The Securities and Exchange Commission has not necessarily reviewed the information in this filing and has not determined if it is accurate and complete. | |||||||||||||||||
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 13F FORM 13F INFORMATION TABLE |
|
COLUMN 1 | COLUMN 2 | COLUMN 3 | COLUMN 4 | COLUMN 5 | COLUMN 6 | COLUMN 7 | COLUMN 8 | ||||
VALUE | SHRS OR | SH/ | PUT/ | INVESTMENT | OTHER | VOTING AUTHORITY | |||||
NAME OF ISSUER | TITLE OF CLASS | CUSIP | (x$1000) | PRN AMT | PRN | CALL | DISCRETION | MANAGER | SOLE | SHARED | NONE |
180 Life Sciences Corp | Common Stock | 68236V104 | 953 | 95,276 | SH | SOLE | 95,276 | 0 | 0 | ||
23andMe Holding Co | Warrant | 90138Q116 | 401 | 132,288 | SH | SOLE | 132,288 | 0 | 0 | ||
Aerojet Rocketdyne Holdings In | Common Stock | 007800105 | 1,845 | 38,202 | SH | SOLE | 38,202 | 0 | 0 | ||
Alberton Acquisition Corp | Right | G35006132 | 173 | 309,348 | SH | SOLE | 309,348 | 0 | 0 | ||
Alberton Acquisition Corp | Warrant | G35006124 | 73 | 177,500 | SH | SOLE | 177,500 | 0 | 0 | ||
AmpliTech Group Inc | Warrant | 03211Q119 | 54 | 32,679 | SH | SOLE | 32,679 | 0 | 0 | ||
Aurora Cannabis Inc | Bond | 05156XAG3 | 16,950 | 16,950,000 | PRN | SOLE | 16,950,000 | 0 | 0 | ||
Avanti Acquisition Corp | Warrant | G0682V125 | 20 | 19,460 | SH | SOLE | 19,460 | 0 | 0 | ||
AvePoint Inc | Warrant | 03768F110 | 165 | 48,500 | SH | SOLE | 48,500 | 0 | 0 | ||
Better World Acquisition Corp | Warrant | 08772B112 | 35 | 34,850 | SH | SOLE | 34,850 | 0 | 0 | ||
Biogen Inc | Common Stock | 09062X103 | 5,194 | 15,000 | SH | SOLE | 15,000 | 0 | 0 | ||
BiomX Inc | Warrant | 09090D111 | 221 | 368,098 | SH | SOLE | 368,098 | 0 | 0 | ||
Blade Air Mobility Inc | Warrant | 092667112 | 168 | 61,209 | SH | SOLE | 61,209 | 0 | 0 | ||
BowX Acquisition Corp | Warrant | 103085114 | 449 | 134,500 | SH | SOLE | 134,500 | 0 | 0 | ||
Breeze Holdings Acquisition Co | Warrant | 106762115 | 73 | 99,733 | SH | SOLE | 99,733 | 0 | 0 | ||
BriaCell Therapeutics Corp | Common Stock | 10778Y302 | 1,333 | 250,000 | SH | SOLE | 250,000 | 0 | 0 | ||
BriaCell Therapeutics Corp | Warrant | 10778Y112 | 180 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Bridgetown Holdings Ltd | Common Stock | G1355U113 | 364 | 36,000 | SH | SOLE | 36,000 | 0 | 0 | ||
Bridgetown Holdings Ltd | Warrant | G1355U121 | 126 | 63,100 | SH | SOLE | 63,100 | 0 | 0 | ||
Burgundy Technology Acquisitio | Warrant | G1702T124 | 150 | 158,400 | SH | SOLE | 158,400 | 0 | 0 | ||
Cano Health Inc | Warrant | 13781Y111 | 292 | 79,300 | SH | SOLE | 79,300 | 0 | 0 | ||
Celularity Inc | Warrant | 36251A115 | 264 | 193,900 | SH | SOLE | 193,900 | 0 | 0 | ||
Change Healthcare Inc | Common Stock | 15912K100 | 1,152 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Chardan Healthcare Acquisition | Common Stock | 15957T107 | 3,466 | 347,989 | SH | SOLE | 347,989 | 0 | 0 | ||
