Hedge Fund Database

WHITEBOX ADVISORS LLC

Adviser information for WHITEBOX ADVISORS 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 65
Investment Advisory/Research 36
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 20 $9.6B
Non-Discretionary 0 $0
Total 20 $9.6B

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 20 $9.6B
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 60
No. of Financial Planning Clients 0

Services

Advisory Services Portfolio management for pooled investment vehicles
Compensation % of AUMPerformance-based fees
Other Business Activities Commodity pool operator or commodity trading advisor

Identifiers

SEC RIA File Number 801-65882
SEC ERA File Number 801-65882
SEC CIK Numbers 1257391
SEC CRD Numbers 121995
Legal Entity Identifier 51N7JKSPTG5EBVF38I88

Principal Office

3033 EXCELSIOR BOULEVARD
SUITE 500
MINNEAPOLIS
MN
United States
Monday - Friday, 8 A.M - 5 P.M. CST
Tel: 612-253-6001, Fax: 612-253-6100

Websites

www.whiteboxadvisors.com www.linkedin.com/company/whitebox-advisors/

Chief Compliance Officer

LISA CONRAD
GENERAL COUNSEL & CHIEF COMPLIANCE OFFICER
515 MADISON AVENUE
34TH FLOOR
NEW YORK
NY
United States
Tel: 612-701-7103
Fax: 612-355-2113
(Full email address available in API data)

Regulatory Contact

MUQUARRAB BIN KARIM
CHIEF OPERATING OFFICER & CHIEF FINANCIAL OFFICER
515 MADISON AVENUE
34TH FLOOR
NEW YORK
NY
United States
Tel: 646 494-7635
Fax: 612-355-2113
(Full email address available in API data)

Industry Affiliates

WHITEBOX ADVISORS AUSTRALIA PTY LTD. Other investment adviser, including financial planners
WHITEBOX ADVISORS LONDON, LLP Other investment adviser, including financial planners
WHITEBOX CAJA BLANCA GP LLC Sponsor, GP, manager of pooled investment vehicles
WHITEBOX CAPITAL MANAGEMENT LLC Other investment adviser, including financial planners
WHITEBOX GENERAL PARTNER LLC Sponsor, GP, manager of pooled investment vehicles

Private Funds

Name Type Assets $USD Min Investment $USD No. Owners
PANDORA SELECT PARTNERS, L.P. Hedge Fund $338.9M $10.0M 6
WHITEBOX CAJA BLANCA FUND, LP Hedge Fund $70.3M $0.0M 2
WHITEBOX CLO I LTD Securitized Asset Fund $401.4M $0.3M 2
WHITEBOX CLO II LTD Securitized Asset Fund $404.4M $0.3M 2
WHITEBOX CLO III LTD Securitized Asset Fund $423.1M $0.3M 2
WHITEBOX CLO IV LTD. Securitized Asset Fund $406.0M $0.3M 2
WHITEBOX CREDIT PARTNERS, L.P. Hedge Fund $49.6M $5.0M 30
WHITEBOX GT FUND, L.P. Hedge Fund $277.9M $0.0M 4
WHITEBOX INSTITUTIONAL PARTNERS, L.P. Hedge Fund $4.4M $0.0M 2
WHITEBOX KFA ADVANTAGE, LLC Hedge Fund $79.1M $0.0M 2
WHITEBOX MULTI-STRATEGY PARTNERS, L.P. Hedge Fund $3,510.0M $5.0M 770
WHITEBOX RELATIVE VALUE PARTNERS, L.P. Hedge Fund $3,600.5M $5.0M 160

