SABA CAPITAL MANAGEMENT, L.P.
Adviser information for SABA CAPITAL MANAGEMENT, L.P. 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 Partnership |
|---|---|
| Fiscal Year End | DECEMBER |
| Legal Location | Delaware, United States |
Employees
| Total Number of Employees | 52 |
|---|---|
| Investment Advisory/Research | 19 |
| Registered Broker-Dealer Representatives | 2 |
| 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 | 37 | $13.4B |
| Non-Discretionary | 0 | $0 |
| Total | 37 | $13.4B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 2 | $867.8M |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 29 | $11.9B |
| Pension and profit sharing plans | <5 | $1.9M |
| Charitable organizations | 0 | $0 |
| State or municipal gov entities | <5 | $224.4M |
| Other investment advisers | <5 | $404.9M |
| Insurance companies | 0 | $0 |
| Sovereign wealth funds and foreign official institutions | 0 | $0 |
| Corporations or other businesses | <5 | $10.2M |
| Other | 0 | $0 |
| Type | Number |
|---|---|
| No. of Non-RAUM Clients | 0 |
| No. of Non-U.S. Clients | 59 |
Services
| Advisory Services | Portfolio management for investment companiesPortfolio management for pooled investment vehiclesSEPARATELY MANAGED ACCOUNTS |
|---|---|
| Compensation | % of AUMPerformance-based fees |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
405 LEXINGTON AVE58TH FLOOR
NEW YORK
NY
United States
Monday - Friday, 9AM - 5PM
Tel: 212-542-3610, Fax: None
Websites
Chief Compliance Officer
MICHAEL D'ANGELO
GENERAL COUNSEL, CHIEF OPERATING OFFICER
405 LEXINGTON AVE
58TH FLOOR
NEW YORK
NY
United States
Tel:
212-542-4635
M***************@**************M
(Full email address available in API data)
Regulatory Contact
DAVID HAN
DEPUTY CHIEF COMPLIANCE OFFICER
405 LEXINGTON AVE
58TH FLOOR
NEW YORK
NY
United States
Tel:
212-542-4642
L**************@**************M
(Full email address available in API data)
Industry Affiliates
| SABA CAPITAL II, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SABA CAPITAL III, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SABA CAPITAL MANAGEMENT GP, LLC | Sponsor, GP, manager of pooled investment vehicles |
| SABA CAPITAL, LLC | Sponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|---|---|---|---|
| SABA CAPITAL ARCADIA MASTER FUND, LTD. | Hedge Fund | $434.9M | $0.5M | 2 |
| SABA CAPITAL BLUEBIRD FUND, LTD. | Hedge Fund | $741.9M | $0.1M | 1 |
| SABA CAPITAL CARRY NEUTRAL TAIL HEDGE MASTER FUND, LTD. | Hedge Fund | $2,770.7M | $5.0M | 176 |
| SABA CAPITAL CEF OPPORTUNITIES 1, LTD. | Hedge Fund | $21.5M | $0.5M | 9 |
| SABA CAPITAL CEF OPPORTUNITIES 2, LTD. | Hedge Fund | $686.4M | $0.5M | 9 |
| SABA CAPITAL CEF OPPORTUNITIES 3, LTD. | Hedge Fund | $7.6M | $0.5M | 9 |
| SABA CAPITAL CEF SPECIAL OPPORTUNITIES MASTER FUND 1 LTD | Hedge Fund | $197.0M | $0.5M | 16 |
| SABA CAPITAL CEF SPECIAL OPPORTUNITIES MASTER FUND 2, LTD. | Hedge Fund | $81.9M | $0.5M | 7 |
| SABA CAPITAL MASTER FUND II, LTD. | Hedge Fund | $80.0M | $0.0M | 3 |
| SABA CAPITAL MASTER FUND III, L.P. | Hedge Fund | $14.5M | $0.0M | 3 |
| SABA CAPITAL MASTER FUND, LTD. | Hedge Fund | $5,198.4M | $5.0M | 139 |
| SABA CAPITAL MATADOR FUND LTD | Hedge Fund | $155.0M | $0.5M | 1 |
| SABA CAPITAL R FUND, LTD. | Hedge Fund | $1,206.7M | $100.0M | 2 |
| SABA CAPITAL W FUND, LTD. | Hedge Fund | $319.1M | $100.0M | 1 |
