0001752724-21-190010.txt : 20210827 0001752724-21-190010.hdr.sgml : 20210827 20210827142732 ACCESSION NUMBER: 0001752724-21-190010 CONFORMED SUBMISSION TYPE: NPORT-P PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20210630 FILED AS OF DATE: 20210827 PERIOD START: 20210930 FILER: COMPANY DATA: COMPANY CONFORMED NAME: Collaborative Investment Series Trust CENTRAL INDEX KEY: 0001719812 IRS NUMBER: 826635713 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: NPORT-P SEC ACT: 1940 Act SEC FILE NUMBER: 811-23306 FILM NUMBER: 211217751 BUSINESS ADDRESS: STREET 1: 500 DAMONTE RANCH STREET 2: PARKWAY BUILDING 700, UNIT 700 CITY: RENO STATE: NV ZIP: 89521 BUSINESS PHONE: 2036226000 MAIL ADDRESS: STREET 1: 500 DAMONTE RANCH STREET 2: PARKWAY BUILDING 700, UNIT 700 CITY: RENO STATE: NV ZIP: 89521 0001719812 S000070261 The SPAC and New Issue ETF C000223446 The SPAC and New Issue ETF SPCX NPORT-P 1 primary_doc.xml NPORT-P false 0001719812 XXXXXXXX S000070261 C000223446 Collaborative Investment 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Corp N/A HEALTHCARE CAPITAL CORP 42228C101 78898.00000000 NS USD 761365.70000000 0.686798159074 Long EC CORP US N 1 N N N ALTIMAR ACQUISITION CORP II N/A ALTIMAR ACQUISITION CORP II G03709121 84153.00000000 NS USD 97617.48000000 0.088056902954 N/A DE US N 1 N/A N/A Call Purchased ALTIMAR ACQUISITION CORP II ALTIMAR ACQUISITION CORP II 84153 11.5 USD 2027-12-31 XXXX 50796.84 N N N PERIDOT ACQUISITION CORP-A N/A PERIDOT ACQUISITION CORP-A G7008B121 11078.00000000 NS USD 12296.58000000 0.011092262899 N/A DE US N 1 N/A N/A Call Purchased PERIDOT ACQUISITION CORP-A PERIDOT ACQUISITION CORP-A 11078 11.5 USD 2028-04-30 XXXX 12130.90 N N N SILVER SPIKE ACQUISITION CORP II N/A SILVER SPIKE ACQUISITION CORP II G8201H113 49882.00000000 NS USD 67340.70000000 0.060745406301 N/A DE US N 1 N/A N/A Call Purchased SILVER SPIKE ACQUISITION CORP II SILVER SPIKE ACQUISITION CORP II 49882 11.5 USD 2026-02-26 XXXX 67340.70 N N N ADARA SPONSOR LLC-WTS N/A ADARA SPONSOR LLC-WTS N/A 425000.00000000 NS USD 227766.00000000 0.205458782159 N/A DE US N 2 N/A N/A Call Purchased ADARA SPONSOR LLC-WTS ADARA SPONSOR LLC-WTS 425000.00000000 0.000001 USD 2049-01-13 XXXX 227766.00 N N N Golden Arrow Merger Corp N/A GOLDEN ARROW MERGER CORP 380799106 52594.00000000 NS USD 507532.10000000 0.457824816578 Long EC CORP US N 1 N N N HUDSON EXECUTIVE INVESTMENT CORP III N/A HUDSON EXECUTIVE INVESTMENT CORP III 44376L115 18160.00000000 NS USD 20339.20000000 0.018347195200 N/A DE US N 1 N/A N/A Call Purchased HUDSON EXECUTIVE INVESTMENT CORP III HUDSON EXECUTIVE INVESTMENT CORP III 18160 11.5 USD 2028-12-31 XXXX 20339.20 N N N Fintech Acquisition Corp VI N/A FINTECH