GABELLI & COMPANY INVESTMENT ADVISERS, INC.
Adviser information for GABELLI & COMPANY INVESTMENT ADVISERS, INC. last updated from Form ADV on March 27th, 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 | Corporation |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 21 |
|---|---|
| Investment Advisory/Research | 18 |
| Registered Broker-Dealer Representatives | 15 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 1 |
| No. of Firms/People that Solicit Clients | 3 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 13 | $1.5B |
| Non-Discretionary | 0 | $0 |
| Total | 13 | $1.5B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 0 | $0 |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 13 | $1.5B |
| 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 | 54 |
Services
| Advisory Services | Portfolio management for pooled investment vehiclesPortfolio management for businesses or institutional clients |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
191 MASON STREETGREENWICH
CT
United States
Monday - Friday, 8 A.M. - 6 P.M.
Tel: 914-921-5135, Fax: None
Chief Compliance Officer
CRAIG WEYNAND
SENIOR VICE PRESIDENT & COUNSEL
191 MASON STREET
GREENWICH
CT
United States
Tel:
(914) 921-8364
C*******@**********M
(Full email address available in API data)
Regulatory Contact
PETER GOLDSTEIN
CHIEF LEGAL OFFICER - ASSOCIATED CAPITAL GROUP, INC.
ONE CORPORATE CENTER
RYE
NY
United States
Tel:
914-921-7774
P*********@**********M
(Full email address available in API data)
Industry Affiliates
| G.DISTRIBUTORS, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| G.RESEARCH, LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| GABELLI & PARTNERS, LLC | Sponsor, GP, manager of pooled investment vehicles |
| GABELLI FUNDS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| GABELLI SECURITIES INTERNATIONAL UK LIMITED | Other investment adviser, including financial planners |
| GAMCO ASSET MANAGEMENT (UK) LTD. | Other investment adviser, including financial planners |
| GAMCO ASSET MANAGEMENT INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| KEELEY-TETON ADVISORS, LLC | Other investment adviser, including financial planners |
| TETON ADVISORS, LLC | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| GABELLI ASSOCIATES FUND II, LP | Hedge Fund | $67.1M | $1.0M | 53 |
| GABELLI ASSOCIATES FUND, LP | Hedge Fund | $237.1M | $1.0M | 73 |
| GABELLI ASSOCIATES LIMITED | Hedge Fund | $338.6M | $1.0M | 65 |
| GABELLI ASSOCIATES LIMITED II E | Hedge Fund | $114.0M | $1.0M | 50 |
