Q2 2023 · 13F-HR
Vivaldi Capital Management LPholdings as filed
Filed 2023-08-14 · accession 0001682021-23-000005
$324.4M
Reported value
200
Positions
2023-06-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 78464A854 | SPYM | SPDR SER TR | $16.5M | 5.09% | 317,013 | Common | SOLE |
| 808524862 | SCHO | SCHWAB STRATEGIC TR | $12.5M | 3.86% | 260,493 | Common | SOLE |
| 464287457 | SHY | ISHARES TR | $11.9M | 3.68% | 147,250 | Common | SOLE |
| 037833100 | AAPL | APPLE INC | $11.0M | 3.39% | 56,696 | Common | SOLE |
| 78463X889 | SPDW | SPDR INDEX SHS FDS | $10.8M | 3.32% | 331,315 | Common | SOLE |
| 88160R101 | TSLA | TESLA INC | $6.8M | 2.10% | 26,035 | Common | SOLE |
| 464287200 | IVV | ISHARES TR | $6.4M | 1.97% | 14,352 | Common | SOLE |
| 922908769 | VTI | VANGUARD INDEX FDS | $6.3M | 1.93% | 28,419 | Common | SOLE |
| 808524201 | SCHX | SCHWAB STRATEGIC TR | $6.2M | 1.91% | 118,223 | Common | SOLE |
| 78462F103 | SPY | SPDR S&P 500 ETF TR | $6.2M | 1.90% | 13,907 | Common | SOLE |
| 69346H100 | ISD | PGIM HIGH YIELD BOND FUND IN | $5.9M | 1.82% | 476,325 | Common | SOLE |
| 464285204 | IAU | ISHARES GOLD TR | $5.7M | 1.76% | 156,744 | Common | SOLE |
| 594918104 | MSFT | MICROSOFT CORP | $5.6M | 1.72% | 16,368 | Common | SOLE |
| 36467J108 | GLPI | GAMING & LEISURE PPTYS INC | $5.5M | 1.68% | 112,727 | Common | SOLE |
| 78464A847 | SPMD | SPDR SER TR | $4.9M | 1.50% | 106,197 | Common | SOLE |
| 808524805 | SCHF | SCHWAB STRATEGIC TR | $4.9M | 1.50% | 136,532 | Common | SOLE |
| 78468R853 | SPSM | SPDR SER TR | $4.7M | 1.45% | 121,247 | Common | SOLE |
| 33739Q200 | LMBS | FIRST TR EXCHANGE-TRADED FD | $4.4M | 1.36% | 92,848 | Common | SOLE |
| 09257R101 | BGB | BLACKSTONE STRATEGIC CRED 20 | $4.4M | 1.35% | 400,365 | Common | SOLE |
| 464287150 | ITOT | ISHARES TR | $4.4M | 1.35% | 44,602 | Common | SOLE |
| 09253X102 | XMUIX | BLACKROCK MUNICIPAL INCOME | $4.3M | 1.32% | 374,242 | Common | SOLE |
| 78463V107 | GLD | SPDR GOLD TR | $4.3M | 1.31% | 23,894 | Common | SOLE |
| 04014F102 | ARDC | ARES DYNAMIC CR ALLOCATION F | $4.2M | 1.29% | 340,417 | Common | SOLE |
| 464287168 | DVY | ISHARES TR | $4.2M | 1.28% | 36,783 | Common | SOLE |
| 78468R101 | SPTS | SPDR SER TR | $4.0M | 1.22% | 137,480 | Common | SOLE |
| 808524102 | SCHB | SCHWAB STRATEGIC TR | $4.0M | 1.22% | 76,433 | Common | SOLE |
| 09253W104 | XMYDX | BLACKROCK MUNIYIELD FD INC | $3.9M | 1.20% | 373,096 | Common | SOLE |
| 01864U106 | AFB | ALLIANCEBERNSTEIN NATL MUN I | $3.9M | 1.20% | 362,936 | Common | SOLE |
| 46133G107 | IQI | INVESCO QUALITY MUN INCOME T | $3.8M | 1.18% | 401,373 | Common | SOLE |
| 33740J203 | MARB | FIRST TR EXCH TRADED FD III | $3.8M | 1.18% | 190,691 | Common | SOLE |
| 922908363 | VOO | VANGUARD INDEX FDS | $3.8M | 1.16% | 9,228 | Common | SOLE |
| 921943858 | VEA | VANGUARD TAX-MANAGED FDS | $3.6M | 1.12% | 78,717 | Common | SOLE |
