Q3 2023 · 13F-HR
Vivaldi Capital Management LPholdings as filed
Filed 2023-11-14 · accession 0001682021-23-000029
$305.9M
Reported value
193
Positions
2023-09-30
Period end
Holdings as filed
| CUSIP | Ticker | Issuer | Value | % port. | Shares | Class | Voting |
|---|---|---|---|---|---|---|---|
| 78464A854 | SPYM | SPDR SER TR | $15.7M | 5.12% | 311,730 | Common | SOLE |
| 808524862 | SCHO | SCHWAB STRATEGIC TR | $13.3M | 4.36% | 278,522 | Common | SOLE |
| 464287457 | SHY | ISHARES TR | $12.8M | 4.20% | 158,570 | Common | SOLE |
| 78463X889 | SPDW | SPDR INDEX SHS FDS | $10.4M | 3.39% | 333,927 | Common | SOLE |
| 037833100 | AAPL | APPLE INC | $9.7M | 3.17% | 56,556 | Common | SOLE |
| 808524201 | SCHX | SCHWAB STRATEGIC TR | $6.7M | 2.18% | 131,718 | Common | SOLE |
| 88160R101 | TSLA | TESLA INC | $6.6M | 2.16% | 26,354 | Common | SOLE |
| 922908769 | VTI | VANGUARD INDEX FDS | $6.1M | 1.99% | 28,625 | Common | SOLE |
| 464287200 | IVV | ISHARES TR | $5.9M | 1.92% | 13,646 | Common | SOLE |
| 78462F103 | SPY | SPDR S&P 500 ETF TR | $5.8M | 1.88% | 13,466 | Common | SOLE |
| 808524805 | SCHF | SCHWAB STRATEGIC TR | $5.4M | 1.76% | 158,509 | Common | SOLE |
| 594918104 | MSFT | MICROSOFT CORP | $5.3M | 1.73% | 16,776 | Common | SOLE |
| 36467J108 | GLPI | GAMING & LEISURE PPTYS INC | $5.2M | 1.69% | 113,227 | Common | SOLE |
| 464285204 | IAU | ISHARES GOLD TR | $5.0M | 1.64% | 143,117 | Common | SOLE |
| 78464A847 | SPMD | SPDR SER TR | $4.7M | 1.52% | 106,221 | Common | SOLE |
| 78468R853 | SPSM | SPDR SER TR | $4.4M | 1.45% | 120,236 | Common | SOLE |
| 09257R101 | BGB | BLACKSTONE STRATEGIC CRED 20 | $4.4M | 1.44% | 401,004 | Common | SOLE |
| 464287150 | ITOT | ISHARES TR | $4.2M | 1.37% | 44,444 | Common | SOLE |
| 78463V107 | GLD | SPDR GOLD TR | $4.1M | 1.33% | 23,686 | Common | SOLE |
| 04014F102 | ARDC | ARES DYNAMIC CR ALLOCATION F | $4.1M | 1.33% | 314,712 | Common | SOLE |
| 33739Q200 | LMBS | FIRST TR EXCHANGE-TRADED FD | $4.0M | 1.31% | 85,073 | Common | SOLE |
| 09253X102 | XMUIX | BLACKROCK MUNICIPAL INCOME | $3.9M | 1.28% | 386,541 | Common | SOLE |
| 808524102 | SCHB | SCHWAB STRATEGIC TR | $3.8M | 1.24% | 76,164 | Common | SOLE |
| 78468R101 | SPTS | SPDR SER TR | $3.7M | 1.21% | 128,497 | Common | SOLE |
| 464287168 | DVY | ISHARES TR | $3.6M | 1.16% | 33,094 | Common | SOLE |
| 922908363 | VOO | VANGUARD INDEX FDS | $3.5M | 1.15% | 8,921 | Common | SOLE |
| 09253W104 | XMYDX | BLACKROCK MUNIYIELD FD INC | $3.5M | 1.14% | 378,616 | Common | SOLE |
| 46133G107 | IQI | INVESCO QUALITY MUN INCOME T | $3.5M | 1.13% | 412,051 | Common | SOLE |
| 01864U106 | AFB | ALLIANCEBERNSTEIN NATL MUN I | $3.4M | 1.12% | 368,364 | Common | SOLE |
| 464288257 | ACWI | ISHARES TR | $3.4M | 1.12% | 37,083 | Common | SOLE |
