0001752724-23-296990.txt : 20231229 0001752724-23-296990.hdr.sgml : 20231229 20231229093829 ACCESSION NUMBER: 0001752724-23-296990 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20231031 FILED AS OF DATE: 20231229 DATE AS OF CHANGE: 20231229 PERIOD START: 20240731 FILER: COMPANY DATA: COMPANY CONFORMED NAME: RIVERNORTH OPPORTUNITIES FUND, INC. CENTRAL INDEX KEY: 0001501072 ORGANIZATION NAME: IRS NUMBER: 000000000 STATE OF INCORPORATION: MD FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-22472 FILM NUMBER: 231524782 BUSINESS ADDRESS: STREET 1: 360 S. ROSEMARY AVE. STREET 2: SUITE 1420 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: 561-484-7185 MAIL ADDRESS: STREET 1: 360 S. ROSEMARY AVE. STREET 2: SUITE 1420 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 FORMER COMPANY: FORMER CONFORMED NAME: RIVERNORTH TACTICAL OPPORTUNITIES FUND, INC. DATE OF NAME CHANGE: 20100909 NPORT-P 1 primary_doc.xml NPORT-P false 0001501072 XXXXXXXX RIVERNORTH OPPORTUNITIES FUND INC. 811-22472 0001501072 5493001RICR0OU8TM159 360 S. Rosemary Avenue Suite 1420 West Palm Beach 33401 561-484-7185 RiverNorth Opportunities Fund Inc. 5493001RICR0OU8TM159 2024-07-31 2023-10-31 N 371281044.93 129283300.62 241997744.31 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 0.00000000 97750000.00000000 0.00000000 USD N Securities Portfolio VaR N/A Ares Acquisition Corp Ii N/A Ares Acquisition Corp. 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G88935120 953.00000000 NC USD 44.22000000 0.000018272897 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased TKB Critical Technologies 1 TKB Critical Technologies 1 1.00000000 11.50000000 USD 2028-10-29 XXXX -83.70000000 N N N Alpha Star Acquisition Corp N/A Alpha Star Acquisition Corp. 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Viveon Health Acquisition Corp. 1.00000000 0.01000000 USD 2049-12-31 XXXX -5814.81000000 N N N Deep Medicine Acquisition Corp N/A Deep Medicine Acquisition Corp. 243733110 28601.00000000 NC USD 9724.05000000 0.004018239933 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Deep Medicine Acquisition Corp Deep Medicine Acquisition Corp 1.00000000 11.50000000 USD 2023-10-26 XXXX -336.07000000 N N N Oaktree Specialty Lend 549300J6MGCEU5928620 Oaktree Specialty Lending Corp. 67401PAD0 6000000.00000000 PA USD 5722746.18000000 2.364793191075 Long DBT CORP US N 2 2029-02-15 Fixed 7.10000000 N N N N N N Php Ventures Acquisition Corp N/A PHP Ventures Acquisition Corp. 69291C114 25567.00000000 NC USD 511.34000000 0.000211299490 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased PHP Ventures Acquisition Corp PHP Ventures Acquisition Corp 1.00000000 11.50000000 USD 2028-08-16 XXXX -12728.79000000 N N N Newcourt Acquisition Corp N/A Newcourt Acquisition Corp. G6448C129 9620.00000000 NC USD 126.02000000 0.000052074865 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Newcourt Acquisition Corp Newcourt Acquisition Corp 1.00000000 11.50000000 USD 2028-04-12 XXXX -1681.96000000 N N N Sizzle Acquisition Corp N/A Sizzle Acquisition Corp. 83014E109 83236.00000000 NS USD 906440.04000000 0.374565491337 Long EC CORP US N 1 N N N Western Asset Inflation-linked Opportunities & Income Fund 549300Z3DNF4FJBJ4A87 Western Asset Inflation-Linked Opportunities & Income Fund 95766R104 46275.00000000 NS USD 378992.25000000 0.156609827533 Long EC RF US N 1 N N N Churchill Capital Corp Vi N/A Churchill Capital Corp. 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Arisz Acquisition Corp. 1.00000000 11.50000000 USD 2026-11-16 XXXX -2844.17000000 N N N Blackrock Muniholdings Fund Inc MZBVMGS24JR92TGE6Z32 BlackRock MuniHoldings Fund, Inc. 09253N104 167757.00000000 NS USD 1697700.84000000 0.701535811765 Long EC RF US N 1 N N N Esh Acquisition Corp N/A ESH Acquisition Corp. 296424112 34404.00000000 NC USD 4128.48000000 0.001705999372 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ESH Acquisition Corp ESH Acquisition Corp 1.00000000 10.00000000 USD 2049-12-31 XXXX -1733.93000000 N N N Worldwide Webb Acquisition Corp N/A Worldwide Webb Acquisition Corp. G97775111 24668.00000000 NC USD 3697.73000000 0.001528001845 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Worldwide Webb Acquisition Corp. Worldwide Webb Acquisition Corp. 1.00000000 11.50000000 USD 2026-10-20 XXXX -2307.41000000 N N N Sportsmap Tech Acquisition Corp N/A SportsMap Tech Acquisition Corp. 84921J116 10806.00000000 NC USD 331.74000000 0.000137083922 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased SportsMap Tech Acquisition Corp SportsMap Tech Acquisition Corp 1.00000000 11.50000000 USD 2027-09-01 XXXX -4757.17000000 N N N Ault Disruptive Technologies Corp N/A Ault Disruptive Technologies Corp. 05150A112 32655.00000000 NC USD 525.75000000 0.000217254091 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Ault Disruptive Technologies C Ault Disruptive Technologies C 1.00000000 11.50000000 USD 2028-06-20 XXXX -8624.07000000 N N N A Spac I Acquisition Corp N/A A SPAC I Acquisition Corp. 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I 1.00000000 11.50000000 USD 2028-11-01 XXXX -2671.56000000 N N N Forafric Global Plc N/A Forafric Global PLC X3R81D110 24594.00000000 NC USD 24594.00000000 0.010162904646 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Forafric Global PLC Forafric Global PLC 1.00000000 11.50000000 USD 2027-06-09 XXXX 11867.83000000 N N N Blackrock Muniyield Quality Fund Ii Inc PRQP520S3DVB025IWS24 BlackRock MuniYield Quality Fund II, Inc. 09254G108 280410.00000000 NS USD 2442371.10000000 1.009253663485 Long EC RF US N 1 N N N Horizon Space Acquisition I Corp N/A Horizon Space Acquisition I Corp. G4619M117 64668.00000000 NC USD 2263.38000000 0.000935289709 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Horizon Space Acquisition I Co Horizon Space Acquisition I Co 1.00000000 11.50000000 USD 2028-01-26 XXXX -1403.94000000 N N N Distoken Acquisition Corp N/A Distoken Acquisition Corp. G27740136 52566.00000000 NC USD 6838.84000000 0.002825993283 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Distoken Acquisition Corp Distoken Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX 125.59000000 N N N Sizzle Acquisition Corp N/A Sizzle Acquisition Corp. 83014E117 41618.00000000 NC USD 3371.06000000 0.001393012984 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Sizzle Acquisition Corp Sizzle Acquisition Corp 1.00000000 11.50000000 USD 2026-03-12 XXXX -5817.01000000 N N N Spree Acquisition Corp 1 Ltd N/A Spree Acquisition Corp. 1, Ltd. G83745128 77424.00000000 NC USD 1022.00000000 0.000422317986 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Spree Acquisition Corp 1 Ltd Spree Acquisition Corp 1 Ltd 1.00000000 11.50000000 USD 2028-12-22 XXXX -2208.34000000 N N N Foxo Technologies Inc N/A FOXO Technologies, Inc. 351471115 20705.00000000 NC USD 60.04000000 0.000024810148 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased FOXO Technologies Inc FOXO Technologies Inc 1.00000000 11.50000000 USD 2027-08-01 XXXX -12749.27000000 N N N Spdr S&p 500 Etf Trust 549300NZAMSJ8FXPQQ63 SPDR S&P 500 ETF Trust 78462F103 -13000.00000000 NS USD -5436600.00000000 -2.24654986578 Short EC RF US N 1 N N N Rf Acquisition Corp N/A RF Acquisition Corp. 74954L120 64612.00000000 NC USD 5233.57000000 0.002162652389 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased RF Acquisition Corp RF Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -854.84000000 N N N Presto Automation Inc N/A Presto Automation, Inc. 74113T113 35388.00000000 NC USD 2034.81000000 0.000840838415 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Presto Automation Inc Presto Automation Inc 1.00000000 11.50000000 USD 2027-09-21 XXXX -24912.80000000 N N N Tristar Acquisition I Corp N/A Tristar Acquisition I Corp. 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Everest Consolidator Acquisition Corp. 1.00000000 11.50000000 USD 2028-07-19 XXXX 7.93000000 N N N Blue Owl Technology Fina 254900G5EZJSOD3UKL16 Blue Owl Technology Finance Corp. 691205AC2 2500000.00000000 PA USD 2316752.38000000 0.957344617655 Long DBT CORP US Y 2 2025-12-15 Fixed 4.75000000 N N N N N N Pimco Dynamic Income Opportunities Fund 549300MWJBXCL907ZB49 PIMCO Dynamic Income Opportunities Fund 69355M107 474398.00000000 NS USD 5189914.12000000 2.144612601575 Long EC RF US N 1 N N N Pyrophyte Acquisition Corp N/A Pyrophyte Acquisition Corp. 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G3R95P116 53773.00000000 NC USD 354.90000000 0.000146654259 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ESGL Holdings Ltd ESGL Holdings Ltd 1.00000000 11.50000000 USD 2028-04-13 XXXX -3014.01000000 N N N Kingswood Acquisition Corp N/A Kingswood Acquisition Corp. 496861113 15057.00000000 NC USD 225.86000000 0.000093331448 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Kingswood Acquisition Corp Kingswood Acquisition Corp 1.00000000 11.50000000 USD 2027-05-01 XXXX -10152.03000000 N N N Peak Bio Inc N/A Peak Bio, Inc. 70470P116 1733.00000000 NC USD 5.20000000 0.000002148780 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Peak Bio Inc Peak Bio Inc 1.00000000 11.50000000 USD 2027-12-31 XXXX -1857.95000000 N N N Distoken Acquisition Corp N/A Distoken Acquisition Corp. G27740102 52566.00000000 NC USD 1077.60000000 0.000445293406 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Distoken Acquisition Corp Distoken Acquisition Corp 1.00000000 11.50000000 USD 2028-03-30 XXXX -2342.36000000 N N N Nuveen Preferred & Income Securities Fund 1V4KW82TOLZ6S7J7N128 Nuveen Preferred & Income Securities Fund 67072C105 1308054.00000000 NS USD 7782921.30000000 3.216113159315 Long EC RF US N 1 N N N Roadzen Inc N/A Roadzen, Inc. G7606H116 15598.00000000 NC USD 545.93000000 0.000225593011 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Roadzen Inc Roadzen Inc 1.00000000 11.50000000 USD 2028-11-30 XXXX -1173.08000000 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Bond 912810TL2 4000000.00000000 PA USD 3343750.00000000 1.381727755163 Long DBT UST US N 2 2052-11-15 Fixed 4.00000000 N N N N N N Blue Owl Capital Corp 2549000BD79OOCPF2L94 Blue Owl Capital Corp. 69121KAG9 500000.00000000 PA USD 407727.94000000 0.168484190281 Long DBT CORP US N 2 2028-06-11 Fixed 2.87500000 N N N N N N Rmg Acquisition Corp Iii N/A RMG Acquisition Corp. III G76088122 69.00000000 NC USD 3.26000000 0.000001347119 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased RMG Acquisition Corp. III RMG Acquisition Corp. III 1.00000000 11.50000000 USD 2027-12-31 XXXX -81.90000000 N N N Pimco Dynamic Income Fund F0MWMXS5YG3P711FB044 PIMCO Dynamic Income Fund 72201Y101 202036.00000000 NS USD 3301268.24000000 1.364173145255 Long EC RF US N 1 N N N Jaws Mustang Acquisition Corp N/A Jaws Mustang Acquisition Corp. G50737124 16682.00000000 NC USD 363.67000000 0.000150278260 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Jaws Mustang Acquisition Corp. Jaws Mustang Acquisition Corp. 1.00000000 11.50000000 USD 2026-01-30 XXXX -14189.45000000 N N N Mountain Crest Acquisition Corp V N/A Mountain Crest Acquisition Corp. V 62404B115 67514.00000000 NC USD 8101.68000000 0.003347832858 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Mountain Crest Acquisition Cor Mountain Crest Acquisition Cor 1.00000000 0.01000000 USD 2049-12-31 XXXX -2644.79000000 N N N Eve Mobility Acquisition Corp N/A EVe Mobility Acquisition Corp. G3218G117 54641.00000000 NC USD 3278.46000000 0.001354748164 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased EVe Mobility Acquisition Corp EVe Mobility Acquisition Corp 1.00000000 11.50000000 USD 2028-12-31 XXXX 748.44000000 N N N Ares Acquisition Corp Ii N/A Ares Acquisition Corp. II G33033104 260926.00000000 NS USD 2687537.80000000 1.110563161513 Long EC CORP KY N 1 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Note 91282CFN6 1000000.00000000 PA USD 989262.35000000 0.408789905385 Long DBT UST US N 2 2024-09-30 Fixed 4.25000000 N N N N N N Moolec Science Sa 213800WD8XQSQDX4A963 Moolec Science SA L64875112 14063.00000000 NC USD 353.00000000 0.000145869128 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Moolec Science SA Moolec Science SA 1.00000000 11.50000000 USD 2027-09-27 XXXX -11527.42000000 N N N Spark I Acquisition Corp N/A Spark I Acquisition Corp. G8316B126 32463.00000000 NS USD 328200.93000000 0.135621483140 Long EC CORP KY N 1 N N N Priveterra Acquisition Corp Ii N/A Priveterra Acquisition Corp. II 876545104 33890.00000000 NS USD 367367.60000000 0.151806208379 Long EC CORP US N 1 N N N Rf Acquisition Corp N/A RF Acquisition Corp. 74954L104 64612.00000000 NS USD 688763.92000000 0.284615842996 Long EC CORP US N 1 N N N Healthcare Ai Acquisition Corp N/A Healthcare AI Acquisition Corp. G4373K117 25071.00000000 NC USD 754.64000000 0.000311837617 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Healthcare AI Acquisition Corp Healthcare AI Acquisition Corp 1.00000000 11.50000000 USD 2026-12-14 XXXX 100.79000000 N N N Frontier Investment Corp 549300D3XEVQHIB48278 Frontier Investment Corp. G36816125 22574.00000000 NC USD 907.47000000 0.000374991098 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Frontier Investment Corp Frontier Investment Corp 1.00000000 11.50000000 USD 2026-12-31 XXXX -1801.04000000 N N N A Spac I Acquisition Corp N/A A SPAC I Acquisition Corp. G0542S114 48020.00000000 NC USD 4638.73000000 0.001916848445 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased A SPAC I Acquisition Corp A SPAC I Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -2467.58000000 N N N Nabors Energy Transition Corp Ii N/A Nabors Energy Transition Corp. II G6363K106 66944.00000000 NS USD 684167.68000000 0.282716552565 Long EC CORP KY N 1 N N N Black Mountain Acquisition Corp N/A Black Mountain Acquisition Corp. 09216A116 29424.00000000 NC USD 735.60000000 0.000303969775 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Black Mountain Acquisition Corp Black Mountain Acquisition Corp 1.00000000 11.50000000 USD 2027-10-15 XXXX -7174.17000000 N N N First Trust High Yield Opportunities 2027 Term Fund 549300VWTG40J7RZE994 First Trust High Yield Opportunities 2027 Term Fund 