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| WEINSTEIN, BOAZ, RONALD | Individual | – | CIO, PARTNER, FOUNDER (SABA CAPITAL MANAGEMENT, LP) | 03/2009 | 50-75% |
| SABA CAPITAL MANAGEMENT GP, LLC | Domestic Entity | – | GENERAL PARTNER (SABA CAPITAL MANAGEMENT, LP) | 03/2009 | < 5% |
| WEINSTEIN, BOAZ, RONALD | Individual | SABA CAPITAL MANAGEMENT GP, LLC | MANAGING MEMBER | 03/2009 | > 75% |
| WEINSTEIN, PIERRE | Individual | – | PARTNER (SABA CAPITAL MANAGEMENT, LP) | 01/2011 | 5-10% |
| D ANGELO, MICHAEL, D | Individual | – | PARTNER, CHIEF COMPLIANCE OFFICER, CHIEF OPERATING OFFICER, GENERAL COUNSEL (SABA CAPITAL MANAGEMENT, LP) | 11/2015 | < 5% |
| SAPRU, NITIN, (NMN) | Individual | – | PARTNER, CHIEF FINANCIAL OFFICER (SABA CAPITAL MANAGEMENT, LP) | 12/2018 | < 5% |
| KELLERMAN, ANDREW, MICHAEL | Individual | – | PARTNER, HEAD OF INVESTOR RELATIONS (SABA CAPITAL MANAGEMENT, LP) | 04/2018 | < 5% |
| RIERA, XAVIER, ANTOINE | Individual | – | PARTNER (SABA CAPITAL MANAGEMENT, LP) | 12/2018 | 5-10% |
| KAZARIAN, PAUL, CHARLES | Individual | – | PARTNER (SABA CAPITAL MANAGEMENT, LP) | 03/2022 | 5-10% |
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 |
|---|---|---|---|---|
| A SPAC II ACQUISITION CORP | *W EXP 10/15/202 | 7K | 537K | – |
| A SPAC II ACQUISITION CORP | RIGHT 10/15/2026 | 75K | 1M | – |
| ABRDN EMRG MKTS EQTY INCM FD | COM | 410K | 78K | – |
| ABRDN GLOBAL DYNAMIC DIVIDEN | COM | 9M | 930K | – |
| ABRDN GLOBAL INFRA INCOME FU | COM SHS BEN INT | 53M | 3M | – |
| ABRDN HEALTHCARE INVESTORS | SH BEN INT | 58M | 3M | – |
| ABRDN JAPAN EQUITY FUND INC | COM | 550K | 94K | – |
| ABRDN LIFE SCIENCES INVESTOR | SH BEN INT | 49M | 3M | – |
| ABRDN NATL MUN INCOME FD | SH BEN INT | 3M | 293K | – |
| ABRDN TOTAL DYNAMIC DIVIDEND | COM SH BEN INT | 25M | 3M | – |
| ACRI CAPITAL ACQUISITION COR | *W EXP 02/01/202 | 14K | 250K | – |
| ADAM NAT RES FD INC | COM | 64M | 3M | – |
| ADAMS DIVERSIFIED EQUITY FD | COM | 210M | 10M | – |
| ADVANTAGE SOLUTIONS INC | *W EXP 10/28/202 | 6K | 152K | – |
| AGRICULTURE & NAT SOL ACQ CO | *W EXP 10/01/202 | 44K | 249K | – |
| AIMFINITY INVESTMENT CORP I | *W EXP 99/99/999 | 3K | 120K | – |
| AIRSHIP AI HLDGS INC | *W EXP 12/21/202 | 44K | 122K | – |
| ALIBABA GROUP HLDG LTD | SPONSORED ADS | 5M | 65K | – |
| ALLIANCEBERNSTEIN NATL MUN I | COM | 35M | 3M | – |
| ALLIANT ENERGY CORP | NOTE 3.875% 3/1 | 2M | – | – |
| ALLSPRING GLOBAL DIVIDEND OP | COM | 8M | 2M | – |
| ALLSPRING UTILITIES AND HIGH | WF UTILITIES INC | 3M | 258K | – |
| ALLURION TECHNOLOGIES INC | *W EXP 08/01/203 | 20K | 123K | – |
| ALPHA STAR ACQUISITION CORP | *W EXP 12/13/202 | 6K | 475K | – |
| ALPHA STAR ACQUISITION CORP | RIGHT 05/30/2023 | 10K | 105K | – |
| AMERICAN AIRLS GROUP INC | COM | 63M | 6M | – |
| AMERICAN AIRLS GROUP INC | COM | 5M | 436K | – |
| ANEW MED INC | *W EXP 06/21/202 | 82K | 695K | – |
| ANTERO RESOURCES CORP | COM | 326K | 10K | – |
| APX ACQUISITION CORP I | *W EXP 99/99/999 | 115K | 606K | – |
| ARBE ROBOTICS LTD | ORDINARY SHARES | 550K | 288K | – |
| ARBE ROBOTICS LTD | *W EXP 99/99/999 | 33K | 149K | – |
| ARBUTUS BIOPHARMA CORP | COM | 2M | 651K | – |
| AROGO CAPITAL ACQUISITION CO | *W EXP 03/23/202 | 46K | 1M | – |
| ARQIT QUANTUM INC | *W EXP 09/03/202 | 6K | 45K | – |
| ASA GOLD AND PRECIOUS MTLS L | SHS | 57M | 3M | – |
| ATHENA TECHNOLOGY ACQ CORP I | *W EXP 10/17/202 | 31K | 1M | – |