| 921943858 | VEA | VANGUARD TAX-MANAGED FDS | $3.4M | 1.11% | 77,969 | Common | SOLE |
| 95766M105 | MMU | WESTERN ASSET MANAGED MUNS F | $3.1M | 1.00% | 341,701 | Common | SOLE |
| 03464Y108 | AOMR | ANGEL OAK MORTGAGE REIT INC | $3.0M | 0.97% | 348,474 | Common | SOLE |
| 922908744 | VTV | VANGUARD INDEX FDS | $2.9M | 0.95% | 21,137 | Common | SOLE |
| 233368109 | KTF | DWS MUN INCOME TR | $2.9M | 0.94% | 374,675 | Common | SOLE |
| 48249T106 | KIO | KKR INCOME OPPORTUNITIES FD | $2.7M | 0.89% | 226,326 | Common | SOLE |
| 69346H100 | ISD | PGIM HIGH YIELD BOND FUND IN | $2.5M | 0.83% | 216,059 | Common | SOLE |
| 67070X101 | NZF | NUVEEN MUNICIPAL CREDIT INC | $2.4M | 0.77% | 225,525 | Common | SOLE |
| 67071L106 | NVG | NUVEEN AMT FREE MUN CR INC F | $2.3M | 0.76% | 225,431 | Common | SOLE |
| 09254F100 | MQY | BLACKROCK MUNIYILD QULT FD I | $2.3M | 0.75% | 224,779 | Common | SOLE |
| 09253T101 | XMVTX | BLACKROCK MUNIVEST FD II INC | $2.3M | 0.75% | 245,819 | Common | SOLE |
| 72200W106 | PML | PIMCO MUN INCOME FD II | $2.2M | 0.72% | 286,847 | Common | SOLE |
| 02079K107 | GOOG | ALPHABET INC | $2.1M | 0.69% | 16,045 | Common | SOLE |
| 808524607 | SCHA | SCHWAB STRATEGIC TR | $2.1M | 0.68% | 50,128 | Common | SOLE |
| 464288158 | SUB | ISHARES TR | $2.1M | 0.68% | 20,116 | Common | SOLE |
| 23325P104 | DNP | DNP SELECT INCOME FD INC | $2.0M | 0.67% | 214,831 | Common | SOLE |
| 922908629 | VO | VANGUARD INDEX FDS | $2.0M | 0.67% | 9,817 | Common | SOLE |
| 19260Q107 | COIN | COINBASE GLOBAL INC | $2.0M | 0.67% | 27,102 | Common | SOLE |
| 06760L100 | BGH | BARINGS GLOBAL SHORT DURATIO | $2.0M | 0.66% | 159,874 | Common | SOLE |
| 922908751 | VB | VANGUARD INDEX FDS | $1.9M | 0.64% | 10,306 | Common | SOLE |
| 922908553 | VNQ | VANGUARD INDEX FDS | $1.9M | 0.63% | 25,521 | Common | SOLE |
| 808524706 | SCHE | SCHWAB STRATEGIC TR | $1.9M | 0.62% | 78,718 | Common | SOLE |
| 808524755 | FNDF | SCHWAB STRATEGIC TR | $1.9M | 0.61% | 59,073 | Common | SOLE |
| 808524508 | SCHM | SCHWAB STRATEGIC TR | $1.8M | 0.60% | 27,262 | Common | SOLE |
| 46432F842 | IEFA | ISHARES TR | $1.5M | 0.48% | 22,992 | Common | SOLE |
| 023135106 | AMZN | AMAZON COM INC | $1.5M | 0.48% | 11,601 | Common | SOLE |
| 67066G104 | NVDA | NVIDIA CORPORATION | $1.5M | 0.48% | 3,371 | Common | SOLE |
| 808524730 | FNDE | SCHWAB STRATEGIC TR | $1.5M | 0.48% | 55,647 | Common | SOLE |
| 00287Y109 | ABBV | ABBVIE INC | $1.4M | 0.44% | 9,089 | Common | SOLE |
| 40637H109 | HALO | HALOZYME THERAPEUTICS INC | $1.3M | 0.44% | 35,078 | Common | SOLE |
| 464288406 | IMCV | ISHARES TR | $1.3M | 0.42% | 21,123 | Common | SOLE |
| 02079K305 | GOOGL | ALPHABET INC | $1.3M | 0.42% | 9,733 | Common | SOLE |