ACQUISITION CORP VI 31811H205 99346.00000000 NS USD 1002401.14000000 0.904226783011 Long CORP US N 1 N N N GIGCAPITAL4 INC N/A GIGCAPITAL4 INC 37518G119 27572.00000000 NS USD 31432.08000000 0.028353647504 N/A DE US N 1 N/A N/A Call Purchased GIGCAPITAL4 INC GIGCAPITAL4 INC 27572 11.5 USD 2028-12-31 XXXX 30769.08 N N N Astrea Acquisition Corp N/A ASTREA ACQUISITION CORP 04637C106 180469.00000000 NS USD 1745135.23000000 1.574218096902 Long EC CORP US N 1 N N N Primavera Capital Acquisition Corp N/A PRIMAVERA CAPITAL ACQUISITION CORP G7255E125 99783.00000000 NS USD 1015790.94000000 0.916305196828 Long CORP KY N 1 N N N SVF INVESTMENT CL A -CW27 N/A SVF INVESTMENT CL A -CW27 G8601L128 26303.00000000 NS USD 40243.59000000 0.036302165341 N/A DE US N 1 N/A N/A Call Purchased SVF INVESTMENT CL A -CW27 SVF INVESTMENT CL A -CW27 26303 11.5 USD 2027-12-31 XXXX 40243.59 N N N Isleworth Healthcare Acquisition Corp N/A ISLEWORTH HEALTHCARE ACQUISITION CORP 46468P102 131504.00000000 NS USD 1288739.20000000 1.162521124983 Long EC CORP US N 1 N N N Fortress Capital Acquisition Corp N/A FORTRESS CAPITAL ACQUISITION CORP G36427105 194725.00000000 NS USD 1916094.00000000 1.728433303226 Long EC CORP KY N 1 N N N CC Neuberger Principal Holdings II N/A CC NEUBERGER PRINCIPAL HOLDINGS II G3166T103 364217.00000000 NS USD 3602106.13000000 3.249318768728 Long EC CORP KY N 1 N N N GLOBAL CONSUMER ACQUISITION CLASS B N/A GLOBAL CONSUMER ACQUISITION CLASS B N/A 250000.00000000 NS USD 1998000.00000000 1.802317495825 Long EC CORP US N 2 N N N DECARBONIZATION PLUS -CW25 N/A DECARBONIZATION PLUS -CW25 242797116 45220.00000000 NS USD 103553.80000000 0.093411824574 N/A DE US N 1 N/A N/A Call Purchased DECARBONIZATION PLUS -CW25 DECARBONIZATION PLUS -CW25 45220 11.5 USD 2025-10-02 XXXX 85927.18 N N N TWELVE SEAS INVESTMENT CO II WARRANT N/A TWELVE SEAS INVESTMENT CO II WARRANT 90118T114 55548.00000000 NS USD 49437.72000000 0.044595829684 N/A DE US N 1 N/A N/A Call Purchased TWELVE SEAS INVESTMENT CO II WARRANT TWELVE SEAS INVESTMENT CO II WARRANT 55548 11.5 USD 2028-03-02 XXXX 48847.90 N N N Social Capital Hedosophia Holdings Corp VI N/A SOCIAL CAPITAL HEDOSOPHIA HOLDINGS CORP VI G8251L105 72947.00000000 NS USD 744059.40000000 0.671186824100 Long EC CORP KY N 1 N N N SILVER SPIKE II CLASS B SHARES N/A SILVER SPIKE II CLASS B SHARES N/A 22500.00000000 NS USD 175500.00000000 0.158311671930 Long EC CORP US N 2 N N N Moringa Acquisition Corp N/A MORINGA ACQUISITION CORP G6S23K108 71597.00000000 NS USD 690911.05000000 0.623243780517 Long EC CORP KY N 1 N N N 2021-07-30 Collaborative Investment Series Trust Adam Snitkoff Adam Snitkoff Treasurer XXXX NPORT-EX 2 2209_0001719900.htm Converted by EDGARwiz

