WESTCHESTER CAPITAL MANAGEMENT, LLC
Adviser information for WESTCHESTER CAPITAL MANAGEMENT, 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 | 14 |
|---|---|
| Investment Advisory/Research | 7 |
| Registered Broker-Dealer Representatives | 0 |
| Registered State Investment Advisers | 0 |
| Licensed Agents of an Insurance Company | 0 |
| No. of Firms/People that Solicit Clients | 4 |
RAUM
| Provides Management of Securities Portfolios | Yes |
|---|
| Type | Accounts | RAUM |
|---|---|---|
| Discretionary | 7 | $4.0B |
| Non-Discretionary | 0 | $0 |
| Total | 7 | $4.0B |
Clients
| Type | Number | RAUM |
|---|---|---|
| Individuals | 0 | $0 |
| HNW Individuals | 0 | $0 |
| Banking or thrift institutions | 0 | $0 |
| Investment companies | 7 | $4.0B |
| Business development companies | 0 | $0 |
| Pooled investment vehicles | 0 | $0 |
| 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 | 0 |
Services
| Advisory Services | Portfolio management for investment companies |
|---|---|
| Compensation | % of AUM |
| Other Business Activities | Commodity pool operator or commodity trading advisor |
Principal Office
100 SUMMIT LAKE DRIVEVALHALLA
NY
United States
Monday - Friday, 9:00 AM TO 5:00 PM
Tel: 914-741-5600, Fax: 914-741-2950
Chief Compliance Officer
CASAUNDRA WU
ASSISTANT MANAGING DIRECTOR
100 SUMMIT LAKE DRIVE
VALHALLA
NY
United States
Tel:
914-741-5600
Fax:
914-741-2950
C**@*************M
(Full email address available in API data)
Regulatory Contact
CHRISTOPHER COLOMB
CHIEF OPERATIONS OFFICER
100 SUMMIT LAKE DRIVE
VALHALLA
NY
United States
Tel:
914-741-5600
Fax:
914-741-2950
C******@*************M
(Full email address available in API data)
Industry Affiliates
| ALPHASIMPLEX GROUP, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| CEREDEX VALUE ADVISORS LLC | Other investment adviser, including financial planners |
| DUFF & PHELPS INVESTMENT MANAGEMENT CO. | Other investment adviser, including financial planners |
| KAYNE ANDERSON RUDNICK INVESTMENT MANAGEMENT, LLC | Other investment adviser, including financial planners |
| NFJ INVESTMENT GROUP, LLC | Other investment adviser, including financial planners |
| SEIX CLO MANAGEMENT GP LLC | Sponsor, GP, manager of pooled investment vehicles |
| SEIX CLO MANAGEMENT LLC | Other investment adviser, including financial planners |
| SILVANT CAPITAL MANAGEMENT LLC | Other investment adviser, including financial planners |
| SUSTAINABLE GROWTH ADVISERS, LP | Other investment adviser, including financial planners |
| VIRTUS ALTERNATIVE INVESTMENT ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS ETF ADVISERS LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS FIXED INCOME ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS FUND ADVISERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisor |
| VIRTUS GLOBAL PARTNERS PTE. LTD. | Other investment adviser, including financial planners |
| VIRTUS INTERNATIONAL FUND MANAGEMENT LIMITED | Other investment adviser, including financial plannersSponsor, GP, manager of pooled investment vehicles |
| VIRTUS INTERNATIONAL MANAGEMENT LLP | Other investment adviser, including financial planners |
| VIRTUS INVESTMENT ADVISERS, INC. | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
| VP DISTRIBUTORS LLC | Broker-dealer, municipal securities dealer, or gov securities broker or dealer |
| WESTCHESTER CAPITAL PARTNERS, LLC | Other investment adviser, including financial plannersCommodity pool operator or commodity trading advisorSponsor, GP, manager of pooled investment vehicles |
Private Funds
| Name | Type | Assets $USD | Min Investment $USD | No. Owners |
|---|
None
Control Persons
| Name | Type | Entity | Title | Since | Ownership |
|---|---|---|---|---|---|
| BEHREN, ROY, DOUGLAS | Individual | – | CO-PRESIDENT AND CO-CHIEF INVESTMENT OFFICER | 10/2021 | < 5% |
| SHANNON, MICHAEL, THOMAS | Individual | – | CO-PRESIDENT AND CO-CHIEF INVESTMENT OFFICER | 10/2021 | < 5% |
| WU, CASAUNDRA, LEE | Individual | – | ASSISTANT MANAGING DIRECTOR AND CHIEF COMPLIANCE OFFICER | 10/2021 | < 5% |
| COLOMB, CHRISTOPHER, J | Individual | – | CHIEF OPERATIONS OFFICER | 10/2021 | < 5% |
| AYLWARD, GEORGE, ROBERT | Individual | – | CHIEF EXECUTIVE OFFICER | 10/2021 | < 5% |
| ANGERTHAL, MICHAEL, AARON | Individual | – | EXECUTIVE VICE PRESIDENT | 10/2021 | < 5% |
| VIRTUS PARTNERS, INC. | Domestic Entity | – | SOLE MEMBER | 10/2021 | > 75% |
| VIRTUS INVESTMENT PARTNERS, INC. | Domestic Entity | VIRTUS PARTNERS, INC. | SOLE SHAREHOLDER | 10/2021 | > 75% |
| SMIRL, RICHARD, WILLIAM | Individual | – | EXECUTIVE VICE PRESIDENT | 10/2021 | < 5% |
| PURKALITIS, ANDRA, CYNTHIA | Individual | – | EXECUTIVE VICE PRESIDENT AND CHIEF LEGAL OFFICER | 11/2023 | < 5% |
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 |
|---|---|---|---|---|
| AG MTG INVT TR INC | NOTE 6.750% 9/1 | 2M | – | Virtus Investment Advisers, Inc. |
| AGRICULTURE & NAT SOL ACQ CO | SHS CL A | 15M | 1M | Virtus Investment Advisers, Inc. |
| AIMEI HEALTH TECHNOLOGY CO L | SHS | 3M | 273K | Virtus Investment Advisers, Inc. |
| AIMEI HEALTH TECHNOLOGY CO L | RIGHT 11/17/2028 | 52K | 273K | Virtus Investment Advisers, Inc. |
| AIMFINITY INVESTMENT CORP I | UNIT 04/21/2027 | 1M | 126K | Virtus Investment Advisers, Inc. |
| AIRSHIP AI HLDGS INC | *W EXP 12/21/202 | 79K | 226K | Virtus Investment Advisers, Inc. |
| ALBERTSONS COS INC | COMMON STOCK | 26M | 1M | Virtus Investment Advisers, Inc. |
| ALCHEMY INVTS ACQUISITN CORP | SHS CL A | 4M | 414K | Virtus Investment Advisers, Inc. |
| ALCHEMY INVTS ACQUISITN CORP | *W EXP 11/30/202 | 29K | 207K | Virtus Investment Advisers, Inc. |
| ALLURION TECHNOLOGIES INC | *W EXP 08/01/203 | 13K | 79K | Virtus Investment Advisers, Inc. |
| PLUM ACQUISITION CORP III | *W EXP 03/31/202 | 5K | 83K | Virtus Investment Advisers, Inc. |
| ALPHA STAR ACQUISITION CORP | ORDINARY SHARES | 3M | 285K | Virtus Investment Advisers, Inc. |
| ALTENERGY ACQUISITION CORP | *W EXP 10/29/202 | 4K | 69K | Virtus Investment Advisers, Inc. |