| 91324P102 | UNH | UNITEDHEALTH GROUP INC | $1.3M | 0.41% | 2,483 | Common | SOLE |
| 532457108 | LLY | ELI LILLY & CO | $1.2M | 0.40% | 2,286 | Common | SOLE |
| 72201R833 | MINT | PIMCO ETF TR | $1.2M | 0.39% | 11,999 | Common | SOLE |
| 33740J203 | MARB | FIRST TR EXCH TRADED FD III | $1.2M | 0.39% | 59,400 | Common | SOLE |
| 921908844 | VIG | VANGUARD SPECIALIZED FUNDS | $1.2M | 0.39% | 7,632 | Common | SOLE |
| 097023105 | BA | BOEING CO | $1.2M | 0.38% | 6,117 | Common | SOLE |
| 30231G102 | XOM | EXXON MOBIL CORP | $1.2M | 0.38% | 9,899 | Common | SOLE |
| 084670702 | BRK/B | BERKSHIRE HATHAWAY INC DEL | $1.2M | 0.38% | 3,322 | Common | SOLE |
| 69354N106 | PRAA | PRA GROUP INC | $1.1M | 0.37% | 58,682 | Common | SOLE |
| 883556102 | TMO | THERMO FISHER SCIENTIFIC INC | $1.1M | 0.37% | 2,222 | Common | SOLE |
| 464287655 | IWM | ISHARES TR | $1.1M | 0.36% | 6,244 | Common | SOLE |
| 808524847 | SCHH | SCHWAB STRATEGIC TR | $1.1M | 0.36% | 61,818 | Common | SOLE |
| 46435G326 | IDEV | ISHARES TR | $1.0M | 0.34% | 17,837 | Common | SOLE |
| 464287499 | IWR | ISHARES TR | $1.0M | 0.33% | 14,528 | Common | SOLE |
| 025072877 | AVUV | AMERICAN CENTY ETF TR | $910,446 | 0.30% | 11,680 | Common | SOLE |
| 025072802 | AVDV | AMERICAN CENTY ETF TR | $896,332 | 0.29% | 15,494 | Common | SOLE |
| 922042858 | VWO | VANGUARD INTL EQUITY INDEX F | $880,440 | 0.29% | 22,454 | Common | SOLE |
| 46625H100 | JPM | JPMORGAN CHASE & CO | $876,646 | 0.29% | 6,045 | Common | SOLE |
| 81369Y803 | XLK | SELECT SECTOR SPDR TR | $872,791 | 0.29% | 5,324 | Common | SOLE |
| 002824100 | ABT | ABBOTT LABS | $850,383 | 0.28% | 8,780 | Common | SOLE |
| 464287101 | OEF | ISHARES TR | $841,484 | 0.28% | 4,194 | Common | SOLE |
| 742718109 | PG | PROCTER AND GAMBLE CO | $834,978 | 0.27% | 5,725 | Common | SOLE |
| 68389X105 | ORCL | ORACLE CORP | $817,002 | 0.27% | 7,713 | Common | SOLE |
| 369604301 | GE | GENERAL ELECTRIC CO | $770,976 | 0.25% | 6,974 | Common | SOLE |
| 58933Y105 | MRK | MERCK & CO INC | $767,389 | 0.25% | 7,454 | Common | SOLE |
| 17275R102 | CSCO | CISCO SYS INC | $755,973 | 0.25% | 14,062 | Common | SOLE |
| 464287721 | IYW | ISHARES TR | $731,165 | 0.24% | 6,969 | Common | SOLE |
| 922042742 | VT | VANGUARD INTL EQUITY INDEX F | $728,474 | 0.24% | 7,818 | Common | SOLE |
| 78463X509 | SPEM | SPDR INDEX SHS FDS | $716,793 | 0.23% | 21,352 | Common | SOLE |
| 478160104 | JNJ | JOHNSON & JOHNSON | $706,877 | 0.23% | 4,539 | Common | SOLE |
| 717081103 | PFE | PFIZER INC | $704,464 | 0.23% | 21,238 | Common | SOLE |
| 931142103 | WMT | WALMART INC | $679,606 | 0.22% | 4,249 | Common | SOLE |
| 464287465 | EFA | ISHARES TR | $679,055 | 0.22% | 9,853 | Common | SOLE |
| 464287762 | IYH | ISHARES TR | $616,300 | 0.20% | 2,282 | Common | SOLE |