Chardan Healthcare Acquisition | Warrant | 15957T115 | 447 | 698,100 | SH | SOLE | 698,100 | 0 | 0 | ||
Chardan Healthcare Acquisition 2 Corp. | Common Stock | 15957T107 | 747 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
Cimarex Energy Co | Common Stock | 171798101 | 1,811 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
Coherent Inc | Common Stock | 192479103 | 2,643 | 10,000 | SH | SOLE | 10,000 | 0 | 0 | ||
Cohn Robbins Holdings Corp | Warrant | G23726113 | 30 | 26,000 | SH | SOLE | 26,000 | 0 | 0 | ||
Concord Acquisition Corp | Warrant | 206071110 | 9 | 9,000 | SH | SOLE | 9,000 | 0 | 0 | ||
Constellation Pharmaceuticals | Option | 210373106 | 5 | 480 | SH | Put | SOLE | 480 | 0 | 0 | |
Constellation Pharmaceuticals | Common Stock | 210373106 | 2,535 | 75,000 | SH | SOLE | 75,000 | 0 | 0 | ||
Discovery Inc | Common Stock | 25470F302 | 2,347 | 81,000 | SH | SOLE | 81,000 | 0 | 0 | ||
Duddell Street Acquisition Cor | Warrant | G28553116 | 220 | 238,499 | SH | SOLE | 238,499 | 0 | 0 | ||
E.Merge Technology Acquisition | Warrant | 26873Y112 | 27 | 27,500 | SH | SOLE | 27,500 | 0 | 0 | ||
Electric Last Mile Solutions I | Warrant | 28489L112 | 316 | 139,855 | SH | SOLE | 139,855 | 0 | 0 | ||
Enovix Corp | Warrant | 774873111 | 34 | 3,338 | SH | SOLE | 3,338 | 0 | 0 | ||
Environmental Impact Acquisiti | Warrant | 29408N114 | 7 | 6,700 | SH | SOLE | 6,700 | 0 | 0 | ||
EVgo Inc | Warrant | 18716C118 | 1,035 | 253,600 | SH | SOLE | 253,600 | 0 | 0 | ||
Far Peak Acquisition Corp | Warrant | G3312L111 | 137 | 96,800 | SH | SOLE | 96,800 | 0 | 0 | ||
Fusion Acquisition Corp | Warrant | 36118H113 | 212 | 151,610 | SH | SOLE | 151,610 | 0 | 0 | ||
Genius Sports Ltd | Warrant | G3934V117 | 476 | 59,900 | SH | SOLE | 59,900 | 0 | 0 | ||
Globis Acquisition Corp | Common Stock | 379582109 | 4,975 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Globis Acquisition Corp | Warrant | 379582117 | 345 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Globus Maritime Ltd | Common Stock | Y27265126 | 2,037 | 525,000 | SH | SOLE | 525,000 | 0 | 0 | ||
Gold Royalty Corp | Warrant | 38071H114 | 485 | 461,773 | SH | SOLE | 461,773 | 0 | 0 | ||
Good Works Acquisition Corp | Common Stock | 38216X107 | 6,097 | 612,803 | SH | SOLE | 612,803 | 0 | 0 | ||
GTT Communications Inc | Option | 362393100 | 165 | 4,726 | SH | Put | SOLE | 4,726 | 0 | 0 | |
Health Sciences Acquisitions C | Common Stock | G4411D109 | 3,060 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Hostess Brands Inc | Warrant | 44109J114 | 365 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Humanigen Inc | Common Stock | 444863203 | 46,694 | 2,686,666 | SH | SOLE | 2,686,666 | 0 | 0 | ||
Hyzon Motors Inc | Warrant | 242797116 | 97 | 42,535 | SH | SOLE | 42,535 | 0 | 0 | ||
ICC Holdings Inc | Common Stock | 44931Q104 | 2,080 | 129,919 | SH | SOLE | 129,919 | 0 | 0 | ||