| 01879R106 | XAWFX | ALLIANCEBERNSTEIN GLOBAL HIG | $3.6M | 1.11% | 363,040 | Common | SOLE |
| 464288257 | ACWI | ISHARES TR | $3.5M | 1.09% | 36,921 | Common | SOLE |
| 06760L100 | BGH | BARINGS GLOBAL SHORT DURATIO | $3.4M | 1.05% | 261,398 | Common | SOLE |
| 95766M105 | MMU | WESTERN ASSET MANAGED MUNS F | $3.3M | 1.02% | 332,803 | Common | SOLE |
| 233368109 | KTF | DWS MUN INCOME TR | $3.3M | 1.01% | 382,103 | Common | SOLE |
| 03464Y108 | AOMR | ANGEL OAK MORTGAGE REIT INC | $3.3M | 1.00% | 394,691 | Common | SOLE |
| 02079K107 | GOOG | ALPHABET INC | $3.2M | 0.99% | 26,634 | Common | SOLE |
| 922908744 | VTV | VANGUARD INDEX FDS | $3.0M | 0.93% | 21,142 | Common | SOLE |
| 48249T106 | KIO | KKR INCOME OPPORTUNITIES FD | $2.7M | 0.83% | 231,734 | Common | SOLE |
| 09253T101 | XMVTX | BLACKROCK MUNIVEST FD II INC | $2.6M | 0.79% | 240,232 | Common | SOLE |
| 72200W106 | PML | PIMCO MUN INCOME FD II | $2.5M | 0.78% | 281,257 | Common | SOLE |
| 23325P104 | DNP | DNP SELECT INCOME FD INC | $2.3M | 0.69% | 214,831 | Common | SOLE |
| 464288158 | SUB | ISHARES TR | $2.2M | 0.69% | 21,537 | Common | SOLE |
| 922908629 | VO | VANGUARD INDEX FDS | $2.2M | 0.67% | 9,840 | Common | SOLE |
| 922908751 | VB | VANGUARD INDEX FDS | $2.1M | 0.64% | 10,417 | Common | SOLE |
| 808524607 | SCHA | SCHWAB STRATEGIC TR | $2.0M | 0.61% | 45,132 | Common | SOLE |
| 808524755 | FNDF | SCHWAB STRATEGIC TR | $2.0M | 0.61% | 61,019 | Common | SOLE |
| 19260Q107 | COIN | COINBASE GLOBAL INC | $1.9M | 0.60% | 27,098 | Common | SOLE |
| 922908553 | VNQ | VANGUARD INDEX FDS | $1.9M | 0.59% | 23,030 | Common | SOLE |
| 808524508 | SCHM | SCHWAB STRATEGIC TR | $1.7M | 0.53% | 24,230 | Common | SOLE |
| 550424105 | — | LUMINAR TECHNOLOGIES INC | $1.7M | 0.53% | 250,000 | Common | SOLE |
| 808524706 | SCHE | SCHWAB STRATEGIC TR | $1.7M | 0.53% | 69,803 | Common | SOLE |
| 464287499 | IWR | ISHARES TR | $1.6M | 0.49% | 21,859 | Common | SOLE |
| 808524730 | FNDE | SCHWAB STRATEGIC TR | $1.5M | 0.47% | 56,666 | Common | SOLE |
| 46432F842 | IEFA | ISHARES TR | $1.5M | 0.46% | 21,873 | Common | SOLE |
| 464288406 | IMCV | ISHARES TR | $1.4M | 0.43% | 21,666 | Common | SOLE |
| 023135106 | AMZN | AMAZON COM INC | $1.4M | 0.42% | 10,547 | Common | SOLE |
| 69354N106 | PRAA | PRA GROUP INC | $1.3M | 0.41% | 58,636 | Common | SOLE |
| 097023105 | BA | BOEING CO | $1.3M | 0.40% | 6,074 | Common | SOLE |
| 67066G104 | NVDA | NVIDIA CORPORATION | $1.3M | 0.39% | 3,021 | Common | SOLE |
| 40637H109 | HALO | HALOZYME THERAPEUTICS INC | $1.3M | 0.39% | 35,078 | Common | SOLE |
| 883556102 | TMO | THERMO FISHER SCIENTIFIC INC | $1.3M | 0.39% | 2,407 | Common | SOLE |
| 921908844 | VIG | VANGUARD SPECIALIZED FUNDS | $1.2M | 0.39% | 7,693 | Common | SOLE |
| 91324P102 | UNH | UNITEDHEALTH GROUP INC | $1.2M | 0.38% | 2,561 | Common | SOLE |