| GABELLI FUND, LDC | Hedge Fund | $3.4M | $0.5M | 2 |
| GABELLI INTERMEDIATE CREDIT FUND, LP | Hedge Fund | $31.1M | $1.0M | 28 |
| GABELLI INTERMEDIATE CREDIT FUND, LTD | Hedge Fund | $1.4M | $1.0M | 2 |
| GABELLI INTERNATIONAL LIMITED | Hedge Fund | $19.3M | $1.0M | 7 |
| GABELLI MULTIMEDIA PARTNERS, LP | Hedge Fund | $10.2M | $0.5M | 6 |
| GAMCO MEDICAL OPPORTUNITIES, LP | Hedge Fund | $7.1M | $1.0M | 11 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| ASSOCIATED CAPITAL GROUP, INC. | Domestic Entity | – | SHAREHOLDER - 100% OWNER OF THE REGISTRANT | 11/2015 | > 75% |
| GABELLI, MARIO, JOSEPH | Individual | GGCP, INC. | CEO, DIRECTOR AND MAJORITY SHAREHOLDER OF COMMON STOCK | 11/1976 | 50-75% |
| GGCP, INC. | Domestic Entity | GGCP HOLDINGS LLC | MANAGER AND MEMBER | 05/2010 | > 75% |
| JAMIESON, DOUGLAS, RICHARD | Individual | – | PRESIDENT AND CHIEF EXECUTIVE OFFICER, DIRECTOR | 10/2004 | < 5% |
| GGCP HOLDINGS LLC | Domestic Entity | ASSOCIATED CAPITAL GROUP, INC. | MAJORITY SHAREHOLDER OF THE CLASS B COMMON STOCK | 05/2010 | > 75% |
| GIVISSIS, JOHN, N | Individual | – | COMPTROLLER AND SENIOR VICE PRESIDENT | 12/2004 | < 5% |
| WEYNAND, CRAIG, ALAN | Individual | – | CHIEF COMPLIANCE OFFICER, COUNSEL & SECRETARY | 08/2021 | < 5% |
No. Employees, Historic
RAUM, Historic
No. Clients, Historic
Holdings
From latest 13F, filed August 13th, 2024 for period ending June 30th, 2024
| Name | Class | Value $USD | # Shares | Private Fund |
|---|---|---|---|---|
| 3D SYSTEMS CORP | EQUITY | 77K | 25K | – |
| 7GC & CO HOLDINGS CL A -CW26 | WARRANT | 197 | 13K | – |
| 99 ACQUISITION GROUP IN-C-28 | WARRANT | 2K | 67K | – |
| 99 ACQUISITION GROUP IN-CL A | EQUITY | 699K | 67K | – |
| 99 ACQUISITION GROUP -RTS | EQUITY RIGHT | 18K | 67K | – |
| AARON'S CO INC/THE | EQUITY | 2M | 215K | – |
| ABBVIE INC | EQUITY | 343K | 2K | – |
| ADVANCED MICRO DEVICES | EQUITY | 324K | 2K | – |
| AGRICULTURE & NATURAL SOLUTI | EQUITY | 511K | 50K | – |
| AGRICULTURE & NATURAL SOLU-W | WARRANT | 4K | 25K | – |
| AI TRANSPORTATION ACQUISITIO | EQUITY | 1M | 100K | – |
| AI TRANSPORTATION ACQUIS-RTS | EQUITY RIGHT | 17K | 100K | – |
| ALBERTSONS COS INC - CLASS A | EQUITY | 17M | 849K | – |
| ALCHEMY INVESTMENTS ACQUI-28 | WARRANT | 2K | 12K | – |
| ALCHEMY INVESTMENTS ACQUISIT | EQUITY | 258K | 24K | – |
| ALGONQUIN POWER & UTILITIES | EQUITY | 1M | 214K | – |
| ALIMERA SCIENCES INC | EQUITY | 337K | 61K | – |
| ALLETE INC | EQUITY | 9M | 137K | – |
| ALPHA STAR ACQ CORP - RIGHTS | EQUITY RIGHT | 9K | 90K | – |
| ALPHA STAR ACQUISITION -CW23 | WARRANT | 1K | 90K | – |