IHS Markit Ltd | Common Stock | G47567105 | 5,633 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
IM Cannabis Corp | Common Stock | 44969Q208 | 4,260 | 802,181 | SH | SOLE | 802,181 | 0 | 0 | ||
Inhibikase Therapeutics Inc | Common Stock | 45719W106 | 899 | 320,947 | SH | SOLE | 320,947 | 0 | 0 | ||
Janus International Group Inc | Warrant | 47103N114 | 28 | 6,800 | SH | SOLE | 6,800 | 0 | 0 | ||
Katapult Holdings Inc | Warrant | 485859110 | 6 | 1,800 | SH | SOLE | 1,800 | 0 | 0 | ||
Kiromic BioPharma Inc | Common Stock | 497634105 | 481 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
KludeIn I Acquisition Corp | Warrant | 49878L117 | 4 | 5,000 | SH | SOLE | 5,000 | 0 | 0 | ||
Ligand Pharmaceuticals Inc | Common Stock | 53220K504 | 7,189 | 54,802 | SH | SOLE | 54,802 | 0 | 0 | ||
Lightning eMotors Inc | Warrant | 53228T119 | 24 | 14,550 | SH | SOLE | 14,550 | 0 | 0 | ||
Lion Electric Co/The | Warrant | 536221112 | 184 | 28,237 | SH | SOLE | 28,237 | 0 | 0 | ||
LiveVox Holdings Inc | Warrant | 53838L118 | 173 | 131,390 | SH | SOLE | 131,390 | 0 | 0 | ||
Mallard Acquisition Corp | Common Stock | 561204108 | 6,053 | 606,510 | SH | SOLE | 606,510 | 0 | 0 | ||
Mallard Acquisition Corp | Warrant | 561204116 | 288 | 606,510 | SH | SOLE | 606,510 | 0 | 0 | ||
Matterport Inc | Warrant | 38286R113 | 312 | 52,100 | SH | SOLE | 52,100 | 0 | 0 | ||
Meta Materials Inc | Option | 59134N104 | 7 | 1,314 | SH | Put | SOLE | 1,314 | 0 | 0 | |
Meta Materials Inc | Option | 59134N104 | 3,120 | 2,000 | SH | Put | SOLE | 2,000 | 0 | 0 | |
Mountain Crest Acquisition Cor | Common Stock | 62402D105 | 3,472 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Mountain Crest Acquisition Cor | Right | 62402D113 | 298 | 350,000 | SH | SOLE | 350,000 | 0 | 0 | ||
Natural Order Acquisition Corp | Common Stock | 63889L107 | 4,890 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Natural Order Acquisition Corp | Warrant | 63889L115 | 355 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Neptune Wellness Solutions Inc | Common Stock | 64079L105 | 2,311 | 1,975,573 | SH | SOLE | 1,975,573 | 0 | 0 | ||
NextGen Acquisition Corp | Warrant | G65305123 | 3 | 1,500 | SH | SOLE | 1,500 | 0 | 0 | ||
Nocturne Acquisition Corp | Common Stock | G6580S114 | 4,437 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
Nocturne Acquisition Corp | Right | G6580S106 | 171 | 450,000 | SH | SOLE | 450,000 | 0 | 0 | ||
Original BARK Co/The | Warrant | 68622E112 | 190 | 54,717 | SH | SOLE | 54,717 | 0 | 0 | ||
Osprey Technology Acquisition | Warrant | 68839R120 | 427 | 249,879 | SH | SOLE | 249,879 | 0 | 0 | ||
Ouster Inc | Warrant | 68989M111 | 75 | 20,600 | SH | SOLE | 20,600 | 0 | 0 | ||
Panbela Therapeutics Inc | Common Stock | 69833Q100 | 425 | 150,000 | SH | SOLE | 150,000 | 0 | 0 | ||
Paysafe Ltd | Warrant | G6964L115 | 164 | 45,734 | SH | SOLE | 45,734 | 0 | 0 | ||