| AMEDISYS INC | COM | 88M | 954K | Virtus Investment Advisers, Inc. |
| AMPRIUS TECHNOLOGIES INC | *W EXP 09/14/202 | 61K | 361K | Virtus Investment Advisers, Inc. |
| ANSYS INC | COM | 30M | 93K | Virtus Investment Advisers, Inc. |
| APOLLO SR FLOATING RATE FD I | COM | 117K | 8K | Virtus Investment Advisers, Inc. |
| APX ACQUISITION CORP I | CLASS A ORD SHS | 6M | 490K | Virtus Investment Advisers, Inc. |
| ARES DYNAMIC CR ALLOCATION F | COM | 311K | 21K | Virtus Investment Advisers, Inc. |
| ARES ACQUISITION CORP II | SHS CLASS A | 17M | 2M | Virtus Investment Advisers, Inc. |
| ARES ACQUISITION CORP II | *W EXP 99/99/999 | 45K | 367K | Virtus Investment Advisers, Inc. |
| AROGO CAPITAL ACQUISITION CO | *W EXP 03/23/202 | 855 | 29K | Virtus Investment Advisers, Inc. |
| ATLANTICA SUSTAINABLE INFR P | SHS | 6M | 255K | Virtus Investment Advisers, Inc. |
| AXONICS INC | COM | 84M | 1M | Virtus Investment Advisers, Inc. |
| BALL CORP | COM | 6M | 106K | Virtus Investment Advisers, Inc. |
| BALL CORP | COM | 4M | 68K | Virtus Investment Advisers, Inc. |
| BALL CORP | COM | 2M | 37K | Virtus Investment Advisers, Inc. |
| BAXTER INTL INC | COM | 6M | 169K | Virtus Investment Advisers, Inc. |
| BAXTER INTL INC | COM | 6M | 169K | Virtus Investment Advisers, Inc. |
| BAYVIEW ACQUISITION CORP | ORD SHS | 3M | 283K | Virtus Investment Advisers, Inc. |
| BAYVIEW ACQUISITION CORP | RIGHT 99/99/9999 | 45K | 237K | Virtus Investment Advisers, Inc. |
| BIOMARIN PHARMACEUTICAL INC | COM | 2M | 27K | Virtus Investment Advisers, Inc. |
| BIOMARIN PHARMACEUTICAL INC | COM | 2M | 27K | Virtus Investment Advisers, Inc. |
| BITE ACQUISITION CORP | COMMON STOCK | 2M | 189K | Virtus Investment Advisers, Inc. |
| BLACK HAWK ACQUISITION CORP | UNIT 99/99/9999 | 516K | 50K | Virtus Investment Advisers, Inc. |
| BLACKROCK FLOATING RATE INCO | COM | 124K | 10K | Virtus Investment Advisers, Inc. |
| BLACKROCK MUNIYIELD QUALITY | COM | 597K | 53K | Virtus Investment Advisers, Inc. |
| BLACKSTONE SENI FLTN RAT 202 | COM | 1M | 83K | Virtus Investment Advisers, Inc. |
| BLACKSTONE STRATEGIC CRED 20 | COM SHS BEN IN | 1M | 101K | Virtus Investment Advisers, Inc. |
| BLUE WORLD ACQUISITION CORP | CLASS A ORD SHS | 2M | 155K | Virtus Investment Advisers, Inc. |
| BOWEN ACQUISITION CORP | SHS | 2M | 224K | Virtus Investment Advisers, Inc. |
| BRIDGER AEROSPACE GRP HLDGS | *W EXP 01/24/202 | 11K | 88K | Virtus Investment Advisers, Inc. |
| BUKIT JALIL GBL ACQUISITION | ORD SHS | 5M | 468K | Virtus Investment Advisers, Inc. |
| BUKIT JALIL GBL ACQUISITION | *W EXP 12/30/202 | 2K | 68K | Virtus Investment Advisers, Inc. |
| BUKIT JALIL GBL ACQUISITION | RIGHT 12/30/2024 | 20K | 136K | Virtus Investment Advisers, Inc. |
| BURTECH ACQUISITION CORP | CLASS A COM | 1M | 95K | Virtus Investment Advisers, Inc. |
| BUZZFEED INC | *W EXP 12/03/202 | 13K | 136K | Virtus Investment Advisers, Inc. |
| BYNORDIC ACQUISITION CORP | CLASS A COM | 2M | 168K | Virtus Investment Advisers, Inc. |
| CAPRI HOLDINGS LIMITED | SHS | 38M | 1M | Virtus Investment Advisers, Inc. |
| CARRIER GLOBAL CORPORATION | COM | 8M | 129K | Virtus Investment Advisers, Inc. |
| CARRIER GLOBAL CORPORATION | COM | 8M | 129K | Virtus Investment Advisers, Inc. |
| CARTESIAN GROWTH CORP II | CLASS A ORD | 14M | 1M | Virtus Investment Advisers, Inc. |
| CARTESIAN GROWTH CORP II | *W EXP 07/12/202 | 8K | 77K | Virtus Investment Advisers, Inc. |
| CARTICA ACQUISITION CORP | CLASS A ORD SHS | 2M | 159K | Virtus Investment Advisers, Inc. |
| CARTICA ACQUISITION CORP | *W EXP 04/30/202 | 7K | 38K | Virtus Investment Advisers, Inc. |
| CATALENT INC | COM | 59M | 1M | Virtus Investment Advisers, Inc. |
| CENTURION ACQUISITION CORP | UNIT 05/31/203 | 999K | 100K | Virtus Investment Advisers, Inc. |
| CEREVEL THERAPEUTICS HLDNG I | COM | 31M | 748K | Virtus Investment Advisers, Inc. |
| CEREVEL THERAPEUTICS HLDNG I | COM | 9M | 224K | Virtus Investment Advisers, Inc. |
| CETUS CAP ACQUISITION CORP | *W EXP 01/31/202 | 1K | 52K | Virtus Investment Advisers, Inc. |
| CF ACQUISITION CORP VII | CLASS A COM | 8M | 717K | Virtus Investment Advisers, Inc. |
| XBP EUROPE HOLDINGS INC | *W EXP 11/30/202 | 2K | 56K | Virtus Investment Advisers, Inc. |
| CHAMPIONX CORPORATION | COM | 52M | 2M | Virtus Investment Advisers, Inc. |
| CHURCHILL CAPITAL CORP VII | COM CL A | 59M | 5M | Virtus Investment Advisers, Inc. |
| CLIMATEROCK | CLASS A ORD | 2M | 142K | Virtus Investment Advisers, Inc. |
| COLOMBIER ACQUISITION CORP I | UNIT 99/99/9999 | 2M | 182K | Virtus Investment Advisers, Inc. |
| COMPASS DIGITAL ACQUISITN CO | CLASS A ORD | 2M | 173K | Virtus Investment Advisers, Inc. |
| CROWN CASTLE INC | COM | 6M | 66K | Virtus Investment Advisers, Inc. |
| CROWN CASTLE INC | COM | 1M | 13K | Virtus Investment Advisers, Inc. |
| CROWN CASTLE INC | COM | 5M | 51K | Virtus Investment Advisers, Inc. |
| CSLM ACQUISITION CORP | CLASS A ORD SHS | 5M | 456K | Virtus Investment Advisers, Inc. |
| DENALI CAPITAL ACQUISITN COR | CLASS A ORD | 2M | 225K | Virtus Investment Advisers, Inc. |
| DIAMOND OFFSHORE DRILLING IN | COM | 187K | 12K | Virtus Investment Advisers, Inc. |
| DISTOKEN ACQUISITION CORP | ORDINARY SHARES | 2M | 194K | Virtus Investment Advisers, Inc. |
| DT CLOUD ACQUISITION CORP | ORD SH | 4M | 371K | Virtus Investment Advisers, Inc. |
| DT CLOUD ACQUISITION CORP | RIGHT 02/14/202 | 119K | 371K | Virtus Investment Advisers, Inc. |
| DUPONT DE NEMOURS INC | COM | 8M | 95K | Virtus Investment Advisers, Inc. |
| DUPONT DE NEMOURS INC | COM | 5M | 63K | Virtus Investment Advisers, Inc. |
| ECARX HOLDINGS INC | *W EXP 99/99/999 | 4K | 113K | Virtus Investment Advisers, Inc. |
| ENCORE WIRE CORP | COM | 28M | 98K | Virtus Investment Advisers, Inc. |
| ENDEAVOR GROUP HLDGS INC | CL A COM | 151M | 6M | Virtus Investment Advisers, Inc. |
| ENPHYS ACQUISITION CORP | CL A ORD SHS | 3M | 289K | Virtus Investment Advisers, Inc. |