Control Persons

Name Type Entity Title Since Ownership
VOGEL, ROBERT, JACOB Individual – PARTNER, CHIEF INVESTMENT OFFICER 01/2004 < 5%
LOFTON, BRIAN, JOSEPH Individual – CHIEF RISK OFFICER 05/2014 < 5%
BLUE OWL GP STAKES II (A) LP Foreign Entity – NON-VOTING MEMBER OF WHITEBOX ADVISORS LLC 08/2015 < 5%
BLUE OWL GP STAKES II (B) LP Foreign Entity – NON-VOTING MEMBER OF WHITEBOX GENERAL PARTNER LLC 08/2015 < 5%
SKAGDAY, INC. Domestic Entity – MEMBER OF WHITEBOX ADVISORS LLC 08/2015 50-75%
CONRAD, LISA, RAGGI Individual – GENERAL COUNSEL AND CHIEF COMPLIANCE OFFICER 04/2021 < 5%
VOGEL, ROBERT, JACOB Individual SKAGDAY, INC. SOLE OWNER 07/2011 > 75%
MERCER, JACOB, PAUL Individual – PARTNER, HEAD OF SPECIAL SITUATIONS AND RESTRUCTURING 01/2017 10-25%
KARIM, MUQUARRAB, BIN Individual – CHIEF OPERATING OFFICER AND CHIEF FINANCIAL OFFICER 07/2020 < 5%
BLUE OWL GP STAKES II GP LLC Foreign Entity BLUE OWL GP STAKES II (A) LP GENERAL PARTNER 05/2021
DYAL GP HOLDINGS LLC Domestic Entity BLUE OWL GP STAKES II GP LLC MANAGING MEMBER 05/2021
BLUE OWL CAPITAL CARRY LP Domestic Entity BLUE OWL GP STAKES GP HOLDINGS LLC MEMBER 05/2021 > 75%
BLUE OWL CAPITAL GP LLC Domestic Entity BLUE OWL CAPITAL CARRY LP GENERAL PARTNER 05/2021
BLUE OWL GP STAKES II US INVESTORS LP Domestic Entity BLUE OWL GP STAKES II (A) LP LIMITED PARTNER 09/2013 25-50%
DYAL US II LLC Domestic Entity BLUE OWL GP STAKES II (A) LP LIMITED PARTNER 12/2013 50-75%
BLUE OWL GP STAKES II OFFSHORE INVESTORS LP Foreign Entity DYAL US II LLC MEMBER 12/2013 > 75%
BLUE OWL GP STAKES II GP LLC Foreign Entity BLUE OWL GP STAKES II OFFSHORE INVESTORS LP GENERAL PARTNER 05/2021
BLUE OWL GP STAKES GP HOLDINGS LLC Domestic Entity BLUE OWL GP STAKES II GP LLC MANAGING MEMBER 05/2021
NBSH BLUE INVESTMENTS, LLC Domestic Entity BLUE OWL CAPITAL CARRY LP LIMITED PARTNER 05/2021 25-50%
NBSH ACQUISITION LLC Domestic Entity NBSH BLUE INVESTMENTS, LLC MANAGING MEMBER 05/2021
BLUE OWL GP STAKES II US INVESTORS LP Domestic Entity BLUE OWL GP STAKES II (B) LP LIMITED PARTNER 09/2013 25-50%
DYAL CAYMAN OFFSHORE II LP Foreign Entity BLUE OWL GP STAKES II (B) LP LIMITED PARTNER 12/2013 50-75%
BLUE OWL GP STAKES II OFFSHORE INVESTORS LP Foreign Entity DYAL CAYMAN OFFSHORE II LP LIMITED PARTNER 12/2013 > 75%
BLUE OWL GP STAKES II GP LLC Foreign Entity BLUE OWL GP STAKES II US INVESTORS LP GENERAL PARTNER 05/2021
BLUE OWL GP STAKES II GP LLC Foreign Entity DYAL CAYMAN OFFSHORE II LP GENERAL PARTNER 05/2021
BLUE OWL GP STAKES II GP LLC Foreign Entity DYAL US II LLC MANAGING MEMBER 05/2021
ROOS, PAUL Individual – PARTNER, HEAD OF STRUCTURED CREDIT 06/2021 5-10%
STUKAS, NICKOLAS, ARTHUR Individual – PARTNER, HEAD OF CREDIT RELATIVE VALUE 05/2022 < 5%
LUTZ, BRIAN, GERALD Individual – PARTNER, HEAD OF CONVERTIBLE ARBITRAGE 05/2022 < 5%
BLUE OWL GP STAKES II GP LLC Foreign Entity BLUE OWL GP STAKES II (B) LP GENERAL PARTNER 05/2021
BLUE OWL CAPITAL GP HOLDINGS LLC Domestic Entity BLUE OWL CAPITAL GP LLC MANAGING MEMBER 11/2021 > 75%
BLUE OWL CAPITAL INC. Domestic Entity BLUE OWL CAPITAL GP HOLDINGS LLC MANAGING MEMBER 11/2021 > 75%

No. Employees, Historic

100500201920202021202220232024202591 on 4/15/201991 on 6/26/201991 on 8/1/201991 on 8/1/201991 on 9/5/201991 on 9/5/201991 on 9/25/201991 on 12/17/201993 on 3/30/202093 on 5/13/202093 on 5/22/202093 on 7/13/202093 on 7/30/202093 on 8/26/202093 on 9/14/202093 on 11/12/202074 on 3/26/202174 on 4/19/202174 on 6/16/202174 on 6/23/202174 on 7/28/202174 on 8/16/202174 on 8/16/202174 on 2/11/202274 on 2/28/202263 on 3/31/202263 on 6/1/202263 on 1/25/202363 on 2/14/202368 on 3/31/202368 on 6/12/202368 on 7/28/202365 on 3/28/2024