Portfolio of Investments

June 30, 2021 (Unaudited)

The SPAC and New Issue ETF




Portfolio of Investments Summary Table

 

Percentage of

 Fair Value (%)

 

Financials

 

                  96.3

 

Health Care

 

                    1.3

 

Warrants

 

                    2.4

 

Total

 

                100.0

 

 

 

 

 

Portfolio holdings and allocations are subject to change. As of June 30, 2021, percentages in the table above are based on total investments. Such total investments may differ from the percentages set forth in the following Portfolio of Investments which are computed using the Fund's total net assets.

 

 

 

 

 




 

 

 

Portfolio of Investments

 

 

Shares

 

 

 

Fair Value ($)  

Common Stocks — 97.3%

 

 

Financials — 96.0%

 

 

76,993

 

10X Capital Venture Acquisition Corp.(a)

 

766,850

524,281

 

Accelerate Acquisition Corp.(a)

 

5,080,284

189,602

 

Adara Acquisition Corp.(a)

 

1,842,931

255,379

 

Adara Sponsor LLC(a)

 

1,985,827

183,390

 

AEA-Bridges Impact Corp., Class A(a)

 

1,786,219

98,677

 

Aldel Financial, Inc.(a)

 

1,010,946

201,929

 

Altimar Acquisition Corp. II(a)

 

1,962,750

386,362

 

Apollo Strategic Growth Capital(a)

 

3,778,621

163,094

 

Ares Acquisition Corp.(a)

 

1,590,167

180,469

 

Astrea Acquisition Corp.(a)

 

1,745,135

119,909

 

Atlas Crest Investment Corp. II(a)

 

1,169,113

210,640

 

Avanti Acquisition Corp.(a)

 

2,051,634

189,089

 

Bridgetown 2 Holdings, Ltd., Class A(a)

 

1,928,707

59,145

 

Capstar Special Purpose Acquisition Corp.(a)

 

579,030

364,217

 

CC Neuberger Principal Holdings II(a)

 

3,602,107

95,402

 

Churchill Capital Corp. V(a)

 

960,698

229,745

 

Citic Capital Acquisition Corp., Class A(a)

 

2,276,773

119,973

 

Class Acceleration Corp.(a)

 

1,162,538

294,580

 

Cohn Robbins Holdings Corp.(a)

 

2,901,614

68,868

 

Crucible Acquisition Corp.(a)

 

668,020

172,501

 

Decarbonization Plus Acquisition Corp.(a)

 

1,778,485

130,945

 

Decarbonization Plus Acquisition Corp. II(a)

 

1,292,427

105,060

 

Decarbonization Plus Acquisition Corp. III(a)

 

1,089,472

232,649

 

E.Merge Technology Acquisition Corp.(a)

 

2,270,654

79,477

 

Elliott Opportunity II Corp.(a)

 

795,565

173,339

 

Far Peak Acquisition Corp., Class A(a)

 

1,724,723

99,346

 

Fintech Acquisition Corp. VI(a)

 

1,002,401

115,101

 

Foresight Acquisition Corp.(a)

 

1,138,349

194,725

 

Fortress Capital Acquisition Corp.(a)

 

1,916,094

155,569

 

G Squared Ascend I, Inc.(a)

 

1,535,466

170,778

 

G&P Acquisition Corp.(a)

 

1,663,378

82,678

 

GigCapital4, Inc.(a)

 

814,378

250,000

 

Global Consumer Acquisition(a)

 

1,998,000

66,920

 

Global Consumer Acquisition Corp.(a)

 

668,531

58,445

 

Global SPAC Partners Co.(a)

 

592,340

148,617

 

GO Acquisition Corp.(a)

 

1,453,474

69,542

 

Gobi Acquisition Corp.(a)

 

684,989

52,594

 

Golden Arrow Merger Corp.(a)

 

507,532

162,290

 