| ATLANTIC COASTAL AQSTN CORP | *W EXP 99/99/999 | 77K | 997K | – |
| AURA FAT PROJS ACQUISITION C | *W EXP 99/99/999 | 12K | 800K | – |
| AVEPOINT INC | *W EXP 09/18/202 | 262K | 148K | – |
| BAIDU INC | SPON ADR REP A | 7M | 81K | – |
| BANCROFT FD LTD | COM | 2M | 117K | – |
| BANZAI INTERNATIONAL INC | *W EXP 12/14/202 | 3K | 124K | – |
| BATTERY FUTURE ACQUISITION C | *W EXP 99/99/999 | 17K | 850K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | *W EXP 02/09/202 | 7K | 250K | – |
| BELLEVUE LIFE SCNCS AQSTN CO | RIGHT 02/09/2028 | 30K | 250K | – |
| BENSON HILL INC | COMMON STOCK | 55K | 361K | – |
| BEYOND MEAT INC | NOTE 3/1 | 2M | – | – |
| BEYOND MEAT INC | COM | 4M | 602K | – |
| BITCOIN DEPOT INC | COM | 124K | 69K | – |
| BITCOIN DEPOT INC | *W EXP 06/30/202 | 88K | 2M | – |
| BITFUFU INC | *W EXP 03/01/202 | 173K | 470K | – |
| BLACKROCK CALIF MUN INCOME T | SH BEN INT | 63M | 5M | – |
| BLACKROCK CAP ALLOCATION TER | COM | 268M | 16M | – |
| BLACKROCK ENHANCED GLOBAL DI | COM | 21M | 2M | – |
| BLACKROCK ENHANCED INTL DIV | COM BENE INTER | 10M | 2M | – |
| BLACKROCK ESG CAP ALLC TERM | SHS BEN INT | 501M | 29M | – |
| BLACKROCK HEALTH SCIENCES TE | COM SHS | 315M | 21M | – |
| BLACKROCK INNOVATION AND GRW | SHS BEN INT | 377M | 52M | – |
| BLACKROCK MUN TARGET TERM TR | COM SHS BEN IN | 8M | 382K | – |
| BLACKROCK MUNIHLDGS NJ QLTY | COM | 13M | 1M | – |
| BLACKROCK MUNIHLDGS NY QLTY | COM | 23M | 2M | – |
| BLACKROCK MUNIHLDNGS CALI QL | COM | 28M | 2M | – |
| BLACKROCK MUNIHOLDINGS QUALI | COM | 7M | 681K | – |
| BLACKROCK MUNIVEST FD II INC | COM | 5M | 455K | – |
| BLACKROCK MUNIYIELD MICH QU | COM | 8M | 716K | – |
| BLACKROCK MUNIYIELD N Y QUAL | COM | 23M | 2M | – |
| BLACKROCK MUNIYIELD PA QLTY | COM | 28M | 2M | – |
| BLACKROCK MUNIYIELD QUALITY | COM | 554K | 54K | – |
| BLACKROCK N Y MUN INCOME TRU | SH BEN INT | 24M | 2M | – |
| BLACKROCK RES & COMMODITIES | SHS | 29M | 3M | – |
| BLACKROCK SCIENCE & TECHNOLO | SHS BEN INT | 143M | 7M | – |
| BLACKROCK VA MUN BD TR | COM | 869K | 78K | – |
| BLADE AIR MOBILITY INC | *W EXP 05/07/202 | 6K | 30K | – |
| BLEUACACIA LTD | *W EXP 10/30/202 | 11K | 736K | – |
| BLEUACACIA LTD | RIGHT 10/30/2026 | 130K | 2M | – |
| BLOCKCHAIN COINVSTRS ACQ CRP | *W EXP 11/01/202 | 88K | 1M | – |
| BLOOM ENERGY CORP | NOTE 3.000% 6/0 | 725K | – | – |
| BLUE OCEAN ACQUISITION CORP | *W EXP 99/99/999 | 2K | 91K | – |
| BLUE WORLD ACQUISITION CORP | *W EXP 01/10/202 | 23K | 325K | – |
| BLUE WORLD ACQUISITION CORP | RIGHT 08/29/2029 | 143K | 650K | – |
| BNY MELLON MUN BD INFRASTRUC | COM SHS | 12M | 1M | – |
| BNY MELLON MUN INCOME INC | COM | 17M | 2M | – |
| BNY MELLON STRATEGIC MUN BD | COM | 24M | 4M | – |
| BNY MELLON STRATEGIC MUNS IN | COM | 25M | 4M | – |
| BOREALIS FOODS INC | *W EXP 02/07/202 | 11K | 167K | – |
| BRAND ENGAGEMENT NETWORK INC | *W EXP 03/14/202 | 7K | 212K | – |
| BRIDGER AEROSPACE GRP HLDGS | *W EXP 01/24/202 | 2K | 19K | – |
| BROAD CAPITAL ACQUISITION CO | RIGHT 01/10/2027 | 172K | 800K | – |
| BROOKFIELD REAL ASSETS INCOM | SHS BEN INT | 12M | 918K | – |
| BURGERFI INTERNATIONAL INC | *W EXP 12/16/202 | 1K | 73K | – |
| BURTECH ACQUISITION CORP | *W EXP 12/18/202 | 352K | 1M | – |
| BUTTERFLY NETWORK INC | *W EXP 02/12/202 | 396 | 17K | – |
| CACTUS ACQUISITION CORP 1 LT | *W EXP 08/17/202 | 15K | 273K | – |
| CALAMOS LNG SHR EQT DYNAMIC | COM | 15M | 1M | – |