| EQT CORP | COM | 4M | 119K | Virtus Investment Advisers, Inc. |
| EQUITRANS MIDSTREAM CORP | COM | 73M | 6M | Virtus Investment Advisers, Inc. |
| ESH ACQUISITION CORP | COM | 3M | 329K | Virtus Investment Advisers, Inc. |
| ESH ACQUISITION CORP | RIGHT 99/99/9999 | 40K | 364K | Virtus Investment Advisers, Inc. |
| ETSY INC | COM | 7M | 116K | Virtus Investment Advisers, Inc. |
| ETSY INC | COM | 7M | 116K | Virtus Investment Advisers, Inc. |
| EVE MOBILITY ACQUISITION COR | CL A ORD SHS | 3M | 290K | Virtus Investment Advisers, Inc. |
| EVE MOBILITY ACQUISITION COR | *W EXP 12/31/202 | 7K | 91K | Virtus Investment Advisers, Inc. |
| EVEREST CONSOLIDATOR ACQ COR | CL A COM | 6M | 540K | Virtus Investment Advisers, Inc. |
| EVERGREEN CORPORATION | *W EXP 02/08/202 | 1K | 29K | Virtus Investment Advisers, Inc. |
| FINNOVATE ACQUISITION CORP | CLASS A ORD SHS | 2M | 135K | Virtus Investment Advisers, Inc. |
| FINTECH ECOSYSTEM DEVE | CLASS A COM | 1M | 98K | Virtus Investment Advisers, Inc. |
| FORTUNE RISE ACQUISITION COR | CL A | 2M | 152K | Virtus Investment Advisers, Inc. |
| FRANKLIN UNVL TR | SH BEN INT | 800K | 118K | Virtus Investment Advisers, Inc. |
| FREIGHTOS LTD | *W EXP 99/99/999 | 6K | 60K | Virtus Investment Advisers, Inc. |
| FTAC EMERALD ACQUISITION COR | CLASS A COM | 2M | 222K | Virtus Investment Advisers, Inc. |
| FTAC EMERALD ACQUISITION COR | *W EXP 10/19/202 | 9K | 229K | Virtus Investment Advisers, Inc. |
| GCM GROSVENOR INC | *W EXP 11/17/202 | 67K | 136K | Virtus Investment Advisers, Inc. |
| GLOBAL BLOCKCHAIN ACQUI CORP | *W EXP 99/99/999 | 914 | 61K | Virtus Investment Advisers, Inc. |
| GLOBAL LIGHTS ACQUISITION CO | ORD SHS | 2M | 146K | Virtus Investment Advisers, Inc. |
| GLOBAL LIGHTS ACQUISITION CO | UNIT 99/99/9999 | 1M | 142K | Virtus Investment Advisers, Inc. |
| GLOBAL STAR ACQUISITION INC | CLASS A COM | 1M | 100K | Virtus Investment Advisers, Inc. |
| GLOBALINK INVT INC | COM | 3M | 275K | Virtus Investment Advisers, Inc. |
| GOLDEN STAR ACQUISITION CORP | RIGHT 03/30/2025 | 64K | 228K | Virtus Investment Advisers, Inc. |
| FIRST TR SR FLTG RATE INCOME | COM | 244K | 24K | Virtus Investment Advisers, Inc. |
| GRAF GLOBAL CORP | UNIT 05/31/203 | 3M | 279K | Virtus Investment Advisers, Inc. |
| HASHICORP INC | COM CL A | 62M | 2M | Virtus Investment Advisers, Inc. |
| HAYMAKER ACQUISITION CORP IV | CLASS A | 3M | 276K | Virtus Investment Advisers, Inc. |
| HAYMAKER ACQUISITION CORP IV | *W EXP 05/31/202 | 24K | 138K | Virtus Investment Advisers, Inc. |
| HAYNES INTL INC | COM NEW | 33M | 560K | Virtus Investment Advisers, Inc. |
| HEARTLAND FINL USA INC | COM | 7M | 149K | Virtus Investment Advisers, Inc. |
| HENNESSY CAPITAL INVST CORP | CLASS A COM | 703K | 67K | Virtus Investment Advisers, Inc. |
| HESS CORP | COM | 207M | 1M | Virtus Investment Advisers, Inc. |
| HORIZON SPACE ACQUSTN I CORP | ORDINARY SHARES | 3M | 268K | Virtus Investment Advisers, Inc. |
| IB ACQUISITION CORP | COM SH | 3M | 349K | Virtus Investment Advisers, Inc. |
| IB ACQUISITION CORP | RIGHT 09/28/202 | 26K | 349K | Virtus Investment Advisers, Inc. |
| ILEARNINGENGINES INC | *W EXP 04/16/20 | 357K | 529K | Virtus Investment Advisers, Inc. |
| INDEPENDENT BANK GROUP INC | COM | 11M | 243K | Virtus Investment Advisers, Inc. |
| INFINT ACQUISITION CORP | CL A ORD SHS | 3M | 300K | Virtus Investment Advisers, Inc. |
| INFLECTION PT ACQUISITN CRP | CL A ORD SHS | 24M | 2M | Virtus Investment Advisers, Inc. |
| INFLECTION PT ACQUISITN CRP | *W EXP 08/31/202 | 16K | 167K | Virtus Investment Advisers, Inc. |
| INHIBRX BIOSCIENCES INC | CO | 837K | 59K | Virtus Investment Advisers, Inc. |
| INTEGRATED WELLNESS ACQ CORP | ORD SHS CL A | 5M | 423K | Virtus Investment Advisers, Inc. |
| INTERNATIONAL MEDIA ACQUISIT | *W EXP 99/99/999 | 182 | 18K | Virtus Investment Advisers, Inc. |
| INVESCO MUN OPPORTUNITY TR | COM | 2M | 181K | Virtus Investment Advisers, Inc. |
| INVESCO VALUE MUN INCOME TR | COM | 809K | 66K | Virtus Investment Advisers, Inc. |
| INVESTCORP EUROPE ACQUISITIO | CLASS A ORD SHS | 6M | 495K | Virtus Investment Advisers, Inc. |
| INVESTCORP INDIA ACQUISTN CO | CLASS A ORD SHS | 8M | 712K | Virtus Investment Advisers, Inc. |
| IRON HORSE ACQUISITIONS CORP | COM | 2M | 226K | Virtus Investment Advisers, Inc. |
| IRON HORSE ACQUISITIONS CORP | *W EXP 99/99/999 | 8K | 226K | Virtus Investment Advisers, Inc. |
| IRON HORSE ACQUISITIONS CORP | RIGHT 99/99/9999 | 52K | 226K | Virtus Investment Advisers, Inc. |
| ISRAEL ACQUISITIONS CORP | *W EXP 99/99/999 | 22K | 450K | Virtus Investment Advisers, Inc. |
| IX ACQUISITION CORP | CLASS A ORD SHS | 2M | 167K | Virtus Investment Advisers, Inc. |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 2K | 24K | Virtus Investment Advisers, Inc. |
| JUNIPER NETWORKS INC | COM | 47M | 1M | Virtus Investment Advisers, Inc. |
| KEEN VISION ACQUISITION CORP | SHS | 8M | 709K | Virtus Investment Advisers, Inc. |
| KEEN VISION ACQUISITION CORP | *W EXP 03/15/202 | 31K | 611K | Virtus Investment Advisers, Inc. |
| KENSINGTON CAPITAL ACQUISITI | *W EXP 99/99/999 | 5K | 181K | Virtus Investment Advisers, Inc. |
| CHENGHE ACQUISITION I CO | CLASS A ORD SHS | 2M | 204K | Virtus Investment Advisers, Inc. |
| LEARN CW INVESTMENT COR | CL A ORD SHS | 10M | 889K | Virtus Investment Advisers, Inc. |
| LEDDARTECH HLDGS INC | *W EXP 12/21/202 | 6K | 219K | Virtus Investment Advisers, Inc. |
| LEGATO MERGER CORP III | ORD SHS | 4M | 363K | Virtus Investment Advisers, Inc. |
| LEGATO MERGER CORP III | *W EXP 05/08/203 | 24K | 181K | Virtus Investment Advisers, Inc. |
| LIBERTY MEDIA CORP DEL | COM LBTY SRM S A | 5M | 222K | Virtus Investment Advisers, Inc. |
| MARATHON OIL CORP | COM | 24M | 844K | Virtus Investment Advisers, Inc. |
| MARS ACQUISITION CORP | RIGHT 02/09/2028 | 1K | 6K | Virtus Investment Advisers, Inc. |
| MCGRATH RENTCORP | COM | 65M | 611K | Virtus Investment Advisers, Inc. |
| METAL SKY STAR ACQUISITION C | ORDINARY SHARES | 762K | 67K | Virtus Investment Advisers, Inc. |