33741Q107 323801.00000000 NS USD 4147890.81000000 1.714020443383 Long EC RF US N 1 N N N Monterey Innovation Acquisition Corp N/A Monterey Innovation Acquisition Corp. 61240F116 41578.00000000 NC USD 831.56000000 0.000343623037 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Monterey Bio Acquisition Corp Monterey Bio Acquisition Corp 1.00000000 11.50000000 USD 2026-10-01 XXXX -14965.17000000 N N N Virtus Convertible & Income 2024 Target Term Fund 549300VMAL6DHTC4Z474 AllianzGI Convertible & Income 2024 Target Term Fund 92838R105 54186.00000000 NS USD 458955.42000000 0.189652767759 Long EC RF US N 1 N N N Integrated Rail And Resources Acquisition Corp 549300G3080C4RIDLA64 Integrated Rail and Resources Acquisition Corp. 45827R114 39252.00000000 NC USD 4710.24000000 0.001946398307 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Integrated Rail and Resources Acquisition Corp. Integrated Rail and Resources Acquisition Corp. 1.00000000 11.50000000 USD 2026-11-12 XXXX -6847.82000000 N N N Nabors Energy Transition Corp N/A Nabors Energy Transition Corp. 629567116 31288.00000000 NC USD 4693.20000000 0.001939356919 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Nabors Energy Transition Corp. Nabors Energy Transition Corp. 1.00000000 11.50000000 USD 2026-11-17 XXXX -3074.73000000 N N N Blackstone Private Cre 549300ORP3TTCNXSYO43 Blackstone Private Credit Fund 09261HAJ6 157.00000000 PA USD 135.48000000 0.000055983992 Long DBT CORP US Y 2 2027-03-15 Fixed 3.25000000 N N N N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Bond 912810TN8 6662000.00000000 PA USD 5192196.25000000 2.145555639290 Long DBT UST US N 2 2053-02-15 Fixed 3.62500000 N N N N N N A Spac Ii Acquisition Corp N/A A SPAC II Acquisition Corp. G0543H133 50470.00000000 NC USD 4542.30000000 0.001877000966 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased A SPAC II Acquisition Corp. A SPAC II Acquisition Corp. 1.00000000 0.01000000 USD 2049-12-31 XXXX -461.39000000 N N N Cc Neuberger Principal Holdings Iii N/A CC Neuberger Principal Holdings III G1992N100 42480.00000000 NS USD 464731.20000000 0.192039475956 Long EC CORP KY N 1 N N N Churchill Capital Corp Vii N/A Churchill Capital Corp. VII 17144M110 32084.00000000 NC USD 6416.80000000 0.002651594963 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Churchill Capital Corp. VII Churchill Capital Corp. VII 1.00000000 11.50000000 USD 2028-02-29 XXXX -13441.06000000 N N N Semper Paratus Acquisition Corp 549300AC21G4NBK9D322 Semper Paratus Acquisition Corp. G8028L131 3201.00000000 NC USD 144.05000000 0.000059525348 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Semper Paratus Acquisition Cor Semper Paratus Acquisition Cor 1.00000000 11.50000000 USD 2026-11-04 XXXX 62.68000000 N N N Prospector Capital Corp N/A Prospector Capital Corp. G7273A113 33768.00000000 NC USD 1891.01000000 0.000781416374 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Prospector Capital Corp. Prospector Capital Corp. 1.00000000 11.50000000 USD 2025-01-01 XXXX -7072.40000000 N N N Ecarx Holdings Inc N/A ECARX Holdings, Inc. G29201111 2171.00000000 NC USD 77.50000000 0.000032025091 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ECARX Holdings, Inc. ECARX Holdings, Inc. 1.00000000 11.50000000 USD 2027-12-21 XXXX -1895.46000000 N N N Suncar Technology Group Inc N/A SunCar Technology Group, Inc. G85727116 28602.00000000 NC USD 5906.31000000 0.002440646716 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased SunCar Technology Group Inc SunCar Technology Group Inc 1.00000000 11.50000000 USD 2028-05-18 XXXX -4544.00000000 N N N Blackrock Munivest Fund Ii Inc TC1SINW7C50S8NN8GU32 BlackRock MuniVest Fund II, Inc. 09253T101 141200.00000000 NS USD 1284920.00000000 0.530963626815 Long EC RF US N 1 N N N Globalink Investment Inc N/A Globalink Investment, Inc. 37892F125 65531.00000000 NC USD 655.31000000 0.000270791780 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Globalink Investment Inc Globalink Investment Inc 1.00000000 11.50000000 USD 2026-12-03 XXXX -1304.09000000 N N N Tristar Acquisition I Corp N/A Tristar Acquisition I Corp. G9074V106 39232.00000000 NS USD 422136.32000000 0.174438121811 Long EC CORP KY N 1 N N N Redwoods Acquisition Corp N/A Redwoods Acquisition Corp. 758083125 68194.00000000 NC USD 7589.99000000 0.003136388738 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Redwoods Acquisition Corp. Redwoods Acquisition Corp. 1.00000000 0.01000000 USD 2049-12-31 XXXX 679.10000000 N N N Blue Owl Capital Corp 2549000BD79OOCPF2L94 Blue Owl Capital Corp. 69121KAC8 3000000.00000000 PA USD 2804319.69000000 1.158820590661 Long DBT CORP US N 2 2025-07-22 Fixed 3.75000000 N N N N N N Learn Cw Investment Corp N/A Learn CW Investment Corp. G54157113 4787.00000000 NC USD 167.55000000 0.000069236182 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Learn CW Investment Corp Learn CW Investment Corp 1.00000000 11.50000000 USD 2028-12-31 XXXX -1868.84000000 N N N A Spac Ii Acquisition Corp N/A A SPAC II Acquisition Corp. G0543H117 25235.00000000 NC USD 234.69000000 0.000096980242 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased A SPAC II Acquisition Corp. A SPAC II Acquisition Corp. 1.00000000 11.50000000 USD 2027-05-03 XXXX -910.73000000 N N N Blackstone Private Cre 549300ORP3TTCNXSYO43 Blackstone Private Credit Fund 09261HAC1 629.00000000 PA USD 538.67000000 0.000222592983 Long DBT CORP US Y 2 2026-12-15 Fixed 2.62500000 N N N N N N Pennantpark Investment C 529900OK432R4C6NQQ73 PennantPark Investment Corp. 708062AD6 1000000.00000000 PA USD 882269.82000000 0.364577704025 Long DBT CORP US N 2 2026-11-01 Fixed 4.00000000 N N N N N N Accretion Acquisition Corp N/A Accretion Acquisition Corp. 00438Y123 33634.00000000 NC USD 3363.40000000 0.001389847665 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Accretion Acquisition Corp. Accretion Acquisition Corp. 1.00000000 0.01000000 USD 2049-12-31 XXXX -7431.10000000 N N N Lamf Global Ventures Corp I N/A LAMF Global Ventures Corp. I G5338L124 55368.00000000 NC USD 2275.62000000 0.000940347607 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased LAMF Global Ventures Corp. I LAMF Global Ventures Corp. I 1.00000000 11.50000000 USD 2026-11-11 XXXX -5605.99000000 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Note 91282CGD7 4000000.00000000 PA USD 3949218.76000000 1.631923789727 Long DBT UST US N 2 2024-12-31 Fixed 4.25000000 N N N N N N Euda Health Holdings Ltd N/A Euda Health Holdings, Ltd. G3142E121 54501.00000000 NC USD 5586.35000000 0.002308430607 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Euda Health Holdings Ltd Euda Health Holdings Ltd 1.00000000 11.50000000 USD 2026-09-24 XXXX -9350.19000000 N N N Maquia Capital Acquisition Corp N/A Maquia Capital Acquisition Corp. 56564V119 7755.00000000 NC USD 232.65000000 0.000096137259 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Maquia Capital Acquisition Corp. Maquia Capital Acquisition Corp. 1.00000000 11.50000000 USD 2027-12-31 XXXX -3063.23000000 N N N A Spac Ii Acquisition Corp N/A A SPAC II Acquisition Corp. G0543H109 50470.00000000 NS USD 543561.90000000 0.224614449010 Long EC CORP VG N 1 N N N Seaport Global Acquisition Ii Corp N/A Seaport Global Acquisition II Corp. 81221H105 29895.00000000 NS USD 320773.35000000 0.132552206597 Long EC CORP US N 1 N N N Mars Acquisition Corp N/A Mars Acquisition Corp. G5870E108 67493.00000000 NS USD 711376.22000000 0.293959855712 Long EC CORP KY N 1 N N N Fusion Acquisition Corp Ii N/A Fusion Acquisition Corp. II 36118N110 7176.00000000 NC USD 287.04000000 0.000118612675 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Fusion Acquisition Corp II Fusion Acquisition Corp II 1.00000000 11.50000000 USD 2027-12-31 XXXX -2605.75000000 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Note 91282CFG1 5000000.00000000 PA USD 4908986.40000000 2.028525684814 Long DBT UST US N 2 2024-08-31 Fixed 3.25000000 N N N N N N Blackrock Muniholdings Quality Fund Ii Inc V04K6JK5YHD4O5SHSC34 BlackRock MuniHoldings Quality Fund II, Inc. 09254C107 286736.00000000 NS USD 2477399.04000000 1.023728153774 Long EC RF US N 1 N N N Cc Neuberger Principal Holdings Iii N/A CC Neuberger Principal Holdings III G1992N126 10367.00000000 NC USD 2175.00000000 0.000898768708 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased CC Neuberger Principal Holdings III CC Neuberger Principal Holdings III 1.00000000 11.50000000 USD 2027-12-31 XXXX -1872.22000000 N N N Shoulderup Technology Acquisition Corp N/A ShoulderUp Technology Acquisition Corp. 82537G104 60000.00000000 NS USD 635940.00000000 0.262787573418 Long EC CORP US N 1 N N N Excelfin Acquisition Corp N/A ExcelFin Acquisition Corp. 30069X110 4804.00000000 NC USD 192.16000000 0.000079405698 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ExcelFin Acquisition Corp ExcelFin Acquisition Corp 1.00000000 11.50000000 USD 2026-10-21 XXXX -1359.21000000 N N N Southport Acquisition Corp N/A Southport Acquisition Corp. 84465L113 32793.00000000 NC USD 1147.76000000 0.000474285412 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Southport Acquisition Corp Southport Acquisition Corp 1.00000000 11.50000000 USD 2028-05-24 XXXX -573.52000000 N N N Southland Holdings Inc N/A Southland Holdings, Inc. 84445C118 46715.00000000 NC USD 21488.90000000 0.008879793512 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Southland Holdings Inc Southland Holdings Inc 1.00000000 11.50000000 USD 2026-09-01 XXXX 5229.76000000 N N N Screaming Eagle Acquisition Corp N/A Screaming Eagle Acquisition Corp. G79407121 21721.00000000 NC USD 2606.52000000 0.001077084419 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Screaming Eagle Acquisition Co Screaming Eagle Acquisition Co 1.00000000 11.50000000 USD 2027-12-15 XXXX -2955.25000000 N N N Adit Edtech Acquisition Corp N/A Adit EdTech Acquisition Corp. 007024102 28640.00000000 NS USD 305302.40000000 0.126159192462 Long EC CORP US N 1 N N N Hub Cyber Security Ltd N/A Hub Cyber Security, Ltd. M6000J127 44569.00000000 NC USD 1862.98000000 0.000769833621 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Hub Cyber Security Ltd Hub Cyber Security Ltd 1.00000000 11.50000000 USD 2028-02-27 XXXX -9393.79000000 N N N Aeon Biopharma Inc N/A AEON Biopharma, Inc. 00791X118 2250.00000000 NC USD 139.50000000 0.000057645165 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased AEON Biopharma Inc AEON Biopharma Inc 1.00000000 11.50000000 USD 2028-07-21 XXXX -2282.27000000 N N N Crescent Capital Bdc Inc 549300VPIZMU6OEE0V68 Crescent Capital BDC, Inc. 225655208 163300.00000000 NS USD 3821220.00000000 1.579031247128 Long EP CORP US N 1 N N N Relativity Acquisition Corp N/A Relativity Acquisition Corp. 75944B114 37808.00000000 NC USD 1780.76000000 0.000735858098 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Relativity Acquisition Corp Relativity Acquisition Corp 1.00000000 11.50000000 USD 2027-02-11 XXXX 836.73000000 N N N Interprivate Iii Financial Partners Inc N/A InterPrivate III Financial Partners, Inc. 46064R114 1067.00000000 NC USD 37.35000000 0.000015434028 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased InterPrivate III Financial Partners, Inc. InterPrivate III Financial Partners, Inc. 1.00000000 11.50000000 USD 2027-12-31 XXXX -1245.56000000 N N N Ace Global Business Acquisition Ltd N/A Ace Global Business Acquisition, Ltd. G0083E110 23244.00000000 NC USD 688.02000000 0.000284308435 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Ace Global Business Acquisition, Ltd. Ace Global Business Acquisition, Ltd. 1.00000000 11.50000000 USD 2027-12-31 XXXX -10890.98000000 N N N Alpha Star Acquisition Corp N/A Alpha Star Acquisition Corp. G0230C116 27690.00000000 NC USD 166.14000000 0.000068653532 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Alpha Star Acquisition Corp Alpha Star Acquisition Corp 1.00000000 11.50000000 USD 2026-12-13 XXXX -671.35000000 N N N Liv Capital Acquisition Corp Ii N/A LIV Capital Acquisition Corp. II G5510R105 65640.00000000 NS USD 714819.60000000 0.295382753272 Long EC CORP KY N 1 N N N Golub Capital Bdc 2549005WE0QLGK9APF78 Golub Capital BDC, Inc. 38173MAA0 2744753.00000000 PA USD 2702177.90000000 1.116612846001 Long DBT CORP US N 2 2024-04-15 Fixed 3.37500000 N N N N N N Achari Ventures Holdings Corp I 549300WXLNJWTBJTI395 Achari Ventures Holdings Corp. I 00444X101 28748.00000000 NS USD 307028.64000000 0.126872521425 Long EC CORP US N 1 N N N Bannix Acquisition Corp N/A Bannix Acquisition Corp. 066644121 51497.00000000 NC USD 15964.07000000 0.006596784629 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Bannix Acquisition Corp Bannix Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX 264.18000000 N N N Yotta Acquisition Corp N/A Yotta Acquisition Corp. 98741Y111 60341.00000000 NC USD 699.96000000 0.000289242365 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Yotta Acquisition Corp Yotta Acquisition Corp 1.00000000 11.50000000 USD 2027-03-15 XXXX -1769.17000000 N N N Oceantech Acquisitions I Corp N/A OceanTech Acquisitions I Corp. 675507107 48836.00000000 NS USD 538172.72000000 0.222387494368 Long EC CORP US N 1 N N N Power & Digital Infrastructure Acquisition Ii Corp N/A Power & Digital Infrastructure Acquisition II Corp. 73919C118 65632.00000000 NC USD 5893.75000000 0.002435456585 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Power & Digital Infrastructure Power & Digital Infrastructure 1.00000000 11.50000000 USD 2028-12-14 XXXX 37.19000000 N N N Jet.ai Inc N/A Jet.AI, Inc. 47714H118 52752.00000000 NC USD 859.86000000 0.000355317361 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Jet.AI Inc Jet.AI Inc 1.00000000 11.50000000 USD 2026-08-12 XXXX -25903.34000000 N N N Yotta Acquisition Corp N/A Yotta Acquisition Corp. 98741Y129 60341.00000000 NC USD 4833.31000000 0.001997254153 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Yotta Acquisition Corp Yotta Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -1721.10000000 N N N Project Energy Reimagined Acquisition Corp N/A Project Energy Reimagined Acquisition Corp. G72556114 19034.00000000 NC USD 1027.84000000 