Gores Holdings V, Inc.(a)

 

1,639,129

170,542

 

Gores Metropoulos II, Inc.(a)

 

1,686,660

78,898

 

Healthcare Capital Corp.(a)

 

761,366

114,225

 

HealthCor Catalio Acquisition Corp.(a)

 

1,125,116

177,381

 

Hennessy Capital Investment Corp., Class A(a)

 

1,793,322

76,897

 

Horizon Acquisition Corp.(a)

 

765,125

163,929

 

Hudson Executive Investment Corp. II(a)

 

1,591,751

90,211

 

Hudson Executive Investment Corp. III(a)

 

878,655



Portfolio of Investments (continued)  

June 30, 2021 (Unaudited)

The SPAC and New Issue ETF


131,504

 

Isleworth Healthcare Acquisition Corp.(a)

 

1,288,739

Shares

 

 

 

Fair Value ($)  

 

 

 

Financials — 96.0% (continued)

 

 

86,604

 

Kadem Sustainable Impact Corp.(a)

 

833,130

134,439

 

Kernel Group Holdings, Inc.(a)

 

1,308,091

210,897

 

Kismet Acquisition One Corp.(a)

 

2,089,989

97,548

 

Lux Health Tech Acquisition Corp., Class A(a)

 

964,750

71,597

 

Moringa Acquisition Corp.(a)

 

690,911

201,344

 

New Vista Acquisition Corp.(a)

 

1,946,996

165,762

 

Newbury Street Acquisition Corp.(a)

 

1,601,261

173,335

 

Nextgen Acquisition Corp. II(a)

 

1,783,617

34,333

 

Nextgen Acquisition Corp. II(a)

 

87,892

25,768

 

Northern Lights Acquisition Corp.(a)

 

262,834

116,353

 

Oaktree Acquisition Corp. II, Class A(a)

 

1,149,568

57,979

 

Peridot Acquisition Corp. II(a)

 

565,875

99,783

 

Primavera Capital Acquisition Corp.(a)

 

1,015,791

149,636

 

Property Solutions Acquisition Corp. II(a)

 

1,460,447

77,535

 

Rotor Acquisition Corp.(a)

 

773,799

145,642

 

Scion Tech Growth II(a)

 

1,412,727

196,939

 

Silver Spike Acquisition Corp. II(a)

 

1,920,155

22,500

 

Silver Spike II, Class B(a)

 

175,500

72,947

 

Social Capital Hedosophia Holdings Corp. VI, Class A(a)

 

744,059

184,557

 

Spartan Acquisition Corp. III(a)

 

1,804,967

366,721

 

Starboard Value Acquisition Corp., Class A(a)

 

3,667,211

145,689

 

SVF Investment Corp., Class A(a)

 

1,439,407

185,744

 

Trebia Acquisition Corp.(a)

 

1,838,866

174,502

 

Twelve Seas Investment Co. II(a)

 

1,683,944

103,911

 

VectoIQ Acquisition Corp. II(a)

 

1,039,110

84,894

 

VY Global Growth(a)

 

844,695

 

 

 

 

106,411,677

Health Care — 1.3%

 

 

170,678

 

Talkspace, Inc.(a)

 

1,418,334

Total Common Stocks (Cost $115,287,389)

 

107,830,011

 

 

 

 

 

Warrants — 2.4%

 

 

189,885

 

Accelerate Acquisition Corp., 12/31/2027(a)

 

233,558

425,000

 

Adara Sponsor LLC, 01/13/2049(a)

 

227,765

84,153

 

Altimar Acquisition Corp. II, 12/31/2027(a)

 

97,617

54,760

 

Apollo Strategic Growth, 10/29/2027(a)

 

65,164

31,139

 

Ares Acquisition Corp., Class A, 12/31/2027(a)

 

38,924

37,748

 

Atlas Crest Investment Corp. II, 02/28/2026(a)

 

43,410

41,630

 