RAUM, Historic

20B10B020192020202120222023202420259251662540 on 4/15/20199251662540 on 6/26/20199251662540 on 8/1/20199251662540 on 8/1/20199251662540 on 9/5/20199251662540 on 9/5/20199251662540 on 9/25/20199251662540 on 12/17/20198853786483 on 3/30/20208853786483 on 5/13/20208853786483 on 5/22/20208853786483 on 7/13/20208853786483 on 7/30/20208853786483 on 8/26/20208853786483 on 9/14/20208853786483 on 11/12/20209975062179 on 3/26/20219975062179 on 4/19/20219975062179 on 6/16/20219975062179 on 6/23/20219975062179 on 7/28/20219975062179 on 8/16/20219975062179 on 8/16/20219975062179 on 2/11/20229975062179 on 2/28/202210628950544 on 3/31/202210628950544 on 6/1/202210628950544 on 1/25/202310628950544 on 2/14/20239519581000 on 3/31/20239519581000 on 6/12/20239519581000 on 7/28/20239565705000 on 3/28/2024

No. Clients, Historic

30150201920202021202220232024202522 on 4/15/201922 on 6/26/201922 on 8/1/201922 on 8/1/201922 on 9/5/201922 on 9/5/201922 on 9/25/201922 on 12/17/201923 on 3/30/202023 on 5/13/202023 on 5/22/202023 on 7/13/202023 on 7/30/202023 on 8/26/202023 on 9/14/202023 on 11/12/202024 on 3/26/202124 on 4/19/202124 on 6/16/202124 on 6/23/202124 on 7/28/202124 on 8/16/202124 on 8/16/202124 on 2/11/202224 on 2/28/202225 on 3/31/202225 on 6/1/202225 on 1/25/202325 on 2/14/202323 on 3/31/202323 on 6/12/202323 on 7/28/202320 on 3/28/2024