| 620076307 | MSI | MOTOROLA SOLUTIONS INC | $603,556 | 0.20% | 2,217 | Common | SOLE |
| 464287804 | IJR | ISHARES TR | $596,493 | 0.20% | 6,323 | Common | SOLE |
| 464287556 | IBB | ISHARES TR | $595,752 | 0.19% | 4,872 | Common | SOLE |
| 09248E102 | XBFZX | BLACKROCK CALIF MUN INCOME T | $587,522 | 0.19% | 57,096 | Common | SOLE |
| 464287598 | IWD | ISHARES TR | $572,067 | 0.19% | 3,768 | Common | SOLE |
| 437076102 | HD | HOME DEPOT INC | $571,385 | 0.19% | 1,891 | Common | SOLE |
| 550424105 | — | LUMINAR TECHNOLOGIES INC | $568,750 | 0.19% | 125,000 | Common | SOLE |
| 191216100 | KO | COCA COLA CO | $557,505 | 0.18% | 9,959 | Common | SOLE |
| 27828A100 | XEVMX | EATON VANCE CALIF MUN BD FD | $527,769 | 0.17% | 64,996 | Common | SOLE |
| 33740F714 | DJUN | FIRST TR EXCHNG TRADED FD VI | $527,292 | 0.17% | 14,929 | Common | SOLE |
| 30303M102 | META | META PLATFORMS INC | $518,763 | 0.17% | 1,728 | Common | SOLE |
| 12572Q105 | CME | CME GROUP INC | $490,539 | 0.16% | 2,450 | Common | SOLE |
| 92204A702 | VGT | VANGUARD WORLD FDS | $484,188 | 0.16% | 1,167 | Common | SOLE |
| 013091103 | ACI | ALBERTSONS COS INC | $468,377 | 0.15% | 20,588 | Common | SOLE |
| 27826F101 | CEV | EATON VANCE CALIF MUN INCOM | $468,307 | 0.15% | 51,125 | Common | SOLE |
| 22160K105 | COST | COSTCO WHSL CORP NEW | $454,228 | 0.15% | 804 | Common | SOLE |
| 20030N101 | CMCSA | COMCAST CORP NEW | $453,432 | 0.15% | 10,226 | Common | SOLE |
| 922908611 | VBR | VANGUARD INDEX FDS | $444,887 | 0.15% | 2,789 | Common | SOLE |
| 808524771 | FNDX | SCHWAB STRATEGIC TR | $440,148 | 0.14% | 7,864 | Common | SOLE |
| 92204A504 | VHT | VANGUARD WORLD FDS | $433,054 | 0.14% | 1,842 | Common | SOLE |
| 23331A109 | DHI | D R HORTON INC | $431,814 | 0.14% | 4,018 | Common | SOLE |
| 031162100 | AMGN | AMGEN INC | $428,672 | 0.14% | 1,595 | Common | SOLE |
| 922042775 | VEU | VANGUARD INTL EQUITY INDEX F | $421,442 | 0.14% | 8,125 | Common | SOLE |
| 902973304 | USB | US BANCORP DEL | $407,299 | 0.13% | 12,320 | Common | SOLE |
| 33737A108 | GRID | FIRST TR EXCHANGE TRADED FD | $407,201 | 0.13% | 4,337 | Common | SOLE |
| 81369Y506 | XLE | SELECT SECTOR SPDR TR | $401,422 | 0.13% | 4,441 | Common | SOLE |
| 464287234 | EEM | ISHARES TR | $398,633 | 0.13% | 10,504 | Common | SOLE |
| 78463X202 | FEZ | SPDR INDEX SHS FDS | $394,978 | 0.13% | 9,402 | Common | SOLE |
| 617446448 | MS | MORGAN STANLEY | $392,588 | 0.13% | 4,807 | Common | SOLE |
| 464287226 | AGG | ISHARES TR | $384,718 | 0.13% | 4,091 | Common | SOLE |
| 00214Q104 | ARKK | ARK ETF TR | $383,617 | 0.13% | 9,670 | Common | SOLE |
| 46132H106 | VCV | INVESCO CALIF VALUE MUN INCO | $382,676 | 0.13% | 45,395 | Common | SOLE |