| MONEYLION INC | *W EXP 09/22/202 | 12K | 118K | Virtus Investment Advisers, Inc. |
| MORINGA ACQUISITION CORP | CL A SHS | 602K | 53K | Virtus Investment Advisers, Inc. |
| MOUNTAIN & CO I ACQUISITN CO | CLASS A ORD | 7M | 632K | Virtus Investment Advisers, Inc. |
| NABORS ENERGY TRANSITION COR | *W EXP 09/01/202 | 21K | 211K | Virtus Investment Advisers, Inc. |
| NABORS ENERGY TRANSITION COR | CL A | 4M | 380K | Virtus Investment Advisers, Inc. |
| NATIONAL WESTN LIFE GROUP IN | CL A | 20M | 41K | Virtus Investment Advisers, Inc. |
| NEW HORIZON AIRCRAFT LTD | *W EXP 99/99/999 | 1K | 84K | Virtus Investment Advisers, Inc. |
| NEWBURY STREET ACQUISITN COR | COM | 1M | 101K | Virtus Investment Advisers, Inc. |
| NEWBURY STREET ACQUISITN COR | *W EXP 04/30/202 | 4K | 62K | Virtus Investment Advisers, Inc. |
| NOBLE CORP PLC | ORD SHS A | 352K | 8K | Virtus Investment Advisers, Inc. |
| SPRING VALLEY ACQUISTN CORP | *W EXP 02/25/202 | 13K | 164K | Virtus Investment Advisers, Inc. |
| NUVEEN NEW YORK AMT QLT MUNI | COM | 972K | 88K | Virtus Investment Advisers, Inc. |
| NUVEEN PFD & INCOME TERM FD | COM | 532K | 27K | Virtus Investment Advisers, Inc. |
| NUVEEN AMT FREE QLTY MUN INC | COM | 3M | 297K | Virtus Investment Advisers, Inc. |
| NUVEEN MUN VALUE FD INC | COM | 1M | 119K | Virtus Investment Advisers, Inc. |
| NUVEI CORPORATION | SUB VTG SHS | 22M | 670K | Virtus Investment Advisers, Inc. |
| OAK WOODS ACQUISITION CORP | CL A | 3M | 273K | Virtus Investment Advisers, Inc. |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 1K | 62K | Virtus Investment Advisers, Inc. |
| OCA ACQUISITION CORP | COM CL A | 2M | 147K | Virtus Investment Advisers, Inc. |
| OLINK HLDG AB | SPONSORED ADS | 52M | 2M | Virtus Investment Advisers, Inc. |
| PAPAYA GRWT OPPORTUNITY CORP | *W EXP 12/31/202 | 464 | 13K | Virtus Investment Advisers, Inc. |
| PATRIA LATIN AMRCN OPPRNTY A | CLASS A ORD SHS | 5M | 443K | Virtus Investment Advisers, Inc. |
| PERCEPTION CAPITAL CORP III | CLASS A ORD SHS | 1M | 107K | Virtus Investment Advisers, Inc. |
| PERFICIENT INC | NOTE 0.125%11/1 | 9M | – | Virtus Investment Advisers, Inc. |
| PLUM ACQUISITION CORP I | *W EXP 03/18/202 | 1K | 17K | Virtus Investment Advisers, Inc. |
| PLUM ACQUISITION CORP I | CLASS A ORD SHS | 3M | 283K | Virtus Investment Advisers, Inc. |
| VOLATO GROUP INC | *W EXP 12/04/202 | 3K | 184K | Virtus Investment Advisers, Inc. |
| PSYENCE BIOMEDICAL LTD | *W EXP 01/25/202 | 923 | 87K | Virtus Investment Advisers, Inc. |
| PYROPHYTE ACQUISITION CORP | CL A ORD SHS | 5M | 431K | Virtus Investment Advisers, Inc. |
| PYROPHYTE ACQUISITION CORP | *W EXP 05/03/202 | 5K | 92K | Virtus Investment Advisers, Inc. |
| QUANTUM SI INC | *W EXP 06/10/202 | 5K | 39K | Virtus Investment Advisers, Inc. |
| QUETTA ACQUISITION CORP | COM | 4M | 416K | Virtus Investment Advisers, Inc. |
| QUETTA ACQUISITION CORP | RIGHT 11/30/2024 | 36K | 34K | Virtus Investment Advisers, Inc. |
| PERCEPTION CAPITAL CORP IV | CL A COM | 5M | 412K | Virtus Investment Advisers, Inc. |
| RIGEL RESOURCE ACQ CORP | CL A ORD SHS | 21M | 2M | Virtus Investment Advisers, Inc. |
| SPDR S&P 500 ETF TR | TR UNIT | 26M | 48K | Virtus Investment Advisers, Inc. |
| SPDR S&P 500 ETF TR | TR UNIT | 208M | 382K | Virtus Investment Advisers, Inc. |
| SABA CAPITAL INCOME & OPRNT | SHS NEW | 207K | 29K | Virtus Investment Advisers, Inc. |
| SDCL EDGE ACQUISITION CORP | CL A ORD SHS | 7M | 630K | Virtus Investment Advisers, Inc. |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 6M | 70K | Virtus Investment Advisers, Inc. |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 6M | 70K | Virtus Investment Advisers, Inc. |
| SILK RD MED INC | COM | 11M | 403K | Virtus Investment Advisers, Inc. |
| SILVERBOW RES INC | COM | 7M | 189K | Virtus Investment Advisers, Inc. |
| SILVERBOX CORP III | COM CL A | 1M | 96K | Virtus Investment Advisers, Inc. |
| SILVERBOX CORP III | *W EXP 02/28/202 | 5K | 32K | Virtus Investment Advisers, Inc. |
| SLAM CORP | CL A SHS | 6M | 524K | Virtus Investment Advisers, Inc. |
| SLAM CORP | *W EXP 99/99/999 | 25K | 100K | Virtus Investment Advisers, Inc. |
| SOUTHWESTERN ENERGY CO | COM | 72M | 11M | Virtus Investment Advisers, Inc. |
| SPARK I ACQUISITION CORP | ORD SHS | 5M | 454K | Virtus Investment Advisers, Inc. |
| SPARK I ACQUISITION CORP | *W EXP 10/01/203 | 39K | 227K | Virtus Investment Advisers, Inc. |
| SPRING VALLEY ACQUISTN CORP | CLASS A ORD | 10M | 942K | Virtus Investment Advisers, Inc. |
| SPRING VALLEY ACQUISTN CORP | RIGHT 02/25/2026 | 47K | 328K | Virtus Investment Advisers, Inc. |
| STERICYCLE INC | COM | 71M | 1M | Virtus Investment Advisers, Inc. |
| TARGET GLOBAL ACQUISI I CORP | CLASS A ORD SHS | 5M | 422K | Virtus Investment Advisers, Inc. |
| TARGET GLOBAL ACQUISI I CORP | *W EXP 12/08/202 | 12K | 138K | Virtus Investment Advisers, Inc. |
| TECHTARGET INC | NOTE 12/1 | 17M | – | Virtus Investment Advisers, Inc. |
| TENX KEANE ACQUISITION | ORD SHS | 3M | 276K | Virtus Investment Advisers, Inc. |
| TEVOGEN BIO HLDGS INC | *W EXP 02/14/202 | 1K | 92K | Virtus Investment Advisers, Inc. |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 4M | 290K | Virtus Investment Advisers, Inc. |
| NUVEEN AMT FREE MUN CR INC F | COM | 2M | 179K | Virtus Investment Advisers, Inc. |
| TLGY ACQUISITION CORPORATION | CLASS A ORD SHS | 3M | 242K | Virtus Investment Advisers, Inc. |
| TMT ACQUISITION CORP | SHS | 4M | 365K | Virtus Investment Advisers, Inc. |
| TMT ACQUISITION CORP | RIGHT 03/27/2028 | 85K | 273K | Virtus Investment Advisers, Inc. |
| TORTOISEECOFIN ACQUISITION C | SHS CL A | 16M | 1M | Virtus Investment Advisers, Inc. |
| CERO THERAPEUTICS HLDGS INC | *W EXP 02/13/202 | 1K | 69K | Virtus Investment Advisers, Inc. |
| TRISTAR ACQUISITION I CORP | CL A ORD SHS | 5M | 487K | Virtus Investment Advisers, Inc. |
| UNITED STATES STL CORP NEW | COM | 100M | 3M | Virtus Investment Advisers, Inc. |