| CANNA GLOBAL ACQUISITION COR | *W EXP 99/99/999 | 18K | 2M | – |
| CANNAE HLDGS INC | COM | 7M | 398K | – |
| CAPTIVISION INC | *W EXP 11/15/202 | 41K | 650K | – |
| CARBON REVOLUTION LTD | *W EXP 99/99/999 | 3K | 82K | – |
| CARDIO DIAGNOSTICS HOLDGS IN | *W EXP 12/01/202 | 7K | 200K | – |
| CARMELL CORPORATION | *W EXP 07/12/202 | 1K | 20K | – |
| CARTESIAN GROWTH CORP II | *W EXP 07/12/202 | 10K | 88K | – |
| CARTICA ACQUISITION CORP | *W EXP 04/30/202 | 179K | 925K | – |
| CERO THERAPEUTICS HLDGS INC | *W EXP 02/13/202 | 6K | 296K | – |
| CF ACQUISITION CORP VII | *W EXP 03/16/202 | 8K | 119K | – |
| CHECHE GROUP INC | *W EXP 10/01/203 | 665 | 22K | – |
| CHENGHE ACQUISITION I CO | UNIT 01/20/2027 | 264K | 503K | – |
| CHURCHILL CAPITAL CORP VII | *W EXP 02/29/202 | 93K | 263K | – |
| CLEARBRIDGE ENERGY MIDSTRM O | COM | 11M | 266K | – |
| CLEARBRIDGE MLP AND MIDSTRM | COM | 2M | 61K | – |
| CLIMATEROCK | *W EXP 99/99/999 | 5K | 175K | – |
| CLIMATEROCK | RIGHT 10/31/2028 | 45K | 350K | – |
| CLOUGH GLOBAL DIVID & INCOME | COM | 1M | 180K | – |
| CLOUGH GLOBAL EQUITY FD | COM | 1M | 156K | – |
| CLOUGH GLOBAL OPPORTUNITIES | SH BEN INT | 4M | 807K | – |
| COMMSCOPE HLDG CO INC | COM | 2M | 2M | – |
| COMMUNITY HEALTH SYS INC NEW | COM | 1M | 397K | – |
| COMPASS PATHWAYS PLC | SPONSORED ADS | 912K | 151K | – |
| CONCORD ACQUISITION CORP II | *W EXP 99/99/999 | 24K | 210K | – |
| CONDUIT PHARMACEUTICALS INC | *W EXP 09/22/202 | 25K | 765K | – |
| CORECIVIC INC | COM | 3M | 265K | – |
| CRITICAL METALS CORP | *W EXP 02/27/202 | 199K | 617K | – |
| CSLM ACQUISITION CORP | *W EXP 99/99/999 | 76K | 525K | – |
| CSLM ACQUISITION CORP | RIGHT 07/01/2023 | 109K | 950K | – |
| DELTA AIR LINES INC DEL | COM NEW | 2M | 36K | – |
| DENALI CAPITAL ACQUISITN COR | *W EXP 99/99/999 | 7K | 410K | – |
| DESTRA MULTI-ALTERNATIVE FD | COMMON SHARES | 10M | 1M | – |
| DIH HLDG US INC | *W EXP 04/20/202 | 33K | 945K | – |
| DISTOKEN ACQUISITION CORP | *W EXP 11/30/202 | 2K | 100K | – |
| DISTOKEN ACQUISITION CORP | RIGHT 99/99/9999 | 11K | 100K | – |
| DUET ACQUISITION CORP | *W EXP 07/19/202 | 2K | 100K | – |
| DUFF & PHELPS UTLITY AND INF | COM | 344K | 35K | – |
| D-WAVE QUANTUM INC | *W EXP 08/05/202 | 34K | 271K | – |
| DWS MUN INCOME TR NEW | COM | 22M | 2M | – |
| DWS STRATEGIC MUN INCOME TR | COM | 16M | 2M | – |
| E2OPEN PARENT HOLDINGS INC | *W EXP 02/04/202 | 67K | 305K | – |
| EATON VANCE CALIF MUN BD FD | COM | 30M | 3M | – |
| EATON VANCE CALIF MUN INCOM | SH BEN INT | 10M | 962K | – |
| EATON VANCE NEW YORK MUN BD | COM | 30M | 3M | – |
| ECARX HOLDINGS INC | *W EXP 99/99/999 | 1K | 43K | – |
| ECOFIN SUSTAINABLE AND SOCIA | COM SH BEN INT | 10M | 871K | – |
| ELLSWORTH GROWTH & INCOME FD | COM | 9M | 1M | – |
| EMBECTA CORP | COMMON STOCK | 2M | 159K | – |
| ENGENE HOLDINGS INC | *W EXP 10/31/202 | 248K | 192K | – |
| ESS TECH INC | *W EXP 10/08/202 | 19K | 304K | – |
| EVE MOBILITY ACQUISITION COR | *W EXP 12/31/202 | 83K | 900K | – |
| EVEREST CONSOLIDATOR ACQ COR | *W EXP 99/99/999 | 127K | 624K | – |
| EVERGREEN CORPORATION | *W EXP 02/08/202 | 45K | 906K | – |
| EXCELFIN ACQUISITION CORP | *W EXP 10/25/202 | 5K | 132K | – |
| FALCONS BEYOND GLOBAL INC | *W EXP 03/16/202 | 236K | 195K | – |
| FEDERATED HERMES PREM MUNI I | COM | 19M | 2M | – |
| FINNOVATE ACQUISITION CORP | *W EXP 09/30/202 | 13K | 660K | – |
