K | – |
| NATURES MIRACLE HLDG INC | *W EXP 02/15/202 | 933 | 41K | – |
| NCL CORP LTD | NOTE 1.125% 2/1 | 26M | – | – |
| NEUBERGER BERMAN MUN FD INC | COM | 2M | 210K | – |
| NEW AMER HIGH INCOME FD INC | COM NEW | 852K | 116K | – |
| NEW GERMANY FD INC | COM | 1M | 134K | – |
| NEW HORIZON AIRCRAFT LTD | *W EXP 99/99/999 | 376 | 25K | – |
| NEW PROVIDENCE ACQSITN CORP | *W EXP 11/09/202 | 5K | 144K | – |
| NEWBURY STREET ACQUISITN COR | *W EXP 04/30/202 | 9K | 150K | – |
| NEXTERA ENERGY INC | COM | 19M | 262K | – |
| NICE LTD | NOTE 9/1 | 20M | – | – |
| NIOCORP DEVS LTD | *W EXP 03/17/202 | 27K | 118K | – |
| NORTHERN OIL & GAS INC | NOTE 3.625% 4/1 | 15M | – | – |
| NORTHERN STAR INVSTMNT CORP | *W EXP 01/31/202 | 129 | 25K | – |
| NORTHVIEW ACQUISITION CORP | *W EXP 08/02/202 | 12K | 217K | – |
| NORTHVIEW ACQUISITION CORP | RIGHT 99/99/9999 | 45K | 442K | – |
| NOVA VISION ACQUISITION CORP | *W EXP 12/31/202 | 1K | 73K | – |
| NOVA VISION ACQUISITION CORP | RIGHT 12/23/2023 | 12K | 73K | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 2M | 124K | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 4M | 345K | – |
| NUVEEN ARIZONA QLTY MUN INC | COM | 597K | 54K | – |
| NUVEEN CA QUALTY MUN INCOME | COM | 3M | 227K | – |
| NUVEEN CALIFORNIA AMT QLT MU | COM | 2M | 174K | – |
| NUVEEN DOW 30 DYNMC OVERWRT | SHS | 6M | 465K | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 2M | 148K | – |
| NUVEEN NASDAQ 100 DYNAMIC OV | COM SHS | 3M | 113K | – |
| NUVEEN NEW JERSEY QULT MUN F | COM | 1M | 96K | – |
| NUVEEN NEW YORK AMT QLT MUNI | COM | 2M | 147K | – |
| NUVEEN NEW YORK QLT MUN INC | COM | 2M | 160K | – |
| NUVEEN PENNSYLVANIA QLT MUN | COM | 1M | 91K | – |
| NUVEEN PFD & INCOME OPPORTUN | COM | 9M | 1M | – |
| NUVEEN QUALITY MUNCP INCOME | COM | 5M | 393K | – |
| NUVEEN REAL ASSET INCOME & G | COM | 1M | 118K | – |
| NUVEEN REAL ESTATE INCOME FD | COM | 2M | 281K | – |
| NUVEEN S&P 500 BUY-WRITE INC | COM | 5M | 379K | – |
| NUVEEN VIRGINIA QLTY MUNCPL | COM | 972K | 85K | – |
| NUVEI CORPORATION | SUB VTG SHS | 33M | 1M | – |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 2K | 95K | – |
| OAK WOODS ACQUISITION CORP | CL A | 3M | 295K | – |
| OAK WOODS ACQUISITION CORP | RIGHT 03/23/2028 | 20K | 95K | – |
| OCA ACQUISITION CORP | *W EXP 01/14/202 | 9K | 96K | – |
| OLINK HLDG AB | SPONSORED ADS | 7M | 262K | – |
| ON SEMICONDUCTOR CORP | NOTE 0.500% 3/0 | 23M | – | – |