| VALE S A | SPONSORED ADS | 7M | 671K | Virtus Investment Advisers, Inc. |
| VALE S A | SPONSORED ADS | 2M | 162K | Virtus Investment Advisers, Inc. |
| VALE S A | SPONSORED ADS | 1M | 128K | Virtus Investment Advisers, Inc. |
| VALE S A | SPONSORED ADS | 5M | 469K | Virtus Investment Advisers, Inc. |
| VIZIO HLDG CORP | CL A COM | 14M | 1M | Virtus Investment Advisers, Inc. |
| WESTROCK CO | COM | 138M | 3M | Virtus Investment Advisers, Inc. |
| WHOLE EARTH BRANDS INC | *W EXP 06/25/202 | 4K | 64K | Virtus Investment Advisers, Inc. |
| ZALATORIS ACQUISITION CORP | COM CL A | 3M | 256K | Virtus Investment Advisers, Inc. |
| ZALATORIS II ACQUISITION COR | CLASS A ORD | 2M | 155K | Virtus Investment Advisers, Inc. |
| ZAPP ELEC VEHS GROUP LTD | *W EXP 99/99/999 | 3K | 185K | Virtus Investment Advisers, Inc. |
| ZEO ENERGY CORP | *W EXP 03/13/202 | 3K | 81K | Virtus Investment Advisers, Inc. |
| AG MTG INVT TR INC | NOTE 6.750% 9/1 | 320K | – | 0 |
| AGRICULTURE & NAT SOL ACQ CO | SHS CL A | 805K | 79K | 0 |
| AIMEI HEALTH TECHNOLOGY CO L | RIGHT 11/17/2028 | 3K | 15K | 0 |
| AIMEI HEALTH TECHNOLOGY CO L | SHS | 160K | 15K | 0 |
| AIMFINITY INVESTMENT CORP I | UNIT 04/21/2027 | 125K | 11K | 0 |
| AIRSHIP AI HLDGS INC | *W EXP 12/21/202 | 45K | 127K | 0 |
| ALBERTSONS COS INC | COMMON STOCK | 2M | 120K | 0 |
| ALCHEMY INVTS ACQUISITN CORP | SHS CL A | 385K | 36K | 0 |
| ALCHEMY INVTS ACQUISITN CORP | *W EXP 11/30/202 | 3K | 18K | 0 |
| ALLURION TECHNOLOGIES INC | *W EXP 08/01/203 | 1K | 6K | 0 |
| ALPHA STAR ACQUISITION CORP | ORDINARY SHARES | 270K | 23K | 0 |
| ALTENERGY ACQUISITION CORP | *W EXP 10/29/202 | 318 | 5K | 0 |
| AMEDISYS INC | COM | 5M | 57K | 0 |
| AMPRIUS TECHNOLOGIES INC | *W EXP 09/14/202 | 5K | 29K | 0 |
| ANSYS INC | COM | 3M | 8K | 0 |
| ARES DYNAMIC CR ALLOCATION F | COM | 117K | 8K | 0 |
| ARES ACQUISITION CORP II | *W EXP 99/99/999 | 4K | 33K | 0 |
| AROGO CAPITAL ACQUISITION CO | *W EXP 03/23/202 | 595 | 20K | 0 |
| ATLANTICA SUSTAINABLE INFR P | SHS | 529K | 24K | 0 |
| AXONICS INC | COM | 6M | 84K | 0 |
| BALL CORP | COM | 252K | 4K | 0 |
| BALL CORP | COM | 1M | 23K | 0 |
| BALL CORP | COM | 252K | 4K | 0 |
| BAXTER INTL INC | COM | 488K | 15K | 0 |
| BAXTER INTL INC | COM | 2M | 73K | 0 |
| BAYVIEW ACQUISITION CORP | ORD SHS | 171K | 17K | 0 |
| BAYVIEW ACQUISITION CORP | RIGHT 99/99/9999 | 3K | 13K | 0 |
| BIOMARIN PHARMACEUTICAL INC | COM | 650K | 8K | 0 |
| BIOMARIN PHARMACEUTICAL INC | COM | 650K | 8K | 0 |
| BITE ACQUISITION CORP | COMMON STOCK | 116K | 11K | 0 |
| BLACKROCK FLOATING RATE INCO | COM | 84K | 7K | 0 |
| BLACKROCK MUNIYIELD QUALITY | COM | 181K | 16K | 0 |
| BLACKSTONE SENI FLTN RAT 202 | COM | 268K | 19K | 0 |
| BLACKSTONE STRATEGIC CRED 20 | COM SHS BEN IN | 284K | 24K | 0 |
| BLUE WORLD ACQUISITION CORP | CLASS A ORD SHS | 154K | 14K | 0 |
| BOWEN ACQUISITION CORP | SHS | 211K | 20K | 0 |
| BRIDGER AEROSPACE GRP HLDGS | *W EXP 01/24/202 | 1K | 12K | 0 |
| BUKIT JALIL GBL ACQUISITION | RIGHT 12/30/2024 | 2K | 13K | 0 |
| BUKIT JALIL GBL ACQUISITION | *W EXP 12/30/202 | 154 | 6K | 0 |
| BURTECH ACQUISITION CORP | CLASS A COM | 60K | 5K | 0 |
| BUZZFEED INC | *W EXP 12/03/202 | 616 | 7K | 0 |
| BYNORDIC ACQUISITION CORP | CLASS A COM | 169K | 15K | 0 |
| CAPRI HOLDINGS LIMITED | SHS | 2M | 68K | 0 |
| CARRIER GLOBAL CORPORATION | COM | 2M | 31K | 0 |
| CARRIER GLOBAL CORPORATION | COM | 2M | 31K | 0 |
| CARTESIAN GROWTH CORP II | CLASS A ORD | 428K | 38K | 0 |
| CARTESIAN GROWTH CORP II | *W EXP 07/12/202 | 634 | 6K | 0 |
| CARTICA ACQUISITION CORP | CLASS A ORD SHS | 126K | 11K | 0 |
| CATALENT INC | COM | 4M | 73K | 0 |
| CEREVEL THERAPEUTICS HLDNG I | COM | 2M | 38K | 0 |
| CEREVEL THERAPEUTICS HLDNG I | COM | 900K | 22K | 0 |
| CETUS CAP ACQUISITION CORP | *W EXP 01/31/202 | 684 | 26K | 0 |
| XBP EUROPE HOLDINGS INC | *W EXP 11/30/202 | 256 | 6K | 0 |
| CHAMPIONX CORPORATION | COM | 4M | 115K | 0 |
| CHURCHILL CAPITAL CORP VII | COM CL A | 3M | 240K | 0 |
| CLIMATEROCK | CLASS A ORD | 94K | 8K | 0 |
| COLOMBIER ACQUISITION CORP I | UNIT 99/99/9999 | 126K | 12K | 0 |
| COMPASS DIGITAL ACQUISITN CO | CLASS A ORD | 98K | 9K | 0 |
| CROWN CASTLE INC | COM | 1M | 14K | 0 |
| CROWN CASTLE INC | COM | 293K | 3K | 0 |
| CROWN CASTLE INC | COM | 1M | 11K | 0 |
| CSLM ACQUISITION CORP | CLASS A ORD SHS | 175K | 16K | 0 |
| DIAMOND OFFSHORE DRILLING IN | COM | 14K | 910 | 0 |
| DISTOKEN ACQUISITION CORP | ORDINARY SHARES | 94K | 9K | 0 |
| DT CLOUD ACQUISITION CORP | ORD SH | 77K | 8K | 0 |
| DT CLOUD ACQUISITION CORP | RIGHT 02/14/202 | 2K | 8K | 0 |
| DUPONT DE NEMOURS INC | COM | 2M | 22K | 0 |
| DUPONT DE NEMOURS INC | COM | 1M | 15K | 0 |
| ECARX HOLDINGS INC | *W EXP 99/99/999 | 420 | 12K | 0 |
| ENDEAVOR GROUP HLDGS INC | CL A COM | 8M | 300K | 0 |
| ENPHYS ACQUISITION CORP | CL A ORD SHS | 439K | 40K | 0 |
| EQT CORP | COM | 3M | 68K | 0 |
| EQUITRANS MIDSTREAM CORP | COM | 3M | 245K | 0 |
| ESH ACQUISITION CORP | COM | 170K | 16K | 0 |
| ESH ACQUISITION CORP | RIGHT 99/99/9999 | 4K | 33K | 0 |
| ETSY INC | COM | 2M | 28K | 0 |
| ETSY INC | COM | 2M | 28K | 0 |
| EVE MOBILITY ACQUISITION COR | *W EXP 12/31/202 | 654 | 9K | 0 |
| EVE MOBILITY ACQUISITION COR | CL A ORD SHS | 295K | 27K | 0 |
| EVEREST CONSOLIDATOR ACQ COR | CL A COM | 317K | 28K | 0 |
| EVERGREEN CORPORATION | *W EXP 02/08/202 | 796 | 20K | 0 |
| FORTUNE RISE ACQUISITION COR | CL A | 723K | 64K | 0 |
| FRANKLIN UNVL TR | SH BEN INT | 363K | 53K | 0 |
| FREIGHTOS LTD | *W EXP 99/99/999 | 423 | 5K | 0 |
| FTAC EMERALD ACQUISITION COR | CLASS A COM | 137K | 13K | 0 |
| FTAC EMERALD ACQUISITION COR | *W EXP 10/19/202 | 87 | 2K | 0 |
| GCM GROSVENOR INC | *W EXP 11/17/202 | 20K | 40K | 0 |
| GLOBAL BLOCKCHAIN ACQUI CORP | *W EXP 99/99/999 | 508 | 34K | 0 |
| GLOBAL LIGHTS ACQUISITION CO | ORD SHS | 85K | 8K | 0 |
| GLOBAL LIGHTS ACQUISITION CO | UNIT 99/99/9999 | 82K | 8K | 0 |
| GLOBALINK INVT INC | COM | 173K | 15K | 0 |
| GOLDEN STAR ACQUISITION CORP | RIGHT 03/30/2025 | 6K | 20K | 0 |