0.000424731231 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Project Energy Reimagined Acquisition Corp. Project Energy Reimagined Acquisition Corp. 1.00000000 11.50000000 USD 2028-12-31 XXXX -4099.56000000 N N N Blackrock Science And Technology Term Trust 549300NQ3IL1NKVC9M67 BlackRock Science and Technology Term Trust 09260K101 147793.00000000 NS USD 2134130.92000000 0.881880501029 Long EC RF US N 1 N N N Osiris Acquisition Corp N/A Osiris Acquisition Corp. 68829A111 23946.00000000 NC USD 519.63000000 0.000214725141 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Osiris Acquisition Corp. Osiris Acquisition Corp. 1.00000000 11.50000000 USD 2028-05-01 XXXX -18420.22000000 N N N Nuveen Taxable Municipal Income Fund CGX4I2YMRMYU5022FW76 Nuveen Build America Bond Fund 67074C103 54804.00000000 NS USD 764515.80000000 0.315918564522 Long EC RF US N 1 N N N Ares Acquisition Corp N/A Ares Acquisition Corp. G33032122 20000.00000000 NC USD 0.02000000 0.000000008264 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Ares Acquisition Corp Ares Acquisition Corp 1.00000000 11.50000000 USD 2027-12-31 XXXX -10471.43000000 N N N Nuveen Municipal Value Fund Inc 549300TFLBQ7LJSP8B20 Nuveen Municipal Value Fund, Inc. 670928100 455683.00000000 NS USD 3640907.17000000 1.504521118732 Long EC RF US N 1 N N N Gorilla Technology Group Inc N/A Gorilla Technology Group, Inc. G4000K118 20390.00000000 NC USD 921.63000000 0.000380842392 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Gorilla Technology Group Inc Gorilla Technology Group Inc 1.00000000 11.50000000 USD 2027-07-14 XXXX -10427.04000000 N N N Winvest Acquisition Corp N/A WinVest Acquisition Corp. 97655B109 52742.00000000 NS USD 579107.16000000 0.239302709887 Long EC CORP US N 1 N N N Microalgo Inc N/A MicroAlgo, Inc. G6077Y111 16878.00000000 NC USD 843.90000000 0.000348722258 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased MicroAlgo, Inc. MicroAlgo, Inc. 1.00000000 11.50000000 USD 2027-12-31 XXXX -5011.42000000 N N N Bowen Acquisition Corp 5493000ECOCYNGTKBW41 Bowen Acquisition Corp. G12729110 65000.00000000 NS USD 664950.00000000 0.274775288462 Long EC CORP KY N 1 N N N Phoenix Biotech Acquisition Corp N/A Phoenix Biotech Acquisition Corp. 71902K113 5294.00000000 NC USD 158.82000000 0.000065628710 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Phoenix Biotech Acquisition Co Phoenix Biotech Acquisition Co 1.00000000 11.50000000 USD 2026-09-01 XXXX -2082.55000000 N N N Oxford Square Capital Co 549300EGQH8WWU1U6Q06 Oxford Square Capital Corp. 69181V206 26143.00000000 NS USD 652678.30000000 0.269704290782 Long EP CORP US N 1 N N N Globalink Investment Inc N/A Globalink Investment, Inc. 37892F117 65531.00000000 NC USD 5897.79000000 0.002437126022 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Globalink Investment Inc Globalink Investment Inc 1.00000000 11.50000000 USD 2026-12-06 XXXX -622.68000000 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Note 91282CFX4 1000000.00000000 PA USD 990168.58000000 0.409164384082 Long DBT UST US N 2 2024-11-30 Fixed 4.50000000 N N N N N N Blackstone Private Cre 549300ORP3TTCNXSYO43 Blackstone Private Credit Fund 09261HAD9 6458765.00000000 PA USD 5531241.13000000 2.285658135273 Long DBT CORP US N 2 2026-12-15 Fixed 2.62500000 N N N N N N Financial Strategies Acquisition Corp N/A Financial Strategies Acquisition Corp. 31772T123 65633.00000000 NC USD 13.13000000 0.000005425670 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Financial Strategies Acquisition Corp. Financial Strategies Acquisition Corp. 1.00000000 11.50000000 USD 2028-03-31 XXXX -16895.90000000 N N N Virtus Cvt & Income Fund 549300WT3ICVH2Z06O49 Virtus AllianzGI Diversified Income & Convertible Fund 92838X706 2906.00000000 NS USD 59863.60000000 0.024737255370 Long EP CORP US N 1 N N N Blue Owl Technology Fina 254900G5EZJSOD3UKL16 Blue Owl Technology Finance Corp. 691205AA6 2500000.00000000 PA USD 2426784.83000000 1.002812996013 Long DBT CORP US Y 2 2025-06-30 Fixed 6.75000000 N N N N N N Clough Global Opportunities Fund 549300DTG68UBCNCPY15 Clough Global Opportunities Fund 18914E106 731566.00000000 NS USD 3072577.20000000 1.269671834653 Long EC RF US N 1 N N N Abacus Life Inc N/A Abacus Life, Inc. 00258Y112 9384.00000000 NC USD 2909.04000000 0.001202093849 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Abacus Life Inc Abacus Life Inc 1.00000000 11.50000000 USD 2027-07-01 XXXX -2452.79000000 N N N Pershing Square Holdings Ltd U7LC4KOKCTZ0YWGI2G56 Pershing Square Holdings Ltd. G7016V101 558979.00000000 NS USD 19787856.60000000 8.176876464869 Long EC CORP GG N 1 N N N Swiftmerge Acquisition Corp N/A Swiftmerge Acquisition Corp. G63836111 32785.00000000 NC USD 1639.58000000 0.000677518711 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Swiftmerge Acquisition Corp Swiftmerge Acquisition Corp 1.00000000 11.50000000 USD 2028-06-17 XXXX -1478.99000000 N N N Allegro Merger Corp 5493009YVGQK5AKMLC79 Allegro Merger Corp. 01749N111 24649.00000000 NC USD 0.02000000 0.000000008264 N/A DE CORP US N 3 State Street Corporation N/A Call Purchased Allegro Merger Corp. Allegro Merger Corp. 1.00000000 11.50000000 USD 2049-12-31 XXXX 0.02000000 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Bond 912810TR9 4000000.00000000 PA USD 3118750.00000000 1.288751681918 Long DBT UST US N 2 2053-05-15 Fixed 3.62500000 N N N N N N Bellevue Life Sciences Acquisi N/A Bellevue Life Sciences Acquisi 079174124 54328.00000000 NC USD 9235.76000000 0.003816465325 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Bellevue Life Sciences Acquisi Bellevue Life Sciences Acquisi 1.00000000 0.01000000 USD 2045-12-31 XXXX 88.01000000 N N N Special Opportunities Fund Inc 549300DGAJTGM6R4HK03 Special Opportunities Fund, Inc. 84741T104 226250.00000000 NS USD 2339425.00000000 0.966713556223 Long EC RF US N 1 N N N Proof Acquisition Corp I N/A PROOF Acquisition Corp. I 74349W112 34072.00000000 NC USD 2092.02000000 0.000864479132 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased PROOF Acquisition Corp. I PROOF Acquisition Corp. I 1.00000000 11.50000000 USD 2028-12-03 XXXX -413.10000000 N N N Bridger Aerospace Group Holdings Inc N/A Bridger Aerospace Group Holdings, Inc. 96812F110 16504.00000000 NC USD 3338.76000000 0.001379665752 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Bridger Aerospace Group Holdin Bridger Aerospace Group Holdin 1.00000000 11.50000000 USD 2028-01-25 XXXX 285.53000000 N N N Mars Acquisition Corp N/A Mars Acquisition Corp. G5870E124 67493.00000000 NC USD 15516.64000000 0.006411894476 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Mars Acquisition Corp Mars Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX 1634.68000000 N N N Bowen Acquisition Corp 5493000ECOCYNGTKBW41 Bowen Acquisition Corp. G12729128 65000.00000000 NC USD 7215.00000000 0.002981432748 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Bowen Acquisition Corp Bowen Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -2272.45000000 N N N Crescera Capital Acquisition Corp N/A Crescera Capital Acquisition Corp. G26507114 11670.00000000 NC USD 52.52000000 0.000021702681 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Crescera Capital Acquisition C Crescera Capital Acquisition C 1.00000000 11.50000000 USD 2028-11-19 XXXX -3402.97000000 N N N Blackrock California Municipal Income Trust LE6236HQD6DXEGUHE217 BlackRock California Municipal Income Trust 09248E102 292335.00000000 NS USD 2905809.90000000 1.200759084877 Long EC RF US N 1 N N N Apexigen Inc N/A Apexigen, Inc. 03759B110 8612.00000000 NC USD 225.03000000 0.000092988470 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Apexigen Inc Apexigen Inc 1.00000000 11.50000000 USD 2027-07-29 XXXX -13017.98000000 N N N Nkgen Biotech Inc N/A NKGen Biotech, Inc. 65488A119 9664.00000000 NC USD 585.64000000 0.000242002255 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased NKGen Biotech Inc NKGen Biotech Inc 1.00000000 11.50000000 USD 2028-05-31 XXXX -13078.77000000 N N N Lakeshore Acquisition Ii Corp N/A Lakeshore Acquisition II Corp. G5352N121 19815.00000000 NC USD 297.23000000 0.000122823458 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Lakeshore Acquisition II Corp Lakeshore Acquisition II Corp 1.00000000 11.50000000 USD 2026-11-18 XXXX -1250.36000000 N N N Oceantech Acquisitions I Corp N/A OceanTech Acquisitions I Corp. 675507115 48836.00000000 NC USD 786.26000000 0.000324903854 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased OceanTech Acquisitions I Corp. OceanTech Acquisitions I Corp. 1.00000000 11.50000000 USD 2026-05-10 XXXX -22547.58000000 N N N Alsp Orchid Acquisition Corp I N/A ALSP Orchid Acquisition Corp. I G0231L123 43371.00000000 NC USD 1084.28000000 0.000448053763 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ALSP Orchid Acquisition Corp I ALSP Orchid Acquisition Corp I 1.00000000 11.50000000 USD 2028-11-30 XXXX -9146.26000000 N N N Brilliant Acquisition Corp 5493000JSMFRJ0MYHQ65 Brilliant Acquisition Corp. G1643W129 6735.00000000 NC USD 363.69000000 0.000150286524 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Brilliant Acquisition Corp. Brilliant Acquisition Corp. 1.00000000 11.50000000 USD 2025-12-31 XXXX -546.48000000 N N N Pennantpark Floating Rat 529900BH3IP6381K4L72 PennantPark Floating Rate Capital, Ltd. 70806AAA4 923130.00000000 PA USD 843275.04000000 0.348464008375 Long DBT RF US N 2 2026-04-01 Fixed 4.25000000 N N N N N N Zyversa Therapeutics Inc N/A ZyVersa Therapeutics, Inc. 98987D110 48471.00000000 NC USD 3392.97000000 0.001402066787 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased ZyVersa Therapeutics, Inc. ZyVersa Therapeutics, Inc. 1.00000000 11.50000000 USD 2026-12-20 XXXX -2490.67000000 N N N Everest Consolidator Acquisition Corp N/A Everest Consolidator Acquisition Corp. 29978K102 34274.00000000 NS USD 372215.64000000 0.153809549366 Long EC CORP US N 1 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Note 91282CFA4 3000000.00000000 PA USD 2945380.29000000 1.217110638116 Long DBT UST US N 2 2024-07-31 Fixed 3.00000000 N N N N N N Churchill Capital Corp Vi N/A Churchill Capital Corp. VI 17143W119 31909.00000000 NC USD 2042.18000000 0.000843883898 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Churchill Capital Corp. VI Churchill Capital Corp. VI 1.00000000 11.50000000 USD 2027-12-31 XXXX -11988.14000000 N N N Innovative International Acquisition Corp 549300U6QXNGB66F1K14 Innovative International Acquisition Corp. 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G0230C132 27690.00000000 NC USD 2769.00000000 0.001144225541 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Alpha Star Acquisition Corp Alpha Star Acquisition Corp 1.00000000 0.01000000 USD 2026-12-13 XXXX -1007.14000000 N N N Nuveen Amt-free Municipal Value Fund 5493002K5IM2S29FUR04 Nuveen AMT-Free Municipal Value Fund 670695105 20789.00000000 NS USD 261941.40000000 0.108241256854 Long EC RF US N 1 N N N Flame Acquisition Corp N/A Flame Acquisition Corp. 33850F116 426.00000000 NC USD 298.20000000 0.000123224289 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Flame Acquisition Corp. Flame Acquisition Corp. 1.00000000 11.50000000 USD 2028-12-31 XXXX -249.87000000 N N N Gardiner Healthcare Acquisitions Corp 549300IPQDY7ERMEMH57 Gardiner Healthcare Acquisitions Corp. 365506112 67312.00000000 NC USD 1743.38000000 0.000720411673 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Gardiner Healthcare Acquisitions Corp. Gardiner Healthcare Acquisitions Corp. 1.00000000 11.50000000 USD 2028-07-30 XXXX -11933.75000000 N N N Ree Automotive Ltd N/A REE Automotive, Ltd. M8287R202 120.00000000 NS USD 314.40000000 0.000129918566 Long EC CORP IL N 1 N N N Allegro Merger Corp 5493009YVGQK5AKMLC79 Allegro Merger Corp. 01749N129 24649.00000000 NC USD 0.02000000 0.000000008264 N/A DE CORP US N 3 State Street Corporation N/A Call Purchased Allegro Merger Corp. Allegro Merger Corp. 1.00000000 11.50000000 USD 2049-12-31 XXXX 0.02000000 N N N Msp Recovery Inc 5299008GFVIJPGGFFV27 MSP Recovery, Inc. 553745118 13723.00000000 NC USD 2607.37000000 0.001077435662 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased MSP Recovery Inc MSP Recovery Inc 1.00000000 0.01000000 USD 2026-02-14 XXXX -6687.77000000 N N N Financial Strategies Acquisition Corp N/A Financial Strategies Acquisition Corp. 31772T115 65633.00000000 NC USD 13.13000000 0.000005425670 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Financial Strategies Acquisition Corp. Financial Strategies Acquisition Corp. 1.00000000 11.50000000 USD 2028-03-31 XXXX -20340.32000000 N N N Zapp Electric Vehicles Group Ltd N/A Zapp Electric Vehicles Group, Ltd. G9889X115 14153.00000000 NC USD 91.99000000 0.000038012751 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Zapp Electric Vehicles Group L Zapp Electric Vehicles Group L 1.00000000 11.50000000 USD 2028-03-03 XXXX -11070.48000000 N N N Nocturne Acquisition Corp N/A Nocturne Acquisition Corp. G6580S106 36206.00000000 NC USD 5068.84000000 0.002094581507 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Nocturne Acquisition Corp. Nocturne Acquisition Corp. 1.00000000 0.01000000 USD 2025-12-29 XXXX -9830.65000000 N N N Calamos Long/short Equity & Dynamic Income Trust 54930028TUOZZMUQBY94 Calamos Long/Short Equity & Dynamic Income Trust 12812C106 220118.00000000 NS USD 3022220.14000000 1.248862938213 Long EC RF US N 1 N N N Nuveen Amt-free Municipal Credit Income Fund 549300LBMO1C0IG71T03 Nuveen Dividend Advantage Municipal Income Fund 67071L106 567657.00000000 NS USD 5693599.71000000 2.352749082944 Long EC RF US N 1 N N N Inflection Point Acquisition Corp Ii N/A Inflection Point Acquisition Corp. II G4790U102 63942.00000000 NS USD 654126.66000000 0.270302792228 Long EC CORP KY N 1 N N N Cf Acquisition Corp Viii N/A CF Acquisition Corp. VIII 12520C117 6768.00000000 NC USD 676.80000000 0.000279672028 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased CF Acquisition Corp. VIII CF Acquisition Corp. VIII 1.00000000 11.50000000 USD 2027-12-31 XXXX -6630.40000000 N N N Shuaa Partners Acquisition Corp I N/A SHUAA Partners Acquisition