| ONYX ACQUISITION CO I | *W EXP 11/30/202 | 2K | 142K | – |
| PAPAYA GRWT OPPORTUNITY CORP | *W EXP 12/31/202 | 21K | 601K | – |
| PAPAYA GRWT OPPORTUNITY CORP | CLASS A COM | 520K | 47K | – |
| PARSONS CORP DEL | COM | 5M | 63K | – |
| PATRIA LATIN AMRCN OPPRNTY A | *W EXP 99/99/999 | 19K | 579K | – |
| PATRIA LATIN AMRCN OPPRNTY A | CLASS A ORD SHS | 5M | 425K | – |
| PATRICK INDS INC | NOTE 1.750%12/0 | 28M | – | – |
| PATRIOT NATL BANCORP INC | COM NEW | 326K | 174K | – |
| PEABODY ENGR CORP | NOTE 3.250% 3/0 | 13M | – | – |
| PEARL HOLDINGS ACQUISITN COR | *W EXP 12/15/202 | 15K | 364K | – |
| PERCEPTION CAPITAL CORP III | *W EXP 99/99/999 | 2K | 78K | – |
| PERCEPTION CAPITAL CORP IV | *W EXP 99/99/999 | 8K | 118K | – |
| PERFICIENT INC | COM | 24M | 327K | – |
| PGIM SHORT DUR HIG YLD OPP F | COM | 1M | 93K | – |
| PIMCO CALIF MUN INCOME FD | COM | 109K | 12K | – |
| PIMCO CALIF MUN INCOME FD II | COM | 410K | 70K | – |
| PINSTRIPES HOLDINGS INC | CL A COM | 275K | 100K | – |
| PIONEER MUNICIPAL HIGH INCOM | COM | 2M | 238K | – |
| PIONEER MUNICIPAL HIGH INCOM | COM SHS | 2M | 266K | – |
| PLUM ACQUISITION CORP I | *W EXP 03/18/202 | 3K | 35K | – |
| PLUM ACQUISITION CORP III | *W EXP 03/31/202 | 8K | 121K | – |
| PLUM ACQUISITION CORP III | CLASS A ORD SHS | 3M | 280K | – |
| PONO CAP TWO INC | *W EXP 99/99/999 | 26K | 365K | – |
| POWERSCHOOL HOLDINGS INC | COM CL A | 21M | 959K | – |
| POWERUP ACQUISITION CORP | *W EXP 05/23/202 | 19K | 648K | – |
| PPL CAP FDG INC | NOTE 2.875% 3/1 | 5M | – | – |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 366K | 36K | – |
| PYROPHYTE ACQUISITION CORP | *W EXP 05/03/202 | 5K | 97K | – |
| PYROPHYTE ACQUISITION CORP | CL A ORD SHS | 2M | 196K | – |
| QOMOLANGMA ACQUISITION CORP | *W EXP 09/29/202 | 2K | 99K | – |
| QOMOLANGMA ACQUISITION CORP | COM | 404K | 37K | – |
| QOMOLANGMA ACQUISITION CORP | RIGHT 09/29/2027 | 13K | 99K | – |
| QUETTA ACQUISITION CORP | COM | 5M | 497K | – |
| RF ACQUISITION CORP | *W EXP 05/01/202 | 8K | 375K | – |
| RF ACQUISITION CORP | RIGHT 05/01/2028 | 38K | 379K | – |
| RF ACQUISITION CORP II | UNIT 05/01/2026 | 8M | 750K | – |
| RIGEL RESOURCE ACQ CORP | *W EXP 99/99/999 | 59K | 213K | – |
| RIO TINTO PLC | SPONSORED ADR | 21M | 326K | – |
| ROADZEN INC | *W EXP 11/30/202 | 4K | 81K | – |
| ROTH CH ACQUISITION V CO | *W EXP 12/10/202 | 5K | 89K | – |
| ROYAL CARIBBEAN GROUP | NOTE 6.000% 8/1 | 307M | – | – |