Holdings

From latest 13F, filed August 14th, 2024 for period ending June 30th, 2024
Name Class Value $USD # Shares Private Fund
99 ACQUISITION GROUP INC CL A 368K 35K –
99 ACQUISITION GROUP INC RIGHT 08/25/2028 9K 35K –
99 ACQUISITION GROUP INC *W EXP 08/25/202 1K 35K –
AERIES TECHNOLOGY INC *W EXP 11/06/202 2K 61K –
AI TRANSN ACQUISITION CORP ORD SHS 207K 20K –
AI TRANSN ACQUISITION CORP RIGHT 09/01/2028 3K 20K –
AIMFINITY INVESTMENT CORP I *W EXP 99/99/999 7K 350K –
AIRSHIP AI HLDGS INC *W EXP 12/21/202 8K 23K –
ALBERTSONS COS INC COMMON STOCK 25M 1M –
ALGOMA STL GROUP INC *W EXP 10/19/202 43K 48K –
ALGONQUIN PWR UTILS CORP COM 19M 3M –
ALLIANCEBERNSTEIN NATL MUN I COM 1M 107K –
ALPHA TAU MEDICAL LTD *W EXP 99/99/999 33K 146K –
ALTENERGY ACQUISITION CORP *W EXP 10/29/202 1K 63K –
AMC ENTMT HLDGS INC CL A NEW 8M 2M –
AMERICAN AIRLINES GROUP INC NOTE 6.500% 7/0 89M – –
AMERICAN AIRLS GROUP INC COM 20M 2M –
AMERICAN AIRLS GROUP INC COM 898K 79K –
AMERICAN AXLE & MFG HLDGS IN COM 7M 1M –
ANYWHERE REAL ESTATE INC COM 497K 150K –
APOLLOMICS INC *W EXP 04/01/202 3K 200K –
APPLE INC COM 32M 150K –
APX ACQUISITION CORP I *W EXP 99/99/999 21K 125K –
ARMADA ACQUISITION CORP I *W EXP 99/99/999 7K 50K –
AROGO CAPITAL ACQUISITION CO *W EXP 03/23/202 5K 176K –
ARRAY TECHNOLOGIES INC NOTE 1.000%12/0 24M – –
ARTIVION INC NOTE 4.250% 7/0 24M – –
AT&T INC COM 3M 148K –
ATHENA TECHNOLOGY ACQ CORP I *W EXP 10/17/202 2K 50K –
ATLANTIC COASTAL AQSTN CORP *W EXP 99/99/999 1K 13K –
AURA FAT PROJS ACQUISITION C *W EXP 99/99/999 3K 200K –
AVIS BUDGET GROUP COM 2M 20K –
AZUL S A SPONSR ADR PFD 2M 500K –
BALLYS CORPORATION COM 953K 80K –
BANNIX ACQUISITION CORP RIGHT 07/31/2026 15K 100K –
BANNIX ACQUISITION CORP *W EXP 07/31/202 2K 100K –
BATTERY FUTURE ACQUISITION C *W EXP 99/99/999 990 50K –
BAUSCH HEALTH COS INC COM 10M 1M –
BAUSCH PLUS LOMB CORP COMMON SHARES 22M 2M –
BAXTER INTL INC COM 26M 788K –
BEYOND MEAT INC NOTE 3/1 16M – –
BEYOND MEAT INC COM 19M 3M –
BIGBEAR AI HLDGS INC *W EXP 12/08/202 11K 69K –
BILIBILI INC NOTE 0.500%12/0 3M – –
BITCOIN DEPOT INC *W EXP 06/30/202 11K 225K –
BLACK HAWK ACQUISITION CORP USD CL A SHS 1M 125K –
BLACK HAWK ACQUISITION CORP RIGHT 06/20/2025 28K 25K –
BLACKROCK MUNIHLDGS NY QLTY COM 2M 140K –
BLACKROCK MUNIHOLDINGS QUALI COM 972K 95K –
BLACKROCK N Y MUN INCOME TRU SH BEN INT 808K 75K –
BLEUACACIA LTD RIGHT 10/30/2026 4K 100K –
BLEUACACIA LTD *W EXP 10/30/202 745 50K –
BLOCKCHAIN COINVSTRS ACQ CRP *W EXP 11/01/202 4K 75K –
BLOOM ENERGY CORP NOTE 3.000% 6/0 21M – –
BLOOM ENERGY CORP COM CL A 4M 340K –
BLUE OCEAN ACQUISITION CORP *W EXP 99/99/999 1K 75K –
BLUERIVER ACQUISITION CORP *W EXP 01/04/202 313 23K –
BNY MELLON MUN BD INFRASTRUC COM SHS 1M 120K –
BNY MELLON MUN INCOME INC COM 2M 211K –
BNY MELLON STRATEGIC MUN BD COM 985K 166K –
BOREALIS FOODS INC *W EXP 02/07/202 11K 160K –
BRAND ENGAGEMENT NETWORK INC *W EXP 03/14/202 966 31K –
BREAD FINANCIAL HOLDINGS INC NOTE 4.250% 6/1 57M – –
BRIDGER AEROSPACE GRP HLDGS *W EXP 01/24/202 6K 46K –
BUKIT JALIL GBL ACQUISITION RIGHT 12/30/2024 8K 50K –
BUKIT JALIL GBL ACQUISITION *W EXP 12/30/202 600 25K –
BURTECH ACQUISITION CORP *W EXP 12/18/202 56K 225K –