Corp. I G81173117 17810.00000000 NC USD 892.28000000 0.000368714180 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased SHUAA Partners Acquisition Corp SHUAA Partners Acquisition Corp 1.00000000 11.50000000 USD 2027-03-02 XXXX -637.90000000 N N N Aurora Technology Acquisition Corp N/A Aurora Technology Acquisition Corp. G06984135 72474.00000000 NC USD 7247.40000000 0.002994821303 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Aurora Technology Acquisition Aurora Technology Acquisition 1.00000000 11.50000000 USD 2028-02-07 XXXX -1125.05000000 N N N Lakeshore Acquisition Ii Corp N/A Lakeshore Acquisition II Corp. G5352N113 39630.00000000 NC USD 6142.65000000 0.002538308783 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Lakeshore Acquisition II Corp Lakeshore Acquisition II Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -434.60000000 N N N Aurora Technology Acquisition Corp N/A Aurora Technology Acquisition Corp. G06984119 72474.00000000 NS USD 792140.82000000 0.327333968446 Long EC CORP KY N 1 N N N Pimco Energy & Tactical Credit Opportunities Fund 549300BX5QVFQJENPV35 PIMCO Energy & Tactical Credit Opportunities Fund 69346N107 285935.00000000 NS USD 5432765.00000000 2.244965140270 Long EC RF US N 1 N N N Templeton Emerging Markets Income Fund HM42X4Y58XQ0M2JYZW07 Templeton Emerging Markets Income Fund 880192109 249000.00000000 NS USD 1130460.00000000 0.467136585600 Long EC RF US N 1 N N N Beneficient N/A Beneficient 08178Q119 81786.00000000 NC USD 1529.40000000 0.000631989361 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Beneficient Beneficient 1.00000000 11.50000000 USD 2028-06-07 XXXX -16711.06000000 N N N Arisz Acquisition Corp N/A Arisz Acquisition Corp. 040450116 39063.00000000 NC USD 390.63000000 0.000161418859 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Arisz Acquisition Corp. Arisz Acquisition Corp. 1.00000000 11.50000000 USD 2026-11-16 XXXX -13783.38000000 N N N Multimetaverse Holdings Ltd N/A MultiMetaVerse Holdings, Ltd. G6360J136 20306.00000000 NC USD 446.73000000 0.000184600894 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased MultiMetaVerse Holdings Ltd MultiMetaVerse Holdings Ltd 1.00000000 11.50000000 USD 2027-03-15 XXXX -8643.45000000 N N N Eaton Vance Municipal Income Trust 549300DINBO2K1M6KL63 Eaton Vance Municipal Income Trust 27826U108 102424.00000000 NS USD 902355.44000000 0.372877624364 Long EC RF US N 1 N N N Horizon Space Acquisition I Corp N/A Horizon Space Acquisition I Corp. G4619M125 64668.00000000 NC USD 7760.16000000 0.003206707575 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Horizon Space Acquisition I Co Horizon Space Acquisition I Co 1.00000000 0.01000000 USD 2049-12-31 XXXX -1407.82000000 N N N Kairous Acquisition Corp Ltd N/A Kairous Acquisition Corp. ltd G52131136 64922.00000000 NC USD 7524.46000000 0.003109309973 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Kairous Acquisition Corp. ltd Kairous Acquisition Corp. ltd 1.00000000 11.50000000 USD 2023-11-24 XXXX 3111.21000000 N N N Us Treasury N/b 254900HROIFWPRGM1V77 U.S. Treasury Note 91282CHD6 5000000.00000000 PA USD 4928515.65000000 2.036595698051 Long DBT UST US N 2 2025-05-31 Fixed 4.25000000 N N N N N N Liv Capital Acquisition Corp Ii N/A LIV Capital Acquisition Corp. II G5510R113 49230.00000000 NC USD 1083.06000000 0.000447549626 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased LIV Capital Acquisition Corp I LIV Capital Acquisition Corp I 1.00000000 11.50000000 USD 2027-02-16 XXXX -6688.82000000 N N N Bitcoin Depot Inc N/A Bitcoin Depot, Inc. 09174P113 21464.00000000 NC USD 3219.60000000 0.001330425624 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Bitcoin Depot Inc Bitcoin Depot Inc 1.00000000 11.50000000 USD 2028-07-03 XXXX -472.00000000 N N N Distoken Acquisition Corp N/A Distoken Acquisition Corp. G27740110 52566.00000000 NS USD 555622.62000000 0.229598264059 Long EC CORP KY N 1 N N N Smx Security Matters Plc N/A SMX Security Matters PLC G8267K117 51043.00000000 NC USD 770.75000000 0.000318494704 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased SMX Security Matters PLC SMX Security Matters PLC 1.00000000 253.00000000 USD 2028-03-07 XXXX -6748.63000000 N N N Northview Acquisition Corp N/A NorthView Acquisition Corp. 66718N111 34800.00000000 NC USD 922.20000000 0.000381077932 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased NorthView Acquisition Corp. NorthView Acquisition Corp. 1.00000000 11.50000000 USD 2027-08-02 XXXX -8271.26000000 N N N State Street Institutional Treasury Money Market Fund 549300Q3FHSMZ70NLT76 State Street Institutional Treasury Money Market Fund Premier Class 857492888 16567994.25000000 NS USD 16567994.25000000 6.846342430686 Long STIV RF US N 1 N N N Nuveen California Quality Municipal Income Fund 549300ZT6V9X5U9BHR46 Nuveen California Quality Municipal Income Fund 67066Y105 175844.00000000 NS USD 1649416.72000000 0.681583510087 Long EC RF US N 1 N N N Battery Future Acquisition Corp N/A Battery Future Acquisition Corp. G0888J124 54641.00000000 NC USD 2049.04000000 0.000846718636 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Battery Future Acquisition Cor Battery Future Acquisition Cor 1.00000000 11.50000000 USD 2028-05-26 XXXX -3128.77000000 N N N Pimco Global Stocksplus & Income Fund CW3W37V8QY7DVX87PQ66 PIMCO Global StocksPLUS & Income Fund 722011103 339415.00000000 NS USD 2131526.20000000 0.880804160417 Long EC RF US N 1 N N N American Acquisition Opportunity Inc N/A American Acquisition Opportunity, Inc. 02369M110 13545.00000000 NC USD 677.25000000 0.000279857980 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased American Acquisition Opportunity, Inc. American Acquisition Opportunity, Inc. 1.00000000 11.50000000 USD 2026-05-28 XXXX -9438.70000000 N N N Climaterock N/A ClimateRock G2311X134 62670.00000000 NC USD 6267.00000000 0.002589693560 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ClimateRock ClimateRock 1.00000000 0.01000000 USD 2027-06-01 XXXX -1115.68000000 N N N Priveterra Acquisition Corp Ii N/A Priveterra Acquisition Corp. II 876545112 16945.00000000 NC USD 542.24000000 0.000224068204 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Priveterra Acquisition Corp II Priveterra Acquisition Corp II 1.00000000 11.50000000 USD 2026-01-08 XXXX -13337.75000000 N N N Icoreconnect Inc N/A iCoreConnect, Inc. 450958111 50640.00000000 NC USD 5064.00000000 0.002092581488 N/A DE CORP US N 3 State Street Corporation N/A Call Purchased FG Merger Corp FG Merger Corp 1.00000000 11.50000000 USD 2028-05-15 XXXX 1628.74000000 N N N Nuburu Inc N/A Nuburu, Inc. 67021W111 5790.00000000 NC USD 115.80000000 0.000047851685 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Nuburu Inc Nuburu Inc 1.00000000 11.50000000 USD 2027-09-07 XXXX -4871.59000000 N N N Oxus Acquisition Corp N/A Oxus Acquisition Corp. G6859L121 53236.00000000 NC USD 4791.24000000 0.001979869694 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Oxus Acquisition Corp Oxus Acquisition Corp 1.00000000 11.50000000 USD 2026-08-26 XXXX -24334.18000000 N N N Blackrock Municipal Income Trust Ii 17UVWS2OK706BUPLKK60 BlackRock Municipal Income Trust II 09249N101 313257.00000000 NS USD 2791119.87000000 1.153366068745 Long EC RF US N 1 N N N Saba Capital Income & Opportunities Fund 549300MGSUUJ7E55N746 Saba Capital Income & Opportunities Fund 78518H202 1275236.00000000 NS USD 9423994.04000000 3.894248711644 Long EC RF US N 1 N N N Winvest Acquisition Corp N/A WinVest Acquisition Corp. 97655B117 52742.00000000 NC USD 290.08000000 0.000119868885 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased WinVest Acquisition Corp WinVest Acquisition Corp 1.00000000 11.50000000 USD 2026-08-09 XXXX -14673.88000000 N N N Cardio Diagnostics Holdings Inc N/A Cardio Diagnostics Holdings, Inc. 14159C111 15319.00000000 NC USD 612.76000000 0.000253208971 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Cardio Diagnostics Holdings In Cardio Diagnostics Holdings In 1.00000000 11.50000000 USD 2026-12-01 XXXX -1851.46000000 N N N Agba Group Holding Ltd 5493006NA1XBERP7JE98 AGBA Group Holding, Ltd. G01212110 30384.00000000 NC USD 489.18000000 0.000202142380 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased AGBA Group Holding Ltd AGBA Group Holding Ltd 1.00000000 11.50000000 USD 2024-05-10 XXXX -5554.50000000 N N N Hennessy Capital Investment Corp Vi N/A Hennessy Capital Investment Corp. VI 42600H116 24100.00000000 NC USD 1207.41000000 0.000498934402 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Hennessy Capital Investment Co Hennessy Capital Investment Co 1.00000000 11.50000000 USD 2027-12-31 XXXX -1894.09000000 N N N Virtus Cvt & Inc Fund Ii 549300VQWKOKLGOGUQ16 Virtus Convertible & Income Fund II 92838U702 89385.00000000 NS USD 1820772.45000000 0.752392322991 Long EP CORP US N 1 N N N Concord Acquisition Corp Ii N/A Concord Acquisition Corp. II 20607U116 15030.00330000 NC USD 1504.50000000 0.000621700009 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Concord Acquisition Corp II Concord Acquisition Corp II 1.00000000 11.50000000 USD 2028-12-31 XXXX 808.08000000 N N N Atlantic Coastal Acquisition Corp Ii N/A Atlantic Coastal Acquisition Corp. II 04845A108 30000.00000000 NS USD 318000.00000000 0.131406183519 Long EC CORP US N 1 N N N Gardiner Healthcare Acquisitions Corp 549300IPQDY7ERMEMH57 Gardiner Healthcare Acquisitions Corp. 365506104 37000.00000000 NS USD 399600.00000000 0.165125506082 Long EC CORP US N 1 N N N Brilliant Acquisition Corp 5493000JSMFRJ0MYHQ65 Brilliant Acquisition Corp. G1643W137 11614.00000000 NC USD 1292.64000000 0.000534153739 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Brilliant Acquisition Corp. Brilliant Acquisition Corp. 1.00000000 11.50000000 USD 2025-12-31 XXXX -619.26000000 N N N Quantum Fintech Acquisition Corp N/A Quantum FinTech Acquisition Corp. 74767A105 30397.00000000 NS USD 320688.35000000 0.132517082303 Long EC CORP US N 1 N N N Opy Acquisition Corp I N/A OPY Acquisition Corp. I 671005106 58800.00000000 NS USD 615048.00000000 0.254154435097 Long EC CORP US N 1 N N N Blackstone Private Cre 549300ORP3TTCNXSYO43 Blackstone Private Credit Fund 09261HAK3 2856000.00000000 PA USD 2464553.76000000 1.018420137355 Long DBT CORP US N 2 2027-03-15 Fixed 3.25000000 N N N N N N Infint Acquisition Corp N/A InFinT Acquisition Corp. G47862100 59790.00000000 NS USD 664864.80000000 0.274740081522 Long EC CORP KY N 1 N N N Innovative International Acquisition Corp 549300U6QXNGB66F1K14 Innovative International Acquisition Corp. G4809M125 7150.00000000 NC USD 265.27000000 0.000109616724 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Innovative International Acquisition Corp. Innovative International Acquisition Corp. 1.00000000 11.50000000 USD 2028-07-01 XXXX -1077.79000000 N N N Climaterock N/A ClimateRock G2311X118 31335.00000000 NC USD 783.38000000 0.000323713761 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ClimateRock ClimateRock 1.00000000 11.50000000 USD 2027-06-01 XXXX -850.04000000 N N N Redwoods Acquisition Corp N/A Redwoods Acquisition Corp. 758083109 68194.00000000 NS USD 728311.92000000 0.300958144083 Long EC CORP US N 1 N N N Aurora Technology Acquisition Corp N/A Aurora Technology Acquisition Corp. G06984127 72474.00000000 NC USD 797.21000000 0.000329428690 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Aurora Technology Acquisition Aurora Technology Acquisition 1.00000000 11.50000000 USD 2028-02-07 XXXX -423.78000000 N N N Blackrock Taxable Municipal Bond Trust SNYX4R2CEK5Q5D25DZ39 BlackRock Build America Bond Trust 09248X100 167129.00000000 NS USD 2500249.84000000 1.033170721127 Long EC RF US N 1 N N N Xai Octagon Flt Rt Alt 549300XT617P63BLW552 XAI Octagon Floating Rate Alternative Income Term Trust 98400T205 33699.00000000 NS USD 818717.21000000 0.338316050149 Long EP RF US N 1 N N N Esh Acquisition Corp N/A ESH Acquisition Corp. 296424104 34404.00000000 NS USD 348512.52000000 0.144014780383 Long EC CORP US N 1 N N N Achari Ventures Holdings Corp I 549300WXLNJWTBJTI395 Achari Ventures Holdings Corp. I 00444X119 28748.00000000 NC USD 1009.05000000 0.000416966696 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Achari Ventures Holdings Corp Achari Ventures Holdings Corp 1.00000000 11.50000000 USD 2026-10-15 XXXX -7544.05000000 N N N Omnilit Acquisition Corp N/A OmniLit Acquisition Corp. 68218C116 45872.00000000 NC USD 3573.43000000 0.001476637730 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased OmniLit Acquisition Corp. OmniLit Acquisition Corp. 1.00000000 11.50000000 USD 2026-11-08 XXXX 1353.17000000 N N N Altenergy Acquisition Corp N/A AltEnergy Acquisition Corp. 02157M116 11896.00000000 NC USD 424.69000000 0.000175493371 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased AltEnergy Acquisition Corp AltEnergy Acquisition Corp 1.00000000 11.50000000 USD 2028-11-02 XXXX -3635.89000000 N N N Genesis Growth Tech Acquisition Corp N/A Genesis Growth Tech Acquisition Corp. G3R23D128 43768.00000000 NC USD 205.71000000 0.000085004924 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Genesis Growth Tech Acquisition Genesis Growth Tech Acquisition 1.00000000 11.50000000 USD 2028-05-19 XXXX -8461.36000000 N N N Breeze Holdings Acquisition Corp N/A Breeze Holdings Acquisition Corp. 106762115 21512.00000000 NC USD 4420.72000000 0.001826760828 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Breeze Holdings Acquisition Corp. Breeze Holdings Acquisition Corp. 1.00000000 11.50000000 USD 2027-05-25 XXXX -9181.10000000 N N N Rf Acquisition Corp N/A RF Acquisition Corp. 74954L112 64612.00000000 NC USD 1305.16000000 0.000539327341 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased RF Acquisition Corp RF Acquisition Corp 1.00000000 11.50000000 USD 2028-05-01 XXXX 57.54000000 N N N Midcap Financial Invest 5493005P14I7WFB3FW47 MidCap Financial Investment Corp. 03761UAH9 1000000.00000000 PA USD 897099.38000000 0.370705678500 Long DBT CORP US N 2 2026-07-16 Fixed 4.50000000 N N N N N N Quetta Acquisition Corp N/A Quetta Acquisition Corp. 74841A204 32463.00000000 NS USD 328233.39000000 0.135634896488 