| FINTECH ECOSYSTEM DEVE | *W EXP 04/01/202 | 12K | 476K | – |
| FINTECH ECOSYSTEM DEVE | RIGHT 04/01/2026 | 122K | 939K | – |
| FIRST TR SPECIALTY FIN & FIN | COM BEN INTR | 4M | 1M | – |
| FIRSTENERGY CORP | NOTE 4.000% 5/0 | 990K | – | – |
| FISCALNOTE HOLDINGS INC | *W EXP 07/29/202 | 57K | 292K | – |
| FLAHERTY & CRUMRINE PFD INCO | COM | 1M | 133K | – |
| FLAHERTY & CRUMRINE TOTAL RE | COM | 2M | 149K | – |
| FLYEXCLUSIVE INC | *W EXP 99/99/999 | 138K | 231K | – |
| FOCUS IMPACT BH3 ACQUISITION | *W EXP 99/99/999 | 908 | 11K | – |
| FORTUNE RISE ACQUISITION COR | *W EXP 12/06/202 | 2K | 120K | – |
| FORWARD AIR CORP | COM | 1M | 79K | – |
| FOUR LEAF ACQUISITION CORP | *W EXP 03/15/202 | 4K | 65K | – |
| FTAC EMERALD ACQUISITION COR | *W EXP 10/19/202 | 37K | 825K | – |
| FUTURETECH II ACQUISITION CO | *W EXP 08/18/202 | 20K | 650K | – |
| GABELLI DIVID & INCOME TR | COM | 85M | 4M | – |
| GABELLI HLTHCARE & WELLNESS | SHS | 15M | 2M | – |
| GAMCO NAT RES GOLD & INCOME | SH BEN INT | 10M | 2M | – |
| GCT SEMICONDUCTOR HLDG INC | *W EXP 03/01/202 | 117K | 711K | – |
| GENERAL AMERN INVS CO INC | COM | 25M | 511K | – |
| GENERAL MTRS CO | COM | 1M | 29K | – |
| GEO GROUP INC NEW | COM | 6M | 400K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | *W EXP 99/99/999 | 12K | 675K | – |
| GLOBAL BLOCKCHAIN ACQUI CORP | RIGHT 05/09/2027 | 32K | 675K | – |
| GLOBAL TECHNOLGY ACQSTN CORP | *W EXP 99/99/999 | 6K | 126K | – |
| GLOBALINK INVT INC | *W EXP 12/03/202 | 18K | 595K | – |
| GLOBALINK INVT INC | RIGHT 12/06/2026 | 30K | 195K | – |
| GOGORO INC | *W EXP 99/99/999 | 33K | 400K | – |
| GOLDEN ARROW MERGER CORP | *W EXP 07/31/202 | 6K | 41K | – |
| GORES HOLDINGS IX INC | *W EXP 01/14/202 | 92K | 855K | – |
| GP-ACT III ACQUISITION CORP | UNIT 99/99/9999 | 4M | 389K | – |
| GRAB HOLDINGS LIMITED | *W EXP 99/99/999 | 15K | 96K | – |
| GRAF GLOBAL CORP | UNIT 05/31/2032 | 4M | 428K | – |
| GRANITE RIDGE RESOURCES INC | COM | 734K | 116K | – |
| HAWAIIAN HOLDINGS INC | COM | 2M | 196K | – |
| HEALTHCARE AI ACQUISITION CO | *W EXP 12/07/202 | 30K | 575K | – |
| HENNESSY CAPITAL INVST CORP | *W EXP 99/99/999 | 16K | 83K | – |
| HHG CAPITAL CORPORATION | *W EXP 02/25/202 | 4K | 212K | – |
| HIPPO HLDGS INC | COM NEW | 336K | 20K | – |
| HNR ACQUISITION CORP | *W EXP 02/04/202 | 26K | 500K | – |
| HOLDCO NUVO GROUP D G LTD | *W EXP 05/01/202 | 23K | 792K | – |
| HOLLEY INC | *W EXP 11/30/202 | 34K | 299K | – |
| HUB CYBER SECURITY LTD | *W EXP 02/27/202 | 5K | 180K | – |
| HUDSON PAC PPTYS INC | COM | 3M | 673K | – |
| HYZON MOTORS INC | *W EXP 10/02/202 | 1K | 73K | – |
| INCEPTION GROWTH ACQUSTN LTD | *W EXP 10/15/202 | 6K | 72K | – |
| INCEPTION GROWTH ACQUSTN LTD | RIGHT 12/08/2026 | 34K | 222K | – |
| INFLECTION PT ACQUISITN CRP | *W EXP 08/31/202 | 9K | 100K | – |
| INNOVID CORP | *W EXP 11/30/202 | 2K | 34K | – |
| INTEGRATED WELLNESS ACQ CORP | *W EXP 10/31/202 | 2K | 77K | – |
| INVESCO CALIF VALUE MUN INCO | COM | 22M | 2M | – |
| INVESCO MUN OPPORTUNITY TR | COM | 68M | 7M | – |
| INVESCO MUNICIPAL TRUST | COM | 32M | 3M | – |
| INVESCO PA VALUE MUN INC TR | COM | 31M | 3M | – |
| INVESCO TR INVT GRADE MUNS | COM | 31M | 3M | – |
| INVESCO TR INVT GRADE NEW YO | COM | 31M | 3M | – |
| INVESTCORP EUROPE ACQUISITIO | *W EXP 12/15/202 | 65K | 900K | – |
| INVESTCORP INDIA ACQUISTN CO | *W EXP 06/01/202 | 31K | 725K | – |