CABLE ONE INC NOTE 1.125% 3/1 4M – –
CACTUS ACQUISITION CORP 1 LT *W EXP 08/17/202 545 10K –
CANADIAN SOLAR INC NOTE 2.500%10/0 32M – –
CANNA GLOBAL ACQUISITION COR *W EXP 99/99/999 3K 275K –
CAPTIVISION INC *W EXP 11/15/202 3K 38K –
CARBON REVOLUTION LTD *W EXP 99/99/999 445 15K –
CARDLYTICS INC NOTE 1.000% 9/1 3M – –
CARMELL CORPORATION *W EXP 07/12/202 1K 19K –
CARNIVAL CORP UNIT 99/99/9999 33M 2M –
CARNIVAL CORP UNIT 99/99/9999 780K 42K –
CARTESIAN GROWTH CORP II *W EXP 07/12/202 3K 33K –
CARTICA ACQUISITION CORP *W EXP 04/30/202 2K 10K –
CERO THERAPEUTICS HLDGS INC *W EXP 02/13/202 503 25K –
CHARTER COMMUNICATIONS INC N CL A 15M 50K –
CHORD ENERGY CORPORATION COM NEW 27M 161K –
CINEMARK HLDGS INC NOTE 4.500% 8/1 23M – –
CLEAR CHANNEL OUTDOOR HLDGS COM 2M 2M –
COINBASE GLOBAL INC NOTE 0.500% 6/0 6M – –
COLLEGIUM PHARMACEUTICAL INC NOTE 2.875% 2/1 30M – –
COMMUNITY HEALTH SYS INC NEW COM 10M 3M –
CONDUIT PHARMACEUTICALS INC *W EXP 09/22/202 3K 200K –
CONSTELLIUM SE CL A SHS 6M 319K –
CRITICAL METALS CORP *W EXP 02/27/202 23K 75K –
CSLM ACQUISITION CORP RIGHT 07/01/2023 5K 45K –
CSLM ACQUISITION CORP *W EXP 99/99/999 3K 23K –
CUTERA INC NOTE 2.250% 6/0 720K – –
CUTERA INC NOTE 4.000% 6/0 2M – –
DENALI CAPITAL ACQUISITN COR *W EXP 99/99/999 4K 200K –
DIGIASIA CORP *W EXP 04/02/202 8K 125K –
DISTOKEN ACQUISITION CORP RIGHT 99/99/9999 11K 100K –
DISTOKEN ACQUISITION CORP *W EXP 11/30/202 2K 100K –
DT CLOUD ACQUISITION CORP ORD SHS 1M 107K –
DT CLOUD ACQUISITION CORP RIGHT 02/14/2029 34K 107K –
DUET ACQUISITION CORP *W EXP 07/19/202 3K 195K –
DWS MUN INCOME TR NEW COM 597K 63K –
DWS STRATEGIC MUN INCOME TR COM 343K 35K –
ECARX HOLDINGS INC *W EXP 99/99/999 1K 35K –
ECD AUTOMOTIVE DESIGN INC *W EXP 12/12/202 2K 90K –
EFFECTOR THERAPEUTICS INC *W EXP 12/31/202 358 298K –
ELECTRA BATTERY MATERIALS CO COM NEW 759K 2M –
EMERGENT BIOSOLUTIONS INC COM 3M 500K –
ENCORE CAP GROUP INC NOTE 3.250%10/0 12M – –
ENCORE CAP GROUP INC NOTE 4.000% 3/1 47M – –
ENGENE HOLDINGS INC *W EXP 10/31/202 40K 33K –
ENPHYS ACQUISITION CORP *W EXP 99/99/999 2K 50K –
ENVOY MEDICAL INC *W EXP 09/29/202 9K 184K –
EQUITY COMWLTH COM SH BEN INT 21M 1M –
ESPERION THERAPEUTICS INC NE NOTE 4.000%11/1 22M – –
ESTRELLA IMMUNOPHARMA INC *W EXP 09/29/202 3K 45K –
EVE MOBILITY ACQUISITION COR *W EXP 12/31/202 1K 13K –
EVEREST CONSOLIDATOR ACQ COR *W EXP 99/99/999 20K 100K –
EVERGREEN CORPORATION *W EXP 02/08/202 18K 350K –
EXCELFIN ACQUISITION CORP *W EXP 10/25/202 753 25K –
FARO TECHNOLOGIES INC NOTE 5.500% 2/0 2M – –
FEDERATED HERMES PREM MUNI I COM 1M 96K –
FINNOVATE ACQUISITION CORP *W EXP 09/30/202 1K 45K –
FINTECH ECOSYSTEM DEVE RIGHT 04/01/2026 8K 75K –
FINTECH ECOSYSTEM DEVE *W EXP 04/01/202 750 38K –
FLYEXCLUSIVE INC *W EXP 99/99/999 30K 53K –
FOCUS IMPACT ACQUISITION COR *W EXP 99/99/999 1K 38K –
FOCUS IMPACT BH3 ACQUISITION *W EXP 99/99/999 2K 25K –
FORTUNE RISE ACQUISITION COR *W EXP 12/06/202 3K 138K –
FRESHPET INC NOTE 3.000% 4/0 150M – –
FTAC EMERALD ACQUISITION COR *W EXP 10/19/202 2K 50K –
FUTURETECH II ACQUISITION CO *W EXP 08/18/202 2K 152K –
GCT SEMICONDUCTOR HLDG INC *W EXP 03/01/202 2K 13K –
GENERAL MTRS CO COM 9M 188K –