Long EC CORP US N 1 N N N Futuretech Ii Acquisition Corp N/A FutureTech II Acquisition Corp. 36119D103 30880.00000000 NS USD 337209.60000000 0.139344108748 Long EC CORP US N 1 N N N Winvest Acquisition Corp N/A WinVest Acquisition Corp. 97655B125 52742.00000000 NC USD 3164.52000000 0.001307665081 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased WinVest Acquisition Corp WinVest Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -8965.09000000 N N N Onyx Acquisition Co I N/A Onyx Acquisition Co. I G6755Q117 8341.00000000 NC USD 183.50000000 0.000075827153 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Onyx Acquisition Co I Onyx Acquisition Co I 1.00000000 11.50000000 USD 2028-11-30 XXXX -2738.52000000 N N N Northview Acquisition Corp N/A NorthView Acquisition Corp. 66718N129 69600.00000000 NC USD 9222.00000000 0.003810779322 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased NorthView Acquisition Corp. NorthView Acquisition Corp. 1.00000000 0.01000000 USD 2049-12-31 XXXX -8825.28000000 N N N Sportsmap Tech Acquisition Corp N/A SportsMap Tech Acquisition Corp. 84921J108 14408.00000000 NS USD 154886.00000000 0.064003075913 Long EC CORP US N 1 N N N Kairous Acquisition Corp Ltd N/A Kairous Acquisition Corp. ltd G52131128 32461.00000000 NC USD 454.45000000 0.000187791006 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Kairous Acquisition Corp. ltd Kairous Acquisition Corp. ltd 1.00000000 11.50000000 USD 2026-09-15 XXXX -631.55000000 N N N Globalink Investment Inc N/A Globalink Investment, Inc. 37892F109 65531.00000000 NS USD 707079.49000000 0.292184330897 Long EC CORP US N 1 N N N Gigcapital5 Inc 549300EQ1NNV387FGF92 GigCapital5, Inc. 37519U117 42380.00000000 NC USD 1483.30000000 0.000612939597 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased GigCapital5 Inc GigCapital5 Inc 1.00000000 11.50000000 USD 2028-12-31 XXXX -19696.53000000 N N N Nuveen New York Quality Municipal Income Fund 549300B795LQBEIHRS62 Nuveen New York Quality Municipal Income Fund 67066X107 143155.00000000 NS USD 1318457.55000000 0.544822247727 Long EC RF US N 1 N N N Churchill Capital Corp Vii N/A Churchill Capital Corp. VII 17144M102 60000.00000000 NS USD 627600.00000000 0.259341260303 Long EC CORP US N 1 N N N First Trust Intermediate Duration Preferred & Income Fund 549300EOWPOFA6ZHR675 First Trust Intermediate Duration Preferred & Income Fund 33718W103 105733.00000000 NS USD 1504580.59000000 0.621733311725 Long EC RF US N 1 N N N Newbury Street Acquisition Corp N/A Newbury Street Acquisition Corp. 65101L112 21081.00000000 NC USD 2318.91000000 0.000958236204 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Newbury Street Acquisition Corp. Newbury Street Acquisition Corp. 1.00000000 11.50000000 USD 2027-12-31 XXXX -14894.15000000 N N N Blackrock Municipal Income Quality Trust ZQ1Z8W71OQGQTC6ZJ410 BlackRock Municipal Income Quality Trust 092479104 124116.00000000 NS USD 1177860.84000000 0.486723892141 Long EC RF US N 1 N N N Miller/howard High Dividend Fund 549300ZCY8ROSDMUUZ28 Miller/Howard High Dividend Fund 600379101 17263.00000000 NS USD 165552.17000000 0.068410625261 Long EC RF US N 1 N N N Pearl Holdings Acquisition Corp N/A Pearl Holdings Acquisition Corp. G44525106 60000.00000000 NS USD 645000.00000000 0.266531409967 Long EC CORP KY N 1 N N N Invesco S&p 500 Equal Weight Etf QPT4TMG79RF3UWNU0R52 Invesco S&P 500 Equal Weight ETF 46137V357 -165000.00000000 NS USD -22411950.00000000 -9.26122268779 Short EC RF US N 1 N N N Integrated Wellness Acquisition Corp N/A Integrated Wellness Acquisition Corp. G4828B118 43768.00000000 NC USD 5514.77000000 0.002278851819 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Integrated Wellness Acquisition Corp. Integrated Wellness Acquisition Corp. 1.00000000 11.50000000 USD 2028-10-31 XXXX -3963.20000000 N N N Barings Participation Investors 549300BL6L2WBLZ3L146 Barings Participation Investors 06761A103 308625.00000000 NS USD 4351612.50000000 1.798203744587 Long EC RF US N 1 N N N A Spac I Acquisition Corp N/A A SPAC I Acquisition Corp. G0542S106 48020.00000000 NS USD 520056.60000000 0.214901424590 Long EC CORP VG N 1 N N N Kensington Capital Acquisition Corp V N/A Kensington Capital Acquisition Corp. V G5251K129 31452.00000000 NC USD 3554.08000000 0.001468641788 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Kensington Capital Acquisition Kensington Capital Acquisition 1.00000000 11.50000000 USD 2028-08-13 XXXX -25449.70000000 N N N Futuretech Ii Acquisition Corp N/A FutureTech II Acquisition Corp. 36119D111 30880.00000000 NC USD 1090.06000000 0.000450442215 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased FutureTech II Acquisition Corp. FutureTech II Acquisition Corp. 1.00000000 11.50000000 USD 2027-02-16 XXXX 276.44000000 N N N Barings Corporate Investors 549300JAOVWWRQYXE446 Barings Corporate Investors 06759X107 369567.00000000 NS USD 5931550.35000000 2.451076710203 Long EC RF US N 1 N N N Arisz Acquisition Corp N/A Arisz Acquisition Corp. 040450108 39063.00000000 NS USD 418759.27000000 0.173042633597 Long EC CORP US N 1 N N N Pioneer Municipal High Income Fund Trust 1SKUXW31ZFWF61CETQ82 Pioneer Municipal High Income Fund Trust 723763108 167384.00000000 NS USD 1170014.16000000 0.483481432166 Long EC RF US N 1 N N N Blue Owl Cap Corp Iii 5493003BCZ22YM5BRK17 Blue Owl Capital Corp. III 69122JAC0 557143.00000000 PA USD 475104.13000000 0.196325850620 Long DBT CORP US N 2 2027-04-13 Fixed 3.12500000 N N N N N N Opy Acquisition Corp I N/A OPY Acquisition Corp. I 671005114 58811.00000000 NC USD 2058.39000000 0.000850582308 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased OPY Acquisition Corp I OPY Acquisition Corp I 1.00000000 11.50000000 USD 2027-09-22 XXXX -5805.57000000 N N N Php Ventures Acquisition Corp N/A PHP Ventures Acquisition Corp. 69291C122 51134.00000000 NC USD 4714.55000000 0.001948179316 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased PHP Ventures Acquisition Corp PHP Ventures Acquisition Corp 1.00000000 0.01000000 USD 2049-12-31 XXXX -14424.39000000 N N N Blue Owl Capital Corp Ii 549300MMNWZO5XKDDX47 Blue Owl Capital Corp. II 69121DAA8 2000000.00000000 PA USD 1937895.28000000 0.800790637749 Long DBT CORP US Y 2 2024-11-26 Fixed 4.62500000 N N N N N N Prenetics Global Ltd N/A Prenetics Global, Ltd. G72245114 7982.00000000 NC USD 128.51000000 0.000053103800 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Prenetics Global Ltd Prenetics Global Ltd 1.00000000 8.91000000 USD 2027-05-17 XXXX -6864.68000000 N N N Breeze Holdings Acquisition Corp N/A Breeze Holdings Acquisition Corp. 106762123 21512.00000000 NC USD 2618.01000000 0.001081832397 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Breeze Holdings Acquisition Corp. Breeze Holdings Acquisition Corp. 1.00000000 0.01000000 USD 2027-05-25 XXXX -1927.48000000 N N N Blue Ocean Acquisition Corp 54930022IRZD99B5AQ81 Blue Ocean Acquisition Corp. G1330L121 57401.00000000 NC USD 2852.26000000 0.001178630820 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Blue Ocean Acquisition Corp. Blue Ocean Acquisition Corp. 1.00000000 11.50000000 USD 2028-10-21 XXXX -2597.27000000 N N N Blackrock Muniyield Fund Inc AVXF9RZVI4EDWXACOH81 BlackRock MuniYield Fund, Inc. 09253W104 237151.00000000 NS USD 2124872.96000000 0.878054862064 Long EC RF US N 1 N N N Pono Capital Three Inc N/A Pono Capital Three, Inc. G71704103 32271.00000000 NS USD 341749.89000000 0.141220279128 Long EC CORP KY N 1 N N N Dhc Acquisition Corp N/A DHC Acquisition Corp. G2758T117 5688.00000000 NC USD 284.40000000 0.000117521756 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased DHC Acquisition Corp. DHC Acquisition Corp. 1.00000000 11.50000000 USD 2027-12-31 XXXX -6581.98000000 N N N Falcon's Beyond Global Inc N/A Falcon's Beyond Global, Inc. 306121112 92.00000000 NC USD 49.68000000 0.000020529116 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Falcon's Beyond Global Inc Falcon's Beyond Global Inc 1.00000000 11.50000000 USD 2027-09-01 XXXX -77.88000000 N N N 7gc & Co Holdings Inc N/A 7GC & Co. Holdings, Inc. 81786A115 1245.00000000 NC USD 53.54000000 0.000022124173 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased 7GC & Co. Holdings, Inc. 7GC & Co. Holdings, Inc. 1.00000000 11.50000000 USD 2026-12-31 XXXX -1013.35000000 N N N Digital Health Acquisition Corp N/A Digital Health Acquisition Corp. 253893119 19208.00000000 NC USD 576.24000000 0.000238117921 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Digital Health Acquisition Corp. Digital Health Acquisition Corp. 1.00000000 11.50000000 USD 2028-11-04 XXXX -2445.75000000 N N N Nuveen Quality Municipal Income Fund 549300RDIO25ZNWCOA97 Nuveen Quality Municipal Income Fund 67066V101 138430.00000000 NS USD 1357998.30000000 0.561161552919 Long EC RF US N 1 N N N Blackrock Health Sciences Term Trust 549300FGMK4EGHSK8N86 BlackRock Health Sciences Term Trust 09260E105 230470.00000000 NS USD 3016852.30000000 1.246644801835 Long EC RF US N 1 N N N Cf Acquisition Corp Iv N/A CF Acquisition Corp. IV 12520T110 830.00000000 NC USD 39.84000000 0.000016462963 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased CF Acquisition Corp. IV CF Acquisition Corp. IV 1.00000000 11.50000000 USD 2025-12-14 XXXX -862.24000000 N N N Amprius Technologies Inc N/A Amprius Technologies, Inc. 03214Q116 57051.00000000 NC USD 11124.95000000 0.004597129626 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Amprius Technologies Inc Amprius Technologies Inc 1.00000000 11.50000000 USD 2027-09-14 XXXX -4633.36000000 N N N Nvni Group Ltd N/A Nvni Group, Ltd. G50716110 32014.00000000 NC USD 1280.56000000 0.000529161957 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Nvni Group Ltd Nvni Group Ltd 1.00000000 11.50000000 USD 2028-11-01 XXXX -2621.12000000 N N N Prosomnus Inc N/A ProSomnus, Inc. 50535E116 15120.00000000 NC USD 739.37000000 0.000305527641 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased ProSomnus Inc ProSomnus Inc 1.00000000 11.50000000 USD 2028-04-20 XXXX -5386.85000000 N N N Ares Acquisition Corp N/A Ares Acquisition Corp. G33032106 149999.00000000 NS USD 1616989.22000000 0.668183591797 Long EC CORP KY N 1 N N N Mainstay Cbre Global Infrastructure Megatrends Term Fund 549300TWA0SUTWA4FE65 MainStay CBRE Global Infrastructure Megatrends Term Fund 56064Q107 121191.00000000 NS USD 1337948.64000000 0.552876492223 Long EC RF US N 1 N N N Northern Revival Acquisition Corp N/A Northern Revival Acquisition Corp. G6546R119 4228.00000000 NC USD 95.55000000 0.000039483839 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Noble Rock Acquisition Corp. Noble Rock Acquisition Corp. 1.00000000 11.50000000 USD 2027-12-31 XXXX -4164.24000000 N N N Nuveen Core Plus Impact Fund 549300N1H1AJ1P7VEI64 Nuveen Core Plus Impact Fund 67080D103 271707.00000000 NS USD 2445363.00000000 1.010489997323 Long EC RF US N 1 N N N Horizon Space Acquisition I Corp N/A Horizon Space Acquisition I Corp. G4619M109 64668.00000000 NS USD 685804.14000000 0.283392782009 Long EC CORP KY N 1 N N N Accretion Acquisition Corp N/A Accretion Acquisition Corp. 00438Y115 16817.00000000 NC USD 366.61000000 0.000151493147 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Accretion Acquisition Corp. Accretion Acquisition Corp. 1.00000000 11.50000000 USD 2028-03-01 XXXX -6419.05000000 N N N Invesco Dynamic Credit Opportunity Fund UJGJ6DJQ6L11ZHIVZG65 Invesco Dynamic Credit Opportunity Fund 46091B207 217001.88200000 NS USD 2430421.08000000 1.004315592663 Long EC RF US N 1 N N N Bellevue Life Sciences Acquisi N/A Bellevue Life Sciences Acquisi 079174116 54328.00000000 NC USD 1412.53000000 0.000583695523 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Bellevue Life Sciences Acquisi Bellevue Life Sciences Acquisi 1.00000000 11.50000000 USD 2028-02-10 XXXX -1825.42000000 N N N Screaming Eagle Acquisition Corp N/A Screaming Eagle Acquisition Corp. G79407105 65163.00000000 NS USD 684211.50000000 0.282734660172 Long EC CORP KY N 1 N N N Neuberger Berman Municipal Fund Inc 549300IIZWX8QVUHXO20 Neuberger Berman Municipal Fund, Inc. 64124P101 26600.00000000 NS USD 235676.00000000 0.097387684613 Long EC RF US N 1 N N N Php Ventures Acquisition Corp N/A PHP Ventures Acquisition Corp. 69291C106 51134.00000000 NS USD 559405.96000000 0.231161642268 Long EC CORP US N 1 N N N Franklin Bsp Lending Cor 549300K8IFP295FLKS39 Franklin BSP Lending Corp. 12325JAJ0 3072928.00000000 PA USD 2751891.53000000 1.137155859797 Long DBT RF US N 2 2026-03-30 Fixed 3.25000000 N N N N N N Viveon Health Acquisition Corp N/A Viveon Health Acquisition Corp. 92853V114 32618.00000000 NC USD 195.71000000 0.000080872654 N/A DE CORP US N 2 State Street Corporation N/A Call Purchased Viveon Health Acquisition Corp. Viveon Health Acquisition Corp. 1.00000000 11.50000000 USD 2027-12-31 XXXX -20652.08000000 N N N Cactus Acquisition Corp 1 Ltd N/A Cactus Acquisition Corp. 1, Ltd. G1745A124 23792.00000000 NC USD 549.60000000 0.000227109554 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Cactus Acquisition Corp. 1, Ltd. Cactus Acquisition Corp. 1, Ltd. 1.00000000 11.50000000 USD 2026-10-29 XXXX -3845.79000000 N N N Data Knights Acquisition Corp N/A Data Knights Acquisition Corp. 237699111 35695.00000000 NC USD 624.66000000 0.000258126372 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Data Knights Acquisition Corp Data Knights Acquisition Corp 1.00000000 11.50000000 USD 2028-12-31 XXXX -12623.18000000 N N N Blackrock Capital Allocation Term Trust 5493007LDARS47M53X11 BlackRock Capital Allocation Term Trust 09260U109 1569123.00000000 NS USD 21936339.54000000 9.064687607955 Long EC RF US N 1 N N N Inflection Point Acquisition Corp Ii N/A Inflection Point Acquisition Corp. II G4790U110 31971.00000000 NC USD 6713.91000000 0.002774368835 N/A DE CORP US N 1 State Street Corporation N/A Call Purchased Inflection Point Acquisition C Inflection Point Acquisition C 1.00000000 11.50000000 USD 2028-07-17 XXXX -6162.98000000 N N N 2023-11-30 RIVERNORTH OPPORTUNITIES FUND INC. Jonathan M. Mohrhardt Jonathan M. Mohrhardt Treasurer & Chief Financial Officer XXXX NPORT-EX 2 fp0086405-1_nportex.htm