| 00287Y109 | ABBV | ABBVIE INC | $1.2M | 0.37% | 8,884 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $1.2M | 0.36% | 6,244 | Common | SOLE |
| 02079K305 | GOOGL | ALPHABET INC | $1.1M | 0.34% | 9,332 | Common | SOLE |
| 46435G326 | IDEV | ISHARES TR | $1.1M | 0.34% | 17,837 | Common | SOLE |
| 084670702 | BRK/B | BERKSHIRE HATHAWAY INC DEL | $1.1M | 0.33% | 3,182 | Common | SOLE |
| 532457108 | LLY | LILLY ELI & CO | $1.0M | 0.32% | 2,213 | Common | SOLE |
| 30231G102 | XOM | EXXON MOBIL CORP | $1.0M | 0.32% | 9,544 | Common | SOLE |
| 002824100 | ABT | ABBOTT LABS | $976,210 | 0.30% | 8,954 | Common | SOLE |
| 464287465 | EFA | ISHARES TR | $952,998 | 0.29% | 13,145 | Common | SOLE |
| 464287721 | IYW | ISHARES TR | $942,791 | 0.29% | 8,660 | Common | SOLE |
| 025072877 | AVUV | AMERICAN CENTY ETF TR | $934,792 | 0.29% | 12,045 | Common | SOLE |
| 922042858 | VWO | VANGUARD INTL EQUITY INDEX F | $924,162 | 0.28% | 22,718 | Common | SOLE |
| 46625H100 | JPM | JPMORGAN CHASE & CO | $919,763 | 0.28% | 6,324 | Common | SOLE |
| 742718109 | PG | PROCTER AND GAMBLE CO | $917,249 | 0.28% | 6,045 | Common | SOLE |
| 464287762 | IYH | ISHARES TR | $915,304 | 0.28% | 3,266 | Common | SOLE |
| 025072802 | AVDV | AMERICAN CENTY ETF TR | $913,399 | 0.28% | 15,869 | Common | SOLE |
| 68389X105 | ORCL | ORACLE CORP | $901,392 | 0.28% | 7,569 | Common | SOLE |
| 464287101 | OEF | ISHARES TR | $895,949 | 0.28% | 4,327 | Common | SOLE |
| 81369Y803 | XLK | SELECT SECTOR SPDR TR | $888,594 | 0.27% | 5,111 | Common | SOLE |
| 58933Y105 | MRK | MERCK & CO INC | $840,501 | 0.26% | 7,284 | Common | SOLE |
| 464287598 | IWD | ISHARES TR | $830,669 | 0.26% | 5,263 | Common | SOLE |
| 717081103 | PFE | PFIZER INC | $792,545 | 0.24% | 21,607 | Common | SOLE |
| 369604301 | GE | GENERAL ELECTRIC CO | $752,143 | 0.23% | 6,847 | Common | SOLE |
| 72201R833 | MINT | PIMCO ETF TR | $740,060 | 0.23% | 7,418 | Common | SOLE |
| 922042742 | VT | VANGUARD INTL EQUITY INDEX F | $730,544 | 0.23% | 7,533 | Common | SOLE |
| 17275R102 | CSCO | CISCO SYS INC | $708,890 | 0.22% | 13,701 | Common | SOLE |
| 931142103 | WMT | WALMART INC | $689,296 | 0.21% | 4,385 | Common | SOLE |
| 09248E102 | XBFZX | BLACKROCK CALIF MUN INCOME T | $676,743 | 0.21% | 57,061 | Common | SOLE |
| 620076307 | MSI | MOTOROLA SOLUTIONS INC | $646,096 | 0.20% | 2,203 | Common | SOLE |
| 464287804 | IJR | ISHARES TR | $621,563 | 0.19% | 6,237 | Common | SOLE |
| 464287556 | IBB | ISHARES TR | $618,503 | 0.19% | 4,872 | Common | SOLE |
| 78463X509 | SPEM | SPDR INDEX SHS FDS | $608,970 | 0.19% | 17,713 | Common | SOLE |
| 478160104 | JNJ | JOHNSON & JOHNSON | $603,244 | 0.19% | 3,645 | Common | SOLE |
| 922042775 | VEU | VANGUARD INTL EQUITY INDEX F | $598,973 | 0.18% | 11,009 | Common | SOLE |
| 191216100 | KO | COCA COLA CO | $588,109 | 0.18% | 9,766 | Common | SOLE |