GLOBAL BLOCKCHAIN ACQUI CORP RIGHT 05/09/2027 14K 225K –
GLOBAL BLOCKCHAIN ACQUI CORP *W EXP 99/99/999 4K 225K –
GLOBAL PMTS INC COM 4M 37K –
GLOBAL TECHNOLGY ACQSTN CORP *W EXP 99/99/999 626 13K –
GOLD ROYALTY CORP *W EXP 05/31/202 24K 50K –
GOLD ROYALTY CORP COMMON SHARES 70K 49K –
GOLDEN ARROW MERGER CORP *W EXP 07/31/202 3K 23K –
GOODYEAR TIRE & RUBR CO COM 5M 409K –
GORES HOLDINGS IX INC *W EXP 01/14/202 4K 50K –
GOSSAMER BIO INC NOTE 5.000% 6/0 5M – –
GRAF GLOBAL CORP UNIT 05/31/2032 3M 250K –
GRAFTECH INTL LTD COM 485K 500K –
GRANITE CONSTR INC COM 1M 20K –
GRIFOLS S A SP ADR REP B NVT 17M 3M –
GROUPON INC NOTE 1.125% 3/1 6M – –
GULFPORT ENERGY CORP COMMON SHARES 18M 119K –
HAYMAKER ACQUISITION CORP IV CLASS A 526K 50K –
HAYMAKER ACQUISITION CORP IV *W EXP 05/31/202 4K 25K –
HCI GROUP INC NOTE 4.750% 6/0 21M – –
HEALTHCARE AI ACQUISITION CO *W EXP 12/07/202 2K 50K –
HEICO CORP NEW CL A 26M 148K –
HERBALIFE LTD COM SHS 16M 2M –
HERTZ GLOBAL HLDGS INC *W EXP 06/30/205 2M 706K –
HHG CAPITAL CORPORATION RIGHT 02/25/2026 9K 55K –
HHG CAPITAL CORPORATION *W EXP 02/25/202 990 55K –
HNR ACQUISITION CORP *W EXP 02/04/202 4K 75K –
HOLDCO NUVO GROUP D G LTD *W EXP 05/01/202 1K 50K –
HOLLEY INC *W EXP 11/30/202 11K 84K –
IAC INC COM NEW 63M 1M –
ILEARNINGENGINES INC *W EXP 04/16/202 16K 23K –
INCEPTION GROWTH ACQUSTN LTD RIGHT 12/08/2026 26K 175K –
INCEPTION GROWTH ACQUSTN LTD *W EXP 10/15/202 6K 88K –
INFINERA CORP NOTE 3.750% 8/0 18M – –
INNOVATE CORP NOTE 7.500% 8/0 2M – –
INSIGHT ACQUISITION CORP *W EXP 08/26/202 3K 75K –
INSMED INC NOTE 0.750% 6/0 72M – –
INSPIRATO INCORPORATED *W EXP 02/11/202 387 30K –
INTUITIVE MACHINES INC *W EXP 99/99/999 51K 75K –
INVESCO MUN OPPORTUNITY TR COM 2M 238K –
INVESCO PA VALUE MUN INC TR COM 1M 127K –
INVESCO QQQ TR UNIT SER 1 11M 23K –
INVESCO TR INVT GRADE NEW YO COM 1M 120K –
INVESTCORP EUROPE ACQUISITIO *W EXP 12/15/202 2K 25K –
INVESTCORP INDIA ACQUISTN CO *W EXP 06/01/202 540 13K –
IRON HORSE ACQUISITIONS CORP COM 2M 150K –
IRON HORSE ACQUISITIONS CORP RIGHT 99/99/9999 40K 150K –
IRON HORSE ACQUISITIONS CORP *W EXP 99/99/999 5K 150K –
ISHARES INC MSCI BRAZIL ETF 5M 200K –
IX ACQUISITION CORP *W EXP 07/31/202 2K 25K –
KEEN VISION ACQUISITION CORP SHS 794K 75K –
KEEN VISION ACQUISITION CORP *W EXP 03/15/202 6K 75K –
KERNEL GROUP HOLDINGS INC *W EXP 99/99/999 7K 57K –
KKR & CO INC COM 21M 200K –
KOHLS CORP COM 1M 53K –
LAKESHORE BIOPHARMA CO LTD *W EXP 03/15/202 11K 125K –
LIBERTY BROADBAND CORP COM SER A 6M 118K –
LIBERTY BROADBAND CORP COM SER C 163M 3M –
LIBERTY MEDIA CORP DEL DEB 3.750% 2/1 15M – –
LIBERTY MEDIA CORP DEL DEB 4.000%11/1 5M – –
LIBERTY MEDIA CORP DEL COM LBTY SRM S A 10M 452K –
LIBERTY MEDIA CORP DEL COM LBTY SRM S C 25M 1M –
LIONHEART HOLDINGS UNIT 99/99/9999 999K 100K –
LUCID GROUP INC COM 2M 700K –
LUCID GROUP INC COM 783K 300K –
LUMEN TECHNOLOGIES INC COM 2M 2M –
LUMENTUM HLDGS INC NOTE 1.500%12/1 23M – –
MARATHON DIGITAL HOLDINGS IN NOTE 1.000%12/0 26M – –
MARBLEGATE ACQUISITION CORP *W EXP 08/31/202 3K 88K –
MAXEON SOLAR TECHNOLOGIES LT SHS 2M 2M –
MBIA INC COM 4M 794K –
MERCER INTL INC COM 1M 174K –
MFS HIGH INCOME MUN TR SH BEN INT 394K 106K –