RiverNorth Opportunities Fund, Inc.

Statement of Investments

October 31, 2023 (Unaudited)

 

Shares   Description   Value
(Note 2)		 
CLOSED-END FUNDS - COMMON SHARES (81.73%)      
 369,567   Barings Corporate Investors   $5,931,550 
 308,625   Barings Participation Investors    4,351,613 
 292,335   BlackRock California Municipal Income Trust    2,905,810 
 1,569,123   BlackRock Capital Allocation Term Trust(a)    21,936,340 
 1,638,338   BlackRock ESG Capital Allocation Term Trust(a)    23,428,233 
 230,470   BlackRock Health Sciences Term Trust    3,016,852 
 124,116   BlackRock Municipal Income Quality Trust    1,177,861 
 294,339   BlackRock Municipal Income Trust    2,560,749 
 313,257   BlackRock Municipal Income Trust II    2,791,120 
 167,757   BlackRock MuniHoldings Fund, Inc.    1,697,701 
 286,736   BlackRock MuniHoldings Quality Fund II, Inc.    2,477,399 
 105,409   BlackRock MuniVest Fund, Inc.    638,779 
 141,200   BlackRock MuniVest Fund II, Inc.    1,284,920 
 237,151   BlackRock MuniYield Fund, Inc.    2,124,873 
 280,410   BlackRock MuniYield Quality Fund II, Inc.    2,442,371 
 147,793   BlackRock Science and Technology Term Trust    2,134,131 
 167,129   BlackRock Taxable Municipal Bond Trust    2,500,250 
 220,118   Calamos Long/Short Equity & Dynamic Income Trust(a)    3,022,220 
 731,566   Clough Global Opportunities Fund    3,072,577 
 102,424   Eaton Vance Municipal Income Trust    902,356 
 323,801   First Trust High Yield Opportunities 2027 Term Fund    4,147,891 
 105,733   First Trust Intermediate Duration Preferred & Income Fund    1,504,581 
 217,002   Invesco Dynamic Credit Opportunity Fund    2,430,421 
 157,133   Invesco Municipal Opportunity Trust    1,266,492 
 121,191   MainStay CBRE Global Infrastructure Megatrends Term Fund    1,337,949 
 17,263   Miller/Howard High Dividend Fund    165,552 
 26,600   Neuberger Berman Municipal Fund, Inc.    235,676 
 567,657   Nuveen AMT-Free Municipal Credit Income Fund    5,693,600 
 20,789   Nuveen AMT-Free Municipal Value Fund    261,941 
 904,996   Nuveen AMT-Free Quality Municipal Income Fund(a)    8,570,312 
 175,844   Nuveen California Quality Municipal Income Fund    1,649,417 
 271,707   Nuveen Core Plus Impact Fund    2,445,363 
 145,734   Nuveen Municipal Credit Income Fund    1,471,913 
 455,683   Nuveen Municipal Value Fund, Inc.    3,640,907 
 143,155   Nuveen New York Quality Municipal Income Fund    1,318,458 
 1,308,054   Nuveen Preferred & Income Securities Fund(a)    7,782,921 
 110,637   Nuveen Preferred & Income Term Fund    1,824,404 
 138,430   Nuveen Quality Municipal Income Fund    1,357,998 
 54,804   Nuveen Taxable Municipal Income Fund    764,516 
 558,979   Pershing Square Holdings Ltd.    19,787,857 
 668,473   PIMCO Access Income Fund    8,710,203 
 202,036   PIMCO Dynamic Income Fund    3,301,268 
 474,398   PIMCO Dynamic Income Opportunities Fund    5,189,914 
 285,935   PIMCO Energy & Tactical Credit Opportunities Fund    5,432,765 
 339,415   PIMCO Global StocksPLUS & Income Fund    2,131,526 
 167,384   Pioneer Municipal High Income Fund Trust    1,170,014 
 1,275,236   Saba Capital Income & Opportunities Fund(a)    9,423,994 
 226,250   Special Opportunities Fund, Inc.    2,339,425 
 249,000   Templeton Emerging Markets Income Fund    1,130,460 

 

 

Shares   Description  Value
(Note 2)		 
 54,186   Virtus AllianzGI Convertible & Income 2024 Target Term Fund  $458,955 
 46,275   Western Asset Inflation-Linked Opportunities & Income Fund   378,992 
           
TOTAL CLOSED-END FUNDS - COMMON SHARES    
(Cost $211,674,715)  197,723,390 

 

             Maturity   Value 
Shares   Description  Rate   Date   (Note 2) 
BUSINESS DEVELOPMENT COMPANIES - PREFERRED SHARES (2.94%)               
 163,300   Crescent Capital BDC, Inc.   5.000%   05/25/26    3,821,220 
 26,143   Oxford Square Capital Corp.   6.500%   03/30/24    652,678 
 2,906   Virtus AllianzGI Diversified Income & Convertible Fund   5.625%        59,864 
 89,385   Virtus Convertible & Income Fund II(b)   5.500%        1,820,773 
 33,699   XAI Octagon Floating Rate Alternative Income Term Trust   6.500%   03/31/26    818,717 
                     
TOTAL BUSINESS DEVELOPMENT COMPANIES - PREFERRED SHARES      
(Cost $7,333,638)      7,173,252 

 

Principal           Maturity   Value 
Amount   Description  Rate   Date   (Note 2) 
BUSINESS DEVELOPMENT COMPANY NOTES (1.99%) 
$1,500,000   Golub Capital BDC, Inc.   2.050%   02/15/27    1,263,787 
 2,744,753   Golub Capital BDC, Inc.   3.375%   04/15/24    2,702,178 
 923,130   PennantPark Floating Rate Capital, Ltd.   4.250%   04/01/26    843,275 
                   4,809,240 
                     
TOTAL BUSINESS DEVELOPMENT COMPANY NOTES          
(Cost $4,894,780)        4,809,240 
                     
CORPORATE BONDS (17.57%)          
 6,459,394   Blackstone Private Credit Fund(c)   2.625%   12/15/26    5,531,780 
 2,856,157   Blackstone Private Credit Fund(c)   3.250%   03/15/27    2,464,689 
 3,082,262   Blackstone Secured Lending Fund   2.850%   09/30/28    2,499,562 
 500,000   Blue Owl Capital Corp.   2.875%   06/11/28    407,728 
 632,813   Blue Owl Capital Corp.   3.400%   07/15/26    564,819 
 3,000,000   Blue Owl Capital Corp.   3.750%   07/22/25    2,804,320 
 2,000,000   Blue Owl Capital Corp. II(c)   4.625%   11/26/24    1,937,895 
 557,143   Blue Owl Capital Corp. III   3.125%   04/13/27    475,104 
 2,492,428   Blue Owl Credit Income Corp.(c)   3.125%   09/23/26    2,188,066 
 2,505,752   Blue Owl Credit Income Corp.(c)   5.500%   03/21/25    2,425,082 
 2,718,300   Blue Owl Credit Income Corp.   7.750%   09/16/27    2,677,658 
 2,500,000   Blue Owl Technology Finance Corp.(c)   4.750%   12/15/25    2,316,752 
 2,500,000   Blue Owl Technology Finance Corp.(c)   6.750%   06/30/25    2,426,785 
 3,072,928   Franklin BSP Lending Corp.   3.250%   03/30/26    2,751,892 
 1,300,000   Franklin BSP Lending Corp.(c)   4.850%   12/15/24    1,251,549 
 1,000,000   FS KKR Capital Corp.   2.625%   01/15/27    853,301 
 1,000,000   MidCap Financial Investment Corp.   4.500%   07/16/26    897,100 
 1,500,000   MidCap Financial Investment Corp.   5.250%   03/03/25    1,440,021 
 6,000,000   Oaktree Specialty Lending Corp.   7.100%   02/15/29    5,722,746 
 1,000,000   PennantPark Investment Corp.   4.000%   11/01/26    882,270 
                   42,519,119 
                     
TOTAL CORPORATE BONDS          
(Cost $42,995,016)        42,519,119 

 

 

 

Shares   Description  Value
(Note 2)		 
SPECIAL PURPOSE ACQUISITION COMPANIES - COMMON SHARES/UNITS (13.44%)(d)     
 48,020   A SPAC I Acquisition Corp.  $520,057 
 50,470   A SPAC II Acquisition Corp.   543,562 
 28,748   Achari Ventures Holdings Corp. I   307,029 
 28,640   Adit EdTech Acquisition Corp.   305,302 
 27,690   Alpha Star Acquisition Corp.   307,082 
 149,999   Ares Acquisition Corp.   1,616,989 
 260,926   Ares Acquisition Corp. II   2,687,538 
 39,063   Arisz Acquisition Corp.   418,759 
 30,000   Atlantic Coastal Acquisition Corp. II   318,000 
 72,474   Aurora Technology Acquisition Corp.   792,141 
 54,328   Bellevue Life Sciences Acquisition Corp.   568,814 
 65,000   Bowen Acquisition Corp.   664,950 
 42,480   CC Neuberger Principal Holdings III   464,731 
 110,000   Churchill Capital Corp. VI   1,150,600 
 60,000   Churchill Capital Corp. VII   627,600 
 52,566   Distoken Acquisition Corp.   555,623 
 34,404   ESH Acquisition Corp.   348,513 
 34,274   Everest Consolidator Acquisition Corp.   372,216 
 58,038   ExcelFin Acquisition Corp.   616,944 
 30,880   FutureTech II Acquisition Corp.   337,210 
 37,000   Gardiner Healthcare Acquisitions Corp.   399,600 
 65,531   Globalink Investment, Inc.   707,079 
 68,610   Gores Holdings IX, Inc.   715,602 
 30,342   Haymaker Acquisition Corp. 4   312,219 
 64,668   Horizon Space Acquisition I Corp.   685,804 
 59,790   InFinT Acquisition Corp.   664,865 
 63,942   Inflection Point Acquisition Corp. II   654,127 
 14,300   Innovative International Acquisition Corp.   161,447 
 78,504   Integrated Rail and Resources Acquisition Corp.   858,834 
 87,536   Integrated Wellness Acquisition Corp.   962,896 
 64,922   Kairous Acquisition Corp. ltd   730,372 
 39,630   Lakeshore Acquisition II Corp.   431,571 
 65,640   LIV Capital Acquisition Corp. II   714,820 
 67,493   Mars Acquisition Corp.   711,376 
 66,944   Nabors Energy Transition Corp. II   684,168 
 42,162   Newbury Street Acquisition Corp.   445,231 
 48,836   OceanTech Acquisitions I Corp.   538,173 
 58,800   OPY Acquisition Corp. I   615,048 
 60,000   Pearl Holdings Acquisition Corp.   645,000 
 51,134   PHP Ventures Acquisition Corp.   559,406 
 32,271   Pono Capital Three, Inc.   341,750 
 33,890   Priveterra Acquisition Corp. II   367,368 
 30,397   Quantum FinTech Acquisition Corp.   320,688 
 32,463   Quetta Acquisition Corp.   328,233 
 68,194   Redwoods Acquisition Corp.   728,312 
 120   REE Automotive, Ltd.   314 
 64,612   RF Acquisition Corp.   688,764 
 65,163   Screaming Eagle Acquisition Corp.   684,211 
 29,895   Seaport Global Acquisition II Corp.   320,773 
 60,000   ShoulderUp Technology Acquisition Corp.   635,940 
 83,236   Sizzle Acquisition Corp.   906,440 
 32,463   Spark I Acquisition Corp.   328,201 
 14,408   SportsMap Tech Acquisition Corp.   154,886 
 39,232   Tristar Acquisition I Corp.   422,136 

 

 

Shares   Description  Value
(Note 2)		 
 52,742   WinVest Acquisition Corp.  $579,107 
           
TOTAL SPECIAL PURPOSE ACQUISITION COMPANIES - COMMON SHARES/UNITS     
(Cost $30,469,819)    32,528,421 
           
RIGHTS (0.08%)     
 48,020   A SPAC I Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   4,639 
 50,470   A SPAC II Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   4,542 
 33,634   Accretion Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   3,363 
 24,649   Allegro Merger Corp., Strike Price $11.50, Expires 12/31/2049   – 
 27,690   Alpha Star Acquisition Corp., Strike Price $0.01, Expires 12/13/2026   2,769 
 39,063   Arisz Acquisition Corp., Strike Price $11.50, Expires 11/16/2026   2,812 
 72,474   Aurora Technology Acquisition Corp., Strike Price $11.50, Expires 02/07/2028   7,247 
 51,497   Bannix Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   15,964 
 54,328   Bellevue Life Sciences Acquisi, Strike Price $0.01, Expires 12/31/2045   9,236 
 65,000   Bowen Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   7,215 
 21,512   Breeze Holdings Acquisition Corp., Strike Price $0.01, Expires 05/25/2027   2,618 
 11,614   Brilliant Acquisition Corp., Strike Price $11.50, Expires 12/31/2025   1,293 
 62,670   ClimateRock, Strike Price $0.01, Expires 06/01/2027   6,267 
 35,695   Data Knights Acquisition Corp., Strike Price $11.50, Expires 12/31/2028   625 
 28,601   Deep Medicine Acquisition Corp., Strike Price $11.50, Expires 10/26/2023   9,724 
 52,566   Distoken Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   6,839 
 34,404   ESH Acquisition Corp., Strike Price $10.00, Expires 12/31/2049   4,128 
 65,633   Financial Strategies Acquisition Corp., Strike Price $11.50, Expires 03/31/2028   13 
 65,531   Globalink Investment, Inc., Strike Price $11.50, Expires 08/19/2023   5,898 
 64,668   Horizon Space Acquisition I Corp., Strike Price $0.01, Expires 12/31/2049   7,760 
 64,922   Kairous Acquisition Corp. ltd, Strike Price $11.50, Expires 11/24/2023   7,524 
 39,630   Lakeshore Acquisition II Corp., Strike Price $0.01, Expires 12/31/2049   6,143 
 67,493   Mars Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   15,517 
 67,514   Mountain Crest Acquisition Corp. V, Strike Price $0.01, Expires 12/31/2049   8,102 
 36,206   Nocturne Acquisition Corp., Strike Price $0.01, Expires 12/29/2025   5,069 
 69,600   NorthView Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   9,222 
 51,134   PHP Ventures Acquisition Corp., Strike Price $0.01, Expires 10/08/2022   4,715 

 

 

Shares   Description  Value
(Note 2)		 
 68,194   Redwoods Acquisition Corp., Strike Price $0.01, Expires 12/31/2049  $7,590 
 64,612   RF Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   5,234 
 32,618   Viveon Health Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   1,941 
 66,708   Welsbach Technology Metals Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   5,337 
 52,742   WinVest Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   3,164 
 60,341   Yotta Acquisition Corp., Strike Price $0.01, Expires 12/31/2049   4,833 
           
TOTAL RIGHTS     
(Cost $298,936)    187,343 
           
WARRANTS (0.12%)(d)     
 1,245   7GC & Co. Holdings, Inc., Strike Price $11.50, Expires 12/31/2026   54 
 36,015   A SPAC I Acquisition Corp., Strike Price $11.50, Expires 05/21/2027   436 
 25,235   A SPAC II Acquisition Corp., Strike Price $11.50, Expires 05/03/2027   235 
 9,384   Abacus Life, Inc., Strike Price $11.50, Expires 07/01/2027   2,909 
 16,817   Accretion Acquisition Corp., Strike Price $11.50, Expires 03/01/2028   367 
 23,244   Ace Global Business Acquisition, Ltd., Strike Price $11.50, Expires 12/31/2027   688 
 28,748   Achari Ventures Holdings Corp. I, Strike Price $11.50, Expires 10/15/2026   1,009 
 14,320   Adit EdTech Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   574 
 2,250   AEON Biopharma, Inc., Strike Price $11.50, Expires 07/21/2028   139 
 30,384   AGBA Group Holding, Ltd., Strike Price $11.50, Expires 05/10/2024   489 
 24,649   Allegro Merger Corp., Strike Price $11.50, Expires 12/31/2049   – 
 27,690   Alpha Star Acquisition Corp., Strike Price $11.50, Expires 12/13/2026   166 
 43,371   ALSP Orchid Acquisition Corp. I, Strike Price $11.50, Expires 11/30/2028   1,084 
 11,896   AltEnergy Acquisition Corp., Strike Price $11.50, Expires 11/02/2028   425 
 13,545   American Acquisition Opportunity, Inc., Strike Price $11.50, Expires 05/28/2026   677 
 57,051   Amprius Technologies, Inc., Strike Price $11.50, Expires 09/14/2027   11,125 
 8,612   Apexigen, Inc., Strike Price $11.50, Expires 07/29/2027   225 
 20,000   Ares Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   – 
 130,463   Ares Acquisition Corp. II, Strike Price $11.50, Expires 06/12/2028   24,788 
 39,063   Arisz Acquisition Corp., Strike Price $11.50, Expires 11/16/2026   391 
 32,655   Ault Disruptive Technologies Corp., Strike Price $11.50, Expires 06/20/2028   526 
 72,474   Aurora Technology Acquisition Corp., Strike Price $11.50, Expires 02/07/2028   797 

 

 