| 46090E103 | QQQ | INVESCO QQQ TR | $382,274 | 0.12% | 1,067 | Common | SOLE |
| G96629103 | WTW | WILLIS TOWERS WATSON PLC LTD | $372,367 | 0.12% | 1,782 | Common | SOLE |
| 78467X109 | DIA | SPDR DOW JONES INDL AVERAGE | $372,129 | 0.12% | 1,111 | Common | SOLE |
| 464288646 | IGSB | ISHARES TR | $363,759 | 0.12% | 7,300 | Common | SOLE |
| 665859104 | NTRS | NORTHERN TR CORP | $362,825 | 0.12% | 5,222 | Common | SOLE |
| 71844V201 | PECO | PHILLIPS EDISON & CO INC | $361,897 | 0.12% | 10,790 | Common | SOLE |
| 81369Y605 | XLF | SELECT SECTOR SPDR TR | $356,777 | 0.12% | 10,756 | Common | SOLE |
| 72200M108 | XPCKX | PIMCO CALIF MUN INCOME FD II | $352,189 | 0.12% | 70,157 | Common | SOLE |
| 580135101 | MCD | MCDONALDS CORP | $347,248 | 0.11% | 1,318 | Common | SOLE |
| 78468R739 | SHM | SPDR SER TR | $341,640 | 0.11% | 7,390 | Common | SOLE |
| 02209S103 | MO | ALTRIA GROUP INC | $334,970 | 0.11% | 7,966 | Common | SOLE |
| 907818108 | UNP | UNION PAC CORP | $333,342 | 0.11% | 1,637 | Common | SOLE |
| G16252101 | BIP | BROOKFIELD INFRAST PARTNERS | $330,750 | 0.11% | 11,250 | Common | SOLE |
| 464287614 | IWF | ISHARES TR | $309,315 | 0.10% | 1,163 | Common | SOLE |
| 922908736 | VUG | VANGUARD INDEX FDS | $302,536 | 0.10% | 1,111 | Common | SOLE |
| 464287507 | IJH | ISHARES TR | $301,242 | 0.10% | 1,208 | Common | SOLE |
| 11133T103 | BR | BROADRIDGE FINL SOLUTIONS IN | $299,909 | 0.10% | 1,675 | Common | SOLE |
| 110122108 | BMY | BRISTOL-MYERS SQUIBB CO | $297,455 | 0.10% | 5,125 | Common | SOLE |
| 713448108 | PEP | PEPSICO INC | $297,367 | 0.10% | 1,755 | Common | SOLE |
| 92826C839 | V | VISA INC | $292,343 | 0.10% | 1,271 | Common | SOLE |
| 03769M106 | APO | APOLLO GLOBAL MGMT INC | $292,079 | 0.10% | 3,254 | Common | SOLE |
| 25434V724 | DFUV | DIMENSIONAL ETF TRUST | $291,864 | 0.10% | 8,579 | Common | SOLE |
| 464288679 | SHV | ISHARES TR | $286,578 | 0.09% | 2,594 | Common | SOLE |
| 81369Y209 | XLV | SELECT SECTOR SPDR TR | $285,288 | 0.09% | 2,216 | Common | SOLE |
| 254687106 | DIS | DISNEY WALT CO | $278,650 | 0.09% | 3,438 | Common | SOLE |
| 09254L107 | MUC | BLACKROCK MUNIHLDNGS CALI QL | $276,966 | 0.09% | 28,971 | Common | SOLE |
| 92189F643 | MOAT | VANECK ETF TRUST | $272,114 | 0.09% | 3,588 | Common | SOLE |
| 464288513 | HYG | ISHARES TR | $261,411 | 0.09% | 3,546 | Common | SOLE |
| 81369Y704 | XLI | SELECT SECTOR SPDR TR | $260,445 | 0.09% | 2,569 | Common | SOLE |
| 33740F839 | DNOV | FIRST TR EXCHNG TRADED FD VI | $259,536 | 0.08% | 7,315 | Common | SOLE |
| 749685103 | RPM | RPM INTL INC | $259,400 | 0.08% | 2,736 | Common | SOLE |
| 808524839 | SCHZ | SCHWAB STRATEGIC TR | $254,522 | 0.08% | 5,755 | Common | SOLE |
| 231021106 | CMI | CUMMINS INC | $251,078 | 0.08% | 1,099 | Common | SOLE |