| 27828A100 | XEVMX | EATON VANCE CALIF MUN BD FD | $585,088 | 0.18% | 65,740 | Common | SOLE |
| 437076102 | HD | HOME DEPOT INC | $559,152 | 0.17% | 1,800 | Common | SOLE |
| 084670108 | BRK/A | BERKSHIRE HATHAWAY INC DEL | $517,810 | 0.16% | 1 | Common | SOLE |
| 12572Q105 | CME | CME GROUP INC | $515,106 | 0.16% | 2,780 | Common | SOLE |
| 27826F101 | CEV | EATON VANCE CALIF MUN INCOM | $515,064 | 0.16% | 51,584 | Common | SOLE |
| 23331A109 | DHI | D R HORTON INC | $486,882 | 0.15% | 4,001 | Common | SOLE |
| 808524771 | FNDX | SCHWAB STRATEGIC TR | $476,622 | 0.15% | 8,279 | Common | SOLE |
| 30303M102 | META | META PLATFORMS INC | $459,455 | 0.14% | 1,601 | Common | SOLE |
| 33737A108 | GRID | FIRST TR EXCHANGE TRADED FD | $455,905 | 0.14% | 4,337 | Common | SOLE |
| 013091103 | ACI | ALBERTSONS COS INC | $449,230 | 0.14% | 20,588 | Common | SOLE |
| 922908611 | VBR | VANGUARD INDEX FDS | $444,291 | 0.14% | 2,686 | Common | SOLE |
| 46132H106 | VCV | INVESCO CALIF VALUE MUN INCO | $441,846 | 0.14% | 46,122 | Common | SOLE |
| 92343V104 | VZ | VERIZON COMMUNICATIONS INC | $438,693 | 0.14% | 11,796 | Common | SOLE |
| 92204A702 | VGT | VANGUARD WORLD FDS | $427,569 | 0.13% | 967 | Common | SOLE |
| 464287226 | AGG | ISHARES TR | $427,356 | 0.13% | 4,363 | Common | SOLE |
| 00214Q104 | ARKK | ARK ETF TR | $426,843 | 0.13% | 9,670 | Common | SOLE |
| G96629103 | WTW | WILLIS TOWERS WATSON PLC LTD | $417,777 | 0.13% | 1,774 | Common | SOLE |
| 72200M108 | XPCKX | PIMCO CALIF MUN INCOME FD II | $417,307 | 0.13% | 70,136 | Common | SOLE |
| 464287234 | EEM | ISHARES TR | $415,545 | 0.13% | 10,504 | Common | SOLE |
| 22160K105 | COST | COSTCO WHSL CORP NEW | $412,937 | 0.13% | 767 | Common | SOLE |
| G16252101 | BIP | BROOKFIELD INFRAST PARTNERS | $410,625 | 0.13% | 11,250 | Common | SOLE |
| 20030N101 | CMCSA | COMCAST CORP NEW | $405,996 | 0.13% | 9,771 | Common | SOLE |
| 617446448 | MS | MORGAN STANLEY | $401,722 | 0.12% | 4,704 | Common | SOLE |
| 902973304 | USB | US BANCORP DEL | $401,667 | 0.12% | 12,157 | Common | SOLE |
| 81369Y506 | XLE | SELECT SECTOR SPDR TR | $393,350 | 0.12% | 4,846 | Common | SOLE |
| 46090E103 | QQQ | INVESCO QQQ TR | $390,477 | 0.12% | 1,057 | Common | SOLE |
| 665859104 | NTRS | NORTHERN TR CORP | $386,788 | 0.12% | 5,217 | Common | SOLE |
| 71844V201 | PECO | PHILLIPS EDISON & CO INC | $367,723 | 0.11% | 10,790 | Common | SOLE |
| 464288646 | IGSB | ISHARES TR | $366,241 | 0.11% | 7,300 | Common | SOLE |
| 031162100 | AMGN | AMGEN INC | $352,790 | 0.11% | 1,589 | Common | SOLE |
| 81369Y605 | XLF | SELECT SECTOR SPDR TR | $352,337 | 0.11% | 10,452 | Common | SOLE |
| 78463X202 | FEZ | SPDR INDEX SHS FDS | $349,218 | 0.11% | 7,595 | Common | SOLE |
| 78467X109 | DIA | SPDR DOW JONES INDL AVERAGE | $349,008 | 0.11% | 1,015 | Common | SOLE |