Shares   Description  Value
(Note 2)		 
 51,497   Bannix Acquisition Corp., Strike Price $11.50, Expires 07/31/2026  $1,030 
 54,641   Battery Future Acquisition Corp., Strike Price $11.50, Expires 05/26/2028   2,049 
 54,328   Bellevue Life Sciences Acquisi, Strike Price $11.50, Expires 02/10/2028   1,413 
 81,786   Beneficient, Strike Price $11.50, Expires 06/07/2028   1,529 
 21,464   Bitcoin Depot, Inc., Strike Price $11.50, Expires 07/03/2028   3,220 
 29,424   Black Mountain Acquisition Corp., Strike Price $11.50, Expires 10/15/2027   736 
 7,840   Blockchain Coinvestors Acquisition Corp. I, Strike Price $11.50, Expires 11/01/2028   238 
 57,401   Blue Ocean Acquisition Corp., Strike Price $11.50, Expires 10/21/2028   2,852 
 21,512   Breeze Holdings Acquisition Corp., Strike Price $11.50, Expires 05/25/2027   4,421 
 16,504   Bridger Aerospace Group Holdings, Inc., Strike Price $11.50, Expires 01/25/2028   3,339 
 6,735   Brilliant Acquisition Corp., Strike Price $11.50, Expires 12/31/2025   364 
 23,792   Cactus Acquisition Corp. 1, Ltd., Strike Price $11.50, Expires 10/29/2026   550 
 15,319   Cardio Diagnostics Holdings, Inc., Strike Price $11.50, Expires 12/01/2026   613 
 10,367   CC Neuberger Principal Holdings III, Strike Price $11.50, Expires 12/31/2027   2,175 
 830   CF Acquisition Corp. IV, Strike Price $11.50, Expires 12/14/2025   40 
 6,768   CF Acquisition Corp. VIII, Strike Price $11.50, Expires 12/31/2027   677 
 31,909   Churchill Capital Corp. VI, Strike Price $11.50, Expires 12/31/2027   2,042 
 32,084   Churchill Capital Corp. VII, Strike Price $11.50, Expires 02/29/2028   6,417 
 31,335   ClimateRock, Strike Price $11.50, Expires 06/01/2027   783 
 15,030   Concord Acquisition Corp. II, Strike Price $11.50, Expires 12/31/2028   1,504 
 51,016   Conduit Pharmaceuticals, Inc., Strike Price $11.50, Expires 02/03/2027   1,530 
 2,087   Corner Growth Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   152 
 11,670   Crescera Capital Acquisition Corp., Strike Price $11.50, Expires 11/19/2028   53 
 5,688   DHC Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   284 
 19,208   Digital Health Acquisition Corp., Strike Price $11.50, Expires 11/04/2028   576 
 17,658   Direct Selling Acquisition Corp., Strike Price $11.50, Expires 09/30/2028   90 
 52,566   Distoken Acquisition Corp., Strike Price $11.50, Expires 03/30/2028   1,078 
 9,479   Dune Acquisition Corp., Strike Price $11.50, Expires 10/29/2027   214 
 2,171   ECARX Holdings, Inc., Strike Price $11.50, Expires 12/21/2027   77 
 14,153   Edify Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   277 
 53,773   ESGL Holdings, Ltd., Strike Price $11.50, Expires 04/13/2028   355 

 

 

Shares   Description  Value
(Note 2)		 
 54,501   Euda Health Holdings, Ltd., Strike Price $11.50, Expires 09/24/2026  $5,586 
 54,641   EVe Mobility Acquisition Corp., Strike Price $11.50, Expires 12/31/2028   3,278 
 17,137   Everest Consolidator Acquisition Corp., Strike Price $11.50, Expires 07/19/2028   3,427 
 4,804   ExcelFin Acquisition Corp., Strike Price $11.50, Expires 10/21/2026   192 
 92   Falcon's Beyond Global, Inc., Strike Price $11.50, Expires 09/01/2027   50 
 65,633   Financial Strategies Acquisition Corp., Strike Price $11.50, Expires 03/31/2028   13 
 24,010   Finnovate Acquisition Corp., Strike Price $11.50, Expires 09/30/2026   531 
 426   Flame Acquisition Corp., Strike Price $11.50, Expires 12/31/2028   298 
 24,594   Forafric Global PLC, Strike Price $11.50, Expires 06/09/2027   24,594 
 20,705   FOXO Technologies, Inc., Strike Price $11.50, Expires 08/01/2027   60 
 22,574   Frontier Investment Corp., Strike Price $11.50, Expires 12/31/2026   907 
 7,176   Fusion Acquisition Corp. II, Strike Price $11.50, Expires 12/31/2027   287 
 30,880   FutureTech II Acquisition Corp., Strike Price $11.50, Expires 02/16/2027   1,090 
 67,312   Gardiner Healthcare Acquisitions Corp., Strike Price $11.50, Expires 07/30/2028   1,743 
 43,768   Genesis Growth Tech Acquisition Corp., Strike Price $11.50, Expires 05/19/2028   206 
 42,380   GigCapital5, Inc., Strike Price $11.50, Expires 12/31/2028   1,483 
 65,531   Globalink Investment, Inc., Strike Price $11.50, Expires 12/03/2026   655 
 20,390   Gorilla Technology Group, Inc., Strike Price $11.50, Expires 07/14/2027   922 
 25,071   Healthcare AI Acquisition Corp., Strike Price $11.50, Expires 12/14/2026   755 
 24,100   Hennessy Capital Investment Corp. VI, Strike Price $11.50, Expires 12/31/2027   1,207 
 64,668   Horizon Space Acquisition I Corp., Strike Price $11.50, Expires 01/26/2028   2,263 
 44,569   Hub Cyber Security, Ltd., Strike Price $11.50, Expires 02/27/2028   1,863 
 50,640   iCoreConnect, Inc., Strike Price $11.50, Expires 05/15/2028   5,064 
 31,971   Inflection Point Acquisition Corp. II, Strike Price $11.50, Expires 07/17/2028   6,714 
 7,150   Innovative International Acquisition Corp., Strike Price $11.50, Expires 07/01/2028   265 
 39,252   Integrated Rail and Resources Acquisition Corp., Strike Price $11.50, Expires 11/12/2026   4,710 
 43,768   Integrated Wellness Acquisition Corp., Strike Price $11.50, Expires 10/31/2028   5,515 
 1,067   InterPrivate III Financial Partners, Inc., Strike Price $11.50, Expires 12/31/2027   37 
 16,682   Jaws Mustang Acquisition Corp., Strike Price $11.50, Expires 01/30/2026   364 
 52,752   Jet.AI, Inc., Strike Price $11.50, Expires 08/12/2026   860 
 32,461   Kairous Acquisition Corp. ltd, Strike Price $11.50, Expires 09/15/2026   454 

 

 

Shares   Description  Value
(Note 2)		 
 31,452   Kensington Capital Acquisition Corp. V, Strike Price $11.50, Expires 08/13/2028  $3,554 
 15,057   Kingswood Acquisition Corp., Strike Price $11.50, Expires 05/01/2027   226 
 19,815   Lakeshore Acquisition II Corp., Strike Price $11.50, Expires 11/18/2026   297 
 55,368   LAMF Global Ventures Corp. I, Strike Price $11.50, Expires 11/11/2026   2,276 
 4,787   Learn CW Investment Corp., Strike Price $11.50, Expires 12/31/2028   168 
 49,230   LIV Capital Acquisition Corp. II, Strike Price $11.50, Expires 02/16/2027   1,083 
 7,755   Maquia Capital Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   233 
 16,878   MicroAlgo, Inc., Strike Price $11.50, Expires 12/31/2027   844 
 41,578   Monterey Innovation Acquisition Corp., Strike Price $11.50, Expires 10/01/2026   832 
 14,063   Moolec Science SA, Strike Price $11.50, Expires 09/27/2027   353 
 2,547   Moringa Acquisition Corp., Strike Price $11.50, Expires 02/10/2026   76 
 13,723   MSP Recovery, Inc., Strike Price $0.01, Expires 02/14/2026   2,607 
 20,306   MultiMetaVerse Holdings, Ltd., Strike Price $11.50, Expires 03/15/2027   447 
 31,288   Nabors Energy Transition Corp., Strike Price $11.50, Expires 11/17/2026   4,693 
 33,472   Nabors Energy Transition Corp. II, Strike Price $11.50, Expires 09/05/2028   5,021 
 4,126   Near Intelligence, Inc., Strike Price $11.50, Expires 07/08/2027   25 
 21,081   Newbury Street Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   2,319 
 9,620   Newcourt Acquisition Corp., Strike Price $11.50, Expires 04/12/2028   126 
 9,664   NKGen Biotech, Inc., Strike Price $11.50, Expires 05/31/2028   586 
 4,228   Northern Revival Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   96 
 34,800   NorthView Acquisition Corp., Strike Price $11.50, Expires 08/02/2027   922 
 5,790   Nuburu, Inc., Strike Price $11.50, Expires 09/07/2027   116 
 32,014   Nvni Group, Ltd., Strike Price $11.50, Expires 11/01/2028   1,281 
 48,836   OceanTech Acquisitions I Corp., Strike Price $11.50, Expires 05/10/2026   786 
 45,872   OmniLit Acquisition Corp., Strike Price $11.50, Expires 11/08/2026   3,573 
 8,341   Onyx Acquisition Co. I, Strike Price $11.50, Expires 11/30/2028   184 
 58,811   OPY Acquisition Corp. I, Strike Price $11.50, Expires 09/22/2027   2,058 
 23,946   Osiris Acquisition Corp., Strike Price $11.50, Expires 05/01/2028   520 
 53,236   Oxus Acquisition Corp., Strike Price $11.50, Expires 08/26/2026   4,791 
 1,733   Peak Bio, Inc., Strike Price $11.50, Expires 12/31/2027   5 
 5,294   Phoenix Biotech Acquisition Corp., Strike Price $11.50, Expires 09/01/2026   159 
 25,567   PHP Ventures Acquisition Corp., Strike Price $11.50, Expires 08/16/2028   511 

 

 

Shares   Description  Value
(Note 2)		 
 32,271   Pono Capital Three, Inc., Strike Price $11.50, Expires 04/03/2028  $1,413 
 65,632   Power & Digital Infrastructure Acquisition II Corp., Strike Price $11.50, Expires 12/14/2028   5,894 
 7,982   Prenetics Global, Ltd., Strike Price $8.91, Expires 05/17/2027   129 
 35,388   Presto Automation, Inc., Strike Price $11.50, Expires 09/21/2027   2,035 
 16,945   Priveterra Acquisition Corp. II, Strike Price $11.50, Expires 01/08/2026   542 
 19,034   Project Energy Reimagined Acquisition Corp., Strike Price $11.50, Expires 12/31/2028   1,028 
 34,072   PROOF Acquisition Corp. I, Strike Price $11.50, Expires 12/03/2028   2,092 
 15,120   ProSomnus, Inc., Strike Price $11.50, Expires 04/20/2028   739 
 33,768   Prospector Capital Corp., Strike Price $11.50, Expires 01/01/2025   1,891 
 2,383   Pyrophyte Acquisition Corp., Strike Price $11.50, Expires 12/17/2023   131 
 30,397   Quantum FinTech Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   1,520 
 68,194   Redwoods Acquisition Corp., Strike Price $11.50, Expires 03/15/2027   2,257 
 37,808   Relativity Acquisition Corp., Strike Price $11.50, Expires 02/11/2027   1,781 
 64,612   RF Acquisition Corp., Strike Price $11.50, Expires 05/01/2028   1,305 
 69   RMG Acquisition Corp. III, Strike Price $11.50, Expires 12/31/2027   3 
 15,598   Roadzen, Inc., Strike Price $11.50, Expires 11/30/2028   546 
 953   Roth CH Acquisition Co., Strike Price $11.50, Expires 10/29/2028   44 
 30,975   Roth CH Acquisition V Co., Strike Price $11.50, Expires 12/10/2026   1,409 
 21,721   Screaming Eagle Acquisition Corp., Strike Price $11.50, Expires 12/15/2027   2,607 
 31,863   SeaStar Medical Holding Corp., Strike Price $11.50, Expires 01/26/2026   1,415 
 3,201   Semper Paratus Acquisition Corp., Strike Price $11.50, Expires 11/04/2026   144 
 17,810   SHUAA Partners Acquisition Corp. I, Strike Price $11.50, Expires 03/02/2027   892 
 41,618   Sizzle Acquisition Corp., Strike Price $11.50, Expires 03/12/2026   3,371 
 51,043   SMX Security Matters PLC, Strike Price $253.00, Expires 03/07/2028   771 
 46,715   Southland Holdings, Inc., Strike Price $11.50, Expires 09/01/2026   21,489 
 32,793   Southport Acquisition Corp., Strike Price $11.50, Expires 05/24/2028   1,148 
 10,806   SportsMap Tech Acquisition Corp., Strike Price $11.50, Expires 09/01/2027   332 
 77,424   Spree Acquisition Corp. 1, Ltd., Strike Price $11.50, Expires 12/22/2028   1,022 
 28,602   SunCar Technology Group, Inc., Strike Price $11.50, Expires 05/18/2028   5,906 
 32,785   Swiftmerge Acquisition Corp., Strike Price $11.50, Expires 06/17/2028   1,640 
 25,664   TG Venture Acquisition Corp., Strike Price $11.50, Expires 08/15/2028   646 

 

 

Shares   Description  Value
(Note 2)		 
 6,195   TLGY Acquisition Corp., Strike Price $11.50, Expires 01/14/2028  $193 
 19,616   Tristar Acquisition I Corp., Strike Price $11.50, Expires 12/31/2028   490 
 2,277   Twelve Seas Investment Co. II, Strike Price $11.50, Expires 03/02/2028   85 
 32,618   Viveon Health Acquisition Corp., Strike Price $11.50, Expires 12/31/2027   196 
 52,742   WinVest Acquisition Corp., Strike Price $11.50, Expires 08/09/2026   290 
 24,668   Worldwide Webb Acquisition Corp., Strike Price $11.50, Expires 10/20/2026   3,698 
 60,341   Yotta Acquisition Corp., Strike Price $11.50, Expires 03/15/2027   700 
 14,153   Zapp Electric Vehicles Group, Ltd., Strike Price $11.50, Expires 03/03/2028   92 
 48,471   ZyVersa Therapeutics, Inc., Strike Price $11.50, Expires 12/20/2026   3,393 
           
TOTAL WARRANTS     
(Cost $1,169,948)    279,222 
           
EXCHANGE-TRADED FUNDS (1.23%)     
 50,000   Utilities Select Sector SPDR® Fund   2,984,500 
           
TOTAL EXCHANGE-TRADED FUNDS     
(Cost $2,922,186)    2,984,500 

 

Principal           Maturity   Value 
Amount   Description  Rate   Date   (Note 2) 
GOVERNMENT BOND (12.55%)               
 10,662,000   U.S. Treasury Bond   3.625%   02/15/53    8,310,946 
 4,000,000   U.S. Treasury Bond   4.000%   11/15/52    3,343,750 
 3,000,000   U.S. Treasury Note   3.000%   07/31/24    2,945,380 
 5,000,000   U.S. Treasury Note   3.250%   08/31/24    4,908,986 
 10,000,000   U.S. Treasury Note   4.250%   09/30/24    9,866,997 
 1,000,000   U.S. Treasury Note   4.500%   11/30/24    990,169 
                     
TOTAL GOVERNMENT BOND               
(Cost $33,366,191)             30,366,228 
                     
             7-Day    Value 
Shares   Description       Yield   (Note 2) 
SHORT-TERM INVESTMENTS (6.85%)               
 16,567,994   State Street Institutional Treasury Money Market Fund Premier Class    5.309%   16,567,994 
                     
TOTAL SHORT-TERM INVESTMENTS               
(Cost $16,567,994)             16,567,994 
                     
TOTAL INVESTMENTS (138.50%)               
(Cost $351,693,223)            $335,138,709 
                     
Series A Cumulative Perpetual Preferred Shares (40.39%)    (97,750,000)
Other Assets In Excess Of Liabilities (1.89%)(e)    4,609,034 
NET ASSETS ATTRIBUTABLE TO COMMON SHAREHOLDERS (100.00%)   $241,997,744 

 

 

SCHEDULE OF SECURITIES SOLD SHORT
Description  Shares   Value
(Note 2)		 
EXCHANGE TRADED FUNDS - COMMON SHARES (-11.51%)          
Invesco S&P 500 Equal Weight ETF   (165,000)  $(22,411,950)
SPDR S&P 500 ETF Trust   (13,000)   (5,436,600)
           
TOTAL EXCHANGE TRADED FUNDS - COMMON SHARES        (27,848,550)
           
TOTAL SECURITIES SOLD SHORT          
(Proceeds $31,118,378)       $(27,848,550)

 

(a) All or a portion of the security is pledged as collateral for securities sold short. As of October 31, 2023, the aggregate value of those securities was $16,205,500 representing 6.69% of net assets.
(b) Perpetual maturity.
(c) Security exempt from registration under Rule 144A of the Securities Act of 1933. This security may be resold in transactions exempt from registration, normally to qualified institutional buyers. As of October 31, 2023, the market value of those Rule 144A securities held by the Fund was $7,934,760 representing 3.28% of the Fund's net assets.
(d) Non-income producing security.
(e) Includes cash in the amount of $34,898,120 which is being held as collateral for securities sold short.