CC Neuberger Principal Holdings II - CW25 07/29/2025(a)

 

56,617

23,867

 

Churchill Capital Corp. V, 10/29/2027(a)

 

49,166

57,273

 

Class Acceleration Corp., Class A, 03/31/2028(a)

 

45,246

22,960

 

Crucible Acquisition Corp., 12/26/2025(a)

 

24,338

45,220

 

Decarbonization Plus Acquisition Corp. - CW25, 10/02/2025(a)

 

103,554

39,624

 

Decarbonization Plus Acquisition Corp. II, 10/02/2025(a)

 

57,851

35,248

 

Decarbonization Plus Acquisition Corp. III, 02/12/2023(a)

 

89,530

57,364

 

Far Peak Acquisition Corp. - CW25, 12/07/2025(a)

 

81,457

38,360

 

Foresight Acquisition Corp., 01/31/2027(a)

 

53,320

35,345

 

Fortress Capital Acquisition Corp., 12/31/2027(a)

 

38,116

30,227

 

G Squared Ascend I, Inc., Class A, 12/31/2027(a)

 

36,575

27,572

 

GigCapital4, Inc., 12/31/2028(a)

 

31,432

17,646

 

Golden Arrow Merger Corp., 07/31/2026(a)

 

14,757

33,114

 

Gores Metropoulos II, Inc., 01/31/2028(a)

 

46,360

39,451

 

Healthcare Capital Corp., 03/08/2025(a)

 

28,405

39,128

 

Hudson Executive Investment Corp. II, 01/31/2027(a)

 

46,562

18,160

 

Hudson Executive Investment Corp. III, 12/31/2028(a)

 

20,339

144,005

 

Kadem Sustainable Impact Corp., 03/16/2026(a)

 

109,444

64,205

 

Kernel Group Holdings, Inc., Class A, 01/31/2027(a)

 

66,773

35,796

 

Moringa Acquisition Corp., 02/10/2026(a)

 

27,205



Portfolio of Investments (continued)  

June 30, 2021 (Unaudited)

The SPAC and New Issue ETF


Shares

 

 

 

Fair Value ($)  

 

 

 

Warrants — 2.4% (continued)

 

 

42,345

 

New Vista Acquisition Corp., 12/31/2027(a)

 

42,345

80,505

 

Newbury Street Acquisition C, 12/31/2027(a)

 

59,582

18,016

 

Oaktree Acquisition Corp. II, 09/15/2027(a)

 

22,160

9,283

 

Peridot Acquisition Corp. - CW27, 11/30/2027(a)

 

25,157

11,078

 

Peridot Acquisition Corp. II, Class A, 04/30/2028(a)

 

12,297

45,362

 

Property Solutions Acquisition Corp., 03/01/2026(a)

 

59,424

37,026

 

Rotor Acquisition Corp., Class A, 06/15/2027(a)

 

45,542

59,597

 

Scion Tech Growth II, 01/28/2026(a)

 

55,109

49,882

 

Silver Spike Acquisition Corp. II, 02/26/2026(a)

 

67,341

225,000

 

Silver Spike II, 01/13/2049(a)

 

242,999

30,025

 

Spartan Acquisition Corp. III, 02/04/2026(a)

 

35,730

70,918

 

Starboard Value Acquisition Corp. - CW27, 09/10/2027(a)

 

143,964

26,303

 

SVF Investment Corp. - CW27, 12/31/2027(a)

 

40,244

55,548

 

Twelve Seas Investment Co. II, 03/02/2028(a)

 

49,438

20,787

 

VectoIQ Acquisition Corp. II, 12/31/2027(a)

 

27,855

 

 

 

 

2,662,672

Total Warrants (Cost $228,007)

 

2,662,672

 

 

 

 

 

Total Investments — 99.7%

 

 

(Cost $115,515,396)

 

110,492,683

Other Assets in Excess of Liabilities — 0.3%

 