| ROYALTY MGMT HLDG CORP | *W EXP 05/28/202 | 1K | 57K | – |
| ROYCE MICRO-CAP TR INC | COM | 2M | 247K | – |
| ROYCE SMALL CAP TRUST INC | COM | 9M | 597K | – |
| SAREPTA THERAPEUTICS INC | NOTE 1.250% 9/1 | 12M | – | – |
| SDCL EDGE ACQUISITION CORP | *W EXP 99/99/999 | 65K | 267K | – |
| SEA LTD | NOTE 0.250% 9/1 | 20M | – | – |
| SEAGATE TECHNOLOGY HLDNGS PL | ORD SHS | 13M | 128K | – |
| SILK RD MED INC | COM | 5M | 173K | – |
| SILVERBOW RES INC | COM | 24M | 638K | – |
| SILVERBOX CORP III | *W EXP 02/28/202 | 24K | 166K | – |
| SILVERBOX CORP III | COM CL A | 12M | 1M | – |
| SK GROWTH OPPORTUNITIES CORP | *W EXP 06/28/202 | 112K | 473K | – |
| SNAP INC | NOTE 0.125% 3/0 | 30M | – | – |
| SNAP INC | NOTE 0.750% 8/0 | 64K | – | – |
| SNAP INC | NOTE 5/0 | 62K | – | – |
| SOUTHERN CO | NOTE 3.875%12/1 | 8M | – | – |
| SOUTHLAND HLDGS INC | *W EXP 02/14/202 | 19K | 54K | – |
| SOUTHWEST AIRLS CO | NOTE 1.250% 5/0 | 20M | – | – |
| SOUTHWESTERN ENERGY CO | COM | 72M | 11M | – |
| SPARK I ACQUISITION CORP | *W EXP 10/01/203 | 51K | 300K | – |
| SPARK I ACQUISITION CORP | ORD SHS | 7M | 650K | – |
| SPECTAIRE HLDGS INC | *W EXP 10/17/202 | 4K | 112K | – |
| SPRING VALLEY ACQUISTN CORP | *W EXP 02/25/202 | 18K | 230K | – |
| SPRING VALLEY ACQUISTN CORP | RIGHT 02/25/2026 | 67K | 459K | – |
| SPROTT FOCUS TR INC | COM | 750K | 101K | – |
| SQUARESPACE INC | CLASS A | 17M | 389K | – |
| SRH TOTAL RETURN FUND INC | COM | 6M | 402K | – |
| SRIVARU HOLDING LIMITED | *W EXP 12/08/202 | 3K | 310K | – |
| STERICYCLE INC | COM | 35M | 598K | – |
| STERLING CHECK CORP | COM | 14M | 936K | – |
| STRIDE INC | NOTE 1.125% 9/0 | 67M | – | – |
| SURMODICS INC | COM | 5M | 123K | – |
| SWIFTMERGE ACQUISITION CORP | *W EXP 12/13/202 | 16K | 204K | – |
| SWISS HELVETIA FD INC | COM | 407K | 50K | – |
| TARGET GLOBAL ACQUISI I CORP | *W EXP 12/08/202 | 18K | 166K | – |
| TECHNOLOGY & TELECOM ACQ COR | *W EXP 04/15/202 | 17K | 543K | – |
| TELADOC HEALTH INC | NOTE 1.250% 6/0 | 29M | – | – |
| TEMPLETON EMERGING MKTS FD | COM | 1M | 83K | – |
| TENX KEANE ACQUISITION | RIGHT 06/30/2028 | 39K | 121K | – |
| TETRA TECH INC NEW | COM | 6M | 32K | – |
| THORNBURG INCM BUILDER OPP T | COM | 226K | 14K | – |
| THUNDER BRDG CAP PRTNRS IV I | *W EXP 04/30/202 | 24K | 139K | – |
| TLGY ACQUISITION CORPORATION | *W EXP 11/09/202 | 18K | 278K | – |
| TMT ACQUISITION CORP | RIGHT 03/27/2028 | 34K | 100K | – |