Peridot Acquisition Corp | Warrant | G7008A107 | 233 | 85,900 | SH | SOLE | 85,900 | 0 | 0 | ||
Pine Island Acquisition Corp | Warrant | 722615119 | 21 | 17,667 | SH | SOLE | 17,667 | 0 | 0 | ||
PNM Resources Inc | Common Stock | 69349H107 | 10,902 | 223,530 | SH | SOLE | 223,530 | 0 | 0 | ||
Pra Health Sciences Inc | Common Stock | 69354M108 | 4,956 | 30,000 | SH | SOLE | 30,000 | 0 | 0 | ||
Proofpoint Inc | Common Stock | 743424103 | 7,819 | 45,000 | SH | SOLE | 45,000 | 0 | 0 | ||
Proofpoint Inc | Option | 743424103 | 27 | 343 | SH | Put | SOLE | 343 | 0 | 0 | |
Proterra Inc | Common Stock | 74374T109 | 347 | 20,284 | SH | SOLE | 20,284 | 0 | 0 | ||
Proterra Inc | Warrant | 74374T117 | 738 | 131,600 | SH | SOLE | 131,600 | 0 | 0 | ||
PTK Acquisition Corp | Common Stock | 69375F108 | 7,023 | 708,698 | SH | SOLE | 708,698 | 0 | 0 | ||
PTK Acquisition Corp | Warrant | 69375F116 | 338 | 650,000 | SH | SOLE | 650,000 | 0 | 0 | ||
PureCycle Technologies Inc | Warrant | 74623V111 | 473 | 38,700 | SH | SOLE | 38,700 | 0 | 0 | ||
Quantum FinTech Acquisition Co | Common Stock | 74767A105 | 4,875 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Quantum FinTech Acquisition Co | Warrant | 74767A113 | 166 | 500,000 | SH | SOLE | 500,000 | 0 | 0 | ||
Reinvent Technology Partners | Common Stock | G9027T109 | 488 | 48,900 | SH | SOLE | 48,900 | 0 | 0 | ||
Reinvent Technology Partners | Option | G7483N129 | 0 | 3 | SH | Put | SOLE | 3 | 0 | 0 | |
Reinvent Technology Partners Y | Common Stock | G7484L106 | 1,070 | 108,190 | SH | SOLE | 108,190 | 0 | 0 | ||
RMG Acquisition Corp II | Warrant | G76083123 | 39 | 23,434 | SH | SOLE | 23,434 | 0 | 0 | ||
Sarepta Therapeutics Inc | Common Stock | 803607100 | 1,944 | 25,000 | SH | SOLE | 25,000 | 0 | 0 | ||
SC Health Corp | Common Stock | G78516203 | 7,812 | 775,000 | SH | SOLE | 775,000 | 0 | 0 | ||
Sema4 Holdings Corp | Warrant | 18978W117 | 575 | 124,990 | SH | SOLE | 124,990 | 0 | 0 | ||
Skillsoft Corp | Warrant | 83066P119 | 60 | 28,754 | SH | SOLE | 28,754 | 0 | 0 | ||
Slack Technologies, Inc. | Common Stock | 83088V102 | 3,987 | 90,000 | SH | SOLE | 90,000 | 0 | 0 | ||
Soaring Eagle Acquisition Corp | Common Stock | G8354H126 | 5,156 | 517,683 | SH | SOLE | 517,683 | 0 | 0 | ||
Soaring Eagle Acquisition Corp | Warrant | G8354H118 | 165 | 50,000 | SH | SOLE | 50,000 | 0 | 0 | ||
Social Capital Hedosophia Hold | Option | G82514103 | 15 | 500 | SH | Call | SOLE | 500 | 0 | 0 | |
SoFi Technologies Inc | Warrant | 83406F110 | 603 | 70,800 | SH | SOLE | 70,800 | 0 | 0 | ||
SPDR S&P Regional Banking ETF | ETF | 78464A698 | 3,956 | 60,370 | SH | SOLE | 60,370 | 0 | 0 | ||
SPK Acquisition Corp | Unit | 848651204 | 3,000 | 300,000 | SH | SOLE | 300,000 | 0 | 0 | ||
Sports Entertainment Acquisiti | Warrant | 84918M114 | 29 | 13,323 | SH | SOLE | 13,323 | 0 | 0 | ||