                                    364,589

Net Assets — 100.0%

 

$110,857,272

 

 

 

 

 

 

 

 




(a)

Non-income producing security




 


Portfolio of Investments

    June 30, 2021 (Unaudited)

The De-SPAC ETF




Portfolio of Investments Summary Table

 

Percentage of

Fair Value (%)

 

Communication Services

 

                    8.1

 

Consumer Discretionary

 

                  24.2

 

Consumer Staples

 

                    3.8

 

Financials

 

                    4.5

 

Health Care

 

                  11.3

 

Industrials

 

                  16.6

 

Information Technology

 

                  18.6

 

Materials

 

                    8.7

 

Real Estate

 

                    4.2

 

Total

 

                100.0

 

 

 

 

 

Portfolio holdings and allocations are subject to change. As of June 30, 2021, percentages in the table above are based on total investments. Such total investments may differ from the percentages set forth in the following Portfolio of Investments which are computed using the Fund's total net assets.

 

 

 

 

 




 

 

 

Portfolio of Investments

 

 

Shares

 

 

 

Fair Value ($)  

Common Stocks — 99.8%

 

 

Communication Services — 8.1%

 

 

8,184

 

Genius Sports, Ltd.(a)

 

153,614

7,133

 

Skillz, Inc.(a)

 

154,929

 

 

 

 

308,543

Consumer Discretionary — 24.2%

 

 

15,805

 

Canoo, Inc.(a)

 

157,102

8,173

 

Fisker, Inc.(a)

 

157,575

13,440

 

Lordstown Motors Corp.(a)

 

148,646

6,485

 

Luminar Technologies, Inc.(a)

 

142,346

7,841

 

Porch Group, Inc.(a)

 

151,645

5,473

 

QuantumScape Corp.(a)

 

160,140

 

 

 

 

917,454

Consumer Staples — 3.8%

 

 

8,960

 

AppHarvest, Inc.(a)

 

143,360

Financials — 4.5%

 

 

4,001

 

Open Lending Corp.(a)

 

172,403

Health Care — 11.2%

 

 

10,848

 

Butterfly Network, Inc.(a)

 

157,079

10,081

 

Clover Health Investments Corp.(a)

 

134,279

12,424

 

Hims & Hers Health, Inc.(a)

 

135,297

 

 

 

 

426,655

Industrials — 16.5%

 

 

5,286

 

ChargePoint Holdings, Inc.(a)

 

183,636

12,351

 

Desktop Metal, Inc.(a)

 

142,036

12,464

 

Hyliion Holdings Corp.(a)

 

145,206

8,701

 

Nikola Corp.(a)

 

157,140

 

 

 

 

628,018

Information Technology — 18.6%

 

 

13,620

 

Aeva Technologies, Inc.(a)

 

143,963

10,246

 

BTRS Holdings, Inc.(a)

 

129,305

11,411

 

E2open Parent Holdings, Inc.(a)

 

130,314

12,803

 

Paysafe, Ltd.(a)

 

155,044

13,780

 

Velodyne Lidar, Inc.(a)

 

146,619

 

 

 

 

705,245

Materials — 8.7%

 

 

6,169

 

Danimer Scientific, Inc.(a)

 

154,534

4,756

 

MP Materials Corp.(a)

 

175,306

 

 

 

 

329,840

Real Estate — 4.2%

 

 

8,881

 

Opendoor Technologies, Inc.(a)

 

157,460



Portfolio of Investments (continued)  

June 30, 2021 (Unaudited)

The De-SPAC ETF






Total Common Stocks (Cost $3,320,934)

 

3,788,978

 

 

 

 

 

Total Investments — 99.8%

 

 

(Cost $3,320,934)

 

3,788,978

Other Assets in Excess of Liabilities — 0.2%

 

                                        7,788

Net Assets — 100.0%

 

$3,796,766

 

 

 

 

 

 

 

 




(a)

Non-income producing security




 