| IONQ INC | *W EXP 10/01/202 | 99K | 67K | – |
| IRIS ACQUISITION CORP | *W EXP 02/28/202 | 9K | 234K | – |
| ISHARES TR | RUSSELL 2000 ETF | 1B | 6M | – |
| ISRAEL ACQUISITIONS CORP | *W EXP 99/99/999 | 11K | 223K | – |
| JAPAN SMALLER CAPITALIZATION | COM | 145K | 19K | – |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 24K | 250K | – |
| JOHN HANCOCK HEDGED EQUITY & | COM | 1M | 138K | – |
| KAIROUS ACQUISITION CORP LTD | *W EXP 09/15/202 | 2K | 286K | – |
| KAIROUS ACQUISITION CORP LTD | RIGHT 09/15/2026 | 73K | 575K | – |
| KAYNE ANDERSON ENERGY INFRST | COM | 7M | 716K | – |
| KENSINGTON CAPITAL ACQUISITI | *W EXP 99/99/999 | 14K | 610K | – |
| KOREA FD INC | COM NEW | 217K | 9K | – |
| LAKESHORE BIOPHARMA CO LTD | *W EXP 03/15/202 | 5K | 97K | – |
| LAZARD GLOBAL TOTAL RETURN & | COM | 21M | 1M | – |
| LEDDARTECH HLDGS INC | *W EXP 12/21/202 | 5K | 177K | – |
| LIFEZONE METALS LIMITED | *W EXP 07/05/202 | 362K | 788K | – |
| LINCOLN NATL CORP IND | COM | 16M | 526K | – |
| LIVEWIRE GROUP INC | *W EXP 09/26/202 | 10K | 49K | – |
| LOTUS TECHNOLOGY INC | *W EXP 02/22/202 | 10K | 27K | – |
| MACQUARIE / FIRST TR GLOBAL | COM | 4M | 504K | – |
| MACYS INC | COM | 9M | 480K | – |
| MACYS INC | COM | 268K | 14K | – |
| MAINSTAY CBRE GBL INFRA MEG | COM | 73M | 6M | – |
| MARS ACQUISITION CORP | RIGHT 02/09/2028 | 39K | 175K | – |
| METAL SKY STAR ACQUISITION C | *W EXP 03/31/202 | 8K | 600K | – |
| METAL SKY STAR ACQUISITION C | RIGHT 12/31/2025 | 39K | 600K | – |
| MEXICO EQUITY & INCOME FD | COM | 1M | 119K | – |
| MFS HIGH INCOME MUN TR | SH BEN INT | 10M | 3M | – |
| MFS HIGH YIELD MUN TR | SH BEN INT | 2M | 672K | – |
| MFS INVT GRADE MUN TR | SH BEN INT | 2M | 233K | – |
| MFS MUN INCOME TR | SH BEN INT | 6M | 1M | – |
| MILLER HOWARD HIGH INC EQTY | COM SHS BEN IN | 17M | 1M | – |
| MODIVCARE INC | COM | 4M | 140K | – |
| MONTANA TECHNOLOGIES CORP | *W EXP 03/15/202 | 464K | 322K | – |
| MORGAN STANLEY EMERGING MKTS | COM | 18M | 4M | – |
| MORINGA ACQUISITION CORP | *W EXP 02/22/202 | 1K | 12K | – |
| MOUNTAIN & CO I ACQUISITN CO | *W EXP 09/30/202 | 72K | 825K | – |
| MOUNTAIN CREST ACQSITN CORP | RIGHT 08/30/2022 | 14K | 129K | – |
| MURANO GLOBAL INVTS PLC | *W EXP 03/19/202 | 29K | 175K | – |
| NABORS ENERGY TRANSITION COR | *W EXP 09/01/202 | 11K | 100K | – |
| NAVIENT CORPORATION | COM | 17M | 1M | – |
| NAVIENT CORPORATION | COM | 4M | 266K | – |
| NEUBERGER BERMAN ENERGY INFR | COM | 25M | 3M | – |
| NEUBERGER BERMAN MUN FD INC | COM | 25M | 2M | – |
| NEUBERGER BERMAN NEXT GENERA | COMMON STOCK | 73M | 6M | – |
| NEW AMER HIGH INCOME FD INC | COM NEW | 14M | 2M | – |
| NEW HORIZON AIRCRAFT LTD | *W EXP 99/99/999 | 4K | 200K | – |
| NEW PROVIDENCE ACQSITN CORP | *W EXP 11/09/202 | 7K | 146K | – |
| NKGEN BIOTECH INC | *W EXP 05/31/202 | 3K | 31K | – |
| NOCO NOCO INC | *W EXP 08/25/202 | 2K | 250K | – |
| NORDSTROM INC | COM | 56M | 3M | – |
| NORDSTROM INC | COM | 3M | 132K | – |
| NORTHVIEW ACQUISITION CORP | *W EXP 08/02/202 | 31K | 588K | – |
| NORTHVIEW ACQUISITION CORP | RIGHT 99/99/9999 | 121K | 1M | – |
| NOVA VISION ACQUISITION CORP | *W EXP 12/31/202 | 586 | 31K | – |
| NUSCALE PWR CORP | *W EXP 05/02/202 | 73K | 26K | – |
| NUVEEN AMT FREE MUN CR INC F | COM | 18M | 1M | – |
| NUVEEN AMT FREE QLTY MUN INC | COM | 34M | 3M | – |
| NUVEEN ARIZONA QLTY MUN INC | COM | 7M | 600K | – |