| FIRST TR SR FLTG RATE INCOME | COM | 92K | 9K | 0 |
| GRAF GLOBAL CORP | UNIT 05/31/203 | 207K | 21K | 0 |
| HASHICORP INC | COM CL A | 5M | 143K | 0 |
| HAYMAKER ACQUISITION CORP IV | CLASS A | 254K | 24K | 0 |
| HAYMAKER ACQUISITION CORP IV | *W EXP 05/31/202 | 2K | 12K | 0 |
| HAYNES INTL INC | COM NEW | 3M | 51K | 0 |
| HEARTLAND FINL USA INC | COM | 500K | 11K | 0 |
| HENNESSY CAPITAL INVST CORP | CLASS A COM | 8K | 776 | 0 |
| HESS CORP | COM | 16M | 110K | 0 |
| HORIZON SPACE ACQUSTN I CORP | ORDINARY SHARES | 516K | 47K | 0 |
| ILEARNINGENGINES INC | *W EXP 04/16/20 | 21K | 31K | 0 |
| INDEPENDENT BANK GROUP INC | COM | 833K | 18K | 0 |
| INFINT ACQUISITION CORP | CL A ORD SHS | 242K | 21K | 0 |
| INFLECTION PT ACQUISITN CRP | *W EXP 08/31/202 | 1K | 15K | 0 |
| INHIBRX BIOSCIENCES INC | CO | 68K | 5K | 0 |
| INTERNATIONAL MEDIA ACQUISIT | *W EXP 99/99/999 | 214 | 21K | 0 |
| INVESCO MUN OPPORTUNITY TR | COM | 459K | 45K | 0 |
| INVESCO VALUE MUN INCOME TR | COM | 232K | 19K | 0 |
| INVESTCORP EUROPE ACQUISITIO | CLASS A ORD SHS | 246K | 22K | 0 |
| INVESTCORP INDIA ACQUISTN CO | CLASS A ORD SHS | 588K | 52K | 0 |
| IRON HORSE ACQUISITIONS CORP | COM | 156K | 16K | 0 |
| IRON HORSE ACQUISITIONS CORP | *W EXP 99/99/999 | 543 | 16K | 0 |
| IRON HORSE ACQUISITIONS CORP | RIGHT 99/99/9999 | 4K | 16K | 0 |
| ISRAEL ACQUISITIONS CORP | *W EXP 99/99/999 | 721 | 15K | 0 |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 2K | 24K | 0 |
| JUNIPER NETWORKS INC | COM | 3M | 83K | 0 |
| KEEN VISION ACQUISITION CORP | SHS | 398K | 38K | 0 |
| KEEN VISION ACQUISITION CORP | *W EXP 03/15/202 | 2K | 38K | 0 |
| KENSINGTON CAPITAL ACQUISITI | *W EXP 99/99/999 | 1K | 44K | 0 |
| CHENGHE ACQUISITION I CO | CLASS A ORD SHS | 174K | 15K | 0 |
| LEARN CW INVESTMENT COR | CL A ORD SHS | 129K | 12K | 0 |
| LEDDARTECH HLDGS INC | *W EXP 12/21/202 | 1K | 40K | 0 |
| LEGATO MERGER CORP III | ORD SHS | 209K | 21K | 0 |
| LEGATO MERGER CORP III | *W EXP 05/08/203 | 1K | 10K | 0 |
| LIBERTY MEDIA CORP DEL | COM LBTY SRM S A | 1M | 47K | 0 |
| MARATHON OIL CORP | COM | 2M | 64K | 0 |
| MARS ACQUISITION CORP | RIGHT 02/09/2028 | 51 | 269 | 0 |
| MCGRATH RENTCORP | COM | 5M | 45K | 0 |
| METAL SKY STAR ACQUISITION C | ORDINARY SHARES | 42K | 4K | 0 |
| MONEYLION INC | *W EXP 09/22/202 | 7K | 74K | 0 |
| MORINGA ACQUISITION CORP | CL A SHS | 34K | 3K | 0 |
| NABORS ENERGY TRANSITION COR | *W EXP 09/01/202 | 1K | 13K | 0 |
| NABORS ENERGY TRANSITION COR | CL A | 192K | 18K | 0 |
| NATIONAL WESTN LIFE GROUP IN | CL A | 2M | 4K | 0 |
| NEW HORIZON AIRCRAFT LTD | *W EXP 99/99/999 | 647 | 43K | 0 |
| NEWBURY STREET ACQUISITN COR | *W EXP 04/30/202 | 740 | 13K | 0 |
| NOBLE CORP PLC | ORD SHS A | 27K | 594 | 0 |
| SPRING VALLEY ACQUISTN CORP | *W EXP 02/25/202 | 296 | 4K | 0 |
| NUVEEN NEW YORK AMT QLT MUNI | COM | 128K | 12K | 0 |
| NUVEEN PFD & INCOME TERM FD | COM | 162K | 8K | 0 |
| NUVEEN AMT FREE QLTY MUN INC | COM | 752K | 66K | 0 |
| NUVEEN MUN VALUE FD INC | COM | 145K | 17K | 0 |
| NUVEI CORPORATION | SUB VTG SHS | 2M | 70K | 0 |
| OAK WOODS ACQUISITION CORP | CL A | 264K | 24K | 0 |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 642 | 32K | 0 |
| OCA ACQUISITION CORP | COM CL A | 38K | 3K | 0 |
| OLINK HLDG AB | SPONSORED ADS | 4M | 155K | 0 |
| PAPAYA GRWT OPPORTUNITY CORP | *W EXP 12/31/202 | 211 | 6K | 0 |
| PERCEPTION CAPITAL CORP III | CLASS A ORD SHS | 94K | 9K | 0 |
| PERFICIENT INC | NOTE 0.125%11/1 | 282K | – | 0 |
| PLUM ACQUISITION CORP I | CLASS A ORD SHS | 232K | 21K | 0 |
| PLUM ACQUISITION CORP I | *W EXP 03/18/202 | 544 | 6K | 0 |
| VOLATO GROUP INC | *W EXP 12/04/202 | 211 | 15K | 0 |
| PSYENCE BIOMEDICAL LTD | *W EXP 01/25/202 | 53 | 5K | 0 |
| PYROPHYTE ACQUISITION CORP | *W EXP 05/03/202 | 354 | 7K | 0 |
| QUANTUM SI INC | *W EXP 06/10/202 | 3K | 26K | 0 |
| QUETTA ACQUISITION CORP | COM | 230K | 22K | 0 |
| QUETTA ACQUISITION CORP | RIGHT 11/30/2024 | 2K | 2K | 0 |
| PERCEPTION CAPITAL CORP IV | CL A COM | 198K | 17K | 0 |
| RIGEL RESOURCE ACQ CORP | CL A ORD SHS | 2M | 134K | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 980K | 2K | 0 |
| SPDR S&P 500 ETF TR | TR UNIT | 8M | 14K | 0 |
| SABA CAPITAL INCOME & OPRNT | SHS NEW | 107K | 15K | 0 |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 1M | 16K | 0 |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 1M | 16K | 0 |
| SILK RD MED INC | COM | 823K | 30K | 0 |
| SILVERBOW RES INC | COM | 932K | 25K | 0 |
| SILVERBOX CORP III | COM CL A | 46K | 4K | 0 |
| SILVERBOX CORP III | *W EXP 02/28/202 | 205 | 1K | 0 |
| SLAM CORP | *W EXP 99/99/999 | 5K | 19K | 0 |
| SLAM CORP | CL A SHS | 241K | 22K | 0 |
| SOUTHWESTERN ENERGY CO | COM | 6M | 869K | 0 |
| SPARK I ACQUISITION CORP | ORD SHS | 293K | 28K | 0 |
| SPARK I ACQUISITION CORP | *W EXP 10/01/203 | 2K | 14K | 0 |
| SPRING VALLEY ACQUISTN CORP | CLASS A ORD | 401K | 36K | 0 |
| SPRING VALLEY ACQUISTN CORP | RIGHT 02/25/2026 | 1K | 7K | 0 |
| STERICYCLE INC | COM | 6M | 98K | 0 |
| TARGET GLOBAL ACQUISI I CORP | *W EXP 12/08/202 | 926 | 11K | 0 |
| TECHTARGET INC | NOTE 12/1 | 3M | – | 0 |
| TENX KEANE ACQUISITION | ORD SHS | 246K | 22K | 0 |
| TEVOGEN BIO HLDGS INC | *W EXP 02/14/202 | 108 | 7K | 0 |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 476K | 39K | 0 |
| NUVEEN CR STRATEGIES INCOME | COM SHS | 540K | 97K | 0 |
| NUVEEN AMT FREE MUN CR INC F | COM | 199K | 16K | 0 |
| TLGY ACQUISITION CORPORATION | CLASS A ORD SHS | 199K | 17K | 0 |
| TMT ACQUISITION CORP | SHS | 346K | 32K | 0 |
| TMT ACQUISITION CORP | RIGHT 03/27/2028 | 7K | 23K | 0 |
| CERO THERAPEUTICS HLDGS INC | *W EXP 02/13/202 | 106 | 5K | 0 |
| TRISTAR ACQUISITION I CORP | CL A ORD SHS | 372K | 33K | 0 |
| UNITED STATES STL CORP NEW | COM | 7M | 184K | 0 |
| VALE S A | SPONSORED ADS | 1M | 131K | 0 |
| VALE S A | SPONSORED ADS | 438K | 39K | 0 |
| VALE S A | SPONSORED ADS | 370K | 33K | 0 |
| VALE S A | SPONSORED ADS | 1M | 131K | 0 |