Portfolio of Investments

June 30, 2021 (Unaudited)

The Short De-SPAC ETF



Total Return Swap Agreements

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Pay/

Receive

 

Financing Rate

 

Description

 

Counter

party

 

Expiration
Date

 

Payment Frequency

 

Notional
Amount
(000) ($)

 

Value
(000) ($)

 

Upfront Premiums Paid/

(Received)
(000) ($)

 

Unrealized Appreciation/ (Depreciation)
(000) ($)

Receive

 

0.03%

 

Aeva Technologies Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

518

 

16

 

—

 

16

Receive

 

0.03%

 

AppHarvest Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

513

 

42

 

—

 

42

Receive

 

0.03%

 

Longview Acquisition Corp

 

 Cowen

 

12/31/22

 

At Maturity

 

560

 

(14)

 

—

 

(14)

Receive

 

0.03%

 

BTRS Holdings Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

461

 

83

 

—

 

83

Receive

 

0.03%

 

ChargePoint Holdings Inc. Class A

 

 Cowen

 

12/31/22

 

At Maturity

 

660

 

(88)

 

—

 

(88)

Receive

 

0.03%

 

Clover Health Investments Corp

 

 Cowen

 

12/31/22

 

At Maturity

 

484

 

(19)

 

—

 

(19)

Receive

 

0.03%

 

Desktop Metal Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

484

 

80

 

—

 

80

Receive

 

0.03%

 

Danimer Scientific Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

551

 

1

 

—

 

1

Receive

 

0.03%

 

E2open Parent Holdings Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

466

 

64

 

—

 

64

Receive

 

0.03%

 

Fisker Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

565

 

(47)

 

—

 

(47)

Receive

 

0.03%

 

Genius Sports Limited

 

 Cowen

 

12/31/22

 

At Maturity

 

541

 

52

 

—

 

52

Receive

 

0.03%

 

Canoo Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

560

 

(26)

 

—

 

(26)

Receive

 

0.03%

 

Hims & Hers Health Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

487

 

108

 

—

 

108

Receive

 

0.03%

 

Hyliion Holdings Corp

 

 Cowen

 

12/31/22

 

At Maturity

 

516

 

4

 

—

 

4

Receive

 

0.03%

 

Luminar Technologies Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

508

 

42

 

—

 

42

Receive

 

0.03%

 

Open Lending Corporation

 

 Cowen

 

12/31/22

 

At Maturity

 

616

 

(46)

 

—

 

(46)

Receive

 

0.03%

 

MP Materials Corp

 

 Cowen

 

12/31/22

 

At Maturity

 

629

 

(76)

 

—

 

(76)

Receive

 

0.03%

 

Nikola Corporation

 

 Cowen

 

12/31/22

 

At Maturity

 

562

 

(34)

 

—

 

(34)

Receive

 

0.03%

 

Opendoor Technologies Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

563

 

(31)

 

—

 

(31)

Receive

 

0.03%

 

Porch Group Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

546

 

(23)

 

—

 

(23)

Receive

 

0.03%

 

Paysafe Ltd.

 

 Cowen

 

12/31/22

 

At Maturity

 

553

 

(15)

 

—

 

(15)

Receive

 

0.03%

 

QuantumScape Corporation

 

 Cowen

 

12/31/22

 

At Maturity

 

573

 

(20)

 

—

 

(20)

Receive

 

0.03%

 

Lordstown Motors Corp

 

 Cowen

 

12/31/22

 

At Maturity

 

529

 

36

 

—

 

36

Receive

 

0.03%

 

Skillz Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

552

 

(25)

 

—

 

(25)

Receive

 

0.03%

 

Velodyne Lidar Inc.

 

 Cowen

 

12/31/22

 

At Maturity

 

525

 

1

 

—

 

1

 

 

 

 

 

 

 

 

 

 

 

 

 

 

$65

 

 

 

$65

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 



 


Amounts designated as “—” are $0 or have been rounded to $0.