| AMAZON.COM INC | EQUITY | 4M | 23K | – |
| AMEDISYS INC | EQUITY | 19M | 204K | – |
| AMERICAN OUTDOOR BRANDS INC | EQUITY | 194K | 22K | – |
| ANEW MEDICAL INC | EQUITY | 25K | 10K | – |
| ANEW MEDICAL INC WTS | WARRANT | 12K | 100K | – |
| ANSYS INC | EQUITY | 6M | 18K | – |
| APPLE INC | EQUITY | 316K | 2K | – |
| APPLIED MATERIALS INC | EQUITY | 578K | 2K | – |
| APPLIED OPTOELECTRONICS INC | EQUITY | 91K | 11K | – |
| ARCADIUM LITHIUM PLC | EQUITY | 213K | 63K | – |
| ARLO TECHNOLOGIES INC | EQUITY | 130K | 10K | – |
| ARROWROOT ACQUISITION -CW26 | WARRANT | 8K | 12K | – |
| ASSETMARK FINANCIAL HOLDINGS | EQUITY | 2M | 55K | – |
| ATLANTA BRAVES HLDS A IN-A | EQUITY | 986K | 24K | – |
| ATLANTA BRAVES HLDS C IN-C | EQUITY | 6M | 164K | – |
| ATLANTICA SUSTAINABLE INFRAS | EQUITY | 2M | 113K | – |
| ATRION CORPORATION | EQUITY | 1M | 3K | – |
| AVANGRID INC | EQUITY | 2M | 43K | – |
| AVANTOR INC | EQUITY | 238K | 11K | – |
| AXONICS INC | EQUITY | 15M | 216K | – |
| BANCROFT FUND LTD | EXCHANGE TRADED | 486K | 31K | – |
| BANK OF AMERICA CORP 7.250 PERP SR:L CVT | PREFERRED CONVER | 329K | 275 | – |
| BANK OF NEW YORK MELLON CORP | EQUITY | 958K | 16K | – |
| BANNIX ACQUISITION CORP-CW23 | WARRANT | 1K | 66K | – |
| BANNIX ACQUISITION CORP-RTS | EQUITY RIGHT | 10K | 66K | – |
| BAUSCH HEALTH COS INC | EQUITY | 99K | 14K | – |
| BECTON DICKINSON AND CO | EQUITY | 263K | 1K | – |
| BELLEVUE LIFE SCIENCES-RTS | EQUITY RIGHT | 2K | 21K | – |
| BELLEVUE LIFE SCIENCES-WRNT | WARRANT | 416 | 21K | – |
| BLACK HAWK ACQUISITION CORP | EQUITY UNIT | 241K | 23K | – |
| BLUE OCEAN ACQUISITION A -23 | WARRANT | 656 | 42K | – |
| BLUEACACIA LTD - RIGHTS | EQUITY RIGHT | 2K | 65K | – |
| BLUEACACIA LTD CL A -CW23 | WARRANT | 481 | 32K | – |
| BOEING CO/THE | EQUITY | 349K | 2K | – |
| BROADCOM INC | EQUITY | 954K | 594 | – |
| BROOKFIELD INFRASTRUCTURE-A USD | EQUITY | 737K | 22K | – |
| CAESARS ENTERTAINMENT INC | EQUITY | 326K | 8K | – |
| CAPRI HOLDINGS LTD | EQUITY | 13M | 403K | – |
| CATALENT INC | EQUITY | 15M | 272K | – |
| CEREVEL THERAPEUTICS HOLDING | EQUITY | 7M | 164K | – |
| CHAMPIONX CORP | EQUITY | 4M | 135K | – |
| CHEMED CORP | EQUITY | 217K | 400 | – |
| CHURCHILL CAPITAL CORP IX | EQUITY UNIT | 676K | 67K | – |
| CHURCHILL CAPITAL CORP VII-A | EQUITY | 1M | 135K | – |
| CHURCHILL CAPITAL VII -CW28 | WARRANT | 18K | 51K | – |
| CHURCHILL DOWNS INC | EQUITY | 558K | 4K | – |
| CISCO SYSTEMS INC | EQUITY | 570K | 12K | – |
| CLEAR CHANNEL OUTDOOR HOLDIN | EQUITY | 78K | 55K | – |