| NUVEEN CA QUALTY MUN INCOME | COM | 89M | 8M | – |
| NUVEEN CORE PLUS IMPACT FUND | COM BEN INT | 37M | 3M | – |
| NUVEEN DOW 30 DYNMC OVERWRT | SHS | 1M | 99K | – |
| NUVEEN MASSACHUSETS QLT MUN | COM | 6M | 577K | – |
| NUVEEN MISSOURI QLT MUN INC | COM | 1M | 143K | – |
| NUVEEN MULTI ASSET INCOME FU | COM | 59M | 5M | – |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 18M | 1M | – |
| NUVEEN NEW JERSEY QULT MUN F | COM | 73M | 6M | – |
| NUVEEN NEW YORK QLT MUN INC | COM | 9M | 826K | – |
| NUVEEN PENNSYLVANIA QLT MUN | COM | 63M | 5M | – |
| NUVEEN QUALITY MUNCP INCOME | COM | 33M | 3M | – |
| NUVEEN REAL ASSET INCOME & G | COM | 32M | 3M | – |
| NUVEEN VRIABL RAT PFD & INM | COM | 29M | 2M | – |
| NVNI GROUP LIMITED | *W EXP 11/01/202 | 4K | 211K | – |
| ONYX ACQUISITION CO I | *W EXP 11/30/202 | 8K | 306K | – |
| OPPFI INC | *W EXP 07/20/202 | 17K | 162K | – |
| ORIGIN MATERIALS INC | *W EXP 06/25/202 | 9K | 156K | – |
| PAGSEGURO DIGITAL LTD | COM CL A | 5M | 459K | – |
| PAPAYA GRWT OPPORTUNITY CORP | *W EXP 12/31/202 | 54K | 1M | – |
| PATRIA LATIN AMRCN OPPRNTY A | *W EXP 99/99/999 | 31K | 725K | – |
| PAYONEER GLOBAL INC | *W EXP 99/99/999 | 101K | 439K | – |
| PDD HOLDINGS INC | SPONSORED ADS | 2M | 18K | – |
| PEARL HOLDINGS ACQUISITN COR | *W EXP 12/15/202 | 22K | 477K | – |
| PEDIATRIX MEDICAL GROUP INC | COM | 2M | 310K | – |
| PERCEPTION CAPITAL CORP III | *W EXP 99/99/999 | 7K | 182K | – |
| PERCEPTION CAPITAL CORP IV | *W EXP 99/99/999 | 27K | 484K | – |
| PERFECT CORP | *W EXP 99/99/999 | 3K | 42K | – |
| PGIM SHORT DUR HIG YLD OPP F | COM | 524K | 34K | – |
| PIMCO CALIF MUN INCOME FD II | COM | 7M | 1M | – |
| PIMCO DYNAMIC INCOME STRATEG | COM SHS BEN INT | 153M | 7M | – |
| PIMCO NEW YORK MUN FD II | COM | 1M | 159K | – |
| PIMCO NEW YORK MUN INCOME FD | COM | 346K | 59K | – |
| PINSTRIPES HOLDINGS INC | *W EXP 09/30/202 | 78K | 705K | – |
| PIONEER MUN HIGH INCOME OPPO | COMMON STOCK | 20M | 2M | – |
| PIONEER MUNICIPAL HIGH INCOM | COM | 23M | 3M | – |
| PIONEER MUNICIPAL HIGH INCOM | COM SHS | 32M | 3M | – |
| POLESTAR AUTOMOTIVE HLDG UK | ADS A | 2M | 2M | – |
| PONO CAP TWO INC | *W EXP 99/99/999 | 16K | 200K | – |
| POWERUP ACQUISITION CORP | *W EXP 05/23/202 | 37K | 984K | – |
| PRINCIPAL REAL ESTATE INCOME | SHS BEN INT | 6M | 568K | – |
| PSYENCE BIOMEDICAL LTD | *W EXP 01/25/202 | 4K | 298K | – |
| PUTNAM MUN OPPORTUNITIES TR | SH BEN INT | 464K | 45K | – |
| QURATE RETAIL INC | COM SER A | 4M | 6M | – |
| RF ACQUISITION CORP | *W EXP 05/01/202 | 6K | 275K | – |
| RF ACQUISITION CORP | RIGHT 05/01/2028 | 27K | 275K | – |
| RIGEL RESOURCE ACQ CORP | *W EXP 99/99/999 | 138K | 540K | – |
| ROADZEN INC | *W EXP 11/30/202 | 22K | 541K | – |
| ROYALTY MGMT HLDG CORP | *W EXP 05/28/202 | 342 | 19K | – |
| ROYCE MICRO-CAP TR INC | COM | 430K | 47K | – |
| SABA CAPITAL INCOME & OPPORT | COM NEW | 27M | 3M | – |
| SABA CAPITAL INCOME & OPRNT | SHS NEW | 9M | 1M | – |
| SCHMID GROUP N.V. | EURO SHS CL A | 150K | 43K | – |
| SDCL EDGE ACQUISITION CORP | *W EXP 99/99/999 | 5K | 24K | – |
| SELINA HOSPITALITY PLC | ORDINARY SHARES | 1M | 19M | – |
| SK GROWTH OPPORTUNITIES CORP | *W EXP 06/28/202 | 50K | 215K | – |
| SMX SEC MATTERS PLC | *W EXP 03/07/202 | 3K | 266K | – |
| SOLID POWER INC | *W EXP 12/08/202 | 29K | 180K | – |
| SONDER HOLDINGS INC | *W EXP 01/18/202 | 6K | 531K | – |