| TMT ACQUISITION CORP | SHS | 1M | 100K | – |
| TORTOISEECOFIN ACQUISITION C | *W EXP 07/22/202 | 13K | 84K | – |
| TRAILBLAZER MERGER CORP I | CL A | 6M | 589K | – |
| TRAILBLAZER MERGER CORP I | RIGHT 04/21/2028 | 64K | 539K | – |
| TRANSOCEAN INC | DEB 4.625% 9/3 | 65M | – | – |
| TRAVERE THERAPEUTICS INC | NOTE 2.250% 3/0 | 6M | – | – |
| TRI CONTL CORP | COM | 2M | 60K | – |
| TRISTAR ACQUISITION I CORP | *W EXP 99/99/999 | 39K | 325K | – |
| U S SILICA HLDGS INC | COM | 971K | 63K | – |
| UBER TECHNOLOGIES INC | COM | 14M | 196K | – |
| UNDER ARMOUR INC | CL A | 12M | 2M | – |
| UNITED STATES STL CORP NEW | COM | 26M | 676K | – |
| VALUENCE MERGER CORP I | *W EXP 99/99/999 | 10K | 242K | – |
| VIRTUS DIVIDEND INTEREST & P | COM | 7M | 610K | – |
| VIRTUS TOTAL RETURN FD INC | COM | 3M | 503K | – |
| VISION SENSING ACQUISITION C | *W EXP 99/99/999 | 2K | 92K | – |
| VIZIO HLDG CORP | CL A COM | 43M | 4M | – |
| VOYA EMERGING MKTS HIGH DIVI | COM | 103K | 19K | – |
| VOYA GLBL ADV & PREM OPP FD | COM | 979K | 111K | – |
| VOYA GLBL EQTY DIV & PREM OP | COM | 2M | 325K | – |
| VSEE HEALTH INC | *W EXP 99/99/999 | 31K | 157K | – |
| WAYFAIR INC | NOTE 1.000% 8/1 | 68K | – | – |
| WAYFAIR INC | NOTE 1.125%11/0 | 13M | – | – |
| WAYFAIR INC | NOTE 3.250% 9/1 | 29M | – | – |
| WAYFAIR INC | NOTE 3.500%11/1 | 20M | – | – |
| WELLS FARGO CO NEW | PERP PFD CNV A | 203K | 170 | – |
| WELLTOWER INC | COM | 8M | 72K | – |
| WELSBACH TECH METALS ACQU CO | RIGHT 12/22/2026 | 3K | 26K | – |
| WESTERN ACQSTN VENTURES CORP | *W EXP 99/99/999 | 14K | 423K | – |
| WESTERN ASSET INTER MUNI FD | COM | 104K | 13K | – |
| WESTERN ASSET MANAGED MUNS F | COM | 3M | 312K | – |
| WESTROCK CO | COM | 39M | 777K | – |
| WISDOMTREE INC | NOTE 5.750% 8/1 | 13M | – | – |
| WOLFSPEED INC | NOTE 0.250% 2/1 | 4M | – | – |
| WOLFSPEED INC | NOTE 1.875%12/0 | 42K | – | – |
| XOMETRY INC | NOTE 1.000% 2/0 | 14M | – | – |
| YOTTA ACQUISITION CORPORATIO | *W EXP 03/15/202 | 6K | 542K | – |
| YOTTA ACQUISITION CORPORATIO | RIGHT 03/15/2027 | 54K | 542K | – |
| ZALATORIS ACQUISITION CORP | *W EXP 99/99/999 | 4K | 172K | – |
| ZALATORIS II ACQUISITION COR | CLASS A ORD | 481K | 44K | – |
| ZAPATA COMPUTING HLDGS INC | COM | 53K | 88K | – |
| ZILLOW GROUP INC | CL C CAP STK | 3M | 55K | – |
| ZILLOW GROUP INC | NOTE 2.750% 5/1 | 76K | – | – |
| ZOOMCAR HLDGS INC | *W EXP 05/31/202 | 1K | 131K | – |
| ZOOZ PWR LTD | *W EXP 04/02/202 | 2K | 63K | – |