| VIZIO HLDG CORP | CL A COM | 435K | 40K | 0 |
| WESTROCK CO | COM | 10M | 192K | 0 |
| WHOLE EARTH BRANDS INC | *W EXP 06/25/202 | 954 | 16K | 0 |
| ZALATORIS ACQUISITION CORP | COM CL A | 139K | 13K | 0 |
| ZAPP ELEC VEHS GROUP LTD | *W EXP 99/99/999 | 230 | 13K | 0 |
| ZEO ENERGY CORP | *W EXP 03/13/202 | 260 | 6K | 0 |
| AG MTG INVT TR INC | NOTE 6.750% 9/1 | 78K | – | WESTCHESTER CAPITAL PARTNERS, LLC |
| AIMFINITY INVESTMENT CORP I | UNIT 04/21/2027 | 12K | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| AIRSHIP AI HLDGS INC | *W EXP 12/21/202 | 8K | 22K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ALBERTSONS COS INC | COMMON STOCK | 227K | 11K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ALLURION TECHNOLOGIES INC | *W EXP 08/01/203 | 125 | 784 | WESTCHESTER CAPITAL PARTNERS, LLC |
| ALPHA STAR ACQUISITION CORP | ORDINARY SHARES | 56K | 5K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ALTENERGY ACQUISITION CORP | *W EXP 10/29/202 | 40 | 670 | WESTCHESTER CAPITAL PARTNERS, LLC |
| AMEDISYS INC | COM | 954K | 10K | WESTCHESTER CAPITAL PARTNERS, LLC |
| AMPRIUS TECHNOLOGIES INC | *W EXP 09/14/202 | 584 | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ANSYS INC | COM | 303K | 942 | WESTCHESTER CAPITAL PARTNERS, LLC |
| AROGO CAPITAL ACQUISITION CO | *W EXP 03/23/202 | 50 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ATLANTICA SUSTAINABLE INFR P | SHS | 63K | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| AXONICS INC | COM | 815K | 12K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BALL CORP | COM | 378K | 6K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BALL CORP | COM | 252K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BALL CORP | COM | 126K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BAXTER INTL INC | COM | 579K | 17K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BAXTER INTL INC | COM | 579K | 17K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BIOMARIN PHARMACEUTICAL INC | COM | 132K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BIOMARIN PHARMACEUTICAL INC | COM | 132K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BLACKSTONE SENI FLTN RAT 202 | COM | 17K | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BLACKSTONE STRATEGIC CRED 20 | COM SHS BEN IN | 16K | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BLUE WORLD ACQUISITION CORP | CLASS A ORD SHS | 35K | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BOWEN ACQUISITION CORP | SHS | 20K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BUKIT JALIL GBL ACQUISITION | RIGHT 12/30/2024 | 168 | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BUKIT JALIL GBL ACQUISITION | *W EXP 12/30/202 | 13 | 558 | WESTCHESTER CAPITAL PARTNERS, LLC |
| BUZZFEED INC | *W EXP 12/03/202 | 307 | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| BYNORDIC ACQUISITION CORP | CLASS A COM | 16K | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CAPRI HOLDINGS LIMITED | SHS | 476K | 14K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CARRIER GLOBAL CORPORATION | COM | 467K | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CARRIER GLOBAL CORPORATION | COM | 467K | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CARTESIAN GROWTH CORP II | *W EXP 07/12/202 | 56 | 551 | WESTCHESTER CAPITAL PARTNERS, LLC |
| CARTICA ACQUISITION CORP | CLASS A ORD SHS | 23K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CATALENT INC | COM | 653K | 12K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CEREVEL THERAPEUTICS HLDNG I | COM | 288K | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CEREVEL THERAPEUTICS HLDNG I | COM | 168K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CETUS CAP ACQUISITION CORP | *W EXP 01/31/202 | 120 | 5K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CHAMPIONX CORPORATION | COM | 386K | 12K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CROWN CASTLE INC | COM | 352K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CROWN CASTLE INC | COM | 68K | 700 | WESTCHESTER CAPITAL PARTNERS, LLC |
| CROWN CASTLE INC | COM | 283K | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| DIAMOND OFFSHORE DRILLING IN | COM | 2K | 108 | WESTCHESTER CAPITAL PARTNERS, LLC |
| DUPONT DE NEMOURS INC | COM | 435K | 5K | WESTCHESTER CAPITAL PARTNERS, LLC |
| DUPONT DE NEMOURS INC | COM | 290K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ENDEAVOR GROUP HLDGS INC | CL A COM | 1M | 54K | WESTCHESTER CAPITAL PARTNERS, LLC |
| EQT CORP | COM | 241K | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| EQUITRANS MIDSTREAM CORP | COM | 470K | 36K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ESH ACQUISITION CORP | RIGHT 99/99/9999 | 330 | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ETSY INC | COM | 389K | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ETSY INC | COM | 389K | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| EVE MOBILITY ACQUISITION COR | *W EXP 12/31/202 | 55 | 729 | WESTCHESTER CAPITAL PARTNERS, LLC |
| EVE MOBILITY ACQUISITION COR | CL A ORD SHS | 14K | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| EVERGREEN CORPORATION | *W EXP 02/08/202 | 67 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| FRANKLIN UNVL TR | SH BEN INT | 96K | 14K | WESTCHESTER CAPITAL PARTNERS, LLC |
| FREIGHTOS LTD | *W EXP 99/99/999 | 60 | 651 | WESTCHESTER CAPITAL PARTNERS, LLC |
| FTAC EMERALD ACQUISITION COR | *W EXP 10/19/202 | 90 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| GCM GROSVENOR INC | *W EXP 11/17/202 | 95 | 194 | WESTCHESTER CAPITAL PARTNERS, LLC |
| GLOBAL BLOCKCHAIN ACQUI CORP | *W EXP 99/99/999 | 88 | 6K | WESTCHESTER CAPITAL PARTNERS, LLC |
| GOLDEN STAR ACQUISITION CORP | RIGHT 03/30/2025 | 506 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| HASHICORP INC | COM CL A | 606K | 18K | WESTCHESTER CAPITAL PARTNERS, LLC |
| HAYNES INTL INC | COM NEW | 353K | 6K | WESTCHESTER CAPITAL PARTNERS, LLC |