Stable Road Acquisition Corp | Common Stock | 85236Q109 | 2,092 | 149,764 | SH | SOLE | 149,764 | 0 | 0 | ||
Stable Road Acquisition Corp | Warrant | 85236Q117 | 264 | 62,899 | SH | SOLE | 62,899 | 0 | 0 | ||
Strongbridge Biopharma PLC | Common Stock | G85347105 | 438 | 147,555 | SH | SOLE | 147,555 | 0 | 0 | ||
Sunlight Financial Holdings In | Warrant | 846775112 | 377 | 209,600 | SH | SOLE | 209,600 | 0 | 0 | ||
Super League Gaming Inc | Common Stock | 86804F202 | 1,071 | 198,717 | SH | SOLE | 198,717 | 0 | 0 | ||
Sustainable Opportunities Acqu | Common Stock | G8598Y109 | 1,150 | 115,537 | SH | SOLE | 115,537 | 0 | 0 | ||
Sustainable Opportunities Acqu | Warrant | G8598Y117 | 331 | 229,730 | SH | SOLE | 229,730 | 0 | 0 | ||
Tarena International Inc | Depositary Receipt | 876108101 | 457 | 163,732 | SH | SOLE | 163,732 | 0 | 0 | ||
Taro Pharmaceutical Industries | Common Stock | M8737E108 | 7,196 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Tencent Music Entertainment Gr | Depositary Receipt | 88034P109 | 1,548 | 100,000 | SH | SOLE | 100,000 | 0 | 0 | ||
Trebia Acquisition Corp | Option | G7483N129 | 2 | 100 | SH | Call | SOLE | 100 | 0 | 0 | |
TWC Tech Holdings II Corp | Warrant | G9027T109 | 62 | 35,700 | SH | SOLE | 35,700 | 0 | 0 | ||
Ucommune International Ltd | Warrant | G9449A118 | 7 | 25,521 | SH | SOLE | 25,521 | 0 | 0 | ||
UpHealth Inc | Option | 91532B101 | 340 | 971 | SH | Put | SOLE | 971 | 0 | 0 | |
UpHealth Inc | Warrant | 91532B119 | 55 | 64,227 | SH | SOLE | 64,227 | 0 | 0 | ||
Vallon Pharmaceuticals Inc | Common Stock | 92023M101 | 1,060 | 194,900 | SH | SOLE | 194,900 | 0 | 0 | ||
Ventoux CCM Acquisition Corp | Common Stock | 92280L101 | 6,951 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
Ventoux CCM Acquisition Corp | Right | 92280L127 | 154 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
Ventoux CCM Acquisition Corp | Warrant | 92280L119 | 259 | 700,000 | SH | SOLE | 700,000 | 0 | 0 | ||
View Inc | Warrant | 92671V114 | 118 | 68,500 | SH | SOLE | 68,500 | 0 | 0 | ||
Vincerx Pharma Inc | Common Stock | 92731L106 | 377 | 29,037 | SH | SOLE | 29,037 | 0 | 0 | ||
Viveon Health Acquisition Corp | Common Stock | 92853V106 | 7,920 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
Viveon Health Acquisition Corp | Right | 92853V122 | 216 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
Viveon Health Acquisition Corp | Warrant | 92853V114 | 281 | 800,000 | SH | SOLE | 800,000 | 0 | 0 | ||
VPC Impact Acquisition Holding | Warrant | G9441E118 | 272 | 157,904 | SH | SOLE | 157,904 | 0 | 0 | ||
Willis Towers Watson PLC | Common Stock | G96629103 | 18,895 | 82,143 | SH | SOLE | 82,143 | 0 | 0 | ||
WM Technology Inc | Warrant | 92971A117 | 9 | 1,400 | SH | SOLE | 1,400 | 0 | 0 | ||
Zanite Acquisition Corp | Warrant | 98907K111 | 140 | 115,000 | SH | SOLE | 115,000 | 0 | 0 |