| 78468R739 | SHM | SPDR SER TR | $347,700 | 0.11% | 7,390 | Common | SOLE |
| 02209S103 | MO | ALTRIA GROUP INC | $340,475 | 0.10% | 7,516 | Common | SOLE |
| 464287614 | IWF | ISHARES TR | $337,888 | 0.10% | 1,228 | Common | SOLE |
| 92204A504 | VHT | VANGUARD WORLD FDS | $331,241 | 0.10% | 1,353 | Common | SOLE |
| 907818108 | UNP | UNION PAC CORP | $324,323 | 0.10% | 1,585 | Common | SOLE |
| 713448108 | PEP | PEPSICO INC | $320,245 | 0.10% | 1,729 | Common | SOLE |
| 464287507 | IJH | ISHARES TR | $318,511 | 0.10% | 1,218 | Common | SOLE |
| 09254L107 | MUC | BLACKROCK MUNIHLDNGS CALI QL | $314,131 | 0.10% | 28,952 | Common | SOLE |
| 580135101 | MCD | MCDONALDS CORP | $307,102 | 0.09% | 1,029 | Common | SOLE |
| 110122108 | BMY | BRISTOL-MYERS SQUIBB CO | $303,443 | 0.09% | 4,745 | Common | SOLE |
| 25434V724 | DFUV | DIMENSIONAL ETF TRUST | $295,399 | 0.09% | 8,562 | Common | SOLE |
| 254687106 | DIS | DISNEY WALT CO | $294,624 | 0.09% | 3,300 | Common | SOLE |
| 45378A106 | IRT | INDEPENDENCE RLTY TR INC | $294,435 | 0.09% | 16,160 | Common | SOLE |
| 65339F101 | NEE | NEXTERA ENERGY INC | $292,348 | 0.09% | 3,940 | Common | SOLE |
| 464288182 | AAXJ | ISHARES TR | $289,413 | 0.09% | 4,356 | Common | SOLE |
| 464288679 | SHV | ISHARES TR | $287,858 | 0.09% | 2,606 | Common | SOLE |
| 64110L106 | NFLX | NETFLIX INC | $287,199 | 0.09% | 652 | Common | SOLE |
| 92189F643 | MOAT | VANECK ETF TRUST | $286,287 | 0.09% | 3,588 | Common | SOLE |
| 89469A104 | THS | TREEHOUSE FOODS INC | $277,090 | 0.09% | 5,500 | Common | SOLE |
| 92826C839 | V | VISA INC | $275,714 | 0.09% | 1,161 | Common | SOLE |
| 11133T103 | BR | BROADRIDGE FINL SOLUTIONS IN | $274,946 | 0.08% | 1,660 | Common | SOLE |
| 81369Y209 | XLV | SELECT SECTOR SPDR TR | $274,486 | 0.08% | 2,068 | Common | SOLE |
| 33737J109 | FPA | FIRST TR EXCH TRD ALPHDX FD | $270,208 | 0.08% | 10,185 | Common | SOLE |
| 464288513 | HYG | ISHARES TR | $266,198 | 0.08% | 3,546 | Common | SOLE |
| 231021106 | CMI | CUMMINS INC | $265,999 | 0.08% | 1,085 | Common | SOLE |
| 33740F839 | DNOV | FIRST TR EXCHNG TRADED FD VI | $265,535 | 0.08% | 7,315 | Common | SOLE |
| 808524839 | SCHZ | SCHWAB STRATEGIC TR | $262,934 | 0.08% | 5,696 | Common | SOLE |
| 743315103 | PGR | PROGRESSIVE CORP | $262,357 | 0.08% | 1,982 | Common | SOLE |
| 46435G425 | ESGU | ISHARES TR | $257,977 | 0.08% | 2,647 | Common | SOLE |
| 064058100 | BK | BANK NEW YORK MELLON CORP | $254,966 | 0.08% | 5,727 | Common | SOLE |
| 03769M106 | APO | APOLLO GLOBAL MGMT INC | $248,250 | 0.08% | 3,232 | Common | SOLE |
| 205887102 | CAG | CONAGRA BRANDS INC | $245,886 | 0.08% | 7,292 | Common | SOLE |
| 749685103 | RPM | RPM INTL INC | $244,963 | 0.08% | 2,730 | Common | SOLE |
| 464288273 | SCZ | ISHARES TR | $241,877 | 0.07% | 4,101 | Common | SOLE |
| 46137V407 | ERTH | INVESCO EXCHANGE TRADED FD T | $239,448 | 0.07% | 4,885 | Common | SOLE |