| HEARTLAND FINL USA INC | COM | 59K | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| HESS CORP | COM | 3M | 19K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ILEARNINGENGINES INC | *W EXP 04/16/20 | 7K | 10K | WESTCHESTER CAPITAL PARTNERS, LLC |
| INDEPENDENT BANK GROUP INC | COM | 99K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| INFLECTION PT ACQUISITN CRP | *W EXP 08/31/202 | 94 | 994 | WESTCHESTER CAPITAL PARTNERS, LLC |
| INHIBRX BIOSCIENCES INC | CO | 7K | 508 | WESTCHESTER CAPITAL PARTNERS, LLC |
| INTERNATIONAL MEDIA ACQUISIT | *W EXP 99/99/999 | 103 | 10K | WESTCHESTER CAPITAL PARTNERS, LLC |
| INVESCO VALUE MUN INCOME TR | COM | 8K | 627 | WESTCHESTER CAPITAL PARTNERS, LLC |
| INVESTCORP INDIA ACQUISTN CO | CLASS A ORD SHS | 222K | 19K | WESTCHESTER CAPITAL PARTNERS, LLC |
| IRON HORSE ACQUISITIONS CORP | COM | 19K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| IRON HORSE ACQUISITIONS CORP | *W EXP 99/99/999 | 65 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| IRON HORSE ACQUISITIONS CORP | RIGHT 99/99/9999 | 429 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| JAWS MUSTANG ACQUISITION COR | *W EXP 01/30/202 | 194 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| JUNIPER NETWORKS INC | COM | 485K | 13K | WESTCHESTER CAPITAL PARTNERS, LLC |
| LEDDARTECH HLDGS INC | *W EXP 12/21/202 | 604 | 22K | WESTCHESTER CAPITAL PARTNERS, LLC |
| LIBERTY MEDIA CORP DEL | COM LBTY SRM S A | 248K | 11K | WESTCHESTER CAPITAL PARTNERS, LLC |
| MARATHON OIL CORP | COM | 216K | 8K | WESTCHESTER CAPITAL PARTNERS, LLC |
| MCGRATH RENTCORP | COM | 588K | 6K | WESTCHESTER CAPITAL PARTNERS, LLC |
| NABORS ENERGY TRANSITION COR | *W EXP 09/01/202 | 171 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| NATIONAL WESTN LIFE GROUP IN | CL A | 174K | 351 | WESTCHESTER CAPITAL PARTNERS, LLC |
| NEW HORIZON AIRCRAFT LTD | *W EXP 99/99/999 | 106 | 7K | WESTCHESTER CAPITAL PARTNERS, LLC |
| NOBLE CORP PLC | ORD SHS A | 3K | 71 | WESTCHESTER CAPITAL PARTNERS, LLC |
| NUVEEN AMT FREE QLTY MUN INC | COM | 476K | 42K | WESTCHESTER CAPITAL PARTNERS, LLC |
| NUVEEN MUN VALUE FD INC | COM | 2K | 241 | WESTCHESTER CAPITAL PARTNERS, LLC |
| NUVEI CORPORATION | SUB VTG SHS | 284K | 9K | WESTCHESTER CAPITAL PARTNERS, LLC |
| OAK WOODS ACQUISITION CORP | CL A | 24K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| OAK WOODS ACQUISITION CORP | *W EXP 99/99/999 | 113 | 6K | WESTCHESTER CAPITAL PARTNERS, LLC |
| OLINK HLDG AB | SPONSORED ADS | 427K | 17K | WESTCHESTER CAPITAL PARTNERS, LLC |
| PAPAYA GRWT OPPORTUNITY CORP | *W EXP 12/31/202 | 27 | 758 | WESTCHESTER CAPITAL PARTNERS, LLC |
| PERCEPTION CAPITAL CORP III | CLASS A ORD SHS | 7K | 641 | WESTCHESTER CAPITAL PARTNERS, LLC |
| PLUM ACQUISITION CORP I | CLASS A ORD SHS | 177K | 16K | WESTCHESTER CAPITAL PARTNERS, LLC |
| PLUM ACQUISITION CORP I | *W EXP 03/18/202 | 271 | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| VOLATO GROUP INC | *W EXP 12/04/202 | 26 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| PYROPHYTE ACQUISITION CORP | *W EXP 05/03/202 | 45 | 891 | WESTCHESTER CAPITAL PARTNERS, LLC |
| PERCEPTION CAPITAL CORP IV | CL A COM | 112K | 10K | WESTCHESTER CAPITAL PARTNERS, LLC |
| RIGEL RESOURCE ACQ CORP | CL A ORD SHS | 200K | 18K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SPDR S&P 500 ETF TR | TR UNIT | 218K | 400 | WESTCHESTER CAPITAL PARTNERS, LLC |
| SPDR S&P 500 ETF TR | TR UNIT | 2M | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 316K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SILICON MOTION TECHNOLOGY CO | SPONSORED ADR | 316K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SILK RD MED INC | COM | 98K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SILVERBOW RES INC | COM | 110K | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SLAM CORP | *W EXP 99/99/999 | 716 | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SOUTHWESTERN ENERGY CO | COM | 693K | 103K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SPARK I ACQUISITION CORP | ORD SHS | 37K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| SPARK I ACQUISITION CORP | *W EXP 10/01/203 | 303 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| STERICYCLE INC | COM | 697K | 12K | WESTCHESTER CAPITAL PARTNERS, LLC |
| TARGET GLOBAL ACQUISI I CORP | *W EXP 12/08/202 | 114 | 1K | WESTCHESTER CAPITAL PARTNERS, LLC |
| TECHTARGET INC | NOTE 12/1 | 172K | – | WESTCHESTER CAPITAL PARTNERS, LLC |
| TENX KEANE ACQUISITION | ORD SHS | 21K | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| TEVOGEN BIO HLDGS INC | *W EXP 02/14/202 | 14 | 894 | WESTCHESTER CAPITAL PARTNERS, LLC |
| NUVEEN MUNICIPAL CREDIT INC | COM SH BEN INT | 65K | 5K | WESTCHESTER CAPITAL PARTNERS, LLC |
| NUVEEN CR STRATEGIES INCOME | COM SHS | 98K | 18K | WESTCHESTER CAPITAL PARTNERS, LLC |
| NUVEEN AMT FREE MUN CR INC F | COM | 66K | 5K | WESTCHESTER CAPITAL PARTNERS, LLC |
| TMT ACQUISITION CORP | SHS | 31K | 3K | WESTCHESTER CAPITAL PARTNERS, LLC |
| TMT ACQUISITION CORP | RIGHT 03/27/2028 | 638 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| CERO THERAPEUTICS HLDGS INC | *W EXP 02/13/202 | 15 | 753 | WESTCHESTER CAPITAL PARTNERS, LLC |
| TRISTAR ACQUISITION I CORP | CL A ORD SHS | 52K | 5K | WESTCHESTER CAPITAL PARTNERS, LLC |
| UNITED STATES STL CORP NEW | COM | 982K | 26K | WESTCHESTER CAPITAL PARTNERS, LLC |
| VALE S A | SPONSORED ADS | 417K | 37K | WESTCHESTER CAPITAL PARTNERS, LLC |
| VALE S A | SPONSORED ADS | 104K | 9K | WESTCHESTER CAPITAL PARTNERS, LLC |
| VALE S A | SPONSORED ADS | 48K | 4K | WESTCHESTER CAPITAL PARTNERS, LLC |
| VALE S A | SPONSORED ADS | 405K | 36K | WESTCHESTER CAPITAL PARTNERS, LLC |
| VIZIO HLDG CORP | CL A COM | 147K | 14K | WESTCHESTER CAPITAL PARTNERS, LLC |
| WESTROCK CO | COM | 1M | 26K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ZAPP ELEC VEHS GROUP LTD | *W EXP 99/99/999 | 36 | 2K | WESTCHESTER CAPITAL PARTNERS, LLC |
| ZEO ENERGY CORP | *W EXP 03/13/202 | 33 | 778 | WESTCHESTER CAPITAL PARTNERS, LLC |