MFS INVT GRADE MUN TR SH BEN INT 384K 49K –
MICROSTRATEGY INC NOTE 2/1 122M – –
MICROSTRATEGY INC CL A NEW 15M 11K –
MOBIX LABS INC *W EXP 99/99/999 19K 100K –
MONTANA TECHNOLOGIES CORP *W EXP 03/15/202 72K 50K –
MONTEREY CAP ACQUISITION COR RIGHT 05/10/2027 14K 75K –
MONTEREY CAP ACQUISITION COR *W EXP 01/01/202 3K 75K –
MOUNTAIN & CO I ACQUISITN CO *W EXP 09/30/202 5K 50K –
MULTISENSOR AI HOLDINGS INC *W EXP 12/19/202 3K 104K –
MURANO GLOBAL INVTS PLC *W EXP 03/19/202 4K 25K –
NABORS INDS INC NOTE 1.750% 6/1 21M – –
NATIONAL CINEMEDIA INC COM NEW 6M 1M –
NEUBERGER BERMAN MUN FD INC COM 3M 249K –
NEW HORIZON AIRCRAFT LTD *W EXP 99/99/999 2K 100K –
NEXTERA ENERGY INC UNIT 06/01/2027 30M 600K –
NEXTNAV INC COMMON STOCK 584K 72K –
NIO INC SPON ADS 2M 500K –
NOBLE CORP PLC ORD SHS A 17M 385K –
NORDSTROM INC COM 2M 104K –
NORTHVIEW ACQUISITION CORP RIGHT 99/99/9999 26K 250K –
NORTHVIEW ACQUISITION CORP *W EXP 08/02/202 7K 125K –
NOVA VISION ACQUISITION CORP RIGHT 12/23/2023 13K 80K –
NOVA VISION ACQUISITION CORP *W EXP 12/31/202 1K 80K –
NOVAVAX INC NOTE 5.000%12/1 43M – –
NUVEEN ARIZONA QLTY MUN INC COM 405K 36K –
NUVEEN CA QUALTY MUN INCOME COM 13M 1M –
NUVEEN MISSOURI QLT MUN INC COM 122K 12K –
NUVEEN NEW JERSEY QULT MUN F COM 4M 299K –
NUVEEN PENNSYLVANIA QLT MUN COM 2M 159K –
NVNI GROUP LIMITED *W EXP 11/01/202 3K 175K –
NWTN INC *W EXP 12/31/202 4K 50K –
OAK WOODS ACQUISITION CORP CL A 740K 68K –
OAK WOODS ACQUISITION CORP RIGHT 03/23/2028 17K 68K –
OAK WOODS ACQUISITION CORP *W EXP 99/99/999 2K 68K –
OATLY GROUP AB NOTE 9.250% 9/1 5M – –
OCA ACQUISITION CORP *W EXP 01/14/202 2K 23K –
OCEAN BIOMEDICAL INC *W EXP 02/14/202 2K 50K –
OCULIS HOLDING AG *W EXP 03/06/202 31K 17K –
OFFICE PPTYS INCOME TR COM SHS BEN INT 1M 500K –
OFFICE PPTYS INCOME TR COM SHS BEN INT 322K 158K –
OMEROS CORP NOTE 5.250% 2/1 8M – –
ON SEMICONDUCTOR CORP NOTE 5/0 58M – –
ONEMEDNET CORP *W EXP 11/07/202 2K 50K –
ONYX ACQUISITION CO I *W EXP 11/30/202 250 13K –
OVINTIV INC COM 1M 22K –
PAPAYA GRWT OPPORTUNITY CORP *W EXP 12/31/202 875 25K –
PARAMOUNT GLOBAL CLASS B COM 1M 124K –
PEARL HOLDINGS ACQUISITN COR *W EXP 12/15/202 1K 25K –
PERCEPTION CAPITAL CORP IV *W EXP 99/99/999 2K 25K –
PINSTRIPES HOLDINGS INC *W EXP 09/30/202 3K 28K –
PIONEER MUN HIGH INCOME OPPO COMMON STOCK 1M 115K –
PIONEER MUNICIPAL HIGH INCOM COM 2M 269K –
PIONEER MUNICIPAL HIGH INCOM COM SHS 3M 329K –
PLUM ACQUISITION CORP I *W EXP 03/18/202 1K 14K –
PLUM ACQUISITION CORP III *W EXP 03/31/202 2K 25K –
POLESTAR AUTOMOTIVE HLDG UK ADS C-1 11K 75K –
PONO CAP TWO INC *W EXP 99/99/999 2K 35K –
POWERUP ACQUISITION CORP *W EXP 05/23/202 6K 125K –
PROJECT ENERGY REIMAGINED AC *W EXP 99/99/999 2K 25K –
PROSHARES TR BITCOIN STRATE 13M 582K –
PSYENCE BIOMEDICAL LTD *W EXP 01/25/202 525 50K –
PTC THERAPEUTICS INC NOTE 1.500% 9/1 14M – –
PYROPHYTE ACQUISITION CORP *W EXP 05/03/202 1K 25K –
QUETTA ACQUISITION CORP COM 311K 30K –
REALOGY GRP LLC/REALOGY CO NOTE 0.250% 6/1 7M – –
REDFIN CORP NOTE 0.500% 4/0 3M – –
RF ACQUISITION CORP RIGHT 05/01/2028 10K 100K –
RF ACQUISITION CORP *W EXP 05/01/202 2K 100K –
RIGEL RESOURCE ACQ CORP *W EXP 99/99/999 14K 50K –