| 46435G425 | ESGU | ISHARES TR | $248,580 | 0.08% | 2,647 | Common | SOLE |
| 064058100 | BK | BANK NEW YORK MELLON CORP | $248,351 | 0.08% | 5,823 | Common | SOLE |
| G1151C101 | ACN | ACCENTURE PLC IRELAND | $244,767 | 0.08% | 797 | Common | SOLE |
| 64110L106 | NFLX | NETFLIX INC | $243,174 | 0.08% | 644 | Common | SOLE |
| 89469A104 | THS | TREEHOUSE FOODS INC | $239,690 | 0.08% | 5,500 | Common | SOLE |
| 464288182 | AAXJ | ISHARES TR | $231,077 | 0.08% | 3,639 | Common | SOLE |
| M96088105 | URGN | UROGEN PHARMA LTD | $230,619 | 0.08% | 16,461 | Common | SOLE |
| 464288273 | SCZ | ISHARES TR | $228,478 | 0.07% | 4,046 | Common | SOLE |
| 45378A106 | IRT | INDEPENDENCE RLTY TR INC | $227,371 | 0.07% | 16,160 | Common | SOLE |
| 244199105 | DE | DEERE & CO | $220,013 | 0.07% | 583 | Common | SOLE |
| 060505104 | BAC | BANK AMERICA CORP | $219,055 | 0.07% | 8,001 | Common | SOLE |
| 46137V407 | ERTH | INVESCO EXCHANGE TRADED FD T | $216,402 | 0.07% | 4,887 | Common | SOLE |
| 00214Q302 | ARKG | ARK ETF TR | $215,643 | 0.07% | 7,740 | Common | SOLE |
| 464288414 | MUB | ISHARES TR | $215,539 | 0.07% | 2,102 | Common | SOLE |
| 921937835 | BND | VANGUARD BD INDEX FDS | $208,550 | 0.07% | 2,989 | Common | SOLE |
| 35473P660 | FLAX | FRANKLIN TEMPLETON ETF TR | $206,957 | 0.07% | 10,172 | Common | SOLE |
| 92204A405 | VFH | VANGUARD WORLD FDS | $206,744 | 0.07% | 2,574 | Common | SOLE |
| 701094104 | PH | PARKER-HANNIFIN CORP | $202,940 | 0.07% | 521 | Common | SOLE |
| 87612E106 | TGT | TARGET CORP | $202,564 | 0.07% | 1,832 | Common | SOLE |
| 46436E718 | SGOV | ISHARES TR | $200,889 | 0.07% | 1,996 | Common | SOLE |
| 670657105 | XNEAX | NUVEEN AMT FREE QLTY MUN INC | $184,859 | 0.06% | 19,097 | Common | SOLE |
| 464288224 | ICLN | ISHARES TR | $176,522 | 0.06% | 12,074 | Common | SOLE |
| 55087P104 | LYFT | LYFT INC | $169,905 | 0.06% | 16,120 | Common | SOLE |
| 697900108 | PAAS | PAN AMERN SILVER CORP | $161,973 | 0.05% | 11,186 | Common | SOLE |
| 67066V101 | NAD | NUVEEN QUALITY MUNCP INCOME | $161,530 | 0.05% | 15,930 | Common | SOLE |
| 09254E103 | MYI | BLACKROCK MUNIYIELD QUALITY | $149,945 | 0.05% | 15,701 | Common | SOLE |
| 83406F102 | SOFI | SOFI TECHNOLOGIES INC | $126,418 | 0.04% | 15,822 | Common | SOLE |
| 258622109 | DSL | DOUBLELINE INCOME SOLUTIONS | $118,372 | 0.04% | 10,100 | Common | SOLE |
| 486606106 | KYN | KAYNE ANDERSON ENERGY INFRST | $107,059 | 0.04% | 12,730 | Common | SOLE |
| 45339J105 | — | INDAPTUS THERAPEUTICS INC | $66,120 | 0.02% | 24,000 | Common | SOLE |
| 46131H107 | VVR | INVESCO SR INCOME TR | $41,578 | 0.01% | 10,607 | Common | SOLE |
| 363225202 | GALT | GALECTIN THERAPEUTICS INC | $36,981 | 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.