| CLIMATEROCK - CLASS A -27 | WARRANT | 968 | 35K | – |
| CLIMATEROCK -RTS | EQUITY RIGHT | 8K | 69K | – |
| CLOROX COMPANY | EQUITY | 273K | 2K | – |
| CLOVER LEAF CAPITAL CORP-RTS | EQUITY RIGHT | 10K | 46K | – |
| CNH INDUSTRIAL NV | EQUITY | 996K | 98K | – |
| COMTECH TELECOMMUNICATIONS | EQUITY | 129K | 43K | – |
| CONSOLIDATED COMMUNICATIONS | EQUITY | 2M | 505K | – |
| COPART INC | EQUITY | 769K | 14K | – |
| CORNING INC | EQUITY | 699K | 18K | – |
| DELL TECHNOLOGIES -C | EQUITY | 372K | 3K | – |
| DIAMOND OFFSHORE DRILLING IN | EQUITY | 4M | 245K | – |
| DISCOVER FINANCIAL SERVICES | EQUITY | 900K | 7K | – |
| DISTOKEN ACQUISITION CORP-28 | WARRANT | 469 | 31K | – |
| DISTOKEN ACQUISITION RIGHTS | EQUITY RIGHT | 3K | 31K | – |
| ELEVANCE HEALTH INC | EQUITY | 325K | 600 | – |
| ENCORE WIRE CORP | EQUITY | 2M | 6K | – |
| ENDEAVOR GROUP HOLD-CLASS A | EQUITY | 19M | 703K | – |
| EQUITRANS MIDSTREAM CORP | EQUITY | 13M | 966K | – |
| ESH ACQUISITION CORP - RIGHT | EQUITY RIGHT | 28K | 253K | – |
| ESH ACQUISITION CORP-A | EQUITY | 3M | 253K | – |
| EVERBRIDGE INC | EQUITY | 15M | 439K | – |
| EVOLENT HEALTH INC - A | EQUITY | 196K | 10K | – |
| FORD MOTOR CO | EQUITY | 226K | 18K | – |
| FOX CORP - CLASS B | EQUITY | 5M | 163K | – |
| FTAI AVIATION LTD | EQUITY | 258K | 3K | – |
| GABELLI CONVERT & INC SEC | EXCHANGE TRADED | 1M | 345K | – |
| GABELLI DIVIDEND & INCOME TR | EXCHANGE TRADED | 14M | 626K | – |
| GABELLI GLOBAL SMALL & M | EXCHANGE TRADED | 934K | 83K | – |
| GABELLI GLOBAL UTIL & INCOME | EXCHANGE TRADED | 7M | 487K | – |
| GABELLI LOVE OUR PLANET & PE | EXCHANGE TRADED | 393K | 15K | – |
| GABELLI MULTIMEDIA TRUST INC | EXCHANGE TRADED | 2M | 432K | – |
| GABELLI MULTIMEDIA TRUST RIGHTS | EQUITY RIGHT | 91K | 432K | – |
| GAMCO NATURAL RESOURCES GOLD | EXCHANGE TRADED | 72K | 13K | – |
| GAN LTD | EQUITY | 780K | 529K | – |
| GDL FUND | EXCHANGE TRADED | 14M | 2M | – |
| GENERAL ELECTRIC CO | EQUITY | 382K | 2K | – |
| GENERAL MOTORS CO | EQUITY | 683K | 15K | – |
| GLOBAL LIGHTS ACQUISITION CO | EQUITY UNIT | 209K | 20K | – |
| GLOBALINK INVESTMENT -CW23 | WARRANT | 3K | 53K | – |
| GLOBALINK INVESTMENT INC-RTS | EQUITY RIGHT | 8K | 53K | – |
| GOLDEN ENTERTAINMENT INC | EQUITY | 579K | 19K | – |
| GOLDEN STAR ACQUISITIO-RIGHT | EQUITY RIGHT | 21K | 57K | – |
| GRAF ACQUISITION CORP-CW28 | WARRANT | 2K | 17K | – |
| GRAHAM HOLDINGS CO-CLASS B | EQUITY | 1M | 2K | – |
| GRIFOLS SA-ADR | DEPOSITORY RECEI | 123K | 20K | – |
| GRUPO TELEVISA SA-SPON ADR | DEPOSITORY RECEI | 1M | 367K | – |
| GYRODYNE LLC | EQUITY | 1M | 173K | – |