 

See Notes to Quarterly Statement of Investments.

 

 

RiverNorth Opportunities Fund, Inc. 

Notes to Quarterly Statement of Investments 

October 31, 2023 (Unaudited)

 

1. ORGANIZATION 

 

RiverNorth Opportunities Fund, Inc. (the “Fund”) is a Maryland corporation registered as a diversified, closed-end management investment company under the Investment Company Act of 1940, as amended (the “1940 Act”).

 

The Fund’s investment objective is total return consisting of capital appreciation and current income. The Fund seeks to achieve its investment objective by pursuing a tactical asset allocation strategy and opportunistically investing under normal circumstances in closed-end funds, exchange-traded funds (“ETFs”), business development companies (“BDCs” and collectively, “Underlying Funds”) and special purpose acquisition companies (“SPACs”). All Underlying Funds are registered under the Securities Act of 1933, as amended (the “Securities Act”). The Fund incurs higher and additional expenses when it invests in Underlying Funds. There is also the risk that the Fund may suffer losses due to the investment practices or operations of the Underlying Funds. To the extent that the Fund invests in one or more Underlying Funds that concentrate in a particular industry, the Fund would be vulnerable to factors affecting that industry and the concentrating Underlying Funds’ performance, and that of the Fund, may be more volatile than Underlying Funds that do not concentrate. In addition, one Underlying Fund may purchase a security that another Underlying Fund is selling.

 

Under normal circumstances, the Fund intends to maintain long positions in Underlying Funds, but may engage in short sales for investment purposes. When the Fund engages in a short sale, it sells a security it does not own and, to complete the sale, borrows the same security from a broker or other institution. The Fund may benefit from a short position when the shorted security decreases in value.

 

2. SIGNIFICANT ACCOUNTING POLICIES

 

Use of Estimates: The preparation of the financial statements in accordance with accounting principles generally accepted in the United States of America (“GAAP”) requires management to make estimates and assumptions that affect the reported amounts and disclosures, including the disclosure of contingent assets and liabilities, in the financial statements during the period reported. Management believes the estimates and security valuations are appropriate; however, actual results may differ from those estimates, and the security valuations reflected in the financial statements may differ from the value the Fund ultimately realizes upon sale of the securities. The Fund is considered an investment company under GAAP and follows the accounting and reporting guidance applicable to investment companies in the Financial Accounting Standards Board Accounting Standards Codification (“ASC”) Topic 946. The financial statements have been prepared as of the close of the New York Stock Exchange (“NYSE”) on October 31, 2023.

 

Portfolio Valuation: The net asset value per share of the Fund is determined daily, on each day that the NYSE is open for trading, as of the close of regular trading on the NYSE (normally 4:00 p.m. New York time). The Fund’s net asset value per share is calculated by dividing the value of the Fund’s total assets, less its liabilities by the number of shares outstanding.

 

Securities Transactions and Investment Income: Investment security transactions are accounted for on a trade date basis. Dividend income is recorded on the ex-dividend date. Interest income, which includes accretion of discounts and amortization of premiums calculated using yield to maturity, is accrued and recorded as earned. Realized gains and losses from securities transactions and unrealized appreciation and depreciation of securities are determined using the specific identification method for both financial reporting and tax purposes.

 

Fair Value Measurements: Fair value is defined as the price that the Fund might reasonably expect to receive upon selling an investment in a timely transaction to an independent buyer in the principal or most advantageous market of the investment. GAAP establishes a three-tier hierarchy to maximize the use of observable market data and minimize the use of unobservable inputs and to establish classification of fair value measurements for disclosure purposes.

 

Inputs refer broadly to the assumptions that market participants would use in pricing the asset or liability, including assumptions about risk, for example, the risk inherent in a particular valuation technique used to measure fair value including using such a pricing model and/or the risk inherent in the inputs to the valuation technique. Inputs may be observable or unobservable. Observable inputs are inputs that reflect the assumptions market participants would use in pricing the asset or liability developed based on market data obtained from sources independent of the reporting entity. Unobservable inputs are inputs that reflect the reporting entity’s own assumptions about the assumptions market participants would use in pricing the asset or liability developed based on the best information available in the circumstances.

 

Various inputs are used in determining the value of the Fund’s investments as of the end of the reporting period. These inputs are categorized in the following hierarchy under applicable financial accounting standards: 

 

 

  Level 1 – Unadjusted quoted prices in active markets for identical investments, unrestricted assets or liabilities that the Fund has the ability to access at the measurement date;
       
  Level 2 – Quoted prices which are not active, quoted prices for similar assets or liabilities in active markets or inputs other than quoted prices that are observable (either directly or indirectly) for substantially the full term of the asset or liability; and
       
  Level 3 – Significant unobservable prices or inputs (including the Fund’s own assumptions in determining the fair value of investments) where there is little or no market activity for the asset or liability at the measurement date.

  

The inputs used to measure fair value may fall into different levels of the fair value hierarchy. In such cases, for disclosure purposes, the level in the fair value hierarchy within which the fair value measurement falls in its entirety is determined based on the lowest level input that is significant to the fair value measurement in its entirety.

 

Equity securities, including closed-end funds and business development company notes, are generally valued by using market quotations, but may be valued on the basis of prices furnished by a pricing service when the Adviser believes such prices more accurately reflect the fair market value of such securities. Securities that are traded on any stock exchange are generally valued by the pricing service at the last quoted sale price. Lacking a last sale price, an exchange traded security is generally valued by the pricing service at its last bid price. Securities traded in the NASDAQ over-the-counter market are generally valued by the pricing service at the NASDAQ Official Closing Price. When using the market quotations or close prices provided by the pricing service and when the market is considered active, the security will be classified as a Level 1 security. Sometimes, an equity security owned by the Fund will be valued by the pricing service with factors other than market quotations or when the market is considered inactive. When this happens, the security will be classified as a Level 2 security. When market quotations are not readily available, when the Adviser determines that the market quotation or the price provided by the pricing service does not accurately reflect the current fair value, or when restricted or illiquid securities are being valued, such securities are valued as determined in good faith by the Adviser, as valuation designee, in conformity with guidelines adopted by and subject to review by the Board. These securities will be categorized as Level 3 securities.

 

Investments in mutual funds, including short term investments, are generally priced at the ending NAV provided by the service agent of the funds. These securities will be classified as Level 1 securities.

 

Domestic and foreign fixed income securities, including foreign and U.S. corporate bonds, foreign and U.S. government bonds, non-agency collateralized mortgage obligations, U.S. Government/Agency mortgage backed securities, bank loans, and collateralized loan obligations are normally valued on the basis of quotes obtained from brokers and dealers or independent pricing services.

 

Foreign currency positions, including forward foreign currency contracts, are priced at the mean between the closing bid and asked prices at 4:00 p.m. Eastern Time. Prices obtained from independent pricing services typically use information provided by market makers or estimates of market values obtained from yield data relating to investments or securities with similar characteristics. Data used to establish quotes includes analysis of cash flows, pre-payment speeds, default rates, delinquency assumptions and assumptions regarding collateral and loss assumptions. These securities will be classified as Level 2 securities.

 

Pursuant to the requirements of Rule 2a-5 under the 1940 Act, the Board approved updated valuation procedures for the Fund and designated the Adviser as the Fund's valuation designee to make all fair valuation determinations with respect to the Fund's portfolio investments, subject to the Board's oversight.

 

In accordance with the Fund’s good faith pricing guidelines, the Adviser is required to consider all appropriate factors relevant to the value of securities for which it has determined other pricing sources are not available or reliable as described above. No single standard exists for determining fair value, because fair value depends upon the circumstances of each individual case. As a general principle, the current fair value of an issue of securities being valued by the Adviser would appear to be the amount which the owner might reasonably expect to receive for them upon their current sale. Methods which are in accordance with this principle may, for example, be based on (i) a multiple of earnings; (ii) discounted cash flow models; (iii) weighted average cost or weighted average price; (iv) a discount from market of a similar freely traded security (including a derivative security or a basket of securities traded on other markets, exchanges or among dealers); or (v) yield to maturity with respect to debt issues, or a combination of these and other methods. Good faith pricing is permitted if, in the Adviser’s opinion, the validity of market quotations appears to be questionable based on factors such as evidence of a thin market in the security based on a small number of quotations, a significant event occurs after the close of a market but before the Fund’s NAV calculation that may affect a security’s value, or the Adviser is aware of any other data that calls into question the reliability of market quotations.

 

Good faith pricing may also be used in instances when the bonds in which the Fund invests default or otherwise cease to have market quotations readily available.

 

The following is a summary of the inputs used to value the Fund’s investments as of October 31, 2023: 

 

 

 

Investments in Securities at Value  Level 1 -
Quoted Prices		   Level 2 -
Other Significant Observable Inputs		   Level 3 -
Significant Unobservable Inputs		   Total 
Closed-End Funds - Common Shares  $197,783,254   $–   $–   $197,783,254 
Business Development Companies - Preferred Shares   7,113,388    –    –    7,113,388 
Business Development Company Notes   –    4,809,240    –    4,809,240 
Corporate Bonds   –    42,519,119    –    42,519,119 
Special Purpose Acquisition Companies - Common Shares/Units   32,366,974    161,447    –    32,528,421 
Rights   187,330    13    –    187,343 
Warrants   263,393    15,829    –    279,222 
Exchange-Traded Funds   2,984,500    –    –    2,984,500 
Government Bond   –    30,366,228    –    30,366,228 
Short-Term Investments   16,567,994    –    –    16,567,994 
Total  $257,266,833   $77,871,876   $–   $335,138,709 
Other Financial Instruments                    
Liabilities:                    
Securities Sold Short                    
Exchange Traded Funds - Common Shares  $(27,848,550)  $–   $–   $(27,848,550)
Total  $(27,848,550)  $–   $–   $(27,848,550)

 

The Fund did not have any securities that used significant unobservable inputs (Level 3) in determining fair value, and there were no transfers into or out of Level 3, during the period.

 

Short Sale Risks: The Fund and the Underlying Funds may engage in short sales. A short sale is a transaction in which a fund sells a security it does not own in anticipation that the market price of that security will decline. To establish a short position, a fund must first borrow the security from a broker or other institution. The fund may not always be able to borrow a security at a particular time or at an acceptable price. Accordingly, there is a risk that a fund may be unable to implement its investment strategy due to the lack of available securities or for other reasons. After selling a borrowed security, a fund is obligated to “cover” the short sale by purchasing and returning the security to the lender at a later date. The Fund and the Underlying Funds cannot guarantee that the security will be available at an acceptable price. Positions in shorted securities are speculative and more risky than long positions (purchases) in securities because the maximum sustainable loss on a security purchased is limited to the amount paid for the security plus the transaction costs, whereas there is no maximum attainable price of the shorted security. Therefore, in theory, securities sold short have unlimited risk. Short selling will also result in higher transaction costs (such as interest and dividends), and may result in higher taxes, which reduce a fund’s return.

 

Special Purpose Acquisition Company Risk: The Fund may invest in SPACs. SPACs are collective investment structures that pool funds in order to seek potential acquisition opportunities. SPACs are generally publicly traded companies that raise funds through an initial public offering (“IPO”) for the purpose of acquiring or merging with another company to be identified subsequent to the SPAC’s IPO. The securities of a SPAC are often issued in “units” that include one share of common stock and one right or warrant (or partial right or warrant) conveying the right to purchase additional shares or partial shares. Unless and until an acquisition is completed, a SPAC generally invests its assets (less an amount to cover expenses) in U.S. Government securities, money market fund securities and cash. SPACs and similar entities may be blank check companies with no operating history or ongoing business other than to seek a potential acquisition. Accordingly, the value of their securities is particularly dependent on the ability of the entity’s management to identify and complete a profitable acquisition. Certain SPACs may seek acquisitions only in limited industries or regions, which may increase the volatility of their prices. If an acquisition or merger that meets the requirements for the SPAC is not completed within a predetermined period of time, the invested funds are returned to the entity’s shareholders, less certain permitted expenses. Accordingly, any rights or warrants issued by the SPAC will expire worthless. Certain private investments in SPACs may be illiquid and/or be subject to restrictions on resale. Additionally, the Fund may acquire certain private rights and other interests issued by a SPAC (commonly referred to as “founder shares”), which may be subject to forfeiture or expire worthless and which typically have more limited liquidity than SPAC shares issued in an IPO. To the extent the SPAC is invested in cash or similar securities, this may impact a Fund’s ability to meet its investment objective.

 

Private Debt Risk: The Fund may invest in notes issued by private funds (“private debt”). Private debt often may be illiquid and is typically not listed on an exchange and traded less actively than similar securities issued by public funds. For certain private debt, trading may only be possible through the assistance of the broker who originally brought the security to the market and has a relationship with the issuer. Due to the limited trading market, independent pricing services may be unable to provide a price for private debt, and as such the fair value of the securities may be determined in good faith under procedures approved by the Board, which typically will include the use of one or more independent broker quotes.

 

 

Rights and Warrants Risks: Warrants are securities giving the holder the right, but not the obligation, to buy the stock of an issuer at a given price (generally higher than the value of the stock at the time of issuance) during a specified period or perpetually. Warrants do not carry with them the right to dividends or voting rights with respect to the securities that they entitle their holder to purchase and they do not represent any rights in the assets of the issuer. As a result, warrants may be considered to have more speculative characteristics than certain other types of investments. In addition, the value of a warrant does not necessarily change with the value of the underlying securities and a warrant ceases to have value if it is not exercised prior to its expiration date.

 

Rights are usually granted to existing shareholders of a corporation to subscribe to shares of a new issue of common stock before it is issued to the public. The right entitles its holder to buy common stock at a specified price. Rights have similar features to warrants, except that the life of a right is typically much shorter, usually a few weeks.

 

On October 28, 2020, the SEC adopted Rule 18f-4 under the 1940 Act providing for the regulation of the use of derivatives and certain related instruments by registered investment companies. Rule 18f-4 prescribes specific value-at-risk leverage limits for certain derivatives users. In addition, Rule 18f-4 requires certain derivatives users to adopt and implement a derivatives risk management program (including the appointment of a derivatives risk manager and the implementation of certain testing requirements) and prescribes reporting requirements in respect of derivatives. Subject to certain conditions, if a fund qualifies as a “limited derivatives user,” as defined in Rule 18f-4, it is not subject to the full requirements of Rule 18f-4. In connection with the adoption of Rule 18f-4, the SEC rescinded certain of its prior guidance regarding asset segregation and coverage requirements in respect of derivatives transactions and related instruments. The Fund was required to comply with Rule 18f-4 beginning August 19, 2022 and has adopted procedures for investing in derivatives and other transactions in compliance with Rule 18f-4.Rule 18f-4 under the 1940 Act requires funds that invest in derivatives above a specified amount to adopt and implement a derivatives risk management program ("DRMP") administered by a derivatives risk manager that is appointed by and overseen by the fund's board of trustees, and to comply with an outer limit on fund leverage risk based on value at risk, or "VaR." The Fund has established a DRMP and appointed a derivatives risk manager to administer the DRMP, consistent with Rule 18f-4.

 

During the period ended October 31, 2023, the Fund invested in rights and warrants, which are disclosed in the Statement of Investments.

 

Market and Geopolitical Risk: The value of your investment in the Fund is based on the market prices of the securities the Fund holds. These prices change daily due to economic and other events that affect markets generally, as well as those that affect particular regions, countries, industries, companies or governments. These price movements, sometimes called volatility, may be greater or less depending on the types of securities the Fund owns and the markets in which the securities trade. The increasing interconnectivity between global economies and financial markets increases the likelihood that events or conditions in one region or financial market may adversely impact issuers in a different country, region or financial market. Securities in the Fund’s portfolio may underperform due to inflation (or expectations for inflation), interest rates, global demand for particular products or resources, natural disasters, pandemics, epidemics, terrorism, regulatory events and governmental or quasi-governmental actions. The occurrence of global events similar to those in recent years, such as terrorist attacks around the world, natural disasters, social and political discord or debt crises and downgrades, among others, may result in market volatility and may have long term effects on both the U.S. and global financial markets. It is difficult to predict when similar events affecting the U.S. or global financial markets may occur, the effects that such events may have and the duration of those effects. Any such event(s) could have a significant adverse impact on the value and risk profile of the Fund’s portfolio. There is a risk that you may lose money by investing in the Fund.