| 87612E106 | TGT | TARGET CORP | $239,399 | 0.07% | 1,815 | Common | SOLE |
| 81369Y704 | XLI | SELECT SECTOR SPDR TR | $237,392 | 0.07% | 2,212 | Common | SOLE |
| 00214Q302 | ARKG | ARK ETF TR | $232,808 | 0.07% | 6,829 | Common | SOLE |
| 244199105 | DE | DEERE & CO | $226,096 | 0.07% | 558 | Common | SOLE |
| G1151C101 | ACN | ACCENTURE PLC IRELAND | $225,881 | 0.07% | 732 | Common | SOLE |
| 464288224 | ICLN | ISHARES TR | $222,994 | 0.07% | 12,119 | Common | SOLE |
| 46435G672 | IAGG | ISHARES TR | $222,939 | 0.07% | 4,523 | Common | SOLE |
| 922908736 | VUG | VANGUARD INDEX FDS | $215,050 | 0.07% | 760 | Common | SOLE |
| 464288414 | MUB | ISHARES TR | $214,847 | 0.07% | 2,013 | Common | SOLE |
| 35473P660 | FLAX | FRANKLIN TEMPLETON ETF TR | $213,974 | 0.07% | 10,172 | Common | SOLE |
| 464286608 | EZU | ISHARES INC | $213,109 | 0.07% | 4,651 | Common | SOLE |
| 060505104 | BAC | BANK AMERICA CORP | $212,434 | 0.07% | 7,404 | Common | SOLE |
| 31428X106 | FDX | FEDEX CORP | $209,971 | 0.06% | 847 | Common | SOLE |
| 92189F106 | GDX | VANECK ETF TRUST | $208,686 | 0.06% | 6,931 | Common | SOLE |
| 808524888 | SCHC | SCHWAB STRATEGIC TR | $206,267 | 0.06% | 6,108 | Common | SOLE |
| 670699107 | QQQX | NUVEEN NASDAQ 100 DYNAMIC OV | $202,008 | 0.06% | 8,103 | Common | SOLE |
| 884903808 | TRI4EUR | THOMSON REUTERS CORP. | $200,656 | 0.06% | 1,487 | Common | SOLE |
| 701094104 | PH | PARKER-HANNIFIN CORP | $200,091 | 0.06% | 513 | Common | SOLE |
| 670657105 | XNEAX | NUVEEN AMT FREE QLTY MUN INC | $187,143 | 0.06% | 17,122 | Common | SOLE |
| 09254E103 | MYI | BLACKROCK MUNIYIELD QUALITY | $171,769 | 0.05% | 15,701 | Common | SOLE |
| 697900108 | PAAS | PAN AMERN SILVER CORP | $163,092 | 0.05% | 11,186 | Common | SOLE |
| 67066V101 | NAD | NUVEEN QUALITY MUNCP INCOME | $160,654 | 0.05% | 14,255 | Common | SOLE |
| 55087P104 | LYFT | LYFT INC | $154,591 | 0.05% | 16,120 | Common | SOLE |
| 83406F102 | SOFI | SOFI TECHNOLOGIES INC | $131,672 | 0.04% | 15,788 | Common | SOLE |
| 258622109 | DSL | DOUBLELINE INCOME SOLUTIONS | $120,291 | 0.04% | 10,100 | Common | SOLE |
| M96088105 | URGN | UROGEN PHARMA LTD | $119,025 | 0.04% | 11,500 | Common | SOLE |
| 486606106 | KYN | KAYNE ANDERSON ENERGY INFRST | $103,622 | 0.03% | 12,730 | Common | SOLE |
| 6706EN100 | — | NUVEEN FLOATING RATE INCOME | $78,000 | 0.02% | 10,000 | Common | SOLE |
| 45339J105 | — | INDAPTUS THERAPEUTICS INC | $45,840 | 0.01% | 24,000 | Common | SOLE |
| 46131H107 | VVR | INVESCO SR INCOME TR | $40,836 | 0.01% | 10,607 | Common | SOLE |
| 363225202 | GALT | GALECTIN THERAPEUTICS INC | $27,736 | 0.01% | 19,261 | Common | SOLE |
Source: SEC EDGAR · raw 13F holdings as filed. The Class column shows the option type when reported (Put/Call) or Common when the issuer's equity is held directly. 13F discloses long positions only.