| HAGERTY INC-A | EQUITY | 1M | 103K | – |
| HASHICORP INC-CL A | EQUITY | 25M | 752K | – |
| HAWAIIAN HOLDINGS INC | EQUITY | 669K | 54K | – |
| HAYMAKER ACQUISITION CORP 4 | EQUITY | 408K | 39K | – |
| HAYMAKER ACQUISITION CORP-28 | WARRANT | 3K | 19K | – |
| HAYNES INTERNATIONAL INC | EQUITY | 9M | 160K | – |
| HCA HEALTHCARE INC | EQUITY | 241K | 750 | – |
| HEARTLAND FINANCIAL USA INC | EQUITY | 817K | 18K | – |
| HEICO CORP-CLASS A | EQUITY | 4M | 23K | – |
| HESS CORP | EQUITY | 41M | 275K | – |
| HEWLETT PACKARD ENTERPRISE | EQUITY | 233K | 11K | – |
| HEXCEL CORP | EQUITY | 250K | 4K | – |
| HIBBETT INC | EQUITY | 11M | 127K | – |
| HOLLYSYS AUTOMATION TECHNOLO | EQUITY | 3M | 148K | – |
| HORIZON SPACE ACQUISITION-28 | WARRANT | 1K | 68K | – |
| HORIZON SPACE ACQUISITION-RT | EQUITY RIGHT | 6K | 68K | – |
| ICC HOLDINGS INC | EQUITY | 928K | 41K | – |
| IMAX CORP 0.500 04/01/26 CVT | BOND CONVERTIBLE | 469K | – | – |
| INFINERA CORP | EQUITY | 1M | 209K | – |
| INFINERA CORP 2.125 09/01/24 CVT | BOND CONVERTIBLE | 249K | – | – |
| INTEL CORP | EQUITY | 290K | 9K | – |
| INTEVAC INC | EQUITY | 963K | 249K | – |
| IROBOT CORP | EQUITY | 506K | 56K | – |
| JAWS MUSTANG ACQ C -CW26 | WARRANT | 1K | 13K | – |
| JET.AI INC -CW23 | WARRANT | 6K | 89K | – |
| JETBLUE AIRWAYS CORP | EQUITY | 386K | 63K | – |
| JOHNSON & JOHNSON | EQUITY | 292K | 2K | – |
| JVSPAC ACQUISITION CORP | EQUITY UNIT | 859K | 82K | – |
| KERNEL GROUP HLDG -A -CW27 | WARRANT | 3K | 25K | – |
| KINS TECH GROUP CL A -CW25 | WARRANT | 17K | 83K | – |
| KKR & CO INC | EQUITY | 4M | 40K | – |
| KYNDRYL HOLDINGS INC | EQUITY | 213K | 8K | – |
| LENNAR CORP - B SHS | EQUITY | 6M | 43K | – |
| LIBERTY GLOBAL LTD-A | EQUITY | 3M | 152K | – |
| LIBERTY MEDIA CORP - C - -LIBERTY-C | EQUITY | 3M | 68K | – |
| LIBERTY MEDIA CORP-CL A NEW | EQUITY | 4M | 196K | – |
| LIBERTY MEDIA CORP-CL C NEW | EQUITY | 2M | 93K | – |
| LIONS GATE ENTERTAINMENT-A | EQUITY | 109K | 12K | – |
| MACY'S INC | EQUITY | 1M | 54K | – |
| MADISON SQUARE GARDEN SPORTS | EQUITY | 1M | 7K | – |
| MAGNACHIP SEMICONDUCTOR CORP | EQUITY | 800K | 164K | – |
| MANCHESTER UNITED PLC-CL A | EQUITY | 2M | 105K | – |
| MARATHON OIL CORP | EQUITY | 4M | 156K | – |
| MARS ACQUISITION CORP-RIGHTS | EQUITY RIGHT | 7K | 30K | – |
| MATTERPORT INC | EQUITY | 2M | 450K | – |
| MCDONALD'S CORP | EQUITY | 586K | 2K | – |
| MCGRATH RENTCORP | EQUITY | 4M | 33K | – |
| META PLATFORMS INC-CLASS A | EQUITY | 788K | 2K | – |
| MICRON TECHNOLOGY INC | EQUITY | 500K | 4K | – |
| MICROSOFT CORP | EQUITY | 983K | 2K | – |
| MILLICOM INTL CELLULAR S.A. | EQUITY | 2M | 66K | – |
| JUNIPER NETWORKS INC | EQUITY | 15M | 412K | – |
| MKS INSTRUMENTS INC | EQUITY | 290K | 2K | – |
| MORINGA ACQUISITION COR-CW26 | WARRANT | 3K | 38K | – |
| MOUNTAIN & CO I ACQ -CW23 | WARRANT | 2K | 22K | – |
| MOUNTAIN CREST ACQUISITI-RTS | EQUITY RIGHT | 6K | 54K | – |
| N-ABLE INC | EQUITY | 236K | 16K | – |
| NATIONAL FUEL GAS CO | EQUITY | 1M | 19K | – |
| NATIONAL WESTERN LIFE GROU-A | EQUITY | 10M | 20K | – |
| NET LEASE OFFICE PROPERTY | EQUITY | 2M | 95K | – |
| NEWMONT CORP | EQUITY | 260K | 6K | – |
| NORTHVIEW ACQUISITION -23 | WARRANT | 3K | 53K | – |
| NORTHVIEW ACQUISITION CO-RTS | EQUITY RIGHT | 11K | 105K | – |
| NUVEI CORP-SUBORDINATE VTG | EQUITY | 2M | 69K | – |
| NXP SEMICONDUCTORS NV | EQUITY | 1M | 5K | – |
| OCA ACQ CORP -CL A -CW27 | WARRANT | 2K | 19K | – |
| OCULIS HOLDING AG -30 | WARRANT | 41K | 22K | – |
| OLINK HOLDING AB - ADR | DEPOSITORY RECEI | 5M | 204K | – |
| OVERSEAS SHIPHOLDING GROUP-A | EQUITY | 3M | 317K | – |
| PARAMOUNT GLOBAL-CLASS A | EQUITY | 2M | 84K | – |
| PERFICIENT INC | EQUITY | 7M | 93K | – |
| PERRIGO CO PLC | EQUITY | 424K | 17K | – |
| PFIZER INC | EQUITY | 700K | 25K | – |
| PLAYAGS INC | EQUITY | 4M | 319K | – |
| PNM RESOURCES INC | EQUITY | 14M | 367K | – |
| POWERSCHOOL HOLDINGS INC-A | EQUITY | 6M | 259K | – |
| PRESTO AUTOMATION INC-27 | WARRANT | 9K | 301K | – |
| PROCTER & GAMBLE CO/THE | EQUITY | 474K | 3K | – |
| PROTO LABS INC | EQUITY | 448K | 15K | – |
| R1 RCM INC | EQUITY | 2M | 127K | – |
| ROTH CH ACQUISITION V -CW23 | WARRANT | 606 | 11K | – |
| SERITAGE GROWTH PROP- A | EQUITY | 3M | 748K | – |
| SHARECARE INC | EQUITY | 792K | 587K | – |
| SILICON MOTION TECHNOL-ADR | DEPOSITORY RECEI | 2M | 30K | – |
| SILK ROAD MEDICAL INC | EQUITY | 4M | 149K | – |
| SILVERBOW RESOURCES INC | EQUITY | 4M | 102K | – |
| SINCLAIR INC | EQUITY | 555K | 42K | – |
| SLAM CORP-A | EQUITY | 3M | 285K | – |
| SLAM CORP-A -CW27 | WARRANT | 4K | 17K | – |
| SOLARWINDS CORP | EQUITY | 157K | 13K | – |
| SONY GROUP CORP - SP ADR | DEPOSITORY RECEI | 761K | 9K | – |
| SOUTHWEST GAS HOLDINGS INC | EQUITY | 2M | 34K | – |
| SOUTHWESTERN ENERGY CO | EQUITY | 2M | 229K | – |
| SPARK I ACQUISITION CORP | EQUITY | 262K | 25K | – |
| SPARK I ACQUISITION CORP-28 | WARRANT | 2K | 13K | – |
| SPECTRUM BRANDS HOLDINGS INC | EQUITY | 859K | 10K | – |
| SPIRIT AEROSYSTEMS HOLD-CL A | EQUITY | 2M | 68K | – |
| SPORTSMAN'S WAREHOUSE HOLDIN | EQUITY | 2M | 769K | – |
| SPORTSMAP TECH ACQ -CW27 | WARRANT | 747 | 25K | – |
| SPRING VALLEY ACQUISITION-AW | WARRANT | 5K | 65K | – |
| SPRING VALLEY ACQUISIT-RIGHT | EQUITY RIGHT | 16K | 130K | – |
| SQUARESPACE INC - CLASS A | EQUITY | 12M | 264K | – |
| STAR HOLDINGS | EQUITY | 712K | 59K | – |
| STARBUCKS CORP | EQUITY | 1M | 15K | – |
| STERICYCLE INC | EQUITY | 11M | 181K | – |
| STERLING CHECK CORP | EQUITY | 4M | 292K | – |
| STRATASYS LTD | EQUITY | 1M | 122K | – |
| SUNCAR TECHNOLOGY GROUP -28 | WARRANT | 8K | 47K | – |
| SURMODICS INC | EQUITY | 3M | 72K | – |
| TAIWAN SEMICONDUCTOR-SP ADR | DEPOSITORY RECEI | 261K | 2K | – |
| TARGET HOSPITALITY CORP | EQUITY | 277K | 32K | – |
| TECK RESOURCES LTD-CLS B | EQUITY | 1M | 22K | – |
| TEGNA INC | EQUITY | 12M | 876K | – |
| TELEFONICA SA-SPON ADR | DEPOSITORY RECEI | 278K | 66K | – |
| TELEPHONE AND DATA SYSTEMS | EQUITY | 238K | 12K | – |
| TELESAT CORP | EQUITY | 917K | 101K | – |
| TENCENT MUSIC ENTERTAINM-ADR | DEPOSITORY RECEI | 141K | 10K | – |
| TENET HEALTHCARE CORP | EQUITY | 279K | 2K | – |
| TERRITORIAL BANCORP INC | EQUITY | 419K | 52K | – |
| TEVA PHARMACEUTICAL-SP ADR | DEPOSITORY RECEI | 163K | 10K | – |
| TEXAS INSTRUMENTS INC | EQUITY | 525K | 3K | – |
| TEXAS PACIFIC LAND CORP | EQUITY | 1M | 1K | – |
| TEXTRON INC | EQUITY | 232K | 3K | – |
| THE CIGNA GROUP | EQUITY | 298K | 900 | – |
| T-MOBILE US INC | EQUITY | 2M | 12K | – |
| TMT ACQUISITION CORP-CL A | EQUITY | 1M | 94K | – |
| TMT ACQUISITION CORP-RT | EQUITY RIGHT | 32K | 94K | – |
| TRAILBLAZER MERGER CORP I | EQUITY | 1M | 111K | – |
| TRAILBLAZER MERGER CORP-RTS | EQUITY RIGHT | 13K | 111K | – |
| UNITED STATES STEEL CORP | EQUITY | 16M | 414K | – |
| UNITEDHEALTH GROUP INC | EQUITY | 356K | 700 | – |
| UNIVERSAL DISPLAY CORP | EQUITY | 366K | 2K | – |
| US SILICA HOLDINGS INC | EQUITY | 4M | 277K | – |
| VIMEO INC | EQUITY | 117K | 32K | – |
| VISTA OUTDOOR INC | EQUITY | 3M | 68K | – |
| VIZIO HOLDING CORP-A | EQUITY | 7M | 643K | – |
| VODAFONE GROUP PLC-SP ADR | DEPOSITORY RECEI | 279K | 32K | – |
| WALKME LTD | EQUITY | 2M | 164K | – |
| WARNER BROS DISCOVERY INC | EQUITY | 453K | 61K | – |
| WELLS FARGO & COMPANY 7.500 PERP SR:L CVT | PREFERRED CONVER | 297K | 250 | – |
| WENDY'S CO/THE | EQUITY | 220K | 13K | – |
| WESTROCK CO | EQUITY | 2M | 32K | – |
| WESTWOOD HOLDINGS GROUP INC | EQUITY | 134K | 11K | – |
| WHOLE EARTH BRANDS INC | EQUITY | 2M | 430K | – |
| WIDEOPENWEST INC | EQUITY | 681K | 126K | – |
| WISDOMTREE INC | EQUITY | 277K | 28K | – |
| ZAPP ELECTRIC VEHICLES -28 | WARRANT | 789 | 44K | – |