RIVIAN AUTOMOTIVE INC COM CL A 20M 2M –
ROADZEN INC *W EXP 11/30/202 990 20K –
ROTH CH ACQUISITION V CO *W EXP 12/10/202 2K 38K –
ROYAL CARIBBEAN GROUP NOTE 6.000% 8/1 230M – –
ROYAL CARIBBEAN GROUP COM 120M 750K –
ROYALTY MGMT HLDG CORP *W EXP 05/28/202 2K 86K –
RYDER SYS INC COM 2M 19K –
SABLE OFFSHORE CORP *W EXP 99/99/999 128K 30K –
SDCL EDGE ACQUISITION CORP *W EXP 99/99/999 6K 25K –
SEA LTD NOTE 2.375%12/0 22M – –
SEMTECH CORP NOTE 1.625%11/0 80M – –
SEP ACQUISITION CORP *W EXP 99/99/999 925 125K –
SERVICE PPTYS TR COM SH BEN INT 3M 611K –
SIRIUS XM HOLDINGS INC COM 811K 287K –
SK GROWTH OPPORTUNITIES CORP *W EXP 06/28/202 24K 100K –
SLAM CORP *W EXP 99/99/999 6K 23K –
SPDR S&P 500 ETF TR TR UNIT 555M 1M –
SPECTAIRE HLDGS INC *W EXP 10/17/202 1K 38K –
SPIRIT AIRLS INC COM 2M 500K –
SPIRIT AIRLS INC COM 512K 140K –
SRIVARU HOLDING LIMITED *W EXP 12/08/202 361 35K –
SUNNOVA ENERGY INTL INC. NOTE 0.250%12/0 40M – –
SUNNOVA ENERGY INTL INC. NOTE 2.625% 2/1 2M – –
SUNNOVA ENERGY INTL INC. COM 6M 1M –
SUNRUN INC COM 15M 1M –
SWIFTMERGE ACQUISITION CORP *W EXP 12/13/202 2K 25K –
SYNTEC OPTICS HLDGS INC *W EXP 99/99/999 12K 75K –
TAPESTRY INC COM 504K 12K –
TARGET GLOBAL ACQUISI I CORP *W EXP 12/08/202 4K 33K –
TECHNOLOGY & TELECOM ACQ COR *W EXP 04/15/202 4K 125K –
TENET HEALTHCARE CORP COM NEW 4M 28K –
TEVOGEN BIO HLDGS INC *W EXP 02/14/202 3K 93K –
THUNDER BRDG CAP PRTNRS IV I *W EXP 04/30/202 9K 54K –
TLGY ACQUISITION CORPORATION *W EXP 11/09/202 2K 38K –
TORTOISEECOFIN ACQUISITION C *W EXP 07/22/202 7K 44K –
TPI COMPOSITES INC NOTE 5.250% 3/1 6M – –
TRANSOCEAN INC DEB 4.625% 9/3 24M – –
TRIPLE FLAG PRECIOUS METAL COM 50M 3M –
TWO HARBORS INVENTMENT CORPO NOTE 6.250% 1/1 9M – –
UNITED AIRLS HLDGS INC COM 13M 270K –
UNITED HOMES GROUP INC *W EXP 03/30/202 15K 25K –
UPSTART HLDGS INC NOTE 0.250% 8/1 26M – –
UPSTART HLDGS INC COM 7M 300K –
URGENTLY INC COM 478K 278K –
VALARIS LTD CL A 34M 461K –
VANECK ETF TRUST OIL SERVICES ETF 47M 150K –
VAST RENEWABLES LIMITED *W EXP 07/01/202 5K 38K –
VERDE CLEAN FUELS INC *W EXP 02/15/202 34K 190K –
VERITONE INC NOTE 1.750%11/1 3M – –
VISION SENSING ACQUISITION C *W EXP 99/99/999 4K 225K –
VODAFONE GROUP PLC NEW SPONSORED ADR 803K 91K –
VOLATO GROUP INC *W EXP 12/04/202 1K 100K –
VSEE HEALTH INC *W EXP 99/99/999 54K 250K –
WARNER BROS DISCOVERY INC COM SER A 2M 247K –
WAYFAIR INC NOTE 3.250% 9/1 38M – –
WAYFAIR INC NOTE 3.500%11/1 45M – –
WESTERN ACQSTN VENTURES CORP *W EXP 99/99/999 6K 175K –
WESTERN ASSET INTER MUNI FD COM 1M 169K –
WESTROCK COFFEE CO *W EXP 08/29/202 111K 50K –
WHEELS UP EXPERIENCE INC COM CL A 1M 541K –
WOLFSPEED INC NOTE 1.750% 5/0 12M – –
WOLFSPEED INC NOTE 1.875%12/0 42M – –
WOLFSPEED INC COM 23M 1M –
WW INTL INC COM 234K 200K –
XOMETRY INC NOTE 1.000% 2/0 24M – –
ZALATORIS II ACQUISITION COR *W EXP 99/99/999 2K 40K –
ZAPATA COMPUTING HLDGS INC *W EXP 02/14/202 925 25K –
ZEO ENERGY CORP *W EXP 03/13/202 3K 50K –
ZILLOW GROUP INC NOTE 1.375% 9/0 18M – –
ZOOMCAR HLDGS INC *W EXP 05/31/202 1K 100K –
ZOOZ PWR LTD *W EXP 04/02/202 2K 63K –
ZSCALER INC NOTE 0.125% 7/0 22M – –
ZURA BIO LTD *W EXP 99/99/999 30K 75K –
ZYNEX INC NOTE 5.000% 5/1 23M – –