| SPECTAIRE HLDGS INC | *W EXP 10/17/202 | 43K | 957K | – |
| SPECTRAL AI INC | *W EXP 99/99/999 | 10K | 60K | – |
| SPRING VALLEY ACQUISTN CORP | *W EXP 02/25/202 | 32K | 350K | – |
| SPRING VALLEY ACQUISTN CORP | RIGHT 02/25/2026 | 68K | 500K | – |
| STAR HLDGS | SHS BEN INT | 11M | 884K | – |
| STARWOOD PPTY TR INC | NOTE 6.750% 7/1 | 5M | – | – |
| SWIFTMERGE ACQUISITION CORP | *W EXP 12/13/202 | 6K | 100K | – |
| SWVL HOLDINGS CORP | *W EXP 99/99/999 | 2K | 170K | – |
| SYNTEC OPTICS HLDGS INC | *W EXP 99/99/999 | 51K | 382K | – |
| TABOOLA.COM LTD | *W EXP 99/99/999 | 11K | 72K | – |
| TAIWAN FD INC | COM | 2M | 35K | – |
| TARGET GLOBAL ACQUISI I CORP | *W EXP 12/08/202 | 54K | 467K | – |
| TECHNOLOGY & TELECOM ACQ COR | *W EXP 04/15/202 | 21K | 650K | – |
| TEMPLETON EMERGING MKTS FD | COM | 555K | 45K | – |
| TERRAN ORBITAL CORPORATION | *W EXP 03/25/202 | 8K | 74K | – |
| THE ONCOLOGY INSTITUTE INC | COM | 43K | 94K | – |
| THORNBURG INCM BUILDER OPP T | COM | 17M | 1M | – |
| TLGY ACQUISITION CORPORATION | *W EXP 11/09/202 | 64K | 994K | – |
| TORTOISE ENERGY INDEPENDENC | COM | 6M | 170K | – |
| TORTOISE ENERGY INFRA CORP | COM | 17M | 477K | – |
| TORTOISE MIDSTRM ENERGY FD I | COM | 22M | 511K | – |
| TORTOISE PIPELINE & ENERGY F | COM | 7M | 181K | – |
| TORTOISE PWR & ENERGY INFRAS | COM | 4M | 228K | – |
| TRUMP MEDIA & TECHNOLOGY GRO | COM | 5M | 202K | – |
| UNISYS CORP | COM NEW | 7M | 2M | – |
| UNITED HOMES GROUP INC | *W EXP 03/30/202 | 48K | 79K | – |
| UNITED NAT FOODS INC | COM | 1M | 89K | – |
| UNITED NAT FOODS INC | COM | 532K | 41K | – |
| UNITED STATES STL CORP NEW | COM | 21M | 557K | – |
| UWM HOLDINGS CORPORATION | *W EXP 01/21/202 | 93K | 403K | – |
| VALUENCE MERGER CORP I | *W EXP 99/99/999 | 45K | 927K | – |
| VAST RENEWABLES LIMITED | *W EXP 07/01/202 | 94K | 704K | – |
| VELO3D INC | *W EXP 09/29/202 | 420 | 30K | – |
| VERDE CLEAN FUELS INC | *W EXP 02/15/202 | 13K | 73K | – |
| VERTEX INC | CL A | 3M | 79K | – |
| VIRTUS DIVIDEND INTEREST & P | COM | 66M | 5M | – |
| VISION SENSING ACQUISITION C | *W EXP 99/99/999 | 22K | 656K | – |
| VOLATO GROUP INC | *W EXP 12/04/202 | 4K | 300K | – |
| VOYA ASIA PAC HIGH DIV EQT I | COM | 150K | 24K | – |
| VOYA EMERGING MKTS HIGH DIVI | COM | 4M | 715K | – |
| VOYA GLBL ADV & PREM OPP FD | COM | 4M | 444K | – |
| VOYA GLBL EQTY DIV & PREM OP | COM | 266K | 52K | – |
| VOYA INFRASTRUCTURE INDLS & | COM | 11M | 1M | – |
| VSEE HEALTH INC | *W EXP 99/99/999 | 53K | 243K | – |
| WALDENCAST PLC | *W EXP 07/27/202 | 27K | 100K | – |
| WEIBO CORP | SPONSORED ADR | 17M | 2M | – |
| WELSBACH TECH METALS ACQU CO | RIGHT 12/22/2026 | 66K | 600K | – |
| WESTERN ACQSTN VENTURES CORP | *W EXP 99/99/999 | 13K | 500K | – |
| WESTERN ASSET INTER MUNI FD | COM | 2M | 199K | – |
| WESTERN ASSET MANAGED MUNS F | COM | 18M | 2M | – |
| WORLD ACCEP CORPORATION | COM | 1M | 10K | – |
| XEROX HOLDINGS CORP | COM NEW | 394K | 34K | – |
| YOTTA ACQUISITION CORPORATIO | *W EXP 03/15/202 | 16K | 800K | – |
| YOTTA ACQUISITION CORPORATIO | RIGHT 03/15/2027 | 51K | 497K | – |
| ZALATORIS II ACQUISITION COR | *W EXP 99/99/999 | 1K | 21K | – |
| ZAPATA COMPUTING HLDGS INC | *W EXP 02/14/202 | 16K | 399K | – |
| ZAPP ELEC VEHS GROUP LTD | *W EXP 99/99/999 | 2K | 96K | – |
| ZEO ENERGY CORP | *W EXP 03/13/202 | 36K | 726K | – |
| ZOOMCAR HLDGS INC | *W EXP 05/31/